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# 1 Introduction

## 1 Introduction

It has been shown that singularities are generic features of cosmological and collapse solutions in general relativity. These singularities are representative of the breakdown of the classical theory at short distances. It is hoped that string theory will allow us to resolve these singularities, and indeed for many classical solutions involving time-like singularities this is the case. In particular, consider the time-like singularities associated with D-branes. The geometry outside a D-brane is given by the supergravity (SUGRA) solution for an extremal black $`p`$-brane with Q units of R-R charge (see section 2). These solutions ($`p3`$) are singular. However, as curvatures become large the supergravity solutions breakdown and stringy effects become important. One should then replace the space-time description with the description of the gauge theory living on the brane. Another interesting example is provided by M-theory. One can show that the singular geometry produced by a D6-brane can be obtained from the dimensional reduction of the a smooth 11 dimensional geometry, analogous to the Kaluza-Klein monopole in 5 dimensions.

There has been much less progress in understanding the space-like singularities which are present in cosmological models. A recent idea which has received a lot of attention is that of an Ekpyrotic Universe . In this model our universe is created by the collision of a slowly moving bulk brane with the visible brane on which we (will) live. Prior to the collision our universe is a cold, empty place. Upon collision the branes fuse together creating a “hot, thermal bath of radiation and matter” living on the brane. The scenario takes advantage of the non-locality of branes to solve the horizon problem, supersymmetry to address flatness, and quantum fluctuations to explain large scale density fluctuations.

In this note a toy model is proposed which also uses coincident branes to describe the origins of our universe. A test Dq-brane is allowed to fall into, or be produced from, a stack of Dp-branes. The induced metric on the test brane is then interpreted as the cosmology on the test brane universe. Moreover, the cosmology has a space-like singularity at the point when the branes become coincident. This differs from the Ekpyrotic universe in many respects. Most importantly, in this model the universe exists before the collision with (or after the production of) the probe brane. In Ekpyrotic scenario the “hot” universe exists only after the bulk brane fuses with the visible brane. The authors of  used the properties of branes to give new solutions to many cosmological questions. In this note our interest is simply to use the current understanding of how to resolve the time-like singularities associated with D-branes to learn how string theory might resolve the space-like singularities associated with our early universe. Indeed, for a Dp-brane background the singularity induced on the Dq-brane can be resolved. Namely, for $`\text{p}3`$ the proper picture at short distances, where the induced metric is becoming singular, is that of the gauge theory living on the brane. For $`\text{p}=3`$ the space-time is non-singular and the resulting cosmological singularity induced on the brane can be understood entirely from the SUGRA perspective.

Section 2 gives a brief review of D-brane metrics and some details about how the cosmology of the test brane will be interpreted. Section 3 will discuss a Dp-brane moving in a Dq-brane background and section 4 applies the results of section 3 to the specific case of a D3-brane moving in D5-brane background.

## 2 D-brane Metrics

The geometry produced by flat D-branes is homogeneous and isotropic parallel to the brane and spherically symmetric in the directions transverse to the brane. Therefore the induced metric on a test brane, which lies parallel to the D-brane, should also be homogeneous and isotropic, and is thus described by a FRW cosmology. The metric for Q Dp-branes sitting at the origin is given by ,

$$ds^2=Z(r)^{1/2}\eta _{\mu \nu }dX^\mu dX^\nu +Z(r)^{1/2}dX^mdX^m.$$

$`\text{Here}e^{2\varphi }`$ $`=`$ $`Z(r)^{(3p)/2}`$
$`Z(r)`$ $`=`$ $`1+{\displaystyle \frac{\rho ^{7p}}{r^{7p}}}`$
$`r^2X^mX^m`$ $`\rho ^{7p}\alpha ^{(7p)/2}gQ.`$
The indices $`\mu ,\nu `$ correspond to directions along the brane while $`m,n`$ run transverse to the brane. Throughout this paper we will use the gauge, $`\xi ^0=\tau `$ $`\xi ^i=X^i`$. Here $`\xi ^a`$ are the coordinates on the brane. Since the branes are parallel the indices $`a,b`$ are a subset of the $`\mu ,\nu `$. $`\tau `$ will be chosen so that the induced metric is in the standard FRW form, i.e. $`\stackrel{~}{G}_{00}=1`$. The motion of the test brane is assumed to be radial (in the transverse space) and lie along $`X^{p+1},(r|X^{p+1}|)`$. Furthermore, it will be assumed that $`Q1`$ so that the back reaction of the test brane on the geometry can be ignored. The induced metric on the Dq-brane, $`\stackrel{~}{G}_{ab}=G_{MN}\frac{X^M}{\xi ^a}\frac{X^N}{\xi ^b}`$, is therefore,

$$\stackrel{~}{G}_{ab}=Z^{1/2}\left(\begin{array}{cc}\dot{t}^2+\dot{r}^2Z& \\ & \mathrm{𝟏}\text{(q×q)}\end{array}\right).$$

We will find that it is possible to make the gauge choice $`\stackrel{~}{G}_{00}=1`$, which can be written as,

$$Z^{1/4}\sqrt{\dot{t}^2\dot{r}^2Z}=1.$$
(2.1)
This brings the induced metric to that of a flat Robertson Walker geometry,

$$ds^2=d\tau ^2+a^2(\tau )dX^idX^i.$$

Here $`a(\tau )=Z^{1/4}[r(\tau )]`$. $`\stackrel{~}{G}_{ab}`$, will be interpreted as the cosmology on the $`q+1`$ dimensional universe.

At this point we shall assume the naive perspective of a $`q+1`$ dimensional classical observer, and thus interpret the expansion of the brane universe as if it were due to a perfect fluid content in standard Einstein gravity. It is worth noting that in the toy models discussed below there is no real matter living on the brane. Thus the expansion of the universe, which is actually being caused by the curvature of the higher dimensional space, is incorrectly perceived to be the result of dark matter living on the brane.

## 3 Solving Equations of motion

The motion of a Dq-brane moving in a Dp-brane background is governed by the DBI action,

$$S_q=\mu _qd^{q+1}\xi e^\varphi \sqrt{det(\stackrel{~}{G}_{ab}+\stackrel{~}{𝔉}_{ab})}+\mu _q_{q+1}\stackrel{~}{C}_{q+1}.$$
(3.2)
For simplicity it will be assumed that there is no gauge field living on the test brane and that there is no antisymmetric closed string background living in the bulk; thus $`\stackrel{~}{𝔉}_{ab}=0`$. For parallel branes if $`pq`$ then $`\stackrel{~}{C}_{q+1}`$, the pullback of the Ramond-Ramond potential, vanishes. However, for $`p=q`$ 111In  $`\stackrel{~}{C}_{q+1}`$ is given in static gauge. Here we have changed coordinates $`\xi ^0=X^0\xi ^0=\tau `$.,

$$\stackrel{~}{C}_{q+1}=(Z_p^11)\dot{t}d\tau dx^1\mathrm{}dx^q.$$

Our action is then,

$$S_q=\mu _qd^{q+1}\xi \left[Z^{(pq4)/4}\left(\sqrt{\dot{t}^2Z\dot{r}^2}\delta _{p,q}\dot{t}\right)+\delta _{p,q}\dot{t}\right].$$
(3.3)
We can now find the classical equations of motion. Defining $`s(pq4)/4`$ Lagrangian takes the form,

$$=Z^s(\sqrt{\dot{t}^2Z\dot{r}^2}\dot{t}\delta _{s,1})+\dot{t}\delta _{s,1}.$$

Since $`t(\tau )`$ is a cyclic variable we know that $`/\dot{t}=c+\delta _{s,1}`$, where $`c`$ is a constant of the motion222Here we have added $`\delta _{s,1}`$ to $`c`$ in order to simplify (3.4).. Taking the derivative and solving for $`\dot{t}^2`$ gives,

$`\dot{t}^2={\displaystyle \frac{(Z^sc+\delta _{s,1})^2Z\dot{r}^2}{l_{pq}^2}},`$ (3.4)
where we have defined $`l_{pq}^2(Z^sc+\delta _{s,1})^21`$. The gauge choice (2.1) relates $`r(\tau )\text{and}t(\tau )`$. Therefore the equation of motion coming from the variation of $``$ with respect to $`r(\tau )`$ doesn’t provide any new information. From (2.1) and (3.4) it is easy to see that,

$$d\tau =\pm \frac{Z^{1/4}}{l_{pq}}dr$$
(3.5)
One can now apply these results to various cases. The specific example of a D3-brane moving in a D5-brane background yields an interesting cosmology and is discussed below.

## 4 An Example: D5-brane Background

Let’s now consider the motion of a D3-brane in a D5-brane background. For this case (3.5) can be integrated exactly. The integral over $`r`$, however, gives rise to quartic roots and hypergeometric functions which cannot be algebraically inverted to give $`r(\tau )`$. Fortunately the interesting behavior, namely the big bang/big crunch takes place when the branes are nearly coincident. In this limit, $`r\rho `$, we can see that,

$`d\tau \pm {\displaystyle \frac{Z^{1/4}}{c}}dr{\displaystyle \frac{1}{c}}\sqrt{{\displaystyle \frac{r}{\rho }}}dr`$
$`{\displaystyle \frac{r(\tau )}{\rho }}=𝒞^2({\displaystyle \frac{\tau }{\rho }})^{2/3},\text{where}𝒞^2{\displaystyle \frac{2}{3c}}.`$
Here we have assumed $`c0`$, which is required for the induced metric to be Lorentzian. The induced metric on the brane is then,

$$ds^2=d\tau ^2+𝒞^2(\frac{\tau }{\rho })^{2/3}dX^idX^i.$$

A scale factor $`a(\tau )\tau ^{1/3}`$ corresponds to a perfect fluid with the equation of state $`p=\epsilon `$. It has been argued by Banks and Fischler that this may have been the dominant form of matter in the early stages of our universe. The argument is the following: $`p=\epsilon `$ is the stiffest equation of state such that the velocity of sound is less than or equal to the speed of light. Furthermore, Fischler and Susskind argued that for a FRW cosmology this is the stiffest equation of state satisfying the holographic bound. These are taken as indications that this is the stiffest equation of state allowed by nature. For a FRW universe, with perfect fluid and $`p=\gamma \epsilon `$, Einstein’s equations give $`\epsilon =a(\tau )^{3(1+\gamma )}`$. So if there exists some $`p=\epsilon `$ matter, and this is the stiffest equation of state allowed by nature, then this form of matter will dominate at early times.

