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# A theorem of Krein revisited

## Abstract.

M. Krein proved in \[KR48\] that if $`T`$ is a continuous operator on a normed space leaving invariant an open cone, then its adjoint $`T^{}`$ has an eigenvector. We present generalizations of this result as well as some applications to $`C^{}`$-algebras, operators on $`\mathrm{}_1`$, operators with invariant sets, contractions on Banach lattices, the Invariant Subspace Problem, and von Neumann algebras.

###### Key words and phrases:

Krein theorem, ordered normed space, cone with interior point, positive eigenvector, invariant cone, invariant subspace, invariant ideal, invariant set, adjoint operator, $`C^{}`$-algebra, von Neumann algebra  The research of the first author was supported by NSF grant DMS-9970369.

M. Krein proved in \[KR48, Theorem 3.3\] that if $`T`$ is a continuous operator on a normed space leaving invariant a non-empty open cone, then its adjoint $`T^{}`$ has an eigenvector. Krein’s result has an immediate application to the Invariant Subspace Problem because of the following observation. If $`T`$ is a bounded operator on a Banach space and not a multiple of the identity, and $`T^{}f=\lambda f`$, then the kernel of $`f`$ is a closed non-trivial subspace of codimension 1 which is invariant under $`T`$. Moreover, $`\overline{\mathrm{Range}(\lambda IT)}`$ is a closed nontrivial subspace which is proper (it is contained in the kernel of $`f`$) and hyperinvariant for $`T`$, that is, it is invariant under every operator commuting with $`T`$.

Several proofs and modifications of Krein’s theorem appear in the literature, see, e.g., \[AAB92, Theorems 6.3 and 7.1\] and \[S99, p. 315\]. We prove yet another version of Krein’s Theorem: if $`T`$ is a positive operator on an ordered normed space in which the unit ball has a dominating point, then $`T^{}`$ has a positive eigenvector. We deduce the original Krein’s version of the theorem from this, as well as several applications and related results. In particular, we show that if a bounded operator $`T`$ on a Banach space satisfies any of the following conditions, then $`T^{}`$ has an eigenvector. Moreover, if the condition holds for a commutative family of operators, then the family of the adjoint operators has a common eigenvector.

* $`T`$ leaves invariant a cone with an interior point;
* $`T`$ is a positive operator on a $`C^{}`$-algebra;
* $`T`$ is an operator on $`\mathrm{}_1`$ such that entries of its matrix satisfy $`t_{kk}\pm t_{kj}_{ik}|t_{ik}\pm t_{ij}|`$;
* $`T`$ leaves invariant a convex set whose interior is non-void and doesn’t contain zero;
* $`T`$ is a contraction with a fixed point;
* $`T`$ is a positive contraction on a Banach lattice and $`Te>e`$ for some $`e>0`$.

We also show that under the last condition $`T`$ has a closed invariant order ideal. Finally, we prove a non-commutative version of this result for rearrangement invariant operator spaces arising from von Neumann algebras.

Throughout the paper $`X`$ denotes a real or complex normed space, $`X^{}`$ the dual of $`X`$, $`T`$ a bounded linear operator on $`X`$, and $`B_X`$ the closed unit ball of $`X`$.

###### Definition 1.

We call a subset $`K`$ of a normed space $`X`$ a cone if $`K`$ is closed under addition and non-negative scalar multiplication, and there exists a non-zero vector $`xK`$ such that $`xK`$.

Our definition of a cone is a most general one. In the literature such objects are sometimes called wedges, while for a cone it is often assumed in addition that $`xK`$ implies $`xK`$ for every non-zero $`x`$. This additional condition ensures that the relation on $`X`$ defined via “$`xy`$ iff $`yxK`$” is a linear order relation, and, vice versa, every linear order relation defines a cone satisfying this condition, namely, the cone $`X_+`$ of all non-negative elements. We will still use the symbol “$``$”, even though in our case $`x>0`$ and $`x<0`$ may happen simultaneously. However, this does not create any problems, and, naturally, everything we do is still valid for the more restrictive definitions of a cone. See \[KR48\] for a discussion on definitions and properties of cones.

Given a closed cone $`K`$ in a normed space $`X`$, we will call $`X`$ an ordered normed space with respect to the (semi)order relation determined by $`K`$. Notice that $`K`$ coincides with the cone $`X_+`$ of all non-negative elements of $`X`$. A linear operator is said to be positive if $`T(X_+)X_+`$. For $`fX^{}`$ we write $`f0`$ or $`fX_+^{}`$ if $`f(x)0`$ whenever $`x0`$. Clearly, $`X_+^{}`$ is a $`w^{}`$-closed cone in $`X^{}`$. It can be easily verified that if $`T`$ is a positive bounded operator on $`X`$ then $`T^{}`$ is a positive operator on $`X^{}`$, that is, $`T^{}(X_+^{})X_+^{}`$. It is known (see, e.g. \[KR48\]) that if $`K`$ is a closed cone, then $`K`$ and $`K`$ can be (non-strictly) separated by a continuous functional, or, equivalently, there exists a non-trivial positive functional in $`X^{}`$.

###### Lemma 2.

Suppose that $`X`$ is a real normed space and $`eX`$ with $`e=1`$. If $`fX^{}`$ then $`f(e)=f`$ if and only if $`f(x)f(e)`$ for all $`xB_X`$.

###### Proof.

If $`f(e)=f`$ then $`f(x)|f(x)|fx=f(e)`$ whenever $`x=1`$. Conversely, suppose $`f(x)f(e)`$ for all $`x`$ of norm one. Since $`f(x)=f(x)f(e)`$, we have $`|f(x)|f(e)`$, so that $`ff(e)`$. Finally, $`f(e)=|f(e)|f`$. ∎

###### Definition 3.

If $`X`$ is an ordered normed space and $`eB_X`$, we say that $`e`$ dominates the unit ball of $`\mathrm{X}`$ if $`xe`$ for all $`xB_X`$. We write $`B_Xe`$ then.

In this case it follows immediately from Lemma 2 that every positive functional attains its norm on $`e`$. In the proof of the following theorem we use techniques developed in the proof of a special case of Krein’s theorem in \[AAB92, AA02\].

###### Theorem 4.

Suppose that $`X`$ is an ordered real normed space and $`eX`$ such that $`e=1`$ and $`B_Xe`$. If $`T`$ is a positive operator on $`X`$ then $`T^{}`$ has a positive eigenvector. Moreover, if $`\mathrm{\Gamma }`$ is a commutative family of positive operators on $`X`$, then their adjoints have a common positive eigenvector.

###### Proof.

Let $`𝒮=\{fX_+^{}:f(e)=1\}`$. Since $`𝒮=X_+^{}\{fX^{}:f(e)=1\}`$ then $`𝒮`$ is $`w^{}`$-closed. Furthermore, if $`f𝒮`$ then $`f=f(e)=1`$ by Lemma 2, so that $`𝒮B_X`$, hence is $`w^{}`$-compact. For $`T0`$ and $`f𝒮`$ we define

$$F_T(f)=\frac{f+T^{}f}{[f+T^{}f](e)}=\frac{f+T^{}f}{1+(T^{}f)(e)}.$$

Since $`T^{}0`$ then $`F_T(f)0`$. Clearly, $`\left[F_T(f)\right](e)=1`$, so that $`F_T(f)𝒮`$, hence $`F_T:𝒮𝒮`$. It can be easily verified that $`F_T`$ is $`w^{}`$-to-$`w^{}`$-continuous. Indeed, if $`f_\alpha \stackrel{w^{}}{}f`$, then for all $`xX`$ we have

$$\left[F_T(f_\alpha )\right](x)=\frac{f_\alpha (x)+(T^{}f_\alpha )(x)}{1+(T^{}f_\alpha )(e)}\frac{f(x)+(T^{}f)(x)}{1+(T^{}f)(e)}=\left[F_T(f)\right](x)$$

because $`T^{}`$ is $`w^{}`$-to-$`w^{}`$-continuous. By the Fixed Point Theorem there exists $`h𝒮`$ such that $`F_T(h)=h`$, i.e., $`\frac{h+T^{}h}{1+(T^{}h)(e)}=h`$ so that $`T^{}h=\left((T^{}h)(e)\right)h`$, hence $`h`$ is an eigenvector of $`T^{}`$.

