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# References

SCHRÖDINGER’S CAT AND THE PROBLEM
OF TWO CULTURES
Ivan Vakarchuk
Ivan Franko National University of Lviv, Department for Theoretical Physics
12 Drahomanov St., Lviv, 79005, Ukraine

A mathematical model of the interaction mechanism for the intuitive-imaginative and heuristic-logical thinking responsible for the rift in the intellectual activity into two cultures has been suggested. The said model proceeds from the assumption that human thinking is based on the principles of the many-channel quantum-mechanical logic of the ”both … and” type surpassing the rigid confines of the ”either … or” type classical logic. The aggregate product of the person equally endowed in the said two-cultural space has been calculated. The interferential part of the latter achieves its maximum at the extreme values of such parameters as the inter-state exchange frequency and the difference of the states phases.

If we want to gauge the sky, the earth and the seas,
we must first of all measure ourselves.
Hryhorij Skovoroda
Philosophy is neither a science nor a perceptual sermon.
Martin Heidegger

I

Let us begin to talk about the problem of two cultures with a survey of one of its aspects which is quite apparent in the university setting. When considering the phenomenon of two cultures we shall venture to suggest one of the possible mechanisms regulating the interaction between the heuristic-logical and intuitive-imaginative thinking .

Each of us is aware of being different from everybody else. We are trying to measure this extent of otherness all the time intuitively. Each scholar tends to give some thought to the fact that his creative work and intellectual activity happen to be quite different from what, say, writers or actors are busy with. This is a well-known fact which has always been intuitively recognized. It was also quite aptly worded by an English writer and physicist Charles Snow in the fifties of the last century. He introduced the term two cultures by which he meant the culture of those who in their own words deal with creating and whose activity is concerned with imaginative thinking and the culture which is created by those working in the realm of exact and natural sciences. Thus on the one pole we have the artistic intelligentsia and on the other pole we have scientists.

We can formulate the definition of the two cultures in stricter terms. All the people around us fall under two groups, namely those who are well-versed in maths and those who feel at home with something else. In everyday life we are only too often confronted with a dichotomy that there are people who like mathematics and there are those who dislike it. By this we do not mean to refer to abilities, a desire to work or exert effort on oneself. Such endeavours seldom lead to the desired effect as a person may be capable of creating something else falling back on the principles of imaginative rather than rational thinking.

However, there are some who fall out of this dichotomy. We know a number of people who are profusely endowed with the capabilities of either type. In what follows we shall speak about them.

A natural laboratory to study the mentioned phenomenon can be found within the walls of the classical university. In the words of Karl Jaspers the university as a phenomenon of culture brings together those who are willing to cognize scientifically and to live spiritually. As can be seen in this definition we can again trace the two marked aspects of human activity just as well as in the quoted words of Martin Heidegger concerning philosophy. A prime feature of the university environment lies in its encompassing many cultures and many disciplines. Within a classical university where there is an atmosphere of interweaving tones and halftones, rich colours and subtle tinges of humanities with exact as well as natural sciences not a single teacher or scholar can stand fully aloof from the problem of two cultures.

II

Sometimes people who are lucky to be endowed with the faculties going in both directions, i.e., along the path of intuitive creativity and logical-intellectual thought cannot fully implement these capabilities which may lead to dramatic or even tragic circumstances. In order not to lose your talent you must have it, but far more importantly, you must have a chance to set it free. Developing talent and setting it free takes some purposeful steps. A gifted person is forced to make an effort on one’s own self in order to attain self-realization. A person that is gifted in both these ways and that has a natural possibility to stay in the creative as well as logical state can be very successful by crossing over between them but at the same time there is a risk that the said cross-overs might lead to frustration. What factors are responsible for the specific outcome?

We shall not make an attempt to discuss the formation of these capabilities of a man at the level of physiology which might be motivated by certain genes or sets of genes . It is also quite probable that specific intellectual or creative mechanisms are inherited even though their coming real is dependent upon a number of factors, including social factors, active both immediately before and prospectively after the birth of a human being.

In order to get some indepth insight into the problem of two cultures I suggest that we concentrate on one of the possible ways of its description which would be based on quantum mechanics principles. We shall speak about a certain analogy enabling us to draw qualitative conclusions and account for specific facts from real life. It may also go beyond the scope of a mere analogy.

The first hint at the analogy that the mechanisms of our thinking are quantum mechanic in nature comes from the fact that the retina of the human eye, being a component of the human brain, is capable of registering several photons (light quanta) . It appears that the sensitivity of our eye is unexpectedly high. Its physiological threshold equals one photon which is sufficient for arousing the receptor. Yet for the brain to be able to take in the message it is necessary to have 5$`÷`$8 photons. Thus the reception threshold equals several photons even though there might be pre-threshold reception. Our brain is set to motion by single light quanta. The brain begins to work at the atomic level. For the latter the quantum mechanics laws as well as the quantum mechanics mechanism of the phenomena are already fully binding even though the time, during which the electron stays in the coherent state, is substantially falling short of the time necessary for conveying excitations between neurons.

We may adduce other examples to the effect that quantum mechanics is binding on the microscopic scale that we are accustomed to. They are the phenomena of super-fluidity and superconductivity or else, even more clearly, that of the laser.

Falling back on what has been said so far it might well be possible to suppose that the brain, being a macroscopic set-up, is likely to abide in its functioning also by the laws of quantum mechanics. The latter amounts to the many channel interferential quantum mechanics principle of the type of “both and” surpassing the classical logic model of the nature of “either or”.

Should the Reader of these notes believe that the adduced argumentation is insufficient or that it is unacceptable, the author will agree to the suggestion that this is just one of the possible microscopic level modelings of what is created by the observable phenomenon of two-culturalism.

III

Let us speak about those who are capable of combining these two cultures. In view of what has been stated above let us try and model their state as the state of the quantum system making use of the quantum mechanics assumption of the cat of Schrödinger who is both alive and dead at the same time.

Let us remember that in the wake of the creation of quantum mechanics in the years 1925–1926 a set of paradoxes was suggested to illustrate the seeming absurdity of its fundamental principles. The paradox suggested in 1935 by Erwin Schrödinger who was one of the founders of quantum mechanics says that the non-determined state of the quantum particle, for instance a photon, penetrating the semi-silver mirror with the probability of “1/2” and reflecting from it with the same “1/2” probability passes over the cat that is shut in a box. Should the particle penetrate the mirror, it will switch on the device killing the cat. Should it fail to penetrate the mirror the cat will stay alive. As the particle which abides by the laws of quantum mechanics is in the super-positional state, i.e., in the “both…and” and not “either…or” states, the said cat also finds itself in the same superpositional “alive-and-dead-at-the-same-time” state. Otherwise stated, should the quantum particle realize both the possibilities at the same time, the cat as a macroscopic system must simultaneously realize both its states at the same time. The essence of the paradox lies in the fact that after the photon gets into the mirror the state of the cat is seemingly non-determined. In true fact, non-determinedness disappears at the moment of the interaction of the photon with the device.

The very idea about the possibility for a system to simultaneously stay in two possible states at once is laid at the foundation of the present study. The Schrödinger’s cat paradox was referred to with the purpose of illustrating a possible direct link between micro- and macroworld. It shows that both the state of the cat and our perception of two-culturalism are a consequence of the processes taking place at the molecular level. The state of the classical cat becomes determined at the moment of the interaction of the photon with the device when the so-called reduction of its state amplitude occurs. The state of two-culturalism which is created by our central nervous system is quantum by nature just like quantum in principle are such phenomena as super-fluidity of liquid helium or laser radiation.

Let us now offer several statements. Polyculturalism is formed by different ways of thinking that can be split into two components: the intuitive-creative or imaginative thinking and the heuristic-logical thinking which can be called intellectual thinking. Further, for describing the intellectual-creative activity we shall make use of the notion of the state amplitude. It is a value which when squared gives the probability of staying in this state. Therefore, we tend to believe that there are only two reference states which can be called the state of imaginative thinking and the state of logical thinking. Each of these states is described by its own amplitude. Likewise, polyculturalism can also be described as an overlap in varied proportions of just two constituents. By this we suppose that polyculturalism is two-dimensional. This resembles a well-known fact that any colour can be split into three constituents: red, green and blue. Similarly, mathematicians believe that any vector can be split into three reference vectors. This is tantamount to saying that in our case each vector in the polycultural space determines the state vector which in its turn is subject to decomposition into two reference vectors.

IV

The aforementioned preliminary remarks, at times, if anything, not very clearly defined, will now be formulated as several postulates developing our quantum mechanics approach and at the same time introducing the necessary notions and respective mathematical operations.

Postulate I. Let the state of the system’s intellectual-creative activity at the microscopic level be given by the amplitude $`\psi `$ dependent upon the time $`t`$ and “the generalized coordinates” $`q`$. The module square of the value $`\psi `$ equals the probability of the system’s staying in this state.

Postulate II. The space of the intellectual-creative activity is believed to be two-dimensional: one dimension is imaginative thinking, the other one is logical thinking. Let $`\psi _1`$ be the amplitude of the state of imaginative thinking and let $`\psi _2`$ be the amplitude of the state of logical thinking, the $`\psi _1`$, $`\psi _2`$ base being complete.

Postulate III. The amplitude of any state is determined in compliance with the quantum mechanics principle of superposition:

$`\psi =C_1\psi _1+C_2\psi _2.`$
Between the states $`\psi _1`$ and $`\psi _2`$ describing the two cultures transitions are possible which are characterized by the so-called exchange energy A.

The dependence of the amplitude $`\psi `$ upon time is determined by the factors $`C_1`$ and $`C_2`$ which can be found from Schrödinger’s equation that is the main equation of quantum mechanics :

$`C_1`$ $`=`$ $`\mathrm{cos}\mathrm{\Omega }t,`$
$`C_2`$ $`=`$ $`i\mathrm{sin}\mathrm{\Omega }t,`$
where the frequency of “exchange” between the reference states $`\mathrm{\Omega }=A/\mathrm{}`$ is a characteristic parameter of the system and is determined both by the intrinsic properties of the system itself and its environment. For the sake of definiteness it is taken that at the initial moment of time $`t=0`$ the system is in the state $`\psi _1`$ . Besides this, the given expressions do not take into account the time dependent phase multiplier which is irrelevant for us and which is removed by a simple replacement of the beginning of the measurement on the energy scale.

The full probability of staying in the two-cultural state equals the module square of the amplitude $`\psi `$. With this full probability we shall calculate the aggregate product of the intellectual-creative capacity of a person which stands for what one manages to create in the course of the entire creative life.

Let the intellectual-intuitive creative capacity be described by the operator

$`\widehat{K}=\widehat{K}(q,t)`$
in the way that its observable value at the moment $`t`$, i.e., the quantum mechanical average of the said operator by definition equals

$`K\left(t\right)=\psi \left|\widehat{K}\right|\psi ={\displaystyle \psi ^{}(q,t)\widehat{K}(q,t)\psi (q,t)𝑑q}.`$
In the course of the creative life time span $`T`$ of a person the aggregate product equals the integral of the average capacity

$`Q={\displaystyle \underset{0}{\overset{T}{}}}K\left(t\right)𝑑t.`$
The beginning $`t=0`$ when the creative activity gets off the ground is dependent upon the IQ coefficient . The end of the creative life when $`T=t`$ and when one exhausts oneself is dependent on many factors, not the least quite accidental.

