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# Galaxy Number Counts in the Subaru Deep Field: Multi-band Analysis in a Hierarchical Galaxy Formation Model

## 1 INTRODUCTION

It is well known that the number of faint galaxies in a given area of sky can constrain cosmological parameters, because it depends on the geometry of the Universe (e.g., Peebles 1993). Many efforts have been devoted to this subject using traditional galaxy evolution models assuming monolithic collapse, such as the wind model for elliptical galaxies and the infall model for spiral galaxies (e.g., Yoshii & Takahara 1988). These models are in fact able to reproduce many of the observed properties of nearby galaxies, and provide a useful theoretical tool for understanding their evolution (Arimoto & Yoshii, 1986, 1987; Arimoto, Yoshii & Takahara, 1991).

In the analyses of galaxy counts from traditional approaches, it has been found that the Einstein-de Sitter (EdS) universe, a representation of the standard cold dark matter (CDM) universe, is not reconcilable with the observed high counts of faint galaxies, and that a low-density universe is preferred (Yoshii & Takahara, 1988; Yoshii & Peterson, 1991, 1995; Yoshii, 1993). Recently, Totani & Yoshii (2000) and Totani et al. (2001a) compared their predictions against the observed number counts to the faint limits in the Hubble Deep Field (HDF; Williams et al. 1996) and in the Subaru Deep Field (SDF; Maihara et al. 2001), taking into account various selection effects and allowing for the possibility of number evolution of galaxies in a phenomenological way. Note that the SDF counts are now the deepest near-infrared ones with the 5$`\sigma `$ limiting magnitude of $`K=23.5`$ in total magnitude. They confirmed that the EdS universe cannot reproduce the observed high counts. However, in their best-fit models, the merger rates of HDF and SDF galaxies are a little different. A mild merger rate is needed to reproduce the counts in the HDF, while a negligible rate was necessary for the SDF. It should be noted that the photometric passbands for the two applications are different; ultraviolet/optical for the HDF and near-infrared for the SDF. They suggested that the difference of the merger rate might be originated by morphology-dependent number evolution because late-type galaxies are mainly seen in shorter wavelength such as $`B`$-band and early-type galaxies are seen in longer wavelength such as $`K`$-band. In any case, it should be explained why the merger rate depends on the observed wavelength in order to obtain a better understanding of the galaxy formation process.

On the other hand, in the study of formation of large-scale structure in the universe, both theory and observation suggest that gravitationally bound objects, such as galaxy clusters, are formed through continuous mergers of dark halos with an initial density fluctuation spectrum predicted by the CDM models. Based on this scenario of hierarchical clustering, the so-called semi-analytic models (SAMs) of galaxy formation have been developed by a number of authors (Kauffmann, White & Guiderdoni 1993; Cole et al. 1994, 2000; Somerville & Primack 1999; Nagashima et al. 2001, hereafter NTGY). SAMs successfully reproduced a variety of observed features of local galaxies, such as their luminosity function, color distribution, and so on.

Faint galaxy number counts have also been analyzed using SAMs (Cole et al., 1994; Kauffmann, Guiderdoni & White, 1994; Heyl et al., 1995; Baugh, Cole & Frenk, 1996). These studies showed that predicted number counts in the EdS universe agree with the observed counts. Their results, however, contradict analyses carried out with traditional galaxy evolution models. Recently, this contradiction was resolved by NTGY, in which their SAM is compared with the galaxy counts in the HDF. They found, by matching properties of model galaxies with observation especially in local luminosity functions and cold gas mass fraction, that normalization of model parameters, related to combinations of physical processes such as star formation (SF) and supernova (SN) feedback, is very important, and that accounting for selection effects caused by cosmological dimming of surface brightness and absorption of emitted light by internal dust and intergalactic H I clouds is crucial in the analysis of galaxy counts, as shown by Totani & Yoshii (2000). It should be noted that recent analysis by Lanzetta et al. (2001) also clarify the importance of the selection effects caused by the cosmological dimming of surface brightness in the observational point of view. They introduced the star formation rate intensity distribution function, which was derived from the ultraviolet luminosity density for the HDF galaxies, at several redshifts and found that at high redshift significant fraction of ultraviolet luminosity density must be missed due to the cosmological dimming of surface brightness.

The purpose of this paper is to examine whether our SAM can simultaneously reproduce both the ultraviolet/optical and near-infrared galaxy counts in the HDF and in the SDF. Because the luminosity of galaxies in different passbands reflects the influence of different stellar populations, the subject of multi-band number counts provides a strong constraint on galaxy formation. In this paper, using selection criteria for SDF galaxies based on Totani et al. (2001a), we compare our SAM prediction of galaxy counts with the observed counts in the SDF.

This paper is outlined as follows. In §2 we briefly describe our SAM, which is almost the same as our previous models (NTGY). In §3 we constrain the astrophysical parameters in our SAM analysis using local observations. In §4 we compare theoretical number counts of faint galaxies with the HDF and SDF data, and in §5 we discuss the range of uncertainties in our calculations of galaxy number counts. In §6 we provide a summary and discussion.

## 2 MODEL

The galaxy formation scenario that we model is as follows. In the CDM universe, dark matter halos cluster gravitationally, and merge in a manner that depends on the adopted power spectrum of the initial density fluctuations. In each of the merged dark halos, radiative gas cooling, star formation, and gas reheating by supernovae occur. The cooled dense gas and stars constitute galaxies. These galaxies sometimes merge together in a common dark halo, and more massive galaxies form. Repeating these processes, galaxies form and evolve to the present epoch.

The SAM analysis we perform obtains essentially the same results of our previous SAM analyses, with minor differences in a number of details. In this section we briefly describe our model. Details of the model we employ are described in NTGY, except for a few differences, which are explicitly mentioned below.

### 2.1 Scheme of Galaxy Formation

The merging histories of dark halos are realized by a Monte Carlo method proposed by Somerville & Kolatt (1999), based on the extended Press-Schechter formalism (Bond et al., 1991; Bower, 1991; Lacey & Cole, 1993). This formalism is an extension of the Press-Schechter formalism (Press & Schechter, 1974), which gives us the mass function of dark halos, $`n(M)dM`$, to estimate the mass function of progenitor halos with mass $`M_1`$ at a redshift $`z_0+\mathrm{\Delta }z`$ of a single dark halo with mass $`M_0`$ collapsing at a redshift $`z_0`$, $`n(M_1;z_0+\mathrm{\Delta }z|M_0;z_0)dM_1`$. Dark halos with circular velocity $`V_{\mathrm{circ}}40`$km s-1 are regarded as isolated halos, and otherwise regarded as diffuse accreted matter. The mean density in dark halos is assumed to be proportional to the cosmic mean density at the collapsing epoch using a spherically symmetric collapse model (Tomita, 1969; Gunn & Gott, 1972). Each collapsing dark halo contains baryonic matter with a mass fraction $`\mathrm{\Omega }_\mathrm{b}/\mathrm{\Omega }_0`$, where $`\mathrm{\Omega }_0`$ and $`\mathrm{\Omega }_\mathrm{b}`$ are the parameters of total and baryon mass densities relative to the critical cosmic mass density. We adopt a value of $`\mathrm{\Omega }_\mathrm{b}=0.015h^2`$ given by Suzuki, Yoshii & Beers (2000) in which they estimated the value from the primordial lithum abundance, where $`h`$ is the Hubble parameter, $`hH_0/100`$km s-1Mpc-1. Note that a recent measurement of the anisotropy of the cosmic microwave background by the BOOMERANG project suggests a slight higer value, $`\mathrm{\Omega }_\mathrm{b}0.02h^2`$ (Netterfield et al., 2001). The effect of changing $`\mathrm{\Omega }_\mathrm{b}`$ has already been investigated by Cole et al. (2000) and they showed that this mainly affects the value of the invisible stellar mass fraction such as brown dwarfs parametrized by $`\mathrm{{\rm Y}}`$ (see the next subsection). We also checked whether our results are changed or not in the case of $`\mathrm{\Omega }_\mathrm{b}0.04`$ and found that this does not affect them. The baryonic matter consists of diffuse hot gas, dense cold gas, and stars.

When a halo collapses, the hot gas is shock-heated to the virial temperature of the halo with an isothermal density profile. A part of the hot gas cools and accretes to disk of a galaxy until the subsequent collapse of the dark halos. The amount of the cold gas involved is calculated by using metallicity-dependent cooling functions provided by Sutherland & Dopita (1993). The difference of cooling rates between the primordial and metal-polluted gases is prominent at $`T10^6`$K due to line-cooling of metals. The cooling is, however, very efficient in dark halos with a virial temperature of $`T10^6`$K even in the case of the primordial gas, so the metallicity dependence of cooling rate only slightly affects our results. In order to avoid the formation of unphysically large galaxies, the cooling process is applied only to halos with $`V_{\mathrm{circ}}<`$500 km s-1 in the standard CDM and 400 km s-1 in low-density universes according to some previous SAMs. This handling would be needed because the simple isothermal distribution forms so-called “monster galaxies” due to the too efficient cooling at the center of halos. While this problem will probably solved by adopting another isothermal distribution with central core (Cole et al., 2000), we take the above simple approach because this does not cause any serious problems in estimating galaxy counts.

Stars in the disk are formed from the cold gas. The SF rate (SFR) $`\dot{M}_{}`$ is given by the cold gas mass $`M_{\mathrm{cold}}`$ and a SF timescale $`\tau _{}`$ as $`\dot{M}_{}=M_{\mathrm{cold}}/\tau _{}`$. We use two SF models. One model adopts constant star formation (CSF), in which $`\tau _{}`$ is a constant against redshift; the other adopts dynamical star formation (DSF), in which $`\tau _{}`$ is proportional to the dynamical timescale of the halo, which allows for the possibility that the SF efficiency is variable with redshift. We then express the SF timescale as

$`\tau _{}=\{\begin{array}{cc}\tau _{}^0\left({\displaystyle \frac{V_{\mathrm{circ}}}{300\mathrm{k}\mathrm{m}\mathrm{s}^1}}\right)^\alpha _{}\hfill & \text{(CSF)},\hfill \\ \tau _{}^0\left({\displaystyle \frac{V_{\mathrm{circ}}}{300\mathrm{k}\mathrm{m}\mathrm{s}^1}}\right)^\alpha _{}\left[{\displaystyle \frac{\tau _{\mathrm{dyn}}(z)}{\tau _{\mathrm{dyn}}(0)}}\right](1+z)^\sigma \hfill & \text{(DSF)},\hfill \end{array}`$ (3)
where $`\tau _{}^0,\alpha _{}`$ and $`\sigma `$ are free parameters. The former two parameters are chosen so as to match the fraction of cold gas mass with the observed fraction (see next section). While, of course, some fraction of cold gas might not be seen, we adopt the gas mass fraction to constrain the SF-related parameters according to Cole et al. (2000). If much of this cold gas would be hidden, $`\tau _{}^0`$ should be longer than our value. Note that in our previous paper (NTGY) we used DSF only in the case of $`\sigma =0`$. In Figure 2.1 we show the timescales for CSF (dot-dashed line) and DSF with $`\sigma =0`$ (solid line) and $`\sigma =1`$ (dashed line) in a $`\mathrm{\Lambda }`$-dominated flat universe. Because objects which collapsed at higher redshift have higher density, the dynamical timescale $`\tau _{\mathrm{dyn}}`$ is shorter at higher redshift. Thus, the DSF scenario with smaller $`\sigma `$ converts the cold gas into stars more rapidly than the CSF. In this paper we examine not only the CSF and $`\sigma =0`$ DSF models but also the DSF model with $`\sigma =1`$ as an intermediate case.

