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# On classical super-radiance in Kerr-Newman-anti-de Sitter black holes

## 1 Introduction

Although the subject of quantum field theory on black hole geometries in asymptotically flat space has been widely researched over the past thirty years, there remain some aspects which are not fully understood. Many detailed computations of the expectation values of quantities such as the renormalized expectation value of the stress tensor have been performed on static, spherically symmetric geometries such as Schwarzschild, but the greater complexity of such calculations on rotating black hole space-times has prevented correspondingly exhaustive study. One reason for the greater computational difficulty in rotating black holes is that the metric and other geometric quantities depend on two, rather than one, variable. Another key factor for quantum field theory is the presence of super-radiant modes, as a result of the lack of a globally time-like Killing vector. These need to be dealt with in a subtle manner (see  for discussion of this point).

In recent years there has been a great increase in interest in black holes in asymptotically anti-de Sitter space, due to the conjectured correspondence between gravity in the bulk of anti-de Sitter space and conformal field theory on its boundary (the AdS/CFT correspondence - see, for example,  for a review and comprehensive list of references). In the light of this, it is natural to instigate a study of quantum field theory on black holes geometries which are asymptotically anti-de Sitter, instead of asymptotically flat. Such an investigation may deepen understanding, not only of the AdS/CFT correspondence itself, but also of the outstanding problems of quantum field theory on asymptotically flat black holes. Quantum field theory on asymptotically anti-de Sitter black holes is also attractive to study since there are black holes in anti-de Sitter space which have a stable Hartle-Hawking state , whereas in asymptotically flat space black holes can only be in unstable equilibrium with a heat bath at the Hawking temperature.

There has already been a great deal of work on (both rotating and static) black holes in anti-de Sitter space, primarily the BTZ  black holes which live in a three-dimensional universe with a negative cosmological constant. As well as their classical properties, the behaviour of quantum fields on the BTZ black hole has been extensively studied (see, for example, ). One advantage of working in three dimensions is that many of the computational aspects are greatly simplified (for example, it is possible to write the Green’s function for a quantum field in the Hartle-Hawking state in closed form ). However, there has been more recent interest in higher-dimensional black holes in anti-de Sitter space, particularly Kerr-Newman-anti-de Sitter (KN-AdS) black holes in various dimensions . Work to date has concentrated on calculating those quantities of particular interest for the AdS/CFT correspondence, primarily within a classical framework (including the work in Refs. ), and there has been little study of conventional quantum field theory on these backgrounds (see, for example,  for work to date).

Our purpose in the present article is to lay some foundations for a detailed study of quantum field theory on four-dimensional KN-AdS black holes, by considering the modes of a classical scalar field on this background. In particular, we wish to discover whether the super-radiant modes, which cause so much difficulty in Kerr-Newman space-time, still exist in KN-AdS black holes. If there is an absence of super-radiance for (at least some) KN-AdS black holes, then it may be that quantum field theory in these space-times is, in some ways, simpler than for asymptotically flat Kerr-Newman black holes, and one may hope to tackle such questions as the existence of a Hartle-Hawking state (which does not exist for Kerr-Newman geometries ). The present article, however, concentrates on purely classical scalar field modes, a detailed understanding of which is an essential precursor to serious study of quantum field theory effects (for example, for calculating the semi-classical entropy of the black hole ). We consider a scalar field as the simplest bosonic field, since for Kerr-Newman black holes in asymptotically flat space, super-radiance occurs for bosonic but not fermionic fields. However, the quantum analogue of super-radiance does occur for both bosonic and fermionic fields . For reviews and references to the original literature on classical super-radiance in Kerr-Newman black holes, the reader is referred to  for a scalar fields, and  for spin 1/2 fields, electromagnetic and gravitational perturbations.

We begin, in section 2, by reviewing those aspects of the geometry of KN-AdS which are useful for our purposes. One interesting result at this stage is that there are KN-AdS black holes which possess a Killing vector which is time-like everywhere outside the event horizon. This suggests that there may be KN-AdS geometries on which super-radiance is absent. In section 3 we separate the wave equation for scalar fields and study, in particular, the radial equation, by means of a new radial co-ordinate $`R`$ which turns out to be particularly useful. The next two sections tackle the more subtle issues of boundary conditions and positive frequency, and we construct linearly independent sets of basis modes which will be useful when we return, in a subsequent publication, to the subtle issue of constructing suitable quantum vacuum states. In section 5 we reach our conclusions about the presence (or absence) of super-radiant modes. Due to the time-like nature of infinity $``$ in KN-AdS, there is a choice of two types of boundary condition at infinity : “reflective” and “transparent”. For “reflective” boundary conditions, no particle flux escapes through infinity and super-radiance is absent. This is in agreement with an energy argument given by Hawking and Reall . For “transparent” boundary conditions, whether or not there are super-radiant modes depends on our prescription of positive frequency. For those KN-AdS black holes having a globally time-like Killing vector, the natural definition of positive frequency leads only to non-super-radiant modes. Otherwise, the choice of positive frequency is ambiguous, with the analogue of the conventional choice in Kerr-Newman black holes leading to super-radiant modes (although there is another choice of positive frequency in which all modes are non-super-radiant, whereas in Kerr-Newman super-radiance is inevitable, whatever the choice of positive frequency). Section 6 contains our thoughts on the consequences of these results for quantum field theory.

## 2 Geometric structure of KN-AdS black holes

In Boyer-Lindquist-like co-ordinates the metric of the KN-AdS black hole takes the form

$`ds^2`$ $`=`$ $`{\displaystyle \frac{\mathrm{\Delta }_r}{\rho ^2}}\left[dt{\displaystyle \frac{a\mathrm{sin}^2\theta }{\mathrm{\Sigma }}}d\varphi \right]^2+{\displaystyle \frac{\rho ^2}{\mathrm{\Delta }_r}}dr^2+{\displaystyle \frac{\rho ^2}{\mathrm{\Delta }_\theta }}d\theta ^2`$ (1)
$`+{\displaystyle \frac{\mathrm{\Delta }_\theta \mathrm{sin}^2\theta }{\rho ^2}}\left[adt{\displaystyle \frac{r^2+a^2}{\mathrm{\Sigma }}}d\varphi \right]^2,`$
where

$`\rho ^2`$ $`=`$ $`r^2+a^2\mathrm{cos}^2\theta ,`$
$`\mathrm{\Sigma }`$ $`=`$ $`1{\displaystyle \frac{a^2}{l^2}},`$
$`\mathrm{\Delta }_r`$ $`=`$ $`\left(r^2+a^2\right)\left(1+{\displaystyle \frac{r^2}{l^2}}\right)2Mr+z^2,`$
$`\mathrm{\Delta }_\theta `$ $`=`$ $`1{\displaystyle \frac{a^2}{l^2}}\mathrm{cos}^2\theta .`$
Throughout this paper the metric has signature $`(,+,+,+)`$ and we use units in which $`G=c=1`$. The parameter $`a`$ describes the rotation (and vanishes for the Schwarzschild-AdS black hole), $`M`$ is the mass parameter and $`z^2`$ represents the total squared charge (i.e. the sum of the electric charge squared and the magnetic charge squared when both are present). This metric is a solution of the Einstein-Maxwell equations with a negative cosmological constant $`\mathrm{\Lambda }=3/l^2`$, and is valid only for $`a^2<l^2`$. The singular limit in which $`a^2l^2`$ has been considered by, for example, .

For values of the mass parameter $`M`$ above a critical value $`M_c`$, the function $`\mathrm{\Delta }_r`$ has two roots: $`r=r_+`$, which is the location of the outer (event) horizon, and $`r=r_{}`$. Given that $`\mathrm{\Delta }_r`$ is a quartic, there is no simple closed form expression for $`r_\pm `$, although it is straightforward to show that $`\mathrm{\Delta }_r`$ has only two positive real roots. If $`M<M_c`$, then $`\mathrm{\Delta }_r`$ has no zeros and there is a naked singularity, whilst for $`M=M_c`$, we have an extremal black hole. In this paper we shall assume that $`M>M_c`$ and concentrate on the geometry of the black hole exterior to the event horizon $`r=r_+`$. The event horizon has angular velocity $`\omega _+`$ given by

$$\omega _+=\frac{a\mathrm{\Sigma }}{r_+^2+a^2}.$$

These Boyer-Lindquist-like co-ordinates are the most convenient in which to find the scalar field mode solutions in the next section. It is clear from the form of the metric (1), how the Kerr-Newman geometry arises as the limit $`l\mathrm{}`$. However, the use of Boyer-Lindquist-like co-ordinates obscures the structure of the geometry at infinity. At infinity, the metric (1) describes anti-de Sitter space as seen by a rotating observer. This can most readily be seen by making the co-ordinate transformation :

$$T=t,\mathrm{\Phi }=\varphi +\frac{a}{l^2}t,y\mathrm{cos}\mathrm{\Theta }=r\mathrm{cos}\theta ,y^2=\frac{1}{\mathrm{\Sigma }}\left[r^2\mathrm{\Delta }_\theta +a^2\mathrm{sin}^2\theta \right].$$

A long but straightforward calculation shows that the most compact form for the metric components in these co-ordinates is:

$`g_{TT}`$ $`=`$ $`1{\displaystyle \frac{y^2}{l^2}}{\displaystyle \frac{\delta \mathrm{\Delta }_\theta ^2}{\rho ^2\mathrm{\Sigma }^2}},`$
$`g_{T\mathrm{\Phi }}`$ $`=`$ $`{\displaystyle \frac{a\delta \mathrm{\Delta }_\theta }{\rho ^2\mathrm{\Sigma }^2}}\mathrm{sin}^2\theta ,`$
$`g_{\mathrm{\Phi }\mathrm{\Phi }}`$ $`=`$ $`y^2\mathrm{sin}^2\mathrm{\Theta }{\displaystyle \frac{a^2\delta }{\rho ^2\mathrm{\Sigma }^2}}\mathrm{sin}^4\theta ,`$
$`g^{yy}`$ $`=`$ $`1+{\displaystyle \frac{y^2}{l^2}}+{\displaystyle \frac{\delta \mathrm{\Delta }_\theta ^2r^2}{\rho ^2\mathrm{\Sigma }^2y^2}},`$
$`g^{y\mathrm{\Theta }}`$ $`=`$ $`{\displaystyle \frac{a^2\delta \mathrm{\Delta }_\theta r}{\rho ^2\mathrm{\Sigma }^{3/2}y^3(r^2+a^2)^{1/2}}}\mathrm{sin}\theta \mathrm{cos}\theta ,`$
$`g^{\mathrm{\Theta }\mathrm{\Theta }}`$ $`=`$ $`{\displaystyle \frac{1}{y^2}}+{\displaystyle \frac{a^4\delta }{\rho ^2\mathrm{\Sigma }y^4(r^2+a^2)}}\mathrm{sin}^2\theta \mathrm{cos}^2\theta ,`$ (2)
where

$$\delta =2Mr+z^2,$$

and $`r`$ and $`\theta `$ are functions of $`y`$ and $`\mathrm{\Theta }`$. In these co-ordinates it becomes apparent that in the case $`M=0`$, $`z=0`$ (when $`\delta =0`$), the metric (1) is simply anti-de Sitter space as seen by a rotating observer, and also that, as $`r\mathrm{}`$ (which corresponds to $`y\mathrm{}`$) the geometry approaches anti-de Sitter space. The $`(T,y,\mathrm{\Theta },\mathrm{\Phi })`$ co-ordinates are therefore more physical and we will refer to them especially for interpreting the modes at infinity. However, due to the greater complexity of the metric (2), it will be easier to perform computations using $`(t,r,\theta ,\varphi )`$ co-ordinates and then transform to $`(T,y,\mathrm{\Theta },\mathrm{\Phi })`$ co-ordinates. The angular velocity of the event horizon in $`(T,y,\mathrm{\Theta },\mathrm{\Phi })`$ co-ordinates is

$$\mathrm{\Omega }_+=\omega _++\frac{a}{l^2}=\frac{a(1+r_+^2l^2)}{r_+^2+a^2}.$$

In a rotating black hole space-time, there are two surfaces (apart from the event horizon) of importance, especially for quantum field theory. They are the stationary limit surface and the velocity of light surface. The stationary limit surface is the surface where an observer can no longer remain stationary with respect to infinity, but is forced to rotate by the dragging of inertial frames near the event horizon. For the KN-AdS black hole, the stationary limit surface will be the surface on which the Killing vector $`\eta =/T`$ (which is time-like at infinity) becomes null. Using $`(T,y,\mathrm{\Theta },\mathrm{\Phi })`$ co-ordinates, it is straightforward to show that $`g_{TT}>0`$ at the event horizon, so that $`\eta `$ is space-like close to the event horizon. Therefore, for all KN-AdS black holes, there has to be a stationary limit surface and ergosphere.