Let $`\mathrm{\Gamma }`$ be a commutative family of positive operators on $`X`$. For $`T\mathrm{\Gamma }`$ denote $`A_T`$ the set of the fixed points of $`F_T`$ in $`𝒮`$. It can be easily verified that $`f𝒮`$ belongs to $`A_T`$ if and only if $`f`$ is an eigenvector of $`T^{}`$. Clearly, $`A_T`$ is $`w^{}`$-closed, hence $`w^{}`$-compact. We claim that $`\{A_T\}_{T\mathrm{\Gamma }}`$ has the finite intersection property, this would imply that it has non-empty intersection, and, therefore, the family $`\{T^{}\}_{T\mathrm{\Gamma }}`$ has a common eigenvector in $`𝒮`$. We prove the claim by induction on the size of the set. Suppose that $`_{T\mathrm{\Gamma }_0}A_T\mathrm{}`$ for every $`n`$-element subset $`\mathrm{\Gamma }_0\mathrm{\Gamma }`$. Let $`\mathrm{\Gamma }_0`$ be an $`n`$-element subset of $`\mathrm{\Gamma }`$ and $`S\mathrm{\Gamma }`$, show that $`_{T\mathrm{\Gamma }_0\{S\}}A_T\mathrm{}`$. Pick $`f_{T\mathrm{\Gamma }_0}A_T`$, then for each $`T`$ in $`\mathrm{\Gamma }_0`$ there exists $`\lambda _T0`$ such that $`T^{}f=\lambda _Tf`$. Let $`C_T=\mathrm{ker}(\lambda _TIT^{})𝒮`$, then $`C_T`$ is a convex $`w^{}`$-closed subset of $`A_T`$, hence $`w^{}`$-compact. It follows that $`C=_{T\mathrm{\Gamma }_0}C_T`$ is convex and $`w^{}`$-compact. Furthermore, $`C\mathrm{}`$ as $`fC`$. If $`T\mathrm{\Gamma }_0`$ and $`hC_T`$, then

$$T^{}F_S(h)=\frac{T^{}h+T^{}S^{}h}{1+(S^{}h)(e)}=\frac{\lambda _Th+S^{}(\lambda _Th)}{1+(S^{}h)(e)}=\lambda _TF_S(h),$$

so that $`F_S(h)C_T`$. It follows that $`F_S(C_T)C_T`$, so that $`F_S(C)C`$. The Fixed Point Theorem implies that $`F_S`$ has a fixed point in $`C`$, hence $`A_SC\mathrm{}`$. Since $`C_{T\mathrm{\Gamma }_0}A_T`$, this proves the claim. ∎

###### Theorem 5.

If $`T`$ is a continuous operator on a real normed space, leaving invariant a cone with an interior point, then $`T^{}`$ has a positive eigenvector. Moreover, a commutative collection of such operators has a common positive eigenvector.

###### Proof.

Let $`\mathrm{\Gamma }`$ be a commutative family of bounded operators on $`X`$, $`C`$ a cone in $`X`$ such that $`T(C)C`$ for each $`T\mathrm{\Gamma }`$, and $`e`$ an interior point of $`C`$. Without loss of generality, $`C`$ is closed, $`e>1`$, and $`e+B_XC`$. Let $`C_0`$ be the cone spanned by $`e+B_X`$, that is, $`C_0=\{\alpha (e+x):\alpha 0,x1\}`$. Put $`W=(C_0e)(eC_0)`$. Note that $`e+B_XC_0`$ so that $`B_XC_0e`$. Also, $`B_X=B_XeC_0`$, so that $`B_XW`$. Furthermore, $`W`$ is bounded. Indeed, if $`wW`$ then $`w=\alpha _1(e+x_1)e=e\alpha _2(e+x_2)`$ for some $`\alpha _1,\alpha _2>0`$ and $`x_1,x_2B_X`$. It follows that $`\alpha _1x_1+\alpha _2x_2=\left(2(\alpha _1+\alpha _2)\right)e`$. Thus, $`\left|2(\alpha _1+\alpha _2)\right|e=\alpha _1x_1+\alpha _2x_2\alpha _1+\alpha _2`$. If $`\alpha _1+\alpha _2>2`$ then $`\left((\alpha _1+\alpha _2)2\right)e(\alpha _1+\alpha _2)0`$, so that $`\alpha _1+\alpha _2\frac{2e}{e1}`$. It follows that $`\alpha _1\alpha _1+\alpha _2\mathrm{max}\{2,\frac{2e}{e1}\}`$ Finally, since $`w\alpha _1(e+1)+e`$, it follows that $`W`$ is bounded. Thus, $`W`$ is the unit ball of a norm, which is equivalent to the original norm of $`X`$. In the new norm $`e`$ will be of norm one. Finally, $`e`$ dominates $`W`$ with respect to the order defined by $`C`$. Now apply Theorem 4. ∎

###### Remark 6.

One can easily see that Theorem 5 is equivalent to the original theorem of Krein. Indeed, if $`T`$ leaves invariant a non-empty open cone, then Theorem 5 states that $`T^{}`$ has an eigenvector. Conversely, suppose that $`T`$ leaves invariant a cone with an interior point. Let $`x`$ be an interior point of the cone, then $`f(x+Tx)f(x)>0`$ for every positive functional $`f0`$, so that $`x+Tx`$ is again an interior point of the cone. It follows that $`I+T`$ leaves invariant the interior of the cone, so that $`(I+T)^{}`$ has an eigenvector by Krein’s theorem. This yields the existence of an eigenvector for $`T^{}`$.

Next, we discuss some applications of Theorems 4 and 5.

Recall that an element $`e`$ in a Banach lattice $`E`$ is called a strong unit if for every positive $`xE`$ there exists a natural number $`n`$ such that $`xne`$. It is known (see \[AB85, p. 188\] for details) that a Banach lattice with a strong unit is an AM-space with unit up to an equivalent norm. But in an AM-space the unit dominates the unit ball. Therefore, Theorems 4 yields the following result.

###### Corollary 7.

The adjoint of a positive operator on a Banach lattice with a strong unit has a positive eigenvector.

In particular, the adjoint of a positive operator on a $`C(\mathrm{\Omega })`$ space, where $`\mathrm{\Omega }`$ is a compact Hausdorff space, has a positive eigenvector. A direct proof of this fact can also be found in \[AAB98\].

The case of complex normed spaces can often be reduced to the real case as follows. Suppose that $`X_c`$ is a complexification of a real ordered normed space $`X`$, every element of $`X_c`$ can be written in the form $`x+iy`$ for some $`x,yX`$. If $`T`$ is a positive operator on $`X`$, then its complexification $`T_c:X_cX_c`$ defined by $`T_c(x+iy)=Tx+iTy`$ will be referred as a positive operator on $`X_c`$. Notice that $`T`$ coincides with the restriction of $`T_c`$ to $`X`$. Suppose that $`T^{}f=\lambda f`$ for some $`fX^{}`$ and $`\lambda `$, then we can extend $`f`$ to a continuous linear functional $`f_c`$ on $`X_c`$ via $`f_c(x+iy)=f(x)+if(y)`$. Then $`T_c^{}f_c=\lambda f_c`$. Indeed,

$$\begin{array}{c}[T_c^{}f_c](x+iy)=f_c\left(T_c(x+iy)\right)=f_c(Tx+iTy)=\hfill \\ \hfill f(Tx)+if(Ty)=(T^{}f)(x)+i(T^{}f)(y)=\lambda f(x)+i\lambda f(y)=\lambda f_c(x+iy).\end{array}$$

Thus, Theorems 4 and 5 are applicable to complex normed spaces.

