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# Experimental Consequences of Time Variations of the Fundamental Constants

## Abstract

We discuss the experimental consequences of hypothetical time variations of the fundamental constants. We emphasize that from a purely phenomenological point of view, only dimensionless fundamental constants have significance. Two classes of experiments are identified that give results that are essentially independent of the values of all constants. Finally, we show that experiments that are generally interpreted in terms of time variations of the dimensioned gravitional constant $`G`$ are better interpreted as giving limits on the variation of the dimensionless constant $`\alpha _G=Gm_p^2/\mathrm{}c`$.

Evidence was recently reported by Webb et al.  for a time variation of the fine-structure constant $`\alpha =e^2/4\pi ϵ_0\mathrm{}c`$. The group compared the fine-structure splittings of atomic absorption lines produced by high redshift intergalactic clouds with the same splittings produced by terrestrial atoms. They found a slight difference in the splittings that suggests that $`\alpha `$ was lower in the past: $`\mathrm{\Delta }\alpha /\alpha =0.72\pm 0.18\times 10^5`$. By “past” we mean of order $`10^{10}`$ years ago when the light passed through the clouds. This result is not confirmed by limits in variations of $`\alpha `$ over shorter time scales  but this could simply indicate a non-linear time variation.

The reported time variations of $`\alpha `$ have inspired a variety of theoretical speculations, among them being theories where the speed of light, $`c`$ varies with time, thus inducing a variation of $`\alpha c^1`$ . This has generated a polemic because it is often stated that only dimensionless constants like $`\alpha `$ have “physical” significance . It is perhaps not sufficiently emphasized that this is due to the experimental nature of physics. Generally speaking, experiments either count events or compare similarly dimensioned quantities. For example, when a length is measured, one really measures the ratio between the length in question and the length of a standard ruler. When an angle is measured, the ratio between the lengths two sides of a triangle is converted to the angle through trigonometry. A velocity is measured by counting the number of “ticks” of a clock as an object moves through a standard distance. A reaction rate is given by counting the number of events during the time that a standard clock gives a standard number of ticks. In all these experiments, only dimensionless numbers are measured. As such, experimental results can only be sensitive to dimensionless combinations of fundamental constants .

It is the purpose of this paper, to give a few illustrations of this principle. Following , the strategy will be to estimate the complete dependence of an experimental result on the fundamental constants by including their effect on the structure of the experimental apparatus. Once this is done, we can see how the results of an experiment will change with time if the fundamental constants change with time. One of the surprising results will be that there are two classes of experiments that yield results that are largely independent of the values of the fundamental constants or to their time variation.

It is most interesting to start with an experiment that would be naively expected to be sensitive to time variations of $`\mathrm{}`$. One role of this constant is to relate “particle” properties like momentum to “wave” properties like wavelength. We therefore consider the double slit (Young) interference experiment performed with non-relativistic electrons of momentum $`p`$. The experiment is performed as in Fig. 1 with, electrons impinging upon a wall with two narrow slits separated by a distance $`d`$. Beyond the wall, one observes an interference pattern with the angle between interference maxima, $`\theta `$, determined by $`p`$, $`d`$ and $`\mathrm{}`$:

$$\theta =\frac{\lambda }{d}=\frac{2\pi \mathrm{}}{pd}$$
(1)
One is tempted to say that the angle depends on $`\mathrm{}`$ through the numerator of (1) and that a time variation of $`\mathrm{}`$ would lead to a time variation of the measured diffraction angle. This is only part of the story since the distance $`d`$ is determined by the material of the wall whose structure depends on the fundamental constants. Interatomic spacings for solid materials are generally of order the Bohr radius, $`a_0=4\pi ϵ_0\mathrm{}^2/m_ee^2`$ where $`m_e`$ and $`e`$ are the mass and charge of the electron . This is due to the fact that $`a_0`$ is the only length that can be formed from the three fundamental constants that determine atomic structure: $`\mathrm{}`$, $`m_e`$ and $`e^2/4\pi ϵ_0`$. If the fundamental constants change, we can expect that the ratio $`d/a_0`$ is relatively constant. (For crystalline materials, the ratio is basically the number of atomic sites along the distance $`d`$). We therefore write the diffraction angle in the form

$$\theta =\frac{2\pi \mathrm{}}{pa_0}\frac{1}{d/a_0}=\frac{1}{p}\frac{m_ee^2}{2ϵ_0\mathrm{}}\frac{1}{d/a_0}$$
(2)
It is amusing to note that whereas equation (1) gives $`\theta \mathrm{}`$, equation (2) gives $`\theta \mathrm{}^1`$. However, we are not finished since nature does not usually provide us with electrons of momentum $`p`$. Rather, they must be prepared which can be done by passing electrons initially at rest through a potential difference, $`\varphi `$, so that $`p^2/2m_e=e\varphi `$. The potential difference can be maintained by placing a charge, $`\pm q`$, on each of two square plates of area, $`A=x^2`$, separated by a distance $`z`$. This configuration gives $`\varphi =N_qez/ϵ_0x^2`$ where $`N_q=q/e`$ is the number of fundamental charges per plate. As with the interslit distance, $`x/a_0`$ and $`z/a_0`$ should we insensitive to changes in the fundamental constants so we write the momentum in the form $`p^2/2m_e=N_q(e^2/ϵ_0a_0)(za_0)/x^2`$. Substituting this into 2 we get the final result:

$$\theta =\sqrt{\frac{\pi }{2}}\frac{x/a_0}{d/a_0\sqrt{N_qz/a_0}}$$
(3)
To the extent that $`x/a_0`$, $`d/a_0`$ and $`z/a_0`$ do not depend on the fundamental constants, the interference angle does not depend on any fundamental constant but only on the number and type of the particles used to construct the experimental apparatus.

This surprising result is, in fact, obvious since an angle is a dimensionless quantity and there is no dimensionless combination of $`\mathrm{}`$, $`e^2/4\pi ϵ_0`$, and $`m_e`$ . Measurements of angles using non-relativistic electrons and performed with apparatuses whose size depend only on atomic structure are therefore “constant-free”. Among such experiments are the Young experiment discussed here and the Davisson-Thomson experiment on electron diffraction by crystals. These quintessential quantum experiments give results that are largely independent of the parameters of the theory (e.g. of $`\mathrm{}`$) and depend only on the fact that the dynamics is governed by quantum mechanics. In the distant future when variations of the constants are routinely monitored at the N.I.S.T., these experiments could serve are fiducial experiments to check systematics.

Of course relativistic (fine-structure) corrections to interatomic spacings would lead to a small dependence of the diffraction angles on $`\alpha `$. We also note that the time variation of a constant, say of $`e^2`$, would introduce a new constant $`\tau _e=e/\dot{e}`$ that gives the time scale over which $`e^2`$ changes be a significant amount. With this new constant we can now form the dimensionless quantity $`(e^2/\mathrm{})a_0/\tau _e`$ which is just the fractional change in $`e`$ during one Bohr revolution. Depending on the dynamics that drives the variation of the constants, the interference angle could conceivably depend on some power of this quantity. On the other hand, if $`\tau _e`$ is of a cosmological scale, the parameter is tiny and we might expect that the diffraction angle is practically unaffected.

Our experiment to search for time variations of $`\mathrm{}`$ can be criticized because the size of the apparatus depends on $`\mathrm{}`$. We can avoid this criticism by using the classical electron radius, $`r_e=e^2/(4\pi ϵ_0m_ec^2)=\alpha ^2a_0`$, to define the dimensions of the experimental apparatus. We then write (3) as

$$\theta =\sqrt{\frac{\pi }{2}}\alpha ^1\frac{x/r_e}{d/r_e\sqrt{N_qz/r_e}}$$
(4)
The electron diffraction angle now depends on $`\alpha `$ if the distances are maintained as multiples of $`r_e`$. Experimentally, this is difficult but can be done by filling a small cube of volume $`l^3`$ with a known number $`N`$ of electrons. If the cube is uniformly irradiated by photons of energy $`E_\gamma m_ec^2`$, the probability that a photon is scattered is $`P=N\sigma _T/l^2`$ where $`\sigma _T=8\pi r_e^2/3`$ is the Thompson scattering cross section. (We take $`N`$ small enough so that $`P1`$.) The probability $`P`$ can be measured so the length $`l`$ can be defined as a multiple of $`r_e`$. This length can then be compared with the lengths in an experimental apparatus and an appropriate expansion-contraction scheme can insure that all lengths remain a fixed multiple of $`r_e`$ even if the constants vary.

We now come back to the original, more practical, experimental arrangement using solid materials to define the apparatus. The diffraction angle cannot depend on the constants because there is no dimensionless combination of the relevant constants. We can make $`\theta `$ depend on fundamental constants by accelerating protons instead of electrons. In this case the angle is given by (3) multiplied by $`\sqrt{m_p/m_e}`$ where $`m_p`$ is the proton mass. The presence of two constants with dimensions of mass leads to a new dimensionless quantity $`m_p/m_e`$ upon which the angle can depend.

The interference angle can also depend on the fundamental constants if we use photons, in which case we we introduce the speed of light, c, into the problem. For example, if we use photons from the $`n=2`$ to $`n=1`$ transition of atomic hydrogen, we have a photon momentum of $`p_\gamma =(3/8)\alpha ^2m_ec`$ giving

$$\theta =\frac{16\pi }{3}\alpha ^1\frac{1}{d/a_0}$$
(5)
A time variation of the fine-structure constant would then yield a time dependence of the diffraction angle.

Having shown that a quintessential quantum experiment gives results that are independent of $`\mathrm{}`$, we will now consider the quintessential relativistic effect, the twin paradox. Two identical clocks are needed, one in free fall, and the second departing from the first with velocity $`v`$, stopping, and then returning to the first with the same velocity $`v`$. The number of ticks on the two clocks, $`N_1`$ and $`N_2`$, counted during the time interval are related by

$$\frac{N_2}{N_1}=\sqrt{1v^2/c^2}.$$
(6)
We can now ask how this ratio will change if the fundamental constants vary while maintaining the validity of the basic formula. The problem is to give a prescription for determining the velocity $`v`$. If $`v`$ is determined by comparing the velocity of the clock with $`c`$, we will clearly never detect any effect since clocks of a given $`v/c`$ will always give the same $`N_2/N_1`$. To detect an effect, we must define the velocity differently. For instance, we can use clocks with the same velocity as that of the electrons produced in Figure 1

$$\frac{v^2}{c^2}=\mathrm{\hspace{0.33em}8}\pi N_q\alpha ^2\frac{za_0}{x^2}$$
(7)
This shows that if the experiment is built from solid objects so that $`za_0/x^2`$ is insensitive to changes in the fundamental constants, then a time variation of $`N_2/N_1`$ should be interpreted as a time variation of $`\alpha ^2`$. On the other hand, if we design the experiment so that $`z`$ and $`x`$ are fixed multiples of the classical electron radius $`r_e=\alpha ^2a_0`$, then the ratio $`N_2/N_1`$ is constant-free. This is because there is no dimensionless combination of the relevant constants, $`e^2/4\pi ϵ_0`$, $`m_e`$ and $`c`$. Just as non-relativistic quantum experiments give results that are $`\mathrm{}`$ independent, non-quantum relativistic experiments can give results independent of $`c`$.