There might be concern that the limit $`r\rho `$ is outside the region of validity of the supergravity solutions we are using. A careful treatment of this was done in . It was found that the SUGRA solutions could be trusted in the region

$$\frac{1}{\sqrt{gQ}}\frac{r(\tau )}{\sqrt{\alpha ^{}}}\sqrt{\frac{Q}{g}}.$$
(4.6)
Note that for large $`(gQ)`$, which is required since the back-reaction from the test brane on the geometry has been ignored, the SUGRA solutions hold very close to the brane. Similarly, as the induced geometry on the brane becomes singular there are corrections to the DBI action which become important. Thus the above solution can only be trusted as long as the induced scalar curvature on the brane, $`R`$, is much less than the string scale, $`R1/\alpha ^{}`$. For our test brane universe $`R\tau ^2`$. This can be seen by direct computation or by dimensional arguments. From this we can see $`\alpha ^{}\tau ^2`$, which provides a lower bound on $`r`$. It follows that,

$$𝒞^2(gQ)^{1/6}\frac{r(\tau )}{\sqrt{\alpha ^{}}}\sqrt{gQ}.$$
(4.7)
The upper bound comes from working in the region, $`r\rho `$. Note that the lower bound can be taken to zero by choosing $`𝒞0`$. This limit corresponds to having the test brane initially moving along an almost null path. Our solution is valid in the region which both (4.6) and (4.7) are satisfied.

The breakdown of the SUGRA solution marks the end of our classical knowledge. String theory, as previously mentioned, now tells us that the correct physical picture is that of the gauge theory living on the brane. Any system for which the number of $`ND`$ coordinates333the number of coordinates such that a string stretched between the branes has Neumann boundary conditions on one end and Dirichlet boundary conditions on the other is equal to 2 has an open string tachyon which is not projected out in the GSO projection. As the D3-brane approaches the D5-branes these tachyons will form and thus prevent the D3-brane from passing through the D5-branes and escaping to infinity. Rather, the tachyon indicates an instability whose end result is the D3-brane dissolving into the D5-branes and then spreading out as magnetic flux on the branes. For a detailed discussion see . In addition to the magnetic flux there will be ripples produced from the momentum of the D3-brane. Observers living on the D3-brane falling into the D5-branes, will thus find their universe collapsing, and then suddenly, the 3+1 dimensional universe to which they are accustomed becomes a 5+1 dimensional universe. Sadly, this shocking development does not save our poor observers. Rather they find themselves being spread out as magnetic flux and ripples in their new universe. Alternatively, and perhaps more importantly, a D5-brane with incoming flux and ripples could, under very fine tuned initial conditions, cause the production of a D3-brane, giving birth to our universe.

## 5 Discussion

Understanding the origins of our universe should be a central part of the “theory of everything”. String theory, if it is such a theory, should certainly be able to resolve the cosmological singularities associated with birth of our universe. In the above note we have discussed a toy model in which cosmological singularities can be resolved in string theory. The case of a D3-brane moving in a D5-brane background was discussed in detail. For such a scenario one is able to give a complete description of the apparent singularity. As the geometry on the probe-brane becomes singular the space-time description of the brane universe must be reinterpreted as the gauge theory living on the D5-branes; our 3+1 dimensional universe dissolves into the D5-brane and spreads out as magnetic flux and ripples on the brane. The equation of state of this universe was found to be $`p=\epsilon `$, which, as discussed in section 4, may have been relevant at very early stages of our universe.

These are interesting results, but is this a realistic model? Certainly not. For starters we have not included any matter on the brane universe, which one might argue is unrealistic. Including matter would complicate the analysis but in principle it could be done. More importantly we have not confined gravity to the brane. Though the model discussed does not give a realistic description of our universe it does give us some insight into how string theory might resolve the space-like singularities associated with our early universe.

There are other resolutions of singularities which may be obtained by looking at different background geometries. In particular, consider that of a D3-brane moving in a D3-brane background. One finds that this background does not yield a physical equation of state. However, the resolution of the singularity is very interesting; the cosmological singularity can be understood as arising from the motion of the probe brane through a perfectly smooth space-time! Moreover, the singularity on a D4-brane444By dimensional reduction one is still able to obtain a model for a 3+1 dimensional universe. moving in the presence of a D6-brane could be understood by lifting up to 11 dimensions, where the geometry is non-singular, thus providing an M-theoretic resolution to cosmological singularities. Recall, however, that in order to avoid complications caused by back-reaction on the metric we have taken the $`Q`$, the number of D6-branes, to be very large. For multiple D6-branes the 11 dimensional geometry contains a conical singularity. One could consider a similar set up with a single D6-brane. In such a scenario, however, complications would arise from the back reaction of the metric by the D4-brane, and perhaps more importantly, the breakdown of SUGRA approximations.

Acknowledgments

I would like to thank Gary Horowitz for discussion and guidance throughout this project. I would also like to thank Simeon Hellerman and Veronika Hubeny for giving careful readings and useful feedback of an early draft, and Alex Flournoy for discussion. Work supported in part by NSF grant PHY00-70895.

Note Added

After completing this work it was pointed out that much of what has been discussed here is contained within a paper, “Mirage Cosmology”, by A. Kehagias and E. Kiritsis .


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# Morphology of AGN in the central kiloparsec

## 1. Introduction

Nearly all galaxies appear to have central, supermassive black holes, yet only a small fraction host AGN. To fuel the mass accretion rates of $`0.01M_{}`$ yr<sup>-1</sup> that powers nuclear activity in the Seyfert galaxies discussed here, there must be mechanisms that remove angular momentum from the host galaxy ISM and drive it within range of the central black hole. Galaxy interactions and bars can remove angular momentum and fuel nuclear activity; however, there remain many AGN that show no evidence of either a bar or a recent interaction.

We undertook a survey of Seyfert 2s from the CfA redshift survey with HST to look for evidence of additional mechanisms, such as nuclear bars (Shlosman et al. 1989; Pfenniger & Norman 1990), that could transport the host galaxy ISM from 100-parsec scales into the active nucleus. If fuel is continuously transported inwards, then evidence for gas flow traced by the dust morphology should be present. We have analyzed visible and near-infrared images from HST to map the stellar surface density and dust distribution in 24 Seyfert 2s and found a small percentage of them host nuclear bars, but nearly all have nuclear dust spirals.

## 2. Looking for nuclear bars

Nuclear bars are intrinsically more difficult to detect and characterize than large-scale bars as their semimajor axis lengths are on order one fifth as large. As the nearby AGN population is generally more distant than comparable non-active galaxies, the frequency of nuclear bars in AGN could not be examined with large samples before HST and NICMOS. To identify stellar nuclear bars we adopted the same selection criteria described by Mulchaey et al. (1997) and Knapen et al. (2000). These selection methods essentially look for increases in ellipticity at constant position angle, followed by a decrease in ellipticity at the end of the bar. Using these criteria we found evidence for stellar nuclear bars in the four galaxies shown in Figure 1: Mrk 573, NGC 5283, Mrk 471, and NGC 5929 (Martini et al. 2001). Our detection rate of $`25`$% (after accounting for selection effects) is similar to the detection rate reported by Erwin & Sparke (1999) and Márquez et al. (2000) for non-active galaxies. The apparently equal and low percentage of nuclear bars in active and non-active galaxies suggests that nuclear bars are not responsible for fueling most Seyfert galaxies.

The $`VH`$ colormaps of Mrk 573, NGC 5283, and Mrk 471 shown in Figure 2 show evidence for straight dust lanes crossing their nuclei, while none of the AGN without nuclear bars have similar straight dust lanes. This suggests that the gas flow traced by the dust is associated with the nuclear bar. Mrk 573 and NGC 5283 are particularly striking cases as the morphology of the dust lanes mimics the dust pattern seen in large-scale bars (Quillen et al. 1995; Regan et al 1997). The dust lanes appear to trace the leading edges of the nuclear stellar bar and then cut across the nucleus as a straight dust lane along the nuclear bar minor axis.

## 3. Nuclear spirals as a potential fueling mechanism

While this study did not uncover a large percentage of nuclear bars in AGN, essentially all of these galaxies do have nuclear dust spirals on 100-parsec scales (Martini & Pogge 1999). These nuclear dust spirals can be morphologically classified as primarily “flocculent” or “grand-design” in appearance, analogous to the spiral structure on kiloparsec scales in spiral galaxies. Examples of grand-design nuclear spirals in AGN are shown in Figure 3 (top row) and examples of flocculent spiral structure are shown in Figure 4 (top row).

Gaseous disks in the central kiloparsec of spiral galaxies are generally not self-gravitating and are in nearly solid-body rotation, in contrast to their main disks on kiloparsec scales, which are prone to gravitational instabilities and subject to considerable differential rotation. Instead of gravity, pressure dominates the gas response to perturbations in these central, gaseous disks and the presence of nuclear dust spirals on these scales are evidence for gas flow driven by hydrodynamic effects. Englmaier & Shlosman (2000) proposed that gas inflow from a large-scale bar can create grand-design nuclear spiral structure, such as that shown in Figure 3. All of the galaxies in our sample which show this grand-design spiral structure do have large-scale bars, which supports this model for the dust morphology. The flocculent spiral structure shown in Figure 4 may be due to the acoustic instabilities described by Elmegreen et al. (1998). In this model, small instabilities propagate as pressure-driven waves and are sheared by the small differential rotation in these disks to produce the flocculent structure (Montenegro et al. 1999). Both of these models for nuclear spiral structure propose that shocks create the density enhancements traced by these dust lanes. Shocks in these nearly ubiquitous spiral dust lanes is thus interesting in the context of AGN fueling as these shocks may dissipate sufficient angular momentum to fuel nuclear activity. Estimates of the rate of mass inflow in the context of theoretical models for both types of nuclear spiral structure are clearly needed to better assess its viability as a fueling mechanism for AGN.

Nuclear spiral structure has long been know to exist in nearby, non-active galaxies such as M100 and M101 (Sandage 1961), although the frequency of this structure has not been well characterized as it is rarely resolved in ground-based observations. Visible-wavelength HST images of the centers of spirals have uncovered more non-active galaxies with nuclear spiral structure, but it is not obviously present in all cases (Carollo et al. 1998). The near-ubiquity of nuclear dust spirals in AGN (see also Quillen et al 1999; Regan & Mulchaey 1999) and the possibility that shocks remove sufficient angular momentum to fuel the nuclear activity prompts a simple question: Are nuclear dust spirals present with equal frequency in non-active galaxies? If they are not, this would be strong evidence in favor of a causal connection between nuclear dust spirals and the fueling of AGN.

We are currently imaging a large sample of non-active galaxies with WFPC2 on HST that have previous NICMOS images in order measure the frequency of nuclear spiral structure in a well-matched control sample. While these observations are not yet complete, we have found non-active galaxies which show grand-design (Figure 3, bottom row) and flocculent (Figure 4, bottom row) nuclear dust spirals. A preliminary result of this survey is that nuclear spirals structure is fairly common in non-active galaxies, although we do not yet have an adequate sample size to properly characterize the relative frequency of these structures in active and non-active galaxies, or to look for trends with Hubble type and other galaxy properties.