For example, we can apply our technique to positive operators on $`C^{}`$-algebras. A $`C^{}`$-algebra $`𝒜`$ can be viewed as the complexification of the real Banach space $`𝒜_{\mathrm{sa}}`$ of its self-adjoint elements. Recall that a self-adjoint element $`a`$ in $`𝒜`$ is positive if $`\sigma (a)_+`$. If $`𝒜`$ has unit $`e`$ and $`x`$ is a self-adjoint element of $`𝒜`$ such that $`x1`$, then the Spectral Mapping Theorem implies that $`\sigma (ex)[0,2]`$, hence $`xe`$. It follows that $`e`$ dominates the unit ball of $`𝒜_{\mathrm{sa}}`$. Theorem 4 immediately yields the following result.

###### Corollary 8.

If $`T`$ is a positive operator on a unital $`C^{}`$-algebra, then $`T^{}`$ has a positive eigenvector.

Let $`(e_j)_{j=1}^{\mathrm{}}`$ denote the standard unit basis of $`X=\mathrm{}_1`$, while $`(e_i^{})_{i=1}^{\mathrm{}}`$ stands for the dual basis of $`X^{}`$. Recall that every bounded operator $`T`$ on $`\mathrm{}_1`$ can be written as an infinite matrix with entries $`t_{ij}=e_i^{},Te_j`$.

###### Theorem 9.

Suppose that $`T`$ is a bounded operator on $`\mathrm{}_1`$ with matrix $`(t_{ij})`$, and suppose that there exists an index $`k`$ such that

(1)
$$t_{kk}\pm t_{kj}\underset{ik}{}|t_{ik}\pm t_{ij}|$$

for each $`j>1`$. Then $`T^{}`$ has a positive eigenvector.

###### Proof.

Without loss of generality $`k=1`$. Let $`K`$ be the cone spanned by $`e_1+B_X`$. It is easy to see that $`K`$ is spanned by the set $`\{e_1\pm e_i\}_{i=2}^{\mathrm{}}`$. We claim that $`K=\{(x_i):x_1_{i=2}^{\mathrm{}}|x_i|\}`$. Indeed, it is easy to see that the later set is closed under addition and positive scalar multiplication, hence it is a cone. Furthermore, it contains $`e_1\pm e_i`$ for each $`i2`$, so that it contains $`K`$. Finally, if a non-zero sequence $`(x_i)`$ satisfies $`x_1_{i=2}^{\mathrm{}}|x_i|`$ then $`\frac{x}{x_1}e_1B_X`$, so that $`(x_i)`$ is contained in $`K`$.

Clearly, $`e_1`$ dominates the unit ball of $`X`$ with respect to the order induced by $`K`$. The condition $`t_{11}\pm t_{1j}_{i=2}^{\mathrm{}}|t_{i1}\pm t_{ij}|`$ means that

$$T(e_1\pm e_2)=Te_1\pm Te_j=(\text{the 1st column of }T)\pm (\text{the }j\text{-th column of }T)K$$

for every $`j2`$, it follows that $`T(K)K`$. Theorem 4 finishes the proof. ∎

###### Example 10.

Let $`K`$ be as in the preceding proof, and let $`𝒞`$ be the set of all operators on $`\mathrm{}_1`$ preserving $`K`$. Clearly, the adjoint of every operator in $`𝒞`$ has an eigenvector. By construction, $`𝒞`$ is itself a cone and a multiplicative semi-group in $`(\mathrm{}_1)`$. It is easy to see that $`𝒞`$ is closed in the strong operator topology (and, being a convex set, it is also closed in the weak operator topology). Finally, we claim that $`𝒞`$ has non-empty interior with respect to the norm topology of $`(\mathrm{}_1)`$. For example, put $`S=(s_{ij})`$ such that $`s_{ij}`$ equals 1 if $`i=j=1`$ and 0 otherwise. We claim that $`S`$ is an interior point of $`𝒞`$. Indeed, suppose that $`R=(r_{ij})`$ such that $`R<\frac{1}{5}`$, and let $`T=S+R`$. Show that $`T𝒞`$. Note that $`_{i=1}^{\mathrm{}}|r_{ij}|=Re_j<\frac{1}{5}`$ for every $`j1`$. It follows that $`t_{11}\pm t_{1j}=1+r_{11}\pm r_{1j}1\frac{1}{5}\frac{1}{5}=\frac{3}{5}`$ for every $`j>1`$. On the other hand,

$$\underset{i=2}{\overset{\mathrm{}}{}}|t_{i1}\pm t_{ij}|=\underset{i=2}{\overset{\mathrm{}}{}}|r_{i1}\pm r_{ij}|\underset{i=2}{\overset{\mathrm{}}{}}|r_{i1}|+\underset{i=2}{\overset{\mathrm{}}{}}|r_{ij}|<\frac{2}{5}.$$

Hence, $`T`$ satisfies (1) and, therefore, $`T𝒞`$.

###### Corollary 11.

If $`T`$ is an operator on a real Banach space leaving invariant a convex set whose interior is non-void and doesn’t contain zero, then then $`T^{}`$ has an eigenvector. Moreover, a commutative collection of such operators has a common eigenvector.

###### Proof.

Apply Theorem 5 to the cone generated by the invariant set. ∎

Krein’s theorem gives a natural insight and provides a simple solution to Exercise VII.5.10 of \[DS58\], even though at the first glance the statement seems to have no connection to order structures.

###### Proposition 12 (\[DS58, Exercise VII.5.10\]).

If $`T=1`$ and $`T`$ has a non-zero fixed point, then $`T^{}`$ has an eigenvector.

###### Proof.

Suppose that $`T=1`$ and $`Te=e`$ for some $`e`$ of norm one. Then the set $`e+B_X`$ is invariant under $`T`$, so it the cone generated by this set. Clearly, this cone is proper and has non-void interior. Now apply Theorem 5. ∎

This approach can be generalized as follows.

###### Definition 13.

If $`X`$ is an ordered normed space, we say that it has monotone norm if $`0xy`$ implies $`xy`$.

###### Theorem 14.

Suppose that $`T`$ is a positive operator on an ordered normed space with monotone norm such that $`T=1`$ and $`Tee`$ for some $`e>0`$. Then $`T^{}`$ has a positive eigenvector.

###### Proof.

Without loss of generality we can assume $`e=1`$. Since the norm is monotone, we have $`(e+X_+)B_X^{}=\mathrm{}`$, where $`B_X^{}`$ stands for the open unit ball of $`X`$. Hence, $`X_+(B_X^{}e)=\mathrm{}`$, so that the two sets can be separated by a positive functional $`f`$. Then $`f`$ is non-negative on $`eB_X`$. Let $`K`$ be the closed cone generated by $`X_+`$ and $`eB_X`$. Since $`f`$ is non-negative on $`K`$, it is, indeed, a proper cone.