The Killing vector generating the event horizon is

$$\zeta =\frac{}{T}+\mathrm{\Omega }_+\frac{}{\mathrm{\Phi }},$$

and the velocity of light surface (if it exists) is the surface outside the event horizon on which this vector becomes null. Outside the velocity of light surface, it is impossible for an observer to rigidly rotate with the same angular velocity as the event horizon. As $`y\mathrm{}`$,

$$g_{\tau \nu }\zeta ^\tau \zeta ^\nu =1\frac{y^2}{l^2}+\mathrm{\Omega }_+^2y^2\mathrm{sin}^2\mathrm{\Theta }+O(y^1).$$

Therefore, if $`\mathrm{\Omega }_+^2<l^2`$, the Killing vector $`\zeta `$ is time-like at infinity and there is no velocity of light surface . For these black holes possessing a globally time-like Killing vector, as we shall discuss in section 5, there is a natural definition of positive frequency for our classical scalar field modes, and we may anticipate the absence of super-radiance.

Our purpose in the present article is to compare the behaviour of classical scalar field modes in KN-AdS as opposed to ordinary Kerr-Newman black holes. It is therefore useful to sketch the Penrose diagram for the geometry outside the event horizon on the axis of symmetry, which is shown in figure 1 for both the KN-AdS and asymptotically flat Kerr-Newman black holes (cf. Ref. ). We also sketch the Penrose diagram for (the covering space of) anti-de Sitter space itself for comparison.

In the Penrose diagrams, $`^\pm `$ denote the future and past event horizons, whilst $`^\pm `$ are future and past null infinity for the Kerr-Newman black hole. For the KN-AdS black hole and anti-de Sitter space, infinity is time-like and denoted simply $``$. Corresponding Penrose diagrams for BTZ black holes in three-dimensional anti-de Sitter space may be found in , and for topological black holes in anti-de Sitter space in .

## 3 Classical scalar field modes

In this section we construct classical field modes for a scalar field with general coupling to the curvature. As is well known, for Kerr-Newman black holes in asymptotically flat space, classical super-radiance effects occur only for bosonic fields , although quantum super-radiance occurs for both bosonic and fermionic fields . Since our interest in this paper is classical super-radiance, we therefore need only consider a bosonic field, and we focus on a scalar field for simplicity. It is expected that the scalar field will exhibit all the subtleties associated with both the black hole’s rotation and the asymptotic structure of the space-time.

Therefore, we consider a general scalar field $`\mathrm{\Psi }`$ satisfying the equation

$$\left[_\nu ^\nu \xi R\mu ^2\right]\mathrm{\Psi }=0,$$
(3)
where $`R`$ is the Ricci scalar of the geometry, $`\xi `$ is a coupling constant and $`\mu `$ is the mass of the field. At this stage we make no assumptions about the mass $`\mu `$ or the value of the coupling constant $`\xi `$. For the KN-AdS geometry, $`R=12/l^2`$, so the equation (3) takes the form

$$\left[_\nu ^\nu \stackrel{~}{\mu }^2\right]\mathrm{\Psi }=0$$
(4)
where

$$\stackrel{~}{\mu }^2=\mu ^2\frac{12\xi }{l^2}$$

is an effective “mass squared” for the scalar field (although $`\stackrel{~}{\mu }^2`$ need not be positive, for example, for conformally coupled massless fields, $`\mu =0`$ and $`\xi =1/6`$, so that $`\stackrel{~}{\mu }^2=2/l^2<0`$). Note that, due to the constancy of the curvature of the geometry, models with different values of $`\xi `$ and $`\mu `$ can give rise to the same field equation (4). This ambiguity was considered in  for scalar fields in super-gravity on anti-de Sitter space.

The wave equation (4) separates in the Boyer-Lindquist-like co-ordinates $`(t,r,\theta ,\varphi )`$, so we consider solutions of the form

$$\mathrm{\Psi }(t,r,\theta ,\varphi )=e^{i\omega t}e^{im\varphi }F_{\omega lm}(r)G_{\omega lm}(\theta ).$$
(5)
For field modes in anti-de Sitter space, regularity of the modes at the origin implies that the frequency $`\omega `$ will take discrete values . For KN-AdS black holes, however, we do not need to impose regularity at the origin and so $`\omega `$ is continuous. The angular quantum number $`m`$ is required to be an integer, and $`l`$ is an integer labelling the angular eigenfunctions. When studying quantum field theory on Kerr-Newman black holes, it is conventional at this stage to define “positive frequency” by taking $`\omega >0`$ . However, at the moment we shall not fix the sign of $`\omega `$, and shall postpone a discussion of the appropriate definition of positive frequency until section 5.

The separated modes (5) give the following radial and angular equations:

$`0`$ $`=`$ $`\mathrm{\Delta }_r_r\left(\mathrm{\Delta }_r_rF_{\omega lm}(r)\right)`$
$`+\left\{\left[\left(r^2+a^2\right)\omega ma\mathrm{\Sigma }\right]^2K_{\omega lm}\mathrm{\Delta }_rr^2\stackrel{~}{\mu }^2\mathrm{\Delta }_r\right\}F_{\omega lm}(r),`$
$`0`$ $`=`$ $`\mathrm{\Delta }_\theta \mathrm{sin}\theta _\theta \left(\mathrm{\Delta }_\theta \mathrm{sin}\theta _\theta G_{\omega lm}(\theta )\right)`$
$`+\left\{K_{\omega lm}\mathrm{\Delta }_\theta \mathrm{sin}^2\theta \left(a\omega \mathrm{sin}^2\theta m\mathrm{\Sigma }\right)^2a^2\stackrel{~}{\mu }^2\mathrm{\Delta }_\theta \mathrm{sin}^2\theta \mathrm{cos}^2\theta \right\}G_{\omega lm},`$
where $`K_{\omega lm}`$ is a separation constant. Due to the $`\mathrm{\Delta }_\theta `$ terms, the angular equation (3) is more complex that that for the usual spheroidal harmonic functions . However, imposing regularity of $`G_{\omega lm}(\theta )`$ at $`\theta =0`$ and $`\pi `$ will give a discrete sequence of real eigenvalues $`K_{\omega lm}`$ which we label by the integer $`l=0,1,\mathrm{}`$ (which, unlike the case in asymptotically flat space, is not necessarily related to the angular quantum number $`m`$). We shall take the corresponding eigenfunctions to be real (as is the case for the spheroidal harmonics). Given a lack of a simple formula for the eigenvalues and eigenfunctions for ordinary spheroidal harmonics, we do not anticipate such a formula in the present situation. We will not consider the angular equation further in the present work, and shall focus on the radial equation. However, detailed study of the angular equation will be necessary for any complete computation of quantum field theory expectation values in KN-AdS.

The usual “tortoise” co-ordinate $`r^{}`$ for KN-AdS is defined by the equation

$$\frac{dr^{}}{dr}=\frac{r^2+a^2}{\mathrm{\Delta }_r}.$$

If we further define a new radial function $`\stackrel{~}{F}_{\omega lm}`$ by

$$F_{\omega lm}(r)=\left(r^2+a^2\right)^{1/2}\stackrel{~}{F}_{\omega lm}(r^{}),$$

then $`\stackrel{~}{F}_{\omega lm}(r^{})`$ satisfies the differential equation

$$_r^{}^2\stackrel{~}{F}_{\omega lm}(r^{})+\stackrel{~}{V}_{\omega lm}(r^{})\stackrel{~}{F}_{\omega lm}(r^{})=0,$$

where the potential $`\stackrel{~}{V}_{\omega lm}(r^{})`$ is given by

$`\stackrel{~}{V}_{\omega lm}(r^{})`$ $`=`$ $`\left[\omega {\displaystyle \frac{ma\mathrm{\Sigma }}{r^2+a^2}}\right]^2{\displaystyle \frac{3a^2\mathrm{\Delta }_r^2}{(r^2+a^2)^4}}{\displaystyle \frac{\mathrm{\Delta }_r}{(r^2+a^2)^2}}\left(K_{\omega lm}+r^2\stackrel{~}{\mu }^2\right)`$ (7)
$`+{\displaystyle \frac{\mathrm{\Delta }_r}{(r^2+a^2)^3}}\left(2a^22Mr+2z^2{\displaystyle \frac{2r^4}{l^2}}\right),`$
and $`r`$ is to be considered as a function of $`r^{}`$. The variable $`r^{}`$ is particularly useful for studying the structure of the geometry close to the event horizon (and constructing the Penrose diagram given in figure 1). At the event horizon,

$$\stackrel{~}{V}_{\omega lm}\stackrel{~}{\omega }^2=\left(\omega m\omega _+\right)^2,$$
(8)
so we get the usual ingoing and outgoing field modes at the event horizon:

$$\stackrel{~}{F}_{\omega lm}(r^{})e^{\pm i\stackrel{~}{\omega }r^{}}.$$
(9)
However, at infinity $`r\mathrm{}`$, the “tortoise” co-ordinate $`r^{}`$ approaches a finite value $`r_{\mathrm{}}^{}`$. Further, the potential $`\stackrel{~}{V}_{\omega lm}`$ diverges at infinity unless $`\stackrel{~}{\mu }^2=2/l^2`$. Some studies of the quasi-normal modes on asymptotically anti-de Sitter black holes (see, for example, ) have considered massless, minimally coupled scalar fields, for which $`\stackrel{~}{\mu }=0`$. Therefore, in that case, the potential is divergent at infinity and the boundary condition $`\stackrel{~}{F}_{\omega lm}0`$ as $`r^{}r_{\mathrm{}}^{}`$ was employed. For massless, conformally coupled scalar fields, whose quasi-normal modes were studied in  (see  for a summary of this work), $`\xi =1/6`$ and $`\mu =0`$, so that $`\stackrel{~}{\mu }^2=2/l^2`$ and the potential (7) remains finite at infinity. As commented in , in this case the potential most closely resembles that for black holes in asymptotically flat space.

