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# Toric 𝐴𝐹-algebras and faithful representation of the mapping class groups

## 1 Introduction

A. The mapping class group. The mapping class group has been introduced in the 1920-ies by M. Dehn . Such a group, $`Mod(X)`$, is defined as the group of isotopy classes of the orientation-preserving diffeomorphisms of a two-sided closed surface $`X`$ of genus $`g1`$. The group is known to be prominent in algebraic geometry , topology  and dynamics . When $`X`$ is a torus, the $`Mod(X)`$ is isomorphic to the group $`SL_2(Z)`$. (The $`SL_2(Z)`$ is called a modular group, hence our notation for the mapping class groups.) A little is known about the representations of $`Mod(X)`$ beyond the case $`g=1`$. Recall, that the group is called linear, if there exists a faithful representation into the matrix group $`GL_m(R)`$, where $`R`$ is a commutative ring. The braid groups are known to be linear . Using a modification of the argument for the braid groups, it is possible to prove, that $`Mod(X)`$ is linear in the case $`g=2`$ . Whether the mapping class group is linear for $`g3`$, is an open problem, known as a Harvey conjecture , p.267.

B. The toric $`AF`$-algebras. Denote by $`T_S(g)`$ the Teichmüller space of genus $`g1`$ with a distinguished point $`S`$. Let $`qH^0(S,\mathrm{\Omega }^2)`$ be a holomorphic quadratic differential on the Riemann surface $`S`$, such that all zeroes of $`q`$ (if any) are simple. By $`\stackrel{~}{S}`$ we mean a double cover of $`S`$ ramified over the zeroes of $`q`$ and by $`H_1^{odd}(\stackrel{~}{S})`$ the odd part of the integral homology of $`\stackrel{~}{S}`$ relative to the zeroes. Note that $`H_1^{odd}(\stackrel{~}{S})Z^n`$, where $`n=6g6`$ if $`g2`$ and $`n=2`$ if $`g=1`$. The fundamental result of Hubbard and Masur  implies, that $`T_S(g)Hom(H_1^{odd}(\stackrel{~}{S});R)\{0\}`$, where $`0`$ is the zero homomorphism. Finally, denote by $`\lambda =(\lambda _1,\mathrm{},\lambda _n)`$ the image of a basis of $`H_1^{odd}(\stackrel{~}{S})`$ in the real line $`R`$, such that $`\lambda _10`$. Note that such an option always exists, since the zero homomorphism is excluded. We let $`\theta =(\theta _1,\mathrm{},\theta _{n1})`$, where $`\theta _i=\lambda _{i1}/\lambda _1`$. Recall that, up to a scalar multiple, the vector $`(1,\theta )R^n`$ is the limit of a generically convergent Jacobi-Perron continued fraction :

$$\left(\begin{array}{c}1\\ \theta \end{array}\right)=\underset{k\mathrm{}}{lim}\left(\begin{array}{cc}0& 1\\ I& b_1\end{array}\right)\mathrm{}\left(\begin{array}{cc}0& 1\\ I& b_k\end{array}\right)\left(\begin{array}{c}0\\ I\end{array}\right),$$

where $`b_i=(b_1^{(i)},\mathrm{},b_{n1}^{(i)})^T`$ is a vector of the non-negative integers, $`I`$ the unit matrix and $`I=(0,\mathrm{},0,1)^T`$. We introduce an $`AF`$-algebra, $`A_\theta `$, via the Bratteli diagram , shown in Fig.1. (The numbers $`b_j^{(i)}`$ of the diagram indicate the multiplicity of edges of the graph.) Let us call $`A_\theta `$ a toric $`AF`$-algebra.

C. The Teichmüller functor. Let $`R,R^{}T_S(g)`$ be a pair of isomorphic Riemann surfaces; let $`A_\theta `$ and $`A_\theta ^{}`$ be the corresponding toric $`AF`$-algebras. We look for an answer to the following elementary question: How are the algebras $`A_\theta `$ and $`A_\theta ^{}`$ related to each other? Recall, that the stable isomorphism between the $`C^{}`$-algebras is a fundamental equivalence in noncommutative geometry; the $`C^{}`$-algebras $`A`$ and $`A^{}`$ are said to be stably isomorphic, whenever $`A𝒦`$ is isomorphic to $`A^{}𝒦`$, where $`𝒦`$ is the $`C^{}`$-algebra of compact operators. Denote by $`V`$ the maximal subset of $`T_S(g)`$, such that for each Riemann surface $`RV`$, there exists a convergent Jacobi-Perron continued fraction. Let $`F`$ be the map which sends the Riemann surfaces into the toric $`AF`$-algebras according to the formula $`RA_\theta `$; we shall call $`F`$ the Teichmüller functor. Let $`W`$ be the image of $`V`$ under $`F`$; the following lemma relates the algebras $`A_\theta `$ and $`A_\theta ^{}`$.

###### Lemma 1

() The set $`V`$ is a generic subset of $`T_S(g)`$ and the map $`F`$ has the following properties: (i) $`VW\times (0,\mathrm{})`$ is a trivial fiber bundle, whose projection map $`p:VW`$ coincides with $`F`$; (ii) $`F:VW`$ is a covariant functor, which maps isomorphic Riemann surfaces $`R,R^{}V`$ to stably isomorphic toric $`AF`$-algebras $`A_\theta ,A_\theta ^{}W`$.

D. The result. Recall that $`Mod(X)`$ acts on $`T_S(g)`$ by isomorphisms of the Riemann surfaces; the action is properly discontinuous and free for a finite index subgroup of $`Mod(X)`$ . Lemma 1 extends the action to the toric $`AF`$-algebras, where $`Mod(X)`$ acts by the stable isomorphisms; the latter fact is remarkable: it is known, that the stable isomorphism group of a non-stationary toric $`AF`$-algebra admits a faithful representation into the matrix group $`GL_n(Z)`$ . This elementary observation implies the Harvey conjecture.

###### Theorem 1

For every surface $`X`$ of genus $`g2`$, there exists a faithful representation $`\rho :Mod(X)GL_{6g6}(Z)`$.

The structure of the article is as follows. The notation and facts used for the proof of theorem 1 are introduced in Section 2. Theorem 1 is proved in Section 3.

## 2 Preliminaries

### 2.1 $`AF`$-algebras

A. The $`C^{}`$-algebras. By a $`C^{}`$-algebra one understands the Banach algebra with an involution. Namely, a $`C^{}`$-algebra $`A`$ is an algebra over the complex numbers $`C`$ with a norm $`aa`$ and an involution $`aa^{},aA`$, such that $`A`$ is complete with the respect to the norm, and such that $`abab`$ and $`a^{}a=a^2`$ for every $`a,bA`$. If $`A`$ is commutative, then the Gelfand theorem says that $`A`$ is isometrically $``$-isomorphic to the $`C^{}`$-algebra $`C_0(X)`$ of the continuous complex-valued functions on a locally compact Hausdorff space $`X`$. For otherwise, the algebra $`A`$ represents a noncommutative topological space.

B. The stable isomorphisms of $`C^{}`$-algebras. Let $`A`$ be a $`C^{}`$-algebra deemed as a noncommutative topological space. One can ask, when two such topological spaces $`A,A^{}`$ are homeomorphic? To answer the question, let us recall the topological $`K`$-theory. If $`X`$ is a (commutative) topological space, denote by $`V_C(X)`$ an abelian monoid consisting of the isomorphism classes of the complex vector bundles over $`X`$ endowed with the Whitney sum. The abelian monoid $`V_C(X)`$ can be made to an abelian group, $`K(X)`$, using the Grothendieck completion. The covariant functor $`F:XK(X)`$ is known to map the homeomorphic topological spaces $`X,X^{}`$ to the isomorphic abelian groups $`K(X),K(X^{})`$. Let $`A,A^{}`$ be the $`C^{}`$-algebras. If one wishes to define a homeomorphism between the noncommutative topological spaces $`A`$ and $`A^{}`$, it will suffice to define an isomorphism between the abelian monoids $`V_C(A)`$ and $`V_C(A^{})`$ as suggested by the topological $`K`$-theory. The role of the complex vector bundle of the degree $`n`$ over the $`C^{}`$-algebra $`A`$ is played by a $`C^{}`$-algebra $`M_n(A)=AM_n`$, i.e. the matrix algebra with the entries in $`A`$. The abelian monoid $`V_C(A)=_{n=1}^{\mathrm{}}M_n(A)`$ replaces the monoid $`V_C(X)`$ of the topological $`K`$-theory. Therefore, the noncommutative topological spaces $`A,A^{}`$ are homeomorphic, if the abelian monoids $`V_C(A)V_C(A^{})`$ are isomorphic. The latter equivalence is called a stable isomorphism of the $`C^{}`$-algebras $`A`$ and $`A^{}`$ and is formally written as $`A𝒦A^{}𝒦`$, where $`𝒦=_{n=1}^{\mathrm{}}M_n`$ is the $`C^{}`$-algebra of compact operators. Roughly speaking, the stable isomorphism between the $`C^{}`$-algebras means that they are homeomorphic as the noncommutative topological spaces.

C. The $`AF`$-algebras. An $`AF`$-algebra (approximately finite $`C^{}`$-algebra) is defined to be the norm closure of an ascending sequence of the finite dimensional $`C^{}`$-algebras $`M_n`$’s, where $`M_n`$ is the $`C^{}`$-algebra of the $`n\times n`$ matrices with the entries in $`C`$. Here the index $`n=(n_1,\mathrm{},n_k)`$ represents a semi-simple matrix algebra $`M_n=M_{n_1}\mathrm{}M_{n_k}`$. The ascending sequence mentioned above can be written as $`M_1\stackrel{\phi _1}{}\mathrm{M}_2\stackrel{\phi _2}{}\mathrm{},`$ where $`M_i`$ are the finite dimensional $`C^{}`$-algebras and $`\phi _i`$ the homomorphisms between such algebras. The set-theoretic limit $`A=limM_n`$ has a natural algebraic structure given by the formula $`a_m+b_ka+b`$; here $`a_ma,b_kb`$ for the sequences $`a_mM_m,b_kM_k`$. The homomorphisms $`\phi _i`$ can be arranged into a graph as follows. Let $`M_i=M_{i_1}\mathrm{}M_{i_k}`$ and $`M_i^{}=M_{i_1^{}}\mathrm{}M_{i_k^{}}`$ be the semi-simple $`C^{}`$-algebras and $`\phi _i:M_iM_i^{}`$ the homomorphism. One has the two sets of vertices $`V_{i_1},\mathrm{},V_{i_k}`$ and $`V_{i_1^{}},\mathrm{},V_{i_k^{}}`$ joined by the $`a_{rs}`$ edges, whenever the summand $`M_{i_r}`$ contains $`a_{rs}`$ copies of the summand $`M_{i_s^{}}`$ under the embedding $`\phi _i`$. As $`i`$ varies, one obtains an infinite graph called a Bratteli diagram of the $`AF`$-algebra. The Bratteli diagram defines a unique $`AF`$-algebra.

