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# GAUGE DEPENDENCE OF MASS AND CONDENSATE IN CHIRALLY ASYMMETRIC PHASE OF QUENCHED QED3

## I Introduction

In a gauge field theory, Green functions transform in a specific manner under a variation of gauge. These transformations carry the name Landau-Khalatnikov-Fradkin (LKF) transformations, . These were also derived by Johnson and Zumino through functional methods, . As a consequence of gauge covariance, Green functions obey certain identities which relate one function to the other. These relations have been named Ward-Green-Takahashi identities (WGTI), . At the level of physical observables, gauge symmetry reflects as the fact that they be independent of the gauge parameter. Perturbation theory respects these requirements at every level of approximation. However, this has not been achieved in general in the non-perturbative study of gauge field theories through Schwinger-Dyson equations (SDE) carried out so far although significant progress has been made. The gauge technique of Salam, Delbourgo and later collaborators, , was developed to incorporate the constraint imposed by WGTI. However, as pointed out in , gauge technique can become completely reliable only after incorporating transverse Green functions with correct analytic and gauge-covariance properties. Another method widely used to explore the non-perturbative structure of the SDE is to make an ansatz for the full fermion-boson vertex and then study the gauge dependence of the physical observables related to the phenomenon of dynamical chiral symmetry breaking (DCSB). This method has been quite popular in four dimensional Quantum Electrodynamics (QED). For example, the vertex ansatz proposed by Curtis and Pennington, , has been extensively used to study the gauge dependence of the fermion propagator and the dynamical generation of fermion mass in Quenched QED, e.g., . Later on, the work of Bashir and Pennington, , proposed an improved vertex which achieves complete gauge independence of the critical coupling above which mass is dynamically generated. These methods use the cut-off regularization to study the gauge dependence of the physical observables. As the cut-off method in general does not respect gauge symmetry, a criticism of these works has been raised recently, . They suggest dimensional regularization scheme to study the chirally asymmetric phase of QED so that the possible gauge dependence coming from the inappropriate regulator could be filtered out.

Three dimensional Quantum Electrodynamics (QED3) provides us with a neat laboratory to study DCSB as it is ultraviolet well-behaved and hence the source of gauge non-invariance finds its roots only in the simplifying assumptions employed and not in the choice of the regulator. Burden and Roberts, , studied the gauge dependence of the chiral condensate in quenched QED3 and proposed a vertex which appreciably reduces this gauge dependence in the range $`01`$ of the covariant gauge parameter $`\xi `$. Unfortunately, the choice of their vertex does not transform correctly under the operation of charge conjugation. Moreover, the selected range of values for $`\xi `$ is very narrow, close to the vicinity of the Landau gauge. The studies of QED3 carried out by Bashir et. al., , reveal that Landau gauge may not be a preferred gauge in QED3. In fact, it is seen that the LKF transformation of one loop fermion propagator remains insensitive to the inclusion of the LKF transformation of the second loop, provided we are away from the Landau gauge. Assuming similar behaviour for the higher loops, we may expect that for larger value of the gauge parameter, physical observables would also become insensitive to the value of this parameter. In this paper, we undertake the calculation of the Euclidean mass of the fermion (referred to as mass from now onwards) and the condensate for a wide range of values of $`\xi `$. We find that indeed for larger values of the gauge parameter, both the quantities seem to become increasingly gauge invariant.

## II The Fermion Propagator

In quenched QED3, the SDE for the fermion propagator in the Minkowski space can be written as :

$`S_F^1(p)`$ $`=`$ $`S_F^{01}(p)ie^2{\displaystyle \frac{d^3k}{(2\pi )^3}\mathrm{\Gamma }^\nu (k,p)S_F(k)\gamma ^\mu \mathrm{\Delta }_{\mu \nu }^0(q)},`$ (1)
where $`q=kp`$, $`e`$ is the electromagnetic coupling, $`\mathrm{\Gamma }^\nu (k,p)`$ is the full fermion-photon vertex, $`S_F^0(p)`$ and $`\mathrm{\Delta }_{\mu \nu }^0(q)`$ are the bare fermion and photon propagators defined as

$`S_F^0(p)=1/\overline{)}p,\mathrm{\Delta }_{\mu \nu }^0(q)={\displaystyle \frac{g_{\mu \nu }}{q^2}}+(1\xi ){\displaystyle \frac{q_\mu q_\nu }{q^4}},`$ (2)
and $`S_F(p)`$ is the full fermion propagator, which we prefer to write in the following most general form :

$`S_F(p)={\displaystyle \frac{F(p)}{\overline{)}p(p)}}.`$ (3)
$`F(p)`$ is referred to as the wavefunction renormalization and $`(p)`$ as the mass function. $`\xi `$ is the usual covariant gauge parameter. Eq. (1) is a matrix equation. It consists of two independent equations, which can be decoupled by taking its trace after multiplying it with $`1`$ and $`\overline{)}p`$, respectively. Making use of Eqs. (2,3) and replacing the full vertex by its bare counterpart, these equations can be written as :

$`{\displaystyle \frac{1}{F(p)}}`$ $`=`$ $`1+{\displaystyle \frac{\alpha }{2\pi ^2p^2}}{\displaystyle d^3k\frac{F(k)}{k^2+^2(k)}\frac{1}{q^4}\left[2(kp)^2+(2\xi )(k^2+p^2)kp2(1\xi )k^2p^2\right]},`$ (4)
$`{\displaystyle \frac{(p)}{F(p)}}`$ $`=`$ $`{\displaystyle \frac{\alpha (2+\xi )}{2\pi ^2}}{\displaystyle d^3k\frac{F(k)(k)}{k^2+^2(k)}\frac{1}{q^2}}.`$ (5)
Carrying out angular integration after the Wick rotation to the Euclidean space, the above equations acquire the form :

$`{\displaystyle \frac{1}{F(p)}}`$ $`=`$ $`1{\displaystyle \frac{\alpha \xi }{\pi p^2}}{\displaystyle 𝑑k\frac{k^2F(k)}{k^2+^2(k)}\left[\mathrm{\hspace{0.33em}1}\frac{k^2+p^2}{2kp}\mathrm{ln}\left|\frac{k+p}{kp}\right|\right]},`$ (6)
$`{\displaystyle \frac{(p)}{F(p)}}`$ $`=`$ $`{\displaystyle \frac{\alpha (\xi +2)}{\pi p}}{\displaystyle 𝑑k\frac{kF(k)(k)}{k^2+^2(k)}\mathrm{ln}\left|\frac{k+p}{kp}\right|}.`$ (8)
A trivial solution to Eq. (8) is $`(p)=0`$, which corresponds to the usual perturbative solution. We are interested in a non-trivial solution by solving Eqs. (6) and (8) simultaneously. Such a solution for $`(p)`$ is related to the mass $`m`$ and the chiral condensate $`<\overline{\psi }\psi >`$ through the relations $`m=(m)`$ and $`<\overline{\psi }\psi >=4p^2(p)/(2+\xi )`$, respectively. We shall study the gauge dependence of these quantities in the next section for the fixed value of $`\alpha =1/4\pi `$.

## III Effect of the Wavefunction Renormalization

In studying DCSB, it has been a common practice to make the approximation $`F(p)=1`$ so that we only have to solve Eq. (8). The justification for this approximation stems from the fact that perturbatively $`F(p)=1+𝒪(\alpha \xi /\pi )`$. If $`\alpha `$ is small and we are sufficiently close to the Landau gauge, one would naturally expect that $`F(p)1`$. Although, it has been quite customary to employ this approximation, there exist several works which include both the equations. We study the effects of neglecting the wavefunction renormalization quantitatively. Fig. (1) depicts the mass function $`(p)`$ for $`F(p)=1`$ in various gauges. As expected, the mass function is roughly a constant for low values of $`p`$ and falls as $`1/p^2`$ for large values of $`p`$. The integration region chosen is from $`10^3`$ to $`10^3`$ and we select 26 points per decade. The mass probes low momentum region of this graph, whereas, the condensate is extracted from its asymptotic behaviour. Obviously, the mass seems to vary in more or less equally spaced steps with the variation of the gauge parameter. In order to obtain a quantitative value of the mass, we select neighbouring points $`p_a`$ and $`p_b`$ ($`p_a>p_b`$), such that $`(p_a)<p_a`$ and $`(p_b)>p_b`$. We then approximate the mass by the following relation :

$`m`$ $`=`$ $`{\displaystyle \frac{(p_b)(p_a)}{p_bp_a}}(mp_a)+(p_a).`$ (9)
As for the condensate, the figure does not distinguish between the results for various gauges. Therefore, we have to look at the numbers explicitly. Table (1) shows the value of the condensate for $`\xi `$ ranging from $`15`$. The point $`p=1000`$ was chosen to calculate the condensate. This number seems sufficiently large as the $`1/p^2`$ behaviour seems to set in much earlier ($`p300`$), as noted also in . In Figs. (2) and (3) we display the gauge dependence of the chiral condensate and the mass for $`F(p)=1`$ in a wide range of values of the gauge parameter. The condensate varies heavily with the change of gauge, roughly twice per unit change in the value of $`\xi `$. Gauge dependence of the mass is not too different either.

TABLE 1. The condensate in various gauges for $`F(p)=1`$

Repeating the exercise by taking both the equations, namely Eqs. (6) and (8), into account, we see similar qualitative behaviour of the mass function. It is roughly a constant for low values of $`p`$ and falls as $`1/p^2`$ for large values of $`p`$, Fig. (4). The large $`p`$ behaviour is also evident from the entries in Table (2). As for the wavefunction renormalization, it also is constant for small values of $`p`$. As $`p`$ becomes large it goes to $`1`$, Fig. (5). In Table (2) we also give a comparison with the work of Burden and Roberts, . As mentioned earlier, they restrict themselves to the close vicinity of the Landau gauge, where our results are in excellent agreement. We investigate the gauge dependence of the condensate as well as the mass far beyond the Landau gauge. A graphical description can be found in Figs. (6) and (7). The following points are important to note :

* The wavefunction renormalization plays an extremely important role in restoring the gauge invariance of the chiral condensate as well as the mass of the fermion. Although the qualitative behaviour of the mass function in various regimes of momenta remains largely unchanged, whether or not we employ the approximation $`F(p)=1`$, quantitative dependence of the physical observables mentioned above on the covariant gauge parameter $`\xi `$ reduces a great deal by including the wavefunction renormalization.
* As we move away from the Landau gauge towards large positive values of $`\xi `$, the gauge dependence of the condensate as well as the mass keeps diminishing, without resorting to any sophisticated ansatze for the fermion-boson interaction.