If $`xB_X`$ then $`exK`$, so that $`e`$ dominates $`B_X`$ in the (semi)order induced on $`X`$ by $`K`$. It is given that $`T(X_+)X_+K`$. Furthermore, if $`xB_X`$ then $`TxB_X`$, and we have $`T(ex)=(Tee)+(eTx)X_++(eB_X)K`$, so that $`T(eB_X)K`$. It follows that $`T(K)K`$. Now apply Theorem 4 to the order induced by $`K`$. ∎

Notice that the condition $`T=1`$ in Theorem 14 cannot be dropped. Indeed, for any $`\alpha >1`$, let $`T`$ be $`\alpha `$ times the left shift on $`\mathrm{}_p`$, $`1p<\mathrm{}`$, that is, $`T(x_1,x_2,x_3,\mathrm{})=(\alpha x_2,\alpha x_3,\mathrm{})`$. Then $`T=\alpha `$ and $`(1,\alpha ^1,\alpha ^2,\mathrm{})`$ is a fixed point of $`T`$. Nevertheless, $`T^{}`$ clearly has no eigenvectors.

It follows immediately that under the hypothesis of Theorem 14 the operator $`T`$ has an invariant subspace of co-dimension one. In fact, there is a closed face of the positive cone of $`X`$ which is invariant under $`T`$. Recall that $`EX_+`$ ($`X_+`$ is the positive cone of $`X`$) is called a face of $`X_+`$ if $`E`$ is itself a closed cone, and, for $`x_1,x_2X_+`$, $`x_1+x_2E`$ implies $`x_1,x_2E`$. One can easily see that a closed cone $`EX_+`$ is a face of $`X_+`$ iff it is hereditary, that is, $`xE`$ whenever $`0xy`$ and $`yE`$.

###### Theorem 15.

Suppose that $`X`$ is an ordered normed space with monotone norm and $`T`$ is a positive operator on a $`X`$ such that $`T=1`$ and $`Te>e`$ for some $`e>0`$. Then there exists a non-trivial closed face $`E`$ of the positive cone of $`X`$ which is invariant under $`T`$. Moreover, if $`X`$ is a Banach lattice then $`EE`$ is closed non-trivial ideal in $`X`$, invariant under $`T`$.

###### Proof.

Without loss of generality $`e=1`$. Let

$$E=\{x0:\underset{\alpha 0^+}{lim}(e+\alpha x1)/\alpha =0\}.$$

Note that if $`xE`$ and $`0yx`$ then $`yE`$. Note also that $`E`$ is non-trivial as the positive vector $`TeeE`$ because, for $`\alpha (0,1)`$,

$$1=ee+\alpha (Tee)(1\alpha )e+\alpha Te(1\alpha )e+\alpha Te=1.$$

Furthermore, $`E`$ is $`T`$-invariant. Indeed, suppose $`\alpha >0`$ and $`xE`$. Then

$$e+\alpha TxTe+\alpha Txe+\alpha x.$$

Therefore,

$$\underset{\alpha 0^+}{lim}(e+\alpha Tx1)/\alpha \underset{\alpha 0^+}{lim}(e+\alpha x1)/\alpha =0.$$

It is easy to see that $`E`$ is a cone. Indeed, if $`x,yE`$, then $`cxE`$ for $`c>0`$, and

$$e+\alpha (x+y)/21\frac{1}{2}\left((e+\alpha x1)+(e+\alpha y1)\right)=o(\alpha )$$

as $`\alpha `$ approaches $`0`$. Thus, $`x+yE`$.

To show that $`E`$ is closed, suppose $`x_i`$ is a sequence of positive elements in $`E`$, converging to $`x`$ in norm. We shall show that $`xE`$. Fix $`\epsilon >0`$. It suffices to prove that, whenever $`\alpha >0`$ is sufficiently small, the inequality $`e+\alpha x1+\epsilon \alpha `$ is satisfied. Find $`i`$ for which $`xx_i<\epsilon /2`$. There exists $`\alpha _0`$ such that $`e+\alpha x_i1+\epsilon \alpha /2`$ whenever $`0<\alpha <\alpha _0`$. Thus, for $`\alpha (0,\alpha _0)`$,

$$e+\alpha xe+\alpha x_i+\alpha xx_i(1+\epsilon \alpha /2)+\epsilon \alpha /2=1+\epsilon \alpha .$$

Finally, $`eE`$, hence $`E`$ is a non-trivial face of the positive cone of $`X`$.

Next, suppose that $`X`$ is a Banach lattice, and put $`F=EE`$. Clearly, $`F`$ is an order ideal, that is, $`F`$ is a linear subspace such that $`xF`$ and $`|y||x|`$ imply $`yF`$. Show that $`F`$ is closed. Suppose $`z\overline{F}`$, and $`(x_i)`$, $`(y_i)`$ are sequences in $`E`$ such that $`lim_iz(x_iy_i)=0`$. Then $`lim_iz_+(x_iy_i)_+=0`$. Let $`a_i=(x_iy_i)_+z_+`$. By the above, $`lim_ia_iz_+=0`$. Note that

$$0a_i(x_iy_i)_+|x_i|+|y_i|E,$$

hence $`a_iE`$. But $`E`$ is closed, thus $`z_+E`$. Similarly, $`z_{}E`$, and therefore, $`zF`$.

Finally we prove that $`F`$ is non-trivial. More precisely, we show that $`eF`$. Indeed, suppose there exist $`x,yE`$ such that $`e(xy)\frac{1}{3}`$. Then $`(xy)_+|x|+|y|E`$, so $`(xy)_+E`$. Pick $`\alpha >0`$ for which $`e+\alpha (xy)_+1+\alpha /3`$. Then

$$\begin{array}{c}1+\alpha =e+\alpha e=e+\alpha (xy)_++\alpha \left(e(xy)_+\right)\hfill \\ \hfill e+\alpha (xy)_++\alpha e(xy)_+1+\alpha /3+\alpha e(xy)=1+\frac{2\alpha }{3},\end{array}$$

contradiction. ∎

Similar results hold for rearrangement invariant operator spaces, arising from von Neumann algebras. For the benefit of the reader, we give a brief introduction into this natural non-commutative generalization of Banach lattices.

Suppose $`N`$ is a von Neumann algebra on a Hilbert space $`H`$, equipped with a faithful normal semifinite trace $`\tau `$. Following \[N74\], we say that a closed, densely defined linear operator $`x`$ on $`H`$ is affiliated with $`\mathrm{N}`$ if $`u^{}xu=x`$ for every unitary $`uN^{}`$ (the commutant of $`N`$). An operator $`x`$ is called $`\tau `$-measurable if for every $`\epsilon >0`$ there exists a (self-adjoint) projection $`pN`$ such that $`p(H)D(x)`$ and $`\tau (1p)<\epsilon `$ ($`1`$ is the identity in $`N`$). The set of all $`\tau `$-measurable operators is denoted by $`\stackrel{~}{N}`$.

Following \[FK86\], we introduce for $`x\stackrel{~}{N}`$ the generalized eigenvalue function $`\mu (,x):[0,\mathrm{})[0,\mathrm{})`$, defined by

$$\mu (t,x)=inf\{s0:\tau (\chi _{(s,\mathrm{})}(|x|))t\}.$$

Equivalently (see \[FK86\]), we have

$$\mu (t,x)=inf\{xp:pNaprojection,\tau (1p)t\}.$$

Following \[DDdP93\], we call a linear manifold $`G\stackrel{~}{N}`$, equipped with the norm $``$, a (normed) rearrangement invariant operator space (r.i.o.s., in short) if whenever $`xG`$, $`y\stackrel{~}{N}`$, and $`\mu (t,y)\mu (t,x)`$ for every $`t`$, then $`yG`$ and $`yx`$. $`E`$ is called symmetric if, in addition, $`yx`$ whenever

$$_0^a\mu (t,y)𝑑t_0^a\mu (t,x)𝑑t$$

for every $`a>0`$.