## 4. Implications for AGN fueling

The main problem with nuclear spiral structure as a fueling mechanism for AGN is quite different from that of bars and interactions, namely it appears to be too common rather than too rare. These observations indicate that AGN and non-active galaxies have similar morphologies, whether nuclear spirals or nuclear bars, on 100-parsec scales. One simple interpretation is that the typical lifetime of low-luminosity AGN is less than the dynamical time on 100-parsec scales, which corresponds to a few times $`10^7`$ years.

### Acknowledgments.

I would like to thank my collaborators in this project: Rick Pogge, John Mulchaey, and Mike Regan, for allowing me to present this work in advance of publication, as well as Johan Knapen for organizing such an interesting meeting. Support for this work was provided by NASA through grant numbers GO-7867 and GO-8597 from the Space Telescope Science Institute, which is operated by the Association of Universities for Research in Astronomy, Inc., under NASA contract NAS5-26555.

## References

Carollo, C.M., Stiavelli, M., & Mack, J. 1998, AJ, 116, 68

Elmegreen, B.G., Elmegreen, D.M., Brinks, E., Yuan, C., Kaufman, M., Klarić, M., Montenegro, L., Struck, C., & Thomasson, M. 1998, ApJ, 503, L119

Friedli, D. & Martinet, L. 1993, A&A, 277, 27

Knapen, J.H., Shlosman, I., & Peletier, R.F. 2000, ApJ, 529, 93

Márquez, I. et al. 1999, A&AS, 140, 1

Martini, P. & Pogge, R.W. 1999, AJ, 118, 2646

Martini, P., Pogge, R.W., Ravindranath, S., & An, J.H. 2001, ApJS, submitted

Montenegro, L.E., Yuan, C., & Elmegreen, B.G. 1999, ApJ, 520, 582

Mulchaey, J.S., Regan, M.W., & Kundu, A. 1997, ApJS, 11, 299

Pfenniger, D. & Norman, C. 1990, ApJ, 363, 391

Quillen, A.C., Frogel, J.A., Kenney, J.D.P., Pogge, R.W., & DePoy, D.L. 1995, ApJ, 441, 549

Quillen, A.C., Alonso-Herrero, A., Rieke, M.J., McDonald, C., Falcke, H., & Rieke, G.H. 1999, ApJ, 525, 685

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Sandage, A. 1961, The Hubble Atlas of Galaxies. Carnegie Institution of Washington, Washington DC

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# X-ray source population of the Galactic center region obtained with ASCA

## 1. The ASCA Galactic Center Survey

Due to the crowdedness of and heavy absorption to the Galactic center (hereafter, GC) region, the information, including the distances, on the X-ray sources there has been limited. If the spectra of the sources are examined, the obtained column density can be a good indicator of the distance.

For the ASCA GC survey data, we have made point-source search, spectral fitting for the detected sources, and identification, combining past references (Sakano et al. 2001). We hence could determine their spectral parameters, including the column density, for the bright sources (Sakano et al. 2001).

We here investigate what determines the column density to bright X-ray sources, and then estimate the distribution of cold interstellar matter in the GC region. We study and discuss the statistical property of the X-ray sources in the GC region. We assume the distance to the GC to be 8.5 kpc.

## 2. Column Densities

we thus estimate the scale length of the cold ISM density in the GC region for the perpendicular direction from the plane to be 20 pc, whereas the total cold ISM mass is calculated to be $`6\times 10^7`$ M, assuming the solar abundance and a simple radially-symmetrical shape for the cold ISM distribution.

## 3. X-ray source population

Our results strongly confirmed the population of late-type objects in the GC region (Table 1). Note that we classified pulsars to high-mass X-ray binaries (HMXBs) and bursters to low-mass X-ray binaries (LMXBs) because the companion stars are not identified for most of the sources. Since the companions of HMXBs are considered to have been born $`10^7`$ years ago, the number of HMXBs or the ratio of HMXBs to LMXBs is a good indicator for the past star formation activity in the observed region; our result suggests rather quiet star formation activity $`10^7`$ years ago in the GC region.

## References

van Paradijs 1995, In “X-ray Binaries” (Cambridge: UP)

Sakano, M., Koyama, K., Murakami, H., Maeda, Y., & Yamauchi, S. 2001, ApJS, submitted

Yokogawa, J., Imanishi, K., Tsujimoto, M., Nishiuchi, M., Koyama, K., Nagase, F., & Corbet, R. H. D. 2000, ApJS, 128, 491


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# Correlation between the residual resistance ratio and magnetoresistance in MgB2

## Introduction

The discovery of superconductivity in MgB2 at temperatures as high as 40 K has attracted considerable interest because of its being a simple inter-metallic binary compound with negligible grain boundary effect and small anisotropy and thus its suitability for device applications. The appearance of superconductivity in MgB2 with such a high transition temperature immediately raises the possibility of even higher superconducting temperatures in conventional metallic binary materials. The underlying mechanism of superconductivity in this system is still an open question. At least two competing models have been proposed to account for the superconducting properties in MgB2 and the high $`T_c`$ of 40 K. While both models attribute the superconductivity to the boron-sublattice conduction bands, the pairing mechanisms proposed differ significantly. Kortus et al. proposed a well-established phonon-mediated BCS theory, in which the high $`T_c`$ value is believed to be due to the high phonon frequencies of the light boron atoms and the strong electron-phonon interactions. This mechanism is supported by a number of experiments, such as: isotope effect, a strong negative pressure coefficient of $`T_c`$, quasi-particle tunneling, specific heat, photoemission spectroscopy, and inelastic neutron scattering. Alternatively, Hirsch proposed a “universal” mechanism in which the superconductivity in MgB2 is driven by the pairing of dressed holes. In fact, an indication of hole-type conduction in the normal phase was found in the positive thermoelectric power. The hole character of carriers was confirmed by Hall measurements.

Soon after the discovery of superconductivity in MgB2, the resistivity and mangetoresistance in the normal state were studied. However, the results reported differ from group to group. The reported resistivity at room temperature ranges from 9.6 to 100 $`\mu \mathrm{\Omega }`$cm, and that at 40 K from 0.38 to 21 $`\mu \mathrm{\Omega }`$cm. Ames Laboratory reported that the resistivity in the normal state followed $`T^3`$ behavior and observed a large magnetoresistance, while Jung et al. and Takano et al. claimed that the resistivity in the normal state followed $`T^2`$ behavior and that the resistance in the normal state did not depend on the external magnetic field. Bud’ko et al. suggested that the clear magnetoresistance might be much harder to detect in the samples with defect scattering. Indeed, the residual resistance ratio, RRR=$`\rho `$(300 K)/$`\rho `$(40 K), reported varies with samples. The RRR reported by Ames Laboratory is about 25, much larger than those reported by other groups, typically 2–3, even for epitaxial thin films. It is worth noting that the superconducting transition temperatures of the samples seem to be nearly the same although their properties in the normal state are quite different. To understand the nature of the resistivity and mangetoresistance in the normal state, we report here a systematic study on transport properties and magnetoresistance of bulk and thin-film samples with different nominal compositions. It is found that these samples show almost the same transition temperature except for the thin-film sample, while their temperature- and magnetic-field-dependences of the normal state resistivity, as well as their residual resistance ratios, are very different. We found that the magnetoresistance is closely related to the residual resistance ratio and can be scaled by a simple formula that can be understood in terms of a reduction of the effective mean-free path of the carrier in the presence of a magnetic field.

## experiment

The polycrystalline MgB2 samples studied were prepared by a solid-state reaction method. Small Mg chips (99.8% pure) and boron powder (99.7% pure) with stoichiometries of Mg:B=1:2, 1.25:2, and 1.5:2 were sealed inside Ta tubes in an Ar atmosphere. Each sealed Ta ampoule was in turn enclosed in a quartz tube. The ingredients were heated slowly up to 950 C and kept at this temperature for 2 hr, followed by furnace-cooling to room temperature. The samples so-prepared were granular and porous and were used for measurements without further treatment. The thin-film boron was prepared by sputtering. The thin-film MgB2 was synthesized by exposing thin-film boron to Mg vapor at 700 C for adequate exposure time. Given that MgB2 is the most Mg-rich binary Mg-B compound known, it was felt that excess Mg would aid in the formation of the proper, stoichiometric phase. It should be pointed out that most MgB2 samples were synthesized with a stoichiometric starting composition. However, noticeable amounts of MgO and/or Mg are either frozen inside the samples or deposited on the walls of the sample containers. Thus, the true Mg composition is certainly not the starting composition. Oxygen contamination has also been widely discussed, particularly in terms of the $`T_c`$ degradation of MgB2 films. This could be why the thin film has a very small RRR. The structure was determined by powder X-ray diffraction, using a Rigaku DMAX-IIIB diffractometer. The resistivity was measured using the standard four-probe technique. The isothermal mangetoresistance was measured using a SQUID magnetometer (Quantum Design). The magnetic field was applied perpendicular to the measuring current direction. The transverse magnetoresistance in the normal state was measured.

## Results and Discussion

The powder X-ray diffraction (XRD) patterns of the samples show the hexagonal MgB2 phase, but with a minor amount of MgO as an impurity. It is worth pointing out that no metal Mg is observed in the XRD pattern for any sample, including those with excess Mg as starting material. Figure 1 shows the temperature dependence of resistivity for all samples. For the bulk samples, the superconducting transition temperature ($`T_c`$) is 38.3–39.3 K; $`T_c`$ of the thin-film sample is 25 K. The residual resistance ratios (RRR) of these samples are different, and the RRR is 3.03, 2.65, and 8.3 for the samples with the nominal composition Mg:B=1:2, 1.25:2, and 1.5:2, respectively; it is only 1.16 for the thin-film sample. The resistivity values at room temperature are 14, 88, and 49 $`\mu \mathrm{\Omega }`$cm, respectively; and 188 $`\mu \mathrm{\Omega }`$cm for the thin film. It has been reported that the temperature dependence of resistivity follows the $`a+bT^3`$ form reported for the polycrystalline MgB2 with a RRR of 25, while Jung et al. claimed that the temperature dependence of resistivity follows $`a+bT^2`$ for the high pressure sample with a RRR of 2.4. To investigate the resistivity behavior, the temperature dependence of resistivity in the normal state for all samples has been fitted by a formula $`a+bT^c`$, where $`a`$, $`b`$, and $`c`$ are fitting parameters. The solid lines in Fig. 1 are the fitting curves by $`a+bT^c`$. The experimental data could be fitted very well. These parameters are listed in Table 1. The superconducting transition temperature and width also show a systematic change, but their change is very small, especially for $`T_c`$.