D. The stationary $`AF`$-algebras. If the homomorphisms $`\phi _1=\phi _2=\mathrm{}=Const`$ in the definition of the $`AF`$-algebra $`A`$, the $`AF`$-algebra $`A`$ is called stationary. The Bratteli diagram of a stationary $`AF`$-algebra looks like a periodic graph with the incidence matrix $`A=(a_{rs})`$ repeated over and over again. Since matrix $`A`$ is a non-negative integer matrix, one can take a power of $`A`$ to obtain a strictly positive integer matrix – which we always assume to be the case. The stationary $`AF`$-algebra has a non-trivial group of the automorphisms , Ch.6.

### 2.2 The Jacobi-Perron continued fraction

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

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

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

$$\theta =\frac{a_1}{a_2}=b_1+\frac{1}{b_2+{\displaystyle \frac{1}{+\mathrm{}+{\displaystyle \frac{1}{b_k}}}}}=[b_1,\mathrm{}b_k].$$

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

$$\left(\begin{array}{c}1\\ \theta \end{array}\right)=\underset{k\mathrm{}}{lim}\left(\begin{array}{cc}0& 1\\ 1& b_1\end{array}\right)\mathrm{}\left(\begin{array}{cc}0& 1\\ 1& b_k\end{array}\right)\left(\begin{array}{c}0\\ 1\end{array}\right).$$

B. The Jacobi-Perron continued fractions. The Jacobi-Perron algorithm and connected (multidimensional) continued fraction generalizes the Euclidean algorithm to the case $`GCD(a_1,\mathrm{},a_n)`$ when $`n2`$. Specifically, let $`\lambda =(\lambda _1,\mathrm{},\lambda _n)`$, $`\lambda _iRQ`$ and $`\theta _{i1}=\frac{\lambda _i}{\lambda _1}`$ with $`1in`$. The continued fraction

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

where $`b_i^{(j)}N\{0\}`$, is called the Jacobi-Perron algorithm (JPA). Unlike the regular continued fraction algorithm, the JPA may diverge for certain vectors $`\lambda R^n`$. However, for points of a generic subset of $`R^n`$, the JPA converges. The convergence of the JPA algorithm can be characterized in terms of the measured foliations. Let $`\mathrm{\Phi }_X`$ be a measured foliation on the surface $`X`$ of genus $`g1`$. Recall that $``$ is called uniquely ergodic if every invariant measure of $``$ is a multiple of the Lebesgue measure. By the Masur-Veech theorem, there exists a generic subset $`V\mathrm{\Phi }_X`$ such that each $`V`$ is uniquely ergodic , . We let $`\lambda =(\lambda _1,\mathrm{},\lambda _n)`$ be the vector with coordinates $`\lambda _i=\mu (\gamma _i)`$, where $`\gamma _iH_1^{odd}(\stackrel{~}{S})`$; by an abuse of notation, we shall say that $`\lambda V`$. In view of duality between the measured foliations and the interval exchange transformations , the JPA converges if and only if $`\lambda VR^n`$ .

## 3 Proof of theorem 1

As before, let $`W`$ denote the set of toric $`AF`$-algebras of genus $`g2`$. Let $`G`$ be a finitely generated group and $`G\times WW`$ be an action of $`G`$ on $`W`$ by the stable isomorphisms of toric $`AF`$-algebras; in other words, $`\gamma (A_\theta )𝒦A_\theta 𝒦`$ for all $`\gamma G`$ and all $`A_\theta W`$. The following preparatory lemma will be important.

###### Lemma 2

For each $`A_\theta W`$, there exists a representation $`\rho _{A_\theta }:GGL_{6g6}(Z)`$.

Proof. The proof of lemma is based on the following well known criterion of the stable isomorphism for the $`AF`$-algebras: a pair of such algebras $`A_\theta ,A_\theta ^{}`$ are stably isomorphic if and only if their Bratteli diagrams coincide, except (possibly) a finite part of the diagram, see , Theorem 2.3. (Note, that the order isomorphism between the dimension groups mentioned in the original text, can be reformulated in the language of the Bratteli diagrams as stated.)

Let $`G`$ be a finitely generated group on the generators $`\{\gamma _1,\mathrm{},\gamma _m\}`$ and $`A_\theta W`$. Since $`G`$ acts on the toric $`AF`$-algebra $`A_\theta `$ by stable isomorphisms, the toric $`AF`$-algebras $`A_{\theta _1}:=\gamma _1(A_\theta ),\mathrm{},A_{\theta _m}:=\gamma _m(A_\theta )`$ are stably isomorphic to $`A_\theta `$; moreover, by transitivity, they are also pairwise stably isomorphic. Therefore, the Bratteli diagrams of $`A_{\theta _1},\mathrm{},A_{\theta _m}`$ coincide everywhere except, possibly, some finite parts. We shall denote by $`A_{\theta _{\mathrm{max}}}W`$ a toric $`AF`$-algebra, whose Bratteli diagram is the maximal common part of the Bratteli diagrams of $`A_{\theta _i}`$ for $`1im`$; such a choice is unique and defined correctly because the set $`\{A_{\theta _i}\}`$ is a finite set. By the definition of a toric $`AF`$-algebra, the vectors $`\theta _i=(1,\theta _1^{(i)},\mathrm{},\theta _{6g7}^{(i)})`$ are related to the vector $`\theta _{\mathrm{max}}=(1,\theta _1^{(\mathrm{max})},\mathrm{},\theta _{6g7}^{(\mathrm{max})})`$ by the formula:

$$\left(\begin{array}{c}1\\ \theta _1^{(i)}\\ \mathrm{}\\ \theta _{6g7}^{(i)}\end{array}\right)=\underset{A_i}{\underset{}{\left(\begin{array}{ccccc}0& 0& \mathrm{}& 0& 1\\ 1& 0& \mathrm{}& 0& b_1^{(1)(i)}\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ 0& 0& \mathrm{}& 1& b_{6g7}^{(1)(i)}\end{array}\right)\mathrm{}\left(\begin{array}{ccccc}0& 0& \mathrm{}& 0& 1\\ 1& 0& \mathrm{}& 0& b_1^{(k)(i)}\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ 0& 0& \mathrm{}& 1& b_{6g7}^{(k)(i)}\end{array}\right)}}\left(\begin{array}{c}1\\ \theta _1^{(\mathrm{max})}\\ \mathrm{}\\ \theta _{6g7}^{(\mathrm{max})}\end{array}\right)$$

The above expression can be written in the matrix form $`\theta _i=A_i\theta _{\mathrm{max}}`$, where $`A_iGL_{6g6}(Z)`$. Thus, one gets a matrix representation of the generator $`\gamma _i`$, given by the formula $`\rho _{A_\theta }(\gamma _i):=A_i`$. The map $`\rho _{A_\theta }:GGL_{6g6}(Z)`$ extends to the rest of the group $`G`$ via its values on the generators; namely, for every $`gG`$ one sets $`\rho _{A_\theta }(g)=A_1^{k_1}\mathrm{}A_m^{k_m}`$, whenever $`g=\gamma _1^{k_1}\mathrm{}\gamma _m^{k_m}`$. It is verified (by induction), that the map $`\rho _{A_\theta }:GGL_{6g6}(Z)`$ is a homomorphism, since $`\rho _{A_\theta }(g_1g_2)=\rho _{A_\theta }(g_1)\rho _{A_\theta }(g_2)`$ for $`g_1,g_2G`$. Lemma 2 follows. $`\mathrm{}`$

Let $`W_{aper}W`$ be a set consisting of the toric $`AF`$-algebras, whose Bratteli diagrams do not contain periodic (infinitely repeated) blocks; these are known as non-stationary toric $`AF`$-algebras and they are generic in the set $`W`$ endowed with the natural topology. We call the action of $`G`$ on the toric $`AF`$-algebra $`A_\theta W`$ free, if $`\gamma (A_\theta )=A_\theta `$ implies $`\gamma =Id`$.

###### Lemma 3

Let $`A_\theta W_{aper}`$ and $`G`$ be free on the $`A_\theta `$. Then $`\rho _{A_\theta }`$ is a faithful representation.

Proof. Since the action of $`G`$ is free, to prove that $`\rho _{A_\theta }`$ is faithful, it remains to show, that in the formula $`\theta _i=A_i\theta _{\mathrm{max}}`$, it holds $`A_i=I`$, if and only if, $`\theta _i=\theta _{\mathrm{max}}`$, where $`I`$ is the unit matrix. Indeed, it is immediate that $`A_i=I`$ implies $`\theta _i=\theta _{\mathrm{max}}`$. Suppose now that $`\theta _i=\theta _{\mathrm{max}}`$ and, let to the contrary, $`A_iI`$. One gets $`\theta _i=A_i\theta _{\mathrm{max}}=\theta _{\mathrm{max}}`$. Such an equation has a non-trivial solution, if and only if, the vector $`\theta _{\mathrm{max}}`$ has a periodic Jacobi-Perron fraction; the period of such a fraction is given by the matrix $`A_i`$. This is impossible, since it has been assumed, that $`A_{\theta _{\mathrm{max}}}W_{aper}`$. The contradiction finishes the proof of lemma 3. $`\mathrm{}`$

Let $`G=Mod(X)`$, where $`X`$ is a surface of genus $`g2`$. The group $`G`$ is finitely generated ; it acts on the Teichmüller space $`T(g)`$ by isomorphisms of the Riemann surfaces. Moreover, the action of $`G`$ is free on a generic set, $`UT(g)`$, consisting of the Riemann surfaces with the trivial group of the automorphisms. Let $`F:VW`$ be the Teichmüller functor between the Riemann surfaces and toric $`AF`$-algebras (lemma 1); the following is true.

###### Lemma 4

The pre-image $`F^1(W_{aper})`$ is a generic set in the space $`T(g)`$.