To underscore the connections between r.i.o.s. and Banach lattices, consider the commutative case of $`N=L_{\mathrm{}}(I)`$, where $`I`$ is an interval $`(0,a)`$ ($`a(0,\mathrm{}]`$). By Proposition 2.a.8 of \[LT79\], any r.i.o.s. $`G`$ which satisfies

$`()`$
$$L_1(I)L_{\mathrm{}}(I)EL_1(I)+L_{\mathrm{}}(I)$$

is symmetric. We say that $`G`$ has the Fatou property if, whenever $`fG`$, $`(f_n)`$ is a sequence of non-negative elements of $`G`$, and $`f_n(\omega )f(\omega )`$, then $`f_nf`$.

Suppose $`N`$ is a von Neumann algebra with a normal faithful semifinite trace $`\tau `$, and $`G`$ is as in the previous paragraph (with $`I=(0,\tau (1))`$). Following \[DDdP93\], we define the space $`G(N)=\{x\stackrel{~}{N}|\mu (,x)G\}`$, equipped with the norm $`x_{G(N)}=\mu (,x)_G`$. If $`G`$ satisfies (\*), then $`NN_{}G(N)N+N_{}`$. We identify $`L_{\mathrm{}}(N)`$ with $`N`$ itself, and $`L_1(N)`$ with $`N_{}`$ (the predual of $`N`$). If, in addition, $`G`$ has Fatou property, then $`G(N)`$ is norm closed (see Proposition 1.7 and Corollary 2.4 of \[DDdP93\]).

If $`GN+N_{}`$ is a r.i.o.s., we denote by $`G_+`$ the set of positive elements in $`G`$, i.e. $`G\stackrel{~}{N}_+`$. Then every self-adjoint element in $`G`$ can be represented as a difference of two positive ones (see \[DDdP89\] and \[DDdP93\]). Moreover, every element $`xG`$ can be written as $`x=x_1x_2+i(x_3x_4)`$, with $`x_jG_+`$. Finally, the trace $`\tau `$ extends naturally to $`(N+N_{})_+`$ by setting $`\tau (x)=_0^{\mathrm{}}\mu (t,x)𝑑t`$ for $`x0`$.

###### Theorem 16.

Suppose $`N`$ is a von Neumann algebra with a faithful normal semifinite trace $`\tau `$, $`G`$ is a norm closed symmetric rearrangement invariant subspace of $`\stackrel{~}{N}`$ satisfying $`NN_{}GN+N_{}`$, and $`T:GG`$ is a positive contraction such that $`Te>e`$ for some positive $`eG`$. Then $`T`$ has an invariant non-trivial face $`E`$ of the positive cone of $`G`$ Moreover, $`\overline{EE}`$ is a non-trivial closed subspace of $`G`$, invariant under $`T`$.

To prove the theorem, we need to collect some facts related to conditional expectations on von Neumann algebras. Suppose $`N`$ is a von Neumann algebra equipped with a normal faithful semifinite trace $`\tau `$, and $`M`$ is a Neumann subalgebra of $`N`$ s.t. the restriction of $`\tau `$ to $`M`$ is semifinite. Then (see Proposition V.2.36 of \[T79\]) there exists a positive contractive projection $`\mathrm{\Phi }`$ from $`N`$ onto $`M`$ s.t. $`\mathrm{\Phi }(abc)=a\mathrm{\Phi }(b)c`$ and $`\tau (\mathrm{\Phi }(ab))=\tau (a\mathrm{\Phi }(b))`$ whenever $`a,cN_{}`$ and $`bN`$. Moreover, it follows from the proof that, for any $`xNN_{}`$, $`\mathrm{\Phi }(x)MM_{}`$ and $`\mathrm{\Phi }(x)_M_{}x_N_{}`$. Since $`NN_{}`$ (or $`MM_{}`$) is dense in $`N_{}`$ (respectively, $`M_{}`$), $`\mathrm{\Phi }`$ can be extended to a contraction from $`N_{}`$ to $`M_{}`$. Thus, $`\mathrm{\Phi }`$ can be thought of as an operator from $`N+N_{}`$ to $`M+M_{}`$ respectively, which maps $`N`$ to $`M`$ and $`N_{}`$ to $`M_{}`$ contractively.

###### Lemma 17.

Suppose $`N`$, $`M`$ and $`\tau `$ are as above, and $`G`$ is a symmetric r.i.o.s. with $`NN_{}GN+N_{}`$. Then $`\mathrm{\Phi }`$ maps $`G`$ into $`G\stackrel{~}{M}`$, and $`\mathrm{\Phi }(x)_Gx_G`$ for any $`xG`$.

###### Proof.

As noted above, $`\mathrm{\Phi }`$ acts contractively from $`N`$ to $`M`$ and from $`N_{}`$ to $`M_{}`$. For $`xG`$ we have, by Theorem 4.7 of \[DDdP93\], $`_0^a\mu (t,\mathrm{\Phi }(x))𝑑t`$ $`_0^a\mu (t,x)𝑑t`$ for any $`a>0`$. Thus, $`\mathrm{\Phi }(x)G`$, and $`\mathrm{\Phi }(x)x`$. ∎

###### Proof of Theorem 16.

Suppose $`eG_+`$, $`e=1`$, and $`T:GG`$ is a positive operator s.t. $`Te>e`$. Let

$$E=\{x0:\underset{\alpha 0^+}{lim}(e+\alpha x1)/\alpha =0\}.$$

As in the proof of Theorem 15, we can show that $`E`$ is a closed non-trivial face of $`G_+`$ ($`E`$ is non-empty, and $`eE`$). Moreover, $`E`$ is invariant under $`T`$. Therefore the closed linear span of $`E`$ is invariant under $`T`$. It remains to show that $`e`$ does not belong to the closed linear span of $`E`$. It suffices to show that, whenever $`x_1,x_2E`$, we have $`e+x_1x_21/6`$.

First suppose that either $`\tau (1)<\mathrm{}`$, or $`lim_t\mathrm{}\mu (t,e)=0`$. Then there exists a commutative von Neumann algebra $`M`$ s.t. $`e\stackrel{~}{M}`$ and the restriction of $`\tau `$ to $`M`$ is semifinite. Indeed, if $`\tau (1)<\mathrm{}`$, we can consider the von Neumann algebra generated by projections $`\chi _{(a,\mathrm{})}(e)`$, where $`a>0`$. If $`lim_t\mathrm{}\mu (t,e)=0`$, observe that $`\tau (\chi _{(a,\mathrm{})}(e))<\mathrm{}`$ for any $`a>0`$, and let $`p=sup_{a>0}\chi _{(a,\mathrm{})}(e)`$. Use Zorn’s lemma to find mutually orthogonal projections $`(p_i)N`$ s.t. $`\tau (p_i)<\mathrm{}`$ and $`_ip_i=1p`$. Then let $`M`$ be the von Neumann algebra generated by projections $`\chi _{(a,\mathrm{})}(e)`$ and $`p_i`$. Clearly $`M`$ satisfies our conditions.

Let $`\mathrm{\Phi }`$ be the conditional expectation from $`N`$ onto $`M`$. By Lemma 17, $`\mathrm{\Phi }`$ acts as a contraction from $`G`$ to $`G_1=G\stackrel{~}{M}`$. Then $`G_1`$ can be regarded as a Banach lattice. Let

$$E_1=\{xG_1:x0,\underset{\alpha 0^+}{lim}(e+\alpha x1)/\alpha =0\}.$$

As in the proof of Theorem 15, $`e+xy1/3`$ whenever $`x,yE_1`$. However, $`\mathrm{\Phi }(E)E_1`$, and therefore

$$e+xye+\mathrm{\Phi }(x)\mathrm{\Phi }(y)\frac{1}{3}$$

whenever $`x,yE`$.

