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# The Butcher-Oemler Effect in High Redshift X-ray Selected Clusters

## 1. Introduction

Butcher & Oemler (1984) found the fraction of blue galaxies $`(f_b)`$, in their sample of centrally concentrated clusters, increased with redshift . The Butcher-Oemler (BO) effect was the first evidence for rapid galaxy evolution in clusters, and as such led to an extensive follow up program. Further photometric studies have generally confirmed the presence of this effect, although to varying degrees (e.g. Smail et al. 1998; Margoniner & de Carvalho 2000; Kodama & Bower 2001). Spectroscopic studies of the blue galaxies in question have revealed that they are cluster members, and have spectral features indicative of star-formation, often recently truncated (e.g. Dressler & Gunn 1992). Morphological studies with HST indicate that these galaxies are disc dominated, with some evidence of enhanced interaction rates (Couch et al. 1994). These morphological studies also revealed that although the luminous elliptical galaxies present in local clusters remain in their high redshift counterparts, the large population of S0 galaxies are absent at high redshift. This has led to the association of these two effects with many mechanisms, such as ram-pressure stripping, harassment and tidal interaction, being suggested for the transformation of the BO galaxies to S0s. However a number of problems with these studies have been noted. In particular selection effects may be driving the observed BO effect (e.g. Andreon & Ettori 1999). The clusters observed by Butcher and Oemler and by most of the additional BO studies have used optically selected cluster catalogues. These have tended to be selected in a single photometric band, so that as clusters are selected to higher redshift, bluer galaxies will become more important in the selection. This will bias clusters at high redshift to contain bluer galaxies. Another potential problem suffered by all studies to date, is caused by the tendency to select more and more rich/massive clusters with increasing redshift, leading to only the richest and most massive clusters being selected at high redshift . It is not yet clear whether $`f_b`$ depends on the cluster mass and how much this dependence may contribute to the BO effect.

## 2. A Wide-Field Optical Imaging Survey of High Redshift X-ray Selected Clusters

We are presently engaged in a broad-band photometric study of a well controlled sample of X-ray selected clusters, and present results on the blue fractions of the first eight observed here. Our clusters come from 4 catalogues, EMSS (Gioia et al. 1990), SHARC (Burke et al. 1997), BSHARC (Romer et al. 1999) and WARPS (Scharf et al. 1997). The flux limits of these surveys vary, with WARPS and SSHARC having very low flux limits allowing us to select clusters with low X-ray luminosities to high redshift. We have imaged a total of 29 clusters over two redshift intervals, $`z0.25`$ and $`z0.5`$, with a similar range in X-ray luminosities. Figure 1 shows a plot of the X-ray luminosities and redshifts of our cluster sample alongside those of the REFLEX survey (Bohringer et al. 2001). It is clear that our clusters have X-ray luminosities consistent with typical clusters in the local universe, allowing for easy and meaningful evolutionary comparisons to local samples. We have imaged each of our clusters over a wide field in BVR for the $`z0.25`$ sample, and VRI for the $`z0.5`$ sample. These filters approximately map to rest-frame UBV for the chosen redshifts. The wide field allows an individual background to be calculated for each cluster taking into account line-of-sight large-scale structure variations. The imaging was done using the wide field mosaic cameras of the INT 2.5m, the CTIO 4m and the UH 2.2m, which have fields of view of 0.29, 0.1, and 0.36 deg2 respectively.

## 3. Results and Conclusions

Here we present blue fractions for 8 clusters imaged with the INT. We selected 4 in each redshift interval, with the lower redshift clusters chosen to have a wide range in LX and the high redshift sample very similar LX. Our photometric accuracy is $``$0.03 mag, with completeness typically 24.2, 24.0, 22.7 mag for the three filters, with seeing between 0.79 and 1.52 arcsec. Figure 2 shows both $`f_b`$ versus z and $`f_b`$ versus LX, where $`f_b`$ is defined as the fraction of galaxies, within a characteristic radius $`R_{30}`$, 0.2 mag bluer than the early-type red-sequence, to a limiting magnitude $`M_V=20`$ (the standard BO definition). The open circles shows the rest-frame $`BV`$blue fraction, and the crosses show the rest frame $`UB`$blue fraction. The solid circle and square are for RXJ2146.0+0423 which appears to be contaminated by a foreground group. Immediately apparent from both graphs is the significant difference in the blue fractions measured in the two different colours, with the $`UB`$blue fraction tending to be higher. This illustrates the importance of consistency when comparing blue fractions, and also illustrates the potential biases that may arise when selecting clusters in a single optical band. No trend with either redshift or X-ray luminosity is apparent, although the small sample and large errors may be masking the trend. The original trend line of BO is plotted on the $`f_b`$-z graph and is not inconsistent with our data. The lack of a correlation with LX agrees with previous studies (e.g. Andreon & Ettori 1999), and is shown to continue over a much wider range in LX. This has particular consequences for the importance of ram-pressure stripping as a mechanism in the BO effect. The gas density in our poorest clusters, even in the core, is unlikely to provide effective stripping, whereas galaxies in our most X-ray luminous clusters should be rapidly stripped far from the core. As we see no dependence of blue fraction on LX, this mechanism does not seem to be important in determining the blue fraction. Figure 3 shows the blue fraction in rest frame $`BV`$as a function of radius and absolute magnitude for our 8 clusters. We confirm the widely noted trend of increasing blue fraction with radius, although the rate of change varies greatly from cluster to cluster. For most, but not all, of our clusters we see an increasing blue fraction with fainter magnitude cut in agreement with Kodama & Bower (2001). The radial trend of increasing $`f_b`$ is consistent with the idea of in-falling field galaxies being somehow transformed as they fall into the cluster. However, as previously mentioned it seems ram-pressure stripping is an unlikely mechanism for this transformation. Further details can be found in Fairley et al. (2001).

## References

Andreon, S., & Ettori, S. 1999, ApJ, 516, 647

Bohringer, H., Schuecker, P., Guzzo, L., Collins, C. A., Voges, W., Schindler, S., Neumann, D. M., Cruddace, R. G., De Grandi, S., Chincarini, G., Edge, A. C., MacGillivray, H. T., Shaver, P. 2001, A&A, 369, 826

Burke, D. J., Collins, C. A., Sharples, R. M., Romer, A. K., Holden, B. P., & Nichol, R. C. 1997, ApJ, 488, L83

Butcher, H., & Oemler, A. 1984, ApJ, 285, 426

Couch, W. J., Ellis, R. S., Sharples, R. M., & Smail, I. 1994, ApJ, 430, 121

Dressler, A., & Gunn, J. E. 1992, ApJS, 78, 1

Fairley, B. W., Jones, L. R., Wake, D. A., Collins, C. A., Burke, D. J., Nichol, R. C., & Romer, A. K. 2001, MNRAS, submitted

Gioia, I. M., & Luppino, G. A. 1994, ApJS, 94, 582

Kodama, T., & Bower, R. G., 2001, MNRAS, 312, 18

Margoniner, V. E., & de Carvalho, R. R. 2000, AJ, 119, 1562

Romer, A. K., Nichol, R. C., Holden, B. P., Ulmer, M. P., Pildis, R. A., Merrelli, A. J., Adami, C., Burke, D. J., Collins, C. A., Metevier, A. J., Kron, R. G., Commons, K. 2000, ApJS, 126, 209

Smail, I., Edge, A. C., Ellis, R. S., Blandford, R. D. 1998, MNRAS, 310, 663


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# ULB-TH-01/24UNIL-IPT-01-14 Neutrino masses with a single generation in the bulk.

## 1 Introduction

One of the interesting possibilities which open up in theories with more than four spacetime dimensions is to explain the misterious pattern of fermion mass hierarchies . In previous works , we have shown how a single family of fermions, with vectorlike couplings to the Standard Model group $`SU(3)\times SU(2)\times U(1)`$ in 6 dimensions was reduced to $`n`$ chiral families in 4 dimensions. This mechanism hinged on a localisation on a vortex in the ”transverse” dimensions, characterized by a winding number $`n`$. As a variant, an effective vortex achieving the same result could be simulated by coupling the fermions to a winding-number 1 scalar elevated to the $`n`$th power.

The value $`n=3`$ is not favoured in such schemes, and was only invoked for its phenomenological interest. We also showed how a relatively simple scalar structure (the usual Higgs doublet $`H`$, supplemented by the vortex-defining field $`\mathrm{\Phi }`$) suffices to generate the mass hierarchy of the $`n`$ families, while an auxiliary field $`X`$ could be used to generate a mixing taking place mostly between adjacent generations.

The key to the construction is that interaction with a vortex with winding number $`n`$ leads, by the index theorem , to $`n`$ chiral zero modes in four dimensions, and this for each fermion species coupled to the structure.

We now return to this construction and pay special attention to the case of neutrinos. The simplest attitude (which was in a way implicit in the previous papers) would be to treat neutrinos just like the other fermions, that is to include both left- and right-handed fields, say $`\nu `$ and $`N`$ in four dimensions, and to generalize them to six dimensions. Dirac masses and mixings are then obtained just like those of the charged fermions. There is nothing fundamental against this approach, except the very small value of the ratio between neutrino and charged fermion masses (typically less than $`10^6`$). This would require severe fine tuning, either directly at the level of the Yukawa couplings themselves, or in a more covert fashion through a more complicated scalar structure (see footnote below).

We therefore try to explore other ways of getting small neutrino masses.

It has become standard practice  in the context of extra (flat and compactified) dimensions, to assume that right-handed neutrions, being gauge singlets, could propagate in the ”bulk” of space, escaping confinement***Other possibilities include putting left– and right-handed neutrinos to very different places inside the thick brane  or putting the scalar (not the fermion) in the bulk. The latter approach can be easily implemented in the model of Ref.  where additional scalar fields, others than the electroweak Higgs doublet, participate in mass generation.. This is of course possible since such particles do not participate directly in the gauge interactions, and therefore do not affect (at least at tree level, see for instance Ref. ) the behaviour of electroweak exchanges. In such a context, the smallness of the neutrino mass stems not from artficially tuned Yukawa couplings, but from the severely reduced overlap between the confined and ”bulk” wave functions. Could such a strategy work here? The transcription of such a mechanism in our context involves the introduction of a six-dimensional fermion field, $`N`$, uncoupled to the vortex field $`\mathrm{\Phi }`$. This however is in general not sufficient, if the two-dimensional transverse space stays unbounded (a point which we did not really need to specify this far, since the vortex achieved in any case the localisation of physical fields in a four-dimensional tube). Using $`\theta `$ and $`r`$ as variables to describe the two extra dimensions, we should now require $`r<R`$, while keeping $`Rr_{vortex}`$, to avoid perturbing the previous construction. Is this step sufficient? In principle, if $`1/R`$ were close to the expected light neutrino mass scale (say a fraction of an eV), we would have a whole set of Kaluza-Klein towers at hand, each with relatively light states to couple to the $`n`$ left-handed neutrinos. This line is however somewhat dangerous, since it may lead to a conflict with data on the evolution of supernovae . We will avoid this situation by requesting $`1/Rm_\nu `$. For simplicity we may even takeThis is to avoid problems with weak interactions universality. We suppose that the Standard Model gauge fields are localized inside the brane by means of a mechanism  which preserves charge universality by itself, see discussion in Ref. . $`1/R100`$ GeV.

This further requirement however leads us to a pecular situation: we may not have enough light ”right-handed” partners to provide masses to the $`n`$ neutrinos! Indeed, we typically expect only one fundamental mode of zero mass. Introducing $`n`$ such fermions would of course solve the problem, but would be in opposition to the approach, where at least the charged family multiplication simply results from the topological structure. Fortunately, even with the simplest use of one $`N`$ field, we get easily two light states (this is a funciton of the chosen charge assignements, see below), leaving only $`n2`$ degenerate massless $`\nu _L`$ states. Since one strictly massless neutrino is no problem (only differences in masses squared are tested this far), the neutrino degeneracy is thus solved for $`n3`$.