Proof. Note, that the set of stationary toric $`AF`$-algebras is a countable set. The functor $`F`$ is a surjective map, which is continuous with respect to the natural topology on the sets $`V`$ and $`W`$. Therefore, the pre-image of the complement of a countable set is a generic set. $`\mathrm{}`$

To finish the proof, consider the set $`UF^1(W_{aper})`$; this set is a non-empty set, since it is the intersection of two generic subsets of $`T(g)`$. Let $`R`$ be a point (a Riemann surface) in the above set. In view of lemma 1, group $`G`$ acts on the toric $`AF`$-algebra $`A_\theta =F(R)`$ by the stable isomorphisms. By the construction, the action is free and $`A_\theta W_{aper}`$. In view of lemma 3, one gets a faithful representation $`\rho =\rho _{A_\theta }`$ of the group $`G=Mod(X)`$ into the matrix group $`GL_{6g6}(Z)`$. Theorem 1 follows. $`\mathrm{}`$

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

Current address: 101-315 Holmwood Ave., Ottawa, ON, Canada, K1S 2R2


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# I Introduction

## I Introduction

There exist, by now, accumulated evidences in the atmospheric  and the solar neutrino  observations that neutrinos do oscillate. The existence of neutrino oscillation is further strengthened by the result of the first long-baseline man-made beam experiment K2K, in particular by their latest result . They constitute the first compelling evidence for physics beyond the standard model of particle physics. In particular, we have leaned that an almost maximal mixing angle $`\theta _{23}`$ is required to account for the atmospheric neutrino anomaly, which is quite unexpected from our experience in the quark sector.

What is even more surprizing to us is that, according to the latest global analyses of the current solar neutrino data , the angle $`\theta _{12}`$ which is responsible for the solar neutrino oscillation is likely to be large though may not necessarily be maximal. It is in sharp contrast with the fact that the remaining mixing angle $`\theta _{13}`$ is constrained to be small, $`s_{13}^2<0.03`$, by the reactor experiments . Given the current status of our understanding of the structure of lepton flavor mixing matrix, the MNS matrix , it would be nice if there are any hints on how small is the angle $`\theta _{13}`$.*** See e.g.,  for a summary of remaining issues in three flavor mixing scheme of neutrinos.

In this paper, we try to pursue such a possibility and point out that one can derive a lower bound on $`s_{13}^2=|U_{e3}|^2`$ through joint efforts by double beta decay experiments and by direct mass determination either by single beta decay or by cosmological observations. We assume in this paper that neutrinos are Majorana particle to rely on the bound imposed by double beta decay experiments.

Before getting into the bussiness, let us briefly summarize existing knowledge on how $`\theta _{13}`$ can be measured, or further constrained. Most optimistically, the next generation long baseline experiments, MINOS , JHF , and OPERA  will observe $`\nu _e`$ appearance events and measure the angle $`\theta _{13}`$. Most notably, the JHF can probe $`\mathrm{sin}^22\theta _{13}>`$ several $`\times 10^3`$ in its phase I . If realized, a large-volume reactor experiment  can also probe the similar (to a slightly shallower) region. If the angle is smaller than the sensitivity region of these experiments, we have to wait for future supermassive detector experiments, utilizing either low energy conventional superbeams or neutrino factoties. (See e.g.,  for references cited therein.) If nature is so unkind as to tune the angle extremely small, $`\mathrm{sin}^22\theta _{13}10^5`$, then the only way to detect its effect would be via supernova neutrinos .

## II Constraint from neutrinoless double beta decay

Let us start by examining constraint from double beta decay. We use throughout this paper the standard notation of the MNS matrix:

$$U=\left[\begin{array}{ccc}c_{12}c_{13}& s_{12}c_{13}& s_{13}e^{i\delta }\\ s_{12}c_{23}c_{12}s_{23}s_{13}e^{i\delta }& c_{12}c_{23}s_{12}s_{23}s_{13}e^{i\delta }& s_{23}c_{13}\\ s_{12}s_{23}c_{12}c_{23}s_{13}e^{i\delta }& c_{12}s_{23}s_{12}c_{23}s_{13}e^{i\delta }& c_{23}c_{13}\end{array}\right].$$
(1)
Using the notation, the observable in neutrinoless double beta decay experiments can be expressed as

$`m_{\beta \beta }`$ $`=`$ $`\left|{\displaystyle \underset{i=1}{\overset{3}{}}}m_iU_{ei}^2\right|`$ (2)
$`=`$ $`\left|m_1c_{12}^2c_{13}^2e^{i\beta }+m_2s_{12}^2c_{13}^2e^{+i\beta }+m_3s_{13}^2e^{i(3\gamma 2\delta )}\right|,`$ (3)
where $`m_i`$ (i=1, 2, 3) denote neutrino mass eigenvalues, $`U_{ei}`$ are the elements in the first low of the MNS matrix, and $`\beta `$ and $`\gamma `$ are the extra CP-violating phases characteristic to Majorana neutrinos . We have used in the second line of (3) the Majorana phases in the convention of . There have been large number of papers quite recently which devoted to extract constraints from neutrinoless double beta decay experiments .

We define the neutrino mass-squared difference as $`\mathrm{\Delta }m_{ij}^2m_j^2m_i^2`$ in this paper. In the following analysis, we must distinguish the two different neutrino mass patterns, the normal ($`\mathrm{\Delta }m_{23}^2>0`$) vs. inverted ($`\mathrm{\Delta }m_{23}^2<0`$) mass hierarchies. We use the convention that $`m_3`$ is the largest (smallest) mass in the normal (inverted) mass hierarchy so that the angles $`\theta _{12}`$ and $`\theta _{23}`$ are always responsible for the solar and the atmospheric neutrino oscillations, respectively. We therefore sometimes use the notations $`\mathrm{\Delta }m_{23}^2\mathrm{\Delta }m_{atm}^2`$ and $`\mathrm{\Delta }m_{12}^2\mathrm{\Delta }m_{}^2`$ to emphasize that they are experimentally (the latter to be) measured quantities. Because of the hierarchy of mass scales, $`\mathrm{\Delta }m_{}^2/\mathrm{\Delta }m_{atm}^21`$, $`\mathrm{\Delta }m_{12}^2`$ can be made always positive as far as $`\theta _{12}`$ is taken in its full range \[0, $`\pi /2`$\].

In order to derive constraint on mixing parameters we need the classification.

Case A:

$$\left|m_1c_{12}^2c_{13}^2e^{i\beta }+m_2s_{12}^2c_{13}^2e^{+i\beta }\right|m_3s_{13}^2$$
(4)
Case B:

$$\left|m_1c_{12}^2c_{13}^2e^{i\beta }+m_2s_{12}^2c_{13}^2e^{+i\beta }\right|m_3s_{13}^2$$
(5)
Both types of mass hierarchies are allowed in the cases A and B. For a given experimental upper bound on $`m_{\beta \beta }`$, one can derive a lower (upper) bound on $`s_{13}^2`$ in the case A (B). Therefore, we start with the case A.

### A Case A

In this case, the lower bound on $`m_{\beta \beta }`$ can be obtained as in the following way;

$`m_{\beta \beta }`$ $``$ $`c_{13}^2\left|(m_1c_{12}^2+m_2s_{12}^2)\mathrm{cos}\beta i(m_1c_{12}^2m_2s_{12}^2)\mathrm{sin}\beta \right|m_3s_{13}^2`$ (6)
$`=`$ $`c_{13}^2\sqrt{m_1^2c_{12}^4+m_2^2s_{12}^4+2m_1m_2c_{12}^2s_{12}^2\mathrm{cos}2\beta }m_3s_{13}^2.`$ (7)
Noticing that the right-hand-side of (7) has a minimum at $`\mathrm{cos}2\beta =1`$, we obtain the inequality

$$m_{\beta \beta }c_{13}^2\left|m_1c_{12}^2m_2s_{12}^2\right|m_3s_{13}^2.$$
(8)
If a neutrinoless double beta decay experiment imposes the bound $`m_{\beta \beta }m_{\beta \beta }^{exp}`$ the lower bound on $`s_{13}^2`$ results;

$$s_{13}^2\frac{\left|m_1c_{12}^2m_2s_{12}^2\right|m_{\beta \beta }^{exp}}{\left|m_1c_{12}^2m_2s_{12}^2\right|+m_3}.$$
(9)
We rewrite the lower bound into the one expressed by the heaviest neutrino mass $`m_H`$ and $`\mathrm{\Delta }m^2`$ measured by the atmospheric and the solar neutrino experiments. We note that the neutrino masses $`m_i`$ (i=1,2,3) can be parametrized by $`\mathrm{\Delta }m_{atm}^2=\mathrm{\Delta }m_{23}^2`$, $`\mathrm{\Delta }m_{}^2=\mathrm{\Delta }m_{12}^2`$, and a absolute mass scale $`m_H`$. We take $`m_H=m_3`$ and $`m_H=m_2`$ for the normal and the inverted mass hierarchies, respectively. Then,

$$m_1=\sqrt{m_H^2\mathrm{\Delta }m_{atm}^2\mathrm{\Delta }m_{}^2},m_2=\sqrt{m_H^2\mathrm{\Delta }m_{atm}^2},m_3=m_H,$$
(10)
for the normal mass hierarchy, and

$$m_1=\sqrt{m_H^2\mathrm{\Delta }m_{}^2},m_2=m_H,m_3=\sqrt{m_H^2|\mathrm{\Delta }m_{atm}^2|},$$
(11)
for the inverted mass hierarchy.

We express the lower bound on $`s_{13}^2`$ by using the dimensionless ratios

$$R_{\beta \beta }\frac{m_{\beta \beta }^{exp}}{m_H},r_{atm}\frac{\sqrt{|\mathrm{\Delta }m_{atm}^2|}}{m_H},r_{}\frac{\sqrt{\mathrm{\Delta }m_{}^2}}{m_H}.$$
(12)
The lower bound on $`s_{13}^2`$ reads for each type of mass hierarchy as follows:

(i) Normal mass hierarchy; $`m_H=m_3`$

$$s_{13}^2\frac{\left|\sqrt{1r_{atm}^2r_{}^2}c_{12}^2\sqrt{1r_{atm}^2}s_{12}^2\right|R_{\beta \beta }}{\left|\sqrt{1r_{atm}^2r_{}^2}c_{12}^2\sqrt{1r_{atm}^2}s_{12}^2\right|+1}.$$
(13)
(ii) Inverted mass hierarchy; $`m_H=m_2`$

$$s_{13}^2\frac{\left|\sqrt{1r_{}^2}c_{12}^2s_{12}^2\right|R_{\beta \beta }}{\left|\sqrt{1r_{}^2}c_{12}^2s_{12}^2\right|+\sqrt{1r_{atm}^2}}.$$
(14)
The parameter $`r_{}^2`$ is extremely small, $`r_{}^2=\mathrm{\Delta }m_{}^2/m_H^2<10^3`$ for the possible best sensitivity of $`0.3`$ eV. (See later.) Hence, it is an excellent approximation to ignore $`r_{}^2`$ unless the sensitivity goes down to very close to $`\mathrm{\Delta }m_{atm}^2`$ so that it is comparable with $`1r_{atm}^2`$ in the normal mass hierarchy case. Ignoring $`r_{}^2`$ the lower bound on $`s_{13}^2`$ greatly simplifies:

$$s_{13}^2\frac{|\mathrm{cos}2\theta _{12}|\sqrt{1r_{atm}^2}R_{\beta \beta }}{|\mathrm{cos}2\theta _{12}|\sqrt{1r_{atm}^2}+1}\text{(normal mass hierarchy)},$$
(15)
$$s_{13}^2\frac{|\mathrm{cos}2\theta _{12}|R_{\beta \beta }}{|\mathrm{cos}2\theta _{12}|+\sqrt{1r_{atm}^2}}\text{(inverted mass hierarchy)}.$$
(16)
We finally note that in the degenerate mass limit $`r_{atm}0`$ the lower bound ceases to distinguish between the mass patterns, and has a universal form

$$s_{13}^2\frac{|\mathrm{cos}2\theta _{12}|R_{\beta \beta }}{|\mathrm{cos}2\theta _{12}|+1}\text{(degenerate mass limit)}.$$
(17)
### B Case B