With the purpose of simplifying the notation without losing the final conclusions we shall separate in the operator $`\widehat{K}`$ the dependence upon time $`t`$ and the coordinates $`q`$:

$`\widehat{K}(q,t)=\widehat{Q}\left(q\right)p\left(t\right),`$
at the same time we shall normalize the function $`p(t)`$ so that

$`{\displaystyle \underset{0}{\overset{T}{}}}p\left(t\right)𝑑t=1.`$
We will place this operator in the expression for $`K(t)`$ and taking into account the explicit form of the amplitude $`\psi `$ and the coefficients $`C_1`$ and $`C_2`$ we will find that

$`K\left(t\right)`$ $`=`$ $`p\left(t\right)\left[Q_{11}\mathrm{cos}^2\mathrm{\Omega }t+Q_{22}\mathrm{sin}^2\mathrm{\Omega }t+i\left(Q_{21}Q_{12}\right)\mathrm{sin}\mathrm{\Omega }t\mathrm{cos}\mathrm{\Omega }t\right],`$
where the matrix elements of the operator $`\widehat{K}`$ equal:

$`Q_{11}`$ $`=`$ $`\psi _1\left|\widehat{Q}\right|\psi _1,`$
$`Q_{22}`$ $`=`$ $`\psi _2\left|\widehat{Q}\right|\psi _2,`$
$`Q_{12}`$ $`=`$ $`Q_{21}^{}=\psi _1\left|\widehat{Q}\right|\psi _2.`$
By its content the operator $`\widehat{K}`$ is self-correlative and expressed positively, thus $`Q_{11}>0`$, $`Q_{22}>0`$, the non-diagonal element being written as a complex value through its module and $`\delta `$ phase.

$`Q_{12}=\left|Q_{12}\right|e^{i\delta },`$
note that since $`Q_{21}=Q_{12}^{}`$,

$`Q_{21}=\left|Q_{12}\right|e^{i\delta }.`$
Now, the formula for $`K(t)`$ can be written as follows

$`K\left(t\right)=p\left(t\right)\left({\displaystyle \frac{Q_{11}+Q_{22}}{2}}+{\displaystyle \frac{Q_{11}Q_{22}}{2}}\mathrm{cos}2\mathrm{\Omega }t+\left|Q_{12}\right|\mathrm{sin}\delta \mathrm{sin}2\mathrm{\Omega }t\right).`$
As we can see an essential dependence upon the phase $`\delta `$ arises. Integrating this expression by the time $`t`$ we have

$`Q={\displaystyle \frac{Q_{11}+Q_{22}}{2}}+{\displaystyle \frac{Q_{11}Q_{22}}{2}}p_{2\mathrm{\Omega }}^{}+\left|Q_{12}\right|p_{2\mathrm{\Omega }}^{\prime \prime }\mathrm{sin}\delta ,`$
where we have introduced the real and imaginary parts of the Fourier coefficient of the function $`p(t)`$:

$`p_\omega ={\displaystyle \underset{0}{\overset{T}{}}}p\left(t\right)e^{i\omega t},`$
$`p_\omega ^{}=\mathrm{Re}p_\omega ,p_\omega ^{\prime \prime }=\mathrm{Im}p_\omega .`$
The found expression for $`Q`$ happens to be the main formula providing the basis for the entire subsequent analysis.

V

Rather than seeing our task in comparing the intellectual capacities of different people we are primarily concerned with finding out more about the circumstances under which one can fully implement one’s own abilities in compliance with the individual’s own potential. That is why it is natural to assume the measuring unit of the value $`Q`$ to be a half of the sum $`(Q_{11}+Q_{22})/2`$ which we will refer to as a classical meaning of the aggregate product. Thus, we will be concerned with the scaled aggregate product

$`Q^{}=Q/\left({\displaystyle \frac{Q_{11}+Q_{22}}{2}}\right).`$
Proceeding from the main formula we will receive

$`Q^{}=1+{\displaystyle \frac{Q_{11}Q_{22}}{Q_{11}+Q_{22}}}p_{2\mathrm{\Omega }}^{}+{\displaystyle \frac{2\left|Q_{12}\right|}{Q_{11}+Q_{22}}}p_{2\mathrm{\Omega }}^{\prime \prime }\mathrm{sin}\delta .`$
As we treat of a person equally endowed with talents, i.e., when $`Q_{11}=Q_{22}`$ this expression is simplified:

$`Q^{}=1+{\displaystyle \frac{\left|Q_{12}\right|}{Q_{11}}}p_{2\mathrm{\Omega }}^{\prime \prime }\mathrm{sin}\delta .`$
Let us pass over to the discussion of the established formula. The maximum possible exhaustedness of a creative personality equals a half of the sum of what originates from each of the two reference states (otherwise said from the intellectual and creative states) together with the interference crossed term. The crossed term which is refuted by the classical logic appears, as can be seen, from the doubled product during the unfolding of the square from $`\psi `$ as a sum of two terms at the calculus of probability. This interferential contribution into the aggregate product is dependent on two parameters: the frequency $`\mathrm{\Omega }`$ of switching over from one type of activity to the other as well as on such a subtle, almost transcedental notion as the phase $`\delta `$.

The crossed effect can enhance or decrease the implementation of the person’s potential depending upon these parameters. In order to implement one’s talent to the full it is necessary first and foremost to harmonize the switching over frequency with the length of the creative life so that the value of $`p_{2\mathrm{\Omega }}^{\prime \prime }`$ be maximally positive. Secondly, we must set the phase $`\delta `$ to equal $`\pi /2`$, so $`\mathrm{sin}\delta =1`$. Then the contribution of two-culturalism into the aggregate product will be not just maximal but will also have a positive sign.

If the phase $`\delta `$ equals zero or the switching over frequency is high $`\mathrm{\Omega }\mathrm{}`$, $`p_{2\mathrm{\Omega }}^{\prime \prime }0`$, a gifted person does not tend to fully unfold one’s own abilities and turns into an ordinary person with half a sum of the aggregate product $`(Q_{11}+Q_{22})/2`$ realizing the classical values of $`Q^{}=1`$. Should the phase $`\delta `$ equal $`3\pi /2`$, we will have a sign which is opposite to two-culturalism and then the person in question is not merely a lost talent. We may have to deal with a tragedy as a gifted person has failed to come up to the achievements of an ordinary person.

Hence, purposeful efforts are needed to obtain self-implementation and ensure harmony with oneself as well as intellectual and aesthetic satisfaction. These efforts should be directed at setting the input parameters characterizing the intellectual creative activity of a person.

VI

With the purpose of giving numerical characteristics of these qualitative conclusions we will study the model systems. Let us first consider the symmetrical case when $`|Q_{12}|=Q_{11}=Q_{22}`$. We will give $`p(t)`$ as a step function, i.e., let us assume that $`p(t)`$ remains constant from the beginning of one’s creative life $`t=0`$ till $`T=0`$ when the creative life comes to an end:

$`p\left(t\right)=\{\begin{array}{cc}1/T,\hfill & 0tT\hfill \\ 0,\hfill & otherwise,\hfill \end{array},`$
the Fourier coefficient

$`p_\omega ={\displaystyle \frac{1}{T}}{\displaystyle \underset{0}{\overset{T}{}}}e^{i\omega t}𝑑t={\displaystyle \frac{e^{i\omega T}1}{i\omega T}},`$
and the imaginary part

$`p_\omega ^{\prime \prime }={\displaystyle \frac{\mathrm{sin}^2\left(\omega T/2\right)}{\left(\omega T/2\right)}}.`$
Consequently,

$`Q^{}=1+\mathrm{sin}\delta {\displaystyle \frac{\mathrm{sin}^2\mathrm{\Omega }T}{\mathrm{\Omega }T}}.`$
The maximum value of $`Q^{}`$ brings about $`\delta =\pi /2`$ as well as the parameter $`x=\mathrm{\Omega }T`$ which complies by the equation (the condition according to which the derivative from $`Q^{}`$ by $`x`$ equals zero)

$`{\displaystyle \frac{\mathrm{tg}x}{x}}=2,`$
from where $`x=1.165561`$. At this

$`Q_{\mathrm{max}}^{}=1+{\displaystyle \frac{\mathrm{sin}^2x}{x}}=1.7246.`$
Hence, the interference member tends to additionally increase the classical value of $`Q^{}`$ by 72%. It is also curious that in this model when one’s creative life is cut short at once at $`x=n\pi `$, $`n=1,2,\mathrm{}`$ interference disappears and the value of $`Q^{}`$ becomes classical too. If the frequency of switching over $`\mathrm{\Omega }\mathrm{}`$, then $`Q^{}1`$. For that matter a frequent change of interests tends to smear the interference effect of one’s intellectual-creative activity, the said effect being the essence of one’s unusualness. When a person is able to set the parameters of $`\delta `$ and $`\mathrm{\Omega }`$ to their extreme values he possesses a many-sided and well manifesting itself talent.

Let us now consider a more realistic model of the function $`p(t)`$. Let $`p(t)`$ be the analytical function of the time pending to zero both at $`t0`$ and at $`t\mathrm{}`$:

$$p\left(t\right)=\gamma ^2te^{\gamma t},$$

where $`\gamma `$ is a decrement of the subsidence of the intellectual-intuitive creativity whose presence allows to detract the parameter $`T`$ to infinity ($`T=\mathrm{}`$). In compliance with our requirements this function is normalized by one, the climax of the creative activity falling on the time $`t=t/\gamma `$. By definition we shall calculate the Fourier coefficient

$`p_\omega ={\displaystyle \frac{1\left(\omega /\gamma \right)^2+2i\omega /\gamma }{\left[1+\left(\omega /\gamma \right)^2\right]^2}}.`$
Let us take from here $`p_\omega ^{\prime \prime }`$ at the frequency $`\omega =2\mathrm{\Omega }`$ and for $`Q^{}`$ we will have:

$`Q^{}=1+{\displaystyle \frac{2\nu }{\left(1+\nu ^2\right)^2}}\mathrm{sin}\delta ,`$
where $`\nu =2\mathrm{\Omega }/\gamma `$. This function also falls to zero at $`\nu \mathrm{}`$. And it reaches its peak at $`\delta =\pi /2`$ at the point $`\nu =1/\sqrt{3}`$:

$`Q_{\mathrm{max}}^{}=1+3\sqrt{3}/8=1.6495.`$
The interference effect in this model increases the classical value of $`Q^{}`$ by 65$`\%`$.

VII

It seems likely that each of us carries his own problem of two cultures inside himself. Both an artist and a scholar often act without the awareness that they themselves are at the crossroads of these cultures. The suggested quantum-mechanical mechanism of creativity gives a paradoxical intertwining of imaginative and logical thinking. This intertwining is capable of creating something which looks entirely new and cannot be reduced to anything or split into constituents. It should rather be seen as an interference effect. The contribution of two-culturalism into the aggregate product understood as the interferencial crossed effect can alter slightly depending upon the specific model. Yet it is this effect which makes the difference between potentially talented people and people that implement their talent.

Ultimately, let us remark that these conclusions can pertain not only to specific individuals who find themselves in two states at a time but also to a community of people that are forced by the historical circumstances to live and act in the conditions of multiple cultural cross-overs.

One of the two quotations placed at the beginning of this paper is from the work of the outstanding Ukrainian thinker Hryhorij Skovoroda. It refers us once again to the fundamental philosophical principle of getting to know oneself which has always been attractive to people even though with varied intensity at different times. With an ever-growing vigour we are obliged to get to know our own selves, researching and opening anew our activities in versatile spheres. It is not only quite interesting in itself but also increasingly important in view of the fact that we happen to live in an ever more interrelated and globalized society when the fate of each of us is dependent upon the activity of everyone else.