TABLE 2. The condensate in various gauges including wavefunction renormalization

## IV EFFECT OF THE WARD-GREEN-TAKAHASHI IDENTITY

The bare photon propagator which appears in Eq. (1) can be split up in longitudinal and transverse parts as follows :

$`\mathrm{\Delta }_{\mu \nu }^0(q)=\mathrm{\Delta }_{\mu \nu }^{0T}\xi {\displaystyle \frac{q_\mu q_\nu }{q^4}},`$ (10)
where $`\mathrm{\Delta }_{\mu \nu }^{0T}=g_{\mu \nu }/q^2+q_\mu q_\nu /q^4`$. Employing this decomposition, we can rewrite Eq. (1) as :

$`S_F^1(p)`$ $`=`$ $`S_F^{01}(p)ie^2{\displaystyle \frac{d^3k}{(2\pi )^3}\mathrm{\Gamma }^\nu (k,p)S_F(k)\gamma ^\mu \mathrm{\Delta }_{\mu \nu }^{0T}}+ie^2\xi {\displaystyle \frac{d^3k}{(2\pi )^3}\mathrm{\Gamma }^\nu (k,p)S_F(k)\gamma ^\mu \frac{q_\mu q_\nu }{q^4}}.`$ (11)
It is well known that the use of the WGTI, in the equivalent of the last term of Eq. (11) in QED4, filters out a spurious term which is an artifact of using the gauge dependent cut-off regulator. Therefore, one is naturally motivated to use this decomposition in dimensions other than four. Multiplying Eq. (11) by $`1`$ and $`\overline{)}p`$ respectively and Wick-rotating to the Euclidean space, we obtain the following equations :

$`{\displaystyle \frac{1}{F(p)}}`$ $`=`$ $`1+{\displaystyle \frac{\alpha }{2\pi ^2p^2}}{\displaystyle d^3k\frac{F(k)}{k^2+^2(k)}\frac{1}{q^4}\left[\mathrm{\hspace{0.17em}2}(qp)(qk)+\frac{\xi }{F(p)}[p^2(qk)+(k)(p)(qp)]\right]},`$ (12)
$`{\displaystyle \frac{(p)}{F(p)}}`$ $`=`$ $`{\displaystyle \frac{\alpha }{2\pi ^2}}{\displaystyle d^3k\frac{F(k)}{k^2+^2(k)}\frac{1}{q^2}\left[\mathrm{\hspace{0.17em}2}(k)\frac{\xi }{q^2}\frac{1}{F(p)}[(k)(pq)(p)(kq)]\right]}.`$ (13)
On carrying out angular integration,

$`{\displaystyle \frac{1}{F(p)}}`$ $`=`$ $`1+{\displaystyle \frac{\alpha \xi }{\pi p^2}}{\displaystyle _0^{\mathrm{}}}𝑑k{\displaystyle \frac{k^2F(k)/F(p)}{k^2+^2(k)}}\left[{\displaystyle \frac{p^2}{k^2p^2}}+{\displaystyle \frac{p}{2k}}\mathrm{ln}\left|{\displaystyle \frac{k+p}{kp}}\right|+(k)(p)\left\{{\displaystyle \frac{1}{k^2p^2}}{\displaystyle \frac{1}{2kp}}\mathrm{ln}\left|{\displaystyle \frac{k+p}{kp}}\right|\right\}\right],`$ (14)
$`{\displaystyle \frac{(p)}{F(p)}}`$ $`=`$ $`{\displaystyle \frac{\alpha }{\pi }}{\displaystyle _0^{\mathrm{}}}𝑑k{\displaystyle \frac{k^2F(k)}{k^2+^2(k)}}\left[{\displaystyle \frac{2(k)}{kp}}\mathrm{ln}\left|{\displaystyle \frac{k+p}{kp}}\right|{\displaystyle \frac{\xi }{F(p)}}\left\{{\displaystyle \frac{(k)(p)}{k^2p^2}}{\displaystyle \frac{(k)+(p)}{2kp}}\mathrm{ln}\left|{\displaystyle \frac{k+p}{kp}}\right|\right\}\right].`$ (15)
As the terms of the type $`1/(k^2p^2)`$ are harder to deal with numerically, we use the approximation $`F(p)=1`$ to analyze the effect of the WGTI. Under this simplification, we only have to solve

$`(p)`$ $`=`$ $`{\displaystyle \frac{\alpha }{\pi }}{\displaystyle _0^{\mathrm{}}}𝑑k{\displaystyle \frac{k^2}{k^2+^2(k)}}\left[{\displaystyle \frac{2(k)}{kp}}\mathrm{ln}\left|{\displaystyle \frac{k+p}{kp}}\right|\xi \left\{{\displaystyle \frac{(k)(p)}{k^2p^2}}{\displaystyle \frac{(k)+(p)}{2kp}}\mathrm{ln}\left|{\displaystyle \frac{k+p}{kp}}\right|\right\}\right].`$ (16)
The mass function obtained on solving Eq. (16) is depicted in Fig. (8), which, along with Table (3), reveals that its qualitative behaviour remains unchanged both for small and large values of $`p`$. In Figs. (9) and (10) , we compare the gauge dependence of the condensate and the mass with and without the usage of the WGTI. As in QED4, we find that the gauge dependence of these quantities seems to increase by incorporating the said identity.

TABLE 3. The condensate in various gauges for $`F(p)=1`$ making use of WGTI

## V DIMENSIONAL REGULARIZATION METHOD

In this section we compare our numerical results with those obtained by employing the dimensional regularization scheme, . For simplicity, we restrict ourselves only to the Landau gauge without incorporating the WGTI. In this case, the equation for the mass function acquires the following form in Euclidean space in arbitrary dimensions :

$$(p)=4\pi \alpha (d1)\frac{d^dk}{(2\pi )^d}\frac{(k)}{k^2+^2(k)}\frac{1}{q^2},$$
(17)
where $`\alpha `$ is a dimensionful coupling except in four dimensions. We define $`d=42ϵ`$ and

$`\alpha `$ $`=`$ $`\alpha _d\mu ^{2ϵ},`$ (18)
$`\alpha _d`$ being dimensionless. We now use the identity $`d^dk=k^{d1}dkd\mathrm{\Omega }_d`$, where $`d\mathrm{\Omega }_d`$ is the $`d`$-dimensional solid angle defined as $`d\mathrm{\Omega }_d=_{l=1}^{d1}\mathrm{sin}^{d1l}\theta _ld\theta _l`$. The angle $`\theta _{d1}`$ varies from 0 to $`2\pi `$, whereas all other angles vary from 0 to $`\pi `$. Choosing $`\theta _1`$ to be the angle between $`k`$ and $`p`$, we can easily carry out the remaining angular integrations to arrive at :

$`(p)`$ $`=`$ $`{\displaystyle \frac{2(d1)\alpha }{(4\pi )^{\frac{d1}{2}}\mathrm{\Gamma }(\frac{d1}{2})}}{\displaystyle _0^{\mathrm{}}}𝑑k^2{\displaystyle \frac{k^{d2}(p)}{k^2+^2(p)}}{\displaystyle _0^\pi }𝑑\theta _1{\displaystyle \frac{\mathrm{sin}^{d2}\theta _1}{q^2}}.`$ (19)
Using the standard formula, ,

$`{\displaystyle _0^\pi }𝑑x{\displaystyle \frac{\mathrm{sin}^{2\sigma 1}x}{\left[1+2a\mathrm{cos}x+a^2\right]^\lambda }}`$ $`=`$ $`B(\sigma ,1/2)F(\lambda ,\lambda \sigma +1/2,\mu +1/2;a^2)|a|<1,`$
integration over $`\theta _1`$ yields :

$`(p)`$ $`=`$ $`{\displaystyle \frac{(32ϵ)\alpha }{(4\pi )^{1ϵ}\mathrm{\Gamma }(2ϵ)}}{\displaystyle _0^{\mathrm{}}}𝑑k^2{\displaystyle \frac{(k^2)^{1ϵ}(k)}{k^2+^2(k)}}\left[{\displaystyle \frac{1}{k^2}}F(1,ϵ;2ϵ;{\displaystyle \frac{p^2}{k^2}})\theta (k^2p^2)+{\displaystyle \frac{1}{p^2}}F(1,ϵ;2ϵ;{\displaystyle \frac{k^2}{p^2}})\theta (k^2p^2)\right].`$ (20)
This equation was studied in detail in  in four dimensions, taking $`ϵ`$ to be a small positive number. The factor $`(k^2)^ϵ`$ in the numerator regulates the otherwise divergent behaviour of the integrand for large momenta. As noted in , the hypergeometric function does not play any role in regularization and hence can simply be replaced by $`F(1,0;2,z)=1`$. In case of three dimensions, the hypergeometric function develops a pole for $`k^2=p^2`$, as is obvious from the following identity :

$$F(1,ϵ;2ϵ;1)=\frac{1ϵ}{12ϵ}.$$
(22)
As was pointed out earlier, such terms are hard to deal with numerically. Due to increasing computational time and memory, we go only up to $`ϵ=0.48`$, starting from $`ϵ=0.4`$. To obtain satisfying results, we need to use increasingly more points per decade as we approach closer to $`ϵ=0.5`$. For instance, we use $`100`$ points per decade for $`ϵ=0.46`$. The problems of ever increasing computational time and memory limited us to use $`140`$ points per decade for the case of $`ϵ=0.48`$. Despite this large number, we belive that the corresponding result falls short of the desired accuracy. As a result, there is a slight rise at the end of the flat region of the mass function, and the final descent begins rather late, Fig. (11). The problematic pole for $`ϵ=0.5`$ in Eq. (22) corresponds to the relatively well-controlled singularity in the following expression

$`F(1,{\displaystyle \frac{1}{2}};{\displaystyle \frac{3}{2}};z^2)`$ $`=`$ $`{\displaystyle \frac{1}{2z}}\mathrm{ln}{\displaystyle \frac{1+z}{1z}}`$ (23)
for $`z1`$. A comparison between the mass function obtained from techniques based upon the dimensional regularization scheme and the one computed in Section III is also depicted in Fig. (11). Taking the numerical limitation for $`ϵ=0.48`$ into account, we note that as $`ϵ`$ approaches the value of $`0.5`$, we get closer and closer to the result obtained in Section III, where we work in 3-dimensions to start with.

## VI Conclusions

The sources of gauge non-invariance in the study of SDE in QED can arise from (i) the use of the approximation $`F(p)=1`$, (ii) the violation of WGTI and the LKF transformations, (iii) the flawed ansatz for the vertex and (iv) the inadequate choice of the regulator. In case of 3 dimensions, QED becomes neater because of the absence of ultraviolet divergences. The regulator dependence does not pose a threat any longer. In this paper, we have studied the quantitative effect of the approximation $`F(p)=1`$ and the violation of the WGTI on the gauge dependence of the mass and the condensate in QED3 for a wide range of values of the covariant gauge parameter $`\xi `$. Lifting the approximation $`F(p)=1`$ seems to reinstate gauge invariance to an impressive extent. Partial use of the WGTI seems to increase the gauge dependence, an effect noted also in 4 dimensions in . As an advantage of using a broad range of values of $`\xi `$, we find that when they are large, the gauge dependence of the said quantities diminishes without resorting to improved ansatz for the vertex. Currently, work is underway to explore the role played by various elaborate choices of the vertex in this context.


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# Novel anisotropy in the superconducting gap structure of Bi2Sr2CaCu2O8+δ probed by quasiparticle heat transport

## Abstract

Since the nature of pairing interactions is manifested in the superconducting gap symmetry, the exact gap structure, particularly any deviation from the simple $`d_{x^2y^2}`$ symmetry, would help elucidating the pairing mechanism in high-$`T_c`$ cuprates. Anisotropic heat transport measurement in Bi2Sr2CaCu2O8+δ reveals that the quasiparticle populations are different for the two nodal directions and thus the gap structure must be uniquely anisotropic, suggesting that pairing is governed by interactions with a rather complicated anisotropy. Intriguingly, it is found that the “plateau” in the magnetic-field dependence of the thermal conductivity is observed only in the $`b`$-axis transport.

It has been established d-wave  that in the high-$`T_c`$ cuprates the superconducting gap $`\mathrm{\Delta }`$ has essentially the $`d_{x^2y^2}`$ symmetry, $`\mathrm{\Delta }(𝐤)=\mathrm{\Delta }_0\mathrm{cos}2\varphi `$, which is depicted in Fig. 1 ($`\mathrm{\Delta }_0`$ is the maximum gap and $`\varphi `$ is the azimuthal angle). Although this information is very important, it does not help much in clarifying the high-$`T_c`$ mechanism, because all of the proposed theories of the high-$`T_c`$ superconductivity have successfully adopted the $`d`$-wave symmetry. It is thus important to obtain more detailed information on the gap structure, because any deviation from the simple $`d_{x^2y^2}`$ symmetry would point to the role of a particular interaction in the paring. However, not much is known about the precise gap structure of the high-$`T_c`$ cuprates Mesot , partly because the experimental techniques to selectively probe the nodal structures are limited note1 .