The case of $`a=lim_t\mathrm{}\mu (t,e)>0`$ is more complicated. Note that $`a1_Ge=1`$, hence $`x_Gx_N1_Gx_N/a`$ for any $`xN`$. Let $`k=6/a`$, $`p_i=\chi _{[ia/k,(i+1)a/k)}(e)`$ for $`0ik1`$, $`p_k=\chi _{[(k1)a/k,a]}(e)`$, and $`e_1=\chi _{(a,\mathrm{})}(e)e+_{i=1}^k\frac{i}{k}ap_i`$. Then $`ee_1`$, $`ee_1N`$, and

$$ee_1_Gee_1_N/a1/6.$$

By definition, $`\mu (t,e)=\mu (t,e_1)`$ for any $`t`$. Moreover, a projection $`p_i`$ can be represented as $`p_i=_jq_{ij}`$, where projections $`q_{ij}`$ are mutually orthogonal and $`\tau (q_{ij})<\mathrm{}`$. Note also that $`\tau (\chi _{(b,\mathrm{})}(e))<\mathrm{}`$ whenever $`b>a`$, and $`\chi _{(a,\mathrm{})}(e)=sup_{b>a}\chi _{(b,\mathrm{})}(e)`$. Consider the (commutative) von Neumann algebra $`M`$, generated by projections $`q_{ij}`$ and $`\chi _{(b,\mathrm{})}(e)`$ ($`b>a`$). Then $`e_1G_1=G\stackrel{~}{M}`$. Let

$$E_1=\{xG_1:x0,\underset{\alpha 0^+}{lim}(e_1+\alpha x1)/\alpha =0\}.$$

As above, we show that $`e_1+xy1/3`$ if $`x,yE_1`$. However, $`\mathrm{\Phi }(e)e_1`$ (since $`\mathrm{\Phi }`$ is positive), and therefore, $`e_1+\mathrm{\Phi }(x)e+x`$ for any $`xG`$. Thus, $`\mathrm{\Phi }(E)E_1`$ and, for any $`x,yE`$, we have

$$e+xy\mathrm{\Phi }(e)+\mathrm{\Phi }(x)\mathrm{\Phi }(y)e_1+\mathrm{\Phi }(x)\mathrm{\Phi }(y)ee_1\frac{1}{3}\frac{1}{6}.$$

The proof is complete. ∎

Thanks are due to Y.A. Abramovich and C.D. Aliprantis for their interest in the work and useful suggestions. The authors would like to thank the organizers of the workshop in Linear Analysis in College Station in 2001 where much of the work on this paper was done. The authors also thank the Department of Mathematics of the University of Texas at Austin for its hospitality and support.


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# ADP-02-89/T528 FLIC Overlap Fermions

## 1 Introduction

Overlap fermions  are a realisation of chiral symmetry on the lattice. Given some reasonable Hermitian-Dirac operator $`H`$, we can deform $`H`$ into a chiral action through the overlap formalism,

$$D_o=\frac{1}{2}\left(1+\gamma _5ϵ(H)\right),ϵ(H)=\frac{H}{\sqrt{H^2}}.$$
(1)
Unfortunately, the matrix sign function $`ϵ(H)`$ is difficult to evaluate and is typically approximated by a sum over poles  which can be evaluated using a multi-shift conjugate gradient (CG) solver . This is an iterative approximation where the number of iterations for a given accuracy increases with the condition number of the kernel, $`\kappa (H)=|\lambda _{\mathrm{max}}/\lambda _{\mathrm{min}}|`$.

Usually the Hermitian Wilson-Dirac operator is used as the overlap kernel. Its low-lying spectrum is characterised by a handful of isolated eigenmodes which can be very small, increasing the condition number, $`\kappa `$, unacceptably. These eigenmodes can be projected out of the basic operator, reducing its condition number to a numerically acceptable level, and then dealt with explicitly . Unfortunately, as the spectrum rapidly becomes dense, projecting out low-lying modes can only help one so far.

An alternative is to use a kernel with an improved spectrum, that is, where the region of dense modes is shifted away from zero. The FLIC (Fat Link Irrelevant Clover)  action possesses this property.

## 2 Spectral Flow and Condition Number

Spectral flow diagrams give us a good comparison of the two different kernels, FLIC and Wilson, as they allow us to see directly the difference in the qualitative structure of the low-lying spectra of the two actions . Figure 1 displays the flow of the lowest 15 eigenvalues as a function of $`m`$ for an ensemble of 10 mean-field improved Symanzik configurations at $`\beta =4.60`$ and size $`12^3\times 24`$, with $`a=0.122(2)`$. As we are interested in the magnitude of the low-lying values rather than their sign, we illustrate $`|\lambda |`$ vs $`m`$.

We see the Wilson spectrum is very poor, with a high density of very small eigenmodes and no gap away from zero. By contrast, the FLIC action (which has a clover term, and irrelevant operators constructed from four-sweep APE-smeared links) possesses a spectrum which is clearly superior to that of the Wilson. Not only has the density of very small modes been significantly reduced, the region where the spectrum becomes dense has been shifted much further away from zero.

This improvement in the spectrum results in the FLIC action being much better conditioned than the Wilson action. In Figure 2 we examine the condition number, $`\kappa `$, of the two actions as a function of $`m`$. The condition number is calculated after having projected out the lowest 15 eigenmodes on the 2 lattices that are shown. The finer lattice is the same as the one used in the spectral flow plots, and the coarser lattice uses the same gluonic action, but is an $`8^3\times 16`$ lattice at $`\beta =4.38`$, corresponding to a lattice spacing of a=0.165(2). The points are the mean condition numbers across the ensembles, and the error bars indicate the minimum and maximum condition numbers, giving an idea of the variation in $`\kappa `$.

## 3 Gluonic Action

There have been suggestions to accelerate the computation of the sign function by using non-pertubatively improved gauge actions . Our results are based on Symanzik improved gauge configurations and further improvements arising from the use of the FLIC action are in addition to that of using improved gluon-field configurations. This is verified by performing a similar analysis on gluonic configurations using a Monte-Carlo Renormalisation Group improved action. Some preliminary results of this investigation using DBW2 glue  are displayed in Figure 2, with a full report given elsewhere . We note that at a fixed lattice spacing, DBW2 glue improves the condition number for both actions, although the effect is much more pronounced for the Wilson action.

## 4 Compute Time

Saving iterations (by reducing the condition number) does not necessarily reduce the most important quantity, compute time. Shifting from a standard Wilson action to a partially smeared action means that we now have two sets of gauge fields, the standard and smeared links. Additionally, the standard spin-projection trick is no longer applicable, possibly providing an additional factor of two in compute time needed. However, it can be shown that the spin projection trick can be generalised to include partially smeared actions as well . This results in paying at most a single factor of two compute-time for a FLIC-fermion matrix-vector multiplication. As there is significant additional expense in the evaluation of the overlap sign function, we get to keep the majority of the speedup gained by reducing the number of iterations . This results in FLIC-Overlap fermions being approximately twice as fast as the standard Wilson-kernel formulation.

## 5 Physical Results

Regardless of the kernel used, all overlap fermions are free from $`O(a)`$ errors. However, different kernels may in general produce actions which differ at $`O(a^2)`$. As a first investigation into this matter, we have calculated the quark propagator in momentum space using FLIC-Overlap fermions, essentially performing the same calculation that has been done earlier with the standard overlap action . The chirally extrapolated mass function is shown in Figure 3, with a full report given elsewhere .

