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# Resonant Cooper Pair Tunneling: Quantum Noise and Measurement Characteristics

Among the many open issues related to solid state quantum computation, the question of how best to measure a solid state qubit remains a particularly interesting one. In the case where the qubit is a Cooper pair box (i.e. a Josephson-junction single charge box), the standard choice for a read-out device is the single-electron transistor (SET) . An alternate and potentially more powerful approach is to use a superconducting single electron transistor (SSET) biased at a point where the cyclic resonant tunneling of Cooper pairs dominates transport  . Such processes, known as Josephson quasiparticle (JQP) resonances, would appear to be an attractive choice for use in a measurement as their resonance structure implies an extremely high sensitivity. However, precisely because of their large gain, these processes may be expected to strongly alter the state of the qubit in a measurement. To assess the balance between these two opposing tendencies, a close examination of the physics of JQP tunneling is required. Note that the SSET-qubit system is more relevant to experiment than a setup having a SET, as fabrication typically results in the entire system being made from a single metal.

In this paper, we focus on a double JQP process (DJQP) (see Fig. 1), which occurs at a lower SSET source-drain voltage than single JQP processes, and which has been used in a recent experiment . We assess the potential of DJQP to act as a one-shot measurement of the state of a Cooper pair box qubit. This involves characterizing both $`\tau _{\mathrm{meas}}`$, the time needed to discriminate the two qubit states in the measurement, and the back-action of the measurement on the qubit, which is described by a mixing rate $`\mathrm{\Gamma }_{\mathrm{mix}}`$ and a dephasing rate $`\tau _\phi `$. These quantities are intimately related to the noise properties of the SSET, which are of fundamental interest in themselves, given the novel nature of the DJQP process. $`\tau _{\mathrm{meas}}`$ is determined largely by the shot noise of the process, while $`\mathrm{\Gamma }_{\mathrm{mix}}`$ and $`\tau _\phi `$ are related to the associated charge noise on the SSET island. While the shot noise of a single JQP process has been analyzed recently , the quantum charge noise has not been addressed. It is of particular interest, as the experiment of Ref.  uses the ability of a qubit to act as a spectrum analyzer of this quantum charge noise.

To describe the measurement process in our system, we employ a density matrix description of the fully coupled SSET plus qubit system; this is similar to the approach taken by Makhlin et al.  for a SET, but extended to deal with Josephson tunneling. This approach is not limited by a requirement of weak-coupling, as are standard approaches which perturbatively link $`\mathrm{\Gamma }_{\mathrm{mix}}`$ to the transistor charge noise ; nonetheless, in the limit of weak-coupling the present method can be used to calculate the quantum charge noise of the SSET. We find that the quantum (i.e. asymmetric in frequency) nature of the noise is particularly pronounced for the DJQP feature, leading to regimes where the SSET can strongly relax the qubit. Moreover, due to the resonant nature of Cooper pair tunneling, there exist regimes where the SSET can cause a pronounced population inversion in the Cooper pair box, something that is impossible using a SET. For typical device parameters, we find that a far better single-shot measurement is possible using the DJQP process than with a comparable SET.

Model– The Hamiltonian of the coupled qubit plus SSET system is is written as $`=_\mathrm{S}+_\mathrm{Q}+_{\mathrm{int}}`$. The qubit itself (or “box”), described by $`_\mathrm{Q}`$, consists of a superconducting metal island in the Coulomb blockade regime where only two charge states are relevant. These can be regarded as the $`\sigma _z`$ eigenstates of a fictitious spin $`1/2`$. The island is attached via a tunnel junction to a bulk superconducting electrode, leading to the form

$$_Q=\frac{1}{2}\left[\left(4E_{CQ}(1𝒩_Q)\right)\sigma _z+E_{JQ}\sigma _x\right].$$
(1)
where $`E_{CQ}`$ is the charging energy of the box, $`E_{JQ}`$ is the Josephson coupling energy of the box, and $`𝒩_Q`$ is the dimensionless gate voltage applied to the box. The SSET consists of a superconducting, Coulomb-blockaded island which is attached via tunnel junctions to two superconducting electrodes (Fig. 1). The SSET Hamiltonian $`_S=H_K+H_C+H_V+H_T`$ has a term $`H_K`$ describing the kinetic energy of source, drain and central island electrons, a term $`H_V`$ which describes the work done by the voltage sources, and a tunneling term $`H_T`$. The charging term is $`H_C=E_{CS}(n_S𝒩_S)^2`$, where $`E_{CS}`$ is the SSET charging energy, $`n_S`$ is the number of electrons on the central island, and $`𝒩_S`$ is the dimensionless gate voltage applied to the island. Finally, the qubit is capacitively coupled to the SSET: $`_{\mathrm{int}}=2E_{CQ}\frac{C_C}{C_\mathrm{\Sigma }}\sigma _zn_SE_{\mathrm{int}}\sigma _zn_S`$. Here $`C_C`$ is the cross-capacitance between the box and the central island of the SSET, and $`C_\mathrm{\Sigma }`$ is the total capacitance of the SSET island. Note that we neglect the coupling of the qubit to its environment, as we are interested here in the intrinsic effect of the SSET on the qubit . We also assume a SSET with identical tunnel junctions, whose dimensionless conductance $`g`$ satisfies $`g/(2\pi )1`$.

The DJQP process occurs when the SSET gate voltage $`𝒩_S`$ and drain-source voltage $`2V_{DS}`$ are such that two Cooper-pair tunneling transitions (one in each junction) are resonant. We label these transitions as $`n_s=02`$ (left junction) and $`n_s=11`$ (right junction) (see Fig. 1). Resonance thus requires $`eV_{DS}=E_{CS}`$ and $`𝒩_S=1/2`$. In addition, $`E_{CS}/\mathrm{\Delta }_S`$ (where $`\mathrm{\Delta }_S`$ is the superconducting gap of the SSET) must be chosen so that the quasiparticle transitions linking the two Cooper pair resonances are energetically allowed (i.e. $`n_S=21`$ and $`n_S=10`$), whereas transitions which end the cycle (i.e. $`n_S=01`$) are not. We take $`E_{CS}=\mathrm{\Delta }_S`$ to satisfy these conditions; this corresponds to the experiment of Ref. . The two quasiparticle transitions which occur in the DJQP are characterized by a rate $`\mathrm{\Gamma }`$, which is given by the usual expression for quasiparticle tunneling between two superconductors . The effective Cooper pair tunneling rate $`\gamma _J`$ emerging from our description (i.e. Eq. (3) below) is given by :

$$\gamma _J(\delta )=\frac{E_{JS}^2\mathrm{\Gamma }}{4\left(\delta ^2+(\mathrm{\Gamma }/2)^2\right)}$$
(2)
Here, $`\delta `$ is the energy difference between the two charge states involved in tunneling, $`E_{JS}`$ is the Josephson energy of the SSET, and we set $`\mathrm{}=1`$.

Calculation Approach– We consider the reduced density matrix $`\rho `$ of the qubit plus SSET system obtained by tracing out the SSET fermionic degrees of freedom. The evolution of $`\rho `$ is calculated perturbatively in the tunneling Hamiltonian $`H_T`$, keeping only the lowest order terms; this corresponds to the neglect of co-tunneling processes, which is valid for small $`g`$ and near the DJQP resonance. Using an interaction representation where $`_T`$ is viewed as a perturbation, the equation of motion of $`\rho `$ takes the standard form:

$$\frac{d}{dt}\rho (t)=_{\mathrm{}}^t𝑑t^{}[_T(t),[_T(t^{}),\rho (t^{})\rho _F]]$$
(3)
The angular brackets denote the trace over SSET fermion degrees of freedom; as we work at zero temperature, $`\rho _F`$ is the density matrix corresponding to ground state of these degrees of freedom in the absence of tunneling. In the diagrammatic language of Ref. , Eq. (3) is equivalent to keeping all $`_T^2`$ terms in the self-energy of the Keldysh propagator governing the evolution of $`\rho `$. Note that the correlators in Eq. (3) describe both quasiparticle tunneling and Josephson tunneling in the SSET.

To make further progress, we treat the Josephson coupling emerging from Eq. (3) as energy-independent and given by the Ambegaokar-Baratoff value $`E_{JS}=g\mathrm{\Delta }_S/8`$. We also use the smallness of $`g`$ to neglect logarithmic renormalization terms, as was done in Ref. . One can then immediately solve for the time-independent solution of Eq. (3), which describes the quasi-equilibrium state achieved by the system after all mixing and dephasing of the qubit by the SSET has occurred. To describe the dynamics of mixing (i.e. the relaxation of the qubit state populations to their stationary value), we also calculate the corresponding eigenmode of Eq. (3). A Markov approximation is made which involves replacing $`\rho (t^{})`$ by $`\rho (t)`$ on the RHS of Eq. (3); for the mixing mode, this should be done in the Schrödinger picture . This approximation is justified as long as the time dependence of $`\rho `$ in the mixing mode is weak compared to typical frequencies appearing in the correlators of Eq. (3), requiring here that $`\mathrm{\Gamma }_{\mathrm{mix}}<\mathrm{\Gamma },E_{CS}`$ and $`E_{JS}<E_{CS}`$ .

Back-Action– We focus here primarily on the mixing effect of the measurement back-action; dephasing will be discussed more extensively in Ref. . The mixing rate $`\mathrm{\Gamma }_{\mathrm{mix}}=\mathrm{\Gamma }_{\mathrm{rel}}+\mathrm{\Gamma }_{\mathrm{exc}}`$ is set by the rates at which the measurement relaxes and excites the qubit. Let $`\mathrm{\Omega }`$ denote the $`𝒩_Q`$-dependent energy difference between the two qubit states. For weak coupling ($`E_{\mathrm{int}}\mathrm{\Omega }`$), Fermi’s Golden rule relates $`\mathrm{\Gamma }_{\mathrm{rel}}`$ and $`\mathrm{\Gamma }_{\mathrm{exc}}`$ to the quantum charge noise of the SSET island $`S_Q(\omega )=𝑑t\text{ }e^{i\omega t}n_S(t)n_S(0)`$:

$$\mathrm{\Gamma }_{\mathrm{rel}/\mathrm{exc}}=E_{\mathrm{int}}^2\left(\frac{E_{JQ}}{\mathrm{\Omega }}\right)^2S_Q(\pm \mathrm{\Omega }).$$
(4)
In our approach, these rates may be directly obtained by using the stationary solution (which gives the post-mixing occupancies of the box eigenstates) and the mixing eigenvalue of Eq. (3). In the limit of weak coupling, one can then use Eq. (4) to extract $`S_Q(\mathrm{\Omega })`$. Our method for calculating the quantum noise, which uses the qubit as a spectrum analyzer, is physically intuitive and no more difficult to implement than standard approaches ; in addition, we are able to calculate $`\mathrm{\Gamma }_{\mathrm{rel}}`$ and $`\mathrm{\Gamma }_{\mathrm{exc}}`$ when the coupling is not weak, and Eq. (4) fails.