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hep-th/0205192 OHSTPY-HEP-T-02-016

A proposal to resolve the black hole information paradox

Samir D. Mathur

Department of Physics

The Ohio State University

Columbus, OH 43210, USA

mathur@mps.ohio-state.edu

The entropy and information puzzles arising from black holes cannot be resolved if quantum gravity effects remain confined to a microscopic scale. We use concrete computations in nonperturbative string theory to argue for three kinds of nonlocal effects that operate over macroscopic distances. These effects arise when we make a bound state of a large number of branes, and occur at the correct scale to resolve the paradoxes associated with black holes.

\*This essay received an “honorable mention” in the Annual Essay Competition of the Gravity Research Foundation for the year 2002.

Black holes have a ‘Bekenstein entropy’ $`S_{Bek}=A/4G`$. Are there $`e^{S_{Bek}}`$ microstates of the hole, and if so, then where do we see the differences between them? The Hawking radiation from the hole appears to be reliably given by a semiclassical calculation, but the radiation thus computed carries little information about the infalling matter. Is unitarity violated by black holes?

The essential strength of these puzzles lies in the fact that the more massive we make the hole, the smoother its geometry becomes at the horizon. Incoming matter disappears into the central singularity while Hawking radiation arises from vacuum fluctuations near the smooth horizon. But the horizon is a large distance – $`R_s`$, the Schwarzschild radius – from the singularity, so the radiation is unable to encode the information of the infalling matter.

While everyone agrees that nonlocal physics can arise at a microscopic length scale like planck length or string length, what we need to effect the information transfer is nonlocal effects across spatial lengths of order $`R_s`$, which is a length that increases with the mass of the hole. Thus in our theory of gravity if we make a bound state of a large number of quanta, then nonlocal effects should operate not at a fixed microscopic length but rather at a length that increases with the number of quanta in the bound state.

In this article we argue that we must modify our intuition about quantum gravity to include three phenomena where quantum gravity effects indeed reach out to macroscopic length scales:

(a) Bound states of branes have a nonzero size; it is important that this size grows with the number of branes.

(b) When we make a bound state from a large number $`N`$ of branes then the excitations of this bound state are given in terms of fractionated branes which have a tension $`1/N`$; thus the virtual fluctuations of these fractionated branes extend to macroscopic distances when $`N`$ is macroscopic.

(c) The concept of limited stretchability, which says that if spatial hypersurfaces ‘stretch too much’ during evolution then we encounter a breakdown of the semiclassical approximation even though there are no large curvatures anywhere – rather, the degrees of freedom on the hypersurface have become too ‘dilute’.

We show that these principles are supported by concrete calculations in string theory, and that they fit together to provide a resolution of the paradoxes arising from black holes.1 For some other attempts at resolving the information puzzle (both related and unrelated) see .

We will extract evidence for these principles from computations in IIB string theory, which lives in $`9+1`$ spacetime dimensions. Five space directions are compactified; we write these as $`T^4\times S^1`$. One system of interest is the D1-D5 system – we wrap $`n_5`$ D5 branes on $`T^4\times S^1`$, and $`n_1`$ D1 branes on $`S^1`$. The bound state of these branes has a highly degenerate ground state, with entropy $`S_{micro}=2\sqrt{2}\sqrt{n_1n_5}`$. The volume of $`T^4`$ is $`(2\pi )^4V`$, the radius of $`S^1`$ is $`R`$, the string coupling is $`g`$, and the string tension is $`\alpha ^{}`$. A set of dualities maps this ‘2-charge system’ to another 2-charge system – the FP bound state, where we have $`n_5`$ fundamental strings wrapped on $`S^1`$, carrying $`n_1`$ units of momentum along $`S^1`$.

Let us first look at the size of bound states. Consider a fundamental string (F) carrying momentum (P). The string possesses no longitudinal vibration modes, so to carry the momentum the string must bend away from its central axis. The FP state thus acquires a certain transverse size; the more the momentum, the larger this size.

Had the bound state been pointlike, the metric would have ended in a point singularity at $`r=0`$. But the finite size of the bound state modifies this naive metric inside a region $`r<r_0`$. A recent analysis of such metrics yielded an interesting set of results. For the same total energy the string can carry different vibration profiles, and these give metrics that differ for $`r<r_0`$. . Let us coarse-grain over these ‘microstates’ by truncating the geometry at the surface $`r=r_0`$. From the area $`A`$ of this ‘horizon’ we find

$$S_{Bek}A/4G\sqrt{n_1n_5}S_{micro}!$$

Further, a quantum that falls past this ‘horizon’ gets ‘trapped’ in the complicated geometry at $`r<r_0`$, for times $`1/\mathrm{}`$. So from a classical perspective, this surface indeed behaves like a horizon.

Thus for the extremal 2-charge system we resolve the ‘entropy puzzle’: we directly relate the ‘area entropy’ to a coarse graining over microstates (‘hair’). Tracing back, the critical fact was that the bound states had a transverse size which grew with the charges at just the correct rate to always reach a ‘horizon’ which satisfies (1).

Can such a picture can be extended to the 3-charge system, which can be constructed by adding $`n_p`$ units of momentum along $`S^1`$ to the D1-D5 bound state? The 3-charge system has a classical size horizon radius, so we need to understand how the microstate develops an effective size that is classical. The key notion (for both two and three charge states) is fractionation. Consider a string wrapped on a circle of radius $`R`$. The minimum excitation energy (for no net momentum along the string) is $`\frac{1}{R}+\frac{1}{R}=\frac{2}{R}`$. But now let the string wind $`N`$ times around the circle before closing on itself. Now the vibration modes can have a wavelength $`2\pi RN`$, and the energy gap drops to $`\frac{2}{NR}`$ .

If we have a bound state of D1 and D5 branes then for vibrations along $`S^1`$ the energy spacing drops to $`\frac{2}{n_1n_5R}`$ . Clearly, the larger we make the hole, the lighter will be its excitations. In  the effective size of the D1-D5-momentum bound state resulting from ‘fractionated’ degrees of freedom was estimated at weak coupling, and was found to be

$$r_0[\frac{(n_1n_5n_5)^{1/2}g^2\alpha ^4}{VR}]^{1/3}$$

But this is the same algebraic function of these six parameters that gives (upto a factor of order unity) the Schwarzschild radius of the 3-charge hole! These results suggest that fractionation gives bound states of branes a size that always equals the horizon radius, We picture a ‘fuzz’ of virtual brane-antibrane pairs extending out to the horizon. A massive infalling particle falls through this fuzz to the center, but over a longer time scale (order $`1/\mathrm{}`$) these virtual fluctuations can transport the information in the particle to horizon and into the outgoing Hawking radiation.

Let us now address the information paradox. Broadly speaking, we can consider two kinds of foliations in analyzing the radiation. In the first kind, slices are $`t=\mathrm{constant}`$ for $`r>>2m`$, but inside the horizon they extend into the singularity. Can the singularity at $`r=0`$ modify radiation at $`r=2M`$? Yes, since fractionation generates effects that extend to the horizon!

But an apparently stronger argument for information loss can be made by using a foliation where the slices never approach the singularity, and there are no large curvatures anywhere. It was shown in  that in such foliations the spacelike slices stretch in the course of evolution by a large factor $`1/\mathrm{}`$. It was suggested that spacelike hypersurfaces should be regarded as ‘rubber sheets’ that have not only a shape but a density of degrees of freedom. Stretching dilutes these degrees, and if more matter data is placed on the slice than the number of available ‘bits’ then nonlocal effects occur. Quantitatively, if we assume that a volume $`V`$ in flat space can stretch to a ‘throat’ with maximum depth $`V/G`$ then the information paradox is resolved – every foliation has slices that have a singularity or ‘stretch too much’, and the semiclassical derivation of Hawking radiation is invalidated in each case.

Remarkably, a similar picture emerged in the exact analysis of throat geometries of the D1-D5 system, which was mapped by AdS/CFT duality to a 1+1 sigma model . The throat had different depths for different microstates. The dual sigma model described the geometry in terms of a collection of ‘component strings’. Longer throats (‘stretched geometries’) were described in the CFT by fewer component strings. When enough quanta were placed in the throat so that each component string in the dual description was excited (all ‘bits’ were used up), the physics underwent a qualitative change. Lastly, the maximum depth of the throat was exactly $`V/2G`$ !

To summarize, fractionation generates very light degrees of freedom; the virtual fluctuations of these degrees can transport the information in an infalling particle all the way to the horizon (over times of order $`1/\mathrm{}`$). If we consider a foliation by ‘regular slices’ that avoid the singular source of these virtual quanta then the slices ‘stretch’ by a factor $`O(1/\mathrm{})`$. AdS/CFT duality supports the idea that degrees of freedom along the slice are limited and get ‘overdiluted’ under such extreme stretching, so that semiclassical behavior breaks down. Physics in the absence of black holes, studied on ‘regular’ foliations, remains unaffected by all these phenomena, and we resolve all puzzles associated with black holes.

References

relax E. Verlinde and H. Verlinde, Nucl. Phys. B 406, 43 (1993) \[arXiv:hep-th/9302022\]; Y. Kiem, H. Verlinde and E. Verlinde, Phys. Rev. D 52, 7053 (1995) \[arXiv:hep-th/9502074\]; L. Susskind, Phys. Rev. D 49, 6606 (1994) \[arXiv:hep-th/9308139\]; L. Susskind and P. Griffin, arXiv:hep-ph/9410306; D. A. Lowe and L. Thorlacius, Phys. Rev. D 60, 104012 (1999) \[arXiv:hep-th/9903237\]; H. S. Nastase, quantum gravity unified with other interactions,” arXiv:hep-th/9601042. Several additional references can be found in S. B. Giddings, arXiv:hep-th/9508151. relax O. Lunin and S. D. Mathur, Nucl. Phys. B 610, 49 (2001) \[arXiv:hep-th/0105136\]. relax O. Lunin and S. D. Mathur, Nucl. Phys. B 623, 342 (2002) \[arXiv:hep-th/0109154\]. relax O. Lunin and S. D. Mathur, arXiv:hep-th/0202072. relax S. R. Das and S. D. Mathur, Phys. Lett. B 375, 103 (1996) \[arXiv:hep-th/9601152\]. relax J. M. Maldacena and L. Susskind, Nucl. Phys. B 475, 679 (1996) \[arXiv:hep-th/9604042\]. relax S. D. Mathur, Nucl. Phys. B 529, 295 (1998) \[arXiv:hep-th/9706151\]. relax S. D. Mathur, Int. J. Mod. Phys. A 15, 4877 (2000) \[arXiv:gr-qc/0007011\].


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# Hopping in a Supercooled Lennard-Jones Liquid: Metabasins, Waiting Time Distribution, and Diffusion

## Abstract

We investigate the jump motion among potential energy minima of a Lennard-Jones model glass former by extensive computer simulation. From the time series of minima energies, it becomes clear that the energy landscape is organized in superstructures, called metabasins. We show that diffusion can be pictured as a random walk among metabasins, and that the whole temperature dependence resides in the distribution of waiting times. The waiting time distribution exhibits algebraic decays: $`\tau ^{1/2}`$ for very short times and $`\tau ^\alpha `$ for longer times, where $`\alpha 2`$ near $`T_c`$. We demonstrate that solely the waiting times in the very stable basins account for the temperature dependence of the diffusion constant.