The scheme presented below uses one extra scalar field to match quantum numbers and generate the neutrino masses. It is of course also possible to induce mixing terms, but these are probably redundant, since off-diagonal terms are already allowed for in the charged leptons sector.

## 2 Models with a single generation in extra dimensions

If different fermionic modes have different wave function profiles in extra dimensions, then their overlaps with the Higgs wave function may produce hierarchical structure of masses and mixings . In the class of models , each multi-dimensional fermion develops three chiral zero modes localized on a four-dimensional brane due to topological properties of the brane background. The Index theorem guarantees that the three zero modes are linearly independent, and thus have different profiles in extra dimensions. Analysis of the equations for these zero modes demonstrates that a hierarchy in the mass matrix indeed appears due to overlaps of the wave functions. For the discussion of this mechanism and comparison with other approaches, see Ref. .

We use conventions of Ref.  throughout the paper. We will work in a specific realisation of this approach which was suggested in Ref. . The model is formulated in six dimensions, and the brane is an Abelian vortex made of the gauge field of $`U(1)_g`$ gauge group and a scalar field $`\mathrm{\Phi }`$. Field content of the model of Ref.  is given in Table 1 for easy reference

(we concentrate here on the leptonic sector since we are interested in neutrino masses). Like other Standard Model fermions, leptons are zero modes of the six-dimensional Dirac spinors, namely, of the electroweak $`SU(2)`$ doublet $`L`$ and $`SU(2)`$ singlet $`E`$ which have axial charges +3/2 and $`3/2`$, respectively, under $`U(1)_g`$. The interaction with vortex field,

$$g_l\mathrm{\Phi }^3\overline{L}\frac{1\mathrm{\Gamma }_7}{2}L+g_e\mathrm{\Phi }^3\overline{E}\frac{1\mathrm{\Gamma }_7}{2}E+\mathrm{h}.\mathrm{c}.,$$
(1)
results in three localized left- (right-)handed in four-dimensional sence zero modes of $`L`$ ($`E`$) which describe three generations of usual leptons. The zero modes have the form

$$L_p\left(\begin{array}{c}0\\ 𝐥_pl_p(r)\mathrm{e}^{ip\theta }\\ 𝐥_pl_{2p}(r)\mathrm{e}^{i(2p)\theta }\\ 0\end{array}\right),E_p\left(\begin{array}{c}𝐞_pe_{2p}(r)\mathrm{e}^{i(2p)\theta }\\ 0\\ 0\\ 𝐞_pe_p(r)\mathrm{e}^{ip\theta }\end{array}\right),$$

where $`r`$, $`\theta `$ are polar coordinates in the bulk, $`p=0,1,2`$ enumerates three zero modes which in the effective four-dimensional Lagrangian are described by two-component Weyl spinors $`𝐥_p`$, $`𝐞_p`$, left- and right-handed, respectively. The radial functions $`L_p(r)`$, $`e_p(r)`$ have the following leading behaviour:

$$l_p(r)r^p,r0;l_p(r)\mathrm{e}^{g_lvr},r\mathrm{},$$

and the similar for $`e_p(r)`$.

The scalar potential

$$\frac{\lambda }{2}\left(|\mathrm{\Phi }|^2v^2\right)^2+\frac{\kappa }{2}\left(|H|^2\mu ^2\right)^2+h^2|H|^2|\mathrm{\Phi }|^2+\frac{\rho }{2}\left(|X|^2v_1^2\right)^2+\eta ^2|X|^2|\mathrm{\Phi }|^2$$

results in localisation of $`H`$ and $`X`$ inside the vortex. Interaction with the Higgs field,

$$YHX\overline{L}\frac{1\mathrm{\Gamma }_7}{2}E+YϵH\mathrm{\Phi }\overline{L}\frac{1\mathrm{\Gamma }_7}{2}E+\mathrm{h}.\mathrm{c}.,$$
(2)
where $`Y`$ and $`Yϵ`$ are two Yukawa couplings, provides a hierarchical structure of masses and mixings of charged leptons, as is discussed in Refs. . The reason for hierarchy is the different behaviour of three zero modes inside the brane which, after integrating out extra dimensions, results in the hierarchical structure of overlaps of wave functions for relatively narrow Higgs field (see the sketch at Fig. 1).

## 3 Neutrino masses

At the next step we follow the usual approach  to neutrino masses in models with extra dimensions, namely, we put a singlet fermion in the bulk. It plays the role of the usual right-handed neutrino of the see-saw models. The Dirac masses of the localized neutrinos are suppressed by the bulk size. The usual approach is to put three singlets in the bulk, otherwise only one linear combination of localized modes gets mass. This is in some contradiction with our intent to have a single generation in the higher dimensions. However, with more than one extra dimensions the bulk spinor has, in principle, enough components to give masses to more than one four-dimensional neutrino in the effective theory . Here, we exploit this fact in a slight modification of our model of Ref. .

Let us introduce the six-dimensional Dirac spinor $`N`$, which is a Standard Model singlet and has no half-integer axial charge under $`U(1)_g`$. In this case, no interaction term similar to Eq. (1), which could result in localisation of the zero modes of $`N`$, can be written. The free spinor $`N`$ satisfies the six-dimensional Dirac equation,

$$i\mathrm{\Gamma }_A_AN=0.$$

It is convenient to perform the four-dimensional Fourier transform first,

$$N=d^4k\mathrm{e}^{ik^\mu x_\mu }\stackrel{~}{N}(K_\mu ,r,\theta ),$$

substitute to the Dirac equation and multiply the latter by $`\mathrm{\Gamma }_0`$,

$$(k_0k_i\mathrm{\Gamma }_0\mathrm{\Gamma }_i)\stackrel{~}{N}=D\stackrel{~}{N},$$

where the operator $`D=i\mathrm{\Gamma }_0\mathrm{\Gamma }_\alpha _\alpha `$ anticommutes with the operator in the left hand side. The latter fact allows us to look for a solution expanded in series of eigenvectors of $`D`$ with eigenvalues $`\omega `$,

$$D\stackrel{~}{N}=\omega \stackrel{~}{N}.$$

The solution to this equation can be found in Appendix A. We note here that the zero mode $`\omega =0`$ which is regular both in the origin and at infinity consists of just four linearly independent constant two-component spinors,

$$\stackrel{~}{N}=\left(\begin{array}{c}𝐧_1\\ 𝐧_2\\ 𝐧_3\\ 𝐧_4\end{array}\right).$$
(3)
From the four-dimensional point of view, we have two left-handed Weyl spinors $`𝐧_{2,3}`$ and two right-handed Weyl spinors $`𝐧_{1,4}`$ (see discussion of chirality in six and four dimensions in ref. ). The latter two independent spinors, indeed, can be used to give masses to two of three localized neutrinos. This provides three $`\mathrm{\Delta }m^2`$ which appear in the usual four-dimensional neutrino models.

The advantage of having an extra Weyl spinor, however, disappears if we use interactions with $`H`$, $`X`$, and $`\mathrm{\Phi }`$, similar to Eq.(2). Indeed, $`U(1)_g`$ invariance requires that $`N`$ has the charge $`3/2`$ under this group (half-integer axial charges are not allowed in order not to trap the $`N`$ particle on the brane) for the term like

$$HX\overline{L}\frac{1\mathrm{\Gamma }_7}{2}N$$

(or $`3/2`$ if we use $`(1+\mathrm{\Gamma }_7)/2`$). Without the projector $`(1\pm \mathrm{\Gamma }_7)/2`$, the term is not gauge invariant; on the other hand, this projector kills one of two spinors $`𝐧_{1,4}`$. To overcome this difficulty, we introduce a new scalar field $`S`$ which is analogous to $`X`$ but has a charge $`1/2`$ under $`U(1)_g`$ (the two fields, $`N`$ and $`S`$, which we introduce in this paper, are described in Table 2With these charge assignments, Dirac mass term for $`N`$ is not forbidden. The simplest way to forbid it is to assign a mixed, axial and vector, charge to $`N`$. The axial charge $`q_A`$ should not be half-integer, otherwise $`N`$ is localised on the brane. Together with the charge $`q_S`$ of $`S`$, they satisfy $`q_S=3/2+q_A`$, while the vector charge of $`N`$, $`q_V=1`$. For example, one of the solutions is $`q_A=1/4`$, $`q_V=1`$, $`q_S=7/4`$.).

With these charge assignements, we can write down two interaction terms,

$$y_1HS\overline{L}\frac{1\mathrm{\Gamma }_7}{2}N,$$
(4)
and

$$y_2HS^{}\overline{L}\frac{1+\mathrm{\Gamma }_7}{2}N.$$
(5)
Substituting zero modes of $`l`$ and $`N`$, one gets the effective Lagrangian

$$r𝑑r𝑑\theta \left(y_1HS(r)l_{2p}(r)\mathrm{e}^{i(2p)\theta }𝐥_p𝐧_1+y_2HS(r)l_p(r)\mathrm{e}^{ip\theta }𝐥_p𝐧_4\right)$$

Since $`H`$ and $`S`$ have no $`\theta `$ dependence in their classical profiles, the integral over $`\theta `$ is non-zero for $`p=2`$ (the first term) and $`p=0`$ (the second). Thus, the modes $`𝐥_{0,2}`$ and $`𝐧_{4,1}`$ are paired in the mass matrix. The masses are given by integrals

$$y_{1,2}2\pi r𝑑rHS(r)l_0(r)|n_{4,1}|$$

where the norm $`|n_i|1/R`$, $`R`$ being the size of the extra dimensions. Masses of $`𝐥_0`$ and $`𝐥_2`$ differ only by Yukawa couplings $`y_{1,2}`$ in two terms.

Two notes are in order. First, would we add another scalar with the same quantum numbers as $`S`$ but with winding number 1, we would receive a more complicated mass matrix (mixing would appear in the neutrino sector as well as in the sector of charged leptons), but not the mass for the third neutrino – because we have only two right-handed Weyl spinors, $`𝐧_1`$ and $`𝐧_4`$, available. One linear combination of $`𝐥_p`$ would still be massless. Second, the Eqs. (4), (5) mix $`𝐥_p`$ with nonzero modes of $`N`$ as well. However, to satisfy simultaneously constraints from weak charge universality and from Supernova 1987a, these mixings should be negligible.

## 4 Parameters and estimates

In order to count parameters and to estimate the scales involved in the model, we make use of the “step Higgs” approximation (full numerical analysis will be presented elsewhere ). First of all, recall that in six dimensions, a scalar field has dimension (mass)2 and a fermion field has dimension (mass)5/2. This means that the transverse part of the fermion, described by $`l_p(r)`$, has dimension (mass)1 (four-dimensional spinors, denoted by letters in bold face, are of course (mass)3/2). Dimensions of coupling constants are $`[Y]=(\mathrm{mass})^3`$, $`[g]=(\mathrm{mass})^5`$, $`[h]=(\mathrm{mass})^1`$, $`[\lambda ]=(\mathrm{mass})^2`$. The fundamental dimensionful parameters of the theory are the vortex scale $`v`$ (in theories where large extra dimensions are invoked to reformulate the gauge hierarchy problem, $`v`$ is of order multi-dimensional Planck mass), and the compactification scale $`R`$. It is convenient to rescale the parameters of the theory:

$$\stackrel{~}{g}_{l,e}=g_{l,e}v^{5/2},\stackrel{~}{v}=v^{1/2},\stackrel{~}{\mu }=\mu v^{1/2},\stackrel{~}{v}_1=v_1v^{1/2},\stackrel{~}{h}=hv^{1/2},\stackrel{~}{Y}=Yv^{3/2},\stackrel{~}{\lambda }=\lambda v.$$

Tilded coupling constants $`\stackrel{~}{g}`$, $`\stackrel{~}{h}`$, $`\stackrel{~}{Y}`$, $`\stackrel{~}{\lambda }`$ are dimensionless, while $`\stackrel{~}{v}`$, $`\stackrel{~}{v}_1`$, $`\stackrel{~}{\mu }`$ have dimension (mass)1.