In order to study the wave-like properties of the field modes at infinity, it is helpful to introduce another radial variable, $`R`$, which tends to infinity at both the event horizon and infinity, giving an infinite variable range. The simplest such co-ordinate is:

$$R=\mathrm{log}\left(rr_+\right).$$

If we define a new function $`f_{\omega lm}(R)`$ by

$$F_{\omega lm}(r)=\left(rr_+\right)^{1/2}\mathrm{\Delta }_r^{1/2}f_{\omega lm}(R),$$
(10)
then the governing differential equation is now

$$_R^2f_{\omega lm}(R)+V_{\omega lm}(R)f_{\omega lm}(R)=0,$$
(11)
where

$`V_{\omega lm}(R)`$ $`=`$ $`\left(rr_+\right)^2\mathrm{\Delta }_r^2\left[\left(r^2+a^2\right)\omega ma\mathrm{\Sigma }\right]^2K_{\omega lm}\left(rr_+\right)^2\mathrm{\Delta }_r^1`$
$`\stackrel{~}{\mu }^2r^2\left(rr_+\right)^2\mathrm{\Delta }_r^1{\displaystyle \frac{1}{4}}+{\displaystyle \frac{1}{4}}\left(rr_+\right)^2\mathrm{\Delta }_r^2\left({\displaystyle \frac{d\mathrm{\Delta }_r}{dr}}\right)^2`$
$`{\displaystyle \frac{1}{2}}\left(rr_+\right)^2\mathrm{\Delta }_r^1{\displaystyle \frac{d^2\mathrm{\Delta }_r}{dr^2}}.`$
Near the event horizon, as $`R\mathrm{}`$,

$$V_{\omega lm}\left(\frac{d\mathrm{\Delta }_r}{dr}\right)^2\left(r_+^2+a^2\right)^2\stackrel{~}{\omega }^2=\mathrm{\Omega }^2,$$
(12)
giving $`f_{\omega lm}e^{\pm i\mathrm{\Omega }R}`$, in agreement with the ingoing and outgoing waves (9). At infinity, $`R\mathrm{}`$, the potential $`V_{\omega lm}`$ remains finite for all values of the coupling constants, which is the main advantage of this choice of co-ordinate. We have

$$V_{\omega lm}\frac{9}{4}\stackrel{~}{\mu }^2l^2.$$

The form of the mode solutions at infinity therefore depends on the effective “mass-squared” $`\stackrel{~}{\mu }^2`$ (which, recall, need not be positive). If $`\stackrel{~}{\mu }^2<9/4l^2`$ (hereafter referred to as “case 1”), then $`V_{\omega lm}+q^2`$ at infinity, where $`q`$ is real, and

$$f_{\omega lm}(R)e^{\pm iqR}.$$

On the other hand, if $`\stackrel{~}{\mu }^2>9/4l^2`$, (“case 2”) we have $`V_{\omega lm}q^2`$ (with $`q`$ again real), so that

$$f_{\omega lm}(R)e^{\pm qR}.$$

At this stage it is useful to compare the form of our field modes with those studied by other authors on anti-de Sitter space . There has recently been a revival in the study of field modes on anti-de Sitter space due to the AdS/CFT correspondence, according to which field modes in the bulk correspond to either source terms or states in the boundary theory, depending on whether the modes are non-normalizable or normalizable, respectively . In case 1, the radial function $`F_{\omega lm}(r)`$ behaves like $`r^{3/2}`$ at infinity, and all modes are well-behaved at infinity and normalizable. In case 2, the behaviour of the radial function at infinity is:

$$F_{\omega lm}^\pm r^{3/2\pm q}$$
(13)
where

$$q^2=\frac{9}{4}+\stackrel{~}{\mu }^2l^2>0.$$

If $`\stackrel{~}{\mu }<0`$, then both modes tend to zero at infinity, although only $`F_{\omega lm}^{}`$ is normalizable if $`q>1/2`$ (which corresponds to $`\stackrel{~}{\mu }^2l^2>2`$). If $`\stackrel{~}{\mu }0`$, then only $`F_{\omega lm}^{}`$ vanishes at infinity, the other mode diverging. It can be checked that the leading behaviour (13) is in agreement with that of the modes in  for massless conformally coupled scalar fields (when $`\stackrel{~}{\mu }^2l^2=2`$). For massless, minimally coupled, fields (such as considered in ), $`\stackrel{~}{\mu }=0`$ and only the $`F_{\omega lm}^{}`$ mode vanishes at infinity.

## 4 Boundary conditions and basis modes

In this section we shall construct sets of basis modes for our classical scalar field, subject to appropriate boundary conditions at the event horizon and infinity. By “basis modes”, we mean that the general classical solution of the field equation (3) at each point in the geometry can be written as a linear combination of the sets of the modes we shall give below. Given that anti-de Sitter space is non-globally hyperbolic, we do not address the more difficult question of whether providing initial conditions for the field on some surface will uniquely control the evolution of the field through the rest of the space-time. We shall return to this question in a subsequent article when we consider quantum states on KN-AdS.

The analysis of the field modes near the event horizon is straightforward. All modes have the form

$$f_{\omega lm}(R)=A_{\omega lm}e^{i\mathrm{\Omega }R}+B_{\omega lm}e^{i\mathrm{\Omega }R},$$
(14)
with the component proportional to $`A_{\omega lm}`$ corresponding to flux coming up out of the past event horizon $`^{}`$ and the component proportional to $`B_{\omega lm}`$ corresponding to flux going down the future event horizon $`^+`$.

The key factor in any study of fields on anti-de Sitter space is the choice of boundary conditions at infinity. To understand the options, we first write the general solution to the radial equation (11) as $`R\mathrm{}`$ as follows:

* Case 1: $`\stackrel{~}{\mu }^2<9/4l^2`$

$$f_{\omega lm}(R)=C_{\omega lm}e^{iqR}+D_{\omega lm}e^{iqR},$$
(15)
* Case 2: $`\stackrel{~}{\mu }^2>9/4l^2`$

$$f_{\omega lm}(R)=\frac{1}{\sqrt{2}}C_{\omega lm}\left(e^{qR}ie^{qR}\right)+\frac{1}{\sqrt{2}}D_{\omega lm}\left(e^{qR}+ie^{qR}\right),$$
(16)

where, in both cases, $`q`$ is real and positive, and $`C_{\omega lm}`$ and $`D_{\omega lm}`$ are complex constants.

In order to interpret these modes, we calculate the radial flux at infinity in each case. Since we are considering behaviour at infinity, the appropriate co-ordinates are $`(T,y,\mathrm{\Theta },\mathrm{\Phi })`$ and the radial flux is given by

$$j^y=ig^{yy}\left(\overline{\mathrm{\Psi }}_y\mathrm{\Psi }\mathrm{\Psi }_y\overline{\mathrm{\Psi }}\right),$$

where we use a bar to denote complex conjugate. For our separable wave modes (5), using the chain rule, the reality of the angular functions $`G_{\omega lm}(\theta )`$ and the form of the radial function $`F_{\omega lm}(r)`$ (10), the radial flux is now

$$j^y=\frac{ir(r^2+a^2)}{\rho ^2y}\left(1+\frac{y^2}{l^2}\right)G_{\omega lm}^2(\theta )\mathrm{\Delta }_r^1\left(\overline{f}(R)f^{}(R)f(R)\overline{f}^{}(R)\right).$$

Therefore, we need to calculate $`\overline{f}(R)f^{}(R)f(R)\overline{f}^{}(R)`$ for the two cases given above. The result is identical for the two cases:

$$\overline{f}(R)f^{}(R)f(R)\overline{f}^{}(R)=2iq\left(|C_{\omega lm}|^2|D_{\omega lm}|^2\right).$$

An outgoing flux of particles will correspond to a positive $`j^y`$, so, in each case, the modes with coefficients $`C_{\omega lm}`$ represent outgoing flux, while those with coefficients $`D_{\omega lm}`$ represent incoming flux. This is in accord with our expectations for those modes which have a wave-like form $`e^{\pm iqR}`$ at infinity. However, we have shown that linear combinations of those modes with behaviour $`e^{\pm qR}`$ at infinity also have an incoming/outgoing wave interpretation. This is confirmed by calculating the flux of energy and angular momentum for the modes at infinity. In each case, the $`C_{\omega lm}`$ parts give an outgoing flux of both energy and angular momentum, while the $`D_{\omega lm}`$ parts represent incoming energy and angular momentum.

The crucial first step in studying quantum field theory in curved space is the definition of appropriate basis field modes. Our goal in the present article is the construction of such modes. This depends critically on the boundary conditions we impose on the field at infinity. On anti-de Sitter space, a consistent quantum field theory can be formulated for two different boundary conditions on the modes at infinity , namely “transparent” and “reflective”. Ref.  considers only a conformally coupled scalar field, but the concepts apply equally well to the general coupling we are considering here.

“Reflective” boundary conditions correspond to an absence of flux across infinity. In our situation, this means that we must have $`|C_{\omega lm}|=|D_{\omega lm}|`$ in either (15) or (16), as applicable. Linearly independent sets of basis modes may be constructed by taking, firstly $`C_{\omega lm}=D_{\omega lm}`$ and secondly $`C_{\omega lm}=D_{\omega lm}`$. Thus there are two sets of modes, corresponding to this choice of sign for $`C_{\omega lm}`$. This is because there are two boundary conditions which lead to zero flux across infinity: Dirichlet (in which the field itself vanishes at the boundary) and Neumann (where the derivative of the field vanishes).

The natural basis modes in this case are therefore defined by, in case 1,

$`f_{\omega lm}^1(R)`$ $``$ $`\{\begin{array}{cc}e^{i\mathrm{\Omega }R}+B_{\omega lm}^1e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ \stackrel{~}{C}_{\omega lm}\mathrm{cos}(qR)\hfill & \text{as }R\mathrm{}\text{,}\hfill \end{array}`$
$`f_{\omega lm}^2(R)`$ $``$ $`\{\begin{array}{cc}e^{i\mathrm{\Omega }R}+B_{\omega lm}^2e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ \stackrel{~}{D}_{\omega lm}\mathrm{sin}(qR)\hfill & \text{as }R\mathrm{}\text{,}\hfill \end{array}`$
and, in case 2,

$`f_{\omega lm}^1(R)`$ $``$ $`\{\begin{array}{cc}e^{i\mathrm{\Omega }R}+B_{\omega lm}^1e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ \frac{1}{\sqrt{2}}\stackrel{~}{C}_{\omega lm}e^{qR}\hfill & \text{as }R\mathrm{}\text{,}\hfill \end{array}`$
$`f_{\omega lm}^2(R)`$ $``$ $`\{\begin{array}{cc}e^{i\mathrm{\Omega }R}+B_{\omega lm}^2e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ \frac{1}{\sqrt{2}}\stackrel{~}{D}_{\omega lm}e^{qR}\hfill & \text{as }R\mathrm{}\text{.}\hfill \end{array}`$
In both cases 1 and 2, the modes $`f_{\omega lm}^1`$ arise from the choice $`C_{\omega lm}=D_{\omega lm}`$ (with $`\stackrel{~}{C}_{\omega lm}=2C_{\omega lm}`$) and the modes $`f_{\omega lm}^2`$ from $`C_{\omega lm}=D_{\omega lm}`$ (with $`\stackrel{~}{D}_{\omega lm}=2iC_{\omega lm}`$).