Since the twin paradox experiment cannot give unambiguous information on the time variation of $`c`$, we will now consider experiments that directly measure $`c`$. One might hope that a time variation of $`c`$ would lead to a time variation of the ratio between the flight time $`x/c`$ over a distance $`x`$ and the period $`T`$ of a standard clock. This amounts to counting the number of ticks $`=(x/c)/T`$ that the clock makes during the time the photon travels the distance $`x`$.

If we define the distance $`x`$ by photon time-of flight as is now done in SI units, we will obviously not be able to detect a change in $`c`$. We will then go back to the old procedure of defining lengths in terms of physical rods. We therefore write

$$\frac{x/c}{T}=\frac{a_0/c}{T}\frac{x}{a_0}=\frac{\mathrm{}}{\alpha m_ec^2T}\frac{x}{a_0}$$
(8)
and suppose that the ratio $`x/a_0`$ is insensitive to changes in the constants.

The ratio $`x/cT`$ will now depend only on the clock that we choose to use. Atomic clocks based on hyperfine splittings of atomic lines have periods of order

$$T_{hf}\frac{\mathrm{}}{\alpha ^4g(m_e/m_p)m_ec^2}$$
(9)
where g is the nuclear gyromagnetic ratio. This gives

$$\frac{x/c}{T}=g\alpha ^3(m_e/m_p)\frac{x}{a_0}$$
(10)
If $`x/a_0`$ is constant-free, this attempt to detect a change in $`c`$ yields the time variation of $`g\alpha ^3m_e/m_p`$. It is basically the technique of Turneaure and Stein  who, by looking for the desychronization of a superconducting cavity oscillator and an atomic clock, set an upper limit of $`4.1\times 10^{12}yr^1`$ on the logarithmic derivative of $`g\alpha ^3m_e/m_p`$.

The use of a clock based on hyperfine splittings to measure variations of $`c`$ can be criticized because the clock period depends on a relativistic effect and therefore explicitly on $`c`$. It is possible to find quantum processes that have periods that are $`c`$-independent. The first type gives periods that are multiples of the rotational period of an electron in a Bohr orbit:

$$T_e=\frac{a_0}{e^2/4\pi ϵ_0\mathrm{}}=\frac{\mathrm{}}{\alpha ^2m_ec^2}$$
(11)
An example of such a clock is a mechanical vibrator. The sound speed of a crystal consisting of nuclei of mass $`Am_p`$ is of order $`(a_0/T_e)(m_e/Am_p)^{1/2}`$ so a rod of length $`L`$ has a fundamental period $`(m_p/m_e)^{1/2}(L/a_0)T_e`$. The use of such a clock would give

$$\frac{x/c}{T}=\alpha (m_e/m_p)^{1/2}\frac{x}{L}$$
(12)
Since $`x/L`$ is constant-free for material objects, a variation of the measured speed of light would then be interpreted as a variation of the quantity $`\alpha (m_e/m_p)^{1/2}`$.

A second class of $`c`$-independent periods can be found by replacing $`e^2/4\pi ϵ_0`$ with $`Gm_p^2`$ and $`m_e`$ by $`m_p`$:

$$T_G=\frac{\mathrm{}^3}{G^2m_p^5}=\frac{\mathrm{}}{\alpha _G^2m_pc^2}$$
(13)
where $`\alpha _G=Gm_p^2/\mathrm{}c`$ is the gravitational equivalent of the fine-structure constant. An example of a clock whose period is a multiple of $`T_G`$ uses a particle revolving near the surface of a totally degenerate (white dwarf) star consisting of $`N_e`$ electrons and $`N_p`$ nucleons. The radius of such a star is $`R\mathrm{}^2N_e^{5/3}/(Gm_em_p^2N_p^2)`$ and the particle has a revolution period of

$$TN_p^1\left(\frac{m_p}{m_e}\right)^{3/2}\left(\frac{N_e}{N_p}\right)^{5/2}T_G$$
(14)
Substituting this into (8) gives

$$\frac{x/c}{T}\frac{\alpha _G^2}{\alpha }\left(\frac{m_e}{m_p}\right)^{1/2}N_p\left(\frac{N_p}{N_e}\right)^{5/2}(x/a_0).$$
(15)
A time variation of the measured speed of light using this clock would be interpreted as a variation of $`(m_e/m_p)^{1/2}\alpha _G^2/\alpha `$.

We end with a comment on searches for time variations of the dimensional gravitational constant $`G`$. One way to do this is to search for anomalies in the movement of objects in the Earth’s gravitational field . The period $`P`$ of an object in a circular orbit of radius $`r`$ is given by

$$P^2=\frac{4\pi ^2r^3}{GM_{}}=\frac{4\pi ^2r^3}{GN_{}m_p}$$
(16)
where in the second form we approximate the solar mass by $`N_{}m_p`$ where $`N_{}`$ is the number of nucleons in the Sun. If $`G`$ varies in time we can expect $`P`$ to vary in time. Of course, there are two problems here. First, what one would actually observe is time variation of the ratio of $`P`$ and the period $`T`$ of a standard clock. Second, a time variation of $`G`$ might be expected to yield a time variation of the orbital radius. If the radius changes, one must extrapolate the period back to the original radius using (16). To do this, we need to measure $`r`$, which can be done with radar, $`r=ct`$, where $`t`$ is the time for a photon to travel the distance $`r`$. (We ignore small general relativistic corrections.) The time $`t`$ can then be fixed to be a given number $`N`$ of periods of the standard clock, $`r=cNT`$. The ratio of the orbital period (fixed $`r`$) to the clock period is now given by

$$\frac{P^2}{T^2}=\frac{4\pi ^2N^3}{N_{}}\frac{c^3T}{Gm_p}=\frac{4\pi ^2N^3}{N_{}}\frac{1}{\alpha _G\alpha ^4g(m_e/m_p)^2},$$
(17)
where in the second form we use $`T=T_{hf}`$ appropriate for atomic clocks. An anomalous variation of an orbital period can then be interpreted as a variation of $`\alpha _G\alpha ^4g(m_e/m_p)^2`$. While not claiming to have analysed all experiments used to limit the variations of $`G`$, this suggests that these limits can all be interpreted as limits on the variation of $`\alpha _G`$ and some combination of $`\alpha `$ and various mass ratios and gyromagnetic ratios.

Since non-gravitational methods yield limits on $`\alpha `$$`m_e/m_p`$ and $`g`$ , that are considerably stricter than the limits on time variations based on orbital anomalies, an observed variation of an orbital period can be safely interpreted simply as a variation of $`\alpha _G`$. Traditionally, limits on orbital anomalies have been interpreted as limits on the time variation of $`G`$ with the caveat “assuming all other constants non-varying.”

In summary, we see that only dimensionless parameters have phenomenological significance. It should however be emphasized that theories are generally expressed in ways that use dimensioned parameters. If nature is such that the dimensionless parameters objectively vary with time, it is conceivable that the underlying dynamics is most simply expressed as a time variation of one or more dimensioned parameters.

I thank Michel Cribier, Jean-Louis Basdevant and Marc Lachièze-Rey for interesting discussions.


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# A Case for Renewed Activity in the Giant Radio Galaxy J0116-473

## 1 Introduction

The concept of episodic activity in radio galaxies, with each phase manifesting itself as an extended radio structure, was inherent in the models suggested for sources with X-shaped structures and powerful radio galaxies with wings (Leahy and Williams, 1984). Restarting beams following an interruption in nuclear activity was again suggested as a cause for source structures which appeared to have partial jets (Bridle, Perley and Henriksen, 1986). This idea gained support from the observations of 3C388 by Roettiger et al. (1994) in which the lobe spectral index distribution revealed two distinct regions. Observational indications coupled with simulations of the development of extended radio structures have suggested that episodic activity may play an important role in the evolution of at least some categories of radio sources (Baum et al., 1990; Clarke and Burns, 1991).

In a study of the morphologies of a sample of giant radio galaxies, Subrahmanyan, Saripalli and Hunstead (1996) drew attention to a variety of morphological features which were suggestive of interrupted nuclear activity. Recently, the WENSS discovered several giant radio galaxies exhibiting double-double morphologies which have been attributed to renewed nuclear activity (Schoenmakers et al., 2000b) and the study is indicative of a higher incidence rate of such inner doubles among large radio galaxies. As a consequence, systematic studies of the role of episodic nuclear activity are possible for the category of giant radio galaxies. The relatively long timescales ($`10^8`$ yr; Komissarov and Gubanov 1994) over which radio lobes remain visible after the central activity which energizes them stops makes synchrotron lobes useful indicators of any past activity phases in radio galaxies.

Such studies have interesting implications for the fuelling of the central engine and the conditions under which a renewal of nuclear activity may occur. Moreover, these studies may address the question of the role of such recurrent activity in the attainment of the extraordinary sizes in the giant radio sources.

J0116$``$473 was previously imaged as part of a study of the morphologies in radio galaxies of megaparsec dimensions (Subrahmanyan, Saripalli and Hunstead, 1996). This object was noted as exhibiting unusual characteristics: lack of hotspots in a source which had properties consistent with FR-II type (Fanaroff and Riley, 1974) radio galaxies and an elongated structure extending along a direction perpendicular to the jets. It was hypothesized that the morphological features in this giant radio galaxy — and indeed some others in the sample — might be a manifestation of recurrent nuclear activity. Subrahmanyan, Saripalli and Hunstead (1996) concluded that the large sizes of giant radio galaxies may be a result of a restarting of their central engines in multiple phases of activity along roughly similar directions.

We are currently following up on our earlier hypothesis with case studies of the giant sources which showed evidence of recurrence in activity. In this paper, we present higher dynamic range Australia Telescope Compact Array (ATCA; see The Australia Telescope 1992) images of J0116$``$473 in total intensity and polarization. The ATCA observations presented here provide new evidence for a restarting of activity in this giant source. In the next section we describe our observations. In later sections we discuss the role of recurrence in the creation of the unusual morphological features in this source. We postpone comparison of the source features and parameters with other sources exhibiting similar inner double structures to a later paper.

## 2 Observations and Imaging

J0116$``$473 has an angular size of about 12 arcmin and it was observed with ATCA at 12 and 22 cm wavelengths in several array configurations in order to image a range of angular-scale structures from a few arcsec to several arcmin. Observations were made during 1999 January to April in an extended 6.0C 6-km array, a 1.5C 1.5-km array, a 750C 750 m array and a compact 375-m array. Full Earth-rotation synthesis observations over 12 hr were made in each of the configurations in order to cover the visibility domain with the East-West array. 22 and 12-cm wavelength visibilities were recorded simultaneously in two bands of 128 MHz each centered at 1384 and 2496 MHz. Full polarization measurements were recorded in order to image the source in Stokes I, Q and U. The continuum band was covered in 16 independent channels.