In the narrow Higgs approximation, $`H(r)`$ can be substituted by

$$H(r)\{\begin{array}{cc}H(0),& rr_H;\hfill \\ 0,& r>r_H,\hfill \end{array}$$

where $`r_H(\stackrel{~}{h}\stackrel{~}{v})^1`$ is the width of $`H(r)`$ which is supposed to be smaller than widths of other profiles. Then, we can use the following approximations for $`r<r_H`$:

$$X(r)X(0),S(r)S(0),$$

$$l_p(r)\sqrt{\stackrel{~}{g}_l}\stackrel{~}{v}\left(\sqrt{\stackrel{~}{g}_l}\stackrel{~}{v}r\right)^p,$$

$$e_p(r)\sqrt{\stackrel{~}{g}_e}\stackrel{~}{v}\left(\sqrt{\stackrel{~}{g}_e}\stackrel{~}{v}r\right)^p,$$

The coefficients at $`r^p`$ in fermionic radial functions are determined, approximately, in Ref. . For the scalar fields $`H`$, $`X`$, and $`S`$, the boundary conditions at $`r=0`$ are $`H(r)/r=0`$, etc.; so that $`H(0)`$, $`X(0)`$, $`S(0)`$ are to be determined by solving the full nonlinear system . We denote $`H(0)=v_H`$, $`X(0)=xv_H`$, $`S(0)=sv_H`$, where $`x`$ and $`s`$ are coefficients of order one, $`v_H`$ depends non-trivially on $`\mu `$ and $`v`$. Since $`\mu `$ and $`v`$ are independent parameters of the lagrangian, $`v_H`$ does not need to be very close to $`v`$, though we do not wish them to differ too much in order to avoid fine tuning of the parameters.

Diagonal elements of the mass matrix of charged leptons are, to this approximation,

$$m_{pp}2\pi YH(0)X(0)_0^{r_H}r𝑑rl_p(r)e_p(r)\pi \stackrel{~}{Y}x\frac{\stackrel{~}{v}_H^2}{\stackrel{~}{v}}\frac{\delta ^{p+1}}{p+1},$$

where $`\delta =\sqrt{\stackrel{~}{g}_l\stackrel{~}{g}_e}/\stackrel{~}{h}^2`$ should be sufficiently small to provide the mass hierarchy between three generations. Smallness of $`\delta `$ exactly corresponds to the fact that $`H(r)`$ is more narrow than $`l(r)`$, $`e(r)`$.

Non-diagonal mass matrix elements are estimated in a similar way, taking into account the behaviour of $`F(r)`$ at small $`r`$:

$$F(r)v\left(\sqrt{\stackrel{~}{\lambda }}vr\right).$$

The result is that

$$m_{p,p1}m_{pp}\stackrel{~}{ϵ},$$

where generation-independent constant

$$\stackrel{~}{ϵ}=\frac{ϵ}{x}\frac{\stackrel{~}{v}}{\stackrel{~}{v}_H}\sqrt{\frac{\stackrel{~}{\lambda }}{\stackrel{~}{g}_e}}.$$

This corresponds to the mass matrix of charged leptons

$$M_eM_{0e}\left(\begin{array}{ccc}1& 0& 0\\ \stackrel{~}{ϵ}& \delta /2& 0\\ 0& \stackrel{~}{ϵ}\delta /2& \delta ^2/3\end{array}\right),$$
(6)
where the overall constant $`M_{0e}=\pi x\stackrel{~}{Y}\stackrel{~}{v}_H^2/\stackrel{~}{v}`$.

It is straightforward to obtain, to the same approximation, the neutrino mass matrix

$$M_\nu =M_{0\nu }\left(\begin{array}{cc}1& 0\\ 0& 0\\ 0& \stackrel{~}{y}_2/\stackrel{~}{y}_1\end{array}\right),$$

where

$$M_{0\nu }=\sqrt{\pi }\stackrel{~}{y}_1\frac{\stackrel{~}{g}_l}{\stackrel{~}{h}^2}\frac{\stackrel{~}{v}_H^2}{\stackrel{~}{v}}\frac{1}{\stackrel{~}{v}R}$$

and we rescaled, as before, $`\stackrel{~}{y}_{1,2}=y_{1,2}v^{3/2}`$. The matrix is $`3\times 2`$ because we have only two light right-handed modes, $`𝐧_1`$ and $`𝐧_4`$.

Thus, up to dimensionless constants of order one, the neutrino mass scale is suppressed by a factor of $`{\displaystyle \frac{1}{\stackrel{~}{v}R}}`$ with respect to the mass scale of charged fermions, $`\stackrel{~}{v}_H^2/\stackrel{~}{v}`$. One can have simultaneously $`\stackrel{~}{v}_H^2/\stackrel{~}{v}100`$ GeV, $`m_\nu 0.1`$ eV, and Planck mass relation $`\stackrel{~}{v}^2R10^{19}`$ GeV satisfied for $`\stackrel{~}{v}1000`$ TeV, $`\stackrel{~}{v}_H10`$ TeV, $`R10^6`$ mm.

In our model, neutrino mass matrix does not contain mixings. In the sector of charged leptons, however, mixing appears, see Eq. (6). Three parameters $`M_{0e}`$, $`\delta `$, and $`\stackrel{~}{ϵ}`$, determine the masses of three charged leptons; one can fit known values of $`M_{e,\mu ,\tau }`$ with $`M_{0e}650`$ MeV, $`\delta 0.13`$, $`\stackrel{~}{ϵ}2.5`$. The latter value means that mixing is not negligible in the leptonic sector. Since all leptonic mixings appear in Eq. (6), our model predicts values of the neutrino mixing angles which are implicitly determined by masses of charged leptons. In usual notations, they correspond to $`\mathrm{sin}\theta _{12}0.14`$, $`\mathrm{sin}\theta _{13}0.37`$, $`\mathrm{sin}\theta _{23}0.99`$. On the other hand, values of two $`\mathrm{\Delta }m^2`$ are predicted only by the order of magnitude since they depend on unknown constants $`\stackrel{~}{y}_{1,2}`$.

## 5 Conclusions

In a class of multidimensional models with one vector-like fermionic family, the low-energy effective theory describes three chiral families in four dimensions. Hierarchy of fermionic masses appears without fine tuning of parameters. In this paper, we have shown that nondegenerate neutrino masses can be incorporated in a model of this class with the help of only one multidimensional Dirac fermion. One of three neutrinos is exactly massless§§§See, however, Appendix B while masses of two others are parametrically close to each other. Neutrino mass matrix is diagonal, but mixings in the leptonic sector are present in the mass matrix of charged leptons. Once masses of $`e`$, $`\mu `$, $`\tau `$ are fixed to their experimental values, the model predicts neutrino mixing angles, $`\mathrm{sin}\theta _{12}0.54`$, $`\mathrm{sin}\theta _{13}0.31`$, $`\mathrm{sin}\theta _{23}0.99`$. Of course, these values were obtained with very rough approximations, and should not be taken too seriously. Neutrino mass differences are predicted by order of magnitude only, $`\mathrm{\Delta }m^2(0.1eV)^2`$ for natural values of parameters.

The authors are indebted to K.Agashe, E.Akhmedov, T.Gherghetta, M.Giovannini, I.Gogoladze, A.Neronov, E.Nugaev, V.Rubakov, G.Senjanovic, M.Shaposhnikov, S.Sibiryakov, A.Smirnov for helpful discussions on different subjects related to this work. The work of M.L. and S.T. is supported in part by RFFI grant 99-02-18410a, by the Council of Presidential Grants and State Support of Leading Scientific Schools, grant 00-15-96626, by CRDF award RP1-2103, and by the programme SCOPES of the Swiss National Science Foundation, project No. 7SUPJ062239, financed by Federal Department of Foreign affairs. The work of S.T. is supported in part by Swiss Science Foundation, grant 21-58947.99. This work was initiated during the visits of M.L. and S.T. to ULB, which we thank for kind hospitality and partial support by the “Actions de Recherche Concretées” of “Communauté Française de Belgique” and IISN–Belgium. S.T. thanks High Energy Group of ICTP (Trieste) for hospitality during his visit, when part of this work was done and numerous discussions were carried out.

## Appendix A Solution to the Dirac equation for $`N`$

In this Appendix, we present the solution to the transverse part of Dirac equation,

$$D\stackrel{~}{N}=\omega \stackrel{~}{N},$$

where $`D=i\mathrm{\Gamma }_0\mathrm{\Gamma }_\alpha _\alpha `$. The general solution for $`\omega =0`$ is

$$\stackrel{~}{N}=\left(\begin{array}{c}\frac{1}{𝒩_1}𝐧_1r^{p_1}\mathrm{e}^{ip_1\theta }\\ \frac{1}{𝒩_2}𝐧_2r^{p_2}\mathrm{e}^{ip_2\theta }\\ \frac{1}{𝒩_3}𝐧_3r^{p_3}\mathrm{e}^{ip_3\theta }\\ \frac{1}{𝒩_4}𝐧_4r^{p_4}\mathrm{e}^{ip_4\theta }\end{array}\right).$$

Here, $`𝐧_a`$ are independent two-component spinors. The solutions regular both at small and large $`r`$ correspond to $`p_a=0`$, Eq. (3). For them, the normalization factors $`𝒩_a=\sqrt{\pi }R`$, where $`R`$ is the radius of the bulk.

For $`\omega 0`$, the regular at $`r=0`$ solution depends on two two-component spinors $`𝐧`$, $`𝐦`$ for each $`\omega `$:

$$\stackrel{~}{N}=\left(\begin{array}{c}𝐧_\omega J_p(\omega r)\mathrm{e}^{ip\theta }\\ 𝐧_\omega J_{p1}(\omega r)\mathrm{e}^{i(p1)\theta }\\ 𝐦_\omega J_q(\omega r)\mathrm{e}^{iq\theta }\\ 𝐦_\omega J_{q1}(\omega r)\mathrm{e}^{i(q1)\theta }\end{array}\right).$$
(7)
A series of eigenvalues $`\omega _n^{(p)}`$ are determined by the boundary conditions at large $`r`$. The exact eigenvalues depend on the compactification scheme chosen (see discussion in Appendix B), but in general, they are of order

$$\omega _n^{(p)}\pi n/R.$$

## Appendix B Compactification

The compactification scheme defines boundary conditions at large $`r`$. It should satisfy the following criteria:

(i) it should preserve three zero modes with different winding numbers of the fields localized on the vortex;

(ii) it should allow for at least one (Dirac) zero mode of the bulk singlet.

The second requirement is essentially equivalent to compactification on a Ricci-flat manifold (that is, a manifold with zero scalar curvature $``$) . Toroidal compactifications satisfy this requirement since the torus have $`=0`$. However, the corresponding boundary conditions usually kill one or two of three zero modes because they allow either even or odd winding numbers for a given field. Compactification of a vortex on a sphere preserves three zero modes  but does not satisfy the second requirement: for a sphere, $`0`$. This would open an interesting possibility of having three massless neutrinos and explaining observed neutrino anomalies by mixing with Kaluza-Klein modes only (this would lead to a nonconventional pattern of oscillations, as was discussed in Ref.  in the frameworks of a toy model). However, this possibility is in contradiction with bounds on mixing with Kaluza-Klein states from supernova evolution.

One can also keep the compactification mechanism unspecified, and consider flat space of finite volume. This means that the fields will live inside a cilinder of large radius $`R`$ in six dimensions. The corresponding boundary condition, that is, absence of fermionic current through the boundary, can be reformulated  as

$$i\mathrm{\Gamma }_A_A\psi =\psi $$

for a Dirac spinor $`\psi `$. Applied to $`N`$, Eq. (7), this boundary condition selects not only constant, but also rather peculiar zero modes which grow up at large $`r`$. In this case, it is not necessary to introduce the additional field $`S`$ to obtain a second neutrino mass, and it suffices to use the additional mode, alternatively, with the field $`S`$ included, 3 (even 4 if the model is extended) neutrino masses can be generated, although the last 2 are then hierarchically smaller than the ones previously defined. At this level however, such modes appear more as a quirk of a particular way to implement the finite volume.