Fig. 2 displays the quantum charge noise obtained at zero temperature, using SSET parameters which correspond to Ref. . The solid curve in Fig. 2 is for the center of the DJQP resonance– $`𝒩_S=1/2`$, $`eV_{DS}=E_{CS}`$. Note the sudden asymmetry that develops between absorption (i.e. $`S_Q(+|\omega |)`$) and emission (i.e $`S_Q(|\omega |)`$) when $`|\omega |`$ increases beyond $`E_{CS}`$. These sudden jumps correspond to the opening and closing of transport channels in the SSET, and their sharpness (which is absent for similar processes in a SET ) is a direct consequence of the singularity in the quasiparticle density of states. For example, as $`\omega `$ rises past $`E_{CS}`$, quasiparticle transitions which are normally forbidden in the DJQP cycle (i.e. $`n_S=01`$) suddenly become energetically allowed if they absorb energy from the qubit, causing a sudden increase in $`S_Q(\omega )`$.

The effect of the SSET quantum charge noise on the qubit is shown in the inset of Fig. 2, where the average qubit charge $`N_B1+\sigma _z`$ for $`t\tau _{mix}`$ is shown as a function of $`𝒩_Q`$. Changing $`𝒩_Q`$ tunes the qubit splitting frequency $`\mathrm{\Omega }`$, allowing one to effectively probe the frequency dependence of the noise. The solid black curve corresponds to being at the center of the DJQP feature, while the grey curve corresponds to the unperturbed qubit ground state. The sharp features in the quantum noise manifest themselves in $`N_B`$, a quantity which is directly accessible in experiment.

Even more interesting are features emerging in the low frequency quantum noise ($`|\omega |E_{CS}`$) when one tunes $`𝒩_S`$ or $`V_{DS}`$ slightly off the DJQP resonance center. Unlike the case of a SET, where asymmetries in the noise are weak for these frequencies, there are strong features here that result from the resonant nature of Cooper pair tunneling. By treating the mixing terms in Eq. (3) perturbatively, simple analytic expressions can be obtained for the quantum noise in this regime when $`E_{JS}<\mathrm{\Gamma }`$ (in Ref. , $`E_{JS}/(h\mathrm{\Gamma })0.04`$). If one moves away from the DJQP center by tuning only $`V_{DS}`$ (i.e. $`𝒩_S=1/2`$, $`eV_{DS}=E_{CS}+\delta _V/2`$), we find $`(|\omega |<E_{CS})`$:

$$S_Q(\omega )=\gamma _J(\delta _V)\frac{\left[\gamma _J(\delta _V+\omega )/\gamma _J(\delta _V\omega )\right]}{\left[4\gamma _J(\delta _V+\omega )\gamma _J(\delta _V\omega )\right]+\omega ^2}$$
(5)
In the limit where $`\omega `$ is much smaller than the width $`\mathrm{\Gamma }/2`$ of the Cooper pair resonance, Eq. (5) simply corresponds to classical telegraph noise (the SSET only spends appreciable time in the states $`n_S=0`$ and $`n_S=1`$). However, for finite $`\delta _V`$ and $`\omega `$, Eq. (5) indicates that the noise develops a pronounced asymmetry, even though $`|\omega |E_C`$. In particular, if $`\delta _V>0`$, one has $`S_Q(|\omega |)>S_Q(+|\omega |)`$, implying that emission by the SSET exceeds absorption. This behavior is shown by the dashed curves in Fig. 2, which correspond to $`𝒩_S=1/2`$, $`\delta _V=+\mathrm{\Gamma }/4`$. This effect is a direct consequence of the resonant nature of Cooper pair tunneling– by emitting energy, both Cooper pair tunneling processes in the DJQP cycle become more resonant, while absorbing energy pushes them even further from resonance. The net result is a population inversion in the qubit at zero temperature, which in turn leads to a striking, non-monotonic dependence of qubit charge on $`𝒩_Q`$ (this is shown by the dashed curve in the inset of Fig. 2) . Note that if one moves away from the center of the DJQP resonance by only changing the gate voltage $`𝒩_S`$, no asymmetry in the noise results, as now emission (or absorption) moves one of the Cooper-pair transitions in the DJQP process further towards resonance, while it moves the other transition further away from resonance. Nonetheless, the noise in this case still has a non-monotonic dependence on frequency. Letting $`\delta _V=0`$ and $`\delta _𝒩=4E_{CS}(𝒩_S1/2)`$, we have for $`E_{JS}<\mathrm{\Gamma }`$:

$$S_Q(\omega )=\gamma _J(\delta _𝒩)\frac{1+\frac{\left(8\delta _𝒩\omega \right)^2}{E_{JS}^4/2}\gamma _J(\delta _𝒩\omega )\gamma _J(\delta _𝒩+\omega )}{\left[4\gamma _J(\delta _𝒩+\omega )\gamma _J(\delta _𝒩\omega )\right]+\omega ^2}$$
(6)
Measurement Rate– To determine the measurement time $`\tau _{\mathrm{meas}}`$, we extend our density matrix description to also include $`m`$, the number of electrons that have tunnelled through the left SSET junction  . We are thus able to calculate the distribution of tunnelled electrons $`P(m,t|i)`$, where $`i=,`$ denotes the initial state of the qubit. $`\tau _{\mathrm{meas}}`$ is defined as the minimum time needed before the two distributions $`P(m,t|)`$ and $`P(m,t|)`$ are statistically distinguishable :

$$\frac{1}{\tau _{\mathrm{meas}}}=\left(\frac{I_{}I_{}}{\sqrt{2f_{}I_{}}+\sqrt{2fI_{}}}\right)^2,$$
(7)
Here, $`I_{}`$ and $`I_{}`$ are the average SSET currents associated with the two qubit states, and $`f_{}`$ and $`f_{}`$ are the associated Fano factors which govern the zero-frequency shot noise in the current (i.e. the distribution $`P(m,t|i)`$ is roughly Gaussian with a mean $`(I_i/e)t`$ and standard deviation $`\sqrt{f_i(I_i/e)t}`$). In the absence of the qubit, analysis of the density matrix equations for the SSET reveals:

$$f(\delta )=\frac{3}{2}\left[1\frac{1}{2}\frac{E_{JS}^2\left(3(\mathrm{\Gamma }/2)^2\delta ^2\right)}{\left([\mathrm{\Gamma }/2]^2+\delta ^2+E_{JS}^2/2\right)^2}\right],$$
(8)
where we take $`eV_{DS}=E_{CS}`$, $`\delta =\delta _𝒩=4E_{CS}(𝒩_S1/2)`$. Eq. (8) indicates that the effective charge of the carriers in the DJQP process is $`3e/2`$ in the limit where $`\mathrm{\Gamma }E_{JS}`$. In this limit, Cooper-pair tunneling is the rate-limiting step in the cycle; electrons effectively tunnel in clumps of $`e`$ or $`2e`$, leading to an average charge of $`3e/2`$. A similar argument holds in the opposite regime $`\mathrm{\Gamma }E_{JS}`$.

We consider $`\tau _{\mathrm{meas}}`$ in the limit of weak coupling ($`E_{\mathrm{int}}\mathrm{\Omega }`$) and weak mixing ($`E_{JQ}\mathrm{\Omega }`$). In this limit, the two qubit states simply provide an effective shift in the SSET gate voltage. Taking $`\delta _V=0`$ and $`\delta _𝒩=\mathrm{\Gamma }/2`$ for near optimal gain, and using Eqs. (6-8), we find that the intrinsic signal-to-noise ratio $`\left(\tau _{\mathrm{meas}}\mathrm{\Gamma }_{\mathrm{mix}}\right)^{1/2}`$ of the measurement, in the relevant regime $`E_{JS}<\mathrm{\Gamma }`$, is given by:

$$(S/N)_{DJQP}=\sqrt{\frac{4}{3}}\left|\mathrm{cot}\theta \right|\frac{\mathrm{\Omega }}{\mathrm{\Gamma }/2}.$$
(9)
Here, $`\mathrm{cot}\theta 4E_{CQ}(1𝒩_Q)/E_{JQ}`$, and we take $`\gamma _J(0)\mathrm{\Omega }<E_{CS}`$. If a SET in the sequential-tunneling regime is used for the qubit measurement, it was found in Refs.  that the optimal $`S/N`$ is given by ($`\mathrm{\Omega }<E_{CS}`$):

$$(S/N)_{SET}=\lambda \left|\mathrm{cot}\theta \right|\sqrt{\left(\frac{\mathrm{\Omega }}{eV_{DS}}\right)^2+\frac{g^2}{\pi ^2}},$$
(10)
where $`\lambda `$ is of order unity. As the quasiparticle transition rate $`\mathrm{\Gamma }\frac{g}{2\pi }eV_{DS}`$, we see that the $`S/N`$ achieved using DJQP is parametrically larger (in $`2\pi /g1`$) than that obtained for the SET. This enhancement results largely from the narrow width of the DJQP feature– the energy scale over which the current changes (and thus the gain) is set by $`\mathrm{\Gamma }`$ rather than $`V_{DS}`$. The gain and $`S/N`$ ratio of the SET could be improved by working in the co-tunneling regime; however, this would result in a much larger $`\tau _{meas}`$ ($`\tau _{meas}g^2`$), making one more susceptible to unwanted environmental effects. In contrast, the DJQP feature has both a large gain and a short $`\tau _{meas}`$ (i.e. $`\tau _{meas}1/g`$). Shown in Fig. 3 as a function of $`𝒩_Q`$ are $`\tau _{\mathrm{meas}},\mathrm{\Gamma }_{\mathrm{rel}}`$ and $`\mathrm{\Gamma }_{\mathrm{exc}}`$ for a strongly coupled device ($`C_C/C_\mathrm{\Sigma }=0.05`$), with all other parameters corresponding to Ref. . We have taken $`\delta _V=0`$ and $`\delta _𝒩=\mathrm{\Gamma }/2`$ for optimal gain. Fig. 3 confirms that an excellent measurement is indeed possible, with $`(S/N)^2>100`$. Note that the strong coupling splits the sharp features occurring in the noise (see Fig 2, solid curve).