For completeness, we treat the case B, which yields the upper bound on $`s_{13}^2`$. Proceeding via the similar way toward (7) we obtain the inequality

$$m_{\beta \beta }m_3s_{13}^2c_{13}^2\left|m_1c_{12}^2+m_2s_{12}^2\right|$$
(18)
which is saturated at $`\mathrm{cos}2\beta =+1`$. Then, the upper bound on $`s_{13}^2`$ for a given experimental bound on $`m_{\beta \beta }`$ entails after ignoring $`r_{}^2`$ as

$$s_{13}^2\frac{\sqrt{1r_{atm}^2}+R_{\beta \beta }}{\sqrt{1r_{atm}^2}+1}\text{(normal mass hierarchy)},$$
(19)
$$s_{13}^2\frac{1+R_{\beta \beta }}{1+\sqrt{1r_{atm}^2}}\text{(inverted mass hierarchy)}.$$
(20)
It can give a stronger bound than the CHOOZ limit only for the normal hierarchy and if $`R_{\beta \beta }<0.03`$. We do not discuss it further because it is outside of our analysis in section IV.

## III Connection between $`m_H`$ and the observable in direct mass measurements

Before entering into the actual analysis of the bound, we clarify the relationship between the largest mass $`m_H`$ ($`=m_3`$ for normal, and $`=m_2`$ for inverted mass hierarchies) and the observable in direct mass measurement in single beta decay experiments. For the present status and the future prospects of this type of experiments, see e.g., the website of a recent conference devoted to the topics . We argue that $`m_H`$ can be identified as the observable in such experiments in a good approximation. Suppose that the neutrino masses are hierarchical and obey either $`m_3m_2m_1`$ (normal mass hierarchy), or $`m_2m_1m_3`$ (inverted mass hierarchy). In the former case, it is obvious that $`m_3=m_H`$ is the observable. In the latter case, it was shown in  that the observable in direct mass measurements $`m_\beta `$ is given by

$$m_\beta =\frac{_{j=1}^nm_j|U_{ej}|^2}{_{j=1}^n|U_{ej}|^2}$$
(21)
where $`n`$ is the dimension of the subspace of (approximately) degenerate mass neutrinos, and $`n=2`$ in the case under discussion. Then, $`m_\beta =m_2=m_H`$ in a good approximation. In the opposite extreme, $`m_i^2\mathrm{\Delta }m_{atm}^2`$ which is usually referred to as ”almost degenerate neutrinos”, (21) with $`n=3`$ tells us that $`m_\beta =m_H`$ in a very good approximation.

Thus, $`m_\beta =m_H`$ holds in both extreme, hierarchical and degenerate mass neutrinos. This discussion strongly suggests that $`m_\beta `$ is reasonably well approximated by $`m_H`$ even in the intermediate region.

## IV Analysis of the lower bound on $`s_{13}^2`$

We present in Fig.1 the lower bound on $`s_{13}^2`$ as a function of $`m_H`$ for various values of $`\mathrm{cos}2\theta _{12}`$; the region lower-right to each curve is excluded. The shaded area indicates the region excluded by the CHOOZ experiment , which we approximate as $`s_{13}^2<0.03`$. While the precise value of the CHOOZ constraint actually depends upon the value of $`|\mathrm{\Delta }m_{atm}^2|`$ , we do not elaborate this point in this paper. We take two typical values of $`m_{\beta \beta }^{exp}`$, 0.34 eV and 0.1 eV. We present in Fig. 1 only the results for the normal mass hierarchy. It is because the results barely changes in the case of inverted mass hierarchy; there is practically no diference in (a) $`m_{\beta \beta }^{exp}=0.34`$ eV case, and the curve shifts toward the right by about 4 % in (b) $`m_{\beta \beta }^{exp}=0.1`$ eV case at the best fit value of LMA solution (see below).

We note that the former value of $`m_{\beta \beta }^{exp}`$ corresponds to the present 90 % CL bound by Heidelberg-Moscow group , while the latter indicates a modest sensitivity to be achieved in near future by CUORE , GENIUS , and by MOON  double beta decay experiments. We would like to remind the readers that the present strongest upper limit on $`m_\beta `$ is from the Mainz collaboration , $`m_\beta 2.2`$ eV (95 % CL). A similar bound $`m_\beta 2.5`$ eV (95 % CL) is derived by the Troitsk group . The sensitivity of the proposed KATRIN experiment is expected to extend to $`m_\beta 0.3`$ eV .

In the numerical analysis in this section we assume $`|\mathrm{\Delta }m_{atm}^2|=3\times 10^3`$ eV2, the best fit value  of the combined data of Super-Kamiokande  and the K2K  experiments. We ignore $`\mathrm{\Delta }m_{}^2`$ in most part of our analysis and its effect is detectable only in a limited region outside of the sensitivity of the KATRIN experiment, as shown in Fig. 2.

We note that the allowed region of the mixing angle $`\theta _{12}`$ has a large uncertainty. In particular, its value at the largest end is far more uncertain compared with the accuracy we need to determine where is the bound-sensitive region. We just quote for illustration the allowed region for the LMA solution given in ; $`0.67\mathrm{cos}2\theta _{12}0.19`$ (95 % CL), $`0.099`$ (99 % CL), and $`0.024`$ (99.73 % CL). Then, the allowed region of the LMA solution extends even at 95 % CL to the right-most contour in Fig. 1. Therefore, the Mainz and the Troitsk experiments begin to touch the parameter region already at their present sensitivities. Similarly, the 95 % allowed regions of the LOW and the VAC solutions extend, very roughly to, $`0.30\mathrm{cos}2\theta _{12}0.026`$ and $`0.57|\mathrm{cos}2\theta _{12}|0.30`$, respectively .

We observe in Fig. 1b that for $`m_{\beta \beta }^{exp}=0.1`$ eV the KATRIN experiment start to cover a large portion of the parameter region of the LMA solution toward its best fit value of $`\mathrm{cos}2\theta _{12}=0.48`$  (0.46 in ). Therefore, if the LMA solution is confirmed by the KamLAND reactor experiment and if the KATRIN experiment detects direct neutrino mass, we would hope that we will have a lower bound on $`s_{13}^2`$ at the same time.

In Fig. 2 we present the similar plot as in Fig. 1 but for $`m_{\beta \beta }^{exp}=0.01`$ eV. In this case the cases of the normal vs. the inverted mass hierarchies differ clearly from each other, as one can see by comparing Figs. 2a and 2b. In region of $`m_H\sqrt{|\mathrm{\Delta }m_{atm}^2|}0.06`$ eV the lines of positive and negative $`\mathrm{cos}2\theta _{12}`$ start to split by nonvanishing $`r_{}^2`$ correction, as indicated by the dashed lines in Fig. 2.

The significant feature of the lower bound we have obtained is that it exists in a narrow window of $`m_H`$, the highest neutrino mass, whose values depend very sensitively on $`m_{\beta \beta }`$, the observable in neutrinoless double beta decay experiment. We now try to characterize the region, the bound-sensitive region, as a function of the experimental upper limit $`m_{\beta \beta }^{exp}`$ and $`m_\beta `$. In the degenerate mass limit $`r_{atm}0`$, it can readily be done by using (17). By demanding the consistency with the CHOOZ bound, we obtain

$$0.97|\mathrm{cos}2\theta _{12}|0.03R_{\beta \beta }\frac{m_{\beta \beta }^{exp}}{m_\beta }|\mathrm{cos}2\theta _{12}|.$$
(22)
Therefore, the bound-sensitive region is characterized by the ratio of these two experimental observables in the degenerate mass approximation. This feature prevails to certain extent beyond the approximation as we will see.

In Fig. 3 we present plots of the bound-sensitive region expressed by the ratio $`R_{\beta \beta }m_{\beta \beta }^{exp}/m_\beta `$ as a function of $`\mathrm{cos}2\theta _{12}`$ for the normal and the inverted mass hierarchies in regions for (a) LMA and (b) LOW solar neutrino solutions. The region covered is determined as the best fit value $`\pm `$ 10 % in $`\mathrm{tan}^2\theta _{12}`$. For the LMA solutions it roughly corresponds to the accuracy to be achieved in KamLAND . We do not present the case of vacuum solution because the relevant region roughly overlaps with that of LMA solution. In the degenerate mass limit we must have a universal curve (22) and the splitting between the normal and the inverted hierarchy cases in Fig. 3 represents corrections by the effect of nonvanishing $`r_{atm}`$. We do not plot the scaling curve (22) because it is virtually identical with the one for the inverted mass hierarchy.

Notice that the ratio $`R_{\beta \beta }`$ can be small for each mass pattern because of the suppression of contribution from highest mass neutrinos by small $`s_{13}^2`$ in the case of normal mass hierarchy, and by possible cancellation in the inverted mass hierarchy. Once $`R_{\beta \beta }`$ is given, it is easy for the readers to read off the lower bound on $`s_{13}^2`$ for a given value of $`\theta _{12}`$ because the function of lower bound (15) and (16) are approximately linear within the narrow strip $`0s_{13}^20.03`$.

We note, however, that several highly nontrivial requirements must be met in order to extract the lowest value of $`s_{13}^2`$. We see from fig. 3 that the accuracy of direct mass measurement of $`m_\beta `$ at given $`m_{\beta \beta }^{exp}`$ must be better than roughly $`\pm `$ 5 % for the LMA and $`\pm `$ 20 % for the LOW solutions, respectively. Furthermore, the precise values of mixing parameters, in particular, $`\mathrm{cos}2\theta _{12}`$ must be known to better than $`\pm `$ 10 % level.

Finally, some remarks are in order:

(1) Suppose that in a future time the solar mixing angle $`\theta _{12}`$ is determined by some ingenious experiments. Assume then that we have obtained the lower bound on $`s_{13}^2`$ by KATRIN observation of neutrino mass at the time of sensitivity $`m_{\beta \beta }^{exp}=0.1`$ eV of double beta decay experiment. Now, further suppose that the latter experiment would have been improved so that $`m_{\beta \beta }^{exp}0.1`$ eV. Figure 3 tells us that then we are in the excluded region. What does it mean?