The energy landscape picture proposed more than thirty years ago by Goldstein Goldstein (1969) has turned out to be a fruitful way of describing the complicated many-particle effects in disordered systems Angell (1995). Starting from the joint potential energy landscape (PEL) $`V(x)`$ of $`N`$ particles as a function of their configuration $`x=\{𝐱_1,\mathrm{}𝐱_N\}`$ one expects that the properties of the system at sufficiently low temperatures will be dominated by long residences near local minima of $`V(x)`$ (inherent structures) with rare hopping events between them Stillinger (1995). Recently it became clear for a model glass former that the strict hopping picture approximately holds for $`T<T_c`$ (landscape-dominated regimeSchrøder et al. (2000); Angelani et al. (2000); Broderix et al. (2000) where $`T_c`$ is the mode-coupling temperature Götze and Sjogren (1992). However, even for higher temperatures $`T<2T_c`$ many dynamic properties are still related to the properties of inherent structures (landscape-influenced regimeSastry et al. (1998); Scala et al. (2000); Büchner and Heuer (2000). Thus, in both temperature intervals an observable like the diffusion constant $`D(T)`$ should depend on the topography of inherent structures (IS) or, more generally, of basins (a basin of an inherent structure is defined as the set of configurations that reach this minimum via steepest descent Stillinger and Weber (1982)). Such an understanding is indispensable to grasp the underlying physics of the Adam-Gibbs relation Adam and Gibbs (1965); Richert and Angell (1998).

A simplified picture of glassy dynamics has been expressed in phenomenological models in Zwanzig (1983); Monthus and Bouchaud (1996); Odagaki et al. (1994) based on spatially uncorrelated hopping processes (random-walk) in configuration space. Then the whole temperature dependence is contained in the average waiting time $`\tau (T)`$. The true dynamics of glass forming systems, however, is expected to be more complicated. For example it is known that back- and forth correlations cannot be neglected and that the elementary jump distances depend on temperature Schulz et al. (2001); Gaukel and Schober (1998). In general, in a hopping approach the temperature dependence of the diffusion constant may be related to spatial and temporal aspects, as expressed by the relation

$$D(T)=\frac{a^2(T)}{6N\tau (T)}.$$
(1)
With this ansatz, we anticipate the important role of the mean waiting time and collect the spatial details of hopping in an effective jump width $`a(T)`$. The latter involves (i) the average jump distance, (ii) correlations of jump widths with waiting times, and (iii) directional correlations of successive jumps. To our knowledge this decomposition into spatial and temporal contributions has not been systematically implemented within the PEL framework so far. A priori it is not clear to which degree the temperature dependence of $`a(T)`$ is relevant; see, e.g., Vardeman and Gezelter (2001); Schulz (1998). Some information about the waiting time distribution (WTD) has already been gained from the analysis of hopping processes of single particles in real space via computer simulations Miyagawa and Hiwatari (1991); Allegrini et al. (1999). In contrast, we consider hopping in configuration space, with the advantage of incorporating the full many-particle effects Keyes and Chowdhary (2001a).

In this paper, we present detailed information about the spatial and temporal aspects of hopping in a model glass former, and individually determine $`a(T)`$ and $`\tau (T)`$. We demonstrate that (i) only $`\tau (T)`$ depends on temperature, (ii) hopping among single basins is not a random walk, whereas hopping among superstructures of minima (metabasins) is close to a random walk, (iii) $`\tau (T)`$ is dominated by the long waiting times, due to a slow (approximately algebraic) decay of WTDs.

In the present work, we investigate a binary mixture of Lennard-Jones particles (BMLJ), as recently treated by two groups Broderix et al. (2000); Hernandez-Rojas and Wales (2001); see also Kob and Andersen (1995). It is characterized by the interaction potentials $`V_{\alpha \beta }(r)=4ϵ_{\alpha \beta }[(\sigma _{\alpha \beta }/r)^{12}(\sigma _{\alpha \beta }/r)^6]`$ with the parameter set $`N=N_A+N_B=52+13=65`$, $`\sigma _{AB}=0.8\sigma _{AA}`$, $`\sigma _{BB}=0.88\sigma _{AA}`$, $`ϵ_{AB}=1.5ϵ_{AA}`$, $`ϵ_{BB}=0.5ϵ_{AA}`$, $`r_c=1.8\sigma _{AA}`$. Linear functions were added to the potentials to ensure continuous forces and energies at the cutoff $`r_c`$. Units of length, mass, energy, and time are $`\sigma _{AA}`$, $`m`$, $`ϵ_{AA}`$, and $`\sqrt{m\sigma _{AA}^2/ϵ_{AA}}`$, respectively. For convenience, though, we will omit units here. We use Langevin molecular dynamics simulations (MD) with fixed step size, $`\lambda ^2=0.015^2=2k_\mathrm{B}T\mathrm{\Delta }t/m\zeta `$, equal particle masses $`m`$, friction constant $`\zeta `$, and periodic boundary conditions at a density of $`\rho =1.2`$. The friction constant $`\zeta =2/0.015^2`$ is chosen so that $`\mathrm{\Delta }t=1/T`$. Due to the different type of dynamics, the absolute values of times and diffusion constants are different from those found within Newtonian dynamics simulations. The mode-coupling temperature is $`T_c=0.45\pm 0.01`$ in this model system (compare Kob and Andersen (1995)).

For the analysis of dynamics in configuration space it is essential to use small systems because otherwise many interesting effects will be averaged out Büchner and Heuer (2000). The relevance of small systems has been also pointed out by other groups; see, e.g. Keyes and Chowdhary (2001a); Grigera et al. (2002). On the other hand, the system should not be too small in order to avoid major finite size effects. $`N60`$ turns out to be a very good compromise for binary Lennard-Jones mixtures, whereas $`N40`$ already displays major finite-size effects Büchner and Heuer (1999). Here we choose $`N=65`$. To back those findings,we have carried out an extensive study of finite-size effects for systems of $`N=65,130`$, and $`N=1000`$ particles Doliwa and Heuer (2002a). It turned out that the $`N=65`$ system is nearly identical to the bulk ($`N=1000`$) above $`T_c`$. Since well-equilibrated runs of $`N130`$ are lacking below $`T_c`$, finite-size effects cannot be excluded there at the present stage. However, this does not affect the main results of this paper. More important is the question of good equilibration at each temperature. Have the runs been long enough to sample the PEL sufficiently? Above $`T_c`$ this is uncritical, which can be seen from the fact that each run comprised at least 850 $`\alpha `$-relaxation times. A more detailed check, involving the lifetimes and distribution of metabasins, indicates that runs down to $`T=0.435`$ are feasible with the available computer power.

By regular quenching the MD trajectory $`x(t)`$ to the bottom of the basins visited at time $`t`$, as proposed by Stillinger and Weber, we obtain a discontinuous trajectory $`\xi (t)`$. In this way, one discards the more or less complicated vibrational part $`x(t)\xi (t)`$ of motion, only keeping the visited minima as ’milestones’. The one-particle diffusion constant can be also determined from the squared displacement of inherent structures via $`D=lim_t\mathrm{}(\xi (t)\xi (0))^2/6Nt`$.

How to resolve the elementary hopping events? Since computer time prohibits to calculate $`\xi (t)`$ for every time step, we normally find ourselves in the situation of having equidistant quenched configurations $`\xi (t_i)`$, with, say, $`t_{i+1}t_i10^5`$ MD steps. If the same minimum is found for times $`t_i`$ and $`t_j`$, we need not care about transitions in the meantime, because no relaxation has occurred there. If, in contrast, $`\xi (t_i)\xi (t_{i+1})`$, we must not expect $`\xi (t_{i+1})`$ to be the direct successor of $`\xi (t_i)`$, since many other minima could have been visited between $`t_i`$ and $`t_{i+1}`$. Therefore, further minimizations in this time interval are necessary. For reasons of efficiency, we apply a straightforward interval bisection method, which locates all relevant transitions with an accuracy of 1 MD step. Although computationally demanding, this has proven most efficient for resolving the relevant details of hopping on the PEL.

As demonstrated in Büchner and Heuer (2000), the time series of potential energies $`ϵ(t)=V(\xi (t))`$ reflects well the character of dynamics in the supercooled state. For $`T=0.435`$, $`ϵ(t)`$ is shown in Fig. 1 from which we note a remarkable structure in $`ϵ(t)`$. The system is trapped in some stable configurations for long times, during which a small number of minima is visited over and over again. Obviously, these minima form superstructures, which, following Stillinger (1995), we denote metabasins (MBs). One may imagine that minima of long-lived MBs are organized in funnel-like structures so that the system is stuck there for a long time. It has been argued that the occurrence of $`\beta `$-relaxation at low temperatures is due to such substructure of the PEL Stillinger (1995). This is supported by the real-space signature of MBs as reported by Middleton and Wales Middleton and Wales (2001). Formally there is no unique way to define MBs for a given PEL due to the lack of a strict time scale separation. Here we take the pragmatic view and let the system decide by its MD run. The intuitive notion of MBs from Fig. 1 can be cast into an algorithm in a straightforward way, see Büchner and Heuer (2000) 111 It is important to note that, different from Büchner and Heuer (2000), we will treat all MBs on the same footing here, no matter if they contain one or many minima. . One major advantage of analyzing MBs rather than basins is that the charming simplistic picture of a random walk in configuration space will be better fulfilled since direct back- and forth correlations are already taken into account. It turns out (see Fig. 1) that long-lived stable MBs are separated by bursts of rapid transitions among higher minima which look like fountains. They cannot be detected without interval bisection. The waiting times of the MBs range from a few MD steps to many millions of them. Moreover, comparing Fig. 1 (a) and (b), we find a certain self-similarity in $`ϵ(t)`$ when inspected on different time scales. The distribution of MB lifetimes $`\tau `$ will be denoted $`\phi (\tau ,T)`$, its first moment $`\tau (T)`$ being a key quantity for the following considerations.

Our goal is to find an expression for the effective jump width $`a(T)`$ of Eq. (1). To this end, as a generalization of $`\xi (t)`$, we define the MB inherent structure $`\xi _{\text{MB}}(t)`$ as the mean of $`\xi (t)`$ over the MB lifetime. The key idea now is to introduce the squared distance $`R^2(n)`$ after $`n`$ jumps Maass et al. (1995), averaged over different realizations. This quantity is purely spatial since it does not involve any time scale. In the limit of large $`n`$ one obtains due to the central limit theorem $`lim_n\mathrm{}R^2(n)/\xi _{\text{MB}}^2(n\tau )=1`$ where $`\xi _{\text{MB}}^2(n\tau )`$ is the average squared displacement after time $`n\tau `$. Thus,

$$D(T)=\underset{n\mathrm{}}{lim}\frac{\xi _{\text{MB}}^2(n\tau )}{6Nn\tau }=\left[\underset{n\mathrm{}}{lim}\frac{R^2(n)}{6n}\right]\frac{1}{N\tau }$$

where the first factor may be identified as $`a^2(T)/6`$. Note that both factors are independent of system size because IS transitions are localized ($`R^2(1)=O(1)`$) and mean waiting times decrease with system size ($`\tau =O(1/N)`$). We may now calculate $`a(T)`$ from the simulations, results are shown in Fig. 2. The most important observation is that $`a(T)`$ is temperature independent for $`T<1`$. Interestingly, this is not affected by the variation of the elementary jump width $`R^2(1)`$, which increases with temperature, a fact that was recently observed by Schulz et al. Schulz et al. (2001). A possible explanation for this might be found in the increasing population of higher-order stationary points Angelani et al. (2000), which are known to be more distant to neighboring minima, but also provoke many ’bookkeeping’ IS transitions, thus resulting in larger backward correlations Keyes and Chowdhary (2001a).