It seems the most promising to have a finite volume in the case of warped transverse dimensions. Particularly interesting is the fact that there exist six-dimensional solutions with gravity localized on an Abelian vortex, Ref. . These six-dimensional solutions provide also a natural framework for the localization of gauge fields at weak coupling, thus opening the way to fully realistic and calculable models.


text:
# Non-Arrhenius Behavior of Secondary Relaxation in Supercooled Liquids

## Abstract

Dielectric relaxation spectroscopy ($`1\text{Hz}`$$`20\text{GHz}`$) has been performed on supercooled glass-formers from the temperature of glass transition ($`T_\text{g}`$) up to that of melting. Precise measurements particularly in the frequencies of MHz–order have revealed that the temperature dependences of secondary $`\beta `$–relaxation times deviate from the Arrhenius relation in well above $`T_\text{g}`$. Consequently, our results indicate that the $`\beta `$–process merges into the primary $`\alpha `$–mode around the melting temperature, and not at the dynamical transition point $`T1.2T_\text{g}`$.

In recent years, much of the focus on glassy dynamics has been shifting to a considerably higher temperature than $`T_\text{g}`$, the glass-transition one rev\_angell ; rev\_donth ; rev\_idmrcs ; rev\_sillescu . The topical temperature is located around $`T_\text{D}1.2T_\text{g}`$, where the dynamics of supercooled liquids has been found to change fairly. So far, there have been observed the following phenomena:

* Rössler scaling reveals that, when cooled, the Debye-Stokes-Einstein relation becomes invalid around $`T_\text{D}`$ capacci ; rossler\_prl . This indicates a change of diffusion mechanism there.
* Stickel analysis stickel  clarifies that temperature dependence of viscosity changes around $`T_\text{D}`$. Therefore, in order to fit the primary $`\alpha `$–relaxation time $`\tau _\alpha `$ using the Vogel-Fulcher-Tamman (VFT) relation,

$`\tau _\alpha =\tau _\text{0}\mathrm{exp}\left({\displaystyle \frac{C}{TT_\text{0}}}\right),`$ (1)
the coefficients ($`\tau _\text{0},C,T_\text{0}`$) have to vary at $`T_\text{B}T_\text{D}`$. This suggests that the mechanism of slow structural-relaxation makes some alternation there.
* Johari-Goldstein type $`\beta `$–process (secondary process in the context of dielectric relaxation) jg ; faivre ; lunkenheimer ; kremer ; nozaki ; kudlik  merges into the $`\alpha `$–relaxation around $`T_D`$, extrapolating the Arrhenius-type temperature dependence below $`T_\text{g}`$ of the $`\beta `$–relaxation times rossler\_prl ; donth ; shroter ; richert ; angell\_10q ; richter ; rault .

Theoretically, the characteristic temperature $`T_\text{D}`$ is thought to be comparable to $`T_\text{C}`$ where the idealized Mode Coupling Theory (MCT) predicts a dynamical phase transition mct . Indeed, the above first two phenomena (i, ii) can be regarded as indicators of the dynamical transition at $`T_\text{C}`$. However, the MCT is irrelevant to the third one (iii), the bifurcation of $`\alpha ,\beta `$–modes; even the existence of the Johari-Goldstein type $`\beta `$–process cannot be derived.

Furthermore, from experimental aspects, while the dynamical transition phenomena (i, ii) have been confirmed from either Rössler or Stickel plot definitely, the bifurcation of (iii) is inferred from the extrapolation. Actually, however, it remains an open problem as to whether the Arrhenius behavior of the $`\beta `$–process persists in higher temperatures near $`T_\text{D}`$: the $`T_\text{D}`$–decoupling of $`\alpha ,\beta `$–relaxations is not conclusive.

This letter thus aims to investigate the secondary $`\beta `$–mode in high temperatures well above $`T_\text{g}`$, by carrying out precisely the broad-band measurements of dielectric relaxation. Our main result is the following: as will be seen in Figures 2 and 5, the $`\beta `$–relaxation times deviate from the Arrhenius relation, indicating that the $`\beta `$–relaxation merges into the $`\alpha `$–mode not at $`T_\text{D}`$ but around the Arrhenius-VFT crossover temperature $`T_\text{A}`$ (generally close to the melting one) where the temperature dependence of the $`\alpha `$–process changes between an Arrhenius type and a VFT one.

In order to trace the $`\beta `$–mode in wide temperature range from $`T_\text{g}`$ to $`T_\text{A}`$, we set up a broad-band dielectric relaxation measurement system that the following three apparatuses can work simultaneously: Sorlatron1260 impedance analyzer with parallel-plate electrodes (1 Hz – 32 MHz), HP4191A reflectance analyzer with coaxially-cylindrical electrodes (1 MHz – 1 GHz), and HP54750A with HP54754A Time Domain Reflectometry (TDR) system with flat-end-cable-type electrodes (10 MHz – 20 GHz). The three sets of electrodes were installed in the same sample bath for their identical temperature control.

As a typical glass-forming sample with a large strength of the $`\beta `$–relaxation, we employed sorbitol (CH2OH-(CHOH)4-CH2OH, $`T_\text{m}=383`$ K, $`T_\text{g}=264`$ K) purchased from Nacalai Tesque Co.. In preparation, we heated the sample at 400 K for 20 minutes in vacuum for complete melting and purification. The obtained simple-liquid-state sample loaded in the sample bath was quickly quenched into deeply supercooled liquid near $`T_\text{g}`$ at the cooling rate of 56.7 K/min. We then started measurements isothermally at specified temperatures under an accuracy to within 0.1 K. These series of procedures were done in dry-nitrogen atmosphere to prevent the samples from absorbing moisture.

Figure 1 shows the dielectric loss spectra of sorbitol at various temperatures, exhibiting an obvious $`\beta `$–mode in lower temperatures and its overlap with the $`\alpha `$ –mode as temperature increases. It should be noticed that two modes of $`\alpha ,\beta `$–relaxations can be discriminated even around $`T_\text{D}=1.2T_\text{g}`$ (see $`310`$K=1.17$`T_\text{g}`$ in Fig. 1, for example). That is, only observing dielectric spectra reveals that the $`\beta `$–relaxation does not merge into the $`\alpha `$–mode around $`T_\text{B}T_\text{D}`$.

In the line-shape analysis of these spectra by the method of least squares, we used the Havriliak-Negami (HN) function for fitting the $`\alpha `$–process and the Cole-Cole (CC) function for the $`\beta `$–mode. These are empirical relaxation functions including broadness and skewness of the relaxation time distributions:

$`\epsilon ^{}=\epsilon _{\mathrm{}}+{\displaystyle \frac{\mathrm{\Delta }\epsilon _{\text{HN}}}{\left(1+\left(i\omega \tau _{\text{HN}}\right)^{\alpha _{\text{HN}}}\right)^{\beta _{\text{HN}}}}}+{\displaystyle \frac{\mathrm{\Delta }\epsilon _{\text{CC}}}{1+\left(i\omega \tau _{\text{CC}}\right)^{\alpha _{\text{CC}}}}}.`$ (2)
Here $`\mathrm{\Delta }\epsilon _{\text{HN}}`$ and $`\mathrm{\Delta }\epsilon _{\text{CC}}`$ are the dielectric increments, $`\tau _{\text{HN}}`$ and $`\tau _{\text{CC}}`$ are the relaxation times, $`\alpha _{\text{HN}}`$ and $`\alpha _{\text{CC}}`$ are the parameters of distribution broadness of $`\tau _{\text{HN}}`$ and $`\tau _{\text{CC}}`$, respectively, $`\beta _{\text{HN}}`$ is a parameter reflecting the skewness of $`\tau _{\text{HN}}`$ distribution, $`\epsilon _{\mathrm{}}`$ is the high-frequency limit of $`\epsilon ^{}`$, and $`\omega `$ is the angular frequency.

Let us first show in Figure 2 the temperature dependences of the $`\alpha ,\beta `$–relaxations times obtained from the above analysis. Our data are smoothly connected to the results reported so far nozaki . From the Stickel analysis on the $`\alpha `$–relaxation, we get the Arrhenius-VFT crossover temperature and the VFT-VFT one as $`T_\text{A}=370`$ K and $`T_\text{B}=305`$ K, respectively. From the $`\beta `$–process, on the other hand, two features are found:

* With heating, the Arrhenius relation below $`T_\text{g}`$ does not persist to $`T_\text{B}T_\text{D}`$. The $`\beta `$–relaxation times start to decrease with larger activation energy just before $`T_\text{B}`$.
* Above $`T_\text{B}`$, the activation energy of the $`\beta `$–mode becomes nearly equal to that of the $`\alpha `$–process above $`T_\text{A}`$. Consequently, the $`\beta `$–process appears to approach smoothly the $`\alpha `$–process around $`T_\text{A}`$ margulies .

Indeed, as guided in Fig. 2, extrapolating the Arrhenius dependence below $`T_\text{g}`$ leads to the $`\alpha `$-$`\beta `$ bifurcation around $`T_\text{B}T_\text{D}`$ in accordance with previous results. Our precise measurements, however, reveal the invalidity of such analysis.

Other fitting parameters also support the $`T_\text{A}`$–merging of $`\alpha ,\beta `$-modes as seen in Figures 3, the plot of the temperature versus dielectric increments ($`\mathrm{\Delta }ϵ_{\text{HN}},\mathrm{\Delta }ϵ_{\text{CC}}`$) and fitting parameters ($`\alpha _{\text{HN}},\alpha _{\text{CC}},\beta _{\text{HN}}`$). Especially look at the behavior of $`\beta `$–process, showing that both the dielectric increment $`\mathrm{\Delta }ϵ_{\text{CC}}`$ and the broadness parameter $`\alpha _{\text{CC}}`$ increase gradually with heating and approach the value of the $`\alpha `$–relaxation. To be noted, $`\alpha _{\text{CC}}`$ appears to merge into that of the $`\alpha `$–mode in $`2.81000/T3`$, similarly to the result of relaxation times.

We have further checked the non-Arrhenius behavior for another material of entirely different-molecular structure: m-fluoroaniline (FAN) (NH2-C6H4-F, $`T_\text{m}=238`$ K, $`T_\text{g}=169`$ K). Figure 4 shows the temperature dependences of $`\alpha ,\beta `$–relaxations times, which have good continuity with previous ones as before kudlik . Remarkably, the $`\beta `$–process of FAN shows the rapid change of relaxation time around $`T_\text{B}`$ and smooth approach to the $`\alpha `$–mode around $`T_\text{A}`$, identically to that of sorbitol.

We would like to thus consider the molecular mechanism behind the non-Arrhenius behavior of the $`\beta `$–mode now revealed, classifying the temperatures into three regimes: $`TT_\text{g}`$ (region I), $`T_\text{g}TT_\text{B}`$ (region II) and $`T_\text{B}TT_\text{A}`$ (region III). Naturally, our main concern will be given to region II.

Region I — Most of the investigations on the $`\beta `$–mode have been done here. Among them, recent NMR–study provides us with the details of the $`\beta `$–relaxation: the Arrhenius-type temperature dependence in this region follows from some short-angle libration of molecules confined by effectively frozen surroundings (i.e., in ”cages”) cage\_ww ; rossler\_nmr .

Region II — Let us focus here the steep change of the $`\beta `$-relaxation times, i.e., the larger activation energy than those in other regions. A possible scenario to explain this is the following.

We rely on the theoretical suggestion that ”cages” start to melt around $`T_\text{D}`$ mct . With this, the $`T_\text{D}`$–change of the $`\alpha `$-process \[i.e., (ii) described at the beginning\] has been ascribed. Now suppose that the half-melt of cages reflects also the $`\beta `$-process: we assume that the loosening of confinement around $`T_\text{D}`$ enables some molecules to move, within the $`\beta `$-relaxation time, from one cage to another with scratching surroundings. It is then plausible that the $`\beta `$-relaxation involving such $`\alpha `$-like-process requires more activation energy than that of the libration in Region I.