From Table 1, RRR increases with increasing $`x`$. The fitting parameter $`c`$ also increases as $`x`$ increases, and is between 2.17 and 2.64, depending on the sample. These results indicate that the RRR and the fitting parameter $`c`$ are closely related to the nominal Mg content. The value of $`c`$ increases with RRR. This result is understandable from the empirical studies of conventional superconductors. Gurvitch has done exhaustive studies on how the power law of $`\rho `$ vs. $`T`$ depends on RRR or the residual resistivity. The power law behavior in low temperature resistivity changes from $`T^n`$ ($`n`$=3–5) for very clean samples to $`T^2`$ as disorder increases; the dirty superconductors reach a limit $`n`$=2. Such a transition only takes place in moderate- and strong-coupled superconductors. An example of this effect is found in superconducting VN, which can be prepared with a wide variation in disorder, while $`T_c`$ remains nearly constant and is quite insensitive to even large amounts of disorder, similar to MgB2. For the well-ordered, stoichiometric VN film, the value of RRR is 8.4 ($`\rho _0=5.0`$ $`\mu \mathrm{\Omega }cm`$); while the RRR value drops to 1.14 ($`\rho _0`$=63 $`\mu \mathrm{\Omega }cm`$) for the same sample damaged by radiation. The low temperature-dependent resistivity $`\rho (T)`$ from 10 to 30 K was fit to a function of the form $`\rho _0+AT^n`$. The fitting parameter $`n`$ is 4 and 2.25 for the clean and dirty (damaged) films, respectively. This is very similar to that observed in MgB2 and explains why the different temperature-dependent resistivity is observed in MgB2, as discussed in the introduction. In order to compare with superconducting VN, the low temperature resistivity $`\rho (T)`$ from 40 to 100 K is very well fit with the function of the form $`a_1+b_1T^{c_1}`$ for all samples. It should be pointed out that the fitting cannot be convergent for thin-film samples. Thus, the $`c_1`$ is missing in Table 1. The results of the present study on MgB2 are consistent with the above, which might be another indication that electron-phonon interaction is important. In addition, the increased RRR and $`c_1`$ with excess Mg suggests that the disorder was induced by Mg loss in the sample processing, and excess Mg is needed to obtain more stoichiometric samples. In fact, high quality MgB2 wire was produced with much excess Mg of a nominal ratio of Mg2B. The disorder could arise from the Mg deficiency, which causes the scattering. In addition, the high pressure study on MgB2 has suggested the existence of Mg non-stoichiometry.

Figure 2a shows the isothermal transverse MR at 50 K for all samples. It is found that the MR is always positive, and varies with field in a similar fashion. It is interesting to note that the value of magnetoresistance increases monotonously with increasing residual resistance ratio. This accounts for the huge MR observed by Ames Laboratory, while others observed almost zero MR; the Ames sample had a comparatively large RRR. It is customary to analyze the classical orbital MR using the Kohler plot. The motivation is that, in conventional metals, the coefficient of the $`B^2`$ term is proportional to the transport scattering time $`\tau _{tr}(T)`$. Since $`\rho `$ is proportional to $`1/\tau _{tr}(T)`$, a slope of $`\mathrm{\Delta }\rho /\rho _0`$ vs. $`(H/\rho )^2`$ should fall on a straight line with a slope that is independent of $`T`$. The same data in Fig. 2a are plotted on a Kohler plot shown in Fig. 2b. It is found that the $`\mathrm{\Delta }\rho /\rho _0`$ vs. $`H`$ curve is a straight line at constant temperature for all samples. The slope of $`\alpha `$ is between 1.6 and 2. It suggests that the magnetic field dependence of mangetoresistance follows $`\mathrm{\Delta }\rho (H)/\rho (0)H^\alpha `$ with $`\alpha `$=1.6–2, which is nearly the same as $`\alpha `$ predicted by Kohler’s rule. Figure 2c shows a Kohler plot of magnetoresistance at 100 K and 50 K for the sample with nominal composition Mg1.5B2. It is found that the data fall on the single curve, independent of temperature. These results suggest that there exists a single salient scattering time in the normal state transport of MgB2. It should be pointed out that all samples with different nominal composition follow the Kohler’s rule although the RRR is different. It implies that the normal state behavior of the samples with different nominal composition arises from the crystal grain rather than the grain boundary. Although the temperature dependence of the resistivity for a ceramic sample often depends on its porosity and inter-grain coupling, the large variation of RRR suggests intrinsic differences in samples.

In order to clarify the differences in MR of samples with different RRR, we plot the mangetoresistance at 50 K and under magnetic field of 5 Tesla vs. RRR, as shown in Fig. 3. It is found that the MR increases monotonously with increasing RRR. The data fit very well the relation 0.04(RRR)2.2±0.1 as shown in Fig. 3. It implies that the MR could be scaled by the residual resistance ratio. From our results, the mangetoresistance for the sample with RRR of 2–3 is only 0.2–0.5%, while about 5% for the sample with RRR of 8.3. For the sample with RRR of 25–26 a MR of about 50% at 50 K and under 5 Tesla could be obtained from the formula above, consistent with that reported by Ames Laboratory. Our results provide an explanation for the huge difference in magnetoresistance observed in MgB2 by various groups. In fact, this behavior is understandable. It has been pointed out that the magnetic field dependence of isothermal magnetoresistance follows the Kohler’s rule $`\mathrm{\Delta }\rho /\rho _0`$=const.$`[H/\rho (0)]^2`$. In a metal, the $`\rho (0)1/l`$ and $`l`$ is the mean-free path, so that $`\mathrm{\Delta }\rho /\rho _0(Hl)^2`$. The RRR is proportional to the mean free path $`l`$ at low temperature, so that $`\mathrm{\Delta }\rho /\rho `$ RRR2, which is in agreement with our observation. It further suggests that the mangetoresistance behavior arises from the crystal grain rather than the grain boundary. The different results for the magnetoresistance reported previously are thus attributed to the different mean-free paths due to defect scattering in grains. A significant sample-dependent defect scattering is expected. The differences in the RRR, the temperature dependence of resistivity in the normal state, and mangetoresistance for different samples have been previously attributed to either the pressure or the thermal history used during the synthesis. However, the fact that similar low RRR and negligible magnetoresistance have been observed in samples synthesized under both ambient and high pressure challenges these interpretations. The differences of resistivity and magnetoresistance observed in this paper arise only from the content of Mg in the samples, suggesting that the defect scattering comes from the Mg deficiency in the sample. In fact, Cooper et al. proposed in 1970 that boron in borides AB2 might be nonstoichiometric. In addition, Xue et al. observed a correlation between the Mg loss and XRD data as evidence for Mg deficiency.

## conclusion

The resistivity and mangetoresistance in the normal state have been investigated for samples with different RRR. The magnitude of mangetoresistance is found to vary with the residual resistance ratio, $`a_0`$(MR)=0.04(RRR)2.2±0.1. Although the transport properties of the samples are different, their superconducting transition temperatures are nearly the same. The mangetoresistance behavior follows the Kohler’s rule. The different MR’s and RRR’s reported previously arise from defects in grain rather than the bound boundary, due to Mg deficiency. It is found that the correlation between power law dependence of the low temperature resistivity ($`\rho `$ vs. $`T^c`$) and the RRR is the same as that observed in the strongly coupled superconductor VN. Therefore, it is understandable that the $`\rho (T)`$ behavior with different $`c`$ is observed in different groups, arising from the disorder (Mg deficiency) in samples.

## acknowledgments

This work was supported in part by NSF Grant No. DMR-9804325, MRSEC/NSF Grant No. DMR-9632667, the T. L. L. Temple Foundation, the John and Rebecca Moores Endowment, and the State of Texas through the Texas Center for Superconductivity at University of Houston; and at Lawrence Berkeley Laboratory by the Director, Office of Energy Research, Office of Basic Sciences, Division of Material Science of the U. S. Department of Energy under Contract No. DE-AC0376SF00098.


text:
# The Band Gap in Silicon Nanocrystallites

## I Introduction

Semiconductor nanocrystallites, more popularly known as quantum dots (QDs), have been extensively studied over the past decade and a half. The system is interesting from the point of view of basic physics, with the carriers being confined to an essentially “zero dimensional” structure. The efficient luminescence observed in some of these crystallites makes them promising candidates for opto-electronic devices. Further, the inexorable drive towards device miniaturization makes them technologically significant.

The earliest theoretical works in this field were reported in early 1980’s . For over a decade after, most of the theoretical works reported were based on effective mass theory (EMT) and tight-binding semi-empirical approaches. These works predicted the experimentally observed trends for quantum confinement, i.e. the inverse dependence of enhanced band gap on the nanocrystallite size. These calculations were, however, performed for a single nanocrystallite, whereas experiments are performed on an ensemble of QDs of varying sizes. We have earlier pointed out that the existence of an ensemble of QDs of varying sizes must be taken into account in any theoretical formulation . Though improved theoretical calculations were pursued later, this aspect has largely been ignored.

In a recent work Ogut et al.  reported a “state-of-the-art” theoretical calculations based on first principles. This work is claimed to be in excellent agreement with an early experimental work  and is claimed to be superior to semi-empirical calculations. We compared their calculations to a later “state-of-the-art” experimental results of Buuren et al. . We found that there was a large disagreement between the two. This comparison is presented in Sec. II. In Sec. III, we proffer a phenomenological scheme for this underestimation of the band gap and suggest a possible reconciliation between the theory and experiment. Conclusions are presented in Sec. IV.

## II Comparison : Theory vs. Experiment

In a Letter Ogut et al.  have employed a carefully argued ab-initio methodology to obtain the size-dependent optical gap of Si QDs with sizes ranging from 1 to 3 nm. These authors choose to compare their calculations with the experimental observations of Furukawa and Miyasato . A little later  Buuren et al. reported state of the art measurements of the band edges of Si quantum dots (QDs) with average diameters ranging from 1 to 5 nm. By adding the measured conduction band (CB) and valence band (VB) shifts to the band gap of bulk Si they obtained the band gap of the Si QDs. Recent PL and extended X-ray absorption data for oxygen terminated silicon nanocrystallites of size less than 4 nm, were found to match these observations . These band gaps are smaller than most reported theoretical calculations. This fact was noted by Buuren et al. who choose to compare their observations with older calculations by Wang and Zunger . We also note that several first principles/LDA calculations on nanocrystalline forms of Si have been reported in the past . It appears that theoretical calculations over-estimate the gap.

A comparison of the “state-of-the-art” theoretical calculations  with the “state-of-the-art” experimental observations  reveals that the two are in substantial disagreement with each other. This comparison is presented in Fig. 1. In fact the Ogut et al. calculation does worse than Wang and Zunger (not shown in Fig. 1) and other semi-empirical theoretical calculations. Perhaps the only commonality between the theory and experiment depicted in the figure maybe stated in terms of a bland quantum confinement (QC) dictum: “the band gap increases as the size decreases”.