The flux density scale was bootstrapped to B1934$``$638 whose flux density was adopted to be 14.9 and 11.14 Jy respectively at 1384 and 2496 MHz. The data were calibrated, imaged and deconvolved using standard procedures and the miriad software routines. To avoid bandwidth smearing effects in the wide-field images made with the wide continuum bands, images were constructed using the bandpass-calibrated multi-frequency channel data adopting bandwidth synthesis techniques. Images were deconvolved using the Clark (1980) algorithm with the Cornwell (1983) modification to suppress CLEAN instabilities. At least two iterations of phase self-calibration were performed; the visibility amplitudes were not self-calibrated.

## 3 The Source Components and Physical Parameters

In Figure 1 we show a total intensity image of J0116$``$473 at 22 cm made with a beam of FWHM $`10.2\times 9.1`$ arcsec2. The giant radio galaxy is seen to have (i) two large, diffuse, edge-brightened lobes which do not show any hotspots at the ends, and (ii) what appears to be another double source, smaller in size and sharing the same radio core, whose lobes have a much higher brightness. A peculiar elongated structure is also seen extending nearly a megaparsec in a direction perpendicular to the radio axis and intersecting the radio axis just south of the core. The source is seen to have a similar morphology at 12 cm.

J0116$``$473 has a total flux density of 2.9 Jy at 1376 MHz and 1.6 Jy at 2496 MHz. The overall spectral index is 0.93 (we define the spectral index $`\alpha `$ by the relation: $`S_\nu \nu ^\alpha `$) between these two frequencies. The source is at a redshift of 0.146 (Danziger, Goss and Frater, 1978) and the total radio luminosity at 1376 MHz is $`2.2\times 10^{26}`$ W Hz-1 (herein we adopt cosmological parameters H = 65 km s-1 Mpc-1, $`\mathrm{\Omega }_m`$ = 0.3 and $`\mathrm{\Omega }_\mathrm{\Lambda }`$ = 0.7). The largest angular size is 12.5 arcmin and we infer the linear size to be 2.1 Mpc.

The radio images detect a radio core with a flux density of 11 mJy at 1376 MHz and with a flat spectral index, computed between 1376 and 2496, of $`0.1`$.

### 3.1 Outer Lobes of J0116$``$473

The total radio power of J0116$``$473 places it in the category of powerful radio galaxies; however, the outer lobes lack compact hotspots. In their place, we can recognise only diffuse warm-spots towards the lobe ends.

Both the outer diffuse lobes (hereinafter we refer to the northern and southern outer lobes as N1 and S1, the corresponding inner lobes are called N2 and S2) appear relaxed although they are seen to be well bounded as inferred from the bunching of the contours at the edges over much of the lobes. The sharp outer boundaries are indicative of a confinement of the synchrotron plasma by the external intergalactic medium (IGM).

The intensity distribution of linearly polarized emission at 22 cm, with a beam of 12 arcsec FWHM, is shown in Figure 2 as a greyscale representation with contours overlayed. The electric field polarization vectors are also overlayed, with the vector lengths proportional to the fractional polarization. From the orientations of the polarization vectors at 12 and 22 cm, we have derived the distribution of rotation measure (RM) over the source: values of RM are small and have a mean of 3 rad m-2 with a 1-$`\sigma `$ spread of 4 rad m-2 (see Figure 3). It may be noted here that the observed difference in the orientations of the polarization vectors at 12 and 22 cm are small; therefore, we have assumed that our RM values inferred from 2-frequency polarization images do not suffer from $`n\pi `$ ambiguities. The vector orientations in Figure 2 have been corrected for the derived Faraday rotation.

The fractional polarization is enhanced along most of the outer boundaries of both lobes and the projected magnetic field lines are circumferentially oriented along these boundaries: the polarization properties are suggestive of an ordering of the field owing to a compression of the lobe plasma along the outer boundaries. Fractional polarization in the range 20-30 per cent are measured over most of the two outer lobes with values exceeding 50 per cent along the lobe boundaries. We observe significantly more structure in both the outer lobes in polarized intensity as compared to that in total intensity. The dips in polarized intensity in the vicinity of the intensely polarized regions in N1 and S1 are likely to be due to beam depolarization because the E-vectors on either side of these dips show large differences in their position angles.

The image of polarized intensity at 12 cm is very similar to that at 22 cm; we computed the distribution of depolarization ratio over the source as a ratio of the fractional polarizations at 22 and 12 cm. No regions of the source appear to have noticable depolarization at a resoution of 12 arcsec and we also do not see any depolarization asymmetry: on the average, the fractional polarization at 22 cm is within 5 per cent of that at 12 cm in both lobes. The lack of evidence for internal Faraday rotation and depolarization asymmetry in J0116$``$473 is consistent with similar findings for other GRGs (Willis and O’Dea, 1990; Lara et al., 1999).

It may be noted here that the morphology in the northern lobe appears to indicate that the diffuse warm-spot region at its outer end was probably fed by a flow which entered the lobe along the axis defined by the inner double and bent by almost $`90^{}`$ at the north-eastern boundary of the lobe. The situation may have been similar to that in sources which show ‘rim hotspots’: these radio galaxies, which are several times smaller, have hotspots that are seen along the rim of a lobe and the jet is thought to enter along the rim and bend through a large angle to create a terminal hotspot at its end (e.g., 3C135, 3C192; Leahy et al. 1997). It may be that we are viewing a relict of a rim-type hotspot complex in this giant radio galaxy and we identify the warm spot as the position where the beam may have terminated.

The projected magnetic field distribution inferred from Figure 2 may provide a clue as to how the beam propagated in the past. In the north-east regions of the lobe, the B-field vectors are circumferential and would be parallel to a beam which propagated into the northern lobe along its eastern rim and curved to terminate at the location of the peak in polarized and total intensity. A sharp flip in the position angle of the E-vectors is seen at the location of the peak in going from NE to SW across the diffuse lobe: if the south west of the lobe is made of post-hotspot material, this would imply that the field here is oriented perpendicular to the flow. An interesting feature is a loop-like distribution of the projected B-field over the lobe with reduced polarized intensity in the central regions towards the southern end.

A de-collimated flow, as inferred for the northern lobe, is uncharacteristic of powerful radio galaxies where narrow beams usually feed hotspots at the lobe ends; large-opening-angle beams are more typical of low-power sources whose lobes are edge darkened. It is interesting to ask whether a decrease in the beam power, as the central engine activity in a powerful radio source ceases, is accompanied by a transition to an FR-I type flow.

We observe a large-scale structure in the RM distribution over the source: as seen in Figure 3, the RM is low in a band running along the length of the radio galaxy at a position angle of about $`21^{}`$ and with a width of 2 arcmin. In Figure 4 we display the profile of this RM variation: the image shown in Figure 3 was rotated counter clockwise through $`21^{}`$ and binned (averaged) along declination to construct the profile plot. The profile clearly shows that the mean RM is close to zero in the 2 arcmin wide band and values on either side of the band average around 5 rad m-2.

In sensitive observations of high Galactic latitude fields, Wieringa et al (1993) and later Haverkorn, Katgert and de Bruyn (2000) reported detection of linear structures in polarized intensity which showed abrupt changes in RM along directions transverse to the filaments. These bands have widths and derived RM values similar to the feature we observe in J0116$``$473. However, as seen in Figure 3 where contours of total intensity are overlayed on the RM image, there appears to be a correspondence between the RM and total intensity distributions: in N1 and S1 the brightness shows a step decrement at the location of the band with low RM. Moreover, the band with low RM has a position angle similar to the source axis although it is not symmetric with respect to the radio core position. These indicate that the RM structure may be intrinsic to the source and not a foreground galactic feature. If such an interpretation were correct, it may imply a spatial separation of entrained thermal plasma in the lobes: the low RM channel may trace relicts of the beam plasma from past activity. It may be noted here that there is no corresponding feature in the distribution of depolarization ratio; however, this is understandable owing to the low values of RM.

In Figure 5 we show the distribution of spectral index, computed between 22 and 12 cm and using images with 20 arcsec FWHM beams, over the entire source. Both outer lobes show a steepening of the spectral index away from the lobe ends: this is a characteristic feature of the lobes in powerful radio galaxies and has, traditionally, been interpreted as owing to spectral aging in the cocoon plasma as it backflows from hotspots towards the central core. However, in the case of J0116$``$473, there are no hotspots at the ends; therefore, we hypothesize that the outer lobes are probably relicts, of a powerful radio galaxy, in which the beams from the central engine no longer terminate.

The optical field of J0116$``$473 does not indicate evidence for significant galaxy overdensity in the vicinity of the radio source (Subrahmanyan, Saripalli and Hunstead, 1996). Because the diffuse outer lobes are located far from the host galaxy and in an environment which is poor in galaxy density, we may expect a relatively low IGM pressure. Subrahmanyan and Saripalli (1993) used $`COBE`$ constraints on the Comptonization of the CMBR spectrum and concluded that giant radio galaxies were not thermally confined by the IGM. Using current limits on the Comptonization $`y`$-parameter of $`y<15\times 10^6`$ (Fixen et al., 1996), and assuming that the uniform IGM gas was ionized by redshift $`z=5`$, we expect any uniform IGM to have a present day thermal pressure at most $`10^{17}`$ dyne cm-2. The outer lobes N1 and S1 have peak brightness of about 10 mJy beam-1 in 22 cm images made with 10 arcsec FWHM beams and the synchrotron emission has a spectral index $`\alpha 1`$; assuming that the lobes have a line-of-sight path length of 0.5 Mpc and making standard minimum energy assumptions (Miley, 1980), we infer that the lobe synchrotron plasma has an energy density of at least $`3\times 10^{13}`$ erg cm-3. Clearly, the lobes are overpressured with respect to the ambient IGM and, consistent with the indications from the total intensity and polarization observations discussed above, the lobes — although relicts — are likely expanding and ram-pressure confined by the IGM.

The two outer lobes are somewhat dissimilar in structure: N1 is seen to have a more spherical shape where as S1 appears cylindrical or elongated. There is a conspicuous lack of emission between N1 and the core (except for the sharply delineated N2) and this is in contrast to the southern outer lobe S1 in which the lobe emission appears to extend to the core.

### 3.2 The Inner Double

A higher resolution image of the inner double, made at 12 cm and with a beam of $`4.4\times 4.1`$ arcsec2 FWHM, is shown in Figure 6. The total flux density of the inner double, excluding the core, is 0.26 and 0.17 Jy respectively at 22 and 12 cm; the inner lobes have an overall spectral index of 0.7 which is significantly flatter than that of the outer lobes. The radio luminosity of the inner lobes is $`2\times 10^{25}`$ W Hz-1 at 1376 MHz: the inner double, by itself, has a luminosity which is on the dividing line between FR-I and FR-II sources.

The inner double, in isolation, appears like the two lobes of a radio galaxy. The two components are both edge brightened and collinear with the core. Both are sharply bounded towards their leading edges with decreasing surface brightness away from their ends. The northern lobe (N2) of the inner double is more diffuse, without hotspots and is relatively short in length. In contrast, the southern inner lobe (S2) is elongated and has a series of emission peaks along its length: these peaks are not all collinear. In spite of the striking morphological differences between the northern and southern components of the inner double, the ends of the components are equidistant from the core: the inner double has arm lengths which differ by less than 10 per cent and the overall linear size of the inner double is 600 kpc.