Region III — In the highest temperature region, the $`\beta `$-relaxation merges into the $`\alpha `$–process around $`T_\text{A}`$ with similar activation energies. This suggests that, due to further softening of cages, the $`\beta `$–rotation becomes free as in simple liquids before the $`\alpha `$–mode does.

In summary, we performed broad-band dielectric spectroscopy (1 Hz - 20 GHz) on supercooled sorbitol and m-fluoroaniline with focusing on the behavior of the $`\beta `$–mode in well above $`T_\text{g}`$ region. From obtained results, it has been revealed that the $`\beta `$–relaxation times rapidly decrease around the VFT-VFT crossover temperature $`T_\text{B}T_\text{D}`$ with larger activation energy than that below $`T_\text{g}`$. Moreover, above $`T_\text{B}`$, the $`\beta `$–mode shifts into the same temperature dependence as that of the simple-liquid state to merge into the $`\alpha `$–mode around the Arrhenius-VFT crossover temperature $`T_\text{A}`$. These results suggest that cage-melting around $`T_\text{D}`$ changes the dynamics of the $`\beta `$–process as well as the $`\alpha `$–mode. The non-Arrhenius behavior of secondary relaxation, common to two materials of different molecular structures, is expected to be universal for supercooled liquids, though wider materials should be checked carefully in future.

We thank N. Matsuda for his great help on the use of an apparatus. This work is supported by the JST-CREST. One of the authors (T. F.) also acknowledges the financial support from the JSPS Research Fellowship for Young Scientists.


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# Potential Links: Gravity and Nuclear Force

## 1 Introduction

Newtonian gravity encounters issues for microscopic dimensions. As the sizes of two adjoining identical particles of uniform density tend to zero, the numerator of the force equation ($`F=Gm_1m_2/r^2`$) falls off as $`r^6`$. Since the denominator falls off as $`r^2`$, the force goes to zero in the limit of small particles with microscopic separations. Newtonian gravity in this form, therefore, cannot explain the nuclear binding force.

If we use the surface-to-surface separation between these particles to quantify the gravitational attraction instead of the center-to-center separation, we find that the force between these microscopic particles is the same as before in the limit of large separations relative to the particle radii. At small separations relative to the particle radii the force between these same particles grows much larger than classical gravity.

## 2 Modification of the inverse square law

For two coupled nucleons, I choose the Planck length $`L=\sqrt{(Gh/c^3)}`$ as the surface separation, as it is the minimum possible spatial distance that makes any sense in physics. Assuming zero separation distance would imply that the two particles are joined to form one particle, losing their distinction as separate particles. The diameter of a nucleon is about $`1`$ fm ($`10^{15}`$ meters). The Newtonian force is then $`F_N=Gm^2/D^2`$, where $`D`$ is the center-to-center distance, $``$ $`1`$ fm. If we select the surface-to-surface separation instead, the force would become $`F_P=Gm^2/d^2`$, with $`d=L=10^{20}`$ fm. The ratio of these two forces is $`D^2/d^2=10^{40}`$, which is also the strength of the nuclear force relative to gravitation. Strictly speaking, the strong force is not purely short range decreasing to a precise zero beyond a boundary, as illustrated by Rutherford’s scattering experiments, which showed effects from the strong force at separations of at least $`10`$ fm . As the nucleons are separated, $`D/d`$ shrinks, and $`F_P`$ rapidly approaches $`F_N`$ (Fig. 1). At $`1000`$ fm (less than the radius of an atom) the modified law yields the same results as standard Newtonian gravitation. Einstein also tried to explain nuclear force in terms of gravity .

For a coupled quark-lepton pair, the center separation can be taken to be $``$ $`10^3`$ fm. If we modify Newton’s equation as above, we find that the ratio between the standard and modified force is $`10^{34}`$. This is the relative strength of the weak nuclear force compared to gravitation. The weak nuclear force diminishes to standard Newtonian gravity at a distance of $`1`$ fm, the diameter of the nucleon (Fig. 1).

## 3 Links to Current Physics

Gluons create an effect that is approximately the classical equivalent of parallel springs connecting quarks: greater separations lead to grater attractive forces. If the hadron is considered to be a spherical “sea” of gluons surrounded by quarks, gluons may transform to gravitons as they ”evaporate” out of the gluon-sea or gravitons may ”condense” into gluons at this surface. As the virtual gluons ”evaporate”, they can either become free gluons, or possibly pairs of spin 1 gluons could transform into spin 2 gravitons. These radiation/absorption processes would create 1/r potentials radiating in all directions with their origins at the surface of the hadrons, not at the center of the hadrons. This would create a very strong force between the surfaces of closely packed particles, while being indistinguishable from gravity at large distances. Gravity between two spheres one fm in diameter and a Planck length apart, when hypothesized my way yields the strength of the nuclear force relative to gravity exactly and consistently. If the above transformation takes Planck time, there will be a Planck length separation between the quark-gluon plasma and the gravitational interaction. This would be consistent with general relativity and quantum mechanics; for this surface-originating gravity, the Compton wavelength would equal the gravitational radius, incorporating the uncertainty principle and general relativity . This picture is compatible with the prevailing view that the nuclear force is a secondary effect of the color force. In this model, the hadron is treated as a geometrically spherical object. This is not unprecedented; de-Sitter’s hadron model is also spherical . If hadrons are not exactly spherical, the exact force might be affected, but not its order of magnitude.

The existence of the gluon-graviton transformation at the surface of the hadron presents the intriguing possibility that few, if any, gravitons are found inside hadrons. The nuclear force is a secondary effect of the color force. I am proposing that nuclear force is strong gravity characterized by the above transformation at the surface of the hadron. Combining these ideas, it can be seen that gravitons should not be found within the hadron, as implicitly predicted previously with more details . Gravitons from outside the hadron should generally transform back to gluons and many gluons would transform to gravitons as they leave the hadron. This transformation brings all attributes of the color force (mass, spin and color charges) into gravitation without any significant modification of general relativity other than the Planck time described above.

Einstein, in a paper written in 1919, attempted to demonstrate that his gravitational fields play an important role in the structure and stability of elementary particles. His hypothesis was not accepted because of gravity’s extreme weakness . My hypothesis would negate this argument, providing a more consistent picture and supporting Einstein’s insight. In this case, Einstein’s fields do play an important part in particle structure; their unexpected strength leads to identification as a qualitatively different force, i.e. the residual strong force.

The classical Einstein equation may be viewed as an equation for a self-interacting spin-2 field in Minkowski space as concluded by R. M. Wald. . Combining Wald’s statement with the above gluon/graviton transformation and the proposed 1/r propagation could mathematically link the color forces to general relativity, reinforcing the prevailing view. In layman’s terms: The leakage of the mixed color forces is potentially the white color ”evaporating” from the surfaces of hadrons, ultimately perceived as gravity i.e., the carriers of color force below Planck scale are transformed into carriers of gravity above Planck scale as if the leaking parallel springs weaken and line up in series. While the surface is not precisely defined because of uncertainty, it is qualitatively intuitive. If hadrons are not exactly spherical, the exact force might be affected, but not its order of magnitude.

## 4 Prediction

My theory provides a consistent, intuitive and simplistic, but mathematical explanation of the relative values of the strong, weak and gravitational coupling constants, something no other single theory has done. If, as has been suggested, G is decreasing with time, the Planck length shortens, affecting the values of coupling constants, past nuclear reaction rates and the accuracy of radio-dating. Experimentally, my theory can be explored through close investigation of the nuclear force at $``$ 1-10 fm. Additionally, my prediction that gravitons do not exist in hadrons may resolve the difficulties string theory has in incorporating gravity and color force at the same time.

## 5 Conclusion

There is a potential link between gravity and nuclear force. The nuclear coupling constants, therefore, are expressible as the squares of the sum of the diameters of the involved particles, expressed in Planck lengths.

## Acknowledgment

I thank Dr. Weber (http://www.nd.edu/ fweber) and Dr. Christopher Kolda for their earlier comments.


text:
# Nonlinear regime of the current instability in a ballistic field effect transistor

## I Introduction

Dyakonov and Shur$`^{\text{[1]}}`$have described a new mechanism of plasma wave generation in an ultrashort-channel (ballistic) Field Effect Transistor. It was shown that 2D-electrons in a BFET can be described by equations analogous to the hydrodynamic equations for shallow water, the plasma waves being similar to shallow water waves. Therefore, various hydrodynamic phenomena observed in shallow water may occur in the 2D-electron fluid. In Ref., it was demonstrated that the non-symmetric boundary conditions with fixed source potential and drain current lead to instability of the stationary state with dc current. The FET channel is a resonator cavity, with plasma wave generation mechanism similar to that known for self-excitation of jets and organ pipes. Both the eigenfrequencies and the instability increment were found for dissipationless electrons. The plasma wave generation in short channel FETs is very important for using these devices as high-power sources in the terahertz frequency range. The experimental results$`^{\text{[2]},\text{[3]}}`$ found for the response of GaAs HEMT in the detector mode agrees with theoretical predictions.$`^{\text{[4]}}`$ Then, the recent experiments$`^{\text{[5]}}`$ concerning GHz plasma waves in 2DEG make an observation of ”shallow water instability” to be more feasible.

In Ref., nonlinear evolution of the instability was considered with account of both the electron fluid viscosity related to electron-electron scattering and the friction due to electron scattering by phonons and(or) impurities. The instability has a threshold found for the case of small viscosity and friction.$`^{\text{[6]}}`$ As expected, the instability leads, instead of chaotic motion, to the establishment of low-amplitude stationary oscillations, provided that the threshold current is exceeded by a small enough margin. In accordance with the theory of weak turbulence in conventional hydrodynamics$`^{\text{[7]}}`$, the amplitude is proportional to the square root of the current near the instability threshold. As predicted in Ref., at high enough increments the instability may result in the formation of step-like electron concentrations and velocity distributions$`^{\text{[8]}}`$ similar to shock waves in the conventional hydrodynamics. In Ref. the shock wave formation for non-viscous flow in the FET channel for the case of symmetric boundary conditions was investigated both analytically and numerically.

In Ref., the instability increment and threshold were calculated in the special case of strong friction and zero viscosity. The electron scattering results in the narrowing of an instability region, with the instability increment decreasing. The instability vanishes at a certain critical value of friction. The analytical results are in excellent agreement with computer simulations.

Neglecting the friction of the electron fluid, we study the strongly nonlinear instability mode both analytically and using computer simulations. First, we check the reliability of our numerical method in the analytically solvable case of a linear instability mode. Then, we demonstrate that the instability leads to high-amplitude stationary oscillations caused by shock wave formation in the FET channel. The shape and speed of the numerically found shock waves are well described in terms of the conventional hydrodynamics. Finally, the amplitude of stationary oscillations is determined.

## II Analytical approach

In Ref., it was shown that 2D electrons in a BFET can be described by the equations analogous to the hydrodynamic equations for shallow water:

$`{\displaystyle \frac{U}{t}}+{\displaystyle \frac{(VU)}{x}}`$ $`=`$ $`0,`$ ()
$`{\displaystyle \frac{V}{t}}+{\displaystyle \frac{}{x}}\left({\displaystyle \frac{V^2}{2}}+{\displaystyle \frac{eU}{m}}\right)`$ $`=`$ $`{\displaystyle \frac{\varkappa }{U}}{\displaystyle \frac{^2V}{x^2}}.`$ ()
Here, the voltage swing, $`U=U_{gc}U_T`$, corresponds to shallow water level, $`U_{gc}`$ is the local gate-to-channel voltage, and $`U_T`$ is the threshold voltage. Then, $`V`$ is the local electron flux velocity, $`m`$ is the electron effective mass, $`\varkappa `$ is the viscosity related to electron-electron scattering. Eq. (()II) is similar to the continuity equation in hydrodynamics, taking into account the gradual channel approximation relationship$`^{\text{[11]}}`$

$$n_s=\frac{CU}{e}.$$
(1)
Here, $`n_s`$ is the surface electron concentration, $`C`$ is the capacitance per unit area. Then, Eq.(()II) is analogous to the Euler’s equation in which we neglect the pressure gradient term.$`^{\text{[9]}}`$ Note, Eqs.(()II-1) represent, in fact, the simplified set of equations. In general, one have to solve the exact Poisson’s and Navier-Stocks hydrodynamic equations. Actually, within gradual channel approximation the higher order terms in the plasmon dispertion law$`^{\text{[12]}}`$ as well as the edge-effects contribition to the electric field are neglected.