In each case, both sets of modes $`f_{\omega lm}^1`$ and $`f_{\omega lm}^2`$ represent unit flux coming up out of the past event horizon $`^{}`$, being completely reflected at infinity $``$ and going back down the future event horizon $`^+`$. Note that we do not rule out a change of phase on reflection, so $`B_{\omega lm}^i`$ does not necessarily equal $`1`$ for $`i=1,2`$. These modes are sketched on the Penrose diagram of KN-AdS in figure 2.

“Transparent” boundary conditions allow flux to escape through time-like infinity. These boundary conditions allow the flow of information through time-like infinity, which needs to be carefully considered if one is interested in quantum states on this background. However, our purposes here are purely classical, and, furthermore, we do not address the difficult issue of how the field evolves in time, and whether such evolution can be fixed by some initial data (given that anti-de Sitter space does not possess a global Cauchy surface). At the same time, these “transparent” boundary conditions are the analogue for asymptotically anti-de Sitter black holes of the usual behaviour of basis field modes on asymptotically flat space-times (where, in general, particles escape to null infinity), and so may be most pertinent if when we subsequently come to consider the construction of appropriate quantum states on KN-AdS. We therefore follow the practice in Kerr space-time  and define “in” and “up” modes as follows: in case 1,

$`f_{\omega lm}^{in}`$ $``$ $`\{\begin{array}{cc}B_{\omega lm}^{in}e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ e^{iqR}+C_{\omega lm}^{in}e^{iqR}\hfill & \text{as }R\mathrm{}\text{,}\hfill \end{array}`$
$`f_{\omega lm}^{up}`$ $``$ $`\{\begin{array}{cc}e^{i\mathrm{\Omega }R}+B_{\omega lm}^{up}e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ C_{\omega lm}^{up}e^{iqR}\hfill & \text{as }R\mathrm{}\text{,}\hfill \end{array}`$
and in case 2,

$`f_{\omega lm}^{in}`$ $``$ $`\{\begin{array}{cc}B_{\omega lm}^{in}e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ \frac{1}{\sqrt{2}}(e^{qR}+ie^{qR})+\frac{1}{\sqrt{2}}C_{\omega lm}^{in}(e^{qR}ie^{qR})\hfill & \text{as }R\mathrm{}\text{,}\hfill \end{array}`$
$`f_{\omega lm}^{up}`$ $``$ $`\{\begin{array}{cc}e^{i\mathrm{\Omega }R}+B_{\omega lm}^{up}e^{i\mathrm{\Omega }R}\hfill & \text{as }R\mathrm{}\text{,}\hfill \\ \frac{1}{\sqrt{2}}C_{\omega lm}^{up}(e^{qR}ie^{qR})\hfill & \text{as }R\mathrm{}\text{,}\hfill \end{array}`$
In both cases, the $`f_{\omega lm}^{in}`$ modes represent unit incoming flux from infinity, which is partly reflected back to infinity and partly goes down the future event horizon $`^+`$. The $`f_{\omega lm}^{up}`$ modes correspond to unit flux coming up from the past event horizon $`^{}`$, which is partially reflected back down the future event horizon $`^+`$ and partially transmitted to infinity. These modes are sketched in figure 3 (compare  for the corresponding modes in Kerr-Newman space-time).

## 5 Definition of positive frequency and classical super-radiance

We are now in a position to discuss whether classical scalar field modes in KN-AdS exhibit super-radiance phenomena. For the moment we consider a very general field mode, having behaviour at the event horizon given by (14), and whose form at infinity is given by either (15) or (16), as applicable. If $`f_1`$ and $`f_2`$ are solutions of the radial equation (11), then the Wronskian

$$f_1^{}(R)\overline{f}_2(R)\overline{f}_2^{}(R)f_1(R)$$

will be constant. Setting $`f_2=f_1=f_{\omega lm}`$, we arrive at the relation:

$$\mathrm{\Omega }\left(\left|A_{\omega lm}\right|^2\left|B_{\omega lm}\right|^2\right)=q\left(\left|C_{\omega lm}\right|^2\left|D_{\omega lm}\right|^2\right).$$
(25)
We should stress at this stage, that, in contrast to the corresponding equation for scalar field modes in Kerr-Newman space-time , here $`q`$ is by definition always positive and, furthermore, it is a constant for all field modes, depending only on the coupling constants of our original model (see section 3). We now apply equation (25) to each of our sets of basis modes.

Firstly, for modes defined by “reflective” boundary conditions at infinity, $`|C_{\omega lm}|=|D_{\omega lm}|`$, so the right hand side of (25) vanishes. Thus, for these modes (which were defined with $`A_{\omega lm}=1`$), it must be the case that $`|B_{\omega lm}|=1`$. This is in agreement with conservation of flux, as there is no flux of particles across $``$, so the flux emitted from $`^{}`$ is entirely reflected back down $`^+`$. Note that it is not necessarily the case that $`B_{\omega lm}=1`$ as there may be a phase shift on reflection at infinity. We conclude that, for a field subject to “reflective” boundary conditions at infinity, there is no classical super-radiance. This is in complete accord with the energy argument of Ref. , who showed that for matter satisfying the dominant energy condition, and “reflective” boundary conditions, there has to be a net flux of energy down the event horizon.

Secondly, we consider modes defined by “transparent” boundary conditions. For “in” modes, $`A_{\omega lm}^{in}=0`$, $`D_{\omega lm}^{in}=1`$ and the relation (25) takes the form:

$$\mathrm{\Omega }\left|B_{\omega lm}^{in}\right|^2=q\left(\left|C_{\omega lm}^{in}\right|^21\right).$$

Therefore, for modes with $`\mathrm{\Omega }<0`$, we have $`|C_{\omega lm}^{in}|>1`$, in other words, the flux transmitted out to infinity is greater than the flux incoming from infinity. Similarly, for “up” modes, $`D_{\omega lm}^{up}=0`$ and $`A_{\omega lm}^{up}=1`$, giving

$$\mathrm{\Omega }\left(1\left|B_{\omega lm}^{up}\right|^2\right)=q\left|C_{\omega lm}^{up}\right|^2.$$

In this case we have $`|B_{\omega lm}^{up}|>1`$ for modes with $`\mathrm{\Omega }<0`$, that is, the flux reflected back down $`^+`$ is greater than that coming up out of $`^{}`$. In conclusion, for modes defined with “transparent” boundary conditions at infinity, we have classical super-radiance if $`\mathrm{\Omega }<0`$.

However, we need at this stage to address the question of whether $`\mathrm{\Omega }`$ can be negative in practice. This is closely tied to the definition of positive frequency (which we have side-stepped until now). For rotating black hole geometries, the question of positive frequency is a rather thorny one, and its resolution is one of the reasons that quantum field theory in Kerr-Newman black holes is so much more complex than for Schwarzschild (or Reissner-Nordström) black holes (see, for example,  and references therein for some discussion of this problem). The crux of the problem is the lack of a globally time-like Killing vector, which means that a decision has to be made on the location in the geometry of a locally stationary observer who we wish to see only positive frequency modes. In Kerr-Newman, the convention is to take “in” modes to have positive frequency with respect to a locally non-rotating observer (LNRO, also referred to as a zero angular momentum observer (ZAMO) by some authors, for example,  or a fiducial observer (FIDO) in other texts, such as ) at infinity (the “distant observer” viewpoint ), and “up” modes to have positive frequency as measured by an LNRO close to the event horizon (the “near-horizon observer” viewpoint ). If we apply this definition of positive frequency in our case, then the time-like Killing vector for an LNRO at infinity is $`/T`$ rather than $`/t`$. Therefore we require our “in” modes $`\mathrm{\Psi }_{\omega lm}^{in}`$ to be such that

$$\frac{}{T}\mathrm{\Psi }_{\omega lm}^{in}=W\mathrm{\Psi }_{\omega lm}^{in}$$

where $`W`$ should be positive. Using the separation of the field modes (5) we find that

$$W=\omega +\frac{am}{l^2}>0.$$

Therefore it is possible, with this scheme, to have “in” modes for which $`W>0`$ but $`\mathrm{\Omega }<0`$, and therefore these modes will exhibit super-radiance. For the “up” modes, it is conventional to take $`\stackrel{~}{\omega }`$ (see equation (8)) to be positive. In Kerr-Newman space-time, there are super-radiant “up” modes when $`\omega <0`$ but $`\stackrel{~}{\omega }>0`$. However, in this case there are no super-radiant “up” modes if we define $`\stackrel{~}{\omega }>0`$, as $`q`$ is always positive. This reveals how the presence or absence of super-radiant modes is dependent in KN-AdS on the definition of positive frequency, whereas for Kerr-Newman black holes super-radiant modes are inevitable whatever the choice of positive frequency. Indeed, in KN-AdS we could reasonably define positive frequency for “in” modes with respect to an observer near the event horizon rather than an observer at infinity. In this case there would be no super-radiant “in” modes either. However, for general KN-AdS black holes it is by no means obvious from the physical point of view that this is a reasonable strategy.

On the other hand, for a certain class of KN-AdS black holes there is a globally time-like Killing vector. As outlined in section 2, providing the angular velocity of the event horizon in $`(T,y,\mathrm{\Theta },\mathrm{\Phi })`$ co-ordinates does not exceed $`l^2`$, the Killing vector $`\zeta `$ which is null on the event horizon is time-like everywhere outside the event horizon. In this situation the question of how to define positive frequency has a natural resolution: we require all field modes $`\mathrm{\Psi }_{\omega lm}`$ to be such that $`\zeta \mathrm{\Psi }_{\omega lm}=\stackrel{~}{W}\mathrm{\Psi }_{\omega lm}`$ where $`\stackrel{~}{W}>0`$. Direct calculation reveals that $`\stackrel{~}{W}`$ is in fact $`\stackrel{~}{\omega }`$, so we require that $`\stackrel{~}{\omega }`$ and hence $`\mathrm{\Omega }`$ (see equation (12)) be positive for all field modes. Therefore there are no super-radiant modes for these KN-AdS black holes.

We may summarize the results of this section as follows. The presence or absence of super-radiant modes in KN-AdS depends on two factors: the boundary conditions at infinity and our definition of positive frequency modes. There are two possible boundary conditions at infinity. Firstly, “reflective” boundary conditions lead to modes which exhibit no super-radiance, regardless of our definition of positive frequency or the rotation of the black hole. For “transparent” boundary conditions, there is a choice of positive frequency which rules out super-radiant modes. This choice is the natural one for KN-AdS geometries having a globally time-like Killing vector. However, if there is no globally time-like Killing vector, then the choice of positive frequency is ambiguous and super-radiance is possible.

## 6 Conclusions

The main result of this article is that classical super-radiance is not inevitable for KN-AdS black holes, unlike the situation for rotating black holes in asymptotically flat space. This result is a little surprising given that all KN-AdS black holes have an ergosphere, although energy considerations  have suggested that those KN-AdS black holes possessing a globally time-like Killing vector are classically stable.