## 6 Conclusion

In the overlap formalism one is free to choose the argument of the sign function, the overlap kernel, so long as one uses a reasonable Dirac operator. The standard kernel choice is the Wilson action. By choosing the FLIC action, one can obtain a significant reduction in the compute time needed for overlap fermions. We have reviewed the work that has been done to date using FLIC Overlap fermions, including some preliminary results into the physical structure of the quark propagator.


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# The detection of variability from the candidate IR counterpart to the Anomalous X–ray Pulsar 1E 1048.1-5937The results reported in this Letter are partially based on observations carried out at ESO, La Silla, Chile (66.D-0440 and 68.D-0350).

## 1 INTRODUCTION

After more than 20 years since the discovery of X–ray pulsations from the prototype source 1E 2259$`+`$586, the current observational properties of AXPs are not yet conclusive to unambiguously assess their nature. There are currently five confirmed members of the AXP class plus two candidates. Although we can be reasonably confident that AXPs are magnetic rotating neutron stars (NSs), their energy production mechanism is still uncertain. It is also unclear whether they are solitary objects (either low magnetised or magnetars) or are in binary systems with very low mass companions (for a review see Israel et al. 2002; Mereghetti et al 2002 and references therein). Different production mechanisms for the observed X–ray emission have been proposed, involving either accretion or the dissipation of magnetic energy. The recent detection of X–ray bursts from 1E 2259$`+`$586 and 1E 1048.1$``$5937 has strengthened the possible connection of AXPs with Soft Gamma–ray Repeaters (SGRs; Kaspi & Gavriil 2002; Gavriil et al. 2002). Moreover the detection of relatively large pulsed fraction pulsations in the optical flux of 4U 0142$`+`$614 (at the same period of X–ray pulses) seems to rule out the X–ray reprocessing and favors models based on isolated NSs (Kern & Martin 2002). The magnetar model, originally proposed by Thompson & Duncan (1993) to explain the properties of SGRs, appears currently to be fairly succesful at interpreting these properties of AXPs.

As done in the past in the case of High and Low Mass X–ray binary system (HMXBs and LMXBs), finding the optical/IR counterparts to AXPs might give the key to definitively assess the nature and the emission mechanisms of AXPs. The lack of any known distinctive property of AXPs in the optical/IR bands, makes the X–ray positional accuracy at the (sub)arcsec level a fundamental preliminary step to carry out very deep searches for potential optical/IR counterparts. Moreover a high X–ray spatial resolution can be exploited to search for small scale diffuse emission or the presence of structures in the vicinity of the sources.

1E 1048.1$``$5937 has been extensively studied in the X–ray band since its discovery in 1979 (Seward et al. 1986). Previous searches for an optical counterpart gave negative results (Seward et al. 1986; Mereghetti et al. 1992; Wang & Chakrabarty 2002a). Recently, a relatively faint IR counterpart ($`J`$=21.7; $`J`$$`Ks`$=2.3) to 1E 1048.1$``$5937, with unusual IR colors, has been proposed (Wang & Chakrabarty 2002b; hereafter WC02).

In this paper we report on the early results obtained for 1E 1048.1$``$5937 as a part of a joint ESO/Chandra large project aimed at the identification and study of the optical/IR counterparts of AXPs in the southern sky, and the study of the spatial distribution of X–ray emission from AXPs (results concerning Chandra observations of 1RXS J170849$``$400910 and AX J1844$``$0258 will be reported elsewhere).

## 2 Chandra OBSERVATIONS

The field including the X–ray position of 1E 1048.1$``$5937 was observed during Chandra Cycle 2. Previously determined positions of the source had limited accuracy; 15″ for EXOSAT (Mereghetti et al. 1992) and $``$4″ for XMM–Newton (Tiengo et al. 2002). The source was observed with the High Resolution Imager (HRC–I; Zombeck et al. 1995) in order to obtain the most accurate X–ray position. 1E 1048.1$``$5937 was observed with Chandra on 2001 July 4 for an effective exposure time of 9870 s. Data were reduced with CIAO version 2.2 and analysed with standard software packages for X–ray data (CIAO, XIMAGE, XRONOS, etc.). The observation was carried out with a nominal aspect solution and latest calibration files were used. Four different detection algorithms were used: the CIAO wavdetect and celldetect tool, the XIMAGE sliding cell, and the wavelet–based pwdetect software developed and optimised for Chandra images (Damiani et al. 1997). Based on a statistical study performed on several point–like sources detected within the field of view of public HRC–I archival data with known optical counterparts, we found a difference up to 0$`\stackrel{}{\mathrm{.}}`$2 in coordinates among the four different detection methods. In the following, we refer to the coordinates obtained with the latter method (we assumed that differences in the coordinates among the four methods are purely statistical).

Only one source was detected in the HRC–I. This has the following coordinates: R.A. = 10h50m07$`\stackrel{\mathrm{s}}{\mathrm{.}}`$12, DEC. = –59°53′21$`\stackrel{}{\mathrm{.}}`$37 (equinox J2000), with an uncertainty circle radius of 0$`\stackrel{}{\mathrm{.}}`$7 (90% confidence level). Note that the Chandra position is not consistent with that obtained with XMM–Newton (Tiengo et al. 2001; R.A. = 10h50m06$`\stackrel{\mathrm{s}}{\mathrm{.}}`$3, DEC. = –59°53′17″; equinox J2000, 90% confidence level circle radius of 4″). However, inspection of the attitude data during the XMM–Newton observation, showed that an error radius of about 9″ is likely more realistic (Tiengo 2002, private communication). Photon arrival times were extracted from a circular region centered on the previous reported position with a radius of 1$`\stackrel{}{\mathrm{.}}`$5, including more than 90% of the source photons. These were corrected to the barycenter of the solar system and timing analysis applied (CIAO fxbary tool). A coherent pulsation at a period of 6.4529$`\pm `$0.0001 s was detected confirming that the detected source is indeed the AXP 1E 1048.1$``$5937. The latter value falls within the expected period interval extrapolated from the more accurate timing analysis obtained from a long-term RXTE monitoring program of 1E 1048.1$``$5937 (Kaspi et al. 2001; we assumed the maximum and minimum Ṗ reported in their Table 1).

One of the aims of the Chandra HRC–I observations of AXPs, was to study the radial profile of the X–ray emission from the AXPs with the unprecedented spatial resolution offered by the HRC–I. Figure 1 shows the spatial profile we obtained for the (background subtracted) X–ray emission from a region of 7″ radius centered on the above reported source position. The radial profile is in good agreement with the expected Chandra point spread function (solid line simulated with MARX; Wise et al. 1997).

## 3 ESO OBSERVATIONS

Over the last two years we carried out deep optical and IR observations of the field including the original Einstein position of 1E 1048.1$``$5937. These data were obtained from the 3.5-m New Technology Telescope (NTT, La Silla, Chile) equipped with the SUperb Seeing Imager-2 (SUSI2; 2 CCDs of 2048$`\times `$4096 pixels; pixel scale of 0$`\stackrel{}{\mathrm{.}}`$16 and 5.5′$`\times `$5.5′ field of view) in the optical band, and with Son OF Isaac (SOFI; Hawaii HgCdTe 1024$`\times `$1024 array; 0$`\stackrel{}{\mathrm{.}}`$292 pixel scale and 4.9′$`\times `$4.9′ field of view) in the near–IR band.

Optical Johnson filter deep images ($`BVRI`$) were first carried out with SUSI2 in service mode on 2001 March 20 with the following effective exposure times: 2700 s ($`B`$), 4350 s ($`V`$), 2400 s ($`R`$) and 3400 s ($`I`$). Weather conditions were good with seeing of about 1″. Standard reduction packages were applied to the optical data (DAOPHOT II; Stetson 1987) to obtain the photometry of each stellar object in the images. Limiting magnitudes of 25.5 ($`B`$), 25.5 ($`V`$), 24.5 ($`R`$) and 23.5 ($`I`$) were reached.