The most prominent feature of the $`d`$-wave gap is that it has four nodes where the gap magnitude vanishes. At finite temperature below $`T_c`$, quasiparticles (QPs) are always thermally excited near these nodes from the superconducting condensate; how many QPs are excited depends on the “slope” of the gap at the node Lee , because a steeper gap allows less phase space available below a given energy of $`k_BT`$. Since these QPs carry heat (in contrast to the Cooper pairs that do not carry heat), one can investigate the gap structure of unconventional superconductors by measuring the QP heat transport in the superconducting state Graf . Moreover, because the QPs can only travel along the nodal directions Graf , one can gain information about different nodes by tuning the direction of the heat current to the respective nodal directions; this makes it possible to study the detailed anisotropy of the gap structure in high-$`T_c`$ cuprates.

In recent years, the heat transport has been conveniently used to probe the gap structure of the high-$`T_c`$ cuprates. For example, it was reported Yu ; Aubin  that the in-plane thermal conductivity showed a four-fold-symmetric change when the heat current was fixed along an antinodal direction and an applied magnetic field was 360 rotated in the CuO2 plane, giving maxima for fields parallel to the nodal directions. This feature helped establishing the $`d_{x^2y^2}`$ symmetry of the superconducting gap. The heat transport measurement was also employed in an intriguing proposal of a field-induced transition in the gap structure; namely, Krishana et al. reported Krishana  that at low temperatures the magnetic-field ($`H`$) dependence of the thermal conductivity of Bi2Sr2CaCu2O8+δ (BSCCO) showed a “plateau” in high fields, and they proposed that this plateau region may correspond to a fully-gapped state where there are no QPs to carry heat. This experiment attracted a lot of attention because the field-induced phase transition in the superconducting state has a significant implication on the mechanism of the superconductivity; however, the origin of the plateau, as well as the reproducibility of the experimental result, are currently under intense debate (see Ref. Ando  and references therein). In this Letter, we report a striking in-plane anisotropy of the QP heat transport, which not only sorts out the “plateau” issue but also suggests an unexpected anisotropy in the superconducting gap symmetry.

We measure the thermal conductivity $`\kappa `$ of high-quality BSCCO single crystals using a conventional steady-state technique Ando ; Takeya . The crystals used here are grown by the floating-zone (FZ) technique Nakamura  and are annealed to be slightly underdoped (zero-resistance $`T_c`$ is 90.5 K); their crystallographic axes are determined by the X-ray Laue analysis within the accuracy of a few degrees. To obtain reliable data on the in-plane anisotropy, we cut a piece of high-quality single-domain crystal into three parts and measure the $`a`$ and $`b`$ axis transports separately \[Fig. 1(c)\]; both the resistivity ($`\rho _a`$ and $`\rho _b`$) and the thermal conductivity ($`\kappa _a`$ and $`\kappa _b`$) are measured on the same samples. Note that in BSCCO the $`a`$ and $`b`$ crystallographic axes are along the nodal directions \[Fig. 1(a)\]. The magnetic field is applied perpendicular to the $`ab`$ plane and the $`H`$-dependence of $`\kappa `$ is measured with the field-cooled procedure Ando  to avoid complications that are associated with the vortex-pinning-related hysteresis Aubin2 .

Figure 2 displays the temperature dependences of $`\rho `$ and $`\kappa `$ for the $`a`$ and $`b`$ directions; the resistivity shows only a small, if any, in-plane anisotropy, while the thermal conductivity demonstrates a non-trivial anisotropy that cannot be attributed to an error in the geometrical factors; namely, the peak height at $``$70 K is smaller along the $`a`$ axis and yet $`\kappa _a`$ becomes larger than $`\kappa _b`$ below $``$30 K. This anisotropy in $`\kappa (T)`$ suggests that the number of thermally-excited QPs is larger for the nodes along the $`a`$ axis, because the QP population near the nodes is more directly reflected in $`\kappa `$ at lower temperatures Hirschfeld . (The anisotropy in $`\kappa `$ above $`T_c`$ is most likely due to phonons; it has been estimated Ando  that phonons are responsible for roughly $`2/3`$ of the total $`\kappa `$ at $`T_c`$.) We note that the uncertainties in the absolute values in Fig. 2 are less than 10% for both $`\rho `$ and $`\kappa `$.

The magnetic-field dependence of $`\kappa `$ reveals more striking in-plane anisotropy of the heat transport. Figure 3 shows the result of our precise $`H`$-dependence measurement (where the relative accuracy is $``$0.1% Ando ) for $`\kappa _a`$ and $`\kappa _b`$ at 12.5 and 10 K up to 6 T. Interestingly, only $`\kappa _b`$ shows the plateau-like feature, indicating that there cannot be a true “fully-gapped” state where all the nodes are lifted. (If a “full gap” causes the QPs to disappear, there should be no QP heat transport in any direction.)

To further investigate the magnetic-field dependence of $`\kappa `$ down to lower temperatures and up to higher magnetic fields, we have measured $`\kappa _a`$ and $`\kappa _b`$ in a 3He refrigerator equipped with a 16 T magnet (with a bit worse signal-to-noise ratio). Figures 4(a) and 4(b) show the $`H`$-dependences of $`\kappa _a`$ and $`\kappa _b`$, respectively, down to 0.36 K and up to 16 T; the trend is clear that $`\kappa _a`$ tends to decrease with $`H`$ while $`\kappa _b`$ tends to flatten or increase with $`H`$. Note that, since the phonons contribute to the heat transport in parallel to the QPs, the observed thermal conductivity is a sum of the QP term $`\kappa _{\text{QP}}`$ and the phonon term $`\kappa _{ph}`$. For BSCCO, it has been discussed Krishana ; Ando ; Aubin2  that more than 90% of the total $`\kappa `$ is due to $`\kappa _{ph}`$ around 10 K and this $`\kappa _{ph}`$ is independent of $`H`$; thus, although the $`H`$-dependence of the total $`\kappa `$ is rather weak in Figs. 4(a) and 4(b), $`\kappa _{\text{QP}}`$ is actually changing a lot with $`H`$.

The physical origin of this anisotropic behavior can be inferred by plotting $`\kappa _a`$ and $`\kappa _b`$ at the same temperature together, taking the absolute values for the vertical axis \[Figs. 4(c)-4(e)\]. In the simple kinetic theory, the QP thermal conductivity $`\kappa _{\text{QP}}`$ is proportional to both the number of QPs available for the heat transport, $`N_{\text{QP}}`$, and their mean free path $`l_{\text{QP}}`$; namely, $`\kappa _{\text{QP}}N_{\text{QP}}l_{\text{QP}}`$. In $`d`$-wave superconductors, the quantized vortices produced by applied magnetic fields are expected to both induce QPs near the nodes and scatter them Kubert ; Franz ; Vekhter . If there are already a large number of QPs along the $`a`$-axis in zero field, the increase in $`N_{\text{QP}}`$ due to the vortices may be inconsequential, while the vortex scattering will cause a noticeable reduction in $`l_{\text{QP}}`$; as a result, $`\kappa _{\text{QP}}`$ along the $`a`$-axis would tend to decrease with increasing $`H`$. On the other hand, if there are only a small number of QPs along the $`b`$-axis in zero field, both $`N_{\text{QP}}`$ and $`l_{\text{QP}}`$ along the $`b`$-axis will be noticeably changed due to the vortices and the changes in $`N_{\text{QP}}`$ and $`l_{\text{QP}}`$ will tend to cancel each other, leading to a weaker $`H`$-dependence along the $`b`$-axis. (Actually, one of the probable explanations of the “plateau” in $`\kappa (H)`$ is that it comes from an exact cancellation of the two effects Franz .\]) This phenomenology explains the behaviors of $`\kappa _a(H)`$ and $`\kappa _b(H)`$ in Figs. 4(c) and 4(d) (7.5 and 3.0 K) and is consistent with their relative magnitude. At lower temperature \[Fig. 4(e)\], it appears that the changes in $`N_{\text{QP}}`$ dominate over the changes in $`l_{\text{QP}}`$, causing $`\kappa `$ to increase with $`H`$. (Unfortunately, more quantitative analysis of the data is hindered by the lack of proper understanding of the vortex scattering of the QPs in the cuprates, which remains rather controversial Franz ; Vekhter .)

Thus, the novel anisotropies in both the temperature dependence and the magnetic-field dependence of the thermal conductivity consistently tell us that there are more QPs near the nodes along the $`a`$-axis; this gives strong evidence that the gap structure notably deviates from the $`d_{x^2y^2}`$ symmetry. Mixing of a small $`s`$-wave component, which the orthorhombic distortion may cause s-mix , would not produce the observed anisotropy. One simple possibility to make the gap consistent with the observed anisotropy is to introduce “higher harmonics”; for example, for a gap with an expression $`\mathrm{\Delta }(𝐤)=\mathrm{\Delta }_0\mathrm{cos}2\varphi \mathrm{\Delta }_1\mathrm{sin}4\varphi `$, the slope at the nodes is gentle along the $`a`$ axis and steeper along the $`b`$ axis \[Fig. 4(f)\] note3 . Of course, some non-analytic modulation of the $`d_{x^2y^2}`$ symmetry may also be possible.

Since the reproducibility of the plateau in $`\kappa (H)`$ has been a matter of debate Ando , we comment on the reproducibility issue. We reported previously that the plateau was not observed in the majority of samples Ando ; recently, we found that this majority of samples were cut along the $`a`$-axis, because our crystals usually grow along the $`a`$-axis in the FZ furnace. In fact, the $`\kappa (H)`$ data published in Ref. Ando  agree with the $`\kappa _a`$ data reported here. To check whether our salient observation reported here is reproducible, we have measured another $`b`$-axis sample (Sample B2) that was taken from a different batch where the crystal grew along the $`b`$-axis. We have also measured a sample (Sample M) which was cut along the direction 45 rotated from the $`a`$-axis (Cu-O-Cu bond direction). As shown in Fig. 5, Sample B2 (which is optimally-doped with $`T_c=95`$ K) reproduces the behavior of the first $`b`$-axis sample \[Fig. 4(b)\], and Sample M shows the behavior which is essentially an average of $`\kappa _a(H)`$ and $`\kappa _b(H)`$. These results give confidence in the reproducibility as well as the intrinsic nature of our observation.

It is useful to note that the angle-resolved photoemission experiments have reported almost completely four-fold-symmetric intrinsic Fermi surface for BSCCO Shen , and therefore the novel anisotropy of the gap found here is not likely to be due to a Fermi surface anisotropy note4 . (In fact, the normal-state resistivity shows negligibly small in-plane anisotropy \[Fig. 2(a)\], which is consistent with the almost-isotropic Fermi surface.) Therefore, the striking anisotropy in the gap structure suggests that the driving force of the gapping, or the “glue” to bind the electrons into Cooper pairs, is anisotropic itself. From this point of view, it would be difficult to imagine that the antiferromagnetic interaction on the nearly-square CuO2 planes is wholly responsible for the pairing, though it is often considered to be the most likely candidate. On the other hand, the phonons are expected to be anisotropic in BSCCO because of the pronounced modulation structure incomm , and thus the role played by the phonons in pairing is an interesting possibility. Another possibility is a role of the charge inhomogeneity Pan , which could be related to the isotropic or nematic phases of the electronic liquid crystal Kivelson ; stripe , though the impact of such inhomogeneous structure on the gapping and on the QP behavior is not understood yet. In any case, the novel anisotropy in the gap structure suggested by the present experiment should help clarifying how the superconducting gap is formed in high-$`T_c`$ superconductors.