The disagreement between theory and experiment is enhanced at smaller dot sizes. Were we to make a constant upward shift of 0.72 eV to the data of Buuren et al. such that they match with the theoretical calculation at 3.5 nm then the increasing divergence at smaller sizes is clearly manifested. This is depicted in the inset of Fig. 1. On the other hand, we may translate the experimental data horizontally by 1.75 nm and force an agreement with the (extrapolated) theoretical calculations. This would imply that the QD sizes have been seriously underestimated by Buuren et al.. While the latter do not discount the possibility of some underestimation, a 1.75 nm error is unlikely.

Ab-initio calculations are computationally demanding at large QD sizes. As we have pointed out the disagreement between theory and experiment is pronounced at smaller dot sizes. It should be possible to re-examine or repeat the ab-initio calculation in this computationally feasible intermediate regime.

## III Phenomenology

The observation of visible photoluminescence (PL) in a variety of semiconductor nanocrystallites has fueled a large body of research work in the past decade . PL has acquired the role of central characterizing tool in this field. The photoluminescence spectra from such systems are broad, and often asymmetric about the peak energy. The growth of the QDs is a stochastic process. In an earlier work we have argued that one needs to consider the distribution of crystallite sizes to compare with the experimental spectral lineshape . A Gaussian size distribution was used in those works. For semiconductor nanostructures, the log-normal size distribution has considerable experimental  and theoretical  support. Specifically, Yorikawa and Muramatsu  presented an explanation of PL spectra based on the log-normal distribution of porous silicon QD size. The experimental work reported by Buuren et al. also shows a log-normal distribution.

We consider the log-normal size distribution, $`P(d)`$, of diameter $`d`$ centered around a mean diameter $`d_0`$,

$`P(d)`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{2\pi }\sigma d}}\mathrm{exp}\left[{\displaystyle \frac{\left(\mathrm{ln}d\mu \right)^2}{2\sigma ^2}}\right]`$ (1)
$`d_m`$ $`=`$ $`\mathrm{exp}(\mu \sigma ^2)`$ (2)
$`d_0`$ $`=`$ $`\mathrm{exp}\left({\displaystyle \frac{\sigma ^2}{2}}+\mu \right)`$ (3)
where $`d_m`$ is the dot size for which the maxima occurs in the log-normal distribution and {$`\mu ,\sigma `$} are some characteristic constants.

The number of electrons in a dot of diameter $`d`$ participating in a PL process is proportional to $`d^3`$. Thus, for an ensemble of QDs, the probability distribution of electrons participating in the PL process is

$`P_e(d)`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{2\pi }\sigma d}}bd^3\mathrm{exp}\left[{\displaystyle \frac{\left(\mathrm{ln}d\mu \right)^2}{2\sigma ^2}}\right]`$ (4)
where $`b`$ is a suitable normalization constant.

In general, the optical band gap is attributed to the energy upshift of the electron and yield

$`E`$ $`=`$ $`E_{\mathrm{}}+{\displaystyle \frac{C}{d^n}}`$ (5)
where $`E`$ is the enhanced gap, $`E_{\mathrm{}}`$ is the bulk silicon gap (1.17 eV), $`C`$ is an appropriately dimensioned constant and $`n`$ is the exponent  with $`n[1,2]`$.

Hence the energy upshift, $`\mathrm{\Delta }E`$, due to confinement in QD is

$`\mathrm{\Delta }E`$ $`=`$ $`{\displaystyle \frac{C}{d^n}}`$ (6)
$`\mathrm{\Delta }E_0`$ $`=`$ $`{\displaystyle \frac{C}{d_0^n}}`$ (7)
where $`\mathrm{\Delta }E_0`$ is a mean upshift, which is related to the mean diameter $`d_0`$ of QD.

Now, convoluting the upshift (eqn. (6)) with the log-normal size distribution (eqn. (4))

$`P(\mathrm{\Delta }E)`$ $`=`$ $`{\displaystyle _0^{\mathrm{}}}\delta (\mathrm{\Delta }E{\displaystyle \frac{C}{d^n}}){\displaystyle \frac{d^2}{\sqrt{2\pi }\sigma }}\mathrm{exp}\left[{\displaystyle \frac{\left(\mathrm{ln}d\mu \right)^2}{2\sigma ^2}}\right]d(d)`$ (8)
The above integral can be easily solved using the property of Dirac delta function, which yields

$`P(\mathrm{\Delta }E)`$ $`=`$ $`{\displaystyle \frac{b}{\sqrt{2\pi }\sigma nC}}\left({\displaystyle \frac{C}{\mathrm{\Delta }E}}\right)^{(3+n)/n}\mathrm{exp}\left[{\displaystyle \frac{\{(1/n)\mathrm{log}(C/\mathrm{\Delta }E)\mu \}^2}{2\sigma ^2}}\right]`$ (9)
For the PL peak, we equate the derivative of the eqn. (9) to zero. The shift in the PL peak position, $`\mathrm{\Delta }E_p`$, is given by

$`\mathrm{\Delta }E_p`$ $`=`$ $`C\mathrm{exp}\left[\{(3+n)\sigma ^2+\mu \}n\right]`$ (10)
$`=`$ $`{\displaystyle \frac{C}{d_0^n}}\left({\displaystyle \frac{d_m}{d_0}}\right)^{n[2n+5]/3}`$ (11)
We employ eqn. (11) in eqn. (5) to get

$`E`$ $`=`$ $`E_{\mathrm{}}+\mathrm{\Delta }E_p`$ (12)
$`=`$ $`E_{\mathrm{}}+{\displaystyle \frac{C}{d_0^n}}\left({\displaystyle \frac{d_m}{d_0}}\right)^{n[2n+5]/3}`$ (13)
Eq. (13) represents the final form for estimating a more realistic size dependence of the optical gap. The exponent $`n=`$1.22 and $`C=`$ 3.9 in appropriate units, for the results of Ogut et al. shown in fig. (1). Kanemitsu et al.  obtained the size distribution of oxidized Si nanocrystallites produced by laser breakdown of silane gas. The optimum log-normal fit on these experimental data yield $`d_m/d_0[0.7,0.95]`$. We have used three values 0.7, 0.8 and 0.9 of the ratio $`d_m/d_0`$ in eqn. (13) and depicted them alongside the data from Ogut et al. and Buuren et al. in fig. (2). We see that our calculation with the value 0.7 brings Ogut et al.’s result in complete agreement with Buuren et al.’s result. Further our phenomenological model produces more pronounced downshift at smaller sizes. This is once again in agreement with the experimental trend. The asymmetric distribution of the dot size with stretched tailing towards larger QDs is responsible for the lower $`d_m/d_0`$ ratio, though the skewness may not be as pronounced as $`d_m/d_0`$ = 0.7. Thus, for more asymmetric log-normal distribution one obtains more prominent downshift at smaller sizes.

## IV Conclusion

We find that a recent “state-of-the-art” theoretical calculation  for optical gap is in large disagreement with a closely following “state-of-the-art” experimental work . The comparison is even worse for smaller crystallite sizes. The experimental work reported a log-normal size distribution for nanocrystallite samples, whereas the theoretical work was performed on a single crystallite. This theoretical calculation showed a very good agreement with a decade old experimental work, whereas other semi-empirical works were shown to be in poor agreement. To the contrary, we find that the semi-empirical works were in better agreement with Buuren et al.’s experimental work.

Ab-initio calculations are computationally demanding at large QD sizes. As we have pointed out the disagreement between theory and experiment is pronounced at smaller dot sizes. It should be possible to re-examine or repeat the ab-initio calculation in this computationally feasible intermediate regime.

We have used the methodology discussed in earlier works  with a log-normal distribution. We have shown that Ogut et al.’s results can be in better agreement with experimental works if size distribution is explicitly taken into account. In our formulation the downshift of optical gap is larger for smaller crystallite sizes, making this exercise even more relevant to the present case.

We caution however that the disagreement between the theory and the experiment may not be solely related to a distribution of crystallite sizes. Other factors could be crucial. These are : (i) partial passivation, (ii) passivation with species other than hydrogen, (iii) surface reconstruction, (iv) flattening of the dot, and (v) size underestimation by the microscopic techniques. Some of these factors have been mentioned by Buuren et al. .

There has been a growing realization that the existence of an ensemble of QDs of varying sizes must be taken into account in order to explain experimental observations . Tentative attempts have been made to understand the radiative rate, decay constant, absorption data, etc. based on these considerations. Perhaps any theoretical calculation on a single nanocrystallite should be supplemented with effective size averaging before a comparison with experiment is made.

## Acknowledgement

This work was supported by the Department of Atomic Energy through the Board of Research in Nuclear Sciences, India.

## Figure Caption


text:
# 1 Characteristic Time Scales

## 1 Characteristic Time Scales

Crystalline symmetry is a well-defined geometric notion. But a crystal as such is a physical object consisting of many moving particles. In what sense these particles form a crystalline lattice with a given symmetry? An intuitive answer to this question would be that it is the average positions of particles which form a crystalline lattice, with the averaging performed over sufficiently large time. But, to be mathematically correct, it is necessary to concretize what does mean ”sufficiently large” with respect to the observation time. The aim of this report is to demonstrate that the minimal time scale providing the lower threshold for the observation time is the mesoscopic fluctuation time.

There are several characteristic time scales for a system of interacting particles . The smallest typical time is the interaction time

$$\tau _{int}\frac{a_s}{v},$$
(1)
in which $`a_s`$ is an effective interaction radius, or effective particle size, or scattering length, and $`v`$ is a characteristic particle velocity, say, sound velocity. When observing a system of particles during an observation time $`\tau _{obs}`$ that is smaller than $`\tau _{int}`$, the motion of these particles looks absolutely random, with no preferable positions in space.

Another important scale is the local-equilibrium time

$$\tau _{loc}\frac{\lambda }{v},$$
(2)
where $`\lambda `$ is a mean free path. The latter is connected with the scattering length $`a_s`$ and the average density of particles, $`\rho `$, as $`\lambda (\rho a_s^2)^1`$. The average density $`\rho a_0^3`$, with $`a_0`$ being a mean interparticle distance. Hence, $`\lambda a_0^3/a_s^2`$, from where

$$\tau _{loc}\left(\frac{a_0}{a_s}\right)^3\tau _{int}.$$
(3)
During the local-equilibrium time, particles interact with each other, so that the state of local equilibrium is being evolved.