$`JH`$ images were initially carried out with SOFI in service mode on 2001 May 29; 2700 s (each filter) of effective exposure time. Unfortunately, during observations clouds were present and the seeing was poor (1″–1$`\stackrel{}{\mathrm{.}}`$5) yielding a limiting magnitude (3$`\sigma `$ confidence level) of 22.5 ($`J`$) and 21 ($`H`$). SOFI $`JHKs`$ images were obtained with better weather (photometric) and seeing (0$`\stackrel{}{\mathrm{.}}`$6) conditions on 2002 February 19. Final exposure times were of 3600 s ($`J`$), 4200 s ($`H`$) and 4800 s ($`Ks`$). Single 10 s-long exposure images were taken for each filter (5 s-long in $`Ks`$) with offsets of 40″ in order to sample and subtract the variable IR background. Standard IR software packages were used for sky frame subtraction and image coaddition (Eclipse and IRDR; Devillard 1997 and Sabbey et al. 2001). During the latter run limiting magnitudes of $`J`$$``$23, $`H`$$``$21.5, and $`Ks`$$``$20.7 were reached.

To register the Chandra coordinates of 1E 1048.1$``$5937 on our optical/IR images, we computed the image astrometry using as reference the positions of stars selected from the USNO–A2.0 catalog which has an intrinsic absolute accuracy better than 0$`\stackrel{}{\mathrm{.}}`$25 (depending on magnitude and sky position of reference stars; Assafin et al. 2001). About 40 objects with magnitudes brighter than R=14 were identified in the optical and IR images and

used for astrometric calibrators. The pixel coordinates of the reference stars were computed by a two dimensional Gaussian fitting procedure and transformation from pixel to sky coordinates was then computed using the Graphical Astronomy and Image Analysis Tool (GAIA.111See http://star-www.dur.ac.uk/$``$pdraper/gaia/gaia.html). After taking into account the uncertainties of the source X–ray coordinates (0$`\stackrel{}{\mathrm{.}}`$7), the rms error of our astrometry (0$`\stackrel{}{\mathrm{.}}`$15) and the propagation of the intrinsic absolute uncertainties on the USNO–A2.0 coordinates (0$`\stackrel{}{\mathrm{.}}`$25), we estimated the final accuracy to be attached to the 1E 1048.1$``$5937 position as about 0$`\stackrel{}{\mathrm{.}}`$8. Figure 2 shows a region of 20″$`\times `$20″ around the 1E 1048.1$``$5937 position in the $`I`$ and $`Ks`$ bands with the Chandra uncertainty circle superimposed (90% confidence level).

## 4 DISCUSSION

The NTT IR data show that no object is consistent with the Chandra position of 1E 1048.1$``$5937 in the optical band down to a $`V`$ limiting magnitude of about 25.5 (see Figure 2). On the other hand, a faint object (marked X3 in Figure 2) is present in the IR $`Ks`$ frames ($`J`$=22.1$`\pm `$0.3, $`Ks`$=19.7$`\pm `$0.3). This object is also detected in the WC02 frames, although its magnitudes are not listed. A visual inspection of the WC02 image suggests that the source X3 has remained nearly unchanged in flux with respect to our frames (superimposing to our IR images the Chandra position and uncertainty radius reported by WC02 for 1E 1048.1$``$5937, the object X3 falls within the circle). Note that during the NTT IR observations carried out on 2001, the object X3 is not detected due to the poor seeing conditions and contamination with the nearby bright object. More surprisingly, we note that no object is detected at the position of the source X1 reported by WC02 (the position of X1 is marked with a square in Figure 2). For comparison, the object marked X2 in Figure 2 has a magnitude of $`J`$=20.63$`\pm `$0.06, $`H`$=19.73$`\pm `$0.15 and $`Ks`$=19.0$`\pm `$0.2 (consistent, within 1–1.5$`\sigma `$, with the values reported by WC02). As the limiting magnitudes of our IR frames are well above the values measured by WC02 for X1, we conclude that the source was considerably fainter during our observations. This IR brightening ($`\mathrm{\Delta }Ks>`$1.3; about a factor of 3 in flux), displayed by the source on a timescale of about 50 days (the time interval between our last IR images and those of WC02) further strengthens the link between the IR source and 1E 1048.1$``$5937. Moreover, the chance probability of finding a highly variable IR source within a circle of 0$`\stackrel{}{\mathrm{.}}`$8 is negligible.

An IR counterpart was recently found for the prototype of the AXP class, 1E 2259$`+`$586, which also showed IR variability at a level of $`\mathrm{\Delta }Ks`$1.3 (Kaspi et al. 2002). This IR variability might be associated to the short–term X–ray bursts (similar to those displayed by SGRs) observed from the source three days before the IR observations (Kaspi & Gavriil 2002). Recently, short X–ray bursts were detected in the X–ray flux of 1E 1048.1$``$5937 (Gavriil et al. 2002). All these findings together, suggest a close similarity of 1E 1048.1$``$5937 and 1E 2259$`+`$586, such that the IR counterpart of the former might be expected to be variable. For this reason X1 is the most likely IR counterpart to 1E 1048.1$``$5937, even though source X3 is included in the Chandra uncertainty circle and its color ($`J`$$`Ks`$=2.4) is within the value interval predicted for AXPs (see also Figure 2 of WC02).

The fact that 1E 1048.1$``$5937 showed two X–ray bursts close to each other, implies that many other bursts might have been missed due to the sparse X–ray monitoring with the RXTE. Moreover since our non–detection of the IR candidate predates the WC02 detection, it would appear more natural to associate (if at all) the IR variability to some X–ray activity that took place between the two IR campaigns (as opposed to the few second–duration X–ray bursts that was detected 4 months earlier). Finally we note that the X–ray/IR observations of 1E 2259$`+`$586 are such that we do not know whether the detected IR brightening follows or precedes that in the X–ray band. Future multi–wavelength monitoring programs will probably allow us to better understand these points.

The non–detection of X1 in our IR frames implies that the “quiescent” (or low state) IR emission level of 1E 1048.1$``$5937 is still undetected. Correspondingly, it cannot be ruled out yet that the spectral flattening proposed by WC02 might result from wavelength–dependent variability. Similarly, the measured IR fluxes for the counterpart cannot be used to study the overall (from X–ray to IR) energy spectrum of 1E 1048.1$``$5937, since they reflect a different energy distribution than the quiescent (or low state) one. Deeper IR observations are needed to determine the quiescent emission state of this source.

IR variability might represents a new, fairly common, characteristic of AXPs (and possibly SGRs), and potentially a diagniostic of their nature. We note that, so far, very little is known on the expected optical/IR emission from a magnetar. Both models based on magnetar and accretion from “fossil” disk have difficulties in accounting for transient and/or variable emission at wavelengths shorter than those in the X–ray band (Thompson & Duncan 1996 and references therein; Chatterjee & Hernquist 2000 and references therein). On the other hand, the analogy with the X–ray bursts of LMXBs, suggests that the effects of the X–ray burst of AXPs might propagate towards longer wavelengths (e.g., via reprocessing). It is somewhat intriguing that at least the values of $`\mathrm{\Delta }Ks`$ and colors of the IR counterpart of 1E 2259$`+`$586 and 1E 1048.1$``$5937 are similar to those displayed by some classes of accreting cataclysmic variables and low mass X–ray binaries hosting a neutron star.

The superb Chandra HRC–I spatial resolution allowed us to look for extended X–ray emission around the pulsar; this might result from an X–ray nebula powered by the AXPs as well as a scattering halo. A first detailed study was carried out for 