We have also studied the “Heisenberg efficiency” $`\chi =\tau _\phi /\tau _{\mathrm{meas}}`$ of measurement using DJQP for a weak coupling ($`E_{\mathrm{int}}E_{JS},\mathrm{\Gamma }`$) and $`\mathrm{\Omega }<E_{CS}`$, where $`\tau _\phi `$ is the measurement-induced dephasing time . Unlike an SET in the sequential tunneling regime, where $`\chi g^2`$ is always much less than the quantum limit $`\chi =1`$ , here $`\chi `$ is controlled by the ratio $`E_{JS}/\mathrm{\Gamma }`$. As shown in the inset of Fig. 3, by tuning this ratio, $`\chi `$ can be made to approach the quantum limit. Here, for each value of $`E_{JS}/\mathrm{\Gamma }`$ we have set $`V_{DS}`$ and $`𝒩_S`$ to optimize the gain. Measurement using DJQP is able to reach a high efficiency when $`E_{JS}\mathrm{\Gamma }`$ both because of the symmetry of the process, and because of the coherent nature of Josephson tunneling . Clearly, the DJQP process allows for a far superior measurement of a Cooper pair box qubit than a SET.

We thank M. Devoret, K. Lehnert and R. Schoelkopf for useful discussions. This work was supported by the NSF under Grants No. DMR-0084501 and DMR-0196503, and by the Army Research Office under Grant No. ARO-43387-PH-QC.


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# The Milky Way’s satellite population in a ΛCDM universe

## 1 Introduction

In hierarchical cosmologies such as the now-standard $`\mathrm{\Lambda }`$CDM model, objects like the dark halo of our Milky Way grow through the merging of previously collapsed systems with a wide range of masses. Even the earliest detailed models for the growth of a “Milky Way” showed that simple assumptions for star formation efficiency imply many more visible satellites than are actually observed (Kauffmann, White & Guiderdoni 1993). These authors argued that gas condensation and thus star formation must be strongly suppressed in systems with low escape velocity, perhaps by photoionisation heating. This echoed Efstathiou’s (1992) arguments on the related question of why the faint-end slope of the observed galaxy luminosity function is much shallower than predicted by the simple hierarchical galaxy formation theory of White & Rees (1978) and its later reworkings in the CDM context (e.g. White & Frenk 1991).

This issue drew relatively little attention until N-body techniques became capable of simulating halos with hundreds of thousands of particles. Moore et al. (1999) and Klypin et al. (1999) showed that galaxy halos in a CDM cosmogony are not smooth systems. Roughly 10% of the mass within their virialised regions is contributed by a host of dense self-bound substructures. These are the surviving cores of objects which merged together to make the final system, and so correspond directly to the overabundant satellites of the earlier models. The apparent overabundance may again be reconciled with the small number of visible satellites by invoking the inhibiting effects of photo-heating (Bullock, Kravtsov & Weinberg 2000, Benson et al. 2002). Both Moore et al. (1999) and Klypin et al. (1999) emphasised a different problem, however. The maximum circular velocities of the 10 or 20 most massive substructures within a Milky Way halo are predicted to be in the range 20 to 60 km/s, whereas the observed velocity dispersions of 7 of the Milky Way’s 11 satellites are below 10 km/s. Halo models typically have well over a hundred substructures with maximum circular velocity above 10 km/s.

This discrepancy has been considered a “crisis” for the conventional $`\mathrm{\Lambda }`$CDM cosmogony, prompting proposals to modify the microscopic properties of the dark matter (e.g. Spergel & Steinhardt 2000; Moore et al. 2000; Yoshida et al. 2000; Bode, Ostriker & Turok 2001). We here examine the discrepancy more critically, using $`\mathrm{\Lambda }`$CDM simulations with similar resolution to the best simulations of Moore et al. (1999) or Power et al. (2002). We analyse the potential well structure of the most massive “satellites” in our final system, calculating the velocity dispersion profiles predicted if stellar systems identical in structure to the observed satellites are placed in each. Remarkably, we find excellent agreement with the observed velocity dispersions, even for systems like Fornax and Draco where resolved profiles are available (Mateo 1997; Kleyna et al. 2002).

As we were completing this work, Hayashi et al. (2002) posted a preprint addressing similar issues (and with similar conclusions). Their approach is complementary to the one we adopt here. They do not analyse a fully consistent simulation of a Milky Way halo and its substructure, nor do they compare in detail with the kinematic structure of the observed dwarfs. On the other hand, they carry out a much more complete and reliable analysis of the structural evolution of individual satellite substructures than is possible with our own simulation data. We will use their results below to provide an independent check on the most uncertain aspect of our own simulations – whether they give reliable estimates for the inner “core” structure of satellite subhalos.

In the next section we will give a brief description of the simulations we have carried out, the methods we have used to find substructures and to characterise their potential wells, and the checks we have made on the reliability of these measures. Section 3 then shows how to predict the line-of-sight velocity dispersion profile for a dwarf galaxy of given spatial structure within a given potential well. We apply the technique to the 11 known satellites of the Milky Way and the 20 deepest satellite potential wells of our highest resolution simulation. Section 4 discusses our results, their principal remaining uncertainties and their implications.

## 2 The $`N`$-body simulations

We work with a flat $`\mathrm{\Lambda }`$-dominated Cold Dark Matter universe, with matter density $`\mathrm{\Omega }_\mathrm{m}=0.3`$, cosmological constant $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$, expansion rate $`H_0=70`$km s-1Mpc-1, index of the initial fluctuation power spectrum $`n=1`$, and present-day fluctuation amplitude $`\sigma _8=0.9`$. We begin with a dark matter simulation of a “typical” region of the Universe ($`N6\times 10^7`$, particle mass $`2\times 10^8M_{}`$) for which the techniques of Springel et al. (2001b, hereafter SWTK) have been used to follow the formation of the galaxy population (Stoehr et al. 2002, in preparation). We identify a relatively isolated “Milky Way like” galaxy and resimulate its halo at a series of higher resolutions, again using techniques from SWTK and the $`N`$-body code gadget (Springel, Yoshida & White 2001a). In the simulations GA0, GA1 and GA2 analysed in this paper the resimulated halo has 13603, 123775 and 1055083 particles respectively within $`r_{200}`$, the radius enclosing a mean density 200 times the critical value. The density profiles of these three resimulations agree well and are accurately fit by the NFW formula with concentration $`c=10`$ (Navarro, Frenk & White 1997). We show the corresponding circular velocity curves in Figure 1a. These have been scaled down by a factor of 0.91 in velocity and radius (corresponding to a factor of 0.74 in mass, but unchanged density and time scales) so that they peak at 220 km/s. With this scaling, dark matter particle masses are $`1.8\times 10^8`$, $`1.9\times 10^7`$ and $`2.0\times 10^6M_{}`$, and Plummer equivalent softening lengths are 1.8, 1.0 and 0.49 kpc in GA0, GA1 and GA2, respectively. In all three $`r_{200}270`$kpc. Note that since the Milky Way’s stars contribute significantly to its measured rotation velocity, our chosen scaling probably produces too large a mass for the Milky Way’s halo and thus also for substructures within it. This is conservative for the purposes of this paper.

We identify self-bound substructures within our final halos using the procedure subfind described in detail by SWTK. In Figure 1b we compare the number of substructures found within $`r_{200}`$ in each of our simulations. For each we plot cumulative abundances down to a mass corresponding to 20 particles. Clearly the agreement is good. For example, down to $`4\times 10^9M_{}`$, the 20 particle limit for GA0, we find 5, 7 and 2 subhalos in GA0, GA1 and GA2, respectively, well within the fluctuations expected for Poisson statistics. Down to the 20 particle limit for GA1 ($`4\times 10^8M_{}`$) there are 28 and 27 subalos in GA1 and GA2. We have also verified that our cumulative function of peak velocities is consistent with that of Font et al. (2001).

For each subhalo we define the centre as the position of the densest particle, where densities are evaluated using an SPH smoothing kernel. We then calculate a circular velocity curve as $`V_c(r)=(GM(r)/r)^{1/2}`$ where $`M(r)`$ is the total mass within $`r`$ of this centre. In almost all of the more massive subhalos, these curves rise from the centre, peak at a distance of a few kpc, and then fall for a while before eventually rising again because of the contribution from the smooth halo. Fitting such curves we can define a maximum circular velocity and a radius at which it is achieved for each subhalo. In Figure 1c we plot these two quantities against each other for all subhalos in GA1 and GA2 with more than 100 and 300 particles, respectively. There is a weak correlation but no clear tendency for the GA1 subhalos to be less concentrated (i.e. to have larger $`r_{\mathrm{max}}`$ at given $`V_{\mathrm{max}}`$) than those in GA2. By comparing the evolution of the two simulations in detail it is possible to identify counterparts in GA2 for all the eight GA1 subhalos plotted in Figure 1c. Four of these lie within $`r_{200}`$ in GA2, and the corresponding pairs of points are indicated with ellipses in the plot. There is good agreement between the $`(V_{max},r_{max})`$ values measured in the two simulations despite the factor of 10 difference in mass resolution.

In Figure 1d we plot circular velocity curves for some of the 20 GA2 subhalos with the largest values of $`V_{\mathrm{max}}`$. Even the least massive of these has more than 300 particles, and we have checked that they all have maintained their structure with relatively little change since at least $`z=0.4`$. It is noticeable that these circular velocity curves have narrower peaks than the NFW form, so we have fitted them with parabolae

$$\mathrm{log}(V_c/V_{\mathrm{max}})=a[\mathrm{log}(r/r_{\mathrm{max}})]^2,$$
(1)
adjusting the constant $`a`$ to get a good fit at $`r<r_{\mathrm{max}}`$. We find values for $`a`$ ranging from 0.25 to 0.7 with a median of 0.45. These fits are shown as dotted curves in Figure 1d, and we use them to represent the circular velocity data in the analysis of the following section. This analysis depends quite sensitively on the shape of the curves at small radius. This is a matter for concern since in this regime, our results are likely to be affected by discreteness effects and by gravitational softening. Although it is reassuring that we see little temporal evolution in the inner structure of individual subhalos, and that the more massive GA1 halos agree in structure with their GA2 counterparts, a more convincing demonstration that equation (1) is realistic comes from the fact that it fits the circular velocity curves of the much higher resolution simulations of stripped satellites by Hayashi et al. (2002). The curves in their Figure 10 are well fit by values of $`a`$ in the range 0.37 to 0.65. Below we will repeat our analysis using $`a=0.37`$ for all our substructures, rather than the individual values estimated from their detailed internal structure. This choice maximises the circular velocity at the relevant radii ($`r0.1r_{\mathrm{max}}`$) for curves compatible in shape with those of Hayashi et al. and for the values of $`V_{\mathrm{max}}`$ and $`r_{\mathrm{max}}`$ measured in our simulation.