There are two key properties of classical field modes in KN-AdS as far as super-radiance is concerned: the boundary conditions at infinity and the definition of positive frequency. Both these factors are anticipated to be important in quantum field theory studies. We have shown that using “reflective” boundary conditions (that is, Dirichlet or Neumann boundary conditions) at infinity, for all KN-AdS black hole super-radiance is absent. Using “transparent” boundary conditions, however, the situation depends on the choice of positive frequency. For those KN-AdS black holes having a globally time-like Killing vector, the natural definition of positive frequency implies that there are no super-radiant modes. For other KN-AdS black holes, there is a choice of positive frequency for which super-radiance is absent. This is to be contrasted with the situation for Kerr-Newman black holes in asymptotically flat space, where super-radiance occurs regardless of the definition of positive frequency.

Along the way, we have constructed sets of basis field modes (for both boundary conditions at infinity) which will be useful for studying quantum field theory on KN-AdS. This will be the subject of further work. However, we are encouraged by the results of this paper, since the absence of super-radiance for the cases outlined above removes one of the difficulties of studying quantum field theory on rotating black hole geometries. The next step will be to investigate whether the quantum analogue of super-radiance  is present for fields on KN-AdS, given that, for asymptotically flat Kerr-Newman black holes, fermion fields do not classically super-radiate but the quantum spontaneous emission process does occur.

One might hope that quantum field theory will be more straightforward on those KN-AdS black holes having a globally time-like Killing vector, since there is a natural definition of positive frequency. Since these black holes do not have a velocity of light surface, it might even be possible to define a regular Hartle-Hawking state. It is well known that ordinary Kerr-Newman black holes do not possess a Hartle-Hawking state , and it is an elementary consequence of the conservation equations that any thermal state which rotates rigidly with the angular velocity of the event horizon must be divergent at the velocity of light surface . This proof breaks down in the absence of a velocity of light surface, although showing that a Hartle-Hawking state can be defined will not be a straightforward problem. In the current paper, we have not addressed the difficult question, fundamental to the construction of quantum states, of how to define appropriate initial data for the field, given that anti-de Sitter space is not globally-hyperbolic. Studies on Kerr black holes  have revealed some of the difficulties of trying to define quantum states by the behaviour of the field on a surface which is not a Cauchy surface for the geometry (as happens, for example, when attempting to define the Hartle-Hawking state). These subtleties are anticipated to be more complex when dealing with asymptotically anti-de Sitter black holes, and will be studied in detail in the future.

## Acknowledgements

We would like to thank Robert Mann, Vitor Cardoso, José Lemos and Bin Wang for helpful comments and bringing a number of references to our attention.


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# Local Duality Predictions for 𝑥∼1 Structure Functions

## Abstract

Recent data on the proton $`F_2`$ structure function in the resonance region suggest that local quark-hadron duality works remarkably well for each of the low-lying resonances, including the elastic, to rather low values of $`Q^2`$. We derive model-independent relations between structure functions at $`x1`$ and elastic electromagnetic form factors, and predict the $`x1`$ behavior of nucleon polarization asymmetries and the neutron to proton structure function ratios from available data on nucleon electric and magnetic form factors.

preprint:   ADP-00-13/T397 JLAB-THY-00-08

The nucleon’s deep-inelastic structure functions and elastic form factors parameterize fundamental information about its quark substructure. Both reflect dynamics of the internal quark wave functions describing the same physical ground state, albeit in different kinematic regions. Recent work on generalized parton distributions  has provided a unifying framework within which both form factors and structure functions can be simultaneously embedded.

Exploration of the structure function—form factor interface is actually as old as the first deep-inelastic scattering experiments themselves. In the early 1970s the inclusive–exclusive connection was studied in the context of deep-inelastic scattering in the resonance region and the onset of scaling behavior. In their pioneering work, Bloom and Gilman  observed that the inclusive $`F_2`$ structure function at low $`W`$ generally follows a global scaling curve which describes high $`W`$ data, to which the resonance structure function averages. Furthermore, the equivalence of the averaged resonance and scaling structure functions appears to hold for each resonance, over restricted regions in $`W`$, so that the resonance—scaling duality also exists locally.

More recently, high precision data on the $`F_2`$ structure function from Jefferson Lab  have confirmed the original observations of Bloom and Gilman, demonstrating that local duality works remarkably well for each of the low-lying resonances, including surprisingly the elastic, to rather low values of $`Q^2`$. In the context of the operator product expansion in QCD, the existence of Bloom-Gilman duality can be attributed to the small size of higher twist ($`1/Q^2`$ suppressed) contributions to the structure function. In this Letter we examine local duality for the elastic case more closely, and derive model-independent relations between structure functions at $`x1`$ and elastic electromagnetic form factors. Using the most recent data on the nucleon electric and magnetic form factors, we apply local duality to make quantitative predictions for the asymptotic behavior of unpolarized and polarized structure function ratios.

To illustrate the interplay between resonances and scaling functions, one can observe  that (in the narrow resonance approximation) if the contribution of a resonance of mass $`M_R`$ to the $`F_2`$ structure function at large $`Q^2`$ is given by $`F_2^{(R)}=2M\nu \left(G_R(Q^2)\right)^2\delta (W^2M_R^2)`$, then a form factor behavior $`G_R(Q^2)(1/Q^2)^n`$ translates into a scaling function $`F_2^{(R)}(1x_R)^{2n1}`$, where $`x_R=Q^2/(M_R^2M^2+Q^2)`$. On purely kinematical grounds, therefore, the resonance peak at $`x_R`$ does not disappear with increasing $`Q^2`$, but rather moves towards $`x=1`$.

For elastic scattering, the connection between the $`1/Q^2`$ power of the elastic form factors at large $`Q^2`$ and the $`x1`$ behavior of structure functions was first established by Drell and Yan  and West . More recently, interest in large-$`x`$ structure functions has arisen in connection with the polarization asymmetry $`A_1=g_1/F_1`$, and the $`F_2^n/F_2^p`$ ratio, whose $`x1`$ limits reflect mechanisms for the breaking of spin-flavor SU(6) symmetry in the nucleon .

If the inclusive–exclusive connection via local duality is taken seriously, one can use measured structure functions in the resonance region at large $`x`$ to directly extract elastic form factors . Conversely, empirical electromagnetic form factors at large $`Q^2`$ can be used to predict the $`x1`$ behavior of deep-inelastic structure functions . To quantify this connection, we begin by noting that the elastic contributions to the inclusive spin-averaged structure functions can be expressed through electric and magnetic form factors as :

$`F_1^{\mathrm{el}}`$ $`=`$ $`M\tau G_M^2\delta \left(\nu {\displaystyle \frac{Q^2}{2M}}\right),`$ (2)
$`F_2^{\mathrm{el}}`$ $`=`$ $`{\displaystyle \frac{2M\tau }{1+\tau }}\left(G_E^2+\tau G_M^2\right)\delta \left(\nu {\displaystyle \frac{Q^2}{2M}}\right),`$ (3)
where $`\tau =Q^2/4M^2`$, while for spin-dependent structure functions :

$`g_1^{\mathrm{el}}`$ $`=`$ $`{\displaystyle \frac{M\tau }{1+\tau }}G_M\left(G_E+\tau G_M\right)\delta \left(\nu {\displaystyle \frac{Q^2}{2M}}\right),`$ (4)
$`g_2^{\mathrm{el}}`$ $`=`$ $`{\displaystyle \frac{M\tau ^2}{1+\tau }}G_M\left(G_EG_M\right)\delta \left(\nu {\displaystyle \frac{Q^2}{2M}}\right).`$ (5)
Following de Rújula et al. , one can integrate Eq.(Local Duality Predictions for $`x1`$ Structure Functions) over the targer-mass corrected scaling variable $`\xi =2x/(1+\sqrt{1+x^2/\tau })`$ between the pion threshold and 1, allowing the “localized” moments of scaling functions to be expressed in terms of elastic form factors. The assumption of local elastic duality is that the area under the elastic peak (given by integrating the right hand side of Eq.(Local Duality Predictions for $`x1`$ Structure Functions) at a given $`Q^2`$) is the same as the area under the scaling function (at much larger $`Q^2`$) when integrated from the pion threshold to the elastic point . Using the local duality hypothesis, de Rújula et al. , and more recently Niculescu et al. , extracted the proton’s $`G_M`$ form factor (assuming that the ratio $`G_E/G_M`$ is sufficiently constrained) from resonance data on the $`F_2`$ structure function at large $`\xi `$, finding better than $`30\%`$ agreement over a large range of $`Q^2`$.

Applying the argument in reverse, one can formally differentiate the local elastic duality relation  with respect to $`Q^2`$ to express the scaling functions, evaluated at threshold, in terms of $`Q^2`$ derivatives of elastic form factors:

$`F_1(x=x_{\mathrm{th}})`$ $`=`$ $`\beta {\displaystyle \frac{dG_M^2}{dQ^2}},`$ (7)
$`F_2(x=x_{\mathrm{th}})`$ $`=`$ $`\beta \left\{{\displaystyle \frac{G_M^2G_E^2}{2M^2(1+\tau )^2}}+{\displaystyle \frac{2}{1+\tau }}\left({\displaystyle \frac{dG_E^2}{dQ^2}}+\tau {\displaystyle \frac{dG_M^2}{dQ^2}}\right)\right\}`$ (8)
$``$ $`2\beta {\displaystyle \frac{dG_M^2}{dQ^2}}\mathrm{as}\tau \mathrm{},`$ (9)
$`g_1(x=x_{\mathrm{th}})`$ $`=`$ $`\beta \left\{{\displaystyle \frac{G_M\left(G_MG_E\right)}{4M^2(1+\tau )^2}}+{\displaystyle \frac{1}{1+\tau }}\left({\displaystyle \frac{d(G_EG_M)}{dQ^2}}+\tau {\displaystyle \frac{dG_M^2}{dQ^2}}\right)\right\}`$ (10)
$``$ $`\beta {\displaystyle \frac{dG_M^2}{dQ^2}}\mathrm{as}\tau \mathrm{},`$ (11)
$`g_2(x=x_{\mathrm{th}})`$ $`=`$ $`\beta \left\{{\displaystyle \frac{G_M\left(G_EG_M\right)}{4M^2(1+\tau )^2}}+{\displaystyle \frac{\tau }{1+\tau }}\left({\displaystyle \frac{d(G_EG_M)}{dQ^2}}{\displaystyle \frac{dG_M^2}{dQ^2}}\right)\right\}`$ (12)
$``$ $`\beta {\displaystyle \frac{d}{dQ^2}}(G_EG_MG_M^2)\mathrm{as}\tau \mathrm{},`$ (13)
where $`x_{\mathrm{th}}=Q^2/(W_{\mathrm{th}}^2M^2+Q^2)`$, with $`W_{\mathrm{th}}=M+m_\pi `$, corresponds to the pion production threshold, and the kinematic factor $`\beta =(Q^4/M^2)(\xi _0^2/\xi ^3)(2\xi /x)/(2\xi _04)`$. It is interesting to observe that asymptotically in the $`Q^2\mathrm{}`$ limit each of the structure functions $`F_1`$, $`F_2`$ and $`g_1`$ is determined by the slope of the square of the magnetic form factor, while $`g_2`$ (which in deep-inelastic scattering is associated with higher twists) is determined by a combination of $`G_E`$ and $`G_M`$.