In summary, we have measured the thermal conductivity $`\kappa `$ of BSCCO along the $`a`$ and $`b`$ axes in essentially the same high-quality single crystal down to 0.36 K. It is found that the temperature dependence and the magnetic-field dependence of $`\kappa `$ both show peculiar in-plane anisotropy, and the observed anisotropy is consistent with the interpretation that there are more QPs near the nodes along the $`a`$ axis. This result gives evidence that the $`d`$-wave gap is uniquely distorted in BSCCO, which suggests that the electron pairing is contributed by the interaction that develops a pronounced anisotropy between the $`a`$ and $`b`$ axes. In addition, our measurement clarifies that only $`\kappa _b`$ shows the “plateau” in its magnetic-field dependence; this new information should help elucidating the true origin of this intriguing plateau.

We thank D. S. Dessau, A. Fujimori, P. J. Hirschfeld, A. Kapitulnik, Z. X. Shen, M. Sigrist, and I. Vekhter for helpful discussions. Y. Abe acknowledges support from JSPS and X.F.S. acknowledges support from JISTEC.


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# The high-energy limit 𝒔_{𝒋_𝟏𝒋_𝟐}≫𝒔_{𝒋_𝟏𝐇},𝒔_{𝒋_𝟐𝐇}≫𝑴_𝐇^𝟐

## The high-energy limit $`𝒔_{𝒋_\mathrm{𝟏}𝒋_\mathrm{𝟐}}\mathbf{}𝒔_{𝒋_\mathrm{𝟏}𝐇}\mathbf{,}𝒔_{𝒋_\mathrm{𝟐}𝐇}\mathbf{}𝑴_𝐇^\mathrm{𝟐}`$

We consider the production of two partons of momenta $`p_1`$ and $`p_3`$ and a Higgs boson of momentum $`p_\mathrm{H}`$, in the scattering between two partons of momenta $`p_2`$ and $`p_4`$, where all momenta are taken as outgoing. We consider the limit in which the Higgs boson is produced centrally in rapidity, and very far from either jet, $`s_{j_1j_2}s_{j_1\mathrm{H}},s_{j_2\mathrm{H}}M_\mathrm{H}^2`$, which is equivalent to require that

$$p_1^+p_\mathrm{H}^+p_3^+,p_1^{}p_\mathrm{H}^{}p_3^{},$$
(2)
where we have introduced the light-cone coordinates $`p^\pm =p_0\pm p_z`$, and complex transverse coordinates $`p_{}=p^x+ip^y`$. In the limit (2), the amplitudes are dominated by gluon exchange in the $`t`$ channel, with emission of the Higgs boson from the $`t`$-channel gluon. We can write the amplitude for $`qQqQH`$ scattering in the high-energy limit as

$`i^{qqHqq}(p_2^{\nu _1},p_1^{\nu _1}|H|p_3^{\nu _3},p_4^{\nu _3})`$ (3)
$`=`$ $`2s\left[gT_{a_1\overline{a}_2}^cC^{\overline{q};q}(p_2^{\nu _1};p_1^{\nu _1})\right]{\displaystyle \frac{1}{t_1}}\left[\delta ^{cc^{}}C^H(q_1,p_\mathrm{H},q_2)\right]{\displaystyle \frac{1}{t_2}}\left[gT_{a_3\overline{a}_4}^c^{}C^{\overline{q};q}(p_4^{\nu _3};p_3^{\nu _3})\right],`$
where $`q_1=(p_1+p_2)`$, $`q_2=p_3+p_4`$, $`t_i|q_i|^2`$, $`i=1,2`$, and the $`\nu `$’s are the quark helicities. In Eq. (3) we have made explicit the helicity conservation along the massless quark lines. The effective vertex $`C^{\overline{q};q}`$ for the production of a quark jet, $`qg^{}q`$, contributes a phase factor : its square is 1. The effective vertex for Higgs production along the gluon ladder, $`g^{}g^{}H`$, with $`g^{}`$ an off-shell gluon, is

$$C^H(q_1,p_\mathrm{H},q_2)=2\frac{g^2M_t^2}{v}\left(m_\mathrm{H}_{}^2A_1(q_1,q_2)2A_2(q_1,q_2)\right).$$
(4)
The scalar coefficients of the triangle vertex with two off-shell gluons, $`A_{1,2}`$, are defined in terms of the form factors $`F_T`$ and $`F_L`$ of Ref.  as

$$A_1=\frac{i}{(4\pi )^2}F_T,A_2=\frac{i}{(4\pi )^2}\left(F_Tq_1q_2+F_Lq_1^2q_2^2\right).$$
(5)
We have checked analytically that the amplitude for $`qgqgH`$ scattering can also be written as Eq. (3), provided we perform on one of the two effective vertices $`C^{\overline{q};q}`$ the substitution (for the sake of illustration, we display it here for the lower vertex)

$$igf^{bb^{}c}C^{g;g}(p_b^{\nu _b};p_b^{}^{\nu _b^{}})gT_{b^{}\overline{b}}^cC^{\overline{q};q}(p_b^{\nu _b^{}};p_b^{}^{\nu _b^{}}),$$
(6)
and use the effective vertices $`g^{}gg`$ for the production of a gluon jet  (which contribute a phase factor as well). The same check on the (squared) amplitude for $`ggggH`$ scattering has been performed numerically. Thus, in the high-energy limit (2), the amplitudes for $`qQqQH`$, $`qgqgH`$ and $`ggggH`$ scattering only differ by the color strength in the jet-production vertex. Therefore, in a production rate it is enough to consider one of them and include the others through the effective parton distribution function , $`f_{\mathrm{eff}}(x,\mu _F^2)=G(x,\mu _F^2)+(C_F/C_A)_f\left[Q_f(x,\mu _F^2)+\overline{Q}_f(x,\mu _F^2)\right]`$, where $`x`$ is the momentum fraction of the incoming parton, $`\mu _F^2`$ is the collinear factorization scale, and where the sum is over the quark flavors.

In Fig. 1 we plot the cross section in $`H+2`$ jet production in $`pp`$ collisions at the LHC energy $`\sqrt{s}=14`$ TeV, as a function of $`\mathrm{\Delta }y`$, which is defined as the smallest rapidity difference between the Higgs and the jets, $`\mathrm{\Delta }y=\mathrm{min}(|y_{j_1}y_\mathrm{H}|,|y_{j_2}y_\mathrm{H}|)`$, with the kinematical constraint $`y_{j_1}>y_\mathrm{H}>y_{j_2}`$. The solid line is the exact production rate, with the amplitudes evaluated in Ref. ; the dashed line is the rate in the high-energy limit (2), with the amplitudes evaluated using Eqns. (3)–(6). It is apparent that the high-energy limit works very well over the whole $`\mathrm{\Delta }y`$ spectrum. However, in the evaluation of the effective vertex (4), we used the exact value of the scalar coefficients $`A_{1,2}`$. A more conservative statement is to say that when any kinematic quantity involved in the amplitude (3) is evaluated in the limit (2), we expect the high-energy limit to represent a good approximation of the exact calculation when $`\mathrm{\Delta }y2`$.

## The high-energy limit $`𝒔_{𝒋_\mathrm{𝟏}𝒋_\mathrm{𝟐}}\mathbf{,}𝒔_{𝒋_\mathrm{𝟐}𝐇}\mathbf{}𝒔_{𝒋_\mathrm{𝟏}𝐇}\mathbf{,}𝑴_𝐇^\mathrm{𝟐}`$

Next, we consider the limit in which the Higgs boson is produced forward in rapidity, and close to one of the jets, say to jet $`j_1`$, and both are very far from jet $`j_2`$, i.e. $`s_{j_1j_2},s_{j_2\mathrm{H}}s_{j_1\mathrm{H}},M_\mathrm{H}^2`$. This limit implies that

$$p_1^+p_\mathrm{H}^+p_3^+,p_1^{}p_\mathrm{H}^{}p_3^{}.$$
(7)
In this limit, the amplitudes are again dominated by gluon exchange in the $`t`$ channel, and factorize into in effective vertex for the production of a jet and another for the production of a Higgs plus a jet. For example, in the limit (7) the amplitude for $`qgqgH`$ scattering  with the incoming gluon (quark) of momentum $`p_2`$ ($`p_4`$), can be written as

$`i^{gqgHq}(p_2^{\nu _2};p_1^{\nu _1},H|p_3^{\nu _3};p_4^{\nu _3})`$ (8)
$`=`$ $`2s\left[igf^{a_2a_1c}C^{g;Hg}(p_2^{\nu _2};p_1^{\nu _1},p_\mathrm{H})\right]{\displaystyle \frac{1}{t}}\left[igT_{a_3\overline{a}_4}^cC^{\overline{q};q}(p_4^{\nu _3};p_3^{\nu _3})\right],`$
where $`C^{g;Hg}(p_2^{\nu _2};p_1^{\nu _1},p_\mathrm{H})`$ is the effective vertex for the production of a Higgs boson and a gluon jet, $`g^{}ggH`$. It has two independent helicity configurations, which we can take to be $`C^{g;Hg}(p_2^{};p_1^+,p_\mathrm{H})`$ and $`C^{g;Hg}(p_2^+;p_1^+,p_\mathrm{H})`$ . High-energy factorization also implies that the amplitude for $`ggggH`$ scattering can be put in the form (8), up to replacing the incoming quark with a gluon via the substitution (6). Likewise, the amplitude for $`qQqQH`$ scattering can be written as

$`i^{qQqHQ}(p_2^{\nu _1};p_1^{\nu _1},p_\mathrm{H}|p_3^{\nu _3};p_4^{\nu _3})`$ (9)
$`=`$ $`2s\left[gT_{a_1\overline{a}_2}^cC^{\overline{q};Hq}(p_2^{\nu _1};p_1^{\nu _1},p_\mathrm{H})\right]{\displaystyle \frac{1}{t}}\left[gT_{a_3\overline{a}_4}^c^{}C^{\overline{q};q}(p_4^{\nu _3};p_3^{\nu _3})\right],`$
where $`C^{\overline{q};Hq}(p_2^{\nu _1};p_1^{\nu _1},p_\mathrm{H})`$ is the effective vertex for the production of a Higgs and a quark jet, $`g^{}qqH`$. There is only one independent helicity configuration, which we can take to be $`C^{\overline{q};Hq}(p_2^{};p_1^+,p_\mathrm{H})`$, and its expression is given in Ref. , where an analysis of the limit (7) with the kinematic parameters of Fig. 1 can also be found.

In conclusion, we have considered $`H+2`$ jet production via gluon fusion, when either one of the Higgs-jet or the dijet invariant masses become much larger than the typical momentum transfers in the scattering. These limits also occur naturally in Higgs production via WBF. We have shown that we can write the scattering amplitudes in accordance to high-energy factorization, Eqns. (3), (8) and (9). The corresponding effective vertices, whose squares are the impact factors, can be found in Ref. .


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# References

Resurrection of Grand Unified Theory Baryogenesis

M. Fukugita1 and T. Yanagida2

1 Institute for Cosmic Ray Research, University of Tokyo, Kashiwa 2778582, Japan

2 Department of Physics, University of Tokyo, Tokyo 113, Japan

20 March 2002

Abstract

A ‘new’ scenario is proposed for baryogenesis. We show that delayed decay of coloured Higgs particles in grand unified theories may generate excess baryon number of the empirically desired amount, if the mass of the heaviest neutrino is in the range $`0.02\mathrm{eV}<m_{\nu _3}<0.8\mathrm{eV}`$, provided that neutrinos are of the Majorana type. The scenario accommodates the case of degenerate neutrino masses, in contrast to the usual leptogenesis scenario, which does not work when three neutrino masses are degenerate.