The answer is; it means that the double beta decay experiment must see positive events before going down to $`m_{\beta \beta }^{exp}0.1`$ eV. If not, it is the indication that nature chooses a different lepton flavor mixing scheme from the standard one, or our assumption of Majorana neutrinos is wrong. The last possibility is a rare case of excluding Majorana hypothesis in spite of finite resolution of $`m_{\beta \beta }`$ measurement, which takes place owing to the CHOOZ constraint. It is very exciting that a discovery in an experiment either signals discovery of another experiment, or indicate radically different views of lepton sector from the one useally accepted.

(2) We have explored in this paper features of the lower bound on $`s_{13}^2`$ which can be derived by using constraints imposed by the single and the double beta decay experiments. The similar consideration can be done to constrain different parameters such as solar mixing angle $`\theta _{12}`$, for example. A more generic analysis of the bound is in progress .

(3) While we have focused on beta decay experiments in this paper, the possibility of obtaining better knowledge of neutrino mass in terms of cosmological observation must be pursuit. See e.g., .

###### Acknowledgements.

We thank Theoretical Physics Department of Fermilab for warm hospitality extended to us where this work has been initiated. HM thanks Center for Theoretical Physics of MIT for hospitality where this work was completed. This work was supported by the Grant-in-Aid for Scientific Research in Priority Areas No. 12047222, Japan Ministry of Education, Culture, Sports, Science, and Technology.


text:
# Searching for dynamical fermion effects in UKQCD simulations

## 1 Introduction

Computing resources available for simulations of lattice QCD are now powerful enough to investigate unquenching effects. UKQCD has embarked on a programme of studying these effects in the light hadron spectrum, static quark potential, glueball spectrum and topological sectors. The purpose of this paper is to investigate unquenching effects in the first of these areas.

It is well known that the lattice cut-off is a function of both the gauge coupling, $`\beta `$, and dynamical quark mass, $`m^{sea}`$ (see e.g. ). For this reason, the philosophy we have chosen is to simulate at points along the “matched” trajectory in the $`(\beta ,m^{sea})`$ plane i.e. defined byfixed lattice spacing, $`a`$. This then disentangles lattice spacing artefacts with unquenching effects. Any variation of a physical quantity along this trajectory can sensibly be attributed to unquenching effects rather than lattice systematics. This work has been published in full in .

## 2 Simulation Details

A non-perturbatively improved clover action was used with lattice parameters displayed in Table 1 with a volume of $`16^3\times 32`$. The last four rows contain the parameters for the matched ensembles, while the top simulation explores a lighter quark mass. Further details of the simulation appear in .

## 3 Mesonic Sector

We begin outlining our results by indicating our quark masses via $`M_{PS}^{unitary}/M_V^{unitary}`$, where $`M_{V(PS)}`$ is the pseudoscalar (vector) meson mass and the superscript “unitary” refers to the parameters $`m^{sea}m^{val}`$ in Table 1. As can be seen our quark masses are only modestly light (c.f. $`M_{PS}^{unitary}/M_V^{unitary}0.18`$ in nature).

The results for the hyperfine splitting are shown in Fig. 1 where the experimental points are plotted assuming $`r_0=(0.49\pm 0)fm`$. Note that there is a tendency for the lattice data to flatten towards the experimental points as the dynamical quark mass decreases within the matched ensembles. However the “unmatched” simulation ($`\kappa ^{\mathrm{sea}}=0.1355`$) shows an increased negative slope, presumably due to finite-volume effects.

The $`J`$ parameter, defined as,

$$J=M_V\frac{dM_V}{dM_{PS}^2}|_{K,K^{}},$$
(1)
was calculated using 3 approaches: (i) “Pseudo-Quenched” i.e. where $`\kappa ^{\mathrm{sea}}`$ is held fixed and the derivative in eq.(1) is w.r.t. variations in $`\kappa ^{\mathrm{val}}`$; (ii) “Unitary Trajectory” i.e. where $`\kappa ^{\mathrm{sea}}\kappa ^{\mathrm{val}}`$ and the derivative in eq.(1) is w.r.t. variations in both $`\kappa ^{\mathrm{val}}`$ and $`\kappa ^{\mathrm{sea}}`$ combined; and (iii) “Chiral Extrapolation of Pseudo-Quenched” i.e. taking the $`J`$ values from Approach (i) and performing the chiral extrapolation $`m^{sea}0`$. The results of all three methods are shown in Fig. 2, together with the experimental point. There is evidence that the lattice value for $`J`$ approaches the experimental point as the sea quark mass decreases (see approaches 1 and 3). Note also that the “unmatched” simulation ($`\kappa ^{\mathrm{sea}}=0.1355`$) has a smaller $`J`$ value. This fact is related to the comment in the previous paragraph.

We use two methods to extract the lattice spacing. The first is via the Sommer scale $`r_0`$, and the second is directly from the meson spectrum as outlined in . The values obtained from both methods are displayed in Table 1. Note that $`a_J`$ is $``$ 10% larger than $`a_{r_0}`$. This could be due to the experimental estimate of $`r_0=0.49`$ fm being $``$ 10% too small.

## 4 Unquenching Effects in Meson Spectrum

In order to investigate unquenching effects in the meson spectrum, we define the quantity

$$\delta _{i,j}(\beta ,\kappa ^{\mathrm{sea}})=1\frac{a_i(\beta ,\kappa ^{\mathrm{sea}})}{a_j(\beta ,\kappa ^{\mathrm{sea}})},$$

where $`a_i`$ is the scale determined from the physical quantity $`M_i`$. When $`\delta _{i,j}=0`$ then the lattice prediction of $`M_i`$ with scale taken from $`M_j`$ agrees with experiment. Thus $`\delta `$ is a good parameter to study unquenching effects. We expect that $`\delta _{i,j}(\beta ,m^{sea})=𝒪(a^2)`$ since we are using a non-perturbatively improved clover action.

In Fig. 3 we plot $`\delta _{i,j}`$ for the matched datasets where $`j=r_0`$, and $`i`$ is the scale determined from the string tension, $`\sigma `$, and the two mass pairs $`(\rho ,\pi )`$ and $`(K,K^{})`$ following . The $`x`$axis in this plot is $`(aM_{PS}^{unitary})^21/m^{sea}`$, so the quenched data point lies on the $`y`$axis.

We see disappointingly that, in the case of the scale determinations from the meson spectrum, there is no significant tendency of $`\delta `$ towards zero as $`m^{sea}0`$, i.e. the quantity $`\delta `$ does not give us an indication of unquenching effects. However, in the case of $`\sigma `$, there is a statistically significant variation of $`\delta 0`$ as $`m^{sea}0`$. This implies that we do see unquenching effects in the static quark potential.

## 5 Chiral Extrapolations

In  we used 3 approaches to perform the chiral extrapolations of hadron masses: “Pseudo-Quenched”; “Unitary Trajectory”; and a “Combined Chiral Fit”. In this publication we will refer only to the last approach. We take

$$\widehat{M}(\kappa ^{\mathrm{sea}};\kappa ^{\mathrm{val}})$$

$$=A(\kappa ^{\mathrm{sea}})+B(\kappa ^{\mathrm{sea}})\widehat{M}_{PS}(\kappa ^{\mathrm{sea}};\kappa ^{\mathrm{val}})^2$$

$$=A_0+A_1\widehat{M}_{PS}(\kappa ^{\mathrm{sea}};\kappa ^{\mathrm{sea}})^2$$

$$+\left[B_0+B_1\widehat{M}_{PS}(\kappa ^{\mathrm{sea}};\kappa ^{\mathrm{sea}})^2\right]\widehat{M}_{PS}(\kappa ^{\mathrm{sea}};\kappa ^{\mathrm{val}})^2,$$

using the nomenclature $`\widehat{M}aM`$ and the first argument of $`M(\kappa ^{\mathrm{sea}};\kappa ^{\mathrm{val}})`$ refers to the sea quark and the second to the valence quark.

The results of these extrapolations are shown in Table 2. We stress that this functional form for the extrapolation is not motivated by theory, but is used as a numerical analysis technique in order to test for evidence of unquenching effects. As can be seen from Table 2, the parameters $`A_1`$ and $`B_1`$ are compatible with zero (to $`2\sigma `$) and therefore we conclude that there is no evidence of unquenching effects.

## 6 Conclusions

This paper attempts to uncover unquenching effects in the dynamical lattice QCD simulations at a fixed (matched) lattice spacing (and volume) and various dynamical quark masses. This approach allows a more controlled study of unquenching effects without the possible entanglement of lattice and unquenching systematics.

However, we see no significant sign of unquenching effects in the meson spectrum. This is presumably since our dynamical quarks are relatively massive, and so the meson spectrum is dominated by the static quark potential. This potential is, by definition, matched amongst our ensembles at the hadronic length scale $`r_0`$, and so any variation of the meson spectrum within our matched ensemble must surely be a “higher” order unquenching effect which is beyond our present statistics.

We have however shown that unquenching effects exist in the static quark potential, and other work (using the same ensembles) has shown interesting unquenching effects in the glueball and topological sector .


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# Study of 3-flavor QCD Finite Temperature Phase Transition with Staggered Fermions This work was supported by the U.S. Department of Energy. The simulations were conducted on QCDSP machines at Columbia University and RIKEN-BNL Research Center.

## 1 INTRODUCTION

The flavor and mass dependence of finite temperature QCD phase transition has been studied extensively in the past . Three flavor QCD is especially interesting because of the existence of a second order end point of the first order phase transition line which is conjectured to belong to the 3-d Ising universality class . It is similar to systems such as the liquid-gas , the 3-d Ising , the 3-d 3-state Potts model  and the SU(2) Higgs model. It’s worth mentioning that the field mixing phenomenon  is quite important in explaining quantitatively some critical behaviors of these systems, but it does not have an important effect on the behaviors we are discussing.

In this study, we extend our previous effort  to locate the end point using the standard Wilson gauge action and unimproved staggered fermion action. There are many approaches to locate the end point, which is charaterized by a diverging correlation length. In this paper, we study the discontinuity of the order parameter $`\overline{\psi }\psi `$  and the meson screening masses (including the scalar singlet $`\sigma `$ meson)  along the first order phase transition line and extrapolate to the end point. These two approaches works well in the region with relatively strong first order phase transition. Another method called the Binder intersection method  is based on the finite size scaling of symmetry sensitive quantities such as $`B_4=\frac{(\mathrm{\Delta }M)^4}{(\mathrm{\Delta }M)^2^2}`$, in which M is the magnetic-like observable. This method can be used to study the region close to the end point and does not require a knowledge of critical exponents. However, it’s rather expensive to obtain a large amount of statistically independent samples from full QCD simulations using existing evolution algorithms, especially in the critical region where the critical slowdown is problematic. The Binder intersection method is currently under study and is not reported here.