The interpretation of the relations in Eq.(Local Duality Predictions for $`x1`$ Structure Functions) follows that given by Bloom & Gilman in the context of finite-energy sum rules . Formulated originally by Dolen, Horn and Schmid  for hadron scattering, finite-energy sum rules relate resonance structure functions at finite $`Q^2`$, averaged over appropriate intervals in $`W`$ (or $`\nu `$), to smooth scaling functions, such as those measured in the deep-inelastic region at much larger $`Q^2`$, which (modulo perturbative $`\mathrm{log}Q^2`$ corrections) depend on $`x`$ only. For local elastic duality, the relevant interval over which the structure functions are averaged is between the pion production threshold at $`x=x_{\mathrm{th}}`$ and the elastic point, $`x=1`$. Clearly, in the sub-threshold region the only contribution is from elastic scattering, which is given entirely by the elastic form factors on the right hand side of Eq.(Local Duality Predictions for $`x1`$ Structure Functions).

Differentiating the finite-energy sum rule relations for the elastic case , local duality then allows one to equate the right hand side of Eq.(Local Duality Predictions for $`x1`$ Structure Functions), which represents the elastic contribution to the structure functions at finite $`Q^2`$, with the left hand side, which corresponds to structure functions in the scaling region. Aside from perturbative QCD corrections, in the scaling region the latter are functions only of $`x`$.

The scaling functions on the left hand side of Eq.(Local Duality Predictions for $`x1`$ Structure Functions) are evaluated at $`x=x_{\mathrm{th}}`$, with $`x_{\mathrm{th}}`$ corresponding to the particular value of $`Q^2`$ on the right hand side of (Local Duality Predictions for $`x1`$ Structure Functions) . However, since the results in the scaling limit are $`Q^2`$ independent, the predictions are also valid for $`x>x_{\mathrm{th}}`$. Note that in the limit $`Q^2\mathrm{}`$ the location of the pion threshold $`x_{\mathrm{th}}1`$, and the kinematic factor $`\beta Q^4/(2\xi _0M^2)`$. In this limit one can explicitly verify that the right hand side of (Local Duality Predictions for $`x1`$ Structure Functions) gives the correct asymptotic behavior of the structure functions as $`x1`$. If $`G_M(Q^2)(1/Q^2)^n`$ at large $`Q^2`$, then the right hand sides of (Local Duality Predictions for $`x1`$ Structure Functions) must scale like $`(1/Q^2)^{2n1}`$. At fixed $`W`$, since $`(1x)`$ behaves like $`1/Q^2`$, the $`x`$ dependence of the scaling functions at large $`x`$ is $`(1x)^{2n1}`$, as required by the asymptotic scaling laws .

Equation (Local Duality Predictions for $`x1`$ Structure Functions) allows the large-$`x`$ behavior of structure functions to be predicted from empirical electromagnetic form factors. Of particular interest is the $`x1`$ behavior of the polarization asymmetry, $`A_1`$, which at large $`Q^2`$ is given by the ratio of spin-dependent to spin-averaged structure functions, $`A_1=g_1/F_1`$. From spin-flavor SU(6) symmetry one expects, at leading twist, $`A_1=5/9`$ for the proton, and $`A_1=0`$ for the neutron. A number of models which incorporate SU(6) breaking, through either perturbative or non-perturbative mechanisms , suggest that $`A_11`$ as $`x1`$, in dramatic contrast to the SU(6) predictions, especially for the neutron.

Using the parameterization of global form factor data from Ref., the proton and neutron asymmetries arising from the local quark–hadron duality relations (Local Duality Predictions for $`x1`$ Structure Functions) are shown in Fig. 1 as a function of $`x`$, with $`x`$ corresponding to $`x_{\mathrm{th}}`$. One sees that while for $`x0.9`$ (which for the pion threshold corresponds to $`Q^22.5`$ GeV2) the asymmetries are qualitatively consistent with the SU(6) expectations, the trend as $`x1`$ is for both asymmetries to approach unity. Since $`x_{\mathrm{th}}1`$ as $`Q^2\mathrm{}`$, this is consistent with the operator product expansion interpretation of de Rújula et al.  in which duality should be a better approximation with increasing $`Q^2`$.

Although the curves in Fig. 1 are shown for $`x>0.6`$, one should note that the region below $`x=x_{\mathrm{th}}0.8`$ corresponds to $`Q^21`$ GeV2, where duality is not expected to be as good an approximation, so the reliability of the local duality predictions there would be more questionable. Unfortunately the current data on $`A_1`$ extend only out to an average $`x0.5`$, and are inconclusive about the $`x1`$ behavior. While the proton $`A_1`$ data do indicate a steep rise at large $`x`$, the neutron asymmetry is, within errors, consistent with zero over the measured range . It will be of great interest in future to observe whether, and at which $`x`$ and $`Q^2`$, the $`A_1`$ asymmetries start to approach unity.

Another quantity of current interest is the ratio of the neutron to proton $`F_2`$ structure functions at large $`x`$ . There are a number of leading twist predictions for this ratio, ranging from 2/3 in the SU(6) symmetric quark model, to 1/4 in broken SU(6) through $`d`$ quark suppression , to 3/7 in broken SU(6) via helicity flip suppression . Although it is well established that the large-$`x`$ $`F_2^n/F_2^p`$ data deviate from the SU(6) prediction, they are at present inconclusive about the precise $`x1`$ limit because of large nuclear corrections in the extraction of $`F_2^n`$ from deuterium cross sections beyond $`x0.6`$ .

The ratios of the neutron to proton $`F_1`$, $`F_2`$ and $`g_1`$ structure functions are shown in Fig. 2 as a function of $`x`$, with $`x`$ again evaluated at $`x_{\mathrm{th}}`$. While the $`F_2`$ ratio varies somewhat with $`x`$ at lower $`x`$, beyond $`x0.85`$ it remains almost $`x`$ independent, approaching the asymptotic value $`(dG_M^{n2}/dQ^2)/(dG_M^{p2}/dQ^2)`$. Because the $`F_1`$ $`n/p`$ ratio depends only on $`G_M`$, it remains flat over nearly the entire range of $`x`$ (and $`Q^2`$). At asymptotic $`Q^2`$ the model predictions for $`F_1(x1)`$ coincide with those for $`F_2`$; at finite $`Q^2`$ the difference between $`F_1`$ and $`F_2`$ can be used to predict the $`x1`$ behavior of the longitudinal structure function, or the $`R=\sigma _L/\sigma _T`$ ratio.

The spin-dependence of the proton vs. neutron duality predictions is also rather interesting. Since $`A_1^n`$ is zero for all $`x`$ according to SU(6), the ratio of the neutron to proton $`g_1`$ structure functions is also zero in the spin-flavor symmetric limit. The pattern of SU(6) breaking for $`g_1^n/g_1^p`$ essentially follows that for $`F_2^n/F_2^p`$, namely 1/4 in the $`d`$ quark suppression  and 3/7 in the helicity flip suppression  scenarios. According to local duality, the $`g_1`$ structure function ratio in Fig. 2 approaches the asymptotic limit in Eq.(10), albeit somewhat slowly, reflecting the relatively slow approach towards unity of the polarization asymmetry in Fig. 1. This may indicate a larger role played by higher twists in $`g_1`$ compared with $`F_2`$, a result consistent with analyses of higher twist corrections to moments of the $`g_1`$  and $`F_2`$ structure functions .

It appears to be an interesting coincidence that the helicity retention model  prediction of 3/7 is very close to the empirical ratio of the squares of the neutron and proton magnetic form factors, $`\mu _n^2/\mu _p^24/9`$. Indeed, if one approximates the $`Q^2`$ dependence of the proton and neutron form factors by dipoles, and takes $`G_E^n0`$, then the structure function ratios are all given by simple analytic expressions, $`F_2^n/F_2^pF_1^n/F_1^pg_1^n/g_1^p\mu _n^2/\mu _p^2`$ as $`Q^2\mathrm{}`$. On the other hand, for the $`g_2`$ structure function, which depends on both $`G_E`$ and $`G_M`$ at large $`Q^2`$, one has a different asymptotic behavior, $`g_2^n/g_2^p\mu _n^2/(\mu _p(\mu _p1))0.73`$.

Of course the reliability of the duality predictions are only as good as the quality of the empirical data on the electromagnetic form factors. While the duality relations are expected to be progressively more accurate with increasing $`Q^2`$ , the difficulty in measuring form factors at large $`Q^2`$ also increases. Experimentally, the proton magnetic form factor $`G_M^p`$ is relatively well constrained to $`Q^230`$ GeV2, and the proton electric $`G_E^p`$ to $`Q^210`$ GeV2. The neutron magnetic form factor $`G_M^n`$ has been measured to $`Q^25`$ GeV2, although the neutron $`G_E^n`$ is not very well determined at large $`Q^2`$ (fortunately, however, this plays only a minor role in the duality relations, with the exception of the neutron to proton $`g_2`$ ratio, Eq.(12)).

In Fig. 1 the solid curves represent the $`A_1`$ asymmetry calculated from actual form factor data, while the dashed extensions illustrate the extrapolation of the form factors in Ref. beyond the currently measured regions of $`Q^2`$. The fit in Ref. uses all the available form factor data at lower $`Q^2`$, together with perturbative QCD constraints beyond the measured region at large $`Q^2`$. To test the sensitivity of the results in Figs. 1 and 2 to form factor shapes we have used several different parameterizations from Refs., as well as a pure dipole form. Compared with the latter, the proton polarization asymmetries in Fig. 1 vary by $``$ 18%, 7% and 2% at $`Q^2=1,10`$ and 50 GeV2, respectively, corresponding to values of $`x`$ at the pion threshold of $`x_{\mathrm{th}}=0.78,0.97`$ and 0.99, respectively. The neutron asymmetries vary by $``$ 100%, 14% and 3% at the same values (the large relative variation at $`Q^2=1`$ GeV2 simply reflects the fact that $`A_1^n0`$ at $`x_{\mathrm{th}}0.8`$). As would be expected, the uncertainties decrease with increasing $`Q^2`$, since both the dipole fit and the fit from Ref. incorporate the correct $`Q^2\mathrm{}`$ limits from perturbative QCD.

The differences between the neutron to proton structure function ratios in Fig. 2 and those calculated from dipole parameterizations of form factors are qualitatively similar to those for the polarization asymmetry, namely $`6\%`$ and 25% for $`F_2`$ and $`g_1`$, respectively, at $`Q^2=5`$ GeV2, decreasing to $`4\%`$ and 10% at 20 GeV2. We have also tested the sensitivity of the ratios to the new data from Jefferson Lab on the $`G_E^p/G_M^p`$ ratio , which show deviations from dipole behavior for $`Q^23.5`$ GeV2. The differences induced in the ratios in Figs. 1 and 2 are, however, within the quoted range of uncertainty.