## 3 Subhalo potentials and the observed Milky Way satellites

Except for the Magellanic Clouds, all the known satellites of the Milky Way are dwarf spheroidal galaxies. All have measured core and tidal radii, as well as measured central line-of-sight velocity dispersions. We summarise the data in Table 1. They are taken primarily from the review of Mateo (1998), but we have preferred the more recent density profile parameters measured for Draco by Odenkirchen et al. (2001). Sagittarius is also a special case. Here we take the core and tidal radii from the pre-disruption model of Helmi & White (2001) and carry out our analysis using both the current central velocity dispersion given by Mateo and the higher pre-disruption value from the model of Helmi & White. The latter value and quantities based on it are indicated in parentheses in Table 1. For Fornax and Draco there are also published velocity dispersion profiles with good signal-to-noise; we compare these to our $`\mathrm{\Lambda }`$CDM predictions below. To characterise the potentials of the Magellanic Clouds we take a circular velocity of 50 km/s at a distance of 5 kpc for the LMC (van der Marel et al. 2002) and a circular velocity of 60 km/s at a distance of 2.5 kpc for the SMC (Stanimirovic 2000). Comparing with Figure 1d, we see that the Clouds fit well in the two most massive subhalos of GA2. We now ask whether the next ten or so most massive simulated subhalos could host the observed dwarf spheroidals.

A spherical stellar system with number density profile $`\rho (r)`$ in equilibrium within a spherical potential well with circular velocity curve $`V_c(r)`$ will, if its velocity dispersion tensor is everywhere isotropic, satisfy

$$\frac{\mathrm{d}(\rho \sigma ^2)}{\mathrm{d}r}=\frac{\rho V_c^2}{r},$$
(2)
where $`\sigma (r)`$ is the one-dimensional velocity dispersion profile. Assuming that $`\rho (r)`$ goes to zero at the finite “tidal” radius $`r_t`$, this equation can be integrated to obtain

$$\rho (r)\sigma ^2(r)=_r^{r_t}dr^{}\rho V_c^2/r^{}.$$
(3)
Projecting $`\rho \sigma ^2`$ and $`\rho `$ and taking their ratio, we can obtain $`\sigma _p(r_p)`$, the line-of sight velocity dispersion at projected distance $`r_p`$ from the satellite centre,

$$\sigma _p^2(r_p)=\frac{_{r_p}^{r_t}dr\rho V_c^2(r^2r_p^2)^{1/2}/r}{_{r_p}^{r_t}dr\rho r/(r^2r_p^2)^{1/2}}.$$
(4)
We apply this formula to stellar systems with the observed structure of the dwarf spheroidals embedded in the potential wells of our simulated subhalos. We will represent the latter by equation (1) and the former by King’s (1962) fitting formula

$$\rho (r)\left[\mathrm{arccos}(z)/z(1z^2)^{1/2}\right]/z^2,$$
(5)
where

$$z^2=\frac{1+r^2/r_c^2}{1+r_t^2/r_c^2}.$$
(6)
We have used this method to calculate the expected central line-of-sight velocity dispersion of a stellar system with the core and tidal radii of each of the observed dwarf spheroidals embedded in each of the 20 most massive substructures in our GA2 halo. For each dwarf spheroidal, we count the number of subhalos for which the predicted central dispersion is larger than that observed, and we record this number in Table 1. We have carried out this exercise twice; once using the fits to the individual simulated circular velocity curves (see Figure 1d) and once taking $`r_{\mathrm{max}}`$ and $`V_{\mathrm{max}}`$ from the simulation and then using $`a=0.37`$ in equation (1) for all subhalos. The latter procedure forces the inner structure of each subhalo to resemble that of the most concentrated of the stripped satellites simulated by Hayashi et al. (2002). These numbers show a remarkable result. For both assumptions all 11 of the Milky Way’s satellites can be accommodated within the 20 most massive subhalos, and all but 3 can be accommodated within the 10 most massive (all but 2 if the higher dispersion value is adopted for Sagittarius). Given that substantial realisation to realisation fluctuations are expected in the properties of the more massive subhalos, there is surprisingly good agreement between the kinematics of the observed satellites and those predicted by our $`\mathrm{\Lambda }`$CDM simulation.

For Fornax and Draco, more detailed kinematic data have been published and allow a closer comparison. In Figure 2 we reproduce velocity dispersion profiles from Mateo (1997) for Fornax, and from Kleyna et al. (2002) for Draco, and we overplot the predictions of the above equations for a number of our more massive subhalos. From this figure it is clear that GA2 not only predicts the correct central velocity dispersion values, but also the correct shapes for the dispersion profiles. Within the observational uncertainties this is equally true for circular velocity curves taken directly from GA2 and for curves with a the most concentrated shape consistent with the simulations of Hayashi et al. (2002). The maximum circular velocities of the subhalos compared with the Fornax data range between 31 and 46 km/s. The corresponding range for the subhalos compared with Draco is 35 to 54 km/s. In a $`\mathrm{\Lambda }`$CDM model the dark halos of dwarf spheroidals are predicted to have maximum circular velocities much larger than the observed velocity dispersions. It is a curious that the observational data require Draco and Fornax to have similar halos despite the fact that Fornax is more luminous by a factor of almost 60.

## 4 Discussion

The last section shows that the potentials of the most massive subhalos in our $`\mathrm{\Lambda }`$CDM simulation are in excellent agreement with the observed kinematics of the Milky Way’s satellites. There is some reason to be cautious, because subhalo concentrations could be significantly underestimated as a result of numerical limitations, in particular the relatively large gravitational softening and particle mass in even our highest resolution simulation. We have argued from a comparison of simulations with differing resolution that the induced bias in the values of $`V_{\mathrm{max}}`$ and $`r_{\mathrm{max}}`$ is small for objects as massive as those which concern us here. Furthermore, our subhalo circular velocity curves agree well at small radii with those which Hayashi et al. (2002) obtain from much higher resolution simulations of the tidal stripping of individual satellites. These authors explain why tidal effects produce objects with lower central concentration than isolated halos of similar maximum circular velocity. Even adopting the most concentrated profile consistent with their simulations has only a minor effect on our analysis. (Compare the rankings for the two cases in Table 1.) On the basis of the currently available observational and simulation data, it seems more appropriate to consider the observed kinematics of the Milky Way’s satellites as a triumph for the $`\mathrm{\Lambda }`$CDM model than as a crisis.

If the observed dwarf spheroidals do indeed have dark halos of the kind that both we and Hayashi et al. (2002) suggest, there are a number of interesting consequences. In the first place, the measured “tidal radii” can have nothing to do with tidal effects, but must reflect an edge to the visible stellar population within a much more extended dark halo. This kind of structure appears to be a direct and inevitable consequence of the flat or rising velocity dispersion profiles measured in Fornax and Draco. Tidal tails and extra-tidal stars should not, then, be present in most systems. Although there is no problem accommodating a single disrupting object like Sagittarius, it would become uncomfortable if tidal stripping were detected unambiguously in other systems. There are some indications that Carina might be such a case (Majewski et al. 2000).

A second consequence is that the total mass associated with the dwarf spheroidals is much larger than usually assumed. The tenth most massive subhalo in our GA2 simulation has a bound mass of $`1.2\times 10^9M_{}`$ and its progenitor system was several times more massive just before it fell into the Milky Way’s halo. This sharpens the problem in understanding why the dwarf spheroidals have formed stars with such low efficiency; their stellar masses lie in the range $`10^6`$ to $`10^8M_{}`$. Clues presumably lie in their comparatively narrow ranges of size and velocity dispersion, and in their surprisingly varied star formation histories (Mateo 1998).

Finally, if the observed satellites do occupy the most massive subhalos in a $`\mathrm{\Lambda }`$CDM model, then many smaller subhalos are presumably also present but are devoid of stars. It is interesting to look for observable consequences of their existence. Dynamical effects, for example heating or distortion of the Galactic disk or scattering of the orbits of visible halo objects, are weak, and are dominated by the most massive subhalos rather than by their more abundant low mass brethren. Such effects may, nevertheless, be detectable in favorable cases (Font et al. 2001; Johnston, Spergel & Haydn 2001). It may also be possible to detect substructure in gravitational lens galaxies through the statistics of flux ratios in samples of multiply imaged quasars (Mao & Schneider 1998; Chiba 2002; Dalal & Kochanek 2002); again the effects are dominated by the few most massive subhalos. If dark matter detection experiments are successful, it may become feasible to search for structure in the dark matter distribution at the Earth’s position. Detailed analysis suggests that in a $`\mathrm{\Lambda }`$CDM model the signal will be difficult, but perhaps not impossible, to see (Helmi, White & Springel 2002).

The fact that the core structure of satellite subhalos in a $`\mathrm{\Lambda }`$CDM model agrees with the kinematics of observed satellites is prima facie evidence against dark matter with modified properties, for example, Warm Dark Matter or Self-Interacting Dark Matter. In recent work, the primary motivation for considering such modifications to the microscopic physics of the dark matter particles has been to reduce the concentration of halos and the abundance of substructure (e.g. Spergel & Steinhardt 2000; Yoshida et al. 2000; Bode et al. 2001). A significant reduction of the central concentration of satellite subhalos in our simulations would, however, make it difficult to produce satellites with velocity dispersions as large as those observed.


text:
# References

UCRHEP-T333

March 2002

Quark Mass Matrices in the A4 Model
Ernest Ma
Physics Department, University of California, Riverside, California 92521

## Abstract

If the standard model of quark interactions is supplemented by a discrete $`A_4`$ symmetry (which may be relevant for the lepton sector), the spontaneous breaking of the electroweak gauge symmetry allows arbitrary quark masses, but all mixing angles are predicted to be zero. A pattern of the explicit breaking of $`A_4`$ is proposed, which results in a realistic charged-current mixing matrix.

In the standard model of quark interactions, the mass matrices of the $`up`$ and $`down`$ sectors are diagonalized separately, with unitary matrices $`V_u`$ and $`V_d`$ for $`(u,c,t)_L`$ and $`(d,s,b)_L`$ respectively. The observed charged-current mixing matrix is then given by

$$V_{CKM}=V_u^{}V_d.$$
(1)
There are two important issues to be understood here. (I) Why are quark masses hierarchical in each sector? and (II) why is $`V_{CKM}`$ almost the identity matrix? In this short note, there is no proposed answer to (I), but given (I), there is a possible explanation of (II) in the context of a recently proposed model  of nearly degenerate Majorana neutrino masses, using the discrete symmetry $`A_4`$.