We have detected a one-sided jet close to the core and directed towards S2: the jet appears to be directed to the northern-most peak in S2. The jet is much narrower than the lobe and emission peaks which constitute S2. The core, lobe N2, the jet and the two peaks in lobe S2 which are closest to the core are all well aligned. However, two sharp bends are seen to occur in S2 at the locations of the middle two peaks in the lobe. The jet is unresolved in our 12 cm image made with a beam of 4.2 arcsec FWHM (Figure 6) and we estimate the jet width to be $`<8`$ kpc; in contrast, the inner lobes are well resolved and have transverse widths of about 20 arcsec. The detection of the narrow jet is a strong reason to believe that S2 and N2 are indeed lobes of a restarted activity and that they are not visible parts of jets transporting energy to the outer lobes S1 and N1. This view is supported by the increasing transverse widths of N2 and S2 towards the core and the symmetric locations of the outermost peaks in N2 and S2 on either side of the core.

If the inner double is a new episode of activity that is propagating within the older lobe plasma, the ambient medium for the inner and outer doubles would be different and differences in their interactions with their respective ambient media might be reflected in their spectral and polarization characteristics. The properties of the inner double and its evolution may then be used as a probe of the older lobe plasma in which it is embedded. In J0116$``$473, S2 is surrounded by emission from S1 and this provides an opportunity for examining the evolution of the inner lobes within the outer cocoon material.

The inner double and outer lobes share the same radio core and the axis of the inner double appears aligned with the axis of beams which fed the outer lobes: we would expect that S2 is embedded in the cocoon of S1 and that N2 is either propagating in the IGM or a low-surface-brightness southern extension of N1. If we assume cylindrical symmetry for S1, we may expect that S2 would be embedded in S1 even if the axes of the outer and inner doubles were misaligned in 3-dimensional space. The lobe separation symmetry observed in N2 and S2 also argues against large angles between the axis of the inner double and the plane of the sky.

The polarization in the emission from the inner double at 12 cm is shown in Figure 7 with a beam of 4 arcsec FWHM. Care was taken to avoid contamination from the diffuse emission surrounding S2: only visibilities with spatial frequencies exceeding 3 k$`\lambda `$ were used in making the image. In N2 and S2, the projected B-field vectors appear to follow the total intensity contours at the leading edges of the lobes: a property commonly seen in FR-II type radio galaxies. There is also evidence for a circumferential magnetic field along the edges of the lobes away from the ends: this is similar to the behaviour seen in the outer double and other FR-II type radio galaxies. The fractional polarization is enhanced all along the edges of N2 and along the eastern edge of S2 and has values exceeding 50 per cent in these regions; the depolarization ratio computed between 22 and 12 cm over the inner lobes is unity within the errors. The low polarized intensity (and fractional polarization) in the western edge of S2 may be a consequence of beam depolarization because the E-vectors sharply change orientation from being circumferential along the edge to being perpendicular to the source axis away from the edge. In the remainder of the inner lobes, the fractional polarization is about 20-30 per cent. The projected B-field away from the lobes edges is oriented perpendicular to the source axis; however, the jet detected close to the core has a projected B-field configuration which is oriented along the jet axis: the arrangement is common in jets in powerful radio galaxies. The lack of depolarization asymmetry lends additional support for the inner and outer lobes both being close to the plane of the sky.

The spectral index distribution over the inner lobes was computed from images at 2496 and 1376 MHz — made using visibilities in the restricted common range 1.7-30 k$`\lambda `$ — which were convolved to a final beam of $`7\times 5.5`$ arcsec2 at p.a. of $`0^{}`$. The spectral index image is featureless at this resolution and has a value about 0.7 over most of N2 and S2. The spectral index image was binned along RA and the profile of the average spectral index in declination is shown in Figure 8. There does not appear to be any significant spectral index gradient along either N2 or S2; if anything, there is marginal indication for a flattening of the spectral index toward the core in both the lobes. The jet emerging from the core toward S2 has a spectral index of 0.6.

Both N2 and S2 show uniform RM values close to zero (Figure 3). In Figure 9, we show the RM distribution in the vicinity of S2 where it is seen that the lobe appears to be surrounded by regions which have a distinctly different value of RM. The correlation in the spatial distribution of RM with total intensity points to the possibility that the RM structure is intrinsic to the source. It is interesting that the higher RM values avoid the area covered by S2, indicating greater entrained thermal plasma and/or ordered fields in the ambient cocoon close to the edge of the advancing inner lobe.

To summarize, the inner double has an edge-brightened morphology, a distinctive feature of powerful FR II-type sources; however the absence of spectral gradients in the inner lobes is uncharacteristic of double radio sources. If spectral gradients along lobes of double radio sources represent age of synchrotron plasma, the absence of significant gradients in the inner lobes of J0116$``$473 suggests that the advance speed of the ends of the source is unusually high compared to sources growing in any thermal IGM. This is consistent with the suggestion that lobes advance within relict cocoons with speeds 0.2-0.3$`c`$ (Schoenmakers et al., 2000a) which is much greater than the advance speeds of 0.03$`c`$ inferred for powerful radio galaxies (Scheuer, 1995).

In the restarted jet model of Clarke and Burns (1991) the new jets are overdense with respect to their ambient medium and propagate almost ballistically unable to form hotspots. In these conditions circumferential fields and high degrees of polarization are not expected to be seen towards the ends of the restarted jets. In giant radio galaxies, however, Kaiser, Schoenmakers and Roettgering (2000) argue that the longer timescales involved allow for sufficient entrainment of ambient material across the contact discontinuity and into the older cocoon plasma and this raises the thermal density to levels adequate for the formation of hotspots at the ends of the new jets. The circumferential B-field, accompanied by high degrees of polarization, seen around the leading ends of N2 and S2 constitute the typical signature expected of compressed synchrotron plasma. The observations are indicative of an evolution for the ends of the inner lobes that is similar to that for the outer lobes and in powerful radio galaxies where light jets form hotspots on meeting with a denser ambient medium. The advance of a restarted jet is also predicted to result in a bow shock structure within the older cocoon plasma with an intensity contrast same as that of structure at its head. (Clarke et al, 1992). Our observations do not reveal any evidence for such a bow shock feature in total intensity; similar to the case in other giant radio galaxies with inner double structures (Kaiser, Schoenmakers and Roettgering, 2000).

## 4 Recurrent activity in J0116$``$473

The observational evidence presented in the preceeding sections lead us to postulate the following scenario for the formation of the radio structure: the outer lobes were formed in an earlier phase of activity in which powerful beams from the central engine formed hotspots at the ends of the source and the edge-brightened lobes. That phase of nuclear activity ceased and the beams feeding the hotspots and lobes discontinued. Since then, the hotspots have relaxed and expanded into the warm spots and the beam channels were pinched off. The outer lobes N1 and S1 are the visible relicts of the past activity phase. The beams were recently re-activated following the interruption and these new beams have formed the inner lobes N2 and S2. The position angle of the inner double is seen to be the same as the axis of the beams that formed the outer double and this suggests that the re-activated central engine maintained the axis of ejection. It may be noted here that the warm spot in the northern lobe is probably not along the axis of the past activity phase (see section 3.1).

We see that while there are no glaring separation asymmetries in this radio galaxy for the outer and inner double structures, morphologically there are clear side to side asymmetries and an indication that the asymmetry repeats over the two activity epochs. Such a similarity in the morphologies of the inner and outer components was also reported in at least two other giant radio galaxies with inner double structures (B1450+333 and 1834+620; Schoenmakers et al. (2000a)). S2 has a cylindrical shape similar to the southern outer lobe S1; N2 appears more relaxed and more spherical as is the case for the northern outer lobe N1. If one views the inner double as a stage through which the outer double might have evolved, the lobe morphology would appear to have been set early in the evolution. It would be interesting to study the role of the bar-like feature in creating medium differences close to the host galaxy that might cause the side-to-side asymmetries; this would require the linear feature to have existed before the formation of the outer lobes.

The SuperCOSMOS digitization of the UKST red plate OR 18623 has been used to extract the optical image of the host galaxy and is shown in Figure 10. Contours of the smoothed image (using a 2-arcsec FWHM Gaussian) have been overlayed after subtracting the mean sky background. The cross marks the location of the radio peak as determined from a 4-arcsec resolution image of the core at 2496 MHz. There is seen to be a concentration of objects within 100 kpc of the host elliptical galaxy. One object located 15 arcsec to the north west, at a distance of about 50 kpc, is relatively bright and is seen in the red image to be clearly extended towards — and within the extended envelope of — the radio galaxy host, suggestive of a possible interaction. Optical observations are suggested to substantiate this as well as to look for any evidence for episodicity in the host galaxy properties which might be related to multiple nuclear activity in this galaxy.

### 4.1 Activity Related Timescales

From the lack of any hotspots in N1 and S1 we can obtain an estimate of the time elapsed since the central engine activity stopped. Assuming a maximum jet bulk flow velocity of $`c`$, the travel time of the jet material from the core to the presumed locations of the past hotspots in the outer lobes is at least $`3\times 10^6`$ yr. A 1-kpc size hotspot of relativistic plasma may be expected to disappear in a sound-crossing timescale of about $`10^4`$ yr. Because hotspots are not seen in N1 and S1, we estimate that beams may have stopped injecting energy into N1 and S1 at least $`10^4`$ yr ago.

Subsequently, if the outer lobes are overpressured with respect to the ambient IGM (see section 3.1), N1 and S1 would have continued to experience expansion losses. Assuming that the ambient IGM has density at most $`10\mathrm{\Omega }_B=10\times 0.019h^2`$ (Burles et al., 1999), the outer lobes, which have internal energy density exceeding $`3\times 10^{13}`$ erg cm-3, would have to expand at speeds at least $`0.012c`$ in order to be ram-pressure confined. Expansion by factor $`f`$ would reduce the luminosity by factor $`f^{(4\alpha +2)}`$ (Leahy, 1991): J0116$``$473 is currently seen as a powerful radio source and if we assume that the 22-cm radio luminosity of the lobes was at most $`10^{28}`$ W Hz-1 when the energy injection was switched off, we conclude that the relict lobes are younger than $`7\times 10^7`$ yr.

The previous activity phase may have stopped at most $`7\times 10^7`$ yr ago and, if the inner lobes advance into the relict cocoon with speed about 0.2-0.3$`c`$ (Schoenmakers et al., 2000a), we estimate that the current activity phase commenced $`35\times 10^6`$ yr ago.

## 5 The Bar-like Feature

In the southern lobe, we recognize an unusual bar-like feature just south of the core. The bar is sharply bounded along its northern edge and appears to be a distinct component. It has a length of at least 1 Mpc and is oriented nearly perpendicular to the source axis. As seen in Figure 2, this feature is the most highly polarized region in the radio galaxy and appears to have a fractional polarization exceeding 50 per cent. The projected magnetic field in the bar is aligned along its length. The radio spectral index of the bar emission, as computed using our ATCA images at 12 and 22 cm, is steep with $`\alpha >1.3`$.