Obviously more data at larger $`Q^2`$ would allow more accurate predictions for the $`x1`$ structure functions, and new experiments at Jefferson Lab  and elsewhere will provide valuable constraints. However, the most challenging aspect of testing the validity of the local duality hypothesis is measuring the inclusive structure functions at high enough $`x`$. Rapidly falling cross sections as $`x1`$ mean that only very high luminosity facilities will be able to extract these with sufficiently small errors. The most promising possibility at present is the energy-upgraded CEBAF accelerator at Jefferson Lab. Once data on the longitudinal and spin-dependent structure functions at large $`x`$ become available, a more complete test of local duality between elastic form factors and $`x1`$ structure functions can be made. In particular, with data on both the $`F_1`$ and $`F_2`$ (or $`g_1`$ and $`F_2`$) structure functions at large $`x`$ one will be able to extract the $`G_E`$ and $`G_M`$ form factors separately, without having to assume the $`G_E/G_M`$ ratio in extracting $`G_M`$ from the currently available $`F_2`$ .

Along with the spin dependence, unraveling the flavor dependence of duality is also of fundamental importance. Although the local duality relations discussed here are empirical, a more elementary description of the quark–hadron transition requires understanding the transition from coherent to incoherent dynamics and the role of higher twists for individual quark flavors. This is as relevant for all the $`NN^{}`$ transition form factors as for the elastic. The flavor dependence can be determined by either scattering from different hadrons, or tagging mesons in the final state of semi-inclusive scattering in the resonance region. Unraveling the flavor and spin dependence of duality, and more generally the relationship between incoherent (single quark) and coherent (multi-quark) processes, will shed considerable light on the nature of the quark $``$ hadron transition in QCD.

###### Acknowledgements.

I would like to thank S.J. Brodsky, C.E. Carlson, F.E. Close, R. Ent, N. Isgur, S. Jeschonnek, X. Ji, C. Keppel, F.M. Steffens, A.W. Thomas and J.W. Van Orden for helpful discussions, and K. Tsushima for drawing my attention to typographical errors in Eqs. (2). This work was supported by the Australian Research Council, and DOE contract DE-AC05-84ER40150.


text:
# REFERENCES

PACS Numbers: 74.20.-z, 74.62.Dh, 74.62.Yb, 74.62.-c, 74.72.Dn

Isotope Effect in the Presence of Magnetic and Nonmagnetic Impurities

L. A. Openov and I. A. Semenihin

Moscow State Engineering Physics Institute (Technical University), 115409 Moscow, Russia

R. Kishore

Insituto Nacional de Pesquisas Espaciais, C.P. 515, S. J. Campos, S. P., 12201-970, Brasil

> The effect of impurities on the isotope coefficient is studied theoretically in the framework of Abrikosov-Gor’kov approach generalized to account for both potential and spin-flip scattering in anisotropic superconductors. An expression for the isotope coefficient as a function of the critical temperature is obtained for a superconductor with an arbitrary contribution of spin-flip processes to the total scattering rate and an arbitrary degree of anisotropy of the superconducting order parameter, ranging from isotropic $`s`$ wave to $`d`$ wave and including anisotropic $`s`$ wave and mixed ($`s`$+$`d`$) wave as particular cases. It is found that both magnetic and nonmagnetic impurities enhance the isotope coefficient, the enhancement due to magnetic impurities being generally greater than that due to nonmagnetic impurities. From the analysis of the experimental results on LSCO high temperature superconductor, it is concluded that the symmetry of the pairing state in this system differs from a pure $`d`$ wave.

The isotope effect has played an important role in the development of phonon mediated mechanism of electron pairing in superconductors. Its discovery gave rise to the theory of phonon mediated mechanism of electron pairing by Bardeen, Cooper and Schrieffer . The BCS theory gave the isotope coefficient $`\alpha `$, defined by the relation $`T_cM^\alpha `$, or equivalently, $`\alpha =\frac{\mathrm{ln}T_c}{\mathrm{ln}M}`$, equal to 1/2, in agreement with the experiments for mercury . For simple superconducting metals like Hg, Zn, S, Pb, etc., the values of $`\alpha `$ were found to be very close to the BCS value 1/2. The deviations from the BCS theory found in superconducting transition metals and their compounds were reasonably well explained by taking into account the effects of Coulomb interactions , left out in the BCS theory, and by more realistic treatments based on Eliashberg equations .

The discovery of high temperature superconductors (HTSCs) brought a serious challenge to the BCS theory which had firmly established the phonon mediated mechanism of electron pairing as a dominant cause of superconductivity in most previously known superconductors. For conventional superconductors, both theory and experiment agree with the fact that $`\alpha `$ approaches the BCS value of 1/2 as $`T_c`$ becomes larger. However, this trend is violated in copper oxide HTSCs, where $`\alpha `$ has been found to vary with doping in different ways . For the optimum doping, corresponding to the highest critical temperature, the value of $`\alpha `$ is usually quite small compared to the BCS value of 1/2. For a certain doping level, e.g. in some La2CuO4 based HTSCs, the value of $`\alpha `$ becomes greater than 1/2 . Such a behavior of $`\alpha `$ has been considered as one of the strongest evidence for a new mechanism of superconductivity in HTSCs. However, this argument is not as strong as it appears. For example, it was shown that, within the BCS picture or within the more realistic Eliashberg approach, these deviations can be understood  by considering the effects of anharmonicity, energy dependence of the electronic density of states, pair breaking effects, isotope mass dependence of the carrier concentration, etc.

The presence of impurities strongly affects various characteristics of HTSCs, including the isotope coefficient . Earlier theoretical attempts to describe the isotope effect in impure HTSCs were based on either the Abrikosov-Gor’kov formula for $`T_c`$ of an isotropic $`s`$-wave superconductor containing magnetic impurities  or the Abrikosov-Gor’kov-like formula for $`T_c`$ of an anisotropic superconductor that contains nonmagnetic impurities only . An increase in $`\alpha `$ with impurity concentration has been demonstrated, in qualitative agreement with the experiment. However, the theory predicted the universal dependence of the normalized isotope coefficient, $`\alpha /\alpha _0`$, on the normalized critical temperature, $`T_c/T_{c0}`$, where $`\alpha _0`$ and $`T_{c0}`$ are, respectively, the values of $`\alpha `$ and $`T_c`$ in the absence of impurities. This prediction does not agree with the experimental findings . It was shown by Kresin et al.  that the universal behavior of $`\alpha /\alpha _0`$ versus $`T_c/T_{c0}`$ is restricted to the case that magnetic impurities are the only cause for the increase of $`\alpha /\alpha _0`$, and that other effects like the nonadiabaticity of the apex oxygen in YBa2Cu3O7 could break the universality. Here we provide an alternative explanation of how the nonuniversality of the dependence of $`\alpha /\alpha _0`$ on $`T_c/T_{c0}`$ arises. Our approach is based on taking into account the combined effect of both nonmagnetic and magnetic scatterers on the critical temperature of a superconductor with anisotropic superconducting order parameter.

To derive the expression for the isotope coefficient, we make use of the equation for $`T_c`$ of an anisotropic superconductor containing both nonmagnetic and magnetic impurities :

$$\mathrm{ln}\left(\frac{T_{c0}}{T_c}\right)=(1\chi )\left[\mathrm{\Psi }\left(\frac{1}{2}+\frac{1}{2\pi T_c\tau _m^{ex}}\right)\mathrm{\Psi }\left(\frac{1}{2}\right)\right]+\chi \left[\mathrm{\Psi }\left(\frac{1}{2}+\frac{1}{4\pi T_c\tau }\right)\mathrm{\Psi }\left(\frac{1}{2}\right)\right],$$
(1)
where $`\mathrm{\Psi }`$ is the digamma function; $`\tau _m^{ex}`$ is the electron relaxation time due to exchange scattering by magnetic impurities; $`\tau `$ is the total electron relaxation time due to potential scattering by both magnetic and nonmagnetic impurities, as well as due to exchange scattering by magnetic impurities. Eq. (1) was obtained in Ref.  within the weak-coupling limit of the BCS model in the framework of Abrikosov-Gor’kov approach. It generalizes the well-known expressions  for the critical temperature of impure superconductors to the case of combined effect of both nonmagnetic and magnetic impurities on the critical temperature of anisotropic superconductors. The coefficient $`\chi =1\frac{\mathrm{\Delta }(𝐩)_{FS}^2}{\mathrm{\Delta }^2(𝐩)_{FS}}`$ quantifies the degree of anisotropy of the order parameter $`\mathrm{\Delta }(𝐩)`$ on the Fermi surface (FS), where the angular brackets $`\mathrm{}_{FS}`$ stand for a FS average. For isotropic $`s`$-wave pairing, $`\mathrm{\Delta }(𝐩)_{FS}^2=\mathrm{\Delta }^2(𝐩)_{FS}`$, and hence $`\chi =0`$. For a superconductor with $`d`$-wave pairing we have $`\chi =1`$ since $`\mathrm{\Delta }(𝐩)_{FS}=0`$. The range $`0<\chi <1`$ corresponds to anisotropic $`s`$-wave or mixed $`(d+s)`$-wave pairing. The higher the anisotropy of $`\mathrm{\Delta }(𝐩)`$ (e.g., the greater the partial weight of a $`d`$-wave in the case of mixed pairing), the closer to unity is the value of $`\chi `$. Note that in two particular cases of ($`i`$) magnetic scattering in an isotropic $`s`$-wave superconductor ($`\chi =0`$) and ($`ii`$) nonmagnetic scattering only in a superconductor with arbitrary in-plane anisotropy of $`\mathrm{\Delta }(𝐩)`$ ($`1/\tau _m^{ex}=0,0\chi 1`$), Eq. (1) reduces to the well-known expressions .

It is convenient to specify the relative contribution of spin-flip scattering rate, $`1/\tau _m^{ex}`$, to the total scattering rate, $`1/\tau `$, by the dimensionless parameter $`\gamma `$ defined as $`\frac{1}{\tau _m^{ex}}=\gamma \frac{1}{\tau }`$. The greater is the relative contribution from exchange scattering by magnetic impurities to $`1/\tau `$, the higher is the value of $`\gamma `$ ($`\gamma `$ ranges from 0 in the absence of exchange scattering to 1 in the absence of non-spin-flip scattering). In general, the value of $`\gamma `$ depends on the scattering strengths of individual nonmagnetic and magnetic impurities, as well as on their concentrations. At relatively low doping level, one can expect $`\gamma `$ to depend only on the type of the host material and doping elements, not on the impurity concentration .

Differentiating Eq. (1) for $`T_c`$ with respect to the isotopic mass $`M`$ under a reasonable assumption that electron relaxation times and the anisotropy coefficient $`\chi `$ do not depend on $`M`$, taking the definition of the parameter $`\gamma `$ into account and using the definition of the isotope coefficient $`\alpha `$, one has

$$\frac{\alpha }{\alpha _0}=\left[1(1\chi )\frac{\gamma }{2\pi T_c\tau }\mathrm{\Psi }^{}\left(\frac{1}{2}+\frac{\gamma }{2\pi T_c\tau }\right)\chi \frac{1}{4\pi T_c\tau }\mathrm{\Psi }^{}\left(\frac{1}{2}+\frac{1}{4\pi T_c\tau }\right)\right]^1.$$
(2)
Equation (2) is obviously more general than equations used previously for the analysis of the pair breaking effect on the isotope coefficient in HTSCs . Indeed, Eq. (2) does not rely on particular assumptions about the symmetry of the superconducting state and the nature of impurities (either magnetic or nonmagnetic). This equation can be used for an impure superconductor with arbitrary anisotropy of the superconducting order parameter and arbitrary relative contributions of potential and spin-flip scattering to the electron relaxation time. Such an approach is of particular importance for HTSCs doped with various chemical elements since, first, there is a strong evidence for a dominant $`d`$-wave (i.e., highly anisotropic) order parameter in HTSCs  with a subdominant $`s`$-wave component , and, second, a lot of experiments give evidence for the presence of magnetic scatterers (along with nonmagnetic ones) in doped HTSCs .