There are 4 irreducible representations of $`A_4`$, i.e. 1, 1, 1′′, and 3, with the decomposition

$$\underset{¯}{3}\times \underset{¯}{3}=\underset{¯}{1}+\underset{¯}{1}^{}+\underset{¯}{1}^{\prime \prime }+\underset{¯}{3}+\underset{¯}{3}.$$
(2)
In particular,

$`\underset{¯}{1}`$ $`=`$ $`a_1a_2+b_1b_2+c_1c_2,`$ (3)
$`\underset{¯}{1}^{}`$ $`=`$ $`a_1a_2+\omega ^2b_1b_2+\omega c_1c_2,`$ (4)
$`\underset{¯}{1}^{\prime \prime }`$ $`=`$ $`a_1a_2+\omega b_1b_2+\omega ^2c_1c_2,`$ (5)
where the components of 3 are denoted by $`(a,b,c)`$ and the complex number $`\omega `$ is the cube root of unity, i.e. $`e^{2\pi i/3}`$. Hence $`1+\omega +\omega ^2=0`$.

Under $`A_4`$, the quarks are assumed to transform as follows.

$`(u_i,d_i)_L`$ $``$ $`\underset{¯}{3},`$ (6)
$`u_{1R},d_{1R}`$ $``$ $`\underset{¯}{1},`$ (7)
$`u_{2R},d_{2R}`$ $``$ $`\underset{¯}{1}^{},`$ (8)
$`u_{3R},d_{3R}`$ $``$ $`\underset{¯}{1}^{\prime \prime },`$ (9)
in exact analogy with the left-handed lepton doublets and the right-handed charged-lepton singlets as proposed previously . The same three Higgs scalar doublets

$$\mathrm{\Phi }_i=(\varphi _i^+,\varphi _i^0)\underset{¯}{3}$$
(10)
are also used. Consequently, the Lagrangian of this model contains the following invariant Yukawa terms:

$$_Y=h_{ijk}^u\overline{(u_i,d_i)}_Lu_{jR}\stackrel{~}{\mathrm{\Phi }}_k+h_{ijk}^d\overline{(u_i,d_i)}_Ld_{jR}\mathrm{\Phi }_k+H.c.,$$
(11)
where $`\stackrel{~}{\mathrm{\Phi }}_k=(\overline{\varphi _k^0},\varphi _k^{})`$, and

$`h_{i1k}^{u,d}`$ $`=`$ $`h_1^{u,d}\delta _{ik},`$ (12)
$`h_{i2k}^{u,d}`$ $`=`$ $`h_2^{u,d}\delta _{ik}\omega ^{i1},`$ (13)
$`h_{i3k}^{u,d}`$ $`=`$ $`h_3^{u,d}\delta _{ik}\omega ^{1i}.`$ (14)
As $`\varphi _i^0`$ acquire nonzero vacuum expectation values $`v_i`$, the quark mass matrices are of the form

$$_{u,d}=\left[\begin{array}{ccc}h_1^{u,d}v_1& h_2^{u,d}v_1& h_3^{u,d}v_1\\ h_1^{u,d}v_2& h_2^{u,d}\omega v_2& h_3^{u,d}\omega ^2v_2\\ h_1^{u,d}v_3& h_2^{u,d}\omega ^2v_3& h_3^{u,d}\omega v_3\end{array}\right].$$
(15)
If the Higgs potential is invariant under $`A_4`$, it has been shown  that $`v_1=v_2=v_3=v`$ is a possible solution. In that case, $`_{u,d}`$ is easily diagonalized, i.e.

$$\frac{1}{\sqrt{3}}\left[\begin{array}{ccc}1& 1& 1\\ 1& \omega & \omega ^2\\ 1& \omega ^2& \omega \end{array}\right]_{u,d}=\left[\begin{array}{ccc}\sqrt{3}h_1^{u,d}v& 0& 0\\ 0& \sqrt{3}h_2^{u,d}v& 0\\ 0& 0& \sqrt{3}h_3^{u,d}v\end{array}\right].$$
(16)
This allows quark (and charged-lepton) masses to be hierarchical, even though neutrino masses are degenerate . Since both $`_u`$ and $`_d`$ are diagonalized by the same unitary matrix, this model predicts $`V_{CKM}=1`$ at this level, which is a good answer to (II).

To obtain a realistic $`V_{CKM}`$, the $`A_4`$ symmetry must be broken. Here the simple assumption is to add terms in $`_Y`$ of Eq. (11) which are not just 1 under $`A_4`$, but also 1 and 1′′, such that

$$|h_i^{\prime \prime }|<<|h_i^{}|<<|h_i|$$
(17)
for each $`i`$. In that case, the right-hand side of Eq. (16) becomes proportional to

$$\left[\begin{array}{ccc}h_1& h_2^{}& h_3^{\prime \prime }\\ h_1^{\prime \prime }& h_2& h_3^{}\\ h_1^{}& h_2^{\prime \prime }& h_3\end{array}\right],$$
(18)
where the superscript $`(u,d)`$ has been dropped for simplicity. Note also that $`|h_1|<<|h_2|<<|h_3|`$ in each sector because they are proportional to $`(m_u,m_c,m_t)`$ or $`(m_d,m_s,m_b)`$. By rotating $`q_{iR}`$, the above matrix may be written as

$$\left[\begin{array}{ccc}h_1& h_2^{}& h_3^{\prime \prime }\\ 0& h_2& h_3^{}\\ 0& 0& h_3\end{array}\right]$$
(19)
to a very good approximation, because $`|h_1^{\prime \prime }|<<|h_2|`$ or $`|h_3^{}|`$, and $`|h_1^{}|,|h_2^{\prime \prime }|<<|h_3|`$. As a result, $`V_{CKM}`$ differs from the identity matrix by small amounts, i.e.

$$V_{us}\frac{h_2^{}}{h_2},V_{ub}\frac{h_3^{\prime \prime }}{h_3},V_{cb}\frac{h_3^{}}{h_3}.$$
(20)
This explains why each is small, as well as why $`|V_{ub}|<<|V_{cb}|`$.

Consider now the 3 Higgs doublets of this model. Let

$$\left[\begin{array}{c}\mathrm{\Phi }\\ \mathrm{\Phi }^{}\\ \mathrm{\Phi }^{\prime \prime }\end{array}\right]=\frac{1}{\sqrt{3}}\left[\begin{array}{ccc}1& 1& 1\\ 1& \omega & \omega ^2\\ 1& \omega ^2& \omega \end{array}\right]\left[\begin{array}{c}\mathrm{\Phi }_1\\ \mathrm{\Phi }_2\\ \mathrm{\Phi }_3\end{array}\right],$$
(21)
then $`\mathrm{\Phi }`$ has the properties of its standard-model counterpart, whereas $`\mathrm{\Phi }^{}`$ and $`\mathrm{\Phi }^{\prime \prime }`$ are degenerate in mass . Since only $`\mathrm{\Phi }`$ has a nonzero vacuum expectation value, flavor-changing neutral currents are absent at tree level as far as $`\mathrm{\Phi }`$ is concerned. However, $`\mathrm{\Phi }^{}`$ and $`\mathrm{\Phi }^{\prime \prime }`$ have the following $`predicted`$ Yukawa interactions:

$`_{int}`$ $`=`$ $`\left({\displaystyle \frac{m_t}{v}}\overline{(u,d)}_Lt_R+{\displaystyle \frac{m_c}{v}}\overline{(t,b)}_Lc_R+{\displaystyle \frac{m_u}{v}}\overline{(c,s)}_Lu_R\right)\stackrel{~}{\mathrm{\Phi }}^{}`$ (22)
$`+`$ $`\left({\displaystyle \frac{m_t}{v}}\overline{(c,s)}_Lt_R+{\displaystyle \frac{m_c}{v}}\overline{(u,d)}_Lc_R+{\displaystyle \frac{m_u}{v}}\overline{(t,b)}_Lu_R\right)\stackrel{~}{\mathrm{\Phi }}^{\prime \prime }`$
$`+`$ $`\left({\displaystyle \frac{m_b}{v}}\overline{(u,d)}_Lb_R+{\displaystyle \frac{m_s}{v}}\overline{(t,b)}_Ls_R+{\displaystyle \frac{m_d}{v}}\overline{(c,s)}_Ld_R\right)\mathrm{\Phi }^{}`$
$`+`$ $`\left({\displaystyle \frac{m_b}{v}}\overline{(c,s)}_Lb_R+{\displaystyle \frac{m_s}{v}}\overline{(u,d)}_Ls_R+{\displaystyle \frac{m_d}{v}}\overline{(t,b)}_Ld_R\right)\mathrm{\Phi }^{\prime \prime }+H.c.`$
This shows that flavor-changing neutral currents involving only the first 2 families are suppressed. In fact, the most severe constraint comes from $`B^0\overline{B^0}`$ mixing which occurs through $`(\varphi ^{})^0`$ exchange:

$$\frac{\mathrm{\Delta }m_{B^0}}{m_{B^0}}\frac{G_Fm_b^2}{4\sqrt{2}}B_Bf_B^2\left(\frac{1}{m_R^2}\frac{1}{m_I^2}\right),$$
(23)
where $`G_F/\sqrt{2}=1/12v^2`$ and $`m_{R,I}`$ are the masses of the real and imaginary parts of $`(\varphi ^{})^0`$. Using $`f_B=170`$ MeV, $`B_B=1.0`$, $`m_b=4.2`$ GeV, and the experimental value  of $`5.9\times 10^{14}`$ for the above fraction, the condition

$$(m_R^2m_I^2)^{1/2}>>4.22\mathrm{TeV}$$
(24)
is obtained. This means that $`m_R`$ and $`m_I`$ should be almost equal, if each is of order a few hundred GeV.

In conclusion, it has been shown how a realistic $`V_{CKM}1`$ may be obtained in the context of the $`A_4`$ model of nearly degenerate Majorana neutrino masses. It has specific verifiable predictions as given by Eq. (22). In particular, the model requires $`(\varphi ^{})^\pm `$, $`(\varphi ^{\prime \prime })^\pm `$ to have the same mass, Re$`(\varphi ^{})^0`$, Re$`(\varphi ^{\prime \prime })^0`$ to have the same mass, and Im$`(\varphi ^{})^0`$, Im$`(\varphi ^{\prime \prime })^0`$ to have the same mass. Phenomenologically, the latter two pairs should also have almost the same mass, assuming that each is of order a few hundred GeV.