Examples of lobes of radio galaxies abruptly cutting off in sharp, straight edges facing the parent galaxy have been cited in several radio galaxies (Black et al., 1992; Gopal-Krishna and Wiita, 2000). The lack of emission along a columnar region about the core has been speculated as arising due to the docking of the backflowing lobe plasma by an extended disk of cold gas, situated at the center of the host galaxy, with its axis along the radio axis. These edges, seen previously in normal-sized powerful radio galaxies, have extents $`100`$ kpc. In the case of J0116$``$473, only one lobe reveals a sharp, straight edge towards the core and it is seen to be nearly a megaparsec in length.

Radio galaxies having such extended features at large angles to the main source axis are usually recognised as winged and X-shaped sources. These extended, fainter features are thought to be remnants of older activity or cavities in the IGM — excavated during an older activity — into which newer lobe plasma has flowed (Leahy and Williams, 1984). These sources are considered to have undergone a change in the direction of ejection over a large angle. If we conjecture that the linear bar-like feature is a remnant of past activity (prior to the formation of S1 and N1) in the same host galaxy, the galaxy has since moved $`100`$ kpc and this may take $`10^8`$ yr assuming velocities typical for galaxies in small groups (Hickson, 1997). A relict with this age may not be expected to be visible owing to expansion and radiation losses; however, backflow from S1 may render the cavity visible by replenishing it.

The bar in J0116$``$473 has a high fractional polarization and B-field oriented along its length. These properties are also seen in low-surface-brightness wings of X-shaped sources (e.g. 0828+32, 3C223.1, 3C403 and 4C12.03); however, they are more striking in J0116$``$473. If backflow from the southern outer lobe of J0116$``$473 flows into the relict cavity — as is required to render it visible — the uniform projected B-field and the high fractional polarization might be indicating an ordered flow along the bar and possibly a stretching of the fields as the plasma expands at the end of the relict channel.

The radio structures seen in J0116$``$473 are not unlike those in the X-shaped radio galaxy 4C12.03 (Leahy and Perley, 1991). In this latter object, as well, there are three distinct structures which may be associated with three successive activity phases: an extended double along the main axis of the radio source, an inner double along the same axis and a fainter bar-like feature with straight edges of almost 800 kpc extent which makes a large angle with the main axis of the radio galaxy.

In the scenario proffered above for the formation of the structures in J0116$``$473, the required large change in the ejection axis between the first episode (responsible for the bar) and the second (responsible for N1 and S1) may be produced by an interaction with a sufficiently massive intruder that re-aligns the black hole axis (Natarajan and Pringle, 1998). The lack of change in the ejection axis in the restarting episode, which resulted in the inner lobes N2 and S2, may be a result of an interaction involving a smaller intruder that does not bring with it sufficient angular momentum to perturb the ejection axis significantly. Alternately, constancy of the ejection axis in restarting episodes might be a result of multiple encounters between the host galaxy with a single intruder (Schoenmakers et al., 2000b), in which the successive encounters alter the activity state of the central engine without significantly perturbing the black hole axis.

## 6 Summary

We have presented 12 and 22 cm total-intensity and polarization ATCA observations of the giant radio galaxy J0116$``$473. The observations were carried out with the purpose of following up on intriguing aspects noted for this galaxy in an earlier work. Our new higher dynamic range observations have provided much support for our earlier hypothesis of interrupted nuclear activity in this source. The inner double structure located within the much larger diffuse lobes is argued to be a pair of new lobes formed as a result of renewed activity in the core. The observations show this inner double in detail revealing its edge brightened morphology, its symmetric location about the core, and a narrow jet.

The 1-Mpc long bar-like feature close to the core is seen to be highly polarized with fractional polarization as high as 50 per cent all along its length and with projected magnetic field vectors oriented along its length. We discuss a possible origin for this feature, suggesting it to be a result of earlier activity. Additionally, we note the presence of two other unusual features seen in this source, a band of low rotation measure along the length of the source and a step in the rotation measure situated towards the southern inner lobe. We briefly discuss possible causes for these features.

The Australia Telescope is funded by the Commonwealth of Australia for operation as a National Facility managed by CSIRO. We thank the referee for useful suggestions which led to investigation of aspects not presented in the original version. We acknowledge the use of SuperCOSMOS, an advanced photographic plate digitising machine at the Royal Observatory of Edinburough, in obtaining the digitised image of J0116$``$473 presented in the paper.


text:
# 𝑁𝑁 Correlations Measured in 3He(e,e′pp)n

## 1 Introduction

The single nucleon energy and momentum distributions in nuclei have been thoroughly measured by nucleon knockout, pickup and stripping reactions. The shapes of these distributions, although not their magnitudes, are well described by mean-field impulse-approximation calculations. The discrepancies between the measured and calculated magnitudes indicate that nucleon-nucleon correlations are an important part of the nuclear wavefunction. To date, there have been almost no measurements of correlated $`NN`$ momentum distributions in nuclei.

One signature of correlations is finding two nucleons with large relative momentum and small total momentum in the initial state. Unfortunately, the effects of $`NN`$ correlations are frequently obscured by the effects of two body currents, such as meson exchange currents (MEC) and isobar configurations (IC) janssen00 . In order to disentangle these competing effects, a series of comprehensive measurements are needed.

In order to provide this, we measured electron scattering from nuclei, A$`(e,e^{}X)`$, using the Jefferson Lab CLAS (CEBAF Large Acceptance Spectrometer), a 4$`\pi `$ magnetic spectrometer. The CLAS Multihadron run group comprised of seven experiments ran in Spring 1999, measuring approximately 500 million events with 1.1, 2.2 and 4.4 GeV polarized electrons incident on targets from 3He to 56Fe.

This paper will concentrate on the results from the 3He(e,epp)n reaction which exhibit a strong signature for $`NN`$ correlations.

## 2 The 3He(e,epp)n Measurements

We studied electron induced two proton knockout reactions from 3He using the CLAS detector and made a cut on the missing mass to select 3He(e,epp)n events. Figures 1a and b show the electron acceptance and undetected neutron missing mass resolution for $`E_{beam}=2.2`$ GeV. The threshold of the CLAS is approximately 250 MeV/c for protons.

Note that all data shown here are preliminary.

Because this is the first time that 3He(e,epp)n has been measured using an almost $`4\pi `$ detector, our data analysis philosophy is to follow and understand the dominant features of the data.

In order to understand the energy sharing in the reaction, we plotted the kinetic energy divided by the energy transfer of the first proton ($`T_{p1}/\omega `$) versus that of the second proton ($`T_{p2}/\omega `$) for each event (a lab-frame Dalitz plot). When we did this, the dominant feature is a ridge running from the upper left corner (proton 1 has all the energy) to the lower left corner (proton 2 has all the energy) corresponding to events where the two protons share the energy transfer and the neutron is a low momentum ‘spectator’ (see Figure 2a). When we cut on this ridge, we see that the opening angle of the two protons has a large peak at 90o, indicating that it is due primarily to hard final state rescattering (i.e.: photon absorption on one proton followed by billiard ball rescattering on the second proton).

Since we are not interested in final state rescattering, we eliminated those events and focussed on events where all three nucleons have momentum greater than 250 MeV/c (Figure 2b). In this case we see three peaks at the three corners of the plot, corresponding to events where two ‘fast’ nucleons each have less than 20% of the energy transfer and the third ‘leading’ nucleon has the remainder. We call the two nucleons ‘fast’ because $`pp_{fermi}`$. These peaks are much more pronounced at $`E_{beam}=4.4`$ GeV (not shown). We cut on these peaks where the two fast nucleons each have less than 20% of the energy transfer and where all three nucleons have $`p>250`$ MeV/c.

Then we looked at the opening angle of the two fast nucleons. Figure 3-a shows the pair opening angle for fast $`pn`$ pairs with a leading proton. Note the large peak at 180 degrees ($`\mathrm{cos}\theta _{NN}1`$). The distribution for fast $`pp`$ pairs with a leading proton is identical. The peak is not due to the cuts, since we do not see it in a fire ball phase space simulation assuming three body absorption of the virtual photon and phase space decay. It is also not due to the CLAS acceptance since we see it both for leading protons (which we detect) and leading neutrons (which we infer from missing mass). This back-to-back peak is a strong indication of correlated $`NN`$ pairs.

## 3 Studying Correlated Pairs

Now consider these presumably correlated pairs. Since we believe that we have observed events where the leading nucleon absorbed the virtual photon and the two fast nucleons are emitted back to back, we cut on the perpendicular momentum of the leading nucleon to deemphasize rescattering ($`p_{}<300`$ MeV/c). This cut selects the back-to-back events very cleanly. Unfortunately, there are only 3400 fast $`pn`$ and 1100 fast $`pp`$ events remaining in the entire 2.2 GeV data set (and ten times fewer at 4.4 GeV).

If the fast back-to-back $`NN`$ pairs are really uninvolved in the photon absorption, then they should be distributed isotropically. You can see this in the angular distribution of the neutrons with respect to $`\stackrel{}{q}`$ (see Figure 3-b). Further evidence that the fast $`NN`$ pair is uninvolved in absorbing the virtual photon comes from the average momentum of the pair along $`\stackrel{}{q}`$. This is about 0.07 GeV/c for $`E_{beam}=2.2`$ GeV and about 0.1 GeV/c for $`E_{beam}=4.4`$ GeV, much less than the average momentum transfers of $`Q^2=0.7`$ and 1.4 (GeV/c)2 respectively.

The fast $`NN`$ pair relative ($`p_{rel}=\frac{1}{2}|\stackrel{}{p}_1\stackrel{}{p}_2|`$) and total ($`p_{total}=|\stackrel{}{p}_1+\stackrel{}{p}_2|`$) momentum distributions are shown in Figures 4a) and b) for fast $`pn`$ pairs at $`E_{beam}=2.2`$ GeV. The distributions (not shown) are very similar for both $`pn`$ and $`pp`$ pairs at both $`E_{beam}=2.2`$ and 4.4 GeV.

Thus, because when we select a quasifree leading nucleon the fast $`NN`$ pairs are:

* Back to Back,
* Isotropic and
* Have small average momentum along $`\stackrel{}{q}`$

we conclude that the fast $`NN`$ pair is not involved in absorbing the virtual photon. Because we measure similar total and relative momentum distributions for

* $`pp`$ and $`pn`$ pairs and
* $`0.5<Q^2<1`$ ($`E_{beam}=2.2`$ GeV) and $`1<Q^2<2`$ (GeV/c)2 ($`E_{beam}=4.4`$ GeV)

we conclude that we have measured bound state $`NN`$ correlations.

We appear to have measured $`NN`$ correlations in 3He by striking the third nucleon and detecting the correlated pair. This is similar to other proposed correlation searches where you strike one nucleon of a correlated pair and detect the other nucleon leaving the nucleus. However, these other searches suffer from the weakness that their proposed signal can also be due to two body currents (eg: photon absorption on an exchanged meson).