## 2 EVOLUTION

To determine the first order phase transition line, we evolve the system starting from both cold and hot initial configurations. We use the hybrid Monte Carlo R algorithm with a trajectory length of 0.5 molecular dynamic time and step sizes ranging from 0.01 to 0.0125 depending on quark mass. If a strong first order phase transition exists, we should be able to observe two-state coexistence at large enough volume. This is indeed found at the small quark masses 0.015 and 0.02 (Fig. 1) on an $`L=16`$ lattice. At $`m=0.025`$ , tunneling between the two phases happens in our simulation on an $`L=16`$ lattice (Fig. 2). However, this tunneling is not found on a larger, $`L=32`$ lattice (Fig. 3), indicating that the phase transition is still first order. For $`m=0.035`$, no two-state signal is found on either $`L=16`$ (Fig. 4) or $`L=32`$ lattices. The system also shows significant critical slowdown behavior and large fluctuations, which indicate a long correlation length and closeness to a second order critical point. Crossover behavior is observed at $`m=0.04`$.

## 3 SCREENING MASS

Theoretical study  shows that the scalar singlet meson becomes massless while other mesons stay massive at the end point. To improve statistics, we measure the screening correlators in all three spacial directions and average them. The disconnected diagram needed for the flavor singlet case is measured using a noise estimation technique . We did a careful study of the effect of the type and number of noise sources to ensure that the noise from noise estimator is smaller than the gauge configuration noise. Figure 5 shows the time dependence of a typical correlator we obtained. The meson screening masses are measured at the critical $`\beta `$ value where a two-state signal is observed. It becomes difficult for large quark masses, near $`m_c`$ which needs very large volume to reduce frequency of tunneling events.

Figure 6 shows the result of the pseudoscalar and scalar flavor singlet ($`\sigma `$) screening masses.

Extrapolating using the form $`M_\sigma (m_cm)^{1/2}`$, we get $`m_c=0.034(3)`$ from the confined phase and $`m_c=0.032(2)`$ from the deconfined phase.

## 4  $`\overline{\psi }\psi `$ DISCONTINUITY

The discontinuity in the order parameter $`\overline{\psi }\psi `$ decreases with increasing quark mass and finally disappears at $`m_c`$. We fit the data with the mean field exponent $`\beta =1/2`$ (Fig. 7), defined as $`\mathrm{\Delta }\overline{\psi }\psi (m_cm)^\beta `$, and find $`m_c=0.0334(17)`$. Fitting to the 3-d Ising exponent of 0.3285 gives a much poorer $`\chi ^2`$.

## 5 SCALE SETTING

We have done a scale setting calculation on an $`8^3\times 32`$ lattice. The pseudoscalar to vector mass ratio is 0.3134(34) and 0.3666(32) for $`m=0.025`$ and $`m=0.035`$, respectively. If we use the physical $`\rho `$ mass for the vector meson, this implies an SU(3) symmetric pseudoscalar mass of 281 Mev at $`m=0.035`$.

## 6 CONCLUSIONS

In conclusion, we have obtained the approximate location of the end point by studying the behavior of order parameter discontinuity and meson screening masses as quark mass approaches the end point of first order phase transition line. From our scale setting calculation, we conclude that there is no first order phase transition for three flavor QCD at the strange quark mass. Higher statistics and larger volume studies in the critical region are needed to determine more accurately the critical point, critical exponents and universality class.


text:
# Sensitivity to Doubly Charged Higgs Bosons in the Process 𝑒⁻𝛾→𝑒⁺𝜇⁻𝜇⁻

## I Introduction

Doubly charged Higgs bosons would have a distinct experimental signature. Such particles arise in many extensions of the Standard Model (SM) including as components of $`SU(2)_L`$ Higgs triplets. Models with triplet representations include the Left- handed Higgs triplet model of Gelmini and Roncadelli Gelmini , where they provide Majorana masses for left-handed neutrinos while preserving $`SU(2)_L`$ gauge symmetry, and the Left-right symmetric model, which LR  requires an $`SU(2)_R`$ Higgs triplet for symmetry breaking with the corresponding left-handed triplet Higgs field added for the case of explicit $`LR`$ symmetry.

In this paper we study signals for doubly charged Higgs bosons arising from an $`SU(2)_L`$ triplet in the process $`e^{}\gamma e^+\mu ^{}\mu ^{}`$. For more details, see reference us . We assume the photon is produced by backscattering a laser from the $`e^+`$ beam of an $`e^+e^{}`$ collider backlaser . We consider $`e^+e^{}`$ centre of mass energies of $`\sqrt{s}=500`$, 800, 1000, and 1500 GeV appropriate to the TESLA/NLC/JLC high energy colliders and $`\sqrt{s}=3`$, 5, and 8 TeV for the CLIC proposal. In all cases we assume an integrated luminosity of $`=500`$ fb-1. Our calculation includes diagrams which would not contribute to on-shell production of $`\mathrm{\Delta }^{}`$’s. Because the signature of same sign muon pairs in the final state is so distinctive and has no SM background, we find that the process can be sensitive to virtual $`\mathrm{\Delta }^{}`$’s with masses in excess of the centre of mass energy, depending on the strength of the Yukawa coupling to leptons.

The $`SU(2)_L`$ triplet’s Yukawa coupling to lepton doublets is given by

$$_{Yuk}=ih_{ll^{}}\mathrm{\Psi }_{lL}^TC\sigma _2\mathrm{\Delta }\mathrm{\Psi }_{l^{}L}+h.c.,$$
(1)
where $`C`$ is the charge conjugation matrix and $`\mathrm{\Psi }_{lL}`$ denotes the left-handed lepton doublet with flavour $`l`$. Indirect constraints on $`\mathrm{\Delta }`$ masses and couplings have been obtained from lepton number violating processes swartz\_and\_other . Rare decay measurements mu3e\_and\_other  yield very stringent restrictions on the non-diagonal couplings $`h_{e\mu }`$; consequently, we choose to neglect all non-diagonal couplings here. Stringent limits on flavour diagonal couplings come from the muonium anti-muonium conversion measurement muoniumex  which requires that the ratio of the Yukawa coupling, $`h`$, and Higgs mass, $`M_\mathrm{\Delta }`$, satisfy $`h/M_\mathrm{\Delta }<0.44`$ TeV-1 at 90% C.L.. These bounds allow the existence of low-mass doubly charged Higgs with a small coupling constant.

Direct search strategies for the $`\mathrm{\Delta }^{}`$ have been explored for hadron colliders datta\_and\_others , with the mass reach at the LHC extending to $`850`$ GeV. Signatures have also been explored for various configurations of lepton colliders, including $`e\gamma `$ colliders. See Reference us  for further references. The recent calculation of Gregores et al gregores , most closely resembles the approach presented here but is restricted to resonance $`\mathrm{\Delta }`$ production.

## II Calculations and Results

In the process $`e^{}\gamma e^+\mu ^{}\mu ^{}`$, the signal of like-sign muons is distinct and SM background free, offering excellent potential for doubly charged Higgs discovery. The process proceeds via the production of a positron along with a $`\mathrm{\Delta }^{}`$, with the subsequent $`\mathrm{\Delta }`$ decay into two muons as well as through additional non-resonant contributions. These play an important role in the reach that one can obtain for doubly charged Higgs masses.

The cross section is a convolution of the backscattered laser photon spectrum, $`f_{\gamma /e}(x)`$ backlaser , with the subprocess cross section, $`\widehat{\sigma }(e^{}\gamma e^+\mu ^{}\mu ^{})`$. Because we are including contributions to the final state that proceed via off-shell $`\mathrm{\Delta }^{}`$’s we must include the doubly-charged Higgs boson width. The $`\mathrm{\Delta }`$ width, however, is dependent on the parameters of the model, which determine the size and relative importance of various decay modes. To account for the possible variation in width without restricting ourselves to specific scenarios we calculated the width using $`\mathrm{\Gamma }(\mathrm{\Delta }^{})=\mathrm{\Gamma }_b+\mathrm{\Gamma }_f`$ where $`\mathrm{\Gamma }_b`$ is the partial width to final state bosons and $`\mathrm{\Gamma }_f`$ is the partial width into final state fermions. We consider two scenarios for the bosonic width: a narrow width scenario with $`\mathrm{\Gamma }_b=1.5`$ GeV and a broad width scenario with $`\mathrm{\Gamma }_b=10`$ GeV. These choices represent a reasonable range for various values of the masses of the different Higgs bosons. The partial width to final state fermions is given by $`\mathrm{\Gamma }(\mathrm{\Delta }^{}\mathrm{}^{}\mathrm{}^{})=\frac{1}{8\pi }h_{\mathrm{}\mathrm{}}^2M_\mathrm{\Delta }`$. Since we assume $`h_{ee}=h_{\mu \mu }=h_{\tau \tau }h`$, we have $`\mathrm{\Gamma }_f=3\times \mathrm{\Gamma }(\mathrm{\Delta }^{}\mathrm{}^{}\mathrm{}^{})`$. Many studies assume the $`\mathrm{\Delta }`$ decay is entirely into leptons; for small values of the Yukawa coupling and relatively low $`M_\mathrm{\Delta }`$ this leads to a width which is considerably more narrow than our assumptions for the partial width into bosons. Hence, we will also note some results for the case $`\mathrm{\Gamma }=\mathrm{\Gamma }_f`$.

We consider two possibilities for the $`\mathrm{\Delta }^{}`$ signal. We assume that either all three final state particles are observed and identified or that the positron is not observed, having been lost down the beam pipe. To take into account detector acceptance we restrict the angles of the observed particles relative to the beam, $`\theta _\mu ,\theta _{e^+}`$, to the ranges $`|\mathrm{cos}\theta |0.9`$. We restrict the particle energies $`E_\mu `$, $`E_{e^+}10`$ GeV and assumed an identification efficiency for each of the detected final state particles of $`ϵ=0.9`$.

Given that the signal for doubly charged Higgs bosons is so distinctive and SM background free, discovery would be signalled by even one event. Because the value of the cross section for the process we consider is rather sensitive to the $`\mathrm{\Delta }`$ width, the potential for discovery of the $`\mathrm{\Delta }`$ is likewise sensitive to this model dependent parameter. Varying $`\mathrm{\Gamma }_b`$, we find that, relative to $`\mathrm{\Gamma }_b=10`$ GeV, the case of zero bosonic width has a sensitivity to the Yukawa coupling $`h`$ which is greater by a factor of about 5 us .