In Ref., it was demonstrated that the steady electron flow is unstable under the following boundary conditions:

$$U(0,t)=U_0,U(l,t)V(l,t)=J/C,$$
(2)
where $`U_0`$ is the fixed source potential($`x=0`$), and $`J`$ is the current per unit gate width, fixed at the drain ($`x=l`$). In the steady state, $`V,U`$ are constants: $`U=U_0,V=V_0=j/(CU_0).`$ Neglecting the viscosity, we can easily solve Eqs.(()II-2) linearized with respect to small perturbations of the steady state flow (see Appendix). As shown in Ref., the instability results in plasma wave generation, with the FET channel playing the role of a resonator cavity. Both the eigenfrequencies and the instability increment (see Eq.7) depend on $`M=V_0/S,`$ where $`M`$ is the analog of the Mach number in hydrodynamics and, $`S=(eU_0/m)^{1/2}`$ is the plasma wave velocity. The instability exists at $`0<M<1`$.

We now investigate the strongly nonlinear instability mode, when shock waves are formed in the FET channel. As well known in the conventional hydrodynamics, the mass and momentum conservation laws determine the shape and variables on both sides of the shock wave. With dimensionless coordinate $`\eta =x/l`$, time $`\tau =tS/l`$, and variables $`u=U/U_0,v=V/S`$ introduced, Eqs.(()II,()II) yield

$`{\displaystyle \frac{u}{\tau }}+{\displaystyle \frac{(vu)}{\eta }}`$ $`=`$ $`0,`$ ()
$`{\displaystyle \frac{(vu)}{\tau }}+{\displaystyle \frac{}{\eta }}\left(uv^2+{\displaystyle \frac{u^2}{2}}\right)`$ $`=`$ $`\kappa {\displaystyle \frac{^2v}{\eta ^2}}.`$ ()
where $`\kappa =\varkappa /lSU_0`$ is the dimensionless viscosity.

We can easily find a self-consistent solution of Eqs.(()II,()II) which corresponds to a shock wave propagating in an infinite medium at fixed velocity, $`c`$, of the wave front. Simple integration of Eqs.(()II,()II) over the interval containing the shock wave discontinuity yields

$`u(vc)`$ $`=`$ $`j,`$ ()
$`vu(vc)+{\displaystyle \frac{u^2}{2}}`$ $`=`$ $`\kappa {\displaystyle \frac{dv}{d\eta }}+q,`$ (3)
where $`j,q`$ are the current and momentum fluxes which are continuous in the shock wave. With Eq.(()II), the shape of the shock wave can be easily derived as follows:

$$\frac{dv_r}{d\xi }=v_r+\frac{1}{2v_r^2}+const,$$
(4)
where $`v_r=v^{}/j^{1/3}`$, $`v^{}=vc`$ is the relative velocity of the electron flow with respect to the shock wave front, $`const=(jcq)/j^{4/3}`$. It is noteworthy that for a shock wave propagating in the infinite medium the dimensionless coordinate, $`\xi =\eta j/\kappa =xjSU_0/\varkappa `$, does not contain the sample length scale $`l`$. Then, according to Eq.(4) the spatial distribution of the shock wave velocity and potential, $`u(\xi )=j^{2/3}/v_r(\xi )`$, are universal functions of $`\xi `$. For a low-amplitude shock wave, solving Eq.(4) yields

$$u(\xi )=\frac{u_{1+}u_2}{2}+\frac{u_2u_1}{2}\mathrm{tanh}\left(\frac{\xi }{\delta }\right).$$
(4)
Here, the indices $`1`$ and $`2`$ label, respectively, the values of the hydrodynamic variables in front of, and behind the shock wave (see Fig.4a,b), in accordance to Ref.. Then, $`\delta =\frac{4u_1u_2}{3j^{2/3}(u_2u_1)}`$ is the front width of the low-amplitude shock wave. The smaller the amplitude, the wider the front.

We emphasize that Eq.(()II) provides that the energy conservation law is $`already`$ satisfied. The energy dissipated within the discontinuity is equal to the difference of energy flux densities $`j(u+(v^{})^2/2)`$ on both sides of the shock wave. Moreover, Eq.(()II) determines the direction in which the variables in the shock wave change as $`u_2>u_1`$, then gives the jump conditions known in the conventional hydrodynamics.$`^{\text{[7]}}`$ Indeed, for a shock wave in the infinite medium $`\frac{v}{\eta }|_\pm \mathrm{}=0`$, and, therefore the components $`u_{1,2}`$ and $`v_{1,2}`$ are related by

$$u_1=\frac{2v_1^{}(v_2^{})^2}{v_1^{}+v_2^{}},u_2=\frac{2(v_1^{})^2v_2^{}}{v_1^{}+v_2^{}},$$
(5)
where $`v_{1,2}^{}=v_{1,2}c`$ is the relative velocity of the electron flow in front of, and behind the shock wave, respectively.

We now seek the velocities and the potential on both sides of the shock wave and the speed of the shock wave front, taking into account Eq.(5) and the dimensionless boundary conditions $`u_1=1,u_2v_2=M`$ specified by Eq.(2). In this case, however, the number of algebraic equations is less than the total number of variables. Consequently, we set the relative shock wave amplitude, $`u_{21}=`$ $`u_2/u_1`$, as a free variable. Finally, the speed of the shock wave front, $`c_\pm `$ , and the electron flow velocity at the source, $`v_1^\pm `$ , are given by

$`c_\pm `$ $`=`$ $`{\displaystyle \frac{M}{u_{21}}}\pm \upsilon ,`$ ()
$`v_1^\pm `$ $`=`$ $`{\displaystyle \frac{M}{u_{21}}}\pm \upsilon (1u_{21}).`$ ()
Here, the signs correspond to shock wave propagating in the channel upstream (+) and downstream (-), respectively. Then, $`\upsilon =\left(\frac{1+u_{21}}{2u_{21}}\right)^{1/2}`$ is the shock wave front speed for a stagnant electron fluid (i.e. that with $`M=0`$). It should be noted that the speed of the low-amplitude ( $`u_{21}1`$) shock wave front coincides with the plasma wave propagation velocities $`M\pm 1`$, in agreement with the conventional hydrodynamics.$`^{\text{[7]}}`$ It will be recalled that Eqs.(()II,()II) are valid when $`u_{21}>1`$.

## III Computer simulations

Let us first estimate the order of magnitude of the dimensionless viscosity $`\kappa `$. In a highly non-ideal 2DEG, with the thermal, Bohr, and Fermi energies of the same order of magnitude, the viscosity of the electron fluid is given$`^{\text{[1]}}`$ by $`V_F\lambda _{ee}\mathrm{}/m`$, where $`V_{F\text{ }}`$ is the Fermi velocity, $`\lambda _{ee}n_s^{1/2}`$ is the mean free path for electron-electron collisions. For $`U_00.5`$V, $`n_s10^{12}`$cm<sup>-2</sup>, and submicrometer( $`l=0.2`$ $`\mu `$m ) AlGaAs/InGaAs based FET at $`T=77`$K we obtain $`\kappa =\lambda _{ee}V_F/lS0.01`$. Accordingly, we further assume that $`\kappa 1.`$

We now compare our analytical results with computer simulation data. The numerical method used is the well-known Broilovskaya algorithm$`^{\text{[13]}}`$ adapted for a system with two boundaries. In Ref., a detailed description of the numerical procedure based on Eqs.(()II,()II) was given. As was underlined in Ref., a finite-difference approximation methods always involve a numerical error which could be associated with a diffusion-like term similar to that in Eq.(()II). Consequently, we further assume that within our numerical method there exists a nonzero parasitic ”numerical viscosity” $`\kappa _n`$. We will demonstrate that $`\kappa _n1`$.

In the present paper we use two different numerical approaches. Initially (case (i)), we omit viscosity term ($`\kappa =0`$) in Eqs.(()II,()II), and then solve them under the boundary conditions specified by Eq.(2). We use the first mode of plasma wave oscillations ( Eqs.(()V) at $`A=10^4,n=1,\tau =0`$) as the initial condition. In Fig.1, the computer simulation data are presented as the time dependence of the velocity at the source, $`v(0,\tau )`$, in relation to the drain potential $`u(1,\tau )`$ for different Mach numbers. In the same figure, we plot the solution given by Eq.(()V), found within the linear approximation. The computer simulation data are well described by the analytical theory in the linear regime of the instability evolution for $`0<M<1`$.

We now consider the strongly nonlinear instability regime. Instead of a chaotic motion, as expected, the instability leads to stationary oscillations irrespective of the initial conditions. The oscillation amplitude depends on the Mach number. As an example, in Fig.2 we plot four different phases clearly defined in stationary oscillations. In the first step (Fig.2,a), the shock wave appears at the drain and moves therefrom toward the source. After subsequent reflection from the source the jump propagates upstream the channel and then disperses (Fig.2,b). The dispersion of the shock wave front is a generic phenomenon known in the conventional hydrodynamics.$`^{\text{[7]}}`$ In other phases, there are relatively smooth distributions moving downstream and upstream the channel. It is noteworthy that the shallow rapid oscillations near the discontinuity( see Fig.2,a ) are numerical artifacts that always appear in finite-difference approximation methods for a non-viscous flow.$`^{\text{[13]}}`$

Let us now examine in more detail the shock wave clearly defined (bold line) in Fig.2,a. It can be seen that a discontinuity approaching the source can be described analytically in terms of a shock wave in the infinite medium. To confirm this, we plot in Fig.1 the analytical dependences $`v_1^\pm (M,u_{21})`$ given by Eq.(()II). We ascertained that the upstream shock wave at the source is well described by the theory at $`0.05<M<1`$. It should be noted that the above description fails to account for the dependence of the amplitude of stationary oscillations on the Mach number. Nevertheless, we use the computer simulation data and find the amplitude of stationary oscillations, $`u_{21}^{st}(M)`$, associated with the downstream shock wave (Fig.1, point A). This dependence (see Fig.3,a) correlates with that furnished by Eq.(7) for the instability increment. The higher the increment, the stronger the amplitude of stationary oscillations. Using the dependence $`u_{21}^{st}(M)`$ and Eq.(()II), we can readily calculate the speed of the upstream and downstream shock waves (see Fig.3). It can be seen that at $`M0;1`$ the speed of the low-amplitude shock waves coincides with the plasma wave propagation velocities $`M\pm 1`$.

Up to now, we have used the approach $`\kappa =0`$, with the parasitic ”numerical viscosity” assumed to be small $`\kappa _n1`$. Let us examine the opposite situation (case(ii)) $`\kappa _n`$ $`\kappa 1`$ with viscous term included in Eq.(()II). If this case, Eqs.(()II,()II) has higher order and, consequently, requires an additional boundary condition other than those given by Eq.(2). Fortunately, the extra condition can be readily found with the help of the continuity equation. Indeed, for a fixed voltage at the source Eq.(()II) yields $`\frac{dv}{d\eta }|_0=0`$. Previously, this condition was derived in Ref. on the basis of a more complicated reasoning. With the above set of boundary conditions, we examined numerically the instability evolution of a viscous flow at $`0.005<\kappa <0.05`$ and $`M<0.15`$. As expected, in the linear regime of instability, the numerical data coincide with those found above for the non-viscous case (i). Then, in the nonlinear regime, the viscosity enhancement results in a minor damping of stationary oscillations. The amplitude of these oscillations remains nearly constant in the actual range of $`\kappa `$, and, hence, we can use the simple non-viscous approach (i) instead of (ii) in this case.