Massive stars explode as Type II supernovae (SNe) and heat up the surrounding cold gas. This SN feedback reheats the cold gas at a rate of $`\dot{M}_{\mathrm{reheat}}=M_{\mathrm{cold}}/\tau _{\mathrm{reheat}}`$, where the timescale of reheating is given by

$$\tau _{\mathrm{reheat}}=\left(\frac{V_{\mathrm{circ}}}{V_{\mathrm{hot}}}\right)^{\alpha _{\mathrm{hot}}}\tau _{}.$$
(4)
The free parameters $`V_{\mathrm{hot}}`$ and $`\alpha _{\mathrm{hot}}`$ are determined by matching the local luminosity function of galaxies with observations.

With the parameters $`\dot{M}_{}`$ and $`\dot{M}_{\mathrm{reheat}}`$ thus determined, we obtain the masses of hot gas, cold gas, and disk stars as a function of time during the evolution of galaxies. Chemical enrichment is also taken into account, adopting heavy-element yield of $`y=0.038=2Z_{}`$, but changing this value of $`y`$ has a minimal effect on the results described below.

When two or more progenitor halos have merged, the newly formed larger halo should contain at least two or more galaxies which had originally resided in the individual progenitor halos. By definition, we identify the central galaxy in the new common halo with the central galaxy contained in the most massive one of the progenitor halos. Other galaxies are regarded as satellite galaxies. These satellites merge by either dynamical friction or random collision. The timescale of merging by dynamical friction $`\tau _{\mathrm{fric}}`$ is given by Binney & Tremaine (1987), which is estimated from the baryonic mass of satellite. When the time elapsed after merging of progenitor halos exceeds $`\tau _{\mathrm{fric}}`$, a satellite galaxy in the common halo is accreted to the central galaxy. On the other hand, the mean free timescale of random collision $`\tau _{\mathrm{coll}}`$ is given by Makino & Hut (1997). With a probability $`\mathrm{\Delta }t/\tau _{\mathrm{coll}}`$, where $`\mathrm{\Delta }t`$ is the time step corresponding to the redshift interval $`\mathrm{\Delta }z`$ of merger tree of dark halos, a satellite galaxy merges with another satellite picked out randomly.

Consider the case when two galaxies of masses $`m_1`$ and $`m_2(>m_1)`$ merge together. If the mass ratio $`f=m_1/m_2`$ is larger than a certain critical value of $`f_{\mathrm{bulge}}`$, we assume that a starburst occurs and that all of the cold gas turns into stars and hot gas, which fills the resulting halo, and all of the stars populate the bulge of a new galaxy. On the other hand, if $`f<f_{\mathrm{bulge}}`$, no starburst occurs, and a smaller galaxy is simply absorbed into the disk of a larger galaxy. This division into major and minor modes is only for simplicity and we adopt $`f_{\mathrm{bulge}}=0.1`$ as a standard value. As shown in Figure 13, the dependence of total counts on $`f_{\mathrm{bulge}}`$ is negligible (see §5.4). Although there is a model to treat continuous burst activity, say, as a function of the mass ratio $`f`$ (Somerville, Primack & Faber, 2001), we adopt the above simple division because of the negligible denpendence on $`f_{\mathrm{bulge}}`$.

### 2.2 Photometric Properties of Galaxies

The above processes are repeated until the output redshift and then the SF history of each galaxy is obtained. For the purpose of comparison with observation, we use a stellar population synthesis approach, from which the luminosities and colors of model galaxies are calculated. Given the SFR as a function of time or redshift, the absolute luminosity and colors of individual galaxies are calculated using a population synthesis code by Kodama & Arimoto (1997). The stellar metallicity grids in the code cover a range from $`Z_{}=`$0.0001 to 0.05. Note that we now define the metallicity as mass fraction of metals, for example, the solar metallicity is 0.019. The initial stellar mass function (IMF) that we adopt is the power-law IMF of Salpeter form, with lower and upper mass limits of $`0.1M_{}`$ and $`60M_{}`$, respectively. Then, following Cole et al. (1994), we introduce a parameter defined as $`\mathrm{{\rm Y}}=(M_{\mathrm{lum}}+M_{\mathrm{BD}})/M_{\mathrm{lum}}`$, where $`M_{\mathrm{lum}}`$ is the total mass of luminous stars with $`m0.1M_{}`$ and $`M_{\mathrm{BD}}`$ is that of invisible brown dwarfs.

Our model of estimating the optical depth of internal dust has been improved over that adopted by NTGY. We take the usual assumption that the abundance of dust is proportional to the metallicity of cold gas, and that the optical depth is proportional to the column density of metallicity. Then the optical depth $`\tau `$ is given by

$$\tau \frac{M_{\mathrm{cold}}Z_{\mathrm{cold}}}{r_e^2}(1+z)^\gamma ,$$
(5)
where $`r_e`$ is the effective radius of the galactic disk, described in the next subsection. The proportionality constant is determined by matching the extinction, $`A_V0.2`$, for galaxies typical of the Milky Way, assuming the slab dust model according to our previous paper (NTGY) and Somerville & Primack (1999). We adjust the high redshift properties of dust-to-metal ratio and dust clumpiness by changing $`\gamma `$. As a standard model, we simply adopt $`\gamma =0`$. It will be also investigated in §5.3 how the galaxy counts are affected by $`\gamma `$.

For some classes of galaxies, the screen dust model has been suggested to be a good approximation, rather than the slab dust model. For example, some galaxies such as nearby starburst galaxies and hyper extremely red objects (HEROs) are very red and therefore their dust distribution should be approximated by the screen model (Totani et al., 2001b). Besides recent analysis of source counts in far-infrared and submilimeter wavelengths also favors the screen dust model (Totani & Takeuchi, 2002). In this paper, however, we adopt the slab model as a standard one because main contribution in UV/optical and near-infrared passbands is considered to be galaxies which are not heavily extincted under modest star formation activity. Of course, even for these normal galaxies the screen dust model might be a good approximation. Therefore we will check the screen dust model in §5.3. While we check only these two models, the uncertainty cased by the dust model would be clarified by checking these models and by varying $`\gamma `$.

Emitted light from distant galaxies is absorbed by Lyman lines and Lyman continuum in intervening intergalactic H I clouds. We used an optical depth calculated by Yoshii & Peterson (1994) to account for this.

We classify galaxies into different morphological types according to the $`B`$-band bulge-to-disk luminosity ratio $`B/D`$. In this paper, following Simien & de Vaucouleurs (1986), galaxies with $`B/D1.52`$, $`0.68B/D<1.52`$, and $`B/D<0.68`$ are classified as ellipticals, S0s, and spirals, respectively. Kauffmann, White & Guiderdoni (1993) and Baugh, Cole & Frenk (1996) showed that this method of type classification reproduces the observed type mix well.

We then assess whether the surface brightnesses of model galaxies are above the detection thresholds of the SDF and HDF observations. The selection effects in our SAM analysis are evaluated as follows. Using the intrinsic size of model galaxies, described in the next subsection, their surface brightness profiles in the observers frame are given by a convolution of the luminosity profile with a Gaussian point-spread function. Here we assume an exponential profile for spiral galaxies, and a de Vaucouleurs profile for elliptical and lenticular galaxies. We note that model galaxies with surface brightness higher than the threshold $`S_{\mathrm{th}}`$, and isophotal areas larger than the minimum area $`A_{\mathrm{th}}`$ are actually detected as galaxies (Yoshii, 1993). Following Totani & Yoshii (2000) and Totani et al. (2001a), we adopt $`S_{\mathrm{th}}=25.59`$ mag arcsec-2 in $`K^{}`$, $`S_{\mathrm{th}}=24.10`$ mag arcsec-2 in $`J`$, and $`A_{\mathrm{th}}=`$0.24 arcsec2 for the SDF galaxies, and $`S_{\mathrm{th}}=27.5`$ mag arcsec-2 in $`V_{606}`$, $`S_{\mathrm{th}}=27.0`$ mag arcsec-2 in $`I_{814},U_{300}`$ and $`B_{450}`$, and $`A_{\mathrm{th}}=`$0.04 arcsec2 for the HDF galaxies.

For the SDF galaxies, we also take into account the detection probability, that is, completeness. Noise and statistical fluctuations in the data prevent complete source detections at any specified limits of surface brightness and size. Totani et al. (2001a) found that the dispersion of observed isophotal area around its true value can be fitted by

$$\sigma _A(m,d_{\mathrm{ob}})=c(A_1-A_2)^{1/2}d_{\mathrm{ob}},$$
(6)
where $`m`$ is the total magnitude of an object, $`d_{\mathrm{ob}}`$ is the FWHM size, and $`A_1`$ and $`A_2`$ are the isophotal areas corresponding to the isophotal level 0.8 and 1.2 times brighter than $`S_{\mathrm{th}}`$, respectively. Assuming a Gaussian distribution of observed isophotal area with this dispersion, we obtain the probability that the observed isophotal area is larger than the threshold value $`A_{\mathrm{th}}`$. Additional details of these selection effects are described in Totani & Yoshii (2000) and Totani et al. (2001a).

### 2.3 Galaxy Size

We assume that the size of spiral galaxies is determined by a radius at which the gas is supported by rotation, under the conservation of specific angular momentum of hot gas that cools and contracts. We also assume that the initial specific angular momentum of the gas is the same as that of the host dark halo. Acquisition of the angular momentum of dark halos is determined by the tidal torques in the initial density fluctuation field (White, 1984; Catelan & Theuns, 1996a, b; Nagashima & Gouda, 1997). The distribution of the dimensionless spin parameter $`\lambda _\mathrm{H}`$ is well approximated by a log-normal distribution (Mo, Mao & White, 1998),

$$p(\lambda _\mathrm{H})d\lambda _\mathrm{H}=\frac{1}{\sqrt{2\pi }\sigma _\lambda }\mathrm{exp}\left[\frac{(\mathrm{ln}\lambda _\mathrm{H}-\mathrm{ln}\overline{\lambda })^2}{2\sigma _\lambda ^2}\right]d\mathrm{ln}\lambda _\mathrm{H},$$
(7)
where $`\overline{\lambda }`$ is the mean value of spin parameter and $`\sigma _\lambda `$ is its logarithmic variance. We adopt $`\overline{\lambda }=0.05`$ and $`\sigma _\lambda =0.5`$. (Note that in our previous paper we adopted $`\lambda _\mathrm{H}=0.05`$ for all spirals.) If the specific angular momentum is conserved, the effective radius $`r_e`$ of a presently observed galaxy at $`z=0`$ is related to the initial radius $`r_i`$ of the progenitor gas sphere via $`r_e=(1.68/\sqrt{2})\lambda _Hr_i`$ (Fall, 1979; Fall & Efstathiou, 1980; Fall, 1983). The initial radius $`r_i`$ is set to be the smaller one between the virial radius of the host halo and the cooling radius. A disk of a galaxy grows due to cooling and accretion of hot gas from more distant envelope of its host halo. In our model, when the estimated radius by the above equation becomes larger than that in the previous step, the radius grows to the new larger value in the next step.

Size estimation of high-redshift spiral galaxies, however, carries uncertainties because of the large dispersion in their observed size distribution. Allowing for the possibility that the conservation of angular momentum is not complete, we generalize this size estimation by introducing a simple redshift dependence,

$$r_e=\frac{1.68}{\sqrt{2}}\lambda _Hr_i(1+z)^\rho ,$$
(8)
where $`\rho `$ is a free parameter; we simply use $`\rho =0`$ as a reference value in this paper. Results for other values of $`\rho `$ will be given in §5. The effect of changing $`\rho `$ emerges in the selection effects due to the cosmological dimming of surface brightness and in the dust extinction because the dust column density also changes with galaxy size.

Figure 2.3 shows the effective disk radii of spiral galaxies at $`z=0`$ as a function of their luminosity for the models of SC (thick solid line), OC (dashed line), and LC (dot-dashed line). The adopted parameters in these models are tabulated in Table 1. All the models well reproduce the observed disk size-magnitude relation (thin solid line) compiled by Totani & Yoshii (2000) based on the data taken from Impey et al. (1996). The redshift dependence of such relation through changing $`\rho `$ in equation 6 will be discussed in §5.

The sizes of early-type galaxies, which likely form from galaxy mergers, are determined by the virial radius of the baryonic component. When a major merger of galaxies occurs, the merged system consisting of stars and cold gas initially virializes to satisfy

$$V_{\mathrm{circ}}^2=\frac{G(M_{}+M_{\mathrm{cold}})}{r_i}.$$
(9)
In this paper we take into account the dynamical response to the “shallowing” of the gravitational potential due to the mass loss caused by the SN feedback. Then, after the initial virialization, the system expands while losing the cold gas, with the adiabatic invariant $`(M_{}+M_{\mathrm{cold}})r`$ kept constant (e.g., Yoshii & Arimoto 1987). Then the final radius of the system, consisting only of stars after the loss of the cold gas, is given by

$$r_f=\frac{M_{,i}+M_{\mathrm{cold}}}{M_{,f}}r_i,$$
(10)
where $`M_{,i}`$ and $`M_{,f}`$ are the total masses of stars in the system before and after the mass loss, respectively. The effect of the dynamical response is most prominent for dwarf galaxies of lower circular velocity, and can explain the properties of local dwarf ellipticals, which will be presented in a separate paper. However, this effect has only a minor impact on our predicted galaxy number counts, because luminous galaxies of larger circular velocity are the main contributors to galaxy number counts at the faint limits under consideration. In order to match with the observed effective radius, we here introduce a scaling parameter, $`f_\mathrm{b}`$, such that $`r_e=f_\mathrm{b}r_f`$. The adopted values of $`f_\mathrm{b}`$ for SC, OC, and LC are tabulated in Table 1.

## 3 PARAMETER SETTINGS

We normalize the model parameters so as to agree with various local observations. As shown in NTGY, this normalization procedure is an essential ingredient in the analysis of galaxy counts.

The cosmological parameters ($`\mathrm{\Omega }_0`$, $`\mathrm{\Omega }_\mathrm{\Lambda }`$, $`h`$, $`\sigma _8`$) adopted in this paper are tabulated in Table 1. For all the models (SC, OC, and LC), the baryon density parameter $`\mathrm{\Omega }_\mathrm{b}=0.015h^2`$ is used in common. For OC and LC the value of $`\sigma _8=1`$ is determined from observed cluster abundances (Eke, Cole & Frenk, 1996).

The astrophysical parameters ($`V_{\mathrm{hot}}`$, $`\alpha _{\mathrm{hot}}`$, $`\tau _{}^0`$, $`\alpha _{}`$, $`f_\mathrm{b}`$, $`f_{\mathrm{bulge}}`$, $`\mathrm{{\rm Y}}`$) are constrained from local observations as discussed below. The adopted values are almost the same as in our previous paper. Slight differences have resulted from modifications to the model, such as the improved scheme of dust extinction. In this paper we only show the result of CSF (equation 1) as a standard, and other parameters used in common, including $`\gamma =0`$ (equation 3), $`\rho =0`$ (equation 6), and ($`\overline{\lambda },\sigma _\lambda `$)=(0.05, 0.5) (equation 5).

First, the SN feedback-related parameters ($`V_{\mathrm{hot}},\alpha _{\mathrm{hot}}`$) and the mass fraction $`\mathrm{{\rm Y}}`$ of invisible stars are almost uniquely determined if their values are chosen so as to reproduce the local luminosity function. Figure 3 shows theoretical results for the models of SC (thick solid line), OC (dashed line), and LC (dot-dashed line), which are tabulated in Table 1. Symbols with error bars indicate observational results from the $`B`$-band redshift surveys, such as APM (Loveday et al., 1992), ESP (Zucca et al., 1997), Durham/UKST (Ratcliffe et al., 1998), 2dF (Folkes et al., 1999) and SDSS (Blanton et al., 2001), and from the $`K`$-band redshift surveys (Mobasher et al. 1993; Gardner et al. 1997; 2MASS, Cole et al. 2001). As done in NTGY, we regard the APM result as a standard one. This gives somewhat less normalization of luminosity function compared with other surveys’, probably because of its worse completeness compared to the other recent surveys. Nevertheless, in this paper, we determine the SN feedback-related parameters in the above way because the dependence of these parameters on galaxy counts has been already investigated by NTGY and then because it has been found that the shape of counts is not significantly affected. We checked that the shape of the counts in the $`K^{}`$-band are also not affected by changing the luminosity function significantly.

Next, the SFR-related parameters ($`\tau _{}^0`$, $`\alpha _{}`$) are determined by using the cold gas mass fraction in late-type galaxies. The gas fraction depends on both the SN feedback-related parameters and on the SFR-related ones. The former parameters determine the gas fraction expelled from galaxies and the latter ones the gas fraction that is converted into stars. Therefore, in advance of determining the SFR-related parameters, the SN feedback-related parameters must be determined by matching the local luminosity function.

Figure 3 shows the ratio of cold gas mass relative to $`B`$-band luminosity of spiral galaxies as a function of their luminosity. Theoretical results are shown for the models of SC (thick solid line), OC (dashed line), and LC (dot-dashed line). We here assume that 75% of the cold gas in these models is comprised of hydrogen, i.e., $`M_{\mathrm{HI}}=0.75M_{\mathrm{cold}}`$. H I data, taken from Huchtmeier & Richter (1988), are shown by open squares with error bars. Since their data do not include the fraction of H2 molecules, the observational result should be regarded as providing a lower limit of the cold gas mass fraction.

## 4 RESULTS

### 4.1 Galaxy Number Counts

Figure 5 shows the galaxy number counts in the Subaru $`K^{}`$-band as a function of apparent isophotal $`K^{}`$ magnitude for the models of SC, OC, and LC. Thick lines show theoretical predictions based on the observational conditions, including the selection effects from the cosmological dimming of surface brightness and completeness for galaxies in the SDF. Open circles indicate the observed SDF raw counts in isophotal magnitude. The number of galaxies in the SC model is too small to explain the observed raw counts (open circles with error bars). On the other hand, the OC and LC models explain the SDF counts equally well. For reference, the data from other surveys are also shown by the specified symbols, after applying a transformation of $`K^{}=K+0.1`$.

Thin lines in this figure are theoretical predictions without the selection effects. It is evident that the effects become important at $`K^{}>20`$, and make the count slope turn over at $`K^{}24`$, where the observed raw counts reach a maximum. The predicted counts with and without the selection effects differ by a factor of three at $`K^{}24`$, which is much greater than the observational error. Thus, incorporation of the selection effects is essential in the SAM analysis of the galaxy number counts.

We check for consistency with the HDF counts in the $`UBVI`$ bands in Figure 6. The types of lines are the same as in Figure 5. We see that the OC and LC models, which reproduce the near-infrared SDF counts, give a better agreement with the UV/optical HDF counts when compared with our previous models in NTGY. On the other hand, the SC model significantly falls below those observed in all the $`UBVIK^{}`$ bands. Thus we conclude that our SAMs well reproduce the multiband galaxy number counts in a low-density universes with or without a cosmological constant.

### 4.2 Isophotal Area-Magnitude Relation

As stressed in the previous section and in NTGY, the selection effects from the cosmological dimming of surface brightness of galaxies cannot be ignored in the SAM analysis of galaxy number counts. This indicates that the size of high-redshift galaxies must be modeled properly. Figure 7 plots the SDF galaxies in the isophotal area-magnitude diagram. The data plotted are those for the SDF galaxies that are detected in both the $`K^{}`$ and $`J`$ bands. Only the LC model is shown, with various values of $`\rho =0`$ (solid line), 0.5 (dashed line), and 1 (dot-dashed line), because other parameters involving the adopted cosmology and dust extinction hardly affect the result. The isophotal area becomes smaller for fainter apparent magnitude; at faint limits it reaches the minimum for detection. All predictions with $`\rho =0-1`$ give a convergent result at faint limit of $`K^{}24`$. This convergence occurs because galaxies with larger areas at $`K^{}24`$ have surface brightnesses below the threshold and remain undetected. We find from this figure that our SAM galaxies well reproduce the observed area-magnitude relation, and are consistent with the SDF galaxies, only when the selection bias against faint galaxies with high redshift and/or low surface brightness is taken into account in the analysis.

### 4.3 Redshift Distributions

The left panels in Figure 8 show the redshift distributions for the HDF galaxies in the $`I_{814}`$ band. The solid and dashed lines are theoretical predictions for the LC model with and without the selection effects, respectively. The histograms are the observed photometric redshift distributions given by Furusawa et al. (2000). As sown in NTGY, the LC model well reproduces the observed redshift distribution as a function of apparent magnitude.

The right panels of Figure 8 show the $`K^{}`$-band predictions for the LC model. Compared with Totani et al. (2001a), in which the traditional models of galaxy evolution are used, the peak location for our redshift distribution moves to lower redshift. Therefore, redshifts of the SDF galaxies, if measured by either a spectroscopic or photometric method, give an important insight into physical processes of galaxy formation and evolution.

## 5 MODEL UNCERTAINTIES AT HIGH REDSHIFT

In this section we discuss uncertainties in predicting the number counts of galaxies. Such uncertainties arise mainly from the SF timescale (§5.1), the galaxy size (§5.2), and the dust extinction (§5.3). As for the SN feedback-related parameters, we find that the dependence of our result on their values has a similar tendency to NTGY, so that our conclusion of preferring a low-density universe is not altered by uncertainty associated with these parameters. Finally we will discuss the morphological counts (§5.4).

### 5.1 Star Formation Timescale

We evaluate the effects of changing the SF timescale from CSF to DSF ($`\sigma =0`$ or 1) in the $`\mathrm{\Lambda }`$CDM model (see equation 1). Note that CSF in the EdS universe is equivalent to DSF with $`\sigma =1.5`$, thus the case of DSF with $`\sigma =1`$ is in between CSF and DSF with $`\sigma =0`$, as shown in Figure 2.1. Hereafter, the two cases of DSF with $`\sigma =0`$ and 1 in the $`\mathrm{\Lambda }`$CDM model are referred to as LD0 and LD1, respectively.

Figure 9 shows the predicted number counts of galaxies in the Subaru $`K^{}`$ and HST $`B_{450}`$ bands for the models of LC (solid line), LD1 (dashed line) and LD0 (dot-dashed line). The predicted counts from LD1 and LD0 are higher than those by LC; this tendency is much more prominent in the longer wavelength passband. This wavelength-dependent tendency is explained as follows. In general, the near-infrared luminosity in the $`K^{}`$ band mainly reflects the total mass of long-lived stars, while the UV/blue luminosity reflects the instantaneous SFR. While the total mass of cold gas available for star formation is limited by the radiative cooling of hot gas, the conversion timescale from cold gas to stars is determined by the SF timescale. In the case of DSF, for which the SF timescale is shorter than in CSF, more stars are formed at higher redshift. Consequently, in the cases of LD1 and LD0, individual galaxies become brighter in the $`K^{}`$ band, and so the $`K^{}`$-band counts of observable galaxies above the surface brightness threshold become larger than in LC, although their blue luminosity is hardly changed in the $`B_{450}`$ band.

The above argument indicates that the SF timescale is best constrained by the observed SDF counts in the $`K^{}`$ band. Since the LC model is found to give a superior agreement with the SDF counts, the SF timescale should therefore be nearly constant against redshift. This result is consistent with previous SAM analyses by Kauffmann & Haehnelt (2000), Somerville, Primack & Faber (2001) and NTGY.

The optical depth for absorption of stellar light by dust is assumed to be proportional to the amount of cold gas present. In the cases of LD1 and LD0, because of the short SF timescale, the fraction of cold gas mass at high redshift is smaller, leading to smaller optical depth when compared to LC. For this reason, the $`B_{450}`$-band counts in LD1 and LD0, which are sensitive to internal dust extinction, show a slight excess at $`B_{450}23`$. However this effect is almost canceled out by the increase of stars due to the higher SFR given by the shorter SF timescale, as shown in Figure 9b.

### 5.2 Galaxy Size

As mentioned in §4.1, the selection effects from the cosmological dimming of surface brightness of galaxies are important. Therefore, the number counts of galaxies are sensitive to their size, because the surface brightness is proportional to the inverse of radius squared. Figure 10 shows theoretical predictions for the LC model with $`\rho =0`$ (solid line), 0.5 (dashed line), and 1 (dot-dashed line). Note that the simple model with $`\rho =0`$ leads to smaller disk size at high reshift in proportional to the initial radius $`r_i`$, which is nearly equal to the virial radius in the case of halos with galactic mass-scale and becomes smaller size according to the spherical collapse model. Thus the models with $`\rho >0`$ lead to larger disks and lower surface brightness compared to the simple model with $`\rho =0`$, and hence the smaller number counts of observable galaxies above the surface brightness threshold, in both the $`K^{}`$ and $`B_{450}`$ bands, when compared to the standard case of $`\rho =0`$. Since the case of $`\rho =0`$ slightly overpredicts the $`K^{}`$-band observed counts at $`K^{}24`$ and the case of $`\rho 0.5`$ is preferable, it seems that high-redshift galaxies might be more extended in size than expected from the cooling radius.

The size of a galaxy disk also affects dust extinction. The optical depth of dust is proportional to the inverse of disk radius squared. In the case of $`\rho =1`$, the number of galaxies at $`B_{450}23`$ increases above the $`\rho =0`$ prediction, because of weaker dust extinction owing to larger disk size. The effects of dust extinction are discussed in the next section in detail.

The physical processes which cause the galaxy disks to be more extended at high redshift are yet to be identified. One possibility includes the viscous evolution of the star-forming disk (Saio & Yoshii, 1990), but more investigations will obviously be necessary here.

### 5.3 Dust Extinction

The uncertainty in estimation of dust extinction at high redshift comes from a combination of uncertainties in the chemical enrichment model, dust-to-metal ratio, clumpiness of dust, and so on. Instead of entering into these details, however, we measure a robustness of our result by changing the value of $`\gamma `$ in the optical depth by dust (equation 3).

Figure 11 shows theoretical predictions for the LC model with $`\gamma =0`$ (solid line), 1 (dashed line), and 2 (dot-dashed line), assuming the slab dust distribution . The predicted $`K^{}`$-band counts are almost independent of $`\gamma `$ (Figure 11a) because the near-infrared passbands are insensitive to dust extinction. On the other hand, the predicted $`B_{450}`$-band counts are sensitive to dust extinction (Figure 11b). In the case of $`\gamma 1`$, the “knee” in the count curve near $`B_{450}24`$ mag becomes prominent. It might be therefore necessary to adopt a high value of $`\gamma 1`$ in order to reproduce the observed $`B_{450}`$-band counts better over a wide range of $`B_{450}`$-magnitude if the simple assumption of disk size in the previous subsection is correct.

Figure 12 is the same as Figure 11, except for showing theoretical predictions for the screen dust distribution with $`\gamma =0`$ (dashed line) and 2 (dot-dashed line), in comparison with the slab dust distribution with $`\gamma =0`$ (solid line). In general, when the value of optical depth is fixed in the case of $`\gamma =0`$, the screen dust model gives stronger extinction than the slab dust model, so that the predicted number of bright galaxies at $`B_{450}23`$ becomes only slightly lower than that for the slab dust. In the case of $`\gamma =2`$, the “knee” in the count curve near $`B_{450}24`$ mag is prominent even in the screen dust model. On the other hand, the predicted $`K^{}`$-band counts are not affected at all, and are therefore free from the uncertainty in estimation of dust extinction.

The most effective discriminator of dust extinction is the knee of observed galaxy counts at $`B_{450}23`$. When the dust extinction is strong, the knee disappears and the count curve deviates below the data. Therefore, the optical depth by dust should be small at high redshift, that is, $`z1`$. We find that the knee is sensitive almost exclusively to the optical depth, which is determined by the cold gas mass, disk size, metallicity of cold gas, and $`\gamma `$ (equation ).

In order to decrease the optical depth we need to decrease the cold gas mass and/or metallicity, expand the galaxy size, or increase the value of $`\gamma `$. If one decreases the cold gas mass with a shorter SF timescale, too many galaxies are formed, and the number of galaxies in the $`K^{}`$-band is overpredicted (§5.1). If one expands the galaxy size, we suffer from too strong selection effects (§5.2). There is an uncertainty in estimation of the cold gas metallicity (Somerville, Primack & Faber, 2001), but this uncertainty can be practically absorbed in the effect of $`\gamma `$. Thus, in the usual SAMs ($`\gamma =0`$), a simple estimation of optical depth might be worse to reproduce the observed galaxy counts at short wavelengths rather than models with a high value of $`\gamma 1`$. In any case, the shape of galaxy counts at shorter wavelength is sensitive to the optical depth. We will need more investigations on the dust extinction.

### 5.4 Morphology-Dependent Number Counts

Our SAM simultaneously reproduces the multi-band galaxy counts, in contrast to the previous works using the traditional galaxy evolution models (Totani & Yoshii, 2000; Totani et al., 2001a). The reasons could indeed be quite complicated, but one of the possibilities might be that a dominant morphology of galaxies is different in different passband. The SAM allows for morphological transformations during the evolution of galaxies, that is, mergers between galaxies of similar mass make spheroidals as merger remnants, then they accrete hot gas through radiative cooling as galactic disk.

Figure 13 shows the predicted contributions of early-type galaxies (E/S0; dashed lines) in the LC model in the $`K^{}`$ and $`I_{814}`$ bands. Note that the morphology of galaxies is identified by the $`B`$-band bulge-to-disk ratio at their observed redshift in the observer frame and that this definition is different from that in usual analyses with the traditional models. The total number counts are also shown by the solid lines. In order to see the fractional change of morphologies, we change the value of $`f_{\mathrm{bulge}}`$ which divides mergers into major and minor ones according to the mass ratio of merging galaxies (see §2.1). The thick lines are for the reference value of $`f_{\mathrm{bulge}}=0.1`$, and the thin lines for $`f_{\mathrm{bulge}}=0.5`$ where major merger occurs only when the mass of smaller satellite is larger than 0.5 times that of larger one. We also plot the observed E/S0 counts in the HDF (Abraham et al., 1996; Driver et al., 1998; Phillipps et al., 2000) with the total HDF counts in the $`I_{814}`$-band. We find that our prediction for E/S0 counts roughly agree with the observed data and that the uncertainty in the E/S0 counts caused by that of $`f_{\mathrm{bulge}}`$ is nearly a factor of two.

We note that while the fraction of early-type galaxies increases with decreasing $`f_{\mathrm{bulge}}`$, the total counts are hardly changed. This indicates that the total number of galaxies is essentially determined by the merging histories of dark halos and by the cooling rate of hot gas, and that the cooling must be very efficient to enable frequent formation of disk galaxies at $`z1`$.

We also note that our morphological classification is based on the $`B`$-band bulge-to-disk ratio. It has not yet been confirmed that this $`B`$-band classification coincides with that for the $`K^{}`$ band, therefore our predictions of type-dependent counts in the $`K^{}`$ band should be regarded as qualitative estimates.

## 6 SUMMARY AND DISCUSSION

We have calculated the number counts of faint galaxies in the framework of SAM for three cosmological models, the standard CDM (EdS) universe, a low-density open universe, and a low-density flat universe with nonzero $`\mathrm{\Lambda }`$. Our SAM includes the selection effects from the cosmological dimming of surface brightness of galaxies with criteria appropriate for the SDF and HDF, and also includes some modifications to our previous analysis (NTGY), such as the optical depth estimation of dust within a galaxy. In this paper we have shown that our SAM is fully consistent with that of the previous version, and can explain the observed multi-band galaxy counts from the UV to the near-infrared.

Comparison of theoretical predictions with the observed number counts of SDF and HDF galaxies, as well as with other ground-based observations, indicates that the standard CDM is ruled out, and a $`\mathrm{\Lambda }`$-dominated flat universe and a low-density open universe are favored. This result is consistent with that from HDF galaxies (NTGY), but is in sharp contrast with previous SAM analyses by other authors, where many of the conceivable selection effects in the faint observations have been ignored.

Some uncertainties in our SAM have been discussed. These arise from a lack of knowledge on the galaxy formation process, and also from an insufficient survey of the physical properties of high-redshift galaxies. We especially focused on the uncertainties in redshift dependence of SF timescale, galaxy size, and dust extinction. We found that dust extinction hardly affects galaxy counts in the Subaru $`K^{}`$ band, but does significantly affect those in the HST $`B_{450}`$ band. Thus, the $`K^{}`$-band galaxy counts are robust against the uncertainty of dust extinction. Two other factors affect galaxy counts even in the $`K^{}`$-band. If the SF timescale at high redshift is shorter than one which is simply proportional to the dynamical timescale in the disk, too many galaxies are formed, and the number of galaxies at faint-end is greatly overpredicted. We found that the SF timescale should be nearly constant against redshift, as suggested by our previous analysis (NTGY) and by other recent SAM analyses(Kauffmann & Haehnelt, 2000; Somerville, Primack & Faber, 2001).

The uncertainty in estimation of galaxy size results in an uncertainty in estimation of the surface brightnesses of galaxies, which is directly related to the selection effects mentioned above. In our SAM, like usual SAMs, the size of the disk is determined under the assumption of specific angular momentum conservation of cooling gas, so that the disk size is proportional to the cooling radius. In order to see how theoretical predictions are changed by changing the galaxy size, we introduced a free parameter $`\rho `$ allowing for an additional redshift dependence in size estimation. We found that the value of $`\rho 0.5`$ is favored in order to reproduce the observed counts, which indicates that the disk radius should be extended by a factor of $`(1+z)`$ over the cooling radius. We also found that this manipulation cannot be discriminated observationally because we cannot know how many undetected low surface brightness galaxies below the selection criteria are there at high redshift, which are presumably systems of large size.

Through this work, we have shown that our SAM can explain a variety of observed properties of nearby and high-redshift galaxies, and place some constraints on star formation, size evolution, and dust extinction. More stringent constraints will certainly be obtained by a greater knowledge of dynamical and kinematical properties of galaxies in near future.

We would like to thank T. C. Beers for his critical reading of the manuscript and T. Kodama for kindly giving us the data of the pass-bands in the SDF. We also thank the anonymous referee who led us to a improvement of our paper. This work has been supported in part by the Grant-in-Aid for the Center-of-Excellence research (07CE2002) and for the Scientific Research Funds (13640249 and 12047233) of the Ministry of Education, Science, Sports and Culture of Japan. Numerical computation in this work was partly carried out at the Yukawa Institute Computer Facility.


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# The r-Process without Excess Neutrons

## I

Despite years of study, a proper understanding of the provenance of the solar system’s r-process isotopes remains elusive. These nuclei, comprising roughly half the isotopes heavier than iron, are suspected to have formed in environments expanding rapidly from conditions of high temperature and density. During this expansion, heavy seed nuclei form. If excess neutrons remain after seed production, each nucleus is subsequently able to capture a large number of neutrons, thereby producing the r-process isotopes. This basic mechanism has long been understood Burbidge et al. (1957); Cameron (1957). The difficulty in determining the r-process site lies rather in finding a realistic astrophysical setting that can generate a sufficiently large neutron-to-seed ratio.

The requirement of a large neutron-to-seed ratio for a successful r-process has long suggested that the r-process environment must have a substantial excess of neutrons over protons. The degree of this excess depends on the entropy per nucleon and the expansion timescale. For low-entropy (entropy per nucleon $`s/k_B1`$) material, seed nucleus production is highly efficient. The material must therefore be quite neutron rich to have a large enough neutron-to-seed ratio. Such material typically requires an electron-to-nucleon ratio $`Y_e0.10.2`$. It should be noted that $`Y_e`$ is, for charge-neutral matter, the fraction of all nucleons that are protons. While ejection of neutronized matter from supernova cores (e.g., Hillebrandt et al. (1976); Sumiyoshi et al. (2001)) or from colliding neutron stars (e.g., Rosswog et al. (2001)) are promising scenarios for such low-entropy r-processes, current models have not yet established that enough neutron-rich matter is ejected to explain the solar system’s r-process abundances.

For higher entropies ($`s/k_B100`$) and faster expansions, such as are thought to occur in neutrino-heated ejecta from proto-neutron stars, seed nucleus production is less efficient, and the r-process may occur for larger $`Y_e`$, typically in the range $`Y_e0.350.45`$ (for example, see Refs. Woosley et al. (1994); Takahashi et al. (1994)). Recent r-process calculations in the context of general-relativistic wind models show great promise. One group obtains realistic r-process yields for $`Y_e=0.4`$ Wanajo et al. (2001). Another group argues that realistic supernova neutrino spectra may not allow $`Y_e`$ to get so low in the winds and that, if the r-process occurs in these environments, $`Y_e`$ is more likely in the range 0.47-0.495 Thompson et al. (2001). A higher-$`Y_e`$ r-process has two advantanges. First, it does not suffer from the overproduction of $`N=50`$ isotones common in wind models with lower $`Y_e`$ (e.g., Woosley et al. (1994); Takahashi et al. (1994)). Second, it is less susceptible than lower-$`Y_e`$ r-processes to the detrimental effects of the neutrino-induced “alpha effect” (e.g., Meyer et al. (1998a)), which may drastically diminish the neutron-richness of wind matter during seed nucleus production. The issue for the higher-$`Y_e`$ r-process is whether the winds can attain high enough entropy and fast enough expansion rates to make heavy r-process isotopes.

The purpose of this paper is to point out that a high neutron-to-seed ratio for the r-process does not necessarily require that the environment be neutron rich. In fact, heavy r-process nuclei can form in environments with equal numbers of neutrons and protons ($`Y_e=0.5`$) or even with excess protons ($`Y_e>0.5`$). The nucleosynthesis is qualitatively different from that in previously studied r-process scenarios because of a persistent disequilibrium between free nucleons and alpha particles. This observation has interesting implications for the site of the r-process, the variability of r-process yields, and constraints on neutrino physics drawn from nucleosynthesis. It also clarifies the difference between explosive nucleosynthesis in the early universe and in stars.

In order to explore this issue, calculations were made with the Clemson nucleosynthesis code Meyer (1995). This code has been recently updated to use the NACRE Angulo et al. (1999) and NON-SMOKER Rauscher and Thielemann (2000) rate compilations. Figure 1 shows the final abundances per nucleon (as a function of mass number) for three calculations, each with $`Y_e=0.5`$ and entropy per nucleon $`s/k_B=150`$. In each calculation, the expanding material was modeled to begin at temperature above $`T_9=T/10^9\mathrm{K}=10`$. The material was taken to expand with constant entropy and the density to fall with time $`t`$ as

$$\rho (t)=\rho _1\mathrm{exp}(t/\tau )+\rho _2\left(\frac{\mathrm{\Delta }}{\mathrm{\Delta }+t}\right)^2$$
(1)
where $`\rho _1+\rho _2`$ is the density at time $`t=0`$ and $`\mathrm{\Delta }`$ was chosen so that the two terms on the right-hand side of Eq. (1) were equal near $`T_9=2`$. This form of expansion models neutrino-driven winds from neutron stars, which initially expand roughly exponentially (the first term in Eq. ) but then may evolve to an outflow with constant velocity (the second term in Eq. ). At each timestep, the temperature was determined from the composition, entropy, and density by iteration, as described in Ref. Meyer and Brown (1997).

As Figure 1 shows, expansions with $`\tau =0.03`$ or 0.003 seconds produce significant quantities of 4He and iron group nuclei (particularly isotopes of nickel), as expected for high entropy and $`Y_e=0.5`$ matter. For the expansion with a $`\tau `$ of 0.0003 seconds, however, considerably heavier nuclei form. While the resulting abundance pattern does not match the solar system r-process abundance distribution in detail, many heavy r-process nuclei have been synthesized.

The nuclear dynamics that allows matter without neutron excess to produce heavy r-process nuclei is qualitatively different from that in more standard r-processes. This is best illustrated in Figure 2, which shows the quantity $`R_\alpha /R_p^2R_n^2`$ in the three calculations. The quantity $`R_i`$ at a particular point in an expansion is the ratio of the abundance of species $`i`$ (with proton number $`Z_i`$ and neutron number $`N_i`$) in the actual reaction network to the abundance that species would have in nuclear statistical equilibrium at the same temperature, density, and $`Y_e`$. $`R_i/R_p^{Z_i}R_n^{N_i}`$ is unity if the free nucleons are in equilibrium with species $`i`$ and less than unity if species $`i`$ is underabundant relative to equilibrium Meyer et al. (1998b). In slower and lower-entropy expansions, reactions converting nucleons into alpha particles and back proceed rapidly enough to maintain an equilibrium among these species down to relatively low temperatures ($`T_934`$). The result is that $`R_\alpha /R_p^2R_n^2`$ stays near unity throughout much of the expansion (cf. Fig. 8 of Ref. Meyer et al. (1998b)). In the present calculations this is not the case. The equilibrium begins to fail as the material cools below $`T_99`$. In the $`\tau =0.03`$ and 0.003 s expansions, this equilibrium recovers around $`T_9=6`$ and then persists down to $`T_93.5`$. In the $`\tau =0.0003`$ s expansion, the equilibrium never recovers.

The equilibrium between the nucleons and alpha particles first fails near $`T_99`$ because of the high entropy and low abundance of light nuclear species. Figure 3 shows that 2H, 3H, and 3He all remain in excellent equilibrium with the nucleons in the $`\tau =0.0003`$ s expansion down to $`T_93`$ for the heavier two species and $`T_91`$ for deuterium. These isotopes behave similarly in the two slower expansions. Because of the high entropy, however, the light isotope abundances are extremely low. Production of 4He occurs primarily via capture on these species, so, as the temperature falls, their low abundances fail to maintain 4He at its equilibrium abundance.

The return to equilibrium in the two slower expansions happens because of the production of heavy nuclei. As Figure 4 shows, these two expansions begin producing significant numbers of heavy nuclei near $`T_96`$. Once sufficiently many heavy nuclei have formed, they are able to catalyze the equilibrium between the nucleons and 4He via fast reaction cycles such as $`{}_{}{}^{62}\mathrm{Ni}(p,\gamma )^{63}\mathrm{Cu}(n,\gamma )^{64}\mathrm{Cu}(n,\gamma )^{65}\mathrm{Cu}(p,\alpha )^{62}\mathrm{Ni}`$ and their inverses. For the $`\tau =0.0003`$ s expansion, however, considerably fewer nuclei form. The smaller number of heavy nuclei are then unable to restore the equilibrium between the nucleons and 4He.

For temperatures below $`T_96`$, equilibrium in these expansions strongly favors locking most free nucleons into 4He. In the $`\tau =0.03`$ and $`0.003`$ s expansions, then, few free nucleons are available at lower temperatures for subsequent capture. By contrast, because the equilibrium fails early for the $`\tau =0.0003`$ s expansion and is never restored, the few free nuclei that form co-exist with a huge overabundance of free neutrons and protons down to low temperature. This is shown in Figures 5 and 6. At $`T_9=4`$, there are roughly $`10^3`$ times more free protons and $`10^6`$ times more neutrons per seed nucleus in the $`\tau =0.0003`$ s expansion than in the two slower ones. This excess of nucleons leads to heavier seed nuclei than would be expected in the less extreme expansions. Furthermore, the free neutrons are available at lower temperatures for r-process nucleosynthesis. More details of the three expansions, including movies, are available in the electronic addendum to this paper epa .

The presence of a persistent disequilibrium between free nucleons and alpha particles can even allow proton-rich matter to produce heavy r-process nuclei. For example, figure 7 shows the final abundances for a calculation with $`\tau =0.0003`$ s, $`s/k_B=200`$, and $`Y_e=0.505`$. The overall yield is low, and the final distribution does not match the solar r-process pattern. Nevertheless, heavy r-process nuclei have formed even though the matter, in bulk, actually has more protons than neutrons.

Although the expansion timescales and/or entropies needed for an r-process without excess neutrons are considerably more extreme than current models yield (e.g., Thompson et al. (2001)), the present results should nevertheless encourage further study of supernova models with rapid ejection of high-entropy but nearly symmetric ($`Y_e0.5`$) matter. Additional nucleosynthesis calculations are also needed to explore conditions required for a disequilibrium between free nucleons and alpha particles and the resulting r-process abundances. The presence or absence of such a disequilibrium can cause the final r-process abundances to be quite sensitive to the expansion parameters, especially for slightly neutron-rich matter. For example, an expansion with $`s/k_B=150`$, $`\tau =0.0007`$ s, and $`Y_e=0.4975`$ predominantly forms third-peak nuclei (mass number $`A195`$) because of the persistent disequilibrium between nucleons and alpha particles while a calculation with $`s/k_B=150`$, $`\tau =0.0008`$ s, and $`Y_e=0.4975`$ makes a strong second r-process peak ($`A130`$) but few heavier nuclei because the nucleon-alpha particle equilibrium is restored epa . Such sensitivity could result in variability of r-process yields from nucleosynthesis event to event and provide a natural explanation for the two r-process component scenario often invoked to explain the abundances of extinct short-lived r-process radioactivities in meteorites (e.g., Qian and Wasserburg (2000)). It should also be clear that since heavy r-process nuclei can form even in matter with $`Y_e>0.5`$, constraints on the properties of neutrinos, as inferred from r-process yields (e.g., Qian et al. (1993)), must be made with caution.

The above considerations clarify the fundamental difference between “normal” explosive nucleosynthesis in stars and nucleosynthesis in the early universe. In “normal” explosive stellar nucleosynthesis, conditions are not too extreme, and the free nucleons typically remain in equilibrium with the 4He nuclei to relatively low temperature. This leaves few free protons or neutrons available for subsequent modification of the abundances, unless the material is significantly neutron or proton rich. By contrast, in the early universe, 4He would dominate the equilibrium abundances at $`T_93`$ and lock up all free neutrons, resulting in a 4He mass fraction greater than 30% epa . The extremely high entropy, however, keeps the abundance of 2H, 3H, and 3He low, thereby preventing 4He from attaining its high equilibrium value. Synthesis of 4He occurs only several minutes later when the temperature drops below $`T_91`$. At this point, the equilibrium between the nucleons and 2H breaks and non-equilibrium nuclear flows build up 4He. Because the neutrons remain free due to the lack of equilibrium between free nucleons and 4He, their abundance declines by beta decay over the several minutes period from $`T_9=3`$ to $`T_91`$, thereby leading to a 4He mass fraction of approximately 25%.

Further modeling will establish whether the solar system’s r-process isotopes formed in a disequilibrium between the free nucleons and alpha particles. Regardless of the outcome of such modeling, however, a certain irony attends the fact that the synthesis of heavy r-process nuclei can be in its fundamental aspect more similar to the formation of nature’s lightest isotopes in the early universe than to production of heavier isotopes such as 56Fe in less extreme explosive processes.

###### Acknowledgements.

The author gratefully acknowledges conversations with A. Burrows and T. Thompson and assistance from L.-S. The and S. Chellapilla. This research was supported by NASA grant NAG5-10454, NSF grant AST 98-19877, and a SciDAC grant from the High Energy Nuclear Physics Division of the DOE. The author also thanks the Institute for Nuclear Theory at the University of Washington for its hospitality and the Department of Energy for partial support during the completion of this work.


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# About the Almeida-Thouless transition line in the Sherrington-Kirkpatrick mean field spin glass model

In this short note, we consider the Sherrington-Kirkpatrick mean field spin glass model  and we prove that, in the thermodynamic limit $`N\mathrm{}`$, the quenched free energy per site is strictly greater than the corresponding replica symmetric approximation , for values of temperature and magnetic field below the Almeida-Thouless line . This is a simple consequence of rigorous bounds, discovered by F. Guerra , which relate the true quenched free energy to the Parisi solution with replica symmetry breaking .

Consider the system at temperature $`\beta ^1`$ and magnetic field $`h`$, and recall that the Almeida-Thouless critical line is defined by the condition

$$\beta ^2𝑑\mu (z)\frac{1}{\mathrm{cosh}^4(z\beta \sqrt{\overline{q}}+\beta h)}=1,$$
(1)
where $`d\mu (z)`$ is a unit centered Gaussian measure and the Sherrington-Kirkpatrick order parameter $`\overline{q}(\beta ,h)`$ is the unique  solution of

$$\overline{q}=𝑑\mu (z)\mathrm{tanh}^2(z\beta \sqrt{\overline{q}}+\beta h).$$
(2)
The Parisi solution  is defined as

$$\overline{\alpha }_P(\beta ,h)=\underset{x𝒳}{inf}\overline{\alpha }(\beta ,h;x),$$
(3)
where $`𝒳`$ is the space of functional order parameters, i.e., of non decreasing functions

$$x:q[0,1]x(q)[0,1],$$

and $`\overline{\alpha }(\beta ,h;x)`$ is defined as

$$\overline{\alpha }(\beta ,h;x)=\mathrm{ln}2+f(0,h;x,\beta )\frac{\beta ^2}{2}_0^1qx(q)𝑑q.$$
(4)
$`f(q,y;x,\beta )`$ is the solution of the antiparabolic equation

$$_qf(q,y;x,\beta )+\frac{1}{2}\left(_y^2f(q,y;x,\beta )+x(q)(_yf(q,y;x,\beta ))^2\right)=0$$
(5)
with final condition

$$f(1,y;x,\beta )=\mathrm{ln}\mathrm{cosh}(\beta y).$$
(6)
The equation for $`f`$ can be easily solved if $`x(q)`$ is piecewise constant. For instance, if one takes

$$\{\begin{array}{cc}x(q)=0\hfill & q[0,\overline{q}]\hfill \\ x(q)=1\hfill & q(\overline{q},1],\hfill \end{array}$$
(7)
one finds that $`\overline{\alpha }(\beta ,h,x)`$ is the so called replica symmetric solution

$$\overline{\alpha }(\beta ,h)=\mathrm{ln}2+\frac{\beta ^2}{4}(1\overline{q})^2+𝑑\mu (z)\mathrm{ln}\mathrm{cosh}(z\beta \sqrt{\overline{q}}+\beta h).$$
(8)
One expects the quenched free energy per site $`F_N(\beta ,h)`$ to be related to the Parisi solution by

$$\underset{N\mathrm{}}{lim}\beta F_N(\beta ,h)=\overline{\alpha }_P(\beta ,h),$$
(9)
where $`N`$ is the size of the system. While the rigorous proof of this equality has not yet been fully achieved, one can prove  that

$$\beta F_N(\beta ,h)\overline{\alpha }_P(\beta ,h),$$
(10)
for any value of $`N,\beta ,h`$.

In the following, we employ the result (10) to prove that the thermodynamic limit of the quenched free energy is strictly greater than its replica symmetric approximation, below the Almeida-Thouless line:

$$\beta F(\beta ,h)\beta \underset{N\mathrm{}}{lim}F_N(\beta ,h)<\overline{\alpha }(\beta ,h),$$
(11)
for

$$\beta ^2𝑑\mu (z)\frac{1}{\mathrm{cosh}^4(z\beta \sqrt{\overline{q}}+\beta h)}>1.$$
(12)
(The limit in (11) exists, thanks to ). To this purpose, one simply needs to show that, if (12) holds, there exists a functional order parameter $`\stackrel{~}{x}`$ such that $`\overline{\alpha }(\beta ,h;\stackrel{~}{x})<\overline{\alpha }(\beta ,h)`$.

For instance, we choose

$$\{\begin{array}{cc}\stackrel{~}{x}(q)=0\hfill & q[0,\overline{q}]\hfill \\ \stackrel{~}{x}(q)=m\hfill & q(\overline{q},q]\hfill \\ \stackrel{~}{x}(q)=1\hfill & q(q,1],\hfill \end{array}$$
(13)
where $`0m1`$ and $`\overline{q}q1`$ and we denote with $`\overline{\alpha }(\beta ,h;m,q)`$ the corresponding Parisi function $`\overline{\alpha }(\beta ,h;\stackrel{~}{x})`$.

Of course, since $`\overline{\alpha }(\beta ,h;1,q)=\overline{\alpha }(\beta ,h)`$, it is sufficient to prove that

$$_m\overline{\alpha }(\beta ,h;m,q)|_{m=1}>0,$$

for some $`q`$. First of all, $`\overline{\alpha }(\beta ,h;m,q)`$ is easily found to be

$`\overline{\alpha }(\beta ,h;m,q)=\mathrm{ln}2+{\displaystyle \frac{\beta ^2}{2}}(1q){\displaystyle \frac{\beta ^2}{4}}(1q^2+m(q^2\overline{q}^2))+`$ (14)
$`+{\displaystyle \frac{1}{m}}{\displaystyle 𝑑\mu (z^{})\mathrm{ln}𝑑\mu (z)\mathrm{cosh}^m(\beta h+\beta z\sqrt{q\overline{q}}+\beta z^{}\sqrt{\overline{q}})}.`$ (15)
Next, we compute the derivative with respect to $`m`$, keeping $`q`$ fixed, and we find

$`_m\overline{\alpha }(\beta ,h;m,q)|_{m=1}K(\beta ,h;q)`$ (16)
$`{\displaystyle \frac{\beta ^2}{4}}(q^2\overline{q}^2){\displaystyle 𝑑\mu (z^{})\mathrm{ln}𝑑\mu (z)\mathrm{cosh}(\beta h+\beta z\sqrt{q\overline{q}}+\beta z^{}\sqrt{\overline{q}})}`$
$`+{\displaystyle 𝑑\mu (z^{})\frac{𝑑\mu (z)\mathrm{cosh}(\beta h+\beta z\sqrt{q\overline{q}}+\beta z^{}\sqrt{\overline{q}})\mathrm{ln}\mathrm{cosh}(\beta h+\beta z\sqrt{q\overline{q}}+\beta z^{}\sqrt{\overline{q}})}{𝑑\mu (z)\mathrm{cosh}(\beta h+\beta z\sqrt{q\overline{q}}+\beta z^{}\sqrt{\overline{q}})}}.`$
It is clear that, for $`q\overline{q}`$, the integration over $`z`$ disappears, and

$$K(\beta ,h;\overline{q})=0.$$

Therefore, in order to check the sign of $`K(\beta ,h;\overline{q})`$, we have to expand around $`q=\overline{q}`$. By performing the first two derivatives with respect to $`q`$, one finds

$$_qK(\beta ,h;q)|_{q=\overline{q}}=0$$

and

$$_q^2K(\beta ,h;q)|_{q=\overline{q}}=\frac{\beta ^2}{2}\left(1\beta ^2𝑑\mu (z)\frac{1}{\mathrm{cosh}^4(z\beta \sqrt{\overline{q}}+\beta h)}\right).$$

This computation requires a simple integration by parts on a Gaussian variable. It is clear that, when condition (12) holds, $`_q^2K(\beta ,h;q)|_{a=\overline{q}}>0`$, so that

$$_m\overline{\alpha }(\beta ,h;m,q)|_{m=1}>0,$$

at least for $`q`$ small.

This, together with Guerra’s bound (10), completes the proof of the result (11), i.e., of the instability of the replica symmetric solution.

Acknowledgments

The author is grateful to Francesco Guerra for many useful conversations.

This work was supported in part by MIUR (Italian Minister of Instruction, University and Research), and by INFN (Italian National Institute for Nuclear Physics).


text:
# Constraints on proton-proton fusion from helioseismology

## I Introduction

The Standard Solar Model (SSM) is a model of the sun constructed by numerically solving the equations of stellar structure and evolution constrained by the observed composition, luminosity, and radius of the sun at the current age. This model yields acoustic oscillation frequencies ($`p`$-modes) that match the observed $`p`$-mode oscillation spectrum of the sun to better than 0.3% Gue97 . The uncertainties associated with the observed oscillation frequencies are an order of magnitude smaller. The excellent agreement between the model and observed frequency spectra implies that the run of sound speed predicted by the model is close to that of the sun which, in turn, suggests that the physics used to construct the model of the sun is accurate.

The individual $`p`$-mode frequencies extend to distinct depths in the sun, and hence can be used to study the physics of specific regions. Of interest to the work described here are the low-$`l`$ (where $`l`$ corresponds, in spherical harmonic nomenclature, to the number of nodes in azimuth) $`p`$-mode frequencies that penetrate deep into the core of the sun. These modes, grouped in combinations that cancel out surface dependencies, can be used to test the important physics of the core. One of the greatest sources of uncertainty in the physics of the solar model core is the $`pp`$-fusion cross-section. The reaction is unconstrained by laboratory-based experiments, relying completely on precise calculations from theoretical nuclear physics. Owing to the precise agreement between the observed and predicted oscillation frequencies that already exists, it is possible to use the oscillation frequencies to constrain the $`pp`$ cross-section, that is, to determine the range of cross-sections that yield oscillation frequencies within the known uncertainties of the solar model physics and constraints. To date, this sort of constraint has been imposed only through simplifications of the standard solar model antia , and here we use a fully-developed stellar evolution code, to be discussed later.

The cross-section for $`ppde^+\nu _e`$ has been studied extensively Sal52 ; Bli65 ; Bah69 ; Gar72 ; Dau76 ; Bar79 ; Gou90 ; Car91 ; Kam94 ; Iva97 ; Sch98 ; Par98  and contains two components. First, an ‘Impulse Approximation’ (IA) contribution where the weak interaction takes place on a single proton, as shown in Fig. 1a). This comprises more than 95% of the cross-section at energies of solar interest and is very well understood because it concerns only the weak properties of a proton and well-known proton-proton scattering physics. The second component, and the remainder of the cross-section, is unconstrained by experiment and has led theorists to try to improve our understanding of this process. Conventional potential model calculations will introduce so-called meson-exchange currents; essentially two-nucleon effects where the weak interaction occurs while the two nucleons are interacting with each other. An example of such a process is shown in Fig. 1b). These two-nucleon effects introduce physics that cannot be constrained directly by $`pp`$ elastic scattering experiments, and the parameters of this extended physics must be constrained using other methods. Few other methods exist.

Neutrino-deuteron scattering could, in principle, constrain the two-nucleon effects. Experiments involving neutrino-deuteron scattering are, however, quite difficult. Reactor antineutrino-deuteron experiments can be performed, where the experimental uncertainties are of order 10-20%. Nonetheless, they can be used to infer a constraint on the two-nucleon matrix elements bcv . One interesting method is to use tritium $`\beta `$-decay to constrain the two-nucleon matrix elements needed in $`ppde^+\nu _e`$ Sch98 . The tritium half-life is well known, and the same two-nucleon effects occur here as in $`pp`$ fusion. However, there are three nucleons in tritium, hence we cannot be certain that this more complicated structure does not, in turn, complicate the weak interaction physics further.

If we were to rely purely on theory to predict the two-nucleon component of the $`pp`$ fusion cross-section, we still have one more problem. How do we define the uncertainty in a theoretical calculation? In quantum field theories, such as quantum electrodynamics, there is a perturbative expansion parameter that dictates the size of contributions at each order in perturbation theory and thus the size of any neglected remainder. The remainder represents the uncertainty in the theory. However, conventional nuclear physics calculations use Schrödinger’s equation and nucleon-nucleon potentials to calculate initial and final-state wavefunctions and, in turn, calculate the matrix elements of relevant transition operators. In this approach, no scheme exists for estimating the size of contributions from unknown or neglected physics. An alternative to using wavefunctions to study our problem is to use an effective field theory (EFT). An EFT has many benefits, but there are drawbacks. If the EFT is perturbative (i.e., there is a small expansion parameter), then one can compute to a specific order in the parameter and then make direct statements of the scale of theoretical uncertainty of the problem as determined by the relative size of the next term in the expansion - just as one would do in quantum electrodynamics. This is particularly important given that EFTs typically have an infinite number of terms, and the expansion parameter is required to ensure that only a finite number of terms are needed for any given calculation. In the particular case of nuclear EFTs, specifically ones where all interactions are of zero-range (i.e., no pions), the expansion parameter is denoted by $`ϵ=Q/M_\pi `$, where $`Q`$ represents a generic momentum in the problem and $`M_\pi `$ is the pion mass. An added benefit of this approach is that field theories pose no problems for conservation laws such as electromagnetic gauge invariance, which are often difficult to preserve when wavefunctions are used. However, EFTs cannot escape the problem that all parameters in an EFT must be constrained by experiment, including the various weak interaction parameters.

## II Proton-Proton Fusion

There have been a number of works dealing with $`pp`$-fusion in EFT KRpp ; KRem ; BC , using the EFT without pions developed in refs. KSW96 ; K97 ; vK97 ; Cohen97 ; BHvK1 ; crs . As with the traditional calculations, the strength of the weak interaction on an interacting pair of nucleons is unknown and this ignorance can be specified through one parameter, which we label $`L_{1,A}`$ BC . $`L_{1,A}`$ represents the strength of the interaction shown in Fig. 1b). It also appears in the various $`\nu (\overline{\nu })d`$ breakup reactions and a precise measurement of one of those reactions would also constrain $`pp`$-fusion. However, precise measurements do not exist (but have been proposed ORLaND ).

It is also interesting to consider the inverse of this argument. A constraint on $`pp`$-fusion would lead to a constraint on $`\nu (\overline{\nu })d`$ breakup reactions. The recent results from the Sudbury Neutrino Observatory (SNO) SNO1 ; SNO2  rely on the reaction $`\nu _ede^{}pp`$ to detect and extract the solar neutrino flux, hence the theoretical uncertainties in the cross-section certainly affect their results. In spite of the importance of SNO, not as much attention has been paid to these breakup reactions, particularly the pair

$`\nu _ed`$ $`e^{}pp,`$ (1)
$`\nu _xd`$ $`\nu _xpn.`$ (2)
The first reaction commonly known as the Charged-Current (CC) reaction, is sensitive to the electron neutrino ($`\nu _e`$) flux only. The second Neutral-Current (NC) reaction is equally sensitive to electron, muon, and tau neutrinos (denoted by $`\nu _x`$), and provides the key test for neutrino oscillations. The CC reaction is very closely related to $`pp`$-fusion, but the finite energy/momentum transfers in the CC and NC reactions make conventional calculations much more difficult than the (relatively) simpler $`pp`$-fusion calculation. However, both $`pp`$-fusion and deuteron breakup can be calculated using the same EFT in a straightforward manner and the connection between the two is discussed elsewhere BC . Here, we wish to explore the possibility of using the high-precision associated with helioseismology to impose some additional constraints on $`L_{1,A}`$. In turn, the implications of these constraints can be seen for $`\nu d`$ breakup and for SNO.

Cross-sections of astrophysical interest are written as

$$\sigma (E)=\frac{S(E)}{E}\mathrm{exp}(2\pi \eta ),$$
(3)
separating the nuclear physics ($`S(E)`$) from the longer range Coulomb effects (the Gamow factor $`\mathrm{exp}(2\pi \eta )`$). In the particular case of $`pp`$-fusion, we are interested in $`S_{pp}(0)`$. Adelberger et al. Ade98  parameterize $`S_{pp}(0)`$ as

$$S_{pp}(0)=4.00\times 10^{25}\mathrm{MeV}\mathrm{b}\left(\frac{(ft)_{0^+0^+}}{3073\mathrm{s}}\right)^1\left(\frac{\mathrm{\Lambda }^2}{6.92}\right)\left(\frac{g_A/g_V}{1.2654}\right)^2\left(\frac{f_{pp}^R}{0.144}\right)\left(\frac{1+\delta }{1.01}\right)^2$$
(4)
where the parameters are described in ref. Ade98 . Of importance here are $`\mathrm{\Lambda }`$ and $`\delta `$. Their parameterization uses an explicit separation of IA and two-nucleon effects into $`\mathrm{\Lambda }`$ and $`\delta `$ respectively. In this separation the total matrix element for the fusion process is given by $`\mathrm{\Lambda }(1+\delta )`$. This separation is artificial and is not appropriate when a fully self-consistent nuclear physics calculation is performed. Consequently, we set $`\delta =0`$ and incorporate all effects directly into $`\mathrm{\Lambda }`$.

In EFT, it was found that BC

$$\mathrm{\Lambda }=2.58+0.011\left(\frac{L_{1,A}}{\text{1 fm}^3}\right)0.0003\left(\frac{K_{1,A}}{\text{1 fm}^5}\right).$$
(5)
where $`L_{1,A}`$ parameterizes two-nucleon physics at next-to-leading order (NLO), and $`K_{1,A}`$ parameterizes two-nucleon physics at next-to-next-to-next-to-leading order (NNNLO). No new parameters appear at the intermediate order (NNLO). Naively, each order of the expansion will be (naively) 30% of the previous order. So, a calculation to N4LO should have a precision of 1%. In practice, low-energy calculations of this type are usually more rapidly convergent. $`L_{1,A}`$ and $`K_{1,A}`$ are both unknown, and need to be constrained experimentally. Dimensional analysis as developed in refs. crs ; KSW  favors

$`\left|L_{1,A}\right|`$ $``$ $`{\displaystyle \frac{1}{m_\pi \left(m_\pi \gamma \right)^2}}6\text{ fm}^3,`$
$`\left|K_{1,A}\right|`$ $``$ $`{\displaystyle \frac{1}{m_\pi ^2\left(m_\pi \gamma \right)^3}}20\text{ fm}^5.`$ (6)
It can be shown that $`K_{1,A}`$ would contribute at an order much less than 1%, so we neglect it BC .

## III Helioseismology and the Standard Solar Model

The solar models for this investigation were constructed using the Yale stellar evolution code (YREC) in its non-rotating configuration Gue97 ; Pin88 ; Gue92 . The code implements the most current constitutive physics available. The equation of state tables are provided by the OPAL group Rog86 ; Rog96 . The opacities in the interior are interpolated from the OPAL opacity tables Igl96 , and the lower temperature opacities, near the surface, are interpolated from the Alexander and Ferguson Alx94  tables.

The nuclear reaction cross-sections have recently been updated (compared to Gue97 ) to correspond to the latest agreed upon values set at the 1998 Seattle Workshop on Solar Fusion Reactions. The nuclear energy generation routines are nearly identical to those used by Bahcall et al. Bah95  who, themselves, use a variation of YREC for their solar model calculations. To facilitate quick adjustments of S-factors for each reaction, YREC uses Bahcall Bah89  values multiplied by a scaling factor $`S(0)/S^{}(0)`$, where $`S(0)`$ is the revised S-factor, and $`S^{}(0)`$ is the original Bahcall value Bah89 . For the results presented in this investigation, we adjust the scaling factor corresponding to the $`ppde^+\nu _e`$ reaction. The models were evolved from the zero age main sequence (ZAMS, the point in the evolution of the star where the nuclear power first dominates gravitational power) in 100 equally spaced time steps to 4.55 Gyr. The meteoritic age of the Sun, that is the age implied from the age of the oldest meteorites, is 4.52$`\pm `$0.04 Gyr Gue89 . Here we use 4.55 Gyr for the age of the solar model, which lies within the uncertainty range of the meteoritic age, to facilitate testing and comparison of our models to solar models that we and others have calculated in the past. The solar radius, $`R_{}=6.958\times 10^{10}`$ cm, and the solar luminosity, $`L_{}=3.8515\times 10^{33}`$ erg s-1, are known to better than $`\pm `$0.05%. The mass of the Sun is $`1.989\times 10^{33}`$ g with a relative uncertainty of $`\pm `$0.02% Coh86 . The mixing length parameter, a free parameter in the mixing length theory 111Mixing length theory describes the efficiency of convection via a single parameter, the mixing length parameter. The parameter describes the characteristic distance over which a convective element travels before dispersing into its surroundings Gue92 . used to model convective energy transport, and the helium abundance, an element whose abundance cannot be determined from spectroscopic measurements of the photosphere of the Sun, are adjusted to produce models that match each other and the above-stated values of $`R_{}`$ and $`L_{}`$ to one part in $`10^6`$.

In order for the surface composition of the (evolved) solar model to match the observationally determined abundances, we set the initial (ZAMS) homogeneous composition for hydrogen, helium and metals (A$`>`$4) by mass fraction to 0.70633, 0.27367, and 0.02000, respectively. The effects of gravitational settling of helium and metals, which alters the surface abundances as the models evolve, are modeled using the diffusion formulation described by Bahcall et al. Bah95 . Other modeling details are as described in Gue97 .

To constrain the range for $`L_{1,A}`$, a relationship between $`L_{1,A}`$ and $`S_{pp}`$ is established. Neglecting the higher-order effects of $`K_{1,A}`$ in eq. 5,

$$\mathrm{\Lambda }=2.58+0.011\left(\frac{L_{1,A}}{\text{1 fm}^3}\right)$$
(7)
and applying the appropriate values from Ade98  to eq. 4 gives

$$S_{pp}(0)=0.56663\times 10^{25}(\mathrm{\Lambda }^2)\mathrm{MeV}\mathrm{b}.$$
(8)
The combination of eqs. 7 and 8 establishes a relationship between $`L_{1,A}`$ and $`S_{pp}`$(0), given by

$$S_{pp}(0)=3.7717\times 10^{25}\left(1+8.53\times 10^3\left(\frac{L_{1,A}}{1\mathrm{fm}^3}\right)+1.82\times 10^5\left(\frac{L_{1,A}}{1\mathrm{fm}^3}\right)^2\right)\mathrm{MeV}\mathrm{b}.$$
(9)
Using the above relationship and the current theoretical value for $`S_{pp}`$(0), the best determined value for $`L_{1,A}`$ may be calculated. By varying the $`S_{pp}`$(0) value within YREC in accordance with values of $`L_{1,A}`$, solar models are produced corresponding to each variation.

The resultant models are then read into a nonradial, nonadiabatic stellar oscillation program Gue94  where the oscillation frequencies are calculated. We adopt the usual nomenclature describing different orders of acoustic oscillations, or $`p`$-modes, with the radial order of the mode given by $`n`$ and the azimuthal order of the mode given by $`l`$. Only the lowest $`l`$-valued $`p`$-modes (i.e., $`l=0,1`$) penetrate into the central nuclear burning regions of the sun. The radius to which a mode penetrates, the inner turning point $`r_t`$, is related to the cyclic frequency $`\omega `$ and the sound speed $`c(r_t)`$ by unno

$$r_t=\frac{\sqrt{l(l+1)}c(r_t)}{\omega }.$$
(10)
This behaviour is shown in Fig. 2.

The physics used to model the structure near the surface of the solar model is more uncertain than the physics of the core. Indeed, comparisons of $`p`$-mode frequencies that probe the surface reveal greater discrepancies between model and observations than in the core. It is believed that the mixing length approximation used to model convection is the principal modeling uncertainty. The frequencies of all observed $`p`$-modes are affected by this region. It is possible, though, to select pairs of $`p`$-modes that have identical eigenfunction shape near the surface, and distinct shape in the deep interior, and use them in combination to cancel out the surface layer effects. This is achieved via the small frequency spacing, $`\delta \nu (n,l)`$, which is defined as the frequency difference between an $`\nu (n,l)`$ and an $`\nu (n1,l+2)`$ $`p`$-mode. For $`l`$ = 0 and 1, the $`\delta \nu (n,l)`$ is well known as one of the most sensitive helioseismic diagnostics of the central-most regions of the Sun.

## IV Results

The best value for $`L_{1,A}`$ is determined by using the current value for $`S_{pp}`$(0). From Ade98 , the current value for $`S_{pp}`$(0) is

$$S_{pp}(0)=4.00(1\pm 0.007_{0.011}^{+0.020})\times 10^{25}\mathrm{MeV}\mathrm{b}$$
(11)
Using eqs. 7 and 11, the determined value for the unknown counterterm is found to be, $`L_{1,A}`$ = 7.0 fm3.

To determine the range in $`L_{1,A}`$ using helioseismology, plots of $`\delta \nu (n,l)`$ versus adiabatic oscillation frequencies are created. To enhance the analysis, $`\delta \nu (n,l)`$ differences are used instead of $`\delta \nu (n,l)`$. These differences are formed by taking the $`\delta \nu (n,l)`$ results from the individual models and subtracting the observed $`\delta \nu (n,l)`$ for the Sun; $`\delta \nu _{model}(n,l)`$ \- $`\delta \nu _{}(n,l)`$, where $`\delta \nu _{}(n,l)`$ values are calculated from observed solar oscillation frequencies.

Low-$`l`$ small spacings have been published for a number of different high quality solar $`p`$-mode observations, including GONG (Global Oscillation Network Group; Har96 ; Chr96 ) and BiSON (Birmingham Solar Oscillation Network; Cha99 ). Here we choose the BiSON data set because the uncertainties are low and because we have used this data set before and are familiar with it.

A plot of $`\delta \nu (n,l)`$ differences versus adiabatic frequencies for the reference SSM is shown in Fig. 3. In Fig. 3, the thick solid line represents the reference SSM model result. The error bars correspond to the uncertainties stated for the observed BiSON results for the Sun Cha99 .

The low-$`l`$ small spacing frequencies of our reference SSM lie almost entirely within the uncertainty range of the observationally derived small spacings. This suggests that the interior structure of our model is a very close fit to the actual sun. Which, in turn suggests that the physics specific to this region are accurate, including the age estimate, the chemical abundance and diffusion processes, the opacities, the equation of state, and the nuclear reaction rates. That is, no modifications to the current SSM are required to make it agree with the most accurate $`p`$-mode data we currently have available to us. It is comforting that the simplest, non-ad-hoc, physics has produced an accurate match to the observed $`p`$-mode data.

The analysis described above was repeated for each, nonstandard, model corresponding to a variation of $`L_{1,A}`$ with respect to the reference SSM. A quantitative estimate of the range of $`L_{1,A}`$ is established by comparing the distribution of the frequency results for various $`L_{1,A}`$ with respect to the observed BiSON error bars. To extract this quantitative result, the frequency range of $``$2500 to $``$3000 $`\mu `$Hz was studied since this frequency range for the SSM showed an excellent fit to the observed BiSON data.

For each model results, average $`\delta \nu (n,l)`$ difference values were calculated within the frequency range of $``$2500 to $``$3000 $`\mu `$Hz. The average observed error within this frequency range was calculated to be $`\pm `$0.066 $`\mu `$Hz. Average $`\delta \nu (n,l)`$ differences are plotted versus the corresponding $`L_{1,A}`$ value for both the upper and lower range. These plots show a linear relation between the average $`\delta \nu (n,l)`$ differences and $`L_{1,A}`$. From this relation and the average observed error values, the values of $`L_{1,A}`$ corresponding to the upper and lower limits of the error bars are calculated. The upper limit is determined to be 12.4 fm3. The lower limit is determined to be 1.6 fm3. The range of allowed values is shown as the shaded area in Fig. 3. Therefore the value and effective range for $`L_{1,A}`$ is determined to be

$$L_{1,A}=7.0\pm 5.4\mathrm{fm}^3$$
(12)
A further result from the determined SSM is the calculation of the theoretical total $`{}_{}{}^{8}B`$ neutrino flux of $`4.93\times 10^6`$ cm-2s-1. This result is consistent with the total observed $`{}_{}{}^{8}B`$ neutrino flux from SNO of $`(5.09_{0.43}^{+0.44}(\mathrm{stat})_{0.43}^{+0.46}(\mathrm{syst}))\times 10^6`$ cm-2s-1 SNO2 .

We have tacitly assumed that the uncertainty in the model-computed $`p`$-mode frequencies is comparable to, or less than, the error bars associated with the observed frequencies. This is not too unreasonable since the model-computed frequencies do lie within the uncertainty error bars of the observations. In order to more formally justify this assumption, we must carry out an extensive uncertainty analysis of the solar model physics and their impact on the computed $`p`$-mode frequencies. This important task, upon which all similar helioseismic tests depend, is in progress and will be reported at a later time.

## V Conclusions

Using the relationship between effective field theory, nuclear cross-sections and the accuracy of helioseismology, the unknown counterterm, $`L_{1,A}`$, is determined to have a value of 7.0 fm3 with a range of 1.6 to 12.4 fm3. This result for $`L_{1,A}`$ is consistent with the theoretical value determined by Butler $`\&`$ Chen BCK  using dimensional analysis of $`L_{1,A}`$ $``$ 6 fm3. The result and range is also consistent with other evaluations of $`L_{1,A}`$ which include 5.6$`\pm `$2.0 fm3 NSGK  and 6.5$`\pm `$2.4 fm3 Sch98 .

The standard solar model determined for this work shows remarkably excellent agreement with the latest BiSON oscillation frequency observations. Theoretical total fluxes for $`{}_{}{}^{8}B`$ neutrinos from the standard solar model result also show excellent agreement with total observed $`{}_{}{}^{8}B`$ fluxes reported from the Sudbury Neutrino Observatory.

## VI Acknowledgments

The authors would like to thank the Natural Sciences and Engineering Research Council (NSERC) of Canada for its support of this research.


text:
# From complexity to incompleteness of treatable information

## Abstract

The necessary information for specifying a complex system may not be completely accessible to us, i.e., to mathematical treatments. This is not to be confounded with the incompleteness of our knowledge about whatever systems or nature, since here information is our ignorance. In conventional statistics and information theories, this information or ignorance is supposed completely accessible to theoretical treatments connected with complete probability distributions. However, the hypothesis of incomplete information supposes that the information of certain systems can be incomplete as calculated in the usual way as in the conventional information theories. This hypothesis has been used in order to generalize the conventional statistics theory. The generalized statistics and information theory characterized by an empirical parameter has been proved useful for the formulation of the nonextensive statistical mechanics based on Tsallis entropy, for the description of some correlated quantum systems and for the derivation of the stationary probability distributions of nonequilibrium complex systems evolving in hierarchical or fractal phase space. In this paper, the incompleteness of the information will be discussed from mathematical, physical and epistemological considerations with an example of information calculation in fractal phase space with stationary probability distribution of a nonequilibrium systems. The phase space expansion or contraction and the information change in time are calculated.

The manuscript is to be revised …