In Fig. 1 we show 95% probability (3 event) contours in the $`hM_\mathrm{\Delta }`$ parameter space. In each case, we assume the narrow width $`\mathrm{\Gamma }=1.5+\mathrm{\Gamma }_f`$ GeV case. Figure 1a corresponds to the center of mass energies $`\sqrt{s}=500`$, 800, 1000, and 1500 GeV, for the case of three observed particles in the final state, whereas Fig. 1b shows the case where only the two muons are observed. Figs. 1c and 1d correspond to the energies being considered for the CLIC $`e^+e^{}`$ collider, namely, $`\sqrt{s}=3`$, 5, and 8 TeV, for the three body and two body final states, respectively. In each case, for $`\sqrt{s}`$ above the $`\mathrm{\Delta }`$ production threshold, the process is sensitive to the existence of the $`\mathrm{\Delta }^{}`$ with relatively small Yukawa couplings. However, when the $`M_\mathrm{\Delta }`$ becomes too massive to be produced the values of the Yukawa couplings which would allow discovery grow larger slowly.

## III Summary

The observation of doubly charged Higgs bosons would represent physics beyond the SM and, as such, searches for this type of particle should be part of the experimental program of any new high energy facility. In this paper we studied the sensitivity of $`e\gamma `$ collisions to doubly charged Higgs bosons. We found that for $`\sqrt{s_{e\gamma }}>M_\mathrm{\Delta }`$ doubly charged Higgs bosons could be discovered for even relatively small values of the Yukawa couplings; $`h>0.01`$. For larger values of the Yukawa coupling the $`\mathrm{\Delta }`$ should be produced in sufficient quantity to study its properties. For values of $`M_\mathrm{\Delta }`$ greater than the production threshold, discovery is still possible due to the distinctive, background free final state in the process $`e\gamma e^+\mu ^{}\mu ^{}`$ which can proceed via virtual contributions from intermediate $`\mathrm{\Delta }`$’s. Thus, even an $`e^+e^{}`$ linear collider with modest energy has the potential to extend $`\mathrm{\Delta }`$ search limits significantly higher than can be achieved at the LHC.

###### Acknowledgements.

Work supported by the National Sciences and Engineering Research Council of Canada, N.R. is partially supported by RFFI 01-02-17152. The authors acknowledgement useful conversations with Dean Karlen and Richard Hemingway.


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# Non-Standard Time Reversal for Particle Multiplets and the Spin-Flavor Structure of Hadrons

## Abstract

We show that a system of quarks interacting with chiral fields provides a physical representation of a “non-standard” time reversal for particle multiplets proposed by Weinberg. As an application, we argue that, if the internal structure of hadrons is described by a chiral lagrangian, the so-called time-reversal-odd quark distribution functions might not be forbidden by time-reversal invariance.

The purpose of this note is to present a physical representation of a “non-standard” time reversal for particle multiplets proposed by Weinberg in his Quantum Field Theory book . The physical system we shall discuss is a chiral model such as the $`\sigma `$-model. An application to the spin-flavor structure of hadrons will be presented.

Time-Reversal (TR) invariance is a fundamental constraint on many physical processes. Acting on a momentum and spin eigenstate $`|\stackrel{}{p},j_3`$, the TR operator $`T`$ gives

$$T|\stackrel{}{p},j_3=(1)^{jj_3}|\stackrel{}{p},j_3,$$
(1)
where $`j`$ is the particle’s spin, $`j_3`$ its third component, and an irrelevant phase has been omitted.

Consider now a multiplet of particles labeled by some quantum number $`a`$. In the standard realization of TR, the $`T`$ operator is taken to be diagonal in $`a`$:

$$T|\stackrel{}{p},j_3,a=(1)^{jj_3}|\stackrel{}{p},j_3,a.$$
(2)
In  Weinberg explores a more general possibility, namely that $`T`$ may mix the multiplet components. Thus a non-diagonal finite matrix $`𝒯_{ab}`$ appears in (2), that becomes

$$T|\stackrel{}{p},j_3,a=(1)^{jj_3}\underset{b}{}𝒯_{ab}|\stackrel{}{p},j_3,b,$$
(3)
Since $`T`$ is antiunitary, $`𝒯`$ must be unitary. Weinberg proves that the matrix $`𝒯`$ can be made block-diagonal by a unitary transformation, with the blocks being either simple phases, or at most $`2\times 2`$ matrices of the form

$`\left(\begin{array}{cc}0& \mathrm{e}^{i\varphi /2}\\ \mathrm{e}^{i\varphi /2}& 0\end{array}\right),`$ (6)
where $`\varphi `$ is a real number. In  no physical application of this “unconventional” TR is discussed. Our aim is to provide such an application.

Let us consider a SU(2) chiral lagrangian describing the interaction of a fermionic field $`\psi `$ with two chiral fields $`\sigma `$ and $`\stackrel{}{\pi }`$

$``$ $`=`$ $`i\overline{\psi }\gamma ^\mu _\mu \psi g\overline{\psi }\left(\sigma +i\gamma _5\stackrel{}{\tau }\stackrel{}{\pi }\right)\psi `$ (7)
$`+{\displaystyle \frac{1}{2}}\left(_\mu \sigma \right)^2+{\displaystyle \frac{1}{2}}\left(_\mu \stackrel{}{\pi }\right)^2U(\sigma ,\stackrel{}{\pi }).`$
The field equations obtained from this lagrangian, in the mean field approximation, read :

$$[i\gamma ^\mu _\mu g(\sigma +i\gamma _5\stackrel{}{\tau }\stackrel{}{\pi })]\phi (x)=0,$$
(8)
$$^2\stackrel{}{\pi }+N_cig\overline{\phi }(x)\gamma _5\stackrel{}{\tau }\phi (x)+\frac{U}{\stackrel{}{\pi }}=0,$$
(9)
$$^2\sigma +N_cg\overline{\phi }(x)\phi (x)+\frac{U}{\sigma }=0.$$
(10)
Under TR the Dirac equation becomes (the superscript “t” denotes transpose)

$$[i\gamma ^\mu _\mu g(\sigma i\gamma _5\stackrel{}{\tau }^\mathrm{t}\stackrel{}{\pi }^{})]\gamma _5𝒞\phi ^{}(\stackrel{~}{x})=0,$$
(11)
where $`\stackrel{~}{x}=(t,\stackrel{}{x})`$, $`𝒞=i\gamma _2\gamma _0`$ and we have denoted $`\stackrel{}{\pi }^{}`$ the time-reversed pionic field. In absence of the pion field, the time-reversed solution would be, as usual, $`\gamma _5𝒞\phi ^{}(\stackrel{~}{x})`$. But in (11) the term containing $`\stackrel{}{\pi }`$ has changed and we need to specify how the pion field transforms in order to define completely the time-reversed solution. Obviously we have also to satisfy the time-reversed pion field equation (the equation for the sigma field is invariant under TR), which reads:

$$^2\stackrel{}{\pi }N_cig\overline{\phi }(x)^{}\gamma _5\stackrel{}{\tau }^\mathrm{t}\phi (x)^{}+\frac{U}{\stackrel{}{\pi }}=0,$$
(12)
where we have denoted $`\phi (x)^{}`$ the time-reversed quark field.

There are two ways to define a TR solution satisfying all equations. The first one amounts to keeping the standard TR for the quarks and reversing the sign of the $`x`$ and $`z`$ components of the pionic field under TR. This realization of TR is generally used in systems in which pions are emitted or absorbed by a fermion in a perturbative way. By inspecting eqs.(11) and (12), we recognize the existence of another possible realization of TR, which consists in leaving the pionic field unchanged under TR and performing an isospin rotation on quark field. Since $`\tau _2(\stackrel{}{\tau }^\mathrm{t})\tau _2=\stackrel{}{\tau }`$, the time-reversed solution is ($`ab`$ are now isospin indices)

$$T\phi _a(k)=(\tau _2)_{ab}\gamma _5𝒞\phi _b^{}(\stackrel{~}{k}).$$
(13)
The unitary isospin rotation $`\tau _2`$ is exactly of the form (6) indicated by Weinberg, with $`\varphi =\pi `$.

If we generalize the above lagrangian to SU(3), it is straightforward to show that there is no unitary $`3\times 3`$ matrix that allows one to obtain the time-reversed solution. This agrees with Weinberg’s conclusion that non-standard TR can mix at most two components of the particle multiplet.

It is important to notice that the nucleon state built up from the chiral model that we are considering satisfies the usual TR properties. Starting from the mean-field solution, which has the hedgehog configuration $`|h`$, we project out a state with definite spin and isospin

$$|J,J_3,I_3d^3\mathrm{\Omega }𝒟_{J_3,I_3}^J(\mathrm{\Omega })R(\mathrm{\Omega })|h$$
(14)
where $`𝒟_{J_3,I_3}^J(\mathrm{\Omega })`$ is the familiar Wigner function and $`R(\mathrm{\Omega })`$ is the rotation operator. The nucleon state built as in (14) transforms in the standard way under TR, i.e. according to eq.(1), even though one exploits only the invariance of $`|h`$ under the non-standard TR.

In the literature some authors have introduced the so-called “TR-odd” quark distribution functions  to account for the single-spin asymmetries experimentally observed in transversely polarised pion hadroproduction. It is clear that if the TR operator acting on the quark field is the one given in (13) the argument presented in  for the vanishing of the TR-odd quark distribution functions can be circumvented and these quantities would not be forced to be zero due to TR even in the absence of initial-state interactions. The experimental measurement of these distributions might clarify which realization of TR takes place inside nucleons.


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# Dark matter halos around elliptical galaxies: how reliable is the stellar kinematical evidence?

## 1 Introduction

It has been generally accepted for decades that disk galaxies are ubiquitously embedded in massive dark matter halos. During the past few years, a consensus has been developing that elliptical galaxies also contain dark halos. Their existence is predicted by hierarchical theories of galaxy formation, and has recently been supported by various observational evidence, such as gravitational lensing (Griffiths et al. 1996; Keeton, Kochanek, & Falco 1998) and X-ray measurements of their hot gas atmospheres (Matsushita et al. 1998; Loewenstein & White 1999). Although useful to infer the large-scale mass distribution of elliptical galaxies, these observations do not sufficiently constrain the detailed structure of the mass distribution at a few effective radii. This region is particularly important for understanding the coupling of the dark and luminous matter. In order to constrain the gravitational potential at these radii, other, kinematical, tracers are used. For disk galaxies, the neutral hydrogen gas, which radiates at 21 cm, forms an excellent kinematical tracer; elliptical galaxies, however, usually lack the necessary amounts of interstellar gas. Discrete tracers such as planetary nebulae, globular clusters and dwarf satellite galaxies can be used (Zepf et al. 2000; Romanowski & Kochanek 2001; Kronawitter et al. 2000), but due to their small numbers and larger distances to the center, they do not sufficiently constrain the gravitational potential at a few $`R_e`$. This leaves stars as the main tracer for the mass distribution in elliptical galaxies in this region.