To conclude, we estimate the parasitic ”numerical viscosity.” In Fig.4, we plot the spatial distributions for upstream shock waves(see Fig.1,a, point A) at fixed Mach number $`M=0.1`$ and different viscosities. it will be recalled that, for a shock wave in the infinite medium, the spatial distribution $`u(\xi )`$ scales with $`\xi \kappa `$. Consequently, we can represent the same data re-plotted, e.g. the case $`\kappa =0.01`$. The plots are collapsed(see Fig.4,b). In addition, we plot in the same figure the distribution of the potential in the shock wave, found from Eq.4. It can be seen that the shape of the numerically found shock wave is well described by the theory. Using the collapse formalism we can easily estimate the parasitic ”numerical viscosity” to be $`\kappa _n=0.0013`$. This value is consistent with estimations done in Ref.. To the best of our knowledge, the exact value of the ”numerical viscosity” within the Broilovskaya algorithm is unknown.

In summary, in the nonlinear regime the current instability leads to high-amplitude stationary oscillations caused by shock waves formation in the FET channel. The amplitude of stationary oscillations is determined using computer simulation data. The numerically found shape and speed of the shock waves are well described in terms of the conventional hydrodynamics. The parasitic ”numerical viscosity” is estimated.

## IV Acknowledgments

The author is grateful to A.P.Dmitriev, G.G.Samsonidze and V.Yu. Kachorovskii for helpful discussions. This work was supported in part by RFBR and INTAS, grant YSF 2001/1-0132.

## V Appendix

Following Ref., we seek the instability by analyzing the temporal behavior of small perturbations $`\delta V,\delta U`$ superimposed on a steady flow, i.e. $`V(x,t)=V_0+\delta V(x)\mathrm{exp}(i\omega t),U(x,t)=U_0+\delta U(x)\mathrm{exp}(i\omega t)`$. Using dimensionless variables introduced in the text and non-viscous($`\kappa =0`$) Eqs.(()II-2) linearized with respect to $`\delta V,\delta U`$ we obtain

$`v`$ $`=`$ $`M+ARe\left[\mathrm{exp}(i(k_1\eta \mathrm{\Omega }\tau ))+\mathrm{exp}(i(k_2\eta \mathrm{\Omega }\tau ))\right]`$ ()
$`u`$ $`=`$ $`1+ARe\left[\mathrm{exp}(i(k_1\eta \mathrm{\Omega }\tau ))\mathrm{exp}(i(k_2\eta \mathrm{\Omega }\tau ))\right]`$ (6)
where $`A`$ is the arbitrary constant dependent on the initial conditions, and $`\mathrm{\Omega }=\omega l/S`$ is the dimensionless frequency. Then, $`k_{1,2}=\pm \mathrm{\Omega }/(1\pm M)`$ denote the wave vectors for the upstream and downstream plasma waves respectively. According to Ref., both the real and imaginary parts of the complex frequency $`\mathrm{\Omega }=\mathrm{\Omega }^{}+i\mathrm{\Omega }^{\prime \prime }`$ of plasma wave generation are given by

$$\mathrm{\Omega }^{}=\frac{\left(1M^2\right)}{2}\pi n,\mathrm{\Omega }^{\prime \prime }=\frac{\left(1M^2\right)}{2}\mathrm{ln}\left|\frac{1+M}{1M}\right|.$$
(7)
where $`n`$ is an odd integer for $`\left|M\right|<1`$.

From Eqs.(()V) we can readily find the time-dependent velocity at the source $`v(0,\tau )`$ and drain potential $`u(1,\tau )`$ as follows

$`v(0,\tau )`$ $`=`$ $`M+2ARe\left[\mathrm{exp}(i\mathrm{\Omega }\tau )\right]`$ ()
$`u(1,\tau )`$ $`=`$ $`1+2A{\displaystyle \frac{(1+M)^{\frac{M1}{2}}}{(1M)^{\frac{M+1}{2}}}}Re\left[\mathrm{exp}(i(\mathrm{\Delta }\phi \mathrm{\Omega }\tau ))\right]`$ (7)
where $`\mathrm{\Delta }\phi =\pi n(1M)/2`$ is the phase shift. We emphasize that Eqs.(()V) describe a helix (see Fig.1).


text:
# The fundamental plane of radio galaxiesBased on observations collected at European Southern Observatory, La Silla, Chile.

## 1 Introduction

It is well known that the global properties of early–type galaxies are fairly well described through a three dimensional space of observables which, besides the effective radius $`r_e`$ and the corresponding average surface brightness $`<\mu _e>`$, involves the central velocity dispersion $`\sigma _c`$ (Djorgovski & Davis 1987, Dressler et. al. 1987). In fact, ellipticals and lenticulars are found to lie in a surprisingly tight, linear region of this space (the so called Fundamental Plane; hereafter FP) that has been shown to be close to the plane defining the virial equilibrium condition over the assumption of a rigorous homology among galaxies (Faber et. al. 1989).

The systematic deviation of the FP from the one defined by the virial equilibrium, has been interpreted as due to changes of the Mass to Light ratio (M/L) (due to different stellar content or to differences in dark matter distribution; Pahre et. al. 1995, Mobasher et. al. 1999), as well as to the breakdown of the homology assumption (e.g. kinematic anisotropy; Caon et. al. 1993, Graham et. al. 1996, Ciotti et. al. 1996, Busarello et. al. 1997). In this context it is therefore important to determine whether the FP has universal validity among ellipticals. In particular it is not yet clear if active and non-active galaxies do follow the same FP, as it would be expected in view of the recent results on Black Holes (BH) demography in galaxies (Gebhardt et. al. 2000, Ferrarese & Merritt 2000).

A relevant case is that of low redshift extragalactic radio sources that are associated with massive early–type galaxies. A number of optical studies have been carried out in the last decade to investigate the relationship between radio emission properties and the characteristics of the host galaxies (see e.g. Govoni et. al. 2000a and references therein). Comparison of the optical properties of radio galaxies with those of normal (non radio) ellipticals have shown that the probability to exhibit radio emission increases with the optical luminosity of the galaxies (Scarpa & Urry 2001) and also that the radio morphology (typically classes FR I and FR II) may depend on the absolute magnitude of the host galaxy (Owen & Laing 1989; Owen & White 1991). This could be related to the different BH mass (proportional to the galaxy luminosity) and to the jet power (Ghisellini & Celotti 2001).

As a whole, these studies have shown that the optical morphological/structural and photometrical properties of radio and non-radio ellipticals are remarkably similar, suggesting that all ellipticals may go through a phase of nuclear activity lasting for a small fraction of the total life of the galaxy.

Few previous observations were devoted to investigation of the dynamical properties of Radio Galaxies (RG). Apart a very small number (11) of radio sources included in the original work on the FP of ellipticals by Faber et. al. (1989) (hereafter FA89), only Smith, Heckman & Illingworth (1990; hereafter SHI90) performed a systematic study on the stellar dynamics of Powerful Radio Galaxies (PRG). They compared $`<\mu _e>`$, $`r_e`$ and $`\sigma _c`$ measurements for a compilation of PRG with the distribution in the FP of the bright ellipticals studied by FA89, concluding that the FP of PRG is consistent with that of normal ellipticals. However they also found evidence for smaller than normal velocity dispersions and significant rotational support in galaxies with marked morphological peculiarity.

In this paper we present a much deeper investigation of the FP of radio galaxies, based on a sample of 73 radio galaxies. The data are in part new (22 objects) and in part collected from the literature (51 objects). Most of literature values were derived from the Hypercat database (Prugniel & Maubon 2000). All values of $`<\mu _e>`$, $`r_e`$, and $`\sigma _c`$ have been processed in order to make them homogeneous to a common standard (see Sec 4.2). Throughout the paper we assume $`H_{}`$=50$`h^1`$km $`s^1`$Mpc-1 and $`q_0`$=0.

## 2 Observations and data analysis

We obtained medium resolution optical spectra of RG selected from the brightest ($`m_R<`$15) objects in the sample of 79 LzRG previously imaged, in the R filter, by us (Fasano et. al. 1996, Govoni et. al. 2000a,b). These observations were aimed at deriving the velocity dispersion from stellar absorption lines. In Table 1 we give the list of the objects observed together with exposure times and position angles used for the observations.

Optical spectroscopy was obtained in March/April 1998 and November 1998 with the ESO/Danish 1.52 m telescope at La Silla, using the Danish Faint Object Spectrograph and Camera (DFOSC). We used a CCD Loral/Lesser, with 2052 $`\times `$ 2052 pixels combined with an Echelle Grism of 316 grooves/mm yielding a velocity resolution (FWHM) of 71 km$`s^1`$ (for a slit 1″ wide) in the range $`\lambda \lambda `$=4800-5800 Å. A long slit, 2.0″ wide and centered on the galaxy, was oriented along the apparent major axis of the radio galaxy. With this configuration we reach a velocity dispersion resolution $`\mathrm{\Delta }\sigma `$=60 km$`s^1`$; the scale perpendicular to the dispersion is 0.39″/pixel. Template reference spectra of standard stars of spectral type from G8-III to K1-III, with low rotational velocity (V$`\times `$$`\mathrm{sin}(i)<`$17 km$`s^1`$), were secured at the beginning and at the end of each night. During the observations the seeing ranged between 1″ and 1.5″.

Optical spectra were reduced using standard procedures available in the IRAF package and includes bias subtraction, flat fielding, and wavelength calibration. The accuracy of the latter procedure was checked with measurements of the night sky $`\lambda _0`$= 5577.32 Å emission line. In all cases a precision of $``$$`<`$ 20 km$`s^1`$ was reached. In order to increase the signal to noise and to match the observed spatial resolution (assuming the mean seeing) with the plate scale across dispersion, the spectra were rebinned over three pixels perpendicular to the dispersion, obtaining an effective spatial resolution of 1.17″/pixel. The observed spectral range includes the $`Mg_2`$ band ($`\lambda _0`$= 5175.4 Å), the E-band (5269 Å) and the FeI line (5335 Å).

The systemic velocity, corrected to the Sun, and the velocity dispersion $`\sigma `$ were determined using the Fourier Quotient method (Sargent et. al. 1977, Bertola et. al. 1984). The spectra were first normalized by subtracting the continuum, converted to a logarithmic scale and then multiplied to a cosine bell function that apodizes 10% of the pixels at each end of the spectrum. This forces the ends of the spectra smoothly to zero. Finally the Fourier Transform of the galaxy spectra were divided by the Fourier Transform of a template star whose spectra (late G and early K spectral type) matched that of the galaxy. These spectra are used as templates of zero velocity dispersion.

The best-fit stellar template then yields a profile of the velocity dispersion $`\sigma `$ and the stellar velocity curve with relative errors for the galaxy. The $`r.m.s.`$ of the determinations obtained with different template stars turned out to be less than 20 km$`s^1`$ for $`\sigma `$ and $``$10 km$`s^1`$ for the systemic radial velocity $`V_r`$. The average values of these determinations were adopted as final values of $`\sigma `$ and $`V_r`$.

Since early-type galaxies exhibit some gradients in the radial velocity and velocity dispersion (Davies et. al. 1983, Fisher et. al. 1995), the derived ‘central’ parameter $`\sigma _c`$ depends on the distances of the galaxies and the size of the aperture used for the observation. In order to compare our velocity dispersions with the data available in the literature we applied aperture corrections according to the procedure given by Jørgensen et. al. (1995). The individual measurements of $`\sigma `$ are therefore corrected to a circular aperture with a metric diameter of 1.19$`h^1`$ kpc , equivalent to 3.4″ at the distance of the Coma cluster.

For 8 of the 22 RGs observed previous determinations of the velocity dispersion were found in the Hypercat database. The comparison between our and previous measurements of $`\sigma `$ is shown in Figure 1. When more than one measurement of $`\sigma `$ is present in the literature, we took the mean value quoted by Hypercat. The average difference between our and Hypercat values of $`\sigma `$ is:

$`<\sigma _{our}`$-$`\sigma _{Hyp}>`$ = 4$`\pm `$6.4 km$`s^1`$; $`r.m.s.`$ = 18 km$`s^1`$

Additional notes on individual galaxies are given in the Appendix.