At a very short time $`t`$, one has the dynamic stage, when

$$0<t<\tau _{int},$$
(4)
and particles move randomly. No spatial symmetry in the positions of particles can be noticed for the observation time in the diapason (4). The second time interval corresponds to the kinetic stage, when

$$\tau _{int}<t<\tau _{loc}.$$
(5)
At this stage, interparticle correlations begin arising due to interactions, but the overall motion looks yet rather disorganized, resembling the Brownian motion. In solids, $`a_0`$ is just slightly larger than $`a_s`$, so that the local-equilibrium time (3) is only a little longer than the interaction time, $`\tau _{loc}\tau _{int}`$. The kinetic stage (5) is practically absent in solids. One has the hydrodynamic stage, when

$$\tau _{loc}<t<\mathrm{}.$$
(6)
It is at this stage when the averaged motion of particles is commonly assumed to define a crystalline lattice symmetry, under the appropriate external conditions.

However, in general, it is not the local-equilibrium time (3) that gives the lower threshold for the observation time, in order that the lattice symmetry be well defined. The actual lower threshold is much larger than $`\tau _{loc}`$. There exists one more time scale that can be called the mesoscopic fluctuation time

$$\tau _f\frac{l_f}{a_0}\tau _{loc},$$
(7)
in which $`l_f`$ is a linear size of a quasiequilibrium fluctuation . The fluctuation is termed mesoscopic because of its intermediate size, being in the interval $`a_0l_fL`$, where $`L`$ is a characteristic length of the system. Since $`l_fa_0`$, one has $`\tau _f\tau _{loc}`$.

In this way, the hydrodynamic stage (6) consists of two qualitatively different parts. One is the mesoscopic stage, when

$$\tau _{loc}<t<\tau _f.$$
(8)
Here, crystalline symmetry cannot yet be rigorously defined for the whole system, although the main part of the latter may already be approximately described by a kind of symmetry. At the macroscopic stage, when

$$\tau _f<t<\mathrm{},$$
(9)
the averaged motion of particles can be correctly characterized by assigning a concrete spatial symmetry. It is the mesoscopic fluctuation time (7) that defines the lower threshold for the observation time which is necessary for making the notion of symmetry physically meaningful. In this regard, sufficiently large observation time implies

$$\tau _{obs}\tau _f.$$
(10)
Only averaging over the observation time satisfying the inequality (10) provides a mathematically correct definition of the related lattice symmetry.

## 2 Two-Phase Lattice Model

In order to examplify the existence of mesoscopic fluctuations, let us consider a lattice model for which such fluctuations not only do exist but their presence makes the system more stable. Lattice models describe the physics of solids where an essential concentration of vacancies can arise. These vacancy defects appear in crystals with high anharmonicity. Among such objects, we could mention quantum crystals \[2–6\], crystallized plasma , crystallized white dwarfs , crystals near liquid-solid transition  and crystals close to vitrification . Mesoscopic fluctuations of heterophase nature are common for liquid crystals .

It is worth noting that mesoscopic heterophase fluctuations exist not only in crystals but also in other materials. Thus, they are clearly observed by neutron scattering experiments in many magnetic alloys . Even in such classical ferromagnets as Fe and Ni, there appears local magnetic order in their paramagnetic phase, which is also a sort of mesoscopic fluctuations . Similar phenomenon occurs in high-temperature superconductors where it is often termed phase separation \[17–22\]. More examples can be found in Ref. .

Now, let us turn to the lattice model to be analyzed in what follows. Consider a system of $`N`$ particles in volume $`V`$. Each particle can occupy one and only one lattice site of a given crystalline lattice. Not all lattice sites are occupied, but some of them are vacant. The distribution of vacancies through the volume is not uniform. Some parts of the system contain more vacancies than other, which results in essentially different density of particles in the corresponding regions. The location and shapes of these parts with different density are not fixed, but fluctuate in space and time, forming a system with mesoscopic density fluctuations . Thus, we have a heterophase system with coexisting dense and dilute phases. Such a system can serve as a cartoon of a crystal with regions of disorder .

Let us label the quantities related to the dense phase with the index 1 and those corresponding to the dilute phase, by the index 2. For instance, the average number of particles pertaining to the dense phase is $`N_1`$, occupying the volume $`V_1`$, while the average number of particles in the dilute phase is $`N_2`$, inside the volume $`V_2`$. The total number of particles and the system volume are conserved:

$$N=N_1+N_2,V=V_1+V_2.$$
(11)
Because of the presence of vacancies, the number of lattice sites, $`N_0`$, is larger than the total number of particles $`N`$. Hence, the density of sites is larger than that of particles:

$$\rho _0>\rho ,\rho _o\frac{N_0}{V},\rho \frac{N}{V}.$$
(12)
By definition, the dense phase has a larger density of particles than the dilute phase:

$$\rho _1>\rho _2,\rho _\nu \frac{N_\nu }{V_\nu }(\nu =1,2).$$
(13)
Introducing the geometric probabilities of the corresponding phases,

$$w_\nu \frac{V_\nu }{V},w_1+w_2=1,$$
(14)
the mean density of particles can be written as

$$\rho =w_1\rho _1+w_2\rho _2.$$
(15)
For what follows, it is convenient to define the dimensionless densities

$$n_\nu \frac{\rho _\nu }{\rho _0},n\frac{\rho }{\rho _0}=\frac{N}{N_0},$$
(16)
for which Eq. (15) reduces to

$$n=w_1n_1+w_2n_2.$$
(17)
A system with mesoscopic heterophase fluctuations is quasiequilibrium and has to be described by a quasiequilibrium Gibbs ensemble , with a statistical operator $`\rho (\xi )e^{Q(\xi )}`$, where $`Q(\xi )`$ is a quasihamiltonian and the set $`\xi =\{\xi _\nu (𝐫)\}`$ of manifold indicators characterizes a distribution of phases in space. This phase distribution is frozen at the mesoscopic stage (8), when no lattice symmetry can be defined. Going to the macroscopic stage (9) implies averaging over all phase configurations. This averaging can be defined  as functional integration over the set $`\xi =\{\xi _\nu (𝐫)\}`$ of the manifold indicator functions. In the process of that integration, the notion of the heterophase Hamiltonian $`\overline{H}`$ arises, defined by the relation

$$e^{Q(\xi )}𝒟\xi e^{\beta \overline{H}},$$
(18)
in which $`\beta T^1`$ is inverse temperature, $`k_B1`$. From Eq. (18), one has

$$\overline{H}=T\mathrm{ln}e^{Q(\xi )}𝒟\xi .$$
(19)
The $`i`$-site of the lattice, pertaining to the part filled by the $`\nu `$-phase, is characterized by the variable $`e_{i\nu }`$, taking the value $`e_{i\nu }=1`$ if the site is occupied by a particle and the value $`e_{i\nu }=0`$ when the site is empty. For the heterophase Hamiltonian (19), we obtain

$$\overline{H}=H_1H_2,$$
(20)
which is a sum of the phase-replica Hamiltonians

$$H_\nu =w_\nu \underset{i=1}{\overset{N_0}{}}\left(K_i\mu \right)e_{i\nu }+\frac{1}{2}w_\nu ^2\underset{ij}{\overset{N_0}{}}\mathrm{\Phi }_{ij}e_{i\nu }e_{j\nu },$$
(21)
where $`K_i`$ is kinetic energy; $`\mu `$, chemical potential; and $`\mathrm{\Phi }_{ij}`$ is interaction potential. The phase probabilities $`w_\nu `$ are defined from the minimization of the thermodynamic potential

$$y=\frac{1}{N}\mathrm{ln}\mathrm{Tr}e^{\beta \overline{H}},$$
(22)
in which, for taking account of the normalization $`w_1+w_2=1`$, it is convenient to introduce

$$ww_1w_21w.$$
(23)
Then $`w`$ is given by the equations

$$\frac{y}{w}=0,\frac{^2y}{w^2}>0.$$
(24)
In terms of the occupation operators $`e_{i\nu }`$, the densities (13) are

$$\rho _\nu =\frac{1}{V}\underset{i=1}{\overset{N_0}{}}<e_{i\nu }>,$$
(25)
where $`<\mathrm{}>`$ implies the statistical averaging, and the densities (16) become

$$n_\nu =\frac{1}{N_0}\underset{i=1}{\overset{N_0}{}}<e_{i\nu }>.$$
(26)
Recall that, by definition, $`\nu =1`$ corresponds to the dense phase while $`\nu =2`$, to the dilute phase, so that $`\rho _1>\rho _2`$ and $`n_1>n_2`$.

It is possible to pass to quasispin representation by introducing the variable $`\sigma _{i\nu }=\pm 1`$, defined by the relations

$$\sigma _{i\nu }2e_{i\nu }1,e_{i\nu }=\frac{1}{2}\left(1+\sigma _{i\nu }\right).$$
(27)
Then the Hamiltonian (21) takes the form

$$H_\nu =U_\nu +\frac{1}{8}w_\nu ^2\underset{ij}{\overset{N_0}{}}\mathrm{\Phi }_{ij}\sigma _{i\nu }\sigma _{j\nu }\frac{1}{2}w_\nu \underset{i=1}{\overset{N_0}{}}h_{i\nu }\sigma _{i\nu },$$
(28)
where

$$U_\nu \frac{1}{2}w_\nu \underset{i=1}{\overset{N_0}{}}\left(K_i\mu \right)+\frac{1}{8}w_\nu ^2\underset{ij}{\overset{N_0}{}}\mathrm{\Phi }_{ij},$$

$$h_{i\nu }\mu K_i\frac{1}{2}w_\nu \frac{1}{N_0}\underset{ij}{\overset{N_0}{}}\mathrm{\Phi }_{ij}.$$

The form (28) corresponds to the Ising model in an external field.

To accomplish concrete calculations, let us consider the Kac-type interaction potential $`\mathrm{\Phi }_{ij}=\mathrm{\Phi }_{ij}(N_0)`$, for which

$$\underset{N_0\mathrm{}}{lim}\mathrm{\Phi }_{ij}(N_0)=0,\underset{N_0\mathrm{}}{lim}\left|\frac{1}{N_0}\underset{ij}{\overset{N_0}{}}\mathrm{\Phi }_{ij}(N_0)\right|<\mathrm{}.$$
(29)
For this kind of potentials, the problem as is known , can be solved asymptotically exactly in the thermodynamic limit, when $`N_0\mathrm{},V\mathrm{}`$, so that $`N_0/Vconst`$. In the case of such long-range potentials, the mean-field decoupling

$$<\sigma _{i\nu }\sigma _{j\nu }>=\delta _{ij}+(1\delta _{ij})<\sigma _{i\nu }><\sigma _{j\nu }>$$
(30)
becomes asymptotically exact.