This work was supported in part by the U. S. Department of Energy under Grant No. DE-FG03-94ER40837.


text:
# Simple Quark Model with Chiral Phenomenology

## Acknowledgement

We thank Ross Young for helpful discussions. This work was supported by the Australian Research Council and the University of Adelaide.


text:
# Non-LTE Effects of Na I in the Atmosphere of HD209458b

## 1 Introduction

HD209458b is the first extra-solar giant planet (EGP) observed to transit its parent star Charbonneau et al. (2000); Henry et al. (2000) and, consequently, its mass (0.69 MJupiter) and radius (1.35 RJupiter) are known to a high degree of accuracy. These results leave little doubt that HD209458b is a gas giant. and its special orbital inclination has drawn a great deal of attention from observers and theorists over the past year. Recently, an increase in the sodium absorption (relative to the continuum) at 5893Å was observed with the Hubble Space Telescope (HST) during several transits of HD2094598 Charbonneau et al. (2001). The additional sodium absorption is believed to be due to Na D absorption in the EGP’s atmosphere as stellar light passes through the planetary limb. This observation marks a major turning point in the study of EGPs, for now we have direct evidence of an atmosphere around HD209458b and a measurement of one chemical species (Na). According to Charbonneau et al. (2001), the HST observations suggest that either the EGP atmosphere has a low concentration of neutral atomic Na (due to photoionization, molecular formation, or an overall low metallicity) or that high altitude clouds exist and reduce the amount of stellar flux transmitted though the EGP limb.

In this letter, we offer an alternate explanation for the observed Na absorption and explore the possibility that the Na D feature is altered by nonlocal thermodynamic equilibrium (NLTE) effects brought on by the impinging stellar radiation field and insufficient collisional thermalization. If true, NLTE effects would offer a natural explanation for the apparently low sodium absorption observed in the HD209458b without the need for excessive ionization, a reduced metallicity, or extremely high altitude clouds. Below we will present theoretical predictions for NLTE Na D doublet line profiles for the transmitted spectrum of an irradiated EGP atmosphere and provide stringent limits on the non-LTE effects.

## 2 Model Construction

The construction of the model atmospheres presented below follows the procedure outlined in Barman et al. (2001) (here after BHA). In order to make a direct comparison with HD209458b, we have adopted the best-fit values for the radius, mass, and orbital separation of HD209458b and its parent star published by Brown et al. (2001) and Mazeh et al. (2000) (see table 1). We have also assumed that the total flux received by the planet has been uniformly distributed over the planet’s dayside. Therefore, the incident flux has been weighted by 0.5, whereas in the BHA models, no redistribution was assumed. The intrinsic effective temperature of the model (i.e. the effective temperature of the planet in the absence of irradiation) is 500K. However, this intrinsic temperature has little effect on the structure of the outer atmosphere which is completely determined by the incident flux. With this redistribution, our models represent an upper limit to the equilibrium effective temperature which is about 1800K. We further assume that the planet has a solar composition with an opacity setup identical to the “AMES-cond” models of BHA and Allard et al. (2001). In this situation, dust grains form in the atmosphere at locations determined by the chemical equilibrium equations but their opacity contribution is ignored, mimicking a complete removal of the grains by efficient gravitational settling. Therefore, the models in this study represent cloud free atmospheres.

We model the flux transmitted through the limb of the planet’s atmosphere, by solving the spherically symmetric radiative transfer equation (SSRTE) suitably adjusted to account for the incident radiation. The incident flux is taken from a separate calculation which reproduces the observed spectrum of HD209458. The SSRTE has a significant advantage over the plane-parallel solution because a geometry more appropriate (and more accurate) for the upper atmosphere is already incorporated. When solving the SSRTE, the atmosphere is modeled as a discrete number of concentric shells surrounding the interior (or “core”). The solution along characteristic rays that pass through the outer most shells is all that is needed to calculate the transmitted intensities and automatically accounts for the curvature of the limb. The total transmitted flux is obtained by integrating over the planet limb:

$$F_{trans,\lambda }=_{R_{\mathrm{min}}}^{R_{\mathrm{max}}}I_\lambda (r)2\pi r𝑑r$$
(1)
where $`r`$ is the perpendicular distance from the planet center to a tangential characteristic ray. $`R_{\mathrm{max}}`$ is the planet radius at $`\tau _{\mathrm{std}}=0`$ and $`\tau _{\mathrm{std}}`$ is the optical depth at $`1.2\mathrm{\mu m}`$. $`R_{min}`$ is chosen such that for $`rR_{\mathrm{min}}`$ and $`\lambda =5880\mathrm{\AA }`$, $`I(r)0.1I^{}(r)`$ where $`I^{}`$ is the incident stellar intensity. This lower limit ensures that the transmitted intensities are well sampled and light from the core region is excluded. Note that both $`R_{\mathrm{max}}`$ and $`R_{\mathrm{min}}`$ are determined by the simulation and depend on the resulting structure of the model atmosphere. The only prescribed radius is $`R_\mathrm{p}=r(\tau _{\mathrm{std}}=1)`$, which is equal to the planet radius given in table 1. With these definitions, the thickness of the limb ($`H=R_{\mathrm{max}}R_{\mathrm{min}}`$) is roughly $`0.07R_\mathrm{p}`$.

### 2.1 Na in non-LTE

When a gas is assumed to be in LTE, the level populations for each species depend entirely upon the gas temperature and electron pressure and are given by the Saha-Boltzmann distribution. In general, the LTE assumption is a matter of computational convenience and is not expected to be valid in most cases, especially in the optically thin regions of an atmosphere. However, it is often assumed that LTE is achieved in very late type stars (even Brown dwarfs) despite the fact that this assumption has not been thoroughly tested. Departures from LTE have previously been investigated for Ti I Hauschildt et al. (1997) and CO Schweitzer et al. (2000) for cool M dwarfs and for CH4 in the Jovian planets Appleby (1990). These earlier works found that, for these particular species, NLTE effects were small.

Due to the close proximity of HD209458b to its parent star, the planet’s atmosphere is subjected to intense stellar radiation. This inherently nonlocal source of radiation dramatically alters the conditions of the outer atmosphere compared to an isolated EGP. In addition, the cool atmospheres of EGPs are dominated by strong opacity sources like H2O and CH4 and, therefore, have intensities that differ greatly from those of a blackbody. When combined with the relatively low pressures of the outer atmosphere, these conditions very likely will lead to departures from LTE which may play an important role in determining the atmospheric structure and resulting spectrum. If LTE is to be achieved in EGP atmospheres, then the collisional rates must be large enough to compensate for the deviations of the radiative rates from their LTE values. Unfortunately, a limitation of all NLTE models is a lack of well determined collisional cross-sections for interactions with important species like H2, He, and H. However, it is unlikely, given the low thermal velocities, that these particles could restore LTE completely. In fact, the effects of collisions with hydrogen on the Na D profile in M dwarfs with chromospheres are fairly small and electron collisions dominate despite the fact that $`N_H/N_e10^6`$ Andretta et al. (1997).

The Na I model atom used in this work includes 53 levels, and 142 primary transitions (all bound-bound transitions with $`\mathrm{log}(gf)>3.0`$) were included in the solution of the statistical equilibrium equations. For details of the method used to solve the rate equations, see Hauschildt & Baron (1999). As in Hauschildt et al. (1997) for Ti I, electron-impact bound-free collisional rates are approximated by the formula of Drawin (1961) and bound-bound collisional rates are based on the semi-empirical formula of Allen (1973) with permitted transitions determined from Van Regemorter’s (1962) formula. For the ground-state photoionization cross sections, we have used the Opacity Project data of Bautista et al. (1998). We have also assumed complete redistribution.

We have constructed four model atmospheres and resulting transmitted spectra for HD209458b. The first irradiated model (A) only includes collisions with electrons, where the source of free electrons is primarily the ionization of potassium. Even in an irradiated EGP atmosphere, the number density of electrons is very small ($`N_e/N_{\mathrm{H2}}10^8`$) and the temperatures are too low for electronic collisions to be important. Model A, therefore, can be considered a lower limit for the collisional rates. The second irradiated model (B) has the same parameters as model A, except that collisions with H2 are also included. In order to place a secure upper limit on the effects of collisions with H2, we have treated H2 as if it had the same rate coefficients as an electron. Assuming identical cross-sections implies that the rate coefficients scale with $`(\mu )^{\frac{1}{2}}`$, where $`\mu `$ is the reduced mass of the collision partners. Therefore, we are overestimating the H2 collisional rates by more than an order of magnitude. The remaining two models (C and D) represent non-irradiated atmospheres with the same effective temperature as the irradiated models ($``$ 1800K) and include the same lower (model C) and upper (model D) limits for the collision rates. Each of these model atmospheres was produced from a self-consistent solution of the SSRTE, chemical equilibrium equations, and the NLTE rate equations. We did not prescribe the temperature structure or mixing ratios for any of the species.

## 3 Results

The temperature-pressure profiles for models A and C are shown in figure 1. Note that, the profile for model B is identical to that of model A and model D has the same profile as model C. The gas pressures in the limb are very low, ranging from 0.004mb to 0.2mb. As is to be expected, the non-irradiated models look nothing like the irradiated models which have temperatures nearly 1000K higher in the outer atmosphere Barman et al. (2001); Goukenleuque et al. (2000); Seager & Sasselov (1998). There were no significant changes to the temperature-pressure profiles in the four NLTE models compared to the LTE structures.

Departures of the level populations from LTE, for a particular species, are usually described by the departure coefficients, $`b_i=n_i^{}/n_i`$, where $`n_i^{}`$ is the NLTE population density for level $`i`$ and $`n_i`$ is the LTE value Mihalas (1970). In figure 2, we show the $`b_i`$’s for the ground state (3s) and the first excited states (3p$`_{\frac{1}{2}}`$, 3p$`_{\frac{3}{2}}`$) of the neutral sodium atom for several different physical conditions within an EGP atmosphere. The largest departures are seen in model A where the 3s (ground state) and 3p levels are both underpopulated by many orders of magnitude, especially in the limb region. The main reason for such large departures is that we have only included collisions with electrons and, in such a cool atmosphere, the number density of electrons is $`8`$ orders of magnitude below that of the dominant species, H2. Consequently, there are essentially no collisions in model A to thermalize the level populations in the Na atom thus allowing the radiative rates to dominate and drive the system out of LTE. Also, since the upper atmosphere is dominated by a large external radiation source (which happens to peak near the Na D doublet, $`5000`$Å), the mean intensity of the line is much larger than the thermal source function which implies a strong decoupling of the radiation field from the local conditions. Furthermore, the ratio of the line source function to a blackbody is roughly given by the ratio of the departure coefficients of the upper (3p) and lower (3s) levels for the transition Bruls et al. (1992). From figure 2, we see that the line source function is far from a blackbody for the majority of the upper atmosphere (since $`b_{3p}/b_{3s}1`$).