In any event, the constancy of $`a(T)`$ in the landscape-influenced regime $`T<1`$ implies that the temperature dependence of $`D(T)`$ follows alone from $`\tau (T)`$, i.e. $`D(T)1/\tau (T)`$. This simple picture breaks down for $`T>1`$ where the explored regions of configuration space probably have a completely different structure. It has to be noted that the constancy of $`a(T)`$ for low T relies heavily on our resolution of all elementary IS transitions leading to relaxation.

A further insight from Fig. 2 is that the dynamics on the level of MBs is basically a random walk except for minor back-correlations for $`n5`$. As seen from the figure, these correlations are present between single basins, the consequence being a significant deviation from the relation $`R^2(n)n`$. Also note the oscillations in the single-basin $`R^2(n)`$ at small $`n`$, which result from the back-and-forth motion within MBs. More importantly, the single-basin curves do not have the same large-$`n`$ limit so that the effective jump length on the level of single basins would be temperature dependent. It remains unclear why for a very small LJ system ($`N=32`$) correlations among adjacent basins are irrelevant for $`TT_c`$ Keyes and Chowdhary (2001a), and why intra- rather than inter-basin dynamics is deemed to be the key to the understanding of diffusion Keyes and Chowdhary (2001b).

We can check the relation $`D1/\tau `$ within our simulations. Figure 3 shows that it is indeed well fulfilled for $`T<1`$ while for $`T=2`$ we find the expected deviations.

In the remaining part of the paper, we discuss the properties of the WTDs $`\phi (\tau ,T)`$, see Figure 4. For short $`\tau `$, all curves exhibit a power-law behavior with exponent $`1/2`$, similarly to Michele and Leporini (2001). At $`\tau 10^310^4`$ a crossover to the faster decay $`\phi (\tau ,T)\tau ^{\alpha (T)}`$ can be observed. For $`T0.45`$, one finds $`\alpha 2.0`$ for which the expectation value $`\tau `$ would diverge. However, the behavior $`\phi (\tau )\tau ^\alpha `$ cannot extend to infinity. Due to the finite number of MBs in the system, there exists a maximum effective barrier $`E_{\text{max}}`$, giving rise to an exponential cutoff at some minimum rate $`\gamma _{\text{min}}`$.

The slow decay of the WTDs leads to the important observation that the mean waiting time $`\tau `$ is dominated by the contributions from large $`\tau `$ (see arrows in figure 4). For example at $`T=0.435`$, ninety percent of $`\tau `$ are made up by the six percent longest waiting times, which are basins of lifetimes greater than $`0.5\times 10^6`$ MD Steps. This may come as a surprise because (i) the short-lived MBs are much more numerous than the long-lived and (ii) one might intuitively think that the diffusion constant and thus $`\tau `$ is dominated by the fast particles. The result is in qualitative agreement with the approach of Wolynes and Xia who regard the relaxation of long-lived local structures as the time-determining step Xia and Wolynes (2001).

Interestingly, the algebraic decay of the WTDs follows for some theoretical models of diffusion with built-in traps. This is the case for Bouchaud’s trap model Monthus and Bouchaud (1996) and the trapping diffusion model of Odagaki et al. Odagaki et al. (1994). A recent comparison of WTDs in the Lennard-Jones system with that of trap models can be found in Denny et al. (2002).

In conclusion, the detailed analysis of hopping on the PEL has provided new insights into the mechanism of diffusion in supercooled liquids. As we have seen, the emergence of long-lived MBs is the reason for the slowing down of molecular motion in our supercooled model liquid. As a next step the waiting time should be related to the respective MB energies to establish a connection between energy (thermodynamics) and dynamics in the spirit of the Adam-Gibbs relation (see the subsequent paper Doliwa and Heuer (2002b)).

We gratefully acknowledge helpful discussions with J.P. Bouchaud, T. Odagaki, D.R. Reichman, R. Schilling, H.R. Schober, and H.W. Spiess. Funding was granted by the Sonderforschungsbereich 262.


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# Cosmological constraints from the X-ray gas mass fraction in relaxed lensing clusters observed with Chandra

## 1 Introduction

The matter content of rich clusters of galaxies is thought to provide a fair sample of the matter content of the Universe as a whole (White et al. 1993). The observed ratio of the baryonic to total mass in clusters should therefore closely match the ratio of the cosmological parameters $`\mathrm{\Omega }_\mathrm{b}/\mathrm{\Omega }_\mathrm{m}`$, where $`\mathrm{\Omega }_\mathrm{b}`$ and $`\mathrm{\Omega }_\mathrm{m}`$ are the mean baryon and total mass densities of the Universe, in units of the critical density. The combination of robust measurements of the baryonic mass fraction in clusters with accurate determinations of $`\mathrm{\Omega }_\mathrm{b}`$ from cosmic nucleosynthesis calculations (constrained by the observed abundances of light elements at high redshifts) can therefore be used to determine $`\mathrm{\Omega }_\mathrm{m}`$.

This method for measuring $`\mathrm{\Omega }_\mathrm{m}`$, which is particularly simple in terms of its underlying assumptions, was first highlighted by White & Frenk (1991) and subsequently employed by a number of groups (e.g. Fabian 1991, White et al. 1993, David, Jones & Forman 1995; White & Fabian 1995; Evrard 1997; Fukugita, Hogan & Peebles 1998; Ettori & Fabian 1999; Bahcall et al. 2000). In general, these studies have found $`\mathrm{\Omega }_\mathrm{m}<1`$ at high significance, with preferred values lying in the range $`\mathrm{\Omega }_\mathrm{m}(0.10.3)h^{0.5}`$.

Sasaki (1996) and Pen (1997) described how measurements of the mean baryonic mass fraction in clusters as a function of redshift can, in principle, be used to place more detailed constraints on cosmological parameters, since the observed baryonic mass fraction values are sensitive to the angular diameter distances to the clusters assumed in the analyses. Until now, however, systematic uncertainties in the observed quantities have seriously complicated the application of such methods.

The baryonic mass content of rich clusters of galaxies is dominated by the X-ray emitting intracluster gas, the mass of which exceeds the mass of the optically luminous material by a factor $`6`$ (e.g. White et al. 1993; David et al. 1995; Fukugita, Hogan & Peebles 1998). Since the X-ray emissivity of the X-ray gas is proportional to the square of its density, the gas mass profile can be precisely determined from the X-ray data. With the advent of accurate measurements of $`\mathrm{\Omega }_\mathrm{b}`$ (e.g. O’Meara et al. 2001 and references therein) and a precise determination of the Hubble Constant (Freedman et al. 2001), the dominant uncertainty in determining $`\mathrm{\Omega }_\mathrm{m}`$ from the baryonic mass fraction in clusters has lain in the measurements of the total (luminous plus dark) matter distributions in the individual clusters.

In this letter we report precise measurements of the X-ray gas mass fraction for a sample of luminous, relatively relaxed clusters spanning the redshift range $`0.1<z<0.5`$, for which precise, consistent mass models have recently been determined from Chandra X-ray data and independent gravitational lensing constraints (Allen et al. 2001a, 2002; Schmidt, Allen & Fabian 2001). The agreement between the mass measurements determined from the two independent methods firmly limits the systematic uncertainties in the baryonic mass fraction measurements to $`<10`$ per cent, an accuracy comparable to the current $`\mathrm{\Omega }_\mathrm{b}`$ results. With the reduced systematic uncertainties, we show that a method similar to those proposed by Sasaki (1996) and Pen (1997) can be successfully applied to the data, resulting in a tight constraint on $`\mathrm{\Omega }_\mathrm{m}`$ and an interesting constraint on $`\mathrm{\Omega }_\mathrm{\Lambda }`$. We show that the results obtained are in good agreement with those from recent studies of anisotropies in the cosmic microwave background radiation, the large-scale distribution of galaxies, and the properties of distant supernovae (e.g. Jaffe et al. 2001; Efstathiou et al. 2001).

Results on the X-ray gas mass fractions are quoted for two default cosmologies: SCDM with $`h=H_0/100`$$`\mathrm{km}\mathrm{s}^1\mathrm{Mpc}^1`$$`=0.5`$, $`\mathrm{\Omega }_\mathrm{m}=1`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0`$, and $`\mathrm{\Lambda }`$CDM with $`h=0.7`$, $`\mathrm{\Omega }_\mathrm{m}=0.3`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$.

## 2 Observations and data analysis

The Chandra observations were carried out using the back-illuminated S3 detector on the Advanced CCD Imaging Spectrometer (ACIS) between 1999 August 30 and 2001 June 16. For our analysis we have used the the level-2 event lists provided by the standard Chandra pipeline processing. These lists were cleaned for periods of background flaring using the CIAO software package resulting in the net exposure times summarized in Table 1.

The Chandra data have been analysed using the methods described by Allen et al. (2001a, 2002) and Schmidt et al. (2001). In brief, concentric annular spectra were extracted from the cleaned event lists, centred on the peaks of the X-ray emission from the clusters.111For RXJ1347-1145, the data from the southeast quadrant of the cluster were excluded due to ongoing merger activity in that region; Allen et al. (2002). The spectra were analysed using XSPEC (version 11.0: Arnaud 1996), the MEKAL plasma emission code (Kaastra & Mewe 1993; incorporating the Fe-L calculations of Liedhal, Osterheld & Goldstein 1995), and the photoelectric absorption models of Balucinska-Church & McCammon (1992). Only data in the $`0.57.0`$ keV energy range were used. The spectra for all annuli were modelled simultaneously, in order to determine the deprojected X-ray gas temperature profiles under the assumption of spherical symmetry.

For the mass modelling, azimuthally-averaged surface brightness profiles were constructed from background subtracted, flat-fielded images with a $`0.984\times 0.984`$ arcsec2 pixel scale ($`2\times 2`$ raw detector pixels). When combined with the deprojected spectral temperature profiles, the surface brightness profiles can be used to determine the X-ray gas mass profiles (to high precision) and total mass profiles in the clusters.222The observed surface brightness profile and a particular parameterized mass model are together used to predict the temperature profile of the X-ray gas. (We use the median temperature profile determined from 100 Monte-Carlo simulations. The outermost pressure is fixed using an iterative technique which ensures a smooth pressure gradient in these regions.) The predicted temperature profile is rebinned to the same binning as the spectral results and the $`\chi ^2`$ difference between the observed and predicted, deprojected temperature profiles is calculated. The parameters for the mass model are stepped through a regular grid of values in the $`r_\mathrm{s}`$-$`\sigma `$ plane (see text) to determine the best-fit values and 68 per cent confidence limits. (The best-fit models generally provide good descriptions of the data). The gas mass profile is determined to high precision at each grid point directly from the observed surface brightness profile and model temperature profile. Spherical symmetry and hydrostatic equilibrium are assumed throughout. For this analysis, we have used an enhanced version of the image deprojection code described by White, Jones & Forman (1997) with distances calculated using the code of Kayser, Helbig & Schramm (1997).

We have parameterized the cluster mass (luminous plus dark matter) profiles using a Navarro, Frenk & White (1997; hereafter NFW) model with

$$\rho (r)=\frac{\rho _\mathrm{c}(z)\delta _\mathrm{c}}{(r/r_\mathrm{s})\left(1+r/r_\mathrm{s}\right)^2},$$
(1)
where $`\rho (r)`$ is the mass density, $`\rho _\mathrm{c}(z)=3H(z)^2/8\pi G`$ is the critical density for closure at redshift $`z`$, $`r_\mathrm{s}`$ is the scale radius, $`c`$ is the concentration parameter (with $`c=r_{200}/r_\mathrm{s}`$) and $`\delta _\mathrm{c}=200c^3/3\left[\mathrm{ln}(1+c)c/(1+c)\right]`$. The normalizations of the mass profiles may also be expressed in terms of an equivalent velocity dispersion, $`\sigma =\sqrt{50}r_\mathrm{s}cH(z)`$ (with $`r_\mathrm{s}`$ in units of Mpc and $`H(z)`$ in $`\mathrm{km}\mathrm{s}^1\mathrm{Mpc}^1`$).