## 3 Numerical Results and Conclusions

With the decoupling (30), we can calculate all thermodynamic characteristics of the model. In terms of the occupation operators $`e_{i\nu }`$, this decoupling is equivalent to the equality

$$<e_{i\nu }e_{j\nu }>=\frac{1}{2}\delta _{ij}(<e_{i\nu }>+<e_{j\nu }>)+(1\delta _{ij})<e_{i\nu }><e_{j\nu }>.$$

Calculations result in a system of transcendental equations which we have analyzed numerically. Dimensionless densities $`n_1a,n_2b,(a>b)`$, as functions of temperature $`T`$, in units of $`\mathrm{\Phi }\frac{1}{N_0}_{ij}^{N_0}\mathrm{\Phi }_{ij}`$, are presented in Fig. 1, for different mean densities. Note that from the condition of heterophase stability, that is the second of Eqs. (24), it follows that $`\mathrm{\Phi }>0`$. Fig. 2 shows the probability of the dense phase vs. temperature. The shifted chemical potential $`\mu _{}`$, defined by the equations $`\mu _{}(\mu K)/\mathrm{\Phi },K\frac{1}{N_0}_{i=1}^{N_0}K_i`$, is given in Fig. 3. The pressure, $`P`$, specific heat, $`C_V`$, and isothermal compressibility, $`\kappa _T`$, are shown in Figs. 4 to 6, respectively. All curves in Figs. 1 to 6 end at the points where the probability of the dense phase becomes zero, after which the heterophase system looses its stability, since the phase probabilities, by definition, must be always positive. Finally, in Fig. 7, the thermodynamic potential $`\omega _wyT/\mathrm{\Phi }`$ is drawn for the case of the heterophase system and also this potential, $`\omega _1`$, for the pure dense system when $`w=1`$. As is seen, one always has $`\omega _w<\omega _1`$, which means that the heterophase system is thermodynamically more stable than the pure system.

In this way, a heterophase system, exhibiting mesoscopic fluctuations, is thermodynamically more stable than a pure system without these fluctuations. At the same time, the existence of mesoscopic fluctuations implies the occurrence of local instability . In the present case, such instabilities are related to the fluctuational grouping of vacancies in some parts of the system, which forms fluctuating disordered regions locally destroying crystalline symmetry. It is only for large observation times, satisfying the inequality (10), when the system displays, on average, a perfect symmetry of the lattice, while for times shorter than the lifetimes of mesoscopic fluctuations, an ideal lattice symmetry cannot be observed. However, such a temporal breaking of symmetry makes the system more stable in the long run.

The results examplified here by a lattice model can be generalized to other physical systems. To our mind, the same conclusions concern not only simple physical systems but, even to a greater extent, all complex systems, such as societies. Thus, a society allowing the occurrence of mesoscopic fluctuations can be called democratic, while that one prohibiting any deviation from the prescribed symmetry is dictatorial. In the long run, democracy is more stable than dictatorship.

Figure Captions

Fig. 1. The density of the dense phase (solid curve) and of the dilute phase (dashed curve) as functions of temperature.

Fig. 2. The probability of the dense phase vs. temperature.

Fig. 3. The shifted chemical potential vs. temperature.

Fig. 4. The dimensionless pressure vs. temperature.

Fig. 5. Specific heat vs. temperature.

Fig. 6. Isothermal compressibility vs. temperature.

Fig. 7. Dimensionless thermodynamic potentials for the heterophase system (two lower curves) and for the pure dense system (two upper curves).


text:
# CROSSCORRELATION SPECTROPOLARIMETRY IN SINGLE-DISH RADIO ASTRONOMY

## 1 INTRODUCTION TO CROSSCORRELATION SPECTROPOLARIMETRY

Modern digital correlators permit complete, simultaneous spectropolarimetric measurements by providing the frequency spectra of all four Stokes parameters using auto and crosscorrelation. This paper is a very brief introduction to two additional papers (Heiles et al 2001a, 2001b) that provide detailed explanations of the calibration issues of such measurements. One of these deals with the measurement and calibration of instrumental effects on Stokes parameters using the $`4\times 4`$ Mueller matrix. The other deals with the more general issue of parameterizing the telescope beam and first sidelobe, for not only the usual Stokes $`I`$ but also the other three Stokes parameters; beam polarization effects can lead to serious instrumental effects when measuring extended emission.

Our work is based on experience with systems at three telescopes: the Spectral Processor at the NRAO 140 foot telescope111The National Radio Astronomy Observatory is a facility of the National Science Foundation operated under cooperative agreement by Associated Universities, Inc., the interim correlator at the Arecibo telescope222The Arecibo Observatory is part of the National Astronomy and Ionosphere Center, which is operated by Cornell University under a cooperative agreement with the National Science Foundation, and the large digital correlator at the NRAO 12-m telescope. We learned about instrumental effects that can affect the astronomical measurements unless they are properly calibrated and equipment details that need to be accounted for in the calibration.

In the present short paper we briefly outline the the technique and cover a few practical details of performing such measurements. Our purpose here is not to present a complete overview or to reiterate the many important details discussed at length in the other papers. Rather, it is to present the briefest of brief introductions and, in addition, to cover several practical details for the specialist. The basic reference for our work is the excellent book on astronomical polarization by Tinbergen (1996). A more mathematical and fundamental reference is Hamaker, Bregman, and Sault (1996), which the theoretically-inclined reader will find of interest.

The four Stokes parameters define the complete state of polarization of electromagnetic radiation. They are most simply thought of as linear combinations of orthogonal polarizations. Stokes $`I`$, the total intensity, is the sum of any two orthogonal polarizations. Stokes $`Q`$ and $`U`$ define the linear polarization: $`Q=i_0i_{90}`$ and $`U=i_{45}i_{45}`$, where $`i`$ is the power measured in a particular polarization and the numerical subscripts define the position angle of the received linear polarization. Stokes $`V`$ defines the circular polarization: $`V=i_{LCP}i_{RCP}`$. Here we follow the IEEE definition for circular polarization; $`LCP`$ means left-hand-circular polarization. $`LCP`$ is generated by transmitting with a left-handed helix, so from the transmitter the $`E`$ vector appears to rotate anticlockwise. From the receiver, $`LCP`$ appears to rotate clockwise. Generally in this paper we follow Tinbergen (1996), whose definition of $`LCP`$ is the same as ours; however, his definition of $`V`$ (see his page 61) is opposite ours and, also, the conventional one used by radio astronomers.

More generally, the Stokes parameters can be written as time-average products of the electric fields. In a radio astronomy feed these electric fields are converted to voltages, which are equivalent. Let us focus on the specific case of two orthogonal linear polarizations that provide voltages $`(E_X,E_Y)`$. Here the directions $`(X,Y)`$ specify the coordinate system with respect to which $`PA_{src}`$, the polarization position angle of an astronomical source, is measured; by astronomical convention, $`PA_{src}`$ is measured with respect to the North Celestial Pole, increasing towards the East, so $`X`$ points North and $`Y`$ points East.

For a monochromatic signal, the voltages $`(E_X,E_Y)`$ vary sinusoidally with time and can be written in complex notation, for example $`E_X=E_{X0}e^{i(2\pi ft+\psi _x)}`$, where $`f`$ is the observing frequency and $`\psi `$ is a phase angle. An arbitrary signal is a sum of such monochromatic signals and is also complex. We then have

$$I=E_X\overline{E_X}+E_Y\overline{E_Y}$$
(1a)
$$Q=E_X\overline{E_X}E_Y\overline{E_Y}$$
(1b)
$$U=E_X\overline{E_Y}+\overline{E_X}E_Y$$
(1c)
$$iV=E_X\overline{E_Y}\overline{E_X}E_Y.$$
(1d)
where the bars indicate complex conjugate and it is understood that the products are averaged over time. These time average products can be obtained by suitable equipment that multiplies the voltages. In practice the products are performed digitally, with the real and imaginary portions being obtained by mixing the incoming signal with a local oscillator having $`0^{}`$ and $`90^{}`$ phase shifts.

To obtain spectral information, there are two almost equivalent techniques. More usual in single-dish work is the XF technique: one calculates time-average correlation functions digitally (the X part) and takes the Fourier transform (the F part). The alternative is the FX technique, in which one calculates Fourier transforms (F), multiplies by the complex conjugate (X), and averages the resulting spectra. According to the convolution theorem, these produce identical results. However, it is not generally appreciated that the convolution theorem applies only if the sampling time is infinite. For real data with a finite sampling time, the off-frequency spurious response, sometimes called “spectral leakage”, differs for the two techniques. For example, consider the example of a monochromatic signal of frequency $`f_0`$. In the XF case, the spectral leakage has the form $`\frac{\mathrm{sin}x}{x}`$, where $`x(ff_0)`$, and the power spectrum can be negative. In contrast, with FX processing the power spectrum is the product of a Fourier transform with its own complex conjugate, and is therefore everywhere positive. For the XF technique the spectral leakage can be reduced by appropriate convolution of the power spectrum, which is equivalent to weighting the time window, e.g. with Hanning weighting. However, with the FX technique convolution doesn’t work and the window weighting must be done on the Fourier transformed voltages before the multiplication.

The Green Bank Spectral Processor uses the FX technique; its output is time-average products of Fourier transforms. In equations 1, one should replace the voltage products by these products of Fourier transforms. For example, $`E_X\overline{E_X}`$ is replaced by $`FT(E_X)\overline{FT(E_X)}`$ and $`E_X\overline{E_Y}`$ is replaced by $`FT(E_X)\overline{FT(E_Y)}`$, where $`FT`$ means Fourier transform. The $`FT`$’s are complex, so while the self products \[like $`FT(E_X)\overline{FT(E_X)}`$\] are always real, the cross products \[like $`FT(E_X)\overline{FT(E_Y)}`$\] are complex.

Standard digital correlators, like the Arecibo and NRAO correlators, use the XF technique; the outputs are time-average correlation functions. In equations 1, one should replace the voltage products by Fourier transforms of these correlation functions. For a single signal like $`E_X`$, the correlation function is the autocorrelation function. Autocorrelation functions are symmetric about zero time lag and therefore the Fourier transforms are real; these produce Stokes $`I`$ and $`Q`$ above. In contrast, for the two signals of orthogonal polarizations $`E_X`$ and $`E_Y`$, the correlation function is the crosscorrelation function. The cross correlation function has arbitrary symmetry so its Fourier transform is complex; the real part is $`U`$ and the imaginary one $`V`$. These matters are discussed at length in books on interferometry, e.g. Thompson, Moran, & Swenson (1994).

Equations 1 assume that the voltages are properly calibrated for polarization. “Calibration for polarization” means, specifically, that the relative gains and phases of the two polarization channels are measured and the differences corrected for. Heiles et al (2001a) explains these calibration matters in detail. An additional aspect of calibration is the establishment of an accurate scale of antenna temperature or flux density; this aspect is beyond the scope of the current discussion, which focuses on polarization calibration.