## 4 Comparison to Theory

Calculations by W. Glöckle glockle  at lower energy strengthen this conclusion. He calculated the 3He(e,epp)n cross section where the leading nucleon has momentum $`\stackrel{}{p}_N=\stackrel{}{q}`$ and the other two nucleons have total momentum $`p_{total}=0`$ for various values of the momentum transfer, $`400|\stackrel{}{q}|600`$ MeV/c, and relative momentum. He found that

1. MEC did not contribute,
2. rescattering of the leading nucleon did not contribute, and
3. the continuum state interaction of the outgoing $`NN`$ pair decreased the cross section by a factor of approximately 10 relative to the PWIA result.

Thus, he found that this reaction is a very clean way to measure the overlap integral between the $`NN`$ continuum state and the same two nucleons in the bound state.

We compared our results to three other calculations, 1) a Plane Wave Impulse Approximation (PWIA) calculation by M. Sargsian misak  using Glöckle’s bound state wave function with no final state interactions, 2) a calculation by J.-M. Laget laget  using a Faddeev wave function from P. Sauer and including one-, two-, and three- body mechanisms as well as rescattering terms, and 3) a home-made model of pion production on the struck proton followed by pion absorption on the remaining $`pn`$ pair. We averaged all of the models over the CLAS acceptances and cuts using a monte carlo.

The pion production and rescattering model used pion production cross sections from the MAID parametrization maid , pion absorption on deuterium from the SAID parametrization said , and proton initial momentum distributions in 3He from (e,ep) measurements jans . This model failed in several key respects. While it did produce a large back-to-back peak in the $`NN`$ angular distribution (since a soft pion transfers a lot of energy but very little momentum), a) the average energy transfer was much larger than the data (typical of the $`\mathrm{\Delta }(1232)`$), b) the relative momentum distribution was too large (since the minimum relative energy $`E_{rel}=m_\pi `$), and c) the ratio of the number of fast $`pn`$ pairs to fast $`pp`$ pairs was much lower than the data (1 instead of 3). Thus, while this mechanism might be very important for other three nucleon knockout experiments, it does not explain this data.

Preliminary calculations from Laget describe the kinetic energy, relative momentum and total momentum distributions very well, both qualitatively and quantitatively. They indicate that one body knockout plus rescattering cannot describe the data and that three-body mechanisms are needed. However, the virtual photon distribution in this calculation is significantly different from the data (peaked in the delta region rather than the quasielastic), indicating a different reaction mechanism.

The PWIA calculation of Sargsian has $`Q^2`$ vs $`\omega `$, $`NN`$ pair opening angle, and relative and total momentum distributions that are consistent with the data (see Figure 4c–d). It is a factor of 6 larger than the data which is consistent with the expected effects of the $`NN`$ continuum state interaction calculated by Glöckle. However, it predicts 5 $`pn`$ pairs for each $`pp`$ pair versus 3 in the data and it predicts a ratio of 4 for $`\sigma (E_{beam}=2.2)/\sigma (E_{beam}=4.4)`$ versus 11 for the data.

More calculations are clearly needed to resolve these discrepancies.

## 5 Summary

We have studied the 3He(e,epp)n reaction, selecting events where one nucleon has most of the kinetic energy and has less than 300 MeV/c of momentum perpendicular to $`\stackrel{}{q}`$. When we do this, we see isotropic, back-to-back, fast $`NN`$ pairs with small average momentum along $`\stackrel{}{q}`$. We have measured the total and relative momentum distributions of these pairs and found that they do not depend significantly on isospin ($`pp`$ vs $`pn`$ pairs) or on momentum transfer.

PWIA calculations reproduce many features of the data. Calculations by Glöckle at lower energy indicate that the cross section depends primarily on the overlap integral between the continuum state and bound state of the $`NN`$ pair. Neither meson exchange currents nor the final state rescattering of the leading nucleon appear to contribute to the cross section. However, calculations by Laget indicate that three body mechanisms are required. More theoretical work is needed to resolve these issues.

Thus, by measuring 3He(e,epp)n, we might have directly measured $`NN`$ correlations without any significant contamination from other processes by striking the third nucleon and detecting the spectator correlated pair.

## Acknowledgments

I thank Jean-Marc Laget and Misak Sargsian for their calculations and physics insight. This work was supported by a grant from the US Department of Energy.


text:
# 1 Scientific case

## 1 Scientific case

The study of the non thermal component in high energy astrophysics sources is presently hampered by the large gap in spatial resolution and sensitivity between the X–ray and $`\gamma `$–ray domains. Below $``$ 10 keV, astrophysics missions like XMM–Newton and Chandra are using X–ray mirrors based on grazing incidence reflection properties. This allows to have an extremely good spatial resolution, down to 0.5′′ for Chandra, and a good signal to noise thanks to the focussing of the X–rays onto a small detector surface. This technique has however an energy limitation at $``$ 10 keV due to the maximum focal length that can fit in a single spacecraft. Hard X–ray and $`\gamma `$–ray imaging instruments, such as those on INTEGRAL to be launched in Oct. 2002 are thus using a different technique, that of coded masks. This non focussing technique has intrinsically a much lower signal to noise ratio than that of a focussing instrument, and does not allow to reach spatial resolutions better than $``$ 10 arc minutes. This results for example in roughly 2 orders of magnitude of difference in point source sensitivity between X–ray and $`\gamma `$–ray telescopes.

This transition of techniques unfortunately happens roughly at the energy above which the identification of a non thermal component is unambiguous with respect to thermal emission. This obviously strongly limits the interpretation of the high quality X–ray measurements, and particularly that related to the acceleration of particles. Considered from the high energy side, this renders impossible the identification of the $`\gamma `$–ray emitters counterparts. As a single example of this fact, in relation with this workshop, one can cite the case of the SS 433/W50 system. The Eastern lobe is known to emit above 10 keV thanks to RXTE observations (Safi-Harb & Petre, 1999), but the interpretation of this emission is strongly dependent on the assumptions made on the size of the emitting region which is completely unknown because of the very poor angular resolution of RXTE ($``$ 1 , similar to the lobe size).

The SIMBOL–X mission is basically designed to extend the X–ray focussing technique to much higher energies, up to $``$ 70 keV, i.e. well beyond the transition between thermal and non thermal emissions. Offering a constant spatial resolution and a “soft X–ray type” sensitivity over the full energy range from 0.5 to 70 keV, SIMBOL–X will be an excellent instrument to elucidate the origin of the non thermal emission in accretion / acceleration astrophysical sites, both compact and extended.

## 2 Mission concept

SIMBOL–X is built on the classical design of a Wolter I optics focussing X–rays onto a focal plane detector system. The gain in maximum energy is achieved by having a long focal length, of 30 metres i.e. 4 times that of XMM–Newton mirrors. Since this cannot fit in a single spacecraft, the mirror and the detectors will be flown on two separate spacecrafts, in a formation flying configuration, as sketched on Fig. 2. We shortly detail below each part of this system.

### 2.1 Mirror

The focussing optics will be a nested shells Wolter I configuration mirror. Building on the experience acquired on Beppo–SAX, Jet–X, SWIFT, ABRIXAS and XMM–Newton mirrors, it will be made following the Nickel electroforming replication method (e.g. Citterio et al. 2001). The current design is to have a 108 shells mirror, with an outer diameter of 70 cm (like one XMM–Newton module), and an angular resolution of 20 arcseconds of Half-Energy-Width. The coating will be Pt, in order to increase the high energy response w.r.t. a more classical Au coating. The focal length will be 30 metres.

Figure 2 shows the effective area as a function of energy, for the baseline design. It has roughly a constant value of 600 cm2 up to about 35 keV, before starting to decrease and fall below one cm2 above more than 70 keV. The field of view (FOV) will be of 6 arcminutes at 50 % vignetting.

### 2.2 Focal plane detectors

The focal plane detector system has obviously to be a spectro-imager covering the full FOV and sensitive to the full energy range provided by the mirror, with a “reasonable” spectral resolution below 10 keV for measuring lines, particularly that of Iron. Given the above mirror characteristics, the focal plane detector must be of 6 cm diameter with 500 $`\mu `$m of maximum pixel size (to provide an oversampling of the Point Spread Function).

The baseline focal plane responding to these constraints is made of an array of CCD detectors directly on top of a CdZnTe pixellated detectors array. This is completed by an optical blocking filter, and an active anticoincidence shield. Photons of energy less than $``$ 15 keV will stop in the CCDs, whereas higher energy photons will go through the CCDs to be detected in the CdZnTe array. CCDs with 250 $`\mu `$m depletion depth and 2 mm thick CdZnTe, currently under tests in Leicester and CEA/SAp resp., are perfectly fitting the SIMBOL–X requirements.

### 2.3 Formation flying constraints and orbit

Both mirror and detector spacecrafts will be of the “mini-satellite” class (500 kg max). To keep a constant image quality requires the following constraints on the spacecraft relative positionning : i) their distance must be kept constant within 1 cm, ii) their positionning perpendicular to the optical axis must be kept within 1 cm, and monitored with a 0.5 mm accuracy, and iii) the angular stability must be better than 1 arcmin, and monitored to 3 arcsec. In order to minimize the differential forces between the 2 spacecrafts, as well as to allow uninterrupted observations of variable sources, SIMBOL–X will be put in orbit around L2.

## 3 Sensitivity

In order to calculate the signal to background ratio for astrophysical sources, we have used the radiation background spectrum calculation of Ramsey (2001) for the HXT CdZnTe detector, with veto, envisionned for Constellation X (also at the L2 orbit), a configuration very similar to that of SIMBOL–X. We have also modelled the astrophysical diffuse background. With these, we have derived the sensitivity of SIMBOL–X to point sources, or equivalently to diffuse emission in a 1 arcmin diameter region. This is presented in Fig. 3 with respect to other instruments. As expected for an X–ray focussing telescope, the SIMBOL–X sensitivity curve has roughly the shape of the XMM–Newton and Chandra curves (which have no diffuse component here), but is displaced by about a decade in energy. SIMBOL–X is about $``$ 100 times better than existing instruments in the 10 to 35 keV range, and has a sensitivity equivalent to INTEGRAL/IBIS at $``$ 70 keV.

We have also used this background model in order to simulate a number of observations that cannot be detailed here. We simply mention two examples to illustrate the SIMBOL–X sensitivity. On the supernovae remnant side, a detailed map of Cas A above 20 keV can be done in 100 ksec, and the spectrum of its brightest 1 arcmin2 part is significant up to 50 keV. On the AGN jet side, the spectrum of the Pictor A hot spot at 4 arcmin from the nucleus (well isolated with SIMBOL–X optics) can be significantly measured up to 40 keV in 50 ks of observation.

## 4 Collaboration and schedule

The SIMBOL–X mission is a collaboration involving France (CEA/Saclay, PI Institute, and the Grenoble and Meudon observatories), Italy with Brera Observatory, and United Kingdom with Leicester University. At this early stage, the participation of each country which has still to be secured is envisionned to be the following. France will build the detector spacecraft, the high energy part of the focal plane detector, and will take care of the formation flying aspects. Italy is in charge of building the mirror and the mirror spacecraft. United Kingdom is in charge of the CCD part of the focal plane.