In determining the results on the X-ray gas mass fraction, $`f_{\mathrm{gas}}`$, we have adopted a canonical radius $`r_{2500}`$, within which the mean mass density is 2500 times the critical density of the Universe at the redshift of the cluster. (The $`r_{2500}`$ values are determined directly from the Chandra data, with confidence limits calculated from the $`\chi ^2`$ grids.) The $`r_{2500}`$ values are well-matched to the outermost radii at which reliable temperature measurements can be made from the Chandra data. Note that the data for PKS0745-191 do not quite reach to $`r_{2500}`$ and for this cluster we quote $`f_{\mathrm{gas}}`$ at the outermost radius at which reliable measurements can be made $`0.8r_{2500}`$. Although independent confirmation of the X-ray mass results for 3C295 is not available, we include this cluster in our simple since in most other ways it appears similar to the other objects in the sample. The $`r_{2500}`$ values for the clusters are listed in Table 2. The best-fit NFW model parameters and 68 per cent confidence limits are summarized by Allen et al. (2001b).

## 3 Results

### 3.1 The X-ray gas mass fraction measurements

Fig. 1 shows the observed $`f_{\mathrm{gas}}(r)`$ profiles for the six clusters assuming the standard $`\mathrm{\Lambda }`$CDM cosmology. We see that although some variation is present from cluster to cluster, the profiles tend towards a similar value at $`r_{2500}`$. Table 2 lists the results on the X-ray gas mass fractions measured at $`r_{2500}`$ for both the SCDM and $`\mathrm{\Lambda }`$CDM cosmologies. Taking the weighted mean of the $`f_{\mathrm{gas}}`$ results for all six clusters studied, we obtain $`\overline{f}_{\mathrm{gas}}=0.160\pm 0.007`$ for SCDM (h=0.5) and $`\overline{f}_{\mathrm{gas}}=0.113\pm 0.005`$ for $`\mathrm{\Lambda }`$CDM (h=0.7).

In calculating the total baryonic mass in the clusters, we assume that the optically luminous baryonic mass in galaxies is $`0.19h^{0.5}`$ times the X-ray gas mass (White et al. 1993; Fukugita, Hogan & Peebles 1998). Other sources of baryonic matter are expected to make only very small contributions to the total mass and are ignored.

Given the baryonic masses, and assuming that the regions of the clusters within $`r_{2500}`$ provide a fair sample of the matter content of the Universe, we can write

$$\mathrm{\Omega }_\mathrm{m}=\frac{\mathrm{\Omega }_\mathrm{b}}{f_{\mathrm{gas}}(1+0.19h^{0.5})}.$$
(2)
For $`\mathrm{\Omega }_\mathrm{b}h^2=0.0205\pm 0.0018`$ (O’Meara et al. 2001) and using the $`\mathrm{\Lambda }`$CDM ($`h=0.7`$) $`f_{\mathrm{gas}}`$ values, we obtain the (self-consistent) result $`\mathrm{\Omega }_\mathrm{m}=0.319\pm 0.032`$. Using the SCDM ($`h=0.5`$) $`f_{\mathrm{gas}}`$ values, we obtain $`\mathrm{\Omega }_\mathrm{m}=0.452\pm 0.044`$.

### 3.2 Cosmological constraints from the $`f_{\mathrm{gas}}(z)`$ data

In addition to the simple calculation of $`\mathrm{\Omega }_\mathrm{m}`$ based on the weighted-mean $`f_{\mathrm{gas}}`$ values, described above, the data for the present sample can be used to obtain more rigorous constraints on cosmological parameters from the apparent variation of $`f_{\mathrm{gas}}`$ with redshift.

Fig. 2 shows the $`f_{\mathrm{gas}}`$ values as a function of redshift for the SCDM and $`\mathrm{\Lambda }`$CDM cosmologies. We see that whereas the results for the $`\mathrm{\Lambda }`$CDM cosmology are consistent with a constant $`f_{\mathrm{gas}}`$ value, the results for SCDM indicate an apparent drop in $`f_{\mathrm{gas}}`$ as the redshift increases. The differences in the $`f_{\mathrm{gas}}(z)`$ behaviour for the SCDM and $`\mathrm{\Lambda }`$CDM cosmologies reflect the dependence of the $`f_{\mathrm{gas}}(z)`$ measurements on the assumed angular diameter distances to the clusters ($`f_{\mathrm{gas}}D_\mathrm{A}^{1.5}`$). Under the assumption that the $`f_{\mathrm{gas}}`$ values should be invariant with redshift, as would be expected if rich, relaxed clusters provide a fair sample of the matter content of the Universe, we can see from inspection of Fig. 2 that the data for the present sample favour the $`\mathrm{\Lambda }`$CDM over the SCDM cosmology.

In order to quantify more precisely the degree to which our data can constrain the relevant cosmological parameters, we have fitted the data in Fig. 2(a) with a model which accounts for the expected apparent variation in the $`f_{\mathrm{gas}}(z)`$ values, which are measured assuming an SCDM cosmology, for different underlying cosmologies. The ‘true’ cosmology should be the cosmology that provides the best fit to the measurements. (We work with the SCDM data. Note that the $`f_{\mathrm{gas}}(r)`$ profiles exhibit only small variations around $`r_{2500}`$, and so the effects of changes in $`r_{2500}`$ as the cosmology is varied can be ignored.)

The model function fitted to the data is

$`f_{\mathrm{gas}}^{\mathrm{mod}}(z)={\displaystyle \frac{\mathrm{\Omega }_\mathrm{b}}{\left(1+0.19\sqrt{h}\right)\mathrm{\Omega }_\mathrm{m}}}\left[{\displaystyle \frac{h}{0.5}}{\displaystyle \frac{D_\mathrm{A}^{\mathrm{\Omega }_\mathrm{m}=1,\mathrm{\Omega }_\mathrm{\Lambda }=0}(z)}{D_\mathrm{A}^{\mathrm{\Omega }_\mathrm{m},\mathrm{\Omega }_\mathrm{\Lambda }}(z)}}\right]^{1.5},`$ (3)
which depends on $`\mathrm{\Omega }_\mathrm{m}`$, $`\mathrm{\Omega }_\mathrm{\Lambda }`$, $`\mathrm{\Omega }_\mathrm{b}`$ and $`h`$. The ratio $`(h/0.5)^{1.5}`$ accounts for the change in the Hubble Constant between the considered model and default SCDM cosmology, and the ratio of the angular diameter distances accounts for deviations in the geometry of the Universe from the Einstein-de Sitter case. We constrain $`\mathrm{\Omega }_\mathrm{b}h^2=0.0205\pm 0.0018`$ (O’Meara et al. 2001) and $`h=0.72\pm 0.08`$, the final result from the Hubble Key Project reported by Freedman et al. (2001). The $`\chi ^2`$ difference between the model and SCDM data is then

$`\chi ^2`$ $`=`$ $`{\displaystyle \underset{\mathrm{all}\mathrm{clusters}}{}}{\displaystyle \frac{\left[f_{\mathrm{gas}}^{\mathrm{mod}}(z_\mathrm{i})f_{\mathrm{gas},\mathrm{i}}\right]^2}{\sigma _{f_{\mathrm{gas},\mathrm{i}}}^2}}`$ (4)
$`+\left({\displaystyle \frac{\mathrm{\Omega }_\mathrm{b}h^20.0205}{0.0018}}\right)^2+\left({\displaystyle \frac{h0.72}{0.08}}\right)^2,`$
where $`f_{\mathrm{gas},\mathrm{i}}`$ and $`\sigma _{f_{\mathrm{gas},\mathrm{i}}}`$ are the best-fit values and symmetric root-mean-square errors for the SCDM data from Table 2, and $`z_\mathrm{i}`$ are the redshifts of the clusters. We have examined a grid of cosmologies covering the plane $`0.0<\mathrm{\Omega }_\mathrm{m}<1.0`$ and $`0.0<\mathrm{\Omega }_\mathrm{\Lambda }<1.5`$. The joint 1, 2 and 3 $`\sigma `$ confidence contours on $`\mathrm{\Omega }_\mathrm{m}`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }`$ (corresponding to $`\mathrm{\Delta }\chi ^2`$ values of 2.30, 6.17 and 11.8, respectively) determined from the fits are shown in Fig. 3.

The best-fit cosmological parameters and marginalized 1$`\sigma `$ error bars are $`\mathrm{\Omega }_\mathrm{m}=0.30_{0.03}^{+0.04}`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0.95_{0.72}^{+0.48}`$, with $`\chi _{\mathrm{min}}^2=1.7`$ for 4 degrees of freedom, indicating that the model provides an acceptable description of the data. The best-fit cosmological parameters are similar to those assumed for the default $`\mathrm{\Lambda }`$CDM cosmology in Fig. 2b, which is expected given the approximately constant nature of the $`f_{\mathrm{gas}}`$(z) values shown in that Figure.

## 4 Discussion

The result on the mean matter density of the Universe, $`\mathrm{\Omega }_\mathrm{m}=0.30_{0.03}^{+0.04}`$, determined from the Chandra results on the X-ray gas mass fraction for the present sample of relaxed, lensing clusters, represents one of the tightest constraints on this cosmological parameter to date. The variation of the gas mass fraction with redshift also yields the measurement of a positive cosmological constant with $`\mathrm{\Omega }_\mathrm{\Lambda }=0.95_{0.72}^{+0.48}`$, in good agreement with previous results based on studies of the properties of distant supernovae (Riess et al. 1998; Perlmutter et al. 1999)

In Fig. 3 we show a comparison of the joint constraints on $`\mathrm{\Omega }_\mathrm{m}`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }`$ determined from the Chandra $`f_{\mathrm{gas}}(z)`$ data, with the results of Jaffe et al. (2001) from studies of cosmic microwave background (CMB) anisotropies (incorporating the COBE Differential Microwave Radiometer, BOOMERANG-98 and MAXIMA-1 data of Bennett et al. 1996, de Bernardis et al. 2000 and Hanany et al. 2000, respectively)333We note that the results on $`\mathrm{\Omega }_\mathrm{m}`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }`$ from the CMB data reported by Jaffe et al. (2001) are consistent with, though less constraining than, the later analyses of de Bernardis et al. (2002) and Stompor et al. (2001) using the full BOOMERANG and MAXIMA-1 data sets. and the properties of distant supernovae (incorporating the data of Riess et al. 1998 and Perlmutter et al. 1999). The agreement between the results obtained from the independent methods is striking: all three data sets are consistent, at the $`1\sigma `$ confidence level, with a cosmological model with $`\mathrm{\Omega }_\mathrm{m}=0.3`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0.70.8`$. These results are also consistent with the findings of Efstathiou et al. (2001) from a combined analysis of the 2dF Galaxy Redshift Survey and CMB data.