The first stellar kinematical evidence for dark matter halos around elliptical galaxies came in the early 1990s. At that time, the available kinematical data consisted of the mean projected velocity $`v_p`$ and the projected velocity dispersion $`\sigma _p`$, at projected radii rarely larger than $`1R_e`$. For a number of elliptical galaxies, the projected velocity dispersion profile was found to decrease only slowly with projected radius, a behavior that was interpreted as a signature for the presence of a dark matter halo (Saglia, Bertin, & Stiavelli 1992; Saglia et al. 1993). However, such $`\sigma _p`$ profiles can also be generated by intrinsically tangentially anisotropic galaxy models, without the need for dark matter halos. The velocity dispersion profile alone does not contain sufficient kinematic information to constrain both the mass and the orbital structure of elliptical galaxies, a problem usually referred to as the mass-anisotropy degeneracy (Gerhard 1993). This degeneracy can be broken by considering the higher order kinematical information contained in the line-of-sight velocity distributions (LOSVDs), usually parameterized by means of the Gauss-Hermite shape parameters $`h_i`$ (where $`i3`$; Gerhard 1993; van der Marel & Franx 1993). In particular, the additional information contained in the $`h_4`$ profile provides the key to breaking the mass-anisotropy degeneracy: the combination of a slowly decreasing velocity dispersion profile, together with a relatively large $`h_4`$ profile, is generally interpreted as evidence for a dark matter halo.111For a detailed analysis of the effects of mass and anisotropy on the projected dispersion and $`h_4`$ profiles, we refer to section 3 of Gerhard et al. (1998). Thanks to improved instrumentation and data reduction techniques, it is nowadays possible to determine $`v_p`$, $`\sigma _p`$, $`h_3`$ and $`h_4`$ profiles with a reasonable accuracy, out to several $`R_e`$. Several authors have recently adopted such kinematical information to constrain the dark matter distribution in a number of elliptical galaxies (Rix et al. 1997; Gerhard et al. 1998; Saglia et al. 2000; Kronawitter et al. 2000).

In this entire discussion, it has (implicitly) been assumed that elliptical galaxies consist of two dynamically important components: the stars moving as test particles in a gravitational potential, generated by both stellar and dark mass. During the past decade, it has become well established that elliptical galaxies also contain a surprisingly large amount of interstellar dust (up to several million solar masses), most of it believed to be distributed diffusely over the galaxy (Roberts et al. 1991; Goudfrooij & de Jong 1995; Bregman et al. 1998). This number must be revised an order of magnitude upward, if more detailed dust mass estimators (Merluzzi 1998) or additional submillimeter measurements (Fich & Hodge 1993; Wiklind & Henkel 1995) are taken into account. This is still a negligible fraction of the total mass of the galaxy, such that the dust will hardly influence the gravitational potential. Nevertheless, it has a significant role in galaxy dynamics: dust grains efficiently absorb and scatter optical photons. Interstellar dust will therefore affect all observable quantities, including the observed kinematics.

We are undertaking an effort to understand the impact of interstellar dust on the observed kinematics in elliptical galaxies. Previously, we investigated how absorption by dust grains affects the light profile and the observed kinematics (Baes & Dejonghe 2000; Baes, Dejonghe, & De Rijcke 2001). We found that the observed kinematics are affected only in the most central regions, the magnitude of these effects being of the order of a few percents. Here we have extended our modeling to incorporate the process of scattering off dust grains. We will show in this Letter that this has a considerable effect on the observed kinematics, in particular concerning the stellar kinematical evidence for dark matter halos.

## 2 The modeling

To investigate the effects of attenuation222We will refer to attenuation as the combined effect of absorption and scattering on the observed kinematics, we constructed a spherically symmetric elliptical galaxy model, consisting of a stellar and a dust component. For the stellar distribution, we adopted an isotropic Hernquist model. It is a reasonable approximation for the observed surface brightness distribution of elliptical galaxies, and has the advantage that most of the internal stellar kinematics can be calculated analytically (Hernquist 1990). The distribution of the (diffuse) dust in elliptical galaxies is not well constrained; its presence has been demonstrated only indirectly. We adopted a dust distribution that is shallower than the stellar density, with a total visual optical depth of order unity. Such a model seems to be indicated by the observed color gradients in elliptical galaxies (Witt et al. 1992; Goudfrooij & de Jong 1995; Wise & Silva 1996). For the optical properties of the dust grains (the relative opacity, the scattering albedo, and the phase function), we adopted the values calculated by Maccioni & Perinotto (1994) and displayed in Di Bartolomeo, Barbaro & Perinotto (1995). A more extended set of models, with a larger variety in optical depth and star-dust geometry, will be presented in a forthcoming paper (M. Baes & H. Dejonghe, 2001, in preparation).

The inclusion of dust absorption in the calculation of the LOSVDs was rather straightforward: it required an extra factor in the integration along the line of sight (Baes & Dejonghe 2000). If scattering is included, however, such an approach is not possible anymore. Indeed, photons can now leave their initial path, and reach the observer through a completely different path. Therefore, we adopted a Monte Carlo technique to include this process. Basically, the method consists of following the individual path of a very large number of photons (typically about $`10^7`$), selected randomly from phase space, according to the phase space distribution function of the galaxy. Knowledge of the path along which each photon leaves the galaxy, together with the kinematical signature of the star that emitted it, enables us to construct the surface brightness profiles and LOSVDs of the galaxy, both with and without dust attenuation taken into account. The $`\sigma _p`$ and $`h_4`$ profiles are extracted from the LOSVDs (the $`v_p`$ and $`h_3`$ profiles are identically zero, because we consider a spherically symmetric nonrotating galaxy model). A more detailed description of the method will be given in M. Baes & H. Dejonghe (2001, in preparation).

A check on the method was provided by the case where only absorption is taken into account: we found the results of the Monte Carlo simulation to be in perfect agreement with our previously obtained semianalytical results (Baes & Dejonghe 2000).

## 3 The observed kinematics

In Figure 1, the effect of dust attenuation on the observed kinematics is illustrated. For the lines of sight that pass near the galaxy center, the kinematics are nearly unaffected. Because of the modest (and conservative) dust masses we used, the high-velocity stars in the galaxy center are only slightly obscured. As a result, the velocity dispersion only decreases marginally. At large radii, however, the kinematics are seriously affected. The $`\sigma _p`$ profile drops less steeply, and the $`h_4`$ parameter is significantly larger compared to the dust-free case. In Figure 2, we show the LOSVD at $`R=5R_e`$ of our galaxy model, with and without dust attenuation. This figure clearly indicates that dust attenuation brings on significant high-velocity wings in the outer LOSVDs. In particular, it should be noted that these LOSVDs do not vanish at the local escape velocity: hence, stars are observed that can physically not be present on these lines of sight. These wings are a scattering effect, as demonstrated in Figure 3, and they are responsible for the increase of $`\sigma _p`$ and $`h_4`$. Attenuation by interstellar dust apparently has a kinematical signature that is strikingly similar to the presence of a dark matter halo: a velocity dispersion profile that decreases more slowly than expected, and a relatively large $`h_4`$ profile. Hence, dust-affected kinematics mimic the presence of a dark matter halo.

## 4 Modeling the dust-affected kinematics

To check this into more detail, we considered our dust-affected kinematics as an observational data set, and modeled it as any dynamical modeler would do, i.e., without taking dust attenuation into account. We concentrated on the model with $`\tau _V=1`$, and considered a data set consisting of the $`K`$-band photometry and $`V`$-band $`\sigma _p`$ and $`h_4`$ profiles, out to $`5R_e`$. The modeling was performed with a powerful non-parametric modeling technique based on quadratic programming (Dejonghe 1989).

### 4.1 Models with a constant $`M/L`$

First, we tried to find out whether the data were consistent with a model with a constant $`M/L`$. We constructed a set of dynamical models, with $`M/L`$ as a free parameter. The best-fitting model is represented by the dashed line in Figure 4. Obviously, this fit is not satisfactory: it can fit the $`\sigma _p`$ profile, but only through a strong tangential anisotropy, reflected in a strongly negative $`h_4`$ profile. It is impossible to fit both the $`\sigma _p`$ and $`h_4`$ profiles with a constant $`M/L`$ model.

### 4.2 Models with a dark matter halo

In order to construct models with a rising $`M/L`$, i.e. with a dark halo, we considered a set of Hernquist potentials, each with a different scale length. We constructed a set of dynamical models, with both the potential scale length and the mass-to-light ratio as free parameters. The best fit to the photometry and the $`\sigma _p`$ and $`h_4`$ profiles333The slight disagreement at the center of the h4 profile is unimportant, as we are primarily interested in the outer regions. is plotted in solid lines in Figure 4. Its potential has a scale length 45% larger than the original Hernquist potential, and in the maximum stellar mass hypothesis (the analogue for the maximum disk hypothesis in disk galaxies), the dark matter contributes roughly a third of the total mass within 1 $`R_e`$, and half of the total mass within the last data point. This clearly demonstrates that the effects of dust attenuation can mimic the presence of a dark matter halo. Taking dust attenuation into account in dynamical modeling procedures will hence reduce or may even eliminate the need for a dark matter halo at a few $`R_e`$.

## 5 Conclusions

In view of these results, we may have to reconsider the stellar kinematical evidence for dark matter halos. In analogy with the mass-anisotropy degeneracy, which could be lifted by considering higher-order shape parameters for the LOSVDs, we are now faced with a new degeneracy, which could be called the mass-dust degeneracy. Indeed, the attenuation (in particular the scattering) by dust grains has the same effect on the stellar kinematics as a dark matter halo. At least, these results apply for the model we have explored in this Letter, with a dust distribution shallower than the stars and with an optical depth $`\tau _V=1`$. We are well aware that these assumptions are quite uncertain, and an extended set of models, with a large variety in optical depth and star-dust geometry, is being investigated.

The new mass-dust degeneracy strongly complicates the use of stellar kinematics as a tracer for the mass distribution in elliptical galaxies. Although the presence of dark matter halos nowadays seems firmly established at very large scales, this leaves us with a major problem concerning the determination of the dark halo properties at a few effective radii. There are two possible ways to break this new degeneracy. The first option is to observe the kinematics at near-infrared wavelengths, where the effects of dust are negligible. This, however, poses a serious observational challenge in the off-center regions. The second option is to include radiative transfer calculations in dynamical modeling techniques. Besides a computational challenge, this requires a better knowledge of the spatial distribution and of the optical properties of dust grains in elliptical galaxies than we have today. The new generation of far-infrared and submillimeter instruments, such as ALMA and SIRTF, will help to solve this problem.

The authors would like to thank T. van Albada and A. N. Witt for stimulating discussions, and the referee, N. Cretton, for his constructive remarks. M. B. acknowledges the financial support of FWO-Vlaanderen.