After the advent of grand unified theory (GUT) the most popular idea for baryon asymmetry in the universe was to ascribe its origin to baryon number violating delayed decay of heavy coloured Higgs particles . It was later found, however, that standard electroweak theory contains baryon number violation, and this process efficiently erases all baryon numbers that are produced before the epoch of the electroweak phase transition, in so far as the baryon excess is produced respecting the $`BL`$ conservation . This is the case not only with SU(5) grand unification (and its supersymmetric extension) but also with any grand unification with higher symmetries that has been considered to date. This is because symmetry higher than SU(5) contains U(1)B-L as a subgroup, which is unbroken above the grand unification scale. Even if it is broken at a low energy, $`\mathrm{\Delta }B=\mathrm{\Delta }L`$ is satisfied for the excess baryon number in so far as it is generated in decay of $`\varphi qq`$, $`\overline{q}\mathrm{}`$ and their conjugate. Multiparticle decays which would generate baryon numbers with $`\mathrm{\Delta }B\mathrm{\Delta }L`$ require complicated diagrams and are generally too small. In this situation one usually invokes delayed decay of heavy Majorana particles with $`\mathrm{\Delta }L0`$ ($`\mathrm{\Delta }B=0`$) to generate lepton number , and the sphaleron action  to transfer lepton number to baryon number. This mechanism does not particularly require unification of strong and electroweak interactions, and it is readily embedded into many classes of unified theories.

Experiment has now shown that neutrinos are massive. In particular, one neutrino that mixes with $`\mu `$ and $`\tau `$ neutrinos has a mass $`m_{\nu _3}>0.04`$ eV . In this circumstance we can show that the GUT scenario using delayed decay of leptoquark Higgs particles is revived as a possible mechanism of baryon number production, with the proviso that neutrinos are of the Majorana type.

We first give a sketch of the idea of a ‘new’ baryogenesis scenario. The simplest effective interaction that gives the neutrino the Majorana mass is

$$\frac{1}{2M_i}\mathrm{}_i\varphi \mathrm{}_i\varphi ,$$
(1)
where $`\varphi `$ is the standard Higgs doublet and the effective mass scale $`M_i`$ is $`<10^{15}`$ GeV for $`i=3`$ from $`m_{\nu _3}>0.04`$ eV. With this effective interaction the lepton number violating interaction $`\mathrm{}_i+\varphi \overline{\mathrm{}}_i+\varphi ^{}`$ is in thermal equilibrium above the temperature of $`T10^{14}`$ GeV. At this high temperature ($`T>10^{12}`$ GeV) the action of sphaleron effects is not effective . Hence, if delayed decay of the coloured Higgs particles produces baryon and lepton number excess while conserving $`BL`$, the lepton number excess is erased by the Majorana interaction whereas the baryon number excess is intact. When the universe cools to $`T<10^{12}`$ GeV, the sphaleron action becomes effective, while the lepton number violating interaction already decoupled. This leads to baryon number partly converted into lepton number, conserving $`BL`$; 0.35 times the original baryon number, however, survives the sphaleron action. The crucial observation here is that the experimentally indicated neutrino mass points towards lepton number violation efficiently taking place at very high temperatures where sphaleron actions are not yet effective, rather than both baryon and lepton violations undergo at the same temperature, which would result in vanishing baryon excess .

We now discuss a specific model. We consider for simplicity SU(5) GUT, but the model applies straightforwardly to SO(10) or other GUT without or with supersymmetry. We assume the presence of an SU(5) singlet (1) fermion in addition to the standard 5 and 10 fermions for each family. This 1 may naturally be included in 16 of SO(10). We consider the Lagrangian,

$$_{\mathrm{Yukawa}}=h_{ij}^{(k)}\psi (\mathrm{𝟏𝟎}_i)\psi (\mathrm{𝟏𝟎}_i)H^{(k)}+f_{ij}^{(k)}\psi (\mathrm{𝟓}_{}^{}{}_{i}{}^{})\psi (\mathrm{𝟏𝟎}_j)H^{(k)}+g_{ij}^{(k)}\psi (\mathrm{𝟏}_i)\psi (\mathrm{𝟓}_{}^{}{}_{j}{}^{})H^{(k)},$$
(2)
where $`i=13`$ and we assume two Higgs particles $`k=1,2`$ . We suppose that all right-handed Majorana neutrinos, $`N_i\psi (\mathrm{𝟏}_i)+\psi ^c(\mathrm{𝟏}_i)`$, are heavier than the colour-triplet Higgs particles $`H_c`$, i.e. we have mass hierarchy

$$10^{12}\mathrm{GeV}<m_{H_c}<m_N<10^{16}\mathrm{GeV},$$
(3)
where the first inequality is the requirement from the limit on proton instability, and the third inequality is the condition discussed in what follows. Note that the condition against proton instability agrees with the energy scale that the sphaleron action becomes ineffective, i.e., coloured Higgs decay takes place where sphaleron effects are not active.

The effective mass of (1) is given by $`M_i=m_{N_i}/g_i^2`$ with $`g_i`$ the Yukawa coupling for the right-handed neutrino. The condition that the reaction rate of $`\mathrm{}_i+\varphi \overline{\mathrm{}}_i+\varphi ^{}`$, $`\mathrm{\Gamma }0.12T^3/4\pi M_i^2`$ be sufficiently faster than the expansion rate of the universe $`\gamma _{\mathrm{exp}}17T^2/m_{\mathrm{pl}}`$ at temperature $`T`$ is written

$$M_i<10^{15}\left(\frac{T}{10^{14}\mathrm{GeV}}\right)^{1/2}\mathrm{GeV}.$$
(4)
If this inequality is violated for $`Tm_{N_i}`$, the Majorana neutrino undergoes out-of-equilibrium decay, and lepton excess is generated, and the model reduces to the usual leptogenesis scenario. We require that this does not happen, which gives $`m_{N_i}<10^{16}`$ GeV for $`g_i<1`$.

We consider the traditional delayed-decay scenario of coloured Higgs particles. The calculation for the baryon abundance in units of specific entropy is standard . We have

$$\frac{kn_B}{s}0.5\times 10^2ϵ\frac{1}{1+(3K)^{1.2}},$$
(5)
where

$$K=\frac{1}{2}\frac{\mathrm{\Gamma }_H}{\gamma _{\mathrm{exp}}}|_{T=m_{H_c}}=3.5\times 10^{17}\mathrm{GeV}\alpha _H\frac{1}{m_{H_c}},$$
(6)
with $`\mathrm{\Gamma }_H\alpha _Hm_{H_c}`$, and $`\alpha _H=h^2/4\pi `$ the Yukawa coupling constant square; the net baryon number $`ϵ`$ produced by pair decay of $`H_c`$ and $`\overline{H_c}`$ through the interference of one-loop and tree diagrams is given by

$$ϵ\frac{\eta }{8\pi }10^2\left(F(x)F(1/x)\right),$$
(7)
where $`F(x)1x\mathrm{log}[(1+x)/x]`$ with $`x=m_{H^{(1)}}/m_{H^{(2)}}`$ the ratio of the masses of two coloured Higgs particles and $`\eta =\mathrm{sin}\left(\mathrm{arg}[\mathrm{tr}(f^{(1)}f^{(2)}h^{(1)}h^{(2)})]\right)`$ is the factor representing the CP-violation phase. To obtain the numerical factor of (7) we use $`h^{(i)}1`$ and $`f^{(i)}0.1`$ from masses of quarks. For example, if we take $`m_{H_c}10^{15}`$ GeV, $`x0.5`$ and $`\eta 0.1`$, we obtain $`kn_B/s2.5\times 10^{10}`$ nominally in agreement with the empirical baryon abundance. This process produces lepton number at the same time by the amount $`\mathrm{\Delta }L=\mathrm{\Delta }B`$.

Produced lepton number, however, is erased if the Majorana interaction is in the thermal equilibrium at $`Tm_{H_c}`$. If we take $`m_{H_c}<10^{15}`$ GeV the condition for thermal equilibrium is read from eq. (4), which leads to

$$m_{\nu _i}>2\times 10^2\mathrm{eV},$$
(8)
using (1) with $`\varphi 250`$ GeV. This condition should be satisfied at least for one species of neutrinos.

The rate for the action of sphalerons is computed to be

$$\mathrm{\Gamma }_{\mathrm{sph}}2\times 10^2\alpha _W^5T,$$
(9)
where $`\alpha _W1/40`$ is the weak coupling constant. $`\mathrm{\Gamma }_{\mathrm{sph}}>\gamma _{\mathrm{exp}}`$ gives $`T<12\alpha _W^5m_{\mathrm{pl}}1.4\times 10^{12}`$ GeV for the temperature, below which the sphaleron action becomes effective. We must require that the Majorana interaction decouples by this temperature, or otherwise all existing baryon and lepton numbers are erased by the joint action of sphalerons and Majorana interactions . The condition obtained from eq. (4) with the aid of (1) and the value of $`\varphi `$ is

$$m_{\nu _j}<0.8\mathrm{eV}.$$
(10)
This must be satisfied for all neutrinos. The action of sphalerons at lower temperatures then partially converts baryon number to lepton number, but baryon number remains by the amount of

$$\mathrm{\Delta }B_f=\frac{8N_f+4N_H}{22N_f+13N_H}\mathrm{\Delta }B_i=0.35\mathrm{\Delta }B_i$$
(11)
for three generations of fermion families $`N_f=3`$ and two Higgs doublets $`N_H=2`$. Hence we expect $`kn_B/s1\times 10^{10}`$ with the parameters exemplified above.

Our central result is summarized as follows. If the two inequalities (8) and (10) are satisfied, i.e. if the mass of the heaviest neutrino satisfies $`0.02<m_{\nu _3}<0.8`$ eV, baryogenesis via coloured Higgs decay works within the framework of GUT. This neutrino mass range nearly coincides with the limits derived empirically: atmospheric neutrino oscillation gives a lower limit on the $`\tau `$ neutrino mass, $`m_{\nu _3}>0.04`$ eV , and the limit from neutrinoless double beta decay experiment is about $`m_{\nu _1}<0.51.5`$ eV , or $`_im_{\nu _i}<4`$ eV from cosmology .

We emphasize that the present scenario is valid with neutrinos nearly degenerate in mass. This contrasts to the usual leptogenesis scenario of delayed heavy Majorana neutrino decay, for which

$$\mu _1=\left(h_{11}\frac{1}{M_1}h_{11}^{}+h_{21}\frac{1}{M_2}h_{12}^{}+h_{31}\frac{1}{M_3}h_{13}^{}\right)$$
(12)
must satisfy $`\mu _1<2\times 10^3`$ eV. While this mass term is not directly related with the physical neutrino mass

$$m_{\nu _i}=\left(h_{i1}\frac{1}{M_1}h_{1i}+h_{i2}\frac{1}{M_2}h_{2i}+h_{i3}\frac{1}{M_3}h_{3i}\right),$$
(13)
it is clear that one or two neutrinos must have small masses. Namely, the neutrino mass must be hierarchical. An additional reason that disfavours the degenerate neutrino masses for the leptogenesis scenario is the necessity of hierarchy in the right-handed neutrino masses. If they are degenerate, produced baryon number vanishes.

The neutrino mass would give a diagnostics as to which baryogenesis scenario is to be realized. If a future neutrino mass experiment would prove that the mass of three neutrinos has some non-zero baseline value in excess of 0.01 eV, say by a positive detection of neutrinoless double beta decay, the Higgs decay scenario given in this paper would be a more promising possibility for baryon number generation. If the hierarchical neutrino mass is favoured for some reasons, either of the two baryogenesis scenarios is equally viable.


text:
# Stellar Atmospheres of Nearby Young Solar Analogs

## 1 Introduction

Gaidos (1998) described a catalog of nearby young, solar-type stars selected as analogs of the Sun during early Earth history. These single or wide-binary stars are all within 25 pc and have spectral types G0-K2 and coronal X-ray luminosities suggesting ages less than 800 My (million years). Followup spectroscopy and photometery confirmed marked chromospheric activity, high lithium abundance, and rapid rotation, all indicative of stellar youth Gaidos et al. (2000).