Table 2 reports our measurements of $`\sigma _c`$ and the estimated uncertainities, together with the parameters $`<\mu _e>`$ and $`r_e`$ , taken from Govoni et. al. (2000a), that are relevant to construct the FP. The average surface brightness $`<\mu _e>`$ has been evaluated from the formula:

$`<\mu _e>`$ = RT \+ 5log(r$`{}_{}{}^{\prime \prime }{}_{e}{}^{}`$) + 2.5log(2$`\pi `$),

where RT is the total R apparent magnitude and r$`{}_{}{}^{\prime \prime }{}_{e}{}^{}`$ is the effective radius. All these quantities are corrected for the contribution of the point source (see Govoni et al. 2000b), for cosmological dimming and for $`K`$–correction according to Poggianti (1997). The distance/systemic velocities used to derive $`r_e`$ and $`<\mu _e>`$ are relative to the Cosmic Microwave Background (CMB) reference frame and come from the Lyon Meudon Extragalactic Database (LEDA, Paturel et. al. 1997).

## 3 Extended sample of LzRG

We have collected from the literature stellar velocity dispersion measurements of LzRGs for which photometric and structural parameters are also available. To make these data homogenous with our measurements we processed them applying the same procedure adopted for our subsample of LzRG (see above section and Govoni et. al. 2000b).

We excluded from the analysis the radio galaxies belonging to dumbbell systems or close galaxy pairs, as well as those having recession velocity (corrected to CMB) less than 3000 km$`s^1`$, since these circumstances may induce significant uncertainties in the parameters considered.

### 3.1 Previous work on the Fundamental Plane of LzRGs

An early investigation of the FP of LzRG was undertaken by FA89 in their study of early-type galaxies. They give $`<\mu _e>`$ and $`r_e`$ (in the B band), as well as $`\sigma `$ for 11 RGs. However 6 objects are dumbbell systems or have small recession velocity and for this reason are not considered in our analysis. For the remaining 5 we obtained $`<\mu _e>`$ in the R band applying a color correction based on the integrated color (B-R) obtained from Hypercat.

The first systematic study of the FP of RGs was performed by Smith, Heckman & Illingworth (1990, SHI90) who reported kinematical and photometrical data for 20 powerful radio galaxies previously imaged in the V band (Smith & Heckman 1989, hereafter SH89), as well as for 16 more galaxies from Heckman et. al. (1985). Among the latter ones, only 7 are supplied with complete photometric information, whereas 5 objects, out of the remaining 27 in the total sample, turn out to belong to dumbbell systems or close pairs. This reduces the usable sample of SHI90 to 22 objects available for FP analysis. In order to derive $`<\mu _e>`$ consistently with our definitions (see above formula) we used their isophotal magnitudes V25 and the effective radii $`r_e`$ reported in SH89 (Table 8) and applied a correction of -0.16 (average difference between mtot and m24.5 in our study of RG; Govoni et. al. 2000b) to obtain total magnitudes. Then we corrected for the color term (V-R) using the colors from SH89, when available, or assuming (V-R)=0.55 in the other cases.

### 3.2 Additional data for the Fundamental Plane of LzRG

In order to improve the statistics of our analyses, we have searched the literature for additional LzRG that have measurements of velocity dispersion, $`<\mu _e>`$ and $`r_e`$. We have combined photometric data of LzRGs from the studies of Ledlow & Owen (1995, LO95) and Gonzalez-Serrano & Carballo (2000, GC00) whith the velocity dispersions given by Wegner et. al. (1999, EFAR) or by Hypercat.

The cross identification betwen LO95 and EFAR added 17 new LzRGs to our compilation, whereas that between GC00 and Hypercat adds 7 more LzRGs. In both cases, in order to derive $`<\mu _e>`$ consistently with our definitions, we used the magnitudes $`m_{24.5}`$ and the effective radii $`r_e`$ given in the original papers and applied the same corrections as for the data of SHI90.

In total, the sample of LzRG for which we collected data from the literature consists of 51 objects. The relevant data for these objects are given in Tables 3 and 4. These, together with the sample for which we present new data, leads to a total of 73 LzRG, and represents the largest dataset of photometric and spectroscopic data on Radio Galaxies till now.

### 3.3 Comparison sample of non-radio elliptical galaxies

In order to compare the FP of LzRGs with that of normal galaxies, we used the sample of radio-quiet early–type galaxies studied by Jørgensen et. al. (1996, JFK96). It is by far the richest, still homogeneous sample for which both photometric and kinematic information is available. Previous samples of early type galaxies used to describe the FP (e.g. FA89) have a significantly larger scatter with respect to the data of JFK96. Since the JFK96 sample consists of cluster galaxies, it has also the advantage of the reliability of the distance determination.

To compare our data on LzRG with the JFK96 data, we converted their Gunn $`r`$ photometry to the R band, by means of the average relation $`Rr`$=0.3, given in Jørgensen (1994).

## 4 The Fundamental Plane of radiogalaxies

In order to derive the parameters describing the FP:

$$\mathrm{log}r_e^{kpc}=\alpha \mathrm{log}\sigma +\beta <\mu _e>_R\gamma ,$$
(1)
we minimized the root square of the residuals perpendicular to the plane. This procedure is to be preferred with respect to the classical one (minimizing the root square of the residuals along a given axis) when there are measurement errors in all observed quantities. It is also slightly different from that used by JFK96, which minimizes the sum of the absolute residuals perpendicular to the plane.

In Table 5 the FP coefficients $`\alpha `$, $`\beta `$ and $`\gamma `$ obtained using this fitting procedure for different subsamples of radio and non radio galaxies are reported. Since the adopted fitting procedure does not provide analytical form for the uncertainties of the parameters, we indicate in Table 5 the 1$`\sigma `$ uncertainties computed according to the classical formalism and assuming the values of the FP coefficients given in the table.

Each sample in the table is indicated with a capital letter and the fits obtained merging together two or more samples are indicated with sequences of letters, according to the previous correspondence (for instance JO means JFK96+This Work).

We note from Table 5 that, in spite of the slightly different fitting procedure, the FP coefficients we found for the JFK96 sample of radio-quiet galaxies (our comparison sample) are indistinguishable from those given in the original JFK96 paper (see their equation ). In Figure 2 we plot all the galaxies in the above described samples, together with our FP fit of non radio ellipticals (JFK96).

From Table 5 the FP coefficients derived from our sample of 22 radio-galaxies turn out to be consistent (within 1$`\sigma `$ of the estimated uncertainties) with those relative to the control sample of non radio galaxies. The same happens for the 17 radio-galaxies in the L095 sample. On the contrary, fitting the SHI90 sample of 22 radio-galaxies yields FP coefficients different (well beyond 3$`\sigma `$) from those relative to the comparison sample. This is likely to be due to the presence of a few outliers in their galaxy sample, as shown in Figure 2. Finally, given the small size of FA89 and GC00 samples a reliable estimates of the FP can not be derived from them. Nevertheless, we have reported in Table 5 the coefficients resulting from the formal fit of these samples. In the case of the GC00 sample, they are consistent with those relative to the control sample, whereas considerable differences (again caused by the presence of an outlier) come in the case of the FA89 sample.

In Table 5 we also report the fits obtained merging together two or more galaxy samples. Among them, we assume as representative of the global FP of elliptical galaxies, the fit:

$$\mathrm{log}r_e^{kpc}=1.27\mathrm{log}\sigma +0.326<\mu _e>_R8.56$$
(2)
which includes the comparison sample (JFK96) and the radio samples from this work(O), from LO95(L) and from GC00(G). This fit allows to extend the FP up to the bright end of the luminosity function of early–type galaxies.

The M/L ratio is a function of the stellar population and dark matter content of galaxies. In Figure 3 we show the relation between the Mass to Light ratio (M/L) and the velocity dispersion $`\sigma `$. We derived the masses of our galaxies by using the relation M=5$`r_e\sigma ^2`$/G (Bender et. al. 1992). This figure indicates that LzRGs follow the same relation found for normal elliptical galaxies. The scatter of the M/L ratio as a function of log $`\sigma `$ is $``$0.2dex, similar to that found by JFK96.

## 5 Conclusions

The main conclusion of this study is that the fundamental plane of radio galaxies, as defined by our collection of data for 73 objects, is consistent with the one defined by normal, non-radio elliptical galaxies. Some recent results on BH demography (Ferrarese & Merrit 2000, Gebhardt et. al. 2000) strongly suggest that all galaxies may host a massive BH in the nucleus, and that the BH mass is proportional to the mass of the spheroidal component. This means that, virtually, all ellipticals have the basic ingredient for becoming active. Considering the small amount of gas (few solar masses per year) necessary to sustain the radio emission of even the most powerful radio sources, the activity could be triggered by extremely modest alteration of the status of equilibrium in which galaxies settled soon after they form. According to this view it is therefore not surprising that radio and non radio ellipticals have indistinguishable global properties, irrespective of their nuclear activity. Here, we present one more result supporting this scenario.

Both metallicity effects and age variations have been suggested as the main cause (Faber et. al. 1995) of the strong dependence of M/L on $`\sigma `$, that is on the total mass of the galaxy. This relation is consistent with a progressive reddening of the stellar population going from small to big galaxies (e.g., Prugniel & Simien 1996), but most of dependence remains unexplained. It looks like that ellipticals pass from being baryon dominated to be dark matter dominated with increasing luminosity, with a ”fine tuning” required by the small and basically constant dispersion around the FP.

## Appendix A Notes on individual galaxies

0055-016 - UGC 595 - 3C29 this galaxy belongs to the rich cluster A119 and is D26 in the Dressler (1980) list. Smith et. al. (1990) measured a velocity dispersion of 199$`\pm `$18 km$`s^1`$but recently Wegner et. al. (1999) give a value of 253$`\pm 17`$ km$`s^1`$ in better agreement with our measurements.

0131-360 - NGC 612 This galaxy show a strong dust lane along the apparent major axis, our spectrum has been obtained perpendicularly to the dust lane, i.e. along the minor axis of the optical galaxy, no rotation is visible.

0915-118 - 3C218, Hydra A, A well studied galaxy showing strong \[OIII\]($`\lambda =5007`$ Å) emission lines. Heckman et. al. (1985) found $`\sigma =308\pm 38`$ km$`s^1`$, slightly higher than our measurement $`278\pm 78`$ km$`s^1`$.

1107-372 - NGC 3557, We measure a velocity dispersion of 295$`\pm `$7 km$`s^1`$ and a velocity gradient of $``$150 km$`s^1`$ in the central 5″ in good agreement with data available in Hypercat.

1258-321 - ESO443-G024, this galaxy is in the cluster A3537. Dressler et. al.(1991) measured a velocity dispersion of 279$`\pm `$27 km$`s^1`$ in good agreement with our data.

1333-337 - IC 4296, Our value of sigma is lower than the mean value quoted by Hypercat (340 km$`s^1`$). The agreement is better with the measure of Franx et. al. (1989). From our spectrum, taken at PA=60 we measure a rotation of $``$71 km$`s^1`$ in agreement with data taken at the same position angle by Saglia et. al. (1993).

1400-337 - NGC 5419, Our measure is in good agreement with the mean value quoted by Hypercat. The spectrum, taken at PA=84, show a maximum rotational velocity of $``$90 km$`s^1`$ over 5″ .

1514+072 - UGC9799, our measure of the velocity dispersion is very close to the mean value of 247 km$`s^1`$ quoted in Hypercat.

###### Acknowledgements.

This research made use of Vizier service (Ochsenbein et. al. 2000) and of the NASA/IPAC Extragalactic Database (NED) which is operated by the Jet Propulsion Laboratory, California Institute of Technology, under contract with the National Aeronautics and Space Administration. We have made use of the LEDA (http://leda.univ-lyon1.fr) and Hypercat database.