At given values of $`\chi `$ and $`\gamma `$, Eqs. (1) and (2) define the dependence of $`\alpha /\alpha _0`$ on $`T_c/T_{c0}`$. One can see from Eqs. (1) and (2) that the dependence of $`\alpha /\alpha _0`$ on $`T_c/T_{c0}`$ has a universal shape for both an isotropic $`s`$-wave superconductor ($`\chi =0`$) with nonzero contribution of exchange scattering to the total scattering rate ($`0<\gamma 1`$) and a $`d`$-wave superconductor ($`\chi =1`$) with an arbitrary ratio of spin-flip and potential scattering rates ($`0\gamma 1`$), as it is seen from Fig. 1.

Quite a different picture is realized in the case $`0<\chi <1`$, i.e., for a mixed $`(d+s)`$-wave or an anisotropic $`s`$-wave superconductor. In this case the behaviour of $`\alpha /\alpha _0`$ as a function of $`T_c/T_{c0}`$ essentially depends on the value of $`\gamma `$. As $`T_c/T_{c0}`$ goes to zero, i.e., in dirty superconductors, the value of $`\alpha /\alpha _0`$ tends to $`1/(1\chi )`$ in the absence of exchange scattering ($`\gamma =0`$), while $`\alpha /\alpha _0`$ grows as $`\alpha /\alpha _0T_{c0}/T_c`$ in the case $`\gamma 0`$ for all values of $`\chi `$. Thus, the universality of $`\alpha /\alpha _0`$ versus $`T_c/T_{c0}`$ curve breaks down for $`0<\chi <1`$. This is consistent with experimental observations. Indeed, the studies of isotope effect in impure HTSCs  show that the curves of $`\alpha /\alpha _0`$ versus $`T_c/T_{c0}`$ vary with the type of impurities, i.e., with the value of $`\gamma `$ (since different chemical elements contribute differently to spin-flip and potential scattering rates of charge carriers). So, our results seem to be in a qualitative agreement with the experiment if one assumes that the superconducting state in HTSCs differs from a pure $`s`$ or $`d`$-wave, i.e., $`\chi 0`$ and $`\chi 1`$, as is also indicated by several experimental observations .

However, our theoretical consideration doesn’t account for a number of factors that could influence the isotope coefficient in impure superconductors, e.g., the energy dependent electronic density of states, nonadiabaticity, anharmonicity, etc. In particular, the change in the carrier concentration $`n_h`$ upon chemical substitution can have a strong influence on $`T_c`$ (and hence on $`\alpha `$) along with the pair-breaking effect. This is why, to compare our calculations with the experiment, we have taken the data on the isotope effect in the system La1.85Sr0.15Cu1-xMxO4 (M = Ni, Zn, Co, Fe), see Ref. . In this system, the critical temperature decreases rapidly as the impurity content $`x`$ increases, and falls down to $`0.3T_{c0}`$ already at $`x=0.020.03`$. At such low impurity concentration, the change in $`T_c`$ due to the change in $`n_h`$ can be neglected in the first approximation (as compared with the pair-breaking effect) since the value of $`T_{c0}40`$K in the impurity-free HTSC La1.85Sr0.15CuO4 corresponds to the maximum on the curve $`T_c(n_h)`$, and hence changes insignificantly with $`n_h`$ as long as the change in $`n_h`$ is small. Note that such an approach (i.e., ignoring the change in the carrier concentration upon doping) may not be appropriate in case of YBa2(Cu1-xZnx)3O7 where $`T_c/T_{c0}0.3`$ at $`x=0.06`$ and all the more for Y1-xPrxBa2Cu3O7 where $`T_c/T_{c0}0.3`$ at $`x=0.5`$, see Ref. . A reasonable explanation of the isotope effect in these HTSCs has been given by Kresin et al.  who considered the interplay between the changes in the carrier concentration and nonadiabaticity of the apex oxygen.

Fig.2 shows the experimental data along with theoretical graphs calculated for $`\chi =0.5`$ and different values of $`\gamma `$, ranging from 0 to 1. One can see that at low impurity content $`x<0.008`$ ($`T_c/T_{c0}>0.75`$) there is a good agreement between the theory and the experiment. However, at higher values of $`x`$ (i.e., at lower values of $`T_c/T_{c0}`$) the experimental points lie well above the theoretical curves for all impurity elements, except for M = Ni. The same is true for other values of $`\chi `$ since the upper curve in Fig. 2 (for $`\gamma =1`$) changes insignificantly with $`\chi `$, at least for $`T_c/T_{c0}>0.2`$.

To bring the theory closer to the agreement with the experiment, one can assume that the value of $`T_{c0}`$ in the impurity-free HTSC La1.85Sr0.15CuO4 is strongly depressed relative to its ”intrinsic” value  because of the scattering of charge carriers by inhomogenities produced by substitution of Sr for La. Recently it was suggested  that the anomalous response of the anisotropic superconducting state to the development of low energy dynamical charge stripes can also cause the suppression of the ”intrinsic” $`T_{c0}`$. Taking $`T_{c0}`$ to be equal to its ”intrinsic” value, it is possible to reach a qualitative agreement with the experiment on the isotope effect in impure HTSCs even for heavily doped samples with low $`T_c`$. Since the value of ”intrinsic” $`T_{c0}`$ in La1.85Sr0.15CuO4 is not known a priori, we take the suggested value  of 90 K.

Fig. 3 shows the results for the set of $`T_{c0}=90`$K and $`\chi =0.5`$. For such a choice of the values of $`T_{c0}`$ and $`\chi `$, the theoretical curves for $`\gamma =01`$ are closer to the experimental data . Since the value of $`\alpha _0`$ at ”intrinsic” $`T_{c0}`$ is not known, we assumed for simplicity that the value of $`\alpha `$ is the same at $`T_{c0}`$ 40 K and 90 K. This assumption can be the reason for a discrepancy between the theory and the experiment in the region $`T_c/T_{c0}=0.30.4`$, see Fig. 3, since one could expect the value of $`\alpha `$ at $`T_{c0}=90`$K to be somewhat lower than at $`T_{c0}40`$K. It should be noted that in our theory different types of impurities correspond to different values of $`\gamma `$. The magnetic elements Fe and Co can be thought of being characterized by $`\gamma `$ in the range 0.1 - 1, while Ni, whose magnetic moment is reduced considerably by doping , can be assigned somewhat lower value of $`\gamma 0.01`$, see Fig. 3. Similiarly, the doping by the nonmagnetic element Zn induces magnetic moments . One can see from Fig. 3 that Zn can be assigned the value of $`\gamma `$ in the range 0.01 - 0.05, i.e. lower than in the case of Fe and Co but greater than in the case of Ni.

Finally, we note that the agreement between the theory and the experiment becomes worse if one takes the value of $`\chi `$ closer to unity. This implies that the symmetry of the pairing state in La-based HTSCs can differ considerably from a pure d-wave. As far as we know, up to now there were only indirect arguments in favor of d-wave symmetry of the superconducting state in La1.85Sr0.15CuO4 , while phase-sensitive experiments are unknown to us. The value of $`\chi 0.5`$ is however close to that expected for the two-dimensional order parameter of the type $`\mathrm{\Delta }(𝐤)`$ = $`\mathrm{\Delta }_0`$ \[cos($`k_xa`$)+cos($`k_ya`$)\], see Ref. .

In conclusion, we have studied theoretically the effect of both magnetic and nonmagnetic impurities on the isotope coefficient in the framework of a generalized Abrikosov-Gorkov approach for the anisotropic superconductors. We have shown how the interplay between the potential and spin-flip impurity scattering gives rise to the nonuniversal dependence of $`\alpha /\alpha _0`$ versus $`T_c/T_{c0}`$ in mixed $`(d+s)`$ wave or anisotropic $`s`$ wave superconductors. Our main result is that if the impurities are viewed as the only cause for the increase in the isotope coefficient in La1.85Sr0.15Cu1-xMxO4, then the symmetry of the superconducting order parameter in La1.85Sr0.15CuO4 appears to be different from a pure $`d`$-wave. Indeed, even if one takes into account relatively large experimental errors in the values of $`\alpha `$, it is clearly seen that experimental points do not lie on a single ”universal” curve of $`\alpha /\alpha _0`$ versus $`T_c/T_{c0}`$ as one could expect in the case of a pure $`d`$-wave symmetry of the superconducting state. According to our calculations, the difference in $`\alpha /\alpha _0`$ versus $`T_{c0}/T_c`$ curves for different impurity elements can be attributed to different contributions from the exchange scattering to the total scattering rate of charge carriers in the mixed $`(d+s)`$-wave or anisotropic $`s`$-wave superconducting state. The agreement with the experiment is much more better if one assumes that the ”intrinsic” value of $`T_{c0}`$ in La1.85Sr0.15CuO4 reaches $`90`$ K, more than twice greater than the experimental value $`40`$ K. It would be interesting to check if it is possible to explain the nonuniversality of $`\alpha /\alpha _0`$ versus $`T_c/T_{c0}`$ in La1.85Sr0.15Cu1-xMxO4 within a pure $`d`$-wave framework.

L.A.O and I.A.S acknowledge the support from the Russian Federal Program ”Integration”, projects No A0133 and No A0155. A part of the work was carried out during the stay of R. K. at ICTP, Trieste, Italy as a Research Associate.

FIGURE CAPTIONS

Fig. 1. Universal dependence of the normalized isotope coefficient $`\alpha /\alpha _0`$ on the normalized critical temperature $`T_c/T_{c0}`$ in an impure isotropic $`s`$-wave superconductor ($`\chi =0`$) with a finite concentration of magnetic scatterers and an impure $`d`$-wave superconductor ($`\chi =1`$) with an arbitrary ratio of spin-flip and potential scattering rates.

Fig. 2. Same as in Fig. 1 for $`\chi =0.5`$ (a specific case of anisotropic pairing) for different values of the coefficient $`\gamma `$ specifying the relative contribution to the total scattering rate from exchange scattering. $`\gamma =0`$ (dot-dashed curve), 0.01 (thin solid curve), 0.05 (dashed curve), 0.1 (dotted curve), 1 (thick solid curve). Experimental data from Ref.  for isotope effect in La1.85Sr0.15Cu1-xMxO4 with different $`x`$ and M = Ni (triangles), Zn (open squares); Co (closed circles); Fe (closed squares). Experimental values of $`T_c`$ as a function of $`x`$ are normalized to the value of $`T_{c0}`$ = 37.5 K at $`x=0`$.

Fig. 3. Same as in Fig. 2 for $`T_{c0}`$ = 90 K, see text for details.