Detailed analysis of the spectra and spectral energy distribution of stellar photospheres can provide further constraints on the origin and evolutionary status of these objects. First, effective temperatures can be derived by comparing the equivalent widths of iron lines having different excitation energies with stellar atmosphere model predictions. Temperatures can be also estimated from photometry (i.e., colors) at optical and infrared wavelengths. Ideally, these two temperature estimates will be approximately the same (but see discussion below). The combination of effective temperature and luminosity (known by virtue of accurate Hipparcos parallaxes) allows the stars to be accurately placed in a Hertzsprung-Russell (HR) diagram where their locations can be compared with theoretical zero-age stellar isochrones. Accurate estimates of effective temperature are also required for the correct conversion of the equivalent width of the Li I line at 6708 Å into a lithium abundance and age proxy.

Second the abundance of heavy elements derived from the equivalent widths of absorption lines can be used, in principle, as a chemical “fingerprint” to relate stars to a common origin, either with other individual stars or with stellar clusters. This is potentially useful because the stars considered here are probably 100-800 My old and no longer physically associated with molecular clouds or stellar nurseries. Solar-mass stars (which do not produce significant amounts of heavy elements) forming from the same molecular cloud may have similar metal abundance patterns. For example, Perryman et al. (1998) report \[Fe/H\] values for 18 members of the nearby Hyades cluster with effective temperatures between 5000 and 6000 K. The mean metallicity is +0.13 with a RMS variation of 0.06, a dispersion consistent with the measurement accuracy. Varenne & Monier (1999) find a similar dispersion (but lower mean \[Fe/H\]) for Hyades F dwarf stars. In theory, stars from the same molecular cloud can also retain common space motions for $`10^9`$ yr until gravitational perturbations from the Galactic tide, molecular clouds, and other passing stars cause complete kinematic decoherence. Kinematic clustering is observed in this catalog Gaidos (1998); Gaidos et al. (2000) and an objective of this work is to determine if there is a correlation between space common space motion and common metal abundance patterns.

## 2 Observations and Data Reduction

High-resolution ($`R90,000`$) spectroscopy was carried out at the Kitt Peak 0.9 m coude feed telescope with the echelle, F5 camera and 3K$`\times `$1K Ford CCD during four observing runs (May, July, and November 1998, and March 1999). Typical total integration times were $``$ 1 hr per star. Spectral images were bias subtracted and flattened with quartz lamp flat fields, and charged particle events were removed by median filtering of multiple exposures. Individual spectral orders were extracted, corrected for sky emission, and wavelength-calibrated against thorium-argon arc spectra using the IRAF spectroscopic data reduction package. Equivalent widths were measured by hand using the IRAF spectrum analysis package. The atomic data for the 72 lines used in the analysis are given in Table 1.

Near-infrared magnitudes in the $`J`$, $`H`$, and $`K`$ passbands (1.25, 1.65, and 2.2 $`\mu `$m) measured by the Two Micron All Sky Survey (2MASS) were extracted from the Infrared Science Archive (IRSA) using the Gator query engine. Additional near-infrared measurements were obtained from the Catalog of Infrared Observations, Version 4.1 Gezari et al. (1993). Most stars also have 12 $`\mu `$m fluxes reported in source catalogs generated from observations by the Infrared Astronomical Satellite (IRAS) Moshir et al. (1990). Visual (0.55 $`\mu `$m) magnitudes were obtained from the Hipparcos catalog Perriman (1997).

## 3 Analysis

### 3.1 Spectroscopic analysis

The method of spectroscopic analysis employed in the present study follows that employed by Gonzalez et al. (2001) in their study of the solar-type parent stars of extrasolar planets. Briefly, we make use of equivalent widths (EW’s) of relatively unblended Fe I and Fe II absorption lines with the Kurucz (1993) plane-parallel model atmospheres and the LTE abundance code MOOG, originally written by Sneden (1973), to determine the four basic atmospheric parameters (effective temperature, surface gravity, metal abundance, and microturbulence parameter) for each star. We adopted the atomic data in Gonzalez et al. and references cited therein. Although that model was calibrated for a different telescope-spectrograph combination, the agreement between the parameters of HD 10780 derived from these new data and those on which the model was originally calibrated suggests no introduction of significant systematics (see §3.3). The uncertainty in each parameter was determined using the procedure described in Gonzalez & Vanture (1998). Values of the photosphere parameters and the number of Fe lines used are listed in Table 2. The abundances of other elements are also based on EW measurements and given in Table 4. The values for HD 1237, a far southern star, are taken from Gonzalez et al. (2001). An acceptable model fit to the data for HD 82443 could not be obtained: It appears that emission from the chromosphere of this very active star has significantly filled some photospheric absorption lines.

### 3.2 Photometric Temperature Analysis

Astronomical magnitudes were converted to fluxes using an empirical blackbody formulation of the infrared zero-magnitude fluxes that is accurate to 1%. Weighted least-aquare fits of theoretical Kurucz (1992) spectral energy distributions (SEDs) were made to the data: The two free parameters were the effective temperature $`T_\mathrm{e}`$ and the effective bolometric radius $`R`$ of the star (the distance is fixed by the Hipparcos parallax). The Kurucz models are available for effective temperature increments of 250 K; interpolated models were constructed by a quartic temperature average of two adjancent models. (The derived temperature was found to be insensitive to the exact weighting scheme.) Most of the spectroscopically-estimated metallicities are within 0.1 dex of solar, therefore solar metallicity models were used. One-sigma (68.3% confidence) intervals for $`T_\mathrm{e}`$ and $`R`$ were calculated using the method of constant $`\chi ^2`$ boundaries as described in Press et al. (1986), p. 532. Note that in some cases only two flux measurements (typically $`V`$ and $`K`$) are available and $`\mathrm{\Delta }\chi ^2`$ but not $`\chi ^2`$ is properly defined. Only a very poor fit (reduced $`\chi ^2`$ of 10.8) could be achieved for the photometric data for HD 109011: Strassmeier et al. (2000) report that this object is actually a spectroscopic binary. The even poorer fit to the data on HD 220182 may demand a different explanation.

Although we neglect color corrections in our conversion of magnitudes (integrated over a pass band) to fluxes (at a single wavelength), these color corrections are relatively minor: We estimated the magnitude of these corrections by convolving the transmission data from representative filters (KPNO Harris $`V`$and 2MASS $`K_s`$) with the Kurucz SEDs of G0 and K2 stars, spectral types bracketing those of our program stars. In the case of the $`K_s`$ band filter, a typical instrument response and atmospheric transmission was included. While our photometry is a heterogenous data set with different filters, detectors, and telescopes, these calculations are still appropriate to determine the representative magnitude of the color corrections. The difference in the color correction between the G0 and K2 stars is 0.006 magnitudes in the $`K_s`$ bands and 0.067 magnitudes in the $`V`$-band. We estimated the worst-case effect of the latter on the photometric temperature estimate for a “typical” star (HD 20630). This was done by using only the $`V`$\- and $`K`$-band data and varying the $`V`$ magnitude by $`\pm `$0.033. This produced a variation in the estimated temperature of $`\pm `$50 K. Inclusion of additional data from other pass-bands into the model fitting will decrease such errors.

### 3.3 Comparison with previous results

Many stars in this study have been previously studied using photometry and spectroscopy and estimates of their photosphere parameters published. By and large, these previous estimates are in good agreement with our results. HD 166: Our spectroscopic estimate of $`T_\mathrm{e}`$ is significantly higher than a previous value (5255 K) derived from color indices and several temperature-sensitive lines Zboril & Byrne (1998). HD 1237: The stellar parameters estimated by Santos et al. (2001) are consistent with the values reported here from Gonzalez et al. (2001). HD 1835: Cayrel de Strobel et al. (1997) (hereafter, C97) report six high-resolution spectroscopy measurements of atmospheric parameters with $`T_\mathrm{e}`$ ranging from 5673 to 5860 K, and Glushneva et al. (2000) derive 5669 K from JHK photometry. Our results (5675 K and 5792 K) are consistent with these values. HD 10780 The spectroscopic and photometric $`T_\mathrm{e}`$ values and the metallicity are essentially identical to those derived from independent data and reported in Feltzing & Gonzalez (2001). The excellent repeatability may be related to the star’s relatively low level of activity: In fact, Gaidos et al. (2000) concluded that despite its original selection based on X-ray emission, it is a solar-age star and we have included it here only for completeness of the original sample. HD 11131: Our spectroscopic and photometric temperatures (5700 and 5629 K) are somewhat lower than those of C97 (5781 K) and Glushneva et al. (2000) (5645 K). HD 20630 ($`\kappa `$ Cet): Ottmann et al. (1998) obtained atmospheric parameters at three rotational phases which average to $`T_\mathrm{e}=5680`$ K, somewhat lower than our value. HD 30495: Santos et al. (2001) find higher $`T_\mathrm{e}`$, log $`g`$, and \[Fe/H\] values but a similar microturbulence parameter. HD 36435: We did not observe this far southerly star but we include the spectroscopic results of Santos et al. (2001). HD 43162: Decin et al. (2000) estimate an effective temperature of 5593 K from photometry. Santos et al. (2001) found $`T_\mathrm{e}=5630`$, log $`g`$ = 4.57, and \[Fe/H\] = -0.02, parameter values distinctly different from those obtained here. HD 59967: Blackwell & Lynas-Gray (1998) derive an effective temperature of 5732$`\pm `$52 K with the Infrared Flux Method (IRFM), while our photometric analysis gives a temperature of 5666 K with 68% confidence (1 $`\sigma `$) intervals of 5584-5752 K. Our spectroscopic temperature appears to be about 200 K warmer than ther IRTM estimates. HD 72905 ($`\pi ^1`$ UMa): Our values for the four stellar parameters are identical, to within the uncertainties, with those of Ottmann et al. (1998). HD 73350: Our effective temperature and metallicity are identical to the values estimated by Favata et al. (1997). HD 128987 Our effective temperature, metallicity, and microturbulence parameter are consistent with those derived by Feltzing & Gustafsson (1998). Our value for the surface gravity (log $`g`$ = 4.49) is closer to their “photometric” (4.35) rather than their spectroscopic value (5.00). HD 130948: While our estimates of effective temperature and surface gravity agree with those of Chen et al. (2000), their metallicity (\[Fe/H\]=-0.20) and microturbulence parameters (2.0 km sec-1) are significantly different. Hobbs (1985) estimates a roughly similar effective temperature of 5700 K based on photometery, but derives \[Fe/H\] = +0.20. HD 152391: Wyse & Gilmore (1995) estimate a metallicity \[Me/H\] of -0.08 based on $`ubvy`$ colors, broadly consistent with our estimate of \[Fe/H\] = -0.02. HD 206860: Again, Chen et al. (2000) derive effective temperatures and surface gravities that are consistent with our results, but their \[Fe/H\] (-0.20) is much lower. The values of the microturbulence parameter (2.33 km sec-1) that they derive for this star and for HD 130948 are implausibly high for a dwarf star and may be a consequence of sampling an inadequate range of line equivalent widths.