An obvious question to ask is whether the system will return to LTE if collisions with the dominant species (H2) are included. Model B, which has the same parameters and temperature profile as model A, includes collisions with both electrons and H2 (but assuming that H2 has the same rate coefficients as an electron). In effect, we have increased the importance of electronic collisions by more than 8 orders of magnitude. As is expected, the departure coefficients are closer to one, but the level populations in the limb are still far from the LTE values. However, since $`b_{3p}/b_{3s}1`$ for most of the atmosphere, NLTE effects will only be important in model B for $`\tau _{\mathrm{std}}<10^4`$. The real situation is likely to be somewhere between models A and B.

We also show departure coefficients for non-irradiated models (C and D) with $`T_{\mathrm{eff}}`$ equal to the equilibrium effective temperature of the irradiated atmospheres (1800K) for both collisional rate limits. Despite the absence of any extrinsic radiation and much lower temperatures in the upper layers, the non-irradiated atmospheres still have departures from LTE, though generally less significant than those found in the irradiated atmospheres. Model C (the near collision free limit), has departures from LTE similar to those of the collision dominated irradiated model (B) for the ground state but with an over populated 3p level. With increased collisional rates, Na I has nearly returned to LTE for most of the atmosphere in model D with departures still present in the top most layers whereas in the irradiated case both levels were greatly underpopulated even in the collision dominated model (B).

The effects on the Na D line profiles are quite dramatic for model A (see figure 3). In this case, the lack of thermalization reduces the line transfer to nearly a pure scattering case. As a result, the doublet appears completely in emission. However, in model B, as the collisional rates are increased, the line wings return to their LTE shape while the line cores are reversed. The data analysis of Charbonneau et al. (2001) does not directly reveal the Na line profile produced by the planet atmosphere. Instead, their work shows that a deeper transit is observed in the Na band implying additional Na absorption by the planet limb. Given the current sensitivity of the observations, a core reversal feature like the one shown in our model B would be buried in the noise and manifest itself as simply a smaller equivalent width. The Na absorption in model B would result in a transit deeper than in the continuum bands but not as deep as implied by the LTE model. The fact that Na D absorption (and not emission) has been observed in the transmitted spectrum of HD209458b rules out our model A indicating that some thermalization does occur in the limb region. However, it is unlikely that the collisional rates are as large as those in our model B suggesting that the equivalent width of the Na D doublet will be substantially reduced by NLTE effects.

The reduced equivalent width predicted by our model is not due to photoionization of Na. In the majority of the limb, only 3% is ionized and the neutral Na concentration is nearly constant with $`N_{\mathrm{Na}}/N_{\mathrm{H2}}10^{5.5}`$. Na is only significantly ionized ($`5\%`$) at the very top of the atmosphere where $`\mathrm{P}_{\mathrm{gas}}<1\mu \mathrm{bar}`$. The shallow ionization depth of Na is due to the strong UV opacity provided by metals (e.g. atomic Mg, Al, Ca, Fe, and Ni) which effectively shield Na from the incident ionizing photons. The ionization predicted by our models (even 3%) is far greater than what is obtained from an LTE calculation but does not significantly affect the line profile. However, if the planet’s atmosphere is substantially cooler than in our model, then additional condensation and settling could further deplete the atmosphere of metals and allow greater ionization of Na to occur. We also find that only a very small amount of Na is in molecular form and that neutral Na is nearly 3 orders of magnitude more abundant than NaCl (the most abundant Na bearing molecule). Furthermore, condensation of Na via NaCl grains is unlikely. The reduced equivalent width and central core emission is purely a radiative transfer effect.

## 4 Conclusions

The recent HST observations provided the first direct measurement of the conditions inside the atmosphere of HD209458b. However, even under the best circumstances, determining the concentration of any species based solely upon one absorption feature is problematic, especially if this feature forms in the upper regions of an atmosphere where pressures are low and NLTE effects are greatest. Our models clearly show that Na is far from being in LTE in the upper atmosphere of HD209458b and the observed Na absorption can be explained with a solar metallicity atmosphere which is cloud free or has only very low lying clouds. It is likely that other important species (e.g. CO and CH4) are in NLTE, and we plan to test the LTE assumption for a wide variety of atomic and molecular species in a future work. Hopefully the Na D doublets and other alkali metal lines will be useful diagnostics in the study of EGP atmospheres. However, only with detailed NLTE calculations including well determined collisional rates will we have a chance at constraining the physical conditions in the atmosphere of HD209458b.

We would like to thank Charbonneau et al. for making a copy of their work available before publication. This research was supported by NASA ATP and LTSA grants to the University of Georgia and to Witchita State and in part by the Pôle Scientifique de Modélisation Numérique at ENS-Lyon.


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# Pressure dependence of phase transitions in the quasi one-dimensional metal-insulator transition system 𝛽-Na1/3V2O5

## I Introduction

Quasi one-dimensional (1D) metals exhibit unique electronic properties, which show potential for applications and, at the same time, for an expansion of the understanding of electronic correlation effects in solids. The inorganic 1D metal $`\beta `$-Na1/3V2O5, which exhibits a metal-insulator (MI) transition as a function of temperature at $`T_{MI}=130`$ K  is a system ideally suited to study the interplay between structural instabilities and electronic correlations. This compound crystallizes in a monoclinic structure exhibiting three inequivalent vanadium sites . Two of the sites (V1, V2) have an octahedral and one (V3) a five fold square pyramidal oxygen coordination. The latter site resembles the V5+ site in V2O5, which suggests a V5+ occupation also in Na1/3V2O5. The oxygen octahedra of the V1 sites form a zigzag chain in the b direction with octahedra sharing edges, while the oxygen octahedra of the V2 sites form a double chain in b direction with octahedra sharing corners along the b direction as well as in the ac-plane. It should be pointed out that the V1 octahedra also share edges with the V2 octahedra and that, in fact, the shortest V-V-distance is that between a V1 and a V2 site .

This V-O framework provides tunnels along the b direction in which Na sites form a double chain parallel b. For $`x=1/3`$ in NaxV2O5 only half of the sites are in fact occupied by Na ions, which build zigzag chains within each tunnel. At room temperature there exists no long range correlation between the zigzag chains. Below $`T=230`$ K X-ray diffraction (XRD) measurements  show, that the Na chains develop a long range order.

The intercalated Na atoms donate their valence electron to the host lattice, which results in a mixed valence V-state with one $`3d`$-electron per six vanadium ions. The distribution of the $`3d`$-electrons on the three different vanadium sites is not completely clear. Different electron configurations in a charge ordered state below $`T_{MI}`$ have been discussed . In contrast to related systems, like e. g. $`\alpha ^{}`$-NaV2O5 and $`\eta `$-Na1.29V2O5, which are structurally low dimensional and electrically insulating, $`\beta `$-Na1/3V2O5 is a quasi one-dimensional metal at room temperature. In resistivity measurements above $`T_{MI}`$ metallic behavior is observed parallel to the b axis, while perpendicular to b semiconducting behavior occurs with an anisotropy ratio of $`\rho _{}/\rho _{}>100`$. At $`T_N=24`$ K a magnetic transition occurs , which has been shown by NMR measurements to be long range in nature . From EPR and magnetization measurements  it was concluded, that the ordered state is a canted antiferromagnet, with the ferromagnetic component aligned along the b axis. Large differences between zero field and field cooled magnetization measurements are observed . Such ”spin glass like” behavior has been observed before in systems with magnetically strongly anisotropic behavior and was attributed to magnetic domain effects . The quasi 1D structure of $`\beta `$-Na1/3V2O5 suggests that such a magnetic anisotropy exists in this system.

The electronic transport and magnetic properties are very sensitive to the Na-stoichiometry $`x`$. Metallic behavior is observed only in a very narrow range of Na-concentration and a slight deviation from $`x=1/3`$ induces semiconducting behavior in the electrical resistivity, most likely due to disorder effects. Deviation from the exact stoichiometry also rapidly suppresses the magnetic transition . External pressure is expected to change the relative strength of intra- to interchain interactions and therefore can yield information about the influence of the dimensionality of the system on the different phase transitions. In this paper we report on the effect of external pressure on the phase transitions in $`\beta `$-Na1/3V2O5 studied by magnetic susceptibility and electrical resistivity measurements.

## II Experimental

Needle like single crystals of a typical size of $`4\times 0.4\times 0.2`$ mm3 were grown by a flux method similar to that described in Ref. . Laue diffraction showed the longest dimension was parallel to the crystallographic b axis. For resistivity measurements along b four gold pads were evaporated on the crystals. Then 40 $`\mu `$m platinum wires were attached to those pads by silver epoxy. The resistivity was measured using a standard four-probe DC-technique, i. e. for each measurement the current was reversed to eliminate voltage offsets. AC-susceptibility measurements were performed using a mutual inductance bridge (MIB) in which several crystals were aligned with the b axis parallel to the magnetic field. The amplitude of the field was about 1 G at a frequency of about 1 kHz. Quasi hydrostatic pressure experiments were carried out in a self clamped CuBe piston-cylinder cell with n-pentane – isoamyl (1:1) as a pressure transmitting medium. The pressure was measured utilizing a manganin gauge in case of the resistivity measurements and the pressure dependence of the superconducting transition of lead in case of the AC-susceptibility. DC-magnetic measurements at ambient pressure were performed using a Quantum Design SQUID magnetometer.

## III Results

### A Electrical resistivity

The temperature dependence of the b axis resistivity of a nominally stoichiometric Na1/3V2O5 sample is shown in Fig. 1.

A steep increase in resistivity marks the MI transition at $`T_{MI}=130`$ K. Below 80 K the resistivity is characteristic of a semiconductor with an activation energy of 0.05 eV. The left inset of the figure shows the extension of the resistivity from 50 K down to lowest temperatures measured in a special cryostat with uninterrupted triaxial wiring terminating just at the sample. A deviation from linearity in the Arrhenius plot towards lower resistivity is observed below the magnetic transition at 24 K.

The right inset of the figure shows the metallic behavior at high temperatures. At 240 K, denoted as $`T_{Na\text{-}2D}`$, the slope of resistivity changes rapidly, which was attributed to ordering between Na-chains . Below 230 K another noticeable anomaly in the resistivity marks a second transition, which shows a hysteresis upon thermal cycling and which we also attribute to a structural transition, associated with further ordering of the Na sublattice, as discussed below. The center of the hysteretic transition is located at $`T_{Na\text{-}3D}=222`$ K.

Due to the strongly anisotropic resistivity of Na1/3V2O5 an accurate alignment of current and voltage contacts is essential to avoid contributions from non b axis components of the resistivity. Therefore, the negative slope of resistivity just above $`T_{MI}`$ might rather reflect a non ideal position of contacts than a deviation of the b axis resistivity from metallic behavior in this temperature range. Some measurements on samples of the same batch as the sample shown in Fig. 1 display a maximum of resistivity at 240 K and semiconducting behavior above, which we also attribute to contributions other than the b axis component of the resistivity tensor, which show semiconducting behavior as a function of temperature.