Finally, as SIMBOL–X does not involve new difficult technological development neither on the detector side nor on the mirror side, and as the formation flying constraints are rather well within current investigations in this domain, a relatively short development time can be envisionned. Launching SIMBOL–X before the end of the decade would provide an excellent scientific preparation to the much larger observatories Constellation X and XEUS that are scheduled later.

SIMBOL–X has been presented to the Astrophysics group of CNES, the french space agency, with a proposed launch date of early 2009. It has been selected in June 2002 for beginning a phase A study.


text:
# On the average charge of the oxygen vacancy in perovskites necessary for kinetic calculations

## Caption

Fig. 1. A path of the oxygen vacancy between equal points in the perovskite-type lattice. Large circles correspond to B ions in the ABO3 perovskite structure, small ones to oxygens, and the square is the oxygen vacancy.


text:
# Spacelike and timelike response of confined relativistic particles

## 1 Introduction

Deep inelastic scattering (DIS) of leptons by hadrons is generally discussed in the framework of the naive parton model and the QCD-improved parton model using the operator product expansion.ESW  This approach has been very successful in determining the evolution of the structure functions as a function of the square of the four-momentum transferred to the hadron.AP77  In the leading order of the model the hadron is approximated by a collection of noninteracting quarks and gluons. The struck quark is assumed to be on the mass-shell both before and after its interaction with the electron. Basic theoretical considerations bring the validity of these assumptions into question.Bj00

Based on the assumption that the struck constituent is on the mass-shell before and after interaction with the probe, the response is predicted to be in the spacelike region for which the energy transfer $`\nu `$ is less than the magnitude of momentum transfer, $`|𝐪|`$, as a consequence of the inequality,

$$\nu =\sqrt{|𝐤+𝐪|^2+m_q^2}\sqrt{|𝐤|^2+m_q^2}|𝐪|.$$
(1)
Here $`𝐤`$ and $`m_q`$ are the momentum and mass of the struck quark, respectively. The predicted response is discontinuous at the boundary $`|𝐪|=\nu `$ between space and timelike regions. In fact interactions among the constituents in the initial state take the constituents off the mass-shell and move response of the target into the timelike region of four-momentum transfer.

In the many-body theory (MBT) one expects, at least naively, that final state interactions (FSI) should have an effect on inclusive scattering cross sections with electromagnetic probes from systems whose constituents are confined. Scattering of high energy probes from composite systems, such as electron scattering by nuclei Frois91  and nucleons ESW , or neutron scattering by liquid helium SS89 , is often used to study the structure of the bound system. The common assumption is that in DIS at sufficiently high energy the probe is incoherently scattered by the constituents of the system. In the plane wave impulse approximation (PWIA), which neglects FSI effects, DIS is directly related to the momentum and energy distribution of the constituents in the target.

The role of FSI effects has been studied extensively in electron scattering from nuclear targets BFFMPS91 ; BP93  and neutron scattering from liquid helium SS89 . Recently it has been suggested that they may also influence DIS of leptons by hadrons Brodsky . In the present study we focus on scattering from targets with confined constituents. The corresponding physical case concerns DIS from nucleons where, in distinction from the nuclear and liquid helium cases, the constituents are confined in both the initial and final states.

## 2 The response and scaling variables

We consider the response to a hypothetical scalar probe which couples to the density of a single scalar constituent. This allows us to ignore complications due to spin and the Lorentz structure of the response though it retains the qualitative features of a more realistic model where one considers the coupling of a spin-$`\frac{1}{2}`$ fermion to the conserved electromagnetic current. The response is

$$R(𝐪,\nu )=\underset{I}{}|I|\underset{j}{}e^{i𝐪𝐫_j}|0|^2\delta (E_IE_0\nu )$$
(2)
where $`_j`$ is over all the particles and the $`_I`$ over all energy eigenstates. It is viewed as the distribution of the strength of the state $`_je^{i𝐪𝐫_j}|0`$ over the energy eigenstates of the system having momentum $`𝐪`$. It is not necessarily zero in the timelike, $`\nu >|𝐪|`$ region.

### 2.1 Scaling variables

The conventional variables of the parton model, $`Q^2=|𝐪|^2\nu ^2`$ and the Bjorken $`x=Q^2/2M\nu `$, used to describe the DIS structure functions of a hadron of mass $`M`$, are confined to the spacelike region of the $`|𝐪|`$$`\nu `$ plane for positive values of $`Q^2`$ accessible in lepton scattering experiments, as shown in Fig. 1. The observed ($`Q^2>0`$) DIS response is limited to a narrow region in the $`|𝐪|\nu `$ plane illustrated in Fig. 1. It is bounded by the elastic limit, $`\nu _{el}=\sqrt{|𝐪|^2+M^2}M`$ on one side, and by the photon line on the other. In the limit of large $`|𝐪|`$ the width of the observed response at fixed $`|𝐪|`$ is $`M`$. Lines of constant $`Q^2`$ intersect the elastic limit curve at $`x=1`$ and approach the photon line at small $`x`$.

We wish to study the full range of response possible for a system of bound constituents including the region of timelike momentum transfer. Therefore we study the response, $`R(𝐪,\nu )`$ as a function of $`\nu `$ and $`|𝐪|`$ in the rest frame of the system BPS00 , as is common practice in the MBT. Lines of constant $`|𝐪|`$ in Fig. 1 cross the photon line ($`\nu =|𝐪|`$) and go into the timelike region. The natural scaling variable in the MBT approach to DIS BPS00  is $`\stackrel{~}{y}=\nu |𝐪|`$. At large $`|𝐪|`$ the response is expected to depend only on $`\stackrel{~}{y}`$, and not on $`𝐪`$ and $`\nu `$ independently. This variable is equivalent to the Nachtmann variable $`\xi `$ since ON ; Jaffe85

$$\xi =\frac{1}{M}(|𝐪|\nu )=\frac{1}{M}\stackrel{~}{y}.$$
(3)
In the limit of large $`Q^2`$ the $`\xi =x`$, thus $`\stackrel{~}{y}`$ scaling includes Bjorken scaling. However, both $`\stackrel{~}{y}`$ and $`\xi `$ span both spacelike and timelike regions at fixed $`|𝐪|`$ unlike $`x`$ at fixed $`Q^2`$.

## 3 Model calculation

We have studied the exact response of a simple “toy” model which contains the basic features of relativity and confinement to obtain further insights on the possible response in the timelike region and it’s effects on the sum rules. In this model we assume that the response of the hadron is due to a single light valence quark confined within the hadron by its interaction with an infinitely massive color charge. We model this interaction by a linear flux-tube potential, and use the single particle Hamiltonian,

$$H=\sqrt{|𝐩|^2+m_q^2}+\sqrt{\sigma }r$$
(4)
containing the relativistic kinetic energy operator. In the limit $`m_q=0`$ used here, the $`H`$ can be cast in the form:

$$H=\sigma ^{1/4}\left(\sqrt{|𝐩^{}|^2}+r^{}\right),$$
(5)
where $`𝐩^{}=𝐩/\sigma ^{1/4}`$, and $`𝐫^{}=\sigma ^{1/4}𝐫`$ are dimensionless. The response $`R(|𝐪|,\nu )`$ of the model then depends only on the dimensionless variables $`|𝐪^{}|=|𝐪|/\sigma ^{1/4}`$ and $`\nu ^{}=\nu /\sigma ^{1/4}`$. The main conclusions of this work are independent of the assumed value of $`\sigma `$; however, we show results in familiar units using the typical value $`\sqrt{\sigma }=1`$ GeV/fm.

The model may be viewed as that of a meson with a heavy antiquark or that of a baryon with a heavy diquark. It is obviously too simple to address the observed response of hadrons. For example, it omits the sea quarks and radiative gluon effects contained in the DGLAP equations ESW ; AP77  to describe scaling violations. Nevertheless its exact solutions are interesting and useful to study scaling, the approach to scaling, and the contribution of the timelike region to sum rules. A similar model has been considered by Isgur et al. Isgur01 .

The Hamiltonian is diagonalized in the spherical momentum basis and the response is calculated to ensure that the full strength of the integrated response,

$$_0^{\mathrm{}}R(𝐪,\nu )𝑑\nu =1,$$
(6)
is obtained in the chosen basis for all values of the momentum transfer considered in this work with $`<`$ 0.02 % error. In order to obtain a smooth response we assume decay widths for all the excited states dependent on the excitation energy $`\nu `$.

Figure 2 shows the response calculated for values of $`|𝐪|3`$ GeV as a function of $`\stackrel{~}{y}`$. The scaling behavior is clearly exhibited; at large $`|𝐪|`$ the $`R(|𝐪|,\nu )`$ becomes a function $`f(\stackrel{~}{y})`$ alone. This scaling is equivalent to $`\xi `$ scaling via (Eq. 3).

In Fig. 3 we show the response at various values of $`|𝐪|2`$ GeV compared with that for $`|𝐪|=10`$ GeV, to study the approach to scaling. At small $`|𝐪|`$ the scattering is dominated by resonances, and the first inelastic peak is due to the lowest excited state with $`n=1`$ and $`\mathrm{}=1`$, 335 MeV above the ground state. In our toy model, the elastic scattering occurs at $`\nu =0`$ or $`\stackrel{~}{y}=|𝐪|`$, since our hadron is heavy. This elastic scattering contribution is omitted from Fig. 3.

For $`\stackrel{~}{y}0`$, i.e. for small $`\xi `$, the response approximately scales at relatively small values of $`|𝐪|`$, comparable to $`\sigma ^{1/4}`$. As $`|𝐪|`$ increases, the range over which scaling occurs is extended to more negative values of $`\stackrel{~}{y}`$, i.e. to larger values of $`\xi `$. The contribution of each resonance shifts to lower $`\stackrel{~}{y}`$ and decreases in magnitude following the $`R(|𝐪|\mathrm{},\stackrel{~}{y})`$. This behavior is seen in the experimental data on the proton and deuteron Keppel  and interpreted as evidence for quark-hadron duality. Thus the toy model seems to describe some of the observed properties of the DIS response of nucleons. It exhibits $`\stackrel{~}{y}`$ or equivalently $`\xi `$ scaling at large $`|𝐪|`$ as observed BPS00 , and an approach to $`\xi `$ scaling similar to that seen in recent experiments.

### 3.1 Particle number sum rule

In general the particle number sum rule in MBT is obtained by integrating the response at large $`|𝐪|`$ over all $`\nu >0`$:

$`{\displaystyle _0^{\mathrm{}}}R(𝐪,\nu )𝑑\nu `$ $`=`$ $`{\displaystyle \underset{I}{}}0|{\displaystyle \underset{i}{}}e^{i𝐪𝐫_i}|II|{\displaystyle \underset{j}{}}e^{i𝐪𝐫_j}|0`$ (7)
$`=`$ $`{\displaystyle \underset{i,j}{}}0|e^{i𝐪(𝐫_j𝐫_i)}|0.`$
When $`𝐪`$ is large only the $`i=j`$ terms in the above sum contribute, and therefore the integral gives the number of particles in the system. In contrast the sums of the response in the parton model are obtained by integrating the response over $`\xi >0`$ at fixed $`Q^2`$. These sums will fulfill the particle number sum rule only if the response in the timelike region is zero. As mentioned earlier, the response of a collection of noninteracting particles lies in the spacelike region. Interaction effects, however, can shift a part of the strength to the timelike region. Evidence for shifts caused by interactions is discussed in Ref. BPS00 .