### 3.4 Comparison of Spectroscopic & Photometric Temperature Estimates

Twenty-five stars in our sample have effective temperature estimates based on both the spectroscopic and photometric methods. The spectroscopic estimates are, on average, 118 K higher than the photometric estimates. One possible explanation is that there are systematic errors in one or both of our two analyses. As shown in §3.2, the neglect of color corrections in our photometric temperature estimates cannot produce errors sufficiently large to explain the discrepancy. Furthermore, we see no trend of discrepancy with temperature. Of the 7 stars with temperature discrepancies exceeding 200 K, only two (HD 59967 and HD 128987) have published spectroscopic or photometric/IRFM temperature estimates (§3.3). Both of these estimates agree, to within the errors, with our own values. We also estimated a temperature from photometry of the active K dwarf $`ϵ`$ Eri. Our estimate agrees with the spectroscopy-based effective temperature estimates of Drake & Smith (1993) and Santos et al. (2001), but is curiously higher than the values derived from narrow-band or broad-band photometry (Table 1 in Drake & Smith). Considering the general agreement of our results with other published results, we conclude there is no a priori basis for suspecting problems with our analyses.

A second explanation is that the spectroscopic temperature estimates are corrupted by non-thermal radiation related to stellar activity. The high surface magnetic fields on these active stars will power enhanced chromospheric emission and may affect magnetically sensitive lines such as that of Fe I at 6173 Å. Drake & Smith (1993) review evidence that chromospheric activity is responsible for, or at least associated with, an anomalously large line-to-line scatter in Fe abundance in solar-type photospheres. A large scatter could produce errors in stellar parameters derived from the relative equivalent widths of lines (e.g., temperature). Although such scatter is observed in spectra of the active K star $`ϵ`$ Eri, neither Drake & Smith (1993) nor Steenbock & Holweger (1981) could find a correlation between the abundance derived from a particular line and its Landé $`g`$ factor. Drake & Smith instead suggest that some unknown nonthermal excitation or fluorescence effect may be involved. We find no correlation between the temperature discrepancy and indices of stellar activity (X-ray luminosity and Ca II HK line intensity). However, we discovered a significant correlation with surface gravity (Fig. 1). The trend of the temperature discrepancy with log $`g`$ is consistent with the expected correlation between errors in spectroscopic temperature and errors in surface gravity, suggesting that deviations in the spectroscopic temperature from the true temperature of the star may play some role.

A third hypothesis is that the photometry is in error or that photometric estimates are affected by departures of the SED from the ideal Kurucz models. Some of the photometric temperature estimates rely on a $`V`$-band magnitude in addition to near-infrared photometry. Hipparcos visual magnitudes are unlikely to be in error by 0.1 magnitudes or more Soderblom et al. (1998). Bell & Gustafsson (1989) concluded from theoretical model atmospheres that the $`VK`$ colors of dwarf stars with temperatures $``$ 5500 K are very weakly dependent ($``$ 0.02 mag) on surface gravity and metal abundance. They also found that the difference between the temperature estimates based on Johnson $`VK`$ colors and the IRFM have an average of zero and a standard deviation of only 70 K.

A related hypothesis is that thermal emission from circumstellar dust increases the total flux from the star at near-infrared wavelengths and decreases the apparent photometric temperature of the star (the flux at optical wavelengths could be unaffected). Gaidos (1999) suggested that these stars, as potential young analogs to our Solar System, may harbor substantial dust clouds. Very roughly, the K-band flux of a 5500 K star would have to be augmented by 12% for its $`VK`$ color to be consistent with a 5300 K star. The dust responsible for that emission, even at a maximum plausible temperature of 1500 K, would produce an 80% excess in the 12 $`\mu `$m flux relative to the photosphere. Such large excess emission has not been observed in data obtained by the Infrared Astronomical Satellite (IRAS) Gaidos (1999) or by the Infrared Space Observatory (ISO) Habing et al. (2001).

A fourth hypothesis is that the discrepancy between the two estimates is real and a consequence of the photometry measuring a disk-integrated temperature and spectroscopy measuring a value that is weighted towards the brightest parts of the disk. Large photospheric spots, typical on young stars, lower the $`V`$-band flux and hence the estimated photometric temperature. However, the required suppression of the $`V`$-band flux seems implausible: The most aggregious case is HD 52698 where the discrepancy between the temperature estimates is 280 K. Reconciling these two estimates requires that spots dim the $`V`$-band magnitude by 0.25 magnitudes (i.e., the $`VK`$ color is reddened by 0.25 magnitudes). This can be produced by a single extremely large (r = 30 deg.) spot Amando et al. (2000), but the absence of any modulation of the star’s photometric light curve with this amplitude Gaidos et al. (2000) requires that the effect would have to be produced by many, smaller spots. Furthermore, star spots contain more intense magnetic fields whose effect is to reduce the gas pressure and the effective surface gravity in the spots Amando et al. (2000). More active, spotted stars should appear to have lower surface gravities, producing a negative correlation between surface gravity and the temperature difference. This is opposite to what is observed (Fig. 1). Finally, stellar spottedness is also correlated with stellar activity and a causal link between the temperature discrepancy and spots would be expected to produce correlations with stellar activity indices, an effect not seen.

## 4 Elemental Abundance Patterns

Iron: The distribution of our spectroscopically-determined \[Fe/H\] values for the young stars is plotted in Fig. 2. The distribution, with a mean of 0.02 dex and a standard deviation of 0.09 dex, peaks at solar metallicity and is essentially zero at $`\pm 0.3`$ dex. In comparison, the \[Fe/H\] distribution of a volume-limited sample of 43 solar-mass field stars without detected planets Santos et al. (2001) is bimodal and significantly broader (Fig. 2). The average \[Fe/H\] is -0.11 dex with a standard deviation of 0.18 dex. (Similarly, a subsample of 62 G dwarfs with $`T_\mathrm{e}>`$ 5250 K from Favata et al. (1997) have a mean of -0.12 and a standard deviation of 0.25) The \[Fe/H\] distribution of the young star sample lacks a metal-poor tail and resembles the metal-rich moiety of the field star distribution. This is consistent with the combination of the first sample’s narrower range of younger ages and the age-metallicity relationship in the galactic disk. Previous studies have also conclusively shown that stars with detectable planets are statistically more likely to have higher metallicities than similar “field” stars Gonzalez et al. (2001); Santos et al. (2001). Of the three objects that are likely to be the most metal rich (HD 1237, HD 1835, HD 180161) one, HD 1237, is known to harbor a giant planet Naef et al. (2001). Radial-velocity monitoring of HD 1835 places strict limits on the $`m\mathrm{sin}i`$ and semi-major axis of any substellar companions Cumming et al. (1999). While the few available velocity measurements appear to rule out stellar companions around HD 180161 Tokovinin (1992); Abt & Willmarth (1994); Gaidos (1998), high-precision doppler monitoring of this metal-rich star for planet detection is warranted.

Carbon: Carbon abundance is estimated from a single C I line and consequently has large uncertainties. The majority of the 29 stars with C I measurements appear to be carbon-poor relative to the Sun, with the exception of six stars with \[C/Fe\] $`>`$ 0.2 (Fig. 3). These objects are certainly not classical carbon stars, evolved K and M giants with extremely red ($`>`$ 2) $`BV`$ colors and \[C/O\] $``$ 1 Ohnaka et al. (2000). They generally do not have high abundances of the other elements. More likely, measurement of the equivalent width of the C I line was affected by nearby weak telluric (atmospheric water vapor) lines. The remaining 23 stars exhibit the well-known trend of decreasing \[C/Fe\] with increasing \[Fe/H\] Gustafsson et al. (1999); King (2000). The best linear fit to the 23 points has a slope of $`0.94\pm 0.25`$ and a $`\chi ^2`$ of 34.4.

Sodium: Values of \[Na/Fe\] have an average of $`0.12\pm 0.01`$. The scatter of the values about the mean is consistent with the measurement errors ($`\chi ^2=21.6`$, $`N=33`$), and the data exhibit no significant trend over the observed range of \[Fe/H\]. Field stars with the same (solar) range of \[Fe/H\] have solar values of \[Na/Fe\] Edvardsson et al. (1993); Tomkin et al. (1995). The apparent Na-poor character of the young solar analogs relative to older field stars is contrary to theoretical expectations: Galactic abundance evolution calculations suggest that averaged values of \[Na/Fe\] should increase with time and hence with \[Fe/H\] Timmes et al. (1995). Such a trend with \[Fe/H\] has been confirmed by surveys of field stars Edvardsson et al. (1993); Feltzing & Gustafsson (1998). A negative trend of \[Na/Fe\] vs. \[Fe/H\] described by Edvardsson et al. 1993 was not confirmed by Chen et al. (2000). However, Feltzing & Gustafsson (1998) describe a correlation with kinematics, such that solar metallicity stars with $`Q_{\mathrm{LSR}}<30`$ km sec-1, where $`Q_{\mathrm{LSR}}`$ is the total speed with respect to the Local Standard of Rest, have lower \[Na/Fe\] than their counterparts with higher space motions. Low-speed stars are statistically younger than their counterparts moving at higher speeds with respect to the LSR and this suggests that the positive correlation between \[Fe/H\] and \[Na/H\] is a kinematic, rather than chronological, relationship. All of these studies use the same Na I 6154/6160 Å line pair.

Magnesium: Most \[Mg/Fe\] values for the young solar analogs are subsolar, with an average value of $`0.07\pm 0.02`$. There is no significant trend with \[Fe/H\] and no significant variation from the mean ($`\chi ^2=14.2`$, $`N=32`$). This is in contrast with various studies of field stars, which generally find \[Mg/Fe\] $``$ +0.1 and significant scatter Feltzing & Gustafsson (1998). Although, a subsolar \[Mg/Fe\] in this sample is consistent with the prediction that Fe production by Type I supernova will depress \[Mg/Fe\] in younger stars, models of Mg evolution in the galaxy generally fail to reproduce the observations Timmes et al. (1995).

Silicon: \[Si/Fe\] values are derived from three high-quality lines (one is a doublet). The average \[Si/Fe\] for the sample is essentially solar ($`0.02\pm 0.01`$) and the negative trend with \[Fe/H\] is of low significance ($`0.13\pm 0.12`$). (Note the small range of \[Fe/H\] spanned by the sample.) This negative trend is seen in both field stars Edvardsson et al. (1993); Tomkin et al. (1995) and stars with detected planets Gonzalez et al. (2001). This trend is most likely a consequence of Si being the product of massive stars and uncorrelated with Fe nucleosynthesis and thus the dilution of \[Si/Fe\] by higher \[Fe/H\]. The scatter about the mean is comparable to the formal errors ($`\chi ^2=18.3`$, N = 33).

Sulfur: Sulfur abundance is derived from the equivalent width of a single, weak line. The average of the available \[S/Fe\] measurements is solar ($`0.00\pm 0.03`$) and the scatter is consistent with the measurement errors ($`\chi ^2=35.9`$, N = 19).

Calcium: \[Ca/Fe\] estimates are also derived from high quality lines. The average relative abundance is identical to that of Si ($`0.02\pm 0.01`$). There is also a negative trend of marginal significance($`0.16\pm 0.14`$) with \[Fe/H\] (Fig. 5).

Titanium: The value of \[Ti/Fe\] averaged over the sample is approximately solar ($`0.02\pm 0.01`$) and the individual measurements exhibit no significant trend with \[Fe/H\]. The scatter about the mean is consistent with the measurement errors ($`\chi ^2=24.2`$, N = 33).