Two quantities, the relative gain and phase of the two polarization channels, must be calibrated. In principle, a good way to do this is with an astronomical source having known linear polarization. However, in practice this is not sufficient because the phase is ambiguous by $`180^{}`$ (see §2.1) and, moreover, the phase delay can change with telescope position, e.g. when the i.f. cables are mechanically strained at the telescope bearings. Therefore, a secondary calibration standard that is attached to the telescope, one that can be used quickly without moving the telescope, is required. This standard is best realized by injecting a correlated noise source into the two feed outputs or, alternatively, by radiating a noise source into the feed with a polarization that provides equal amplitudes in the feed outputs. Under some circumstances it is desirable to inject noise separately into the two inputs to simulate uncorrelated noise; these matters are discussed in detail by Heiles and Fisher (1999).

In the following sections we describe several practical details associated with the technique of single-dish crosscorrelation spectropolarimetry. These details go beyond the calibration techniques conventionally required for single-dish radio astronomy, such as are discussed by Rohlfs and Wilson (1999), for example. Some of these details are familiar to practitioners of interferometric crosscorrelation spectropolarimetry; however, we suspect that persons who concentrate on single-dish techniques may find them unfamiliar (as we did).

## 2  THE RELATIVE PHASE $`𝝍`$

We define $`\psi `$ to be the relative phase between the two polarization channels that enter the correlator. It consists of two parts, the source contribution $`\psi _{src}`$ and the instrumental one $`\psi _{sys}`$. Thus,

$$\psi =\psi _{src}+\psi _{sys}.$$
(2)
$`\psi _{src}=0^{}`$ or $`180^{}`$ for a linearly polarized source and $`\pm 90^{}`$ for a circularly polarized one. $`\psi _{sys}`$ is produced by several effects as discussed below.

### 2.1  TWO COMMON MISCONCEPTIONS CONCERNING $`𝝍_{𝒔𝒓𝒄}`$

Suppose for the moment that $`\psi _{sys}=0^{}`$ and, further, that the feed has orthogonal linear polarizations oriented at position angles $`(0^{},90^{})`$. A common misconception is that the observed $`\psi `$ from a linearly-polarized source depends on the position angle so that, for example, it changes smoothly with the parallactic angle as the source is tracked with an alt-az telescope. Another is that the observed $`\psi `$ is independent of position angle. Neither is the case.

The first misconception arises because one erroneously imagines that the relative amplitude of $`E_X`$ and $`E_Y`$ determine $`\psi `$; this amplitude ratio changes with position angle. However, $`\psi `$ is the phase difference between $`E_X`$ and $`E_Y`$. If $`U`$ is positive, this phase is $`\psi =0^{}`$; if $`U`$ is negative, $`\psi =180^{}`$. $`U`$ changes sign when the position angle crosses the boundaries $`0^{}`$ and $`90^{}`$ (recall that position angle is modulo $`180^{}`$, so each crossing occurs twice in a full rotation).

It is important to remember that the relative phase of a linearly-polarized source is bimodal, with the two values $`0^{}`$ and $`180^{}`$. It means that without keeping track of the position angle, one cannot rely on an astronomical source to calibrate the instrumental relative phase because of the $`180^{}`$ ambiguity.

### 2.2  THE EFFECT OF AMPLIFIERS AND SIDEBAND ON $`𝝍_{𝒔𝒚𝒔}`$

One needs to adjust the signal level entering the correlator to its optimum level. This is accomplished with a combination of amplifiers and attenuators, and often this combination must be changed in response to the source intensity. Many types of amplifier introduce $`180^{}`$ phase shifts. If one changes the number of amplifiers in the chain, then the phase can jump by multiplies of $`180^{}`$; this can be disconcerting. Of course, when switching in attenuators and amplifiers, the path lengths usually change, and this also produces phase changes.

In a similar vein, we found that most of the contribution to $`\psi _{sys}`$ comes from the i.f. cables. However, we always refer $`\psi `$ to the r.f. frequency. For that part of $`\psi _{sys}`$ contributed at any i.f. stage, the sign of its $`\psi `$ depends on whether that stage processes the upper or lower sideband.

### 2.3  A PRACTICAL DETAIL IN PHASE CALIBRATION: A ROBUST LEAST SQUARE FIT OF THE PHASE VERSUS FREQUENCY

The relative phase delay caused by the system, $`\psi _{sys}`$, can have several causes, but in our experience the most important is differences in cable lengths between the two channels. These differences can occur at r.f. (before the first mixer) and i.f. (after the first mixer). For most telescopes the latter dominates, probably because there is usually a long cable run from the feed to the control room. Not always, however: at the NRAO 12-m telescope, the feeds for the two polarization channels are mounted separately so that the incoming signals have much different path lengths; moreover, the mountings are mechanically soft so that this path length changes with telescope position.

The difference in cable length produces a linear phase difference with frequency given by

$$\frac{d\psi _{sys}}{df}=\frac{2\pi \mathrm{\Delta }L}{c},$$
(3)
where $`\mathrm{\Delta }L`$ is the difference in electrical length and $`\psi _{sys}`$ the instrumental phase difference between the two channels. For example, at Arecibo we find $`\frac{d\psi _{sys}}{df}0.1`$ rad MHz-1, which corresponds to a length difference of $`5`$ m, most of which probably occurs along the pair of $`500`$ m optical fibers that carry the two channels from the feed to the control room.

The quantity $`\frac{\mathrm{\Delta }L}{c}`$ is just the time difference between the two signal paths. This suggests that one could obtain $`\frac{d\psi _{sys}}{df}`$ by injecting correlated noise at the front end and locating the time offset from zero delay of the peak of the crosscorrelation function. However, this doesn’t work in practice, for two reasons. First, the time delay is usually a tiny fraction of the sampling time. For example, at Arecibo the time delay arising from the 5 meter cable length difference is of order 0.01 microsec, while often our observing bandwidth is about 1 MHz so the sampling time is of order 1 microsec. Thus the time delay is about $`1\%`$ of the sampling interval. Locating a peak to $`1\%`$ of the sampling interval requires a difficult, ill-defined nonlinear least squares fit. Second, the two versions of signal come through entirely different signal paths, namely the two polarization channels, and typical single dish electronics are usually not engineered to optimize crosscorrelation so that the filter shapes in the two paths are not very well matched. This can make the crosscorrelation function rather complicated and even obliterate the expected well-defined single peak.

In contrast, the phase slope is always very well defined and, moreover, it is precisely the quantity required for calibrating the polarization characteristics. One measures this by injecting a correlated noise source (“cal”) at the front end and fitting the linear frequency dependence of the phase difference.

Such fits are best done using the least-squares technique. One might be tempted to make a linear polynomial fit of $`\psi `$ to frequency. However, this is much more difficult than it seems because $`\psi `$ suffers sudden wraparound jumps of $`2\pi `$ when it crosses the boundaries $`\pi `$ or $`\pi `$. Moreover, $`\psi `$ has noise, and this makes the locations of these jumps difficult to determine. One can surmount this difficulty by various ad hoc subterfuges, but there is a better way.

First, realize that we define the phase $`\psi `$ by calculating

$$\psi =\mathrm{tan}^1\left[\frac{\mathrm{Im}(E_XE_Y)}{\mathrm{Re}(E_XE_Y)}\right],$$
(4)
which means that $`\mathrm{sin}\psi =\mathrm{Im}(E_XE_Y)`$ and $`\mathrm{cos}\psi =\mathrm{Re}(E_XE_Y)`$. We write

$$\psi =A+Bf$$
(5)
where $`f`$ is the r.f. frequency and $`(A,B)`$ are the constants we need to determine. Write

$$\mathrm{sin}(A+Bf)=SA\mathrm{cos}(Bf)+CA\mathrm{sin}(Bf)=\mathrm{Im}(E_XE_Y),$$
(6a)
$$\mathrm{cos}(A+Bf)=CA\mathrm{cos}(Bf)SA\mathrm{sin}(Bf)=\mathrm{Re}(E_XE_Y)$$
(6b)
where $`(CA,SA)=(\mathrm{cos}A,\mathrm{sin}A)`$. Now determine $`(CA,SA,B)`$ using least squares. A very robust procedure is to use a reasonably accurate guess for $`B`$ and simultaneously fit for $`(CA,SA)`$ in equation 6; this is a straightforward linear least squares fit. Then use the results as input estimates in a full three-parameter nonlinear least squares fit.

## 3  A PRACTICAL DETAIL IN FOURIER TRANSFORMING CROSSCORRELATION FUNCTIONS

One generally uses the FFT algorithm when Fourier transforming correlation functions, with the number of channels equal to an integral power of 2. Some care is required in taking such Fourier transforms of correlation functions.

Digital correlators for single dishes are usually engineered to provide positive time lags. However, crosscorrelation requires both positive and negative lags. One obtains the full crosscorrelation function of $`(E_X,E_Y)`$ by measuring two correlation functions with positive lags, one delaying $`E_Y`$ and the other $`E_X`$. These must be combined before taking the Fourier transform.

The process of combining the two correlation functions to produce a crosscorrelation function (and that of symmetrizing an autocorrelation function) runs into a particular practical detail. The two halves of a crosscorrelation function each have $`N`$ channels, with time lags running from $`0(N1)\tau `$ and $`0(N1)\tau `$, because correlators are always engineered so that both halves measure the zero lag product. (Here $`\tau `$ is the sampling time interval). Thus the total number of independent channels is not $`2N`$, but rather $`2N1`$. However, the FFT algorithm requires $`2N`$ input numbers.

We have a “missing channel”. This missing channel has a time lag equal $`N\tau `$, and also equal to $`N\tau `$: from the fundamental assumptions inherent in digital Fourier transforms, the correlation values for the $`\pm N\tau `$ must be equal. One must set the unknown correlation value for this channel to a reasonable number. The proper choice for this number is important only insofar as it should produce no discernible impact on the derived power spectrum.

Generally, correlation functions for random noise tend towards zero at large lags. The unknown channel has a large lag, so one might be tempted to set its value to zero. This is the wrong choice! There are two reasons: one, the signal may have some low-frequency components that make its correlation at large lags nonzero; two, the digital correlator may have a d.c. offset. In either case, setting the missing channel equal to zero produces a spike in the correlation function, which is reflected in the power spectrum as a channel-to-channel oscillation. The proper choice for the missing channel is the average of the two values for $`\pm (N1)\tau `$, because this produces no extraneous effects in the derived power spectrum.

Often one weights the time window to reduce spectral leakage, as mentioned above. Most weighting schemes, for example Hanning weighting, assign zero weight to the missing channel. With such weightings, the missing channel doesn’t matter. Weighting is often desirable, particularly when there is interference, to reduce the spectral ringing.

## 4 SUMMARY

We have provided a brief introduction to the technique of digital spectropolarimetry in radio astronomy, together with fundamental references. We also include some comments and details based on experience that should help a specialist to get started with this technique.

It is a pleasure to acknowledge helpful comments by the referee, which led to significant clarifications. This work was supported in part by NSF grant 95-30590 to CH.