An important aspect of the present work is that, in addition to the exquisite data quality provided by Chandra, the clusters studied are all regular, relatively relaxed systems for which independent confirmation of the mass results is available from gravitational lensing studies. The systematic uncertainties in the $`f_{\mathrm{gas}}`$ measurements are therefore greatly reduced with respect to previous X-ray studies. For both Abell 2390 and RXJ1347-1145, the X-ray and weak lensing mass profiles are consistent within their 68 per cent confidence limits. For Abell 1835, 2390, MS2137-2353 and PKS0745-191, the observed strong lensing configurations (on scales $`r2080h^1`$kpc) can be explained by mass models within the 68 per cent Chandra confidence contours, although redshift measurements for the arcs (which are required to define the lensing masses precisely) are not available in all cases.444For RXJ1347-1145, a two-component mass model, consistent with the complex X-ray structure observed in the southeast quadrant, is required to explain the strong lensing data. The presence of significant non-thermal pressure support (e.g. arising from turbulent and/or bulk motions and/or magnetic fields) on scales $`r_{2500}`$ can therefore be excluded, and the residual systematic uncertainties in the $`f_{\mathrm{gas}}`$ values are small ($`<10`$ per cent i.e. smaller, typically, than the statistical uncertainties. We note that the effects of departures from spherical symmetry on the $`f_{\mathrm{gas}}`$ results are expected to be $`<`$ a few per cent e.g. Buote & Canizares 1996).

The observed $`f_{\mathrm{gas}}(r)`$ profiles are essentially flat around $`r_{2500}`$, which supports the assumption that the measured $`f_{\mathrm{gas}}`$ values represent a fair sample of the matter content of the Universe. If, however, the values were to rise by a further $`10`$ per cent beyond $`r_{2500}`$, the result on $`\mathrm{\Omega }_\mathrm{m}`$ would drop by a corresponding amount. The $`f_{\mathrm{gas}}`$ values measured at $`r_{2500}`$ are not sensitive to the choice of using an NFW model to parameterize the total mass distributions in the clusters. Repeating the analysis presented here using either a non-singular isothermal sphere or a Moore et al. (1998) model to parameterize the total mass distributions leads to results on the weighted-mean $`f_{\mathrm{gas}}`$ values in good agreement with those quoted in Section 3.1. We note, however, that the $`f_{\mathrm{gas}}(r)`$ profiles determined using the different mass models exhibit some systematic variation, particularly at small radii ($`r<0.1r_{2500}`$), and when extrapolated to large radii ($`r>r_{2500}`$), as can be expected given the different asymptotic slopes. In a future paper, we will examine in detail the ability of different parameterized models to describe the Chandra data for relaxed clusters.

The constraints on $`\mathrm{\Omega }_\mathrm{m}`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }`$ should improve as further Chandra, XMM-Newton and high-quality gravitational lensing data become available for more regular, relaxed clusters, especially at high redshifts (although relaxed systems, like those studied here, are expected to be very rare at high redshifts). This work can also be extended to include less relaxed clusters, or clusters which appear relaxed at X-ray wavelengths but for which independent confirmation of the mass results from gravitational lensing studies is not yet available, although this will require careful consideration of the additional systematic uncertainties involved.

We thank Andrew Jaffe for providing the CMB and supernovae results shown in Fig. 3. SWA and ACF thank the Royal Society for support.


text:
# 1 Introduction

## 1 Introduction

In Ref.  we performed the spectroscopic studies of an influence of substitution of phosphorus by arsenic on the structure of valence and conduction bands, and on the parameters of Wannier-Mott excitons in mixed crystals (solid solutions) of isovalent substitution Zn(P1-xAsx)2 at low levels of substitution $`x0.05`$. In present work we have proceeded with these studies at $`0x1`$. By the other hand we have performed here the similar study (in comparison to Zn(P1-xAsx)2) of another type mixed crystals of isovalent substitution Zn1-xCdxP2 at small substitution levels $`x0.05`$. As we know, the Zn1-xCdxP2 crystals were not studied earlier. Both Zn(P1-xAsx)2 and Zn1-xCdxP2 belong to the mixed crystals of $`A^{II}B^V`$ type, which are poorly investigated.

$`\beta `$-ZnP2 (further ZnP2) and ZnAs2 crystals are strongly anisotropic direct-gap semiconductors (energy gap: 1.6026 eV for ZnP2 and 1.052 eV for ZnAs2), which are characterized by the same symmetry group $`C_{2h}^5`$ (monoclinic syngony). Besides the symmetry of the lattice, the similarity of ZnP2 and ZnAs2 exists in the structure of energy bands and exciton states, namely, three excitonic series are observed in the absorption spectra of these crystals: dipole allowed C-series at $`𝐄Z(𝐜)`$ polarization originating from $`S`$-states of C-exciton (this series is observed in reflection spectra as well), forbidden B-series at $`𝐄Z(𝐜)`$ polarization originating from $`S`$-states of B-exciton, and partially allowed A-series at $`𝐄X`$ polarization originating from $`S`$-states of A-exciton (see e.g. Refs.  for ZnP2 and Refs.  for ZnAs2). In the photoluminescence (PL) spectra of these crystals at $`𝐄Z(𝐜)`$ polarization, a series of lines caused by the radiative transitions from the ground and excited states of allowed C-exciton is observed (see e.g. Ref.  for ZnP2 and Ref.  for ZnAs2). Besides this emission series, the so-called B-line is observed in the PL spectra of ZnP2 at $`𝐄Z(𝐜)`$. B-line occurs due to the radiative transitions from the ground state of forbidden B-exciton and corresponds to B1-line of absorption B-series.

In contrast to ZnP2 and ZnAs2 crystals, CdP2 is indirect-gap semiconductor (energy gap: 2.155 eV: see, e.g. ), which is characterized by the different symmetry of lattice: symmetry group is $`D_4^4`$ for right-rotating and $`D_4^8`$ for left-rotating modification (tetragonal syngony). Therefore, the comparison study of an influence of substitution of $`P`$ by $`As`$ in Zn(P1-xAsx)2 and of $`Zn`$ by $`Cd`$ in Zn1-xCdxP2 on parameters of energy bands and excitonic states seems to be rather interesting.

The technological operations of growing of Zn(P1-xAsx)2 and Zn1-xCdxP2 crystals were carried out according to described in Ref. .

## 2 Zn(P1-xAsx)2 crystals over the full range of $`x`$

In the present work the low-temperature (1.8 K) absorption, reflection and photoluminescence spectra of Zn(P1-xAsx)2 crystals have been studied at the following levels of substitution of $`P`$ by $`As`$: $`x=`$ 0.01, 0.02, 0.03, 0.05, 0.10, 0.125, 0.40, 0.90, 0.95. Respective spectra as well as spectra of pure ZnP2 ($`x=0`$) and ZnAs2 ($`x=1`$) are presented in Fig. 1. As one can expect, the Zn(P1-xAsx)2 crystals are direct-gap semiconductors as well as ZnP2 and ZnAs2. One can see from the figure, that in the mixed crystals the same excitonic C-, B- and A-series are observed, as in pure crystals. Let us note the doublet structure of an absorption $`n=1`$ line of B-series in crystals with $`x=0.02`$. Proceeding from intensities and half-widths of the components of this doublet, we have made a conclusion, that narrow high-energy component is $`n=1`$ line of B-series. An origin of low-energy component, which is missing for crystals with $`x0.02`$, is not clear. One can see from absorption and reflection spectra of Zn(P1-xAsx)2 crystals that at the increase of $`x`$ (or at the increase of $`1x`$ if to go from the ZnAs2 side)111Further, writing ”the increase of $`x`$” we mean the increase of $`x`$ at $`x0.50`$ and the increase of $`1x`$ at $`x>0.50`$. the lines corresponding to exciton states with higher $`n`$ disappear, and the lines with $`n=1,2`$ broaden. Probably, this fact is a result of ”blurring” of the band edges, which takes place owing to fluctuations of crystal potential, caused by chaotic distribution of $`As`$ ($`P`$) atoms in sites of lattice at substitution of $`P`$ ($`As`$) atoms. In PL spectra the emission lines of free excitons can be easily separated from the lines of localized excitons (including, most likely, emission of excitons autholocalized on fluctuations of crystal potential) only at rather low substitution levels. At the increase of $`x`$ the emission lines of both free and localized excitons broaden that is due to the fluctuations of crystal potential and corresponding fluctuations of the parameters of energy bands. It takes an attention on itself the fact of considerable increase of intensity of PL spectra at the increase of $`x`$. Most probably, this effect is due to two following causes. First one consists in the partial suppression of the spatial migration of excitons (due to localization of excitons on fluctuations of crystal potential) and the respective decrease of efficiency of non-radiative decay of excitons. Second one consists in the fact that the processes of scattering of excitons on the lattice defects favour to more effective radiative decay of excitons.

With increase in concentration $`x`$, spectral lines shift to the low-energy side, which is caused by the decrease of energy gap. This shift could be easily expected, taking into account the fact, that in ZnAs2 energy gap is 0.55 eV smaller than in ZnP2. The respective dependence $`E_g(x)`$ is given in Fig. 2(a). The dependence is slightly nonlinear (sublinear). It has been fitted by the well-known dependence (see, e.g. Ref. )

$$E_g(x)=E_{g1}(E_{g1}E_{g2})x+cx(1x),$$
(1)
where $`E_{g1}`$ and $`E_{g2}`$ are the energy gaps of ZnP2 and ZnAs2 respectively, and $`c`$ is the coefficient of nonlinearity. The coefficient $`c`$ was obtained to be 0.05. But besides the trivial decrease of $`E_g`$ with the increase of $`x`$, there is also decrease of the excitonic series rydbergs (see Fig. 2(b)). Values of $`E_g`$ and rydbergs were obtained from fitting of excitonic series by simple hydrogenlike dependence: $`E(n)=E_gRy/n^2`$. One can see from the figure that the dependences of excitonic rydbergs on $`x`$ are rather remarkable. These dependences are strongly superlinear at small $`x`$ (close to ZnP2) and most linear at $`x1`$ (close to ZnAs2). Strongest superlinearity takes place at $`x0.05`$. Let us note that the rydbergs of B- and A-series decrease considerably: at crossing from ZnP2 to ZnAs2 the rydbergs decrease more than in 3 times. Meanwhile, the rydberg of A-series decreases sufficiently less: it decreases in 1.4 times. Let us note that in ZnP2 the $`n=1`$ state of A-exciton is energy highest, and the $`n=1`$ state of B-exciton is energy lowest. But, due to the slower decrease of $`Ry_A(x)`$ than ones observed for B- and A-series, at substitution levels $`x0.70`$ the $`n=1`$ state of A-exciton leaves off to be the energy highest. And in extreme case of ZnAs2 an opposite situation takes place: $`A_1`$-state is energy lowest. The $`n=1`$ state of allowed C-exciton is energy highest in ZnAs2 crystal. There are exist two possible causes of such a fast decrease of excitonic rydbergs at small $`x`$. First one is the decrease of exciton reduced mass at the increase of $`x`$. This our assumption is based on the data of the exciton reduced masses in ZnP2 ($`\mu _a=0.45m_0`$, $`\mu _c=0.10m_0`$ and $`\mu _b=0.56m_0`$ ) and ZnAs2 ($`\mu _{bc}=0.30m_0`$ ) as well as on our previous evaluation of the dependences of $`m_e(x)`$ and $`m_h(x)`$ at small $`x`$ . Here, $`\mu _{a,b,c}`$ is the components of the reduced mass of exciton in ZnP2 in different crystallographic directions, and $`\mu _{bc}`$ is the component of $`\mu `$ in the direction perpendicular to plane (100) (this direction almost coincides with $`a`$ axis of crystal). Second cause of the fast decrease of rydbergs at small $`x`$ is the possible fast increase of dielectric constant, as in ZnAs2 $`ϵ`$ is sufficiently higher: average value $`15`$  versus $`ϵ_a=9.1`$, $`ϵ_c=9.3`$ and $`ϵ_b=10.1`$ in ZnP2. Slower decrease of excitonic rydbergs at higher $`x`$ can be most likely explained by possible slower decrease of the reduced exciton mass and increase of the dielectric constant at higher $`x`$.