Slightly off-stoichiometric samples displayed a negative non-exponential temperature characteristic over the whole temperature range, most likely due to disorder. Owing to the quasi one-dimensional nature of the compound such a sensitivity of the transport properties to disorder can be expected. The jump in resistivity at 130 K, marking the MI transition, however, is still observed in such samples.

The transitions observed at $`T_{Na\text{-}2D}=240`$ K, $`T_{MI}=130`$ K and $`T_N=24`$ K have been reported previously, while the transition at $`T_{Na\text{-}3D}=222`$ K is reported here for the first time. Since we observed the latter transition, unresolved in earlier studies, in all of our stoichiometric samples we consider it to be an intrinsic property of Na1/3V2O5.

### B Magnetic susceptibility

Fig. 2 shows the inverse magnetic DC-susceptibility as a function of temperature measured in a field of $`10^4`$ G along the b axis.

The susceptibility follows a Curie-Weiss law in the temperature range 150 K $`<T<`$ 300 K with a Curie-Weiss temperature $`\mathrm{\Theta }_{CW}=150`$ K and an effective moment of $`1.9\mu _B`$ per V4+ ion. This is in agreement with literature  where values of $`\mu _{eff}`$ in the range $`1.9<\mu _{eff}<2.2\mu _B/V^{4+}`$ have been reported.

The fact that the magnetic susceptibility does not show a noticeable anomaly at the phase transitions at $`T_{Na\text{-}2D}=240`$ K and $`T_{Na\text{-}3D}=222`$ K, indicates that the magnetic and electronic state of the vanadium ions is not affected by these transitions. In contrast, at the MI transition a sharp upturn of the susceptibility is observed. The onset of magnetic order at 24 K is reflected by a sharp rise of $`\chi `$ (as measured in a field of $`10^4`$ G). At lower magnetic field this rise becomes more pronounced and for zero field cooled curves a small cusp is observed at $`T_N=24`$ K, as shown in the inset of Fig. 2.

### C Pressure dependence

The difficulties to measure the clean b axis contribution of resistivity are even more complex in a high pressure environment. Therefore, a measurement of the absolute resistivity was not possible under pressure. Nevertheless, the characteristic features marking the various phase transitions are easily resolved. The two transitions at $`T_{Na\text{-}2D}`$ and $`T_{Na\text{-}3D}`$, are independent of pressure within the experimental resolution. This suggests, that there is a link between these two transitions. The resistivity as a function of temperature in the vicinity of $`T_{MI}`$ is shown in Fig. 3 for three different pressures, as indicated in the figure. In contrast to the transitions at higher temperatures, the MI transition reacts extremely sensitive to pressure and shifts to lower temperatures at a rate of 28 K/GPa.

Qualitative information of the pressure dependence of the ratio of the resistance parallel b to the resistance perpendicular b was obtained from measurements on one sample with six contacts attached. We observe a decrease of anisotropy of resistivity with increasing pressure, indicating a crossover from 1D to two- or three-dimensional behavior, presumably due to increased interaction between vanadium chains.

To study the pressure dependence of the magnetic transition temperature $`T_N`$, we performed AC-susceptibility measurements using a miniature MIB. The signal obtained from the MIB does not allow to evaluate the absolute value of $`\chi _{AC}`$. The magnetic transition, however, is clearly seen as a cusp in the signal (Fig. 4) similar to the run of the ZFC DC-susceptibility curve (Fig. 2). With increasing pressure $`T_N`$ shifts to higher temperatures at a rate of 5 K/GPa while the height of the cusp decreases.

Fig. 5 summarizes the pressure dependencies of the respective phase transitions.

$`T_{MI}(p)`$ was investigated for two different samples (open and filled symbols in Fig. 5(b)) both showing the same pressure dependence as expected. A linear extrapolation to higher pressures would predict the magnetic and the MI transition to coincide at $`p=3.2`$ GPa.

## IV Discussion

As already mentioned above, the pressure independence of the resistivity anomaly at $`T_{Na\text{-}2D}=240`$ K and the hysteretic phase transition at $`T_{Na\text{-}3D}=222`$ K implies a common origin. XRD measurements by Yamada et al. revealed satellite reflections below 230 K, indicating a doubling of the unit cell in b direction . From a comparison to the intensity of similar satellite reflections found for $`\beta `$-Ag1/3V2O5 Yamada et al. deduced that the reflections are due to ordering on the Na (Ag) sublattice. The steep decrease of resistivity below $`T=240`$ K was then attributed to this ordering. However, the reported temperature below which the satellite peaks appear ($`T<230`$ K), coincides rather with the hysteretic transition in resistivity observed here (see right inset of Fig. 1). We therefore attribute this hysteretic transition to ordering within the Na sublattice and suggest the following scenario: at room temperature the Na ions form regular zigzag chains along the b axis. Within each zigzag chain the Na ions have a periodicity of 2b. Perpendicular to the b direction these zigzag chains are not correlated with respect to their occupation, and, therefore, the probability of occupation of each Na site is one half on the average and the lattice parameter is b. Below $`T_{Na\text{-}2D}=240`$ K correlations regarding the occupation of Na sites between neighboring Na zigzag chains develop, resulting in the steep decrease of resistivity. Since the distance between Na chains is shorter along the a ($`d_a10`$ Å) than along the c axis ($`d_c15`$ Å), correlations probably will first develop in the a direction. This results in long range correlations of Na chains within (ab-)planes, while there are no (or only short range) correlations perpendicular to these planes. Still the average occupation number of all Na sites remains one half and the periodicity of the lattice remains unchanged. Finally, below $`T_{Na\text{-}3D}`$ a coherent phase relation between the 2D-ordered chains emerges, which results in a transition to a three-dimensional long range ordered state associated with a hysteresis in the resistivity measurements and the appearance of satellite reflections signaling a doubling of the lattice parameter along the b direction.

The phase transitions at $`T_{MI}=130`$ K and $`T_N=24`$ K show a pronounced pressure dependence and clear signatures in the magnetic susceptibility, indicating that the electronic and magnetic state of the V ions changes at the respective transition. According to NMR measurements  the $`3d`$-electrons occupy the V1 and V2 sites above $`T_{MI}`$. Since both sites form chains in b direction (see above), the resulting electronic structure is expected to exhibit quasi one-dimensional features. This expectation is confirmed by band structure calculations based on density functional theory, which show a pronounced dispersion parallel, but a very small dispersion perpendicular to the b axis . This one-dimensional nature of the electronic structure and its concomitant Fermi surface nesting will leave Na1/3V2O5 susceptible to a Peierls like transition. The pressure dependence of the MI-transition is indeed consistent with such a scenario. In principle, a one-dimensional system is dominated by fluctuations and no phase transition is expected for $`T>0`$ K. In reality there is always a finite coupling between the one-dimensional objects constituting the system. This finite coupling results in a phase transition at finite temperature. Assuming that the MI transition is associated with Fermi surface nesting, the shift of the transition temperature $`T_{MI}`$ to lower temperature with pressure can be understood as follows: application of pressure will increase the coupling between vanadium chains and, at the same time, the lattice stiffness. The increase of interchain interaction will increase the $`3d`$-band dispersion perpendicular to the chains and, concomitantly, reduce the nested portion of the Fermi surface and, consequently, $`T_{MI}`$ decreases. An increase of lattice stiffness increases the amount of strain energy necessary for the lattice distortion associated with a Peierls like transition, decreasing $`T_{MI}`$ further. The scenario of an increased interchain interaction with pressure is supported by the evolution of the magnetic transition temperature with pressure. Increased interchain interaction will suppress fluctuations characteristic of the quasi one-dimensional system and shift the magnetic transition to higher temperatures. At the same time, this leads to a reduction in magnitude of the magnetic signature with increasing pressure, since the three-dimensional freezing of the spin structure occurs already at higher temperatures, i. e. smaller intrachain correlation lengths.

The pressure dependence of both $`T_{MI}`$ and $`T_N`$ therefore are consistent with the Peierls like scenario described above. To put forward an explanation for the fact that such a transition results in an insulating state one has to look at the electronic structure of Na1/3V2O5. The V $`3d`$ states associated with both the V1 and V2 sites (but not with the V3 site) appear to be occupied above $`T_{MI}`$ . Accordingly, one $`3d`$-electron is shared between two sites, i. e. there is one electron for four vanadium atoms. It also follows that the V $`3d`$ groundstate energy levels of V1 and V2 sites are (almost) degenerate, resulting in a 1/8 filling of each state above $`T_{MI}`$. To achieve an insulating ground state (and remove the degeneracy) the lowest lying levels have to be split. Below $`T_{Na\text{-}3D}`$ the doubling of the unit cell in b direction and the concomitant band splitting will lead to 1/4 filled bands. Below $`T_{MI}`$ further splitting can occur due to the formation of a (commensurate) charge density wave with suitable propagation vector q below $`T_{MI}`$. Depending on the propagation vector q this may result in a completely filled band separated from the other bands by a band gap, or in a half filled band. In the latter case an insulating state may follow from strong on-site Coulomb interaction. The NMR results  suggest a charge ordering with the $`3d`$-electrons either completely on V1 or V2 sites. In a local picture, consistent with the Peierls like scenario described above, this can be realized by a dimerization of either V1 or V2 sites, resulting in a bonding-nonbonding splitting of the dimerized levels and the occupation of the bonding state. The resulting half filled band situation again could result in an insulating state due to on-site Coulomb interactions. Clearly these suggestions are highly speculative and more investigations on the electronic structure and the lattice distortions at the MI-transition have to be carried out to obtain a better understanding of the insulating state and the distribution of the $`d`$-electrons on the various V sites in the metallic and insulating state of Na1/3V2O5.

## V Conclusion

The recorded pressure dependencies of the transition temperatures of the MI transition and the magnetic transition in Na1/3V2O5 are consistent with the picture of a quasi one-dimensional system. The decrease of the MI transition temperature with increasing pressure is interpreted as a result of a loss of Fermi surface nesting due to increased interchain interactions and the concomitant suppression of a Peierls like transition. At the same time the increased interchain interaction causes an increase of the magnetic ordering temperature. An observed pressure independent hysteretic transition is attributed to long range three-dimensional ordering on the half filled Na sublattice.

###### Acknowledgements.

This work was supported by the Deutsche Forschungsgemeinschaft under Contract Nos. HO 955/2-1 and SFB 484. We are grateful to P. Riseborough for valuable discussions.