Nickel: Nickel abundances among the young solar analogs are decidedly subsolar; (mean value of $`0.15\pm 0.02`$) and exhibit a strong positive trend with \[Fe/H\] (slope of $`0.60\pm 0.22`$) (Fig. 6). Edvardsson et al. (1993) report \[Ni/Fe\] values with an average of $`0.00\pm 0.03`$ over the entire metallicity range and no significant correlation with \[Fe/H\]. The isotopes 56Ni and 58Ni dominate the composition of elemental nickel and are produced in massive stars and in Type Ia (deflagration) supernovae. Galactic abundance evolution calculations Timmes et al. (1995) in which most of the Ni is produced in massive stars, are in accord with the observations of Edvardsson et al. (1993). However, the theory also predicts an overabundance of Ni (relative to solar) by a factor of 3-4 for the time when and location where the Sun formed. The positive trend with \[Fe/H\] observed here and by Gonzalez et al. suggests that for some stars the contribution by Type Ia supernovae may be significant.

## 5 Discussion

### 5.1 HR Diagram

The original selection criteria for young solar analog candidates included the requirement that they lie on or near the Zero Age Main Sequence (ZAMS) for solar-like metallicities in a Hertzsprung-Russell (HR) diagram Gaidos (1998). At that time, precision estimates of photosphere parameters were not available for most candidates and $`BV`$ color was used as a proxy for effective temperature. Here, we compare photometrically and spectroscopically derived parameters (luminosity and effective temperature) with the predictions of stellar evolution models as a more robust check of these stars’ evolutionary status. We estimate the luminosity of each star from its absolute visual magnitude using bolometric corrections derived from a second-order polynomial fit to the calculated values of Houdashelt et al. (2000) over the range 5000 to 6000 K,

$$BC_\mathrm{V}=5.30+0.00166T_\mathrm{e}1.31\times 10^7T_\mathrm{e}^2.$$
(1)
Fig. 7 plots the stars in the HR diagram with the theoretical models of Girardi et al. (2000).

Although the majority of estimated effective temperatures and luminosities are consistent with theoretical predictions for young, solar-metallicity, solar-mass stars there are eight stars (HD 1835, HD 10780, HD 11131, HD 43162, HD 73350, HD 97334, HD 130948, and HD 165185) whose measured luminosities and temperatures displace them from the solar-metallicity zero-age main seqence. A high-metallicity explanation is inconsistent with the spectroscopy-based abundance values presented here (-0.14 to +0.17 dex). In addition, these objects have anomalously low estimated surface gravities with log $`g`$ $`4.1`$ (Fig. 8). HD 118972 also has a low log $`g`$ but lies on the main sequence: The large errors in the surface gravity indicate a poor fit to the stellar atmosphere model. HD 10780 has already been identified as an old star by virtue of its slow rotation compared to the rest of the sample (Gaidos et al. 2000). However, the remaining seven suspect stars are enigmatic: They display all the relevant characteristics of stellar youth, including high coronal X-ray luminosity, high chromospheric emission in the Ca II H and K lines, rapid rotation, and high lithium abundance Gaidos et al. (2000). Two stars (HD 73350 and 97334) are putative members of the Hyades cluster and the Local Association, respectively (see §5.3).

The mass of a star can be uniquely derived from the effective temperature $`T`$, bolometric luminosity $`L`$, and surface gravity $`g`$ using the relationship

$$M=\frac{gL}{4\pi G\sigma T^4},$$
(2)
where $`G`$ and $`\sigma `$ are the gravitational and Stefan-Boltzmann constants. This can be re-expressed in terms of the parallax $`\pi `$ and visual magnitude V Fuhrmann et al. (1998):

$$\mathrm{log}\pi =0.5([g][M])2[T_\mathrm{e}]0.2(V+BC_\mathrm{V}+0.26),$$
(3)
where $`[X]=\mathrm{log}\left(X/X_{}\right)`$. However, stellar evolution theory predicts that only some combination of $`M`$, $`L`$, $`T_e`$, and log $`g`$ are possible. Theoretical evolution tracks can be used to check the consistency of these parameters Allende-Prieto et al. (1999). Fig. 9 compares derived values of mass-luminosity pairs with Girardi et al. isochrones. With the exception of HD 1835, the derived mass and luminosity values of suspect stars are inconsistent with their main-sequence status. Stellar luminosity is estimated from accurate Hipparcos astrometric and photometry combined with a small bolometric correction. Instead, our $`T_e`$ and/or log $`g`$ estimates for these stars appear to be problematic.

Allende-Prieto & Lambert (1999) estimated atmosphere parameters for fifteen of our program stars using Eqn. 2 and stellar model predictions: Our measurements of log $`g`$ and effective temperature and their estimates are discrepant by about 0.3 dex and 100 K, respectively. Error covariance between $`T_e`$ and log $`g`$ might then explain the trend seen in Fig. 1. One possibility is that the chromospheric activity has effected certain Fe lines and corrupted estimates of surface gravity. However, we found no significant correlation between stellar activity level and log $`g`$ values. Paradoxically, the photometric estimates of effective temperature for these stars are in agreement with the spectroscopy-based results. We note that of three observations of HD 1237 on successive nights using the same telescope, instrument, observer, and data reduction procedure, the third produced an anomalously low log $`g`$ estimate but a consistent temperature, metallicity, and microturbulence parameter Gonzalez et al. (2001).

### 5.2 Microturbulence

The microturbulence parameter $`\xi _t`$ for all of these stars is equal to or exceeds 1 km sec-1. The sample mean is 1.30 km sec-1 with a standard deviation of 0.15 km sec-. These values are distinctly higher than those obtained for older G-type stars by Gonzalez et al. (2001), using the identical analysis procedures (Fig. 10). The enhanced macroturbulence velocity dispersions of magnetically active stars were noted by Saar & Osten (1997). We compared our values with the predictions of the empirical relation derived by Feltzing & Gustafsson (1998) from measurements of 12 metal-rich G and K dwarf stars;

$$\xi _t=4.5\times 10^4T_\mathrm{e}0.31\mathrm{log}g.$$
(4)
The actual values exceed the predicted values by an average of only 0.14 km sec-1 and there is significant scatter (reduced $`\chi ^2`$ of 4.3). While this latter comparison suggests that the measured microturbulence parameters for these stars are not too abnormal, we caution that differences in the derivation procedure may limit the validity of this conclusion.

### 5.3 Abundances and Kinematics

Some of these young stars have been previously related to open clusters or co-moving groups via common space motions Gaidos et al. (2000). One of the objectives of our abundance measurements was to determine if there is a link between association by space motion and association by elemental abundances. Two stars (HD 73350 and HD 180161) were identified as potential members of the Hyades cluster based on space motions Gaidos et al. (2000). The \[Fe/H\] values reported here are also consistent with such membership (Fig. 11). Furthermore, the solar values of \[Si/Fe\] for these two stars agree with measurements on late F-type stars in the Hyades Varenne & Monier (1999). This concordance allows us to assign a Hyades age ($``$ 650 Myr ; Perryman et al. 1998) to HD 73350 and HD 180161 with greater confidence. The latter star, at a distance of 20 pc, would be the closest known solar-mass member of the Hyades cluster.

The seven candidate members of the Ursa Major kinematic group Gaidos et al. (2000) exhibit a wider range of \[Fe/H\] values that are still consistent with previous estimates of the metallicity distribution Soderblom & Mayor (1993) (Fig. 12). A possible exception is HD 41593, which has an \[Fe/H\] of $`0.06\pm 0.04`$. The dispersion of the stars about the Soderblom & Mayor average \[Fe/H\] of -0.08 is 0.10 dex, consistent with the previously estimated dispersion and significantly larger than the measurement errors ($`\chi ^2=27.5`$, N = 5). Thus there is significant variation in the \[Fe/H\] values within the Ursa Majoris kinematic group. If these stars are indeed coeval and originate from the same molecular cloud, then that cloud of origin must either have been heterogeneous with respect to Fe abundance (e.g., as a result of injection of material from previous generations of forming stars) or that Fe segregated out with varying degrees of efficiency in the cloud.

In principle, these two mechanisms can be distinguished by examining the distribution of \[Si/Fe\] values. Silicon and iron are contributed by different mass ranges of stars and it seems implausible that inhomogeneities produced by stellar mass loss would occur such that variations in \[Fe/H\] would not be accompanied by variations in \[Si/Fe\]. On the other hand, local variation in abundance that does not discriminate between Si and Fe (i.e., grain removal by radiation pressure) would produce constant \[Si/Fe\] in the resulting stellar population. The average \[Si/Fe\] for these seven stars is +0.02 and there is no significant dispersion about this mean. This observation supports the second mechanism.

Six stars have space motions consistent with membership in a second kinematic group known as the “Local Association” Gaidos et al. (2000). (Note that HD 10008 was previously omitted because of a computational error). The existence of the Local Association was first suggested by Eggen (1983) and later re-identified in surveys of active and lithium-rich stars Jeffries & Jewell (1993); Jeffries (1995). Although a link has been suggested with the Pleiades cluster, the relative motion between the Pleiades cluster and the Local Association is significant; 8.8 km sec-1 Gaidos et al. (2000). The age-related properties of Local Association stars are also inconsistent with a Pleiades age of $``$ 100 Myr Gaidos et al. (2000). However, the Gaidos sample includes two young solar analogs (HD 82443 and HD 113449) with space motions similar to that of the Pleiades. HD 82443 (DX Leo) has already been suggested as a nearby Pleiades member Soderblom & Clements (1987) and its chromospheric activity and X-ray luminosity is suggestive of a very young age. Unfortunately, line filling by chromospheric emission prevented accurate determination of the photosphere parameters or elemental abundances of this star.

The Fe abundances derived for the six previously-identified Local Association members span the range -0.02 to +0.11 while HD 113449 has \[Fe/H\] = $`0.06\pm 0.05`$. Values of \[Na/Fe\], \[Mg/Fe\], \[Si/Fe\], \[Ca/Fe\], \[Ti/Fe\], and \[Ni,Fe\] averaged over the Local Association members are -0.10, -0.11, -0.02, +0.01, -0.02, and -0.14, respectively. In particular, the Local Association stars appear to occupy a distinct part of a \[Si/Fe\] vs. \[Fe/H\] plot (Fig. 13), although not all of the stars in that region are members. With the possible exception of Ni, the abundance pattern of HD 113449 is statistically indistinguishable from that of the Local Association average. In particular, both have low Na and Mg abundances relative to Fe. The difference between the mean space motion of the Local Association and HD 113449 is 11 km sec-1: However most of this is the difference in velocities along the relatively unconstrained axis perpendicular to the galactic plane. The chemical and kinematic similarity suggests a genetic relationship between HD 113449 and the members of the Local Association.

Boesgaard & Friel (1990) obtained an average \[Fe/H\] of -0.02 for 12 Pleiades F stars, Cayrel et al. (1985) found \[Fe/H\] = +0.13 for 4 G dwarfs, and King et al. (2000) estimated an average of \[Fe/H\] = 0.06 for two cool (late K) dwarfs. This broad range of metallicities is consistent with the Local Association members although HD 113449 is relatively metal poor. Detailed abundance data for Pleiades stars is scarce; the average of the two cool dwarfs analyzed by King et al. show an abundance pattern that is strikingly different, with solar \[Mg\] but depletion of Ca and Ti. However, it is not known if these stars are typical and a proper comparison with the Pleiades cluster will require abundance data for many more bona fide members.

We are grateful to the personnel of KPNO, especially D. Willmarth, for courteous and professional assistance in the spectroscopic observations. We also acknowledge the constructive comments of two anonymous reviewers. EJG was supported by the NASA Astrobiology Program and GG was supported, in part, by a grant from the Kenilworth Fund of the New York Community Trust. This publication makes use of data products from the Two Micron All Sky Survey, which is a joint project of the University of Massachusetts and the Infrared Processing and Analysis Center/California Institute of Technology, funded by the National Aeronautics and Space Administration and the National Science Foundation. The SIMBAD database, maintained by the Centre de Données astronomiques de Strasbourg (CDS), and NASA’s Astrophysics Data Systems Bibliographic Services were used extensively.