There were also studied dependences on $`x`$ of the half-widths of absorption $`n=1`$ lines of B- and A-series. These dependences are given in Fig. 3.222An absence of data on the half-widths of lines for crystal with $`x=0.03`$ is due to the fact that the respective sample was rather thick, therefore, full absorption occurred in $`B_1`$\- and $`A_1`$-lines. So, it was not possible to determine correctly the half-widths of these lines. As we have pointed out above, half-width of $`B_1`$-line for crystal with $`x=0.02`$ was determined for the high-energy component of doublet. One can seen, that half-widths of $`B_1`$\- and $`A_1`$-lines increase monotonously with the increase of $`x`$. As known, the increase of half-width of exciton lines is the result of fluctuations of crystal potential and respective fluctuations of energy gap. The theory of influence of fluctuations of composition $`x`$ on half-width of exciton absorption lines was developed in Ref. , where two extreme cases were considered. First one takes place, if the effective size of area of the crystal potential fluctuation $`R_D=\mathrm{}/(2MD)^{1/2}`$, where $`M`$ is the total mass of exciton and $`D(x)=W(x)W(0)`$ ($`W(x)`$ is the half-width of exciton line), is much larger than exciton Bohr radius: $`R_D>>a_{ex}`$. Such situation, as a rule, takes place, if the effective masses of electron and hole are small and differ slightly: $`m_em_h`$. In this case $`D`$ should depend on $`x`$ as

$$D(x)=0.08\frac{\alpha ^4M^3x^2(1x)^2}{\mathrm{}^6N^2},$$
(2)
where $`\alpha =dE_g/dx`$, $`N`$ is the concentration of sites of lattice, where the substituting atoms can ”sit”. Such a situation occurs in many semiconductors, in particular in $`A^{III}B^V`$ crystals. The second case takes place at $`R_D<<a_{ex}`$. It takes place at $`m_h>>m_e`$. In this case, dependence $`D(x)`$ has such character

$$D(x)=0.5\alpha \left(\frac{x(1x)}{Na_{ex}^3}\right)^{1/2}.$$
(3)
The experimental dependences $`D(x)`$ for absorption $`B_1`$\- and $`A_1`$-lines of Zn(P1-xAsx)2 crystals are presented in Fig. 3. Likely to data presented in our work  the experimental points are badly fitted both by function (2) and (3). In ZnP2 and ZnAs2 crystals the effective size of area of crystal potential fluctuation is about some tens of angstrom, and the Bohr radii of B- and A-excitons in these crystals are the following: $`a_B=16\AA `$, $`a_A=29.5\AA `$ in ZnP2, and $`a_B=34\AA `$, $`a_A=25.7\AA `$ in ZnAs2, i.e. $`R_Da_{ex}`$. Therefore, the extreme conditions $`R_D>>a_{ex}`$ and $`R_D<<a_{ex}`$ are not fulfilled, and the intermediate case takes place which is, nevertheless, more close to case of Eq. (2). Therefore, since the intermediate case takes place, the experimental dependences can be fitted by the function

$$D(x)=(1c)D_1(x)+cD_2(x),$$
(4)
which is the superposition of function $`D_1(x)`$ of type (2) and $`D_2(x)`$ of type (3), $`c`$ is the weighting factor. One can see from Fig. 3 that for the mixed crystals close to ZnP2, i.e. at $`x0`$, the experimental dependence of the half-width of $`B_1`$-line on $`x`$ is fitted by function (2) rather well, and the contribution of the function (3) is rather small ($`c=0.05`$). The situation is quite different for the mixed crystals close to ZnAs2, i.e. at $`x1`$, as the contribution of the function (3) is considerably larger ($`c=0.20`$). It is rather simple to understand, as the Bohr radius of B-exciton in ZnAs2 is about two times larger than in ZnP2. So, in ZnP2 the condition $`R_D>>a_{ex}`$ is fulfilled better than in ZnAs2. For the dependence of the half-width of $`A_1`$-lines on $`x`$ we have the quite opposite situation. For the mixed crystals close to ZnP2, the experimental dependence of the half-width of $`A_1`$-line on $`x`$ deviates considerably from function (2), and the contribution of the function (3) is rather large ($`c=0.29`$). For the mixed crystals close to ZnAs2, the contribution of the function (3) to the fitting function is quite small ($`c=0.08`$). The Bohr radius of A-exciton, as we have noted above, almost does not differ in ZnP2 and ZnAs2. So, as the contribution of function (3) at $`x1`$ is smaller than at $`x0`$,the condition $`R_D>>a_{ex}`$ is fulfilled better for A-exciton in the crystals close to ZnAs2. Thus, we can make a conclusion of larger effective size of area of the crystal potential fluctuation in crystals close to ZnAs2, than in ones close to ZnP2.

## 3 Zn(P1-xAsx)2 and Zn1-xCdxP2 at small $`x`$: comparison

The comparison studies of the low-temperature absorption, reflection and photoluminescence spectra of Zn(P1-xAsx)2 and Zn1-xCdxP2 crystals have been performed at small levels of substitution of $`Zn`$ by $`Cd`$: $`x0.05`$. Respective spectra of Zn(P1-xAsx)2 are presented in Fig. 1, and the spectra of Zn1-xCdxP2 – in Fig. 4. In spite of the difference of the symmetries of lattice and structure of energy bands of ZnP2 and CdP2 crystals (monoclinic and tetragonal, direct- and indirect-gap respectively: see Sect. 1), at small $`x`$ Zn1-xCdxP2 remain the direct-gap crystals with monoclinic lattice. One can see from the figure, that in the Zn1-xCdxP2 crystals the same excitonic C-, B- and A-series are observed, as well as in pure ZnP2 and mixed Zn(P1-xAsx)2crystals. One can see from absorption and reflection spectra that, likely to Zn(P1-xAsx)2, already at rather small $`x`$ only the excitonic states with $`n=1,2`$ are observed clearly in the spectra of Zn1-xCdxP2 crystals. The higher components of exciton spectra disappear, and the lines with $`n=1,2`$ broaden. In PL spectra, at the increase of $`x`$ the emission lines of both free and localized excitons broaden. As noted above (see Sect. 2), all these effects are due to the fluctuations of crystal potential and corresponding fluctuations of the parameters of energy bands. Likely to Zn(P1-xAsx)2, an effect of considerable increase of intensity of PL spectra at the increase of $`x`$ takes place in Zn1-xCdxP2 crystals too. An explanation of such an effect is given as well in Sect. 2.

In spite of the fact that the CdP2 crystal has larger energy gap than the ZnP2, likely to Zn(P1-xAsx)2 there is a decrease of the energy gap of Zn1-xCdxP2 crystals at the increase of $`x`$ (see Fig. 5(a)). But the decrease of $`E_g`$ in Zn1-xCdxP2 is much slower. And besides the similarity in dependences of $`E_g(x)`$, both Zn(P1-xAsx)2 and Zn1-xCdxP2 crystals have the similarity in the dependences of the rydbergs of excitons on $`x`$ as well (see Fig. 5(b)). The rydbergs of all the three A-, B-, and C-series decrease at the increase of $`x`$. But, also likely to the dependence $`E_g(x)`$, the excitonic rydbergs in Zn1-xCdxP2 decrease considerably slower than in Zn(P1-xAsx)2. Considerably weaker dependences of the energy gap and the rydbergs on $`x`$ in Zn1-xCdxP2 are, most probably, the results of the weaker changes in parameters of the energy bands, in particular in effective masses of electrons and holes, and in dielectric constant. But, at higher $`x`$ one can expect the more interesting and stronger changes in the parameters of energy bands and excitonic states with regard to the fact that CdP2 and ZnP2 have the different symmetry of lattice, and that CdP2 is indirect-gap semiconductor.

The dependences of half-widths of absorption $`B_1`$\- and $`A_1`$-lines on $`x`$ have been also studied in Zn1-xCdxP2 crystals. The results of comparison of such dependences with ones observed for Zn(P1-xAsx)2 are presented in Fig. 6. One can see that $`D(x)`$ dependences for both types of the mixed crystals are similar for exciton $`B_1`$-line. This dependences are described rather well by the function of Eq. (2) type, contributions of the function (3) are quite small for both type crystals: the weighting factor is $`c=0.05`$ for Zn(P1-xAsx)2 and $`c=0.035`$ for Zn1-xCdxP2. It is an evidence that in both cases the effective size of area of the crystal potential fluctuation $`R_D`$ is rather large comparing to the exciton Bohr radius $`a_{ex}`$. Likely to Zn(P1-xAsx)2, in Zn1-xCdxP2 the dependence of half-width of $`A_1`$-line on $`x`$ deviates strongly from the function (2), the contribution of the function (3) is large. As we assumed above, it is the result of the fact that A-exciton has considerably lower binding energy comparing to B-exciton, and larger Bohr radius correspondingly. So, the condition $`R_D>>a_{ex}`$ is not fulfilled, and the dependence $`D(x)`$ is not described by the function (2). At the same time, there are two remarkable features of $`D(x)`$ dependence for $`A_1`$-line in Zn1-xCdxP2. First one is the considerable deviations of the experimental points from the fitting function. It is quite remarkable as such deviations are very small for the $`D(x)`$ dependences for $`A_1`$-line in Zn(P1-xAsx)2 and for $`B_1`$-line in the mixed crystals of both types. Second one is the fact that the contribution of the function (3) is determinative in the fitting function: the weighting factor of the function (3) is $`c=0.89`$. For Zn(P1-xAsx)2 the contribution of the function (3) in the fitting function is considerably smaller: $`c=0.29`$. At present moment, both above features of $`D(x)`$ dependence for $`A_1`$-line in Zn1-xCdxP2 are obscure. Thus, a comparison of the energy bands and exciton parameters behaviour versus $`x`$ reveals as similar tendencies and different ones.

## 4 Conclusions

In conclusion, we have obtained the following results. We have found that, likely to ”pure” ZnP2 crystal, both in Zn(P1-xAsx)2 and Zn1-xCdxP2 mixed crystals the same three excitonic hydrogenlike series (C, B, and A) are observed. At the increase of $`x`$ in the range of small $`x`$ ($`0x0.05`$) the decrease of the energy gap and exciton rydbergs takes place. The dependences of $`E_g`$ and $`Ry`$ on $`x`$ are considerably stronger in Zn(P1-xAsx)2 than in Zn1-xCdxP2.

Besides the comparison study of these crystals at small $`x`$, the Zn(P1-xAsx)2 crystals have been studied over the full range of $`x`$: $`0x1`$. We have obtained the following results for Zn(P1-xAsx)2. At the increase of $`x`$ the energy gap decreases slightly sublinearly. The exciton rydbergs decrease as well. The dependences $`Ry(x)`$ are strongly superlinear at small $`x`$ (close to ZnP2) and most linear at $`x1`$ (close to ZnAs2). At the crossing from ZnP2 to ZnAs2, the rydbergs of B- and C-series decrease more than in 3 times. Meanwhile, the rydberg of A-series decreases sufficiently less: in 1.4 times.

At the increase of $`x`$ the half-width of excitonic absorption lines increases monotonically both in Zn(P1-xAsx)2 and Zn1-xCdxP2 crystals that is evidence of the increasing role of fluctuations of crystal potential.