Returning to the “toy” model the $`R(|𝐪|,\nu )`$, and therefore the $`f(\stackrel{~}{y})`$ extend into the timelike ($`\stackrel{~}{y}>0`$) region. The sum-rule given by Eq.(6), counts the number of particles in the target. It is necessary to integrate over the timelike region to fulfill this sum rule. About 10% of the sum is in that region independent of $`\sqrt{\sigma }`$. The response expressed as $`R(Q^2,\xi )`$ also scales at large $`Q^2`$ where $`|𝐪|`$ is necessarily large. It becomes a function of $`\xi `$ alone. However, the integral:

$$_0^{\mathrm{}}R(Q^2\mathrm{},\xi )𝑑\xi =_0^{|𝐪|}R(|𝐪|\mathrm{},\nu )𝑑\nu 0.9,$$
(8)
because the contribution of the timelike region is omitted. Here we have defined $`\xi =|𝐪|\nu `$ without the conventional $`1/M`$ scale \[Eq.(3)\].

## 4 Final state interaction effects

We study the effects of the FSI of the struck particle on the response. Analytic calculations of the width of the response are presented for a general spherically symmetric potential and numerical results for a linear confining potential are given. These indicate that the FSI increase the width of the response beyond that predicted by PWIA. The analytic calculations also consider the nonrelativistic problem, in which $`𝐪`$ is large compared to all the momenta in the target, but smaller than the constituent mass $`m`$. The main differences between the nonrelativistic and the relativistic response are that the former peaks at $`\nu =|𝐪|^2/2m`$ and has a width proportional to $`|𝐪|`$, while the latter peaks at $`\nu |𝐪|`$, and has a constant width in the scaling limit.

### 4.1 Moments of the response

In the case of a single confined particle, the state of the system after the probe has struck the target is

$$|X=e^{i𝐪𝐫}|0,$$
(9)
where $`|0`$ denotes the ground state of the particle. The state $`|X`$ is not an eigenstate of the Hamiltonian and therefore has a distribution in energy. It has a unit norm, $`X|X=0|e^{i𝐪𝐫}e^{i𝐪𝐫}|0=1`$. The total strength of the response, given by the static structure function

$$S(|𝐪|)=_0^{\mathrm{}}𝑑\nu R(|𝐪|,\nu ),$$
(10)
is therefore unity. In many-body systems $`S(|𝐪|)`$ is not necessarily equal to one. Subsequent formulas pertain to the general case and show factors of $`S(|𝐪|)`$ explicitly.

The mean excitation energy of the state $`|X`$ is given by the first moment of the response:

$$\overline{\nu }(|𝐪|)=\frac{1}{S(|𝐪|)}X|HE_0|X=\frac{1}{S(|𝐪|)}_0^{\mathrm{}}𝑑\nu \nu R(|𝐪|,\nu ).$$
(11)
The width of the distribution in energy is characterized by the second moment of the energy about the mean:

$$\mathrm{\Delta }^2(|𝐪|)=\frac{1}{S(|𝐪|)}X|\left(H\frac{X|H|X}{S(|𝐪|)}\right)^2|X.$$
(12)
Substitution of the Eq.(9) into the formulas for the first three moments of the response give the following results:

$`\overline{\nu }(|𝐪|)`$ $`=`$ $`|𝐪|+V_0E_0`$ (13)
$`+`$ $`{\displaystyle \frac{1}{3|𝐪|}}k^2_0+𝒪\left({\displaystyle \frac{1}{|𝐪|^3}}\right);`$
$`\mathrm{\Delta }^2(|𝐪|)`$ $`=`$ $`{\displaystyle \frac{1}{3}}k^2_0+V^2_0V_0^2`$ (14)
$`+`$ $`{\displaystyle \frac{2}{3|𝐪|}}\left(k^2V_0k^2_0V_0\right)+𝒪\left({\displaystyle \frac{1}{|𝐪|^2}}\right).`$
Here $`𝒪\left(\frac{1}{|𝐪|^n}\right)`$ denotes the neglected terms of that and higher order and the angle brackets with subscript ‘0’ indicate averaging with respect to the ground state. Thus $`\overline{\nu }(|𝐪|)=|𝐪|T_0`$ in the limit $`|𝐪|\mathrm{}`$, where $`T=\sqrt{|𝐩|^2}`$ is the kinetic energy. The requirement that $`\overline{\nu }(|𝐪|)|𝐪|`$ becomes constant is naturally satisfied in this limit. These expression demonstrates that the average energy and width of the exact response is independent of $`|𝐪|`$ in the limit $`|𝐪|\mathrm{}`$ as necessary for $`\stackrel{~}{y}`$ scaling. It also shows that the width has a kinematic contribution dependent upon the target momentum distribution, and an additional interaction contribution.

As mentioned, the PWIA assumes that a constituent of momentum $`𝐤`$, after being struck by the probe, may be described by a plane wave with momentum $`𝐤+𝐪`$ in an assumed average potential chosen to give the exact $`\overline{\nu }`$ of Eq.(13). From the PWIA response we calculate

$$\mathrm{\Delta }_{PWIA}^2=\frac{1}{3}k^2_0+𝒪\left(\frac{1}{|𝐪|^2}\right)$$
(15)
contains only the first term of the exact result \[Eq.(14)\] due to the target momentum distribution. The second term, $`V^2_0V_0^2`$ of Eq.(14) represents the FSI contribution neglected in the PWIA. It does not vanish in the $`|𝐪|\mathrm{}`$ limit for relativistic kinematics.

In the non-relativistic case, $`H_{NR}=\frac{|𝐩|^2}{2m}+V(r)`$, the exact $`\overline{\nu }`$ is given by:

$$\overline{\nu }_{NR}=\frac{1}{2m}|𝐪|^2.$$
(16)
For the width of the NR-PWIA response we obtain:

$`\mathrm{\Delta }_{NRPWIA}^2(|𝐪|)`$ $`=`$ $`|𝐪|^2{\displaystyle \frac{k^2_0}{3m^2}}`$ (17)
$`+`$ $`{\displaystyle \frac{1}{4m^2}}\left(k^4_0k^2_0^2\right).`$
Note that in Eqs.(16) and (17) we have not taken the $`|𝐪|\mathrm{}`$ limit.

The width of the exact NR response is:

$`\mathrm{\Delta }_{NR}^2(|𝐪|)`$ $`=`$ $`\mathrm{\Delta }_{NRPWIA}^2+{\displaystyle \frac{1}{m}}\left(Vk^2_0V_0k^2_0\right)`$ (18)
$`+`$ $`V^2_0V_0^2.`$
It differs from $`\mathrm{\Delta }_{NRPWIA}`$ in terms of order $`1/|𝐪|`$ which can be neglected in the scaling limit. Thus, in contrast to the relativistic case, the FSI do not increase the width of the NR-PWIA response at large $`|𝐪|`$.

Finally we consider the on-shell approximation (OSA) in which the energy of the struck constituent is that of a free relativistic particle before and after the interaction with probe, as assumed in the quark-parton model. The response in OSA depends only on the momentum distribution of target constituents and obeys $`\stackrel{~}{y}`$ scaling. The average excitation in OSA is

$$\overline{\nu }_{OSA}=|𝐪|T_0+\frac{1}{3|𝐪|}k^2_0+𝒪\left(\frac{1}{|𝐪|^3}\right),$$
(19)
and the width is given by:

$$\mathrm{\Delta }_{OSA}^2=\frac{1}{3}k^2_0+k^2_0T_0^2+𝒪\left(\frac{1}{|𝐪|}\right).$$
(20)
The exact value of $`\overline{\nu }`$ \[Eq.(13)\] is reproduced by the OSA for any potential. However, the $`\mathrm{\Delta }_{OSA}^2`$ has $`k^2_0T_0^2`$ in place of the $`V^2_0V_0^2`$ in the leading term of the exact $`\mathrm{\Delta }^2`$ \[Eq.(14)\]. For a massless particle in a linear confining potential, i.e. for the Hamiltonian of Eq.(5), $`T_0=V_0`$, and $`k^2_0=V^2_0`$. Therefore for this particular Hamiltonian the OSA reproduces the exact value of $`\mathrm{\Delta }`$; but the shape is wrong.

### 4.2 Numerical results

We first compare the response functions for $`|𝐪|=10`$ GeV before comparing their moments. In Ref. Paris01  it has been shown that the scaling limit is obtained for such values of $`|𝐪|`$. The exact response, Eq.(2), is a sequence of $`\delta `$ functions at $`\nu =E_IE_0`$. In order to obtain a smooth response we assume decay widths $`\mathrm{\Gamma }_0`$ for all the excited states. Note that the energies of the states $`|I`$ that contribute to the response at $`|𝐪|=10`$ GeV are large, therefore their decay widths are not affected by the energy dependent terms assumed in Ref. Paris01 . The response including decay widths is given by:

$$R(𝐪,\nu )=\underset{I}{}|I|e^{i𝐪𝐫}|0|^2\left(\frac{\mathrm{\Gamma }_0}{2\pi }\right)\frac{1}{(E_IE_0\nu )^2+\mathrm{\Gamma }_0^2/4}.$$
(21)
The responses obtained with $`\mathrm{\Gamma }_0=100`$ and 50 MeV are shown in Fig. 4, along with the PWIA and OSA responses for $`|𝐪|=10`$ GeV and for $`|𝐪|\mathrm{}`$. The difference between the exact responses for $`\mathrm{\Gamma }_0=100`$ and 50 MeV are much smaller than those between the exact and the approximate.

We note that the shape of the PWIA response is qualitatively similar to that of the exact, however, its width is too small. This is a direct consequence of the neglect of interaction terms in $`\mathrm{\Delta }`$ \[Eq.(14)\] as discussed in the last section. The width $`\mathrm{\Delta }`$ of the response is 409 MeV, while the $`\mathrm{\Delta }_{PWIA}=326`$ MeV.

The OSA results in the discontinuous curves shown in Fig. 4. They are discontinuous at the lightline ($`|𝐪|=\nu `$) because the response of free particles is limited to the spacelike region $`\nu <|𝐪|`$. The discontinuity at $`\stackrel{~}{y}=0`$ is in clear conflict with the exact response which is continuous across the lightline and is non-zero in the timelike ($`\stackrel{~}{y}>0`$) region. Therefore the OSA appears to be unsatisfactory even though for the special case of a linear potential it has the exact values of $`S(|𝐪|)`$, $`\overline{\nu }(|𝐪|)`$ and $`\mathrm{\Delta }(|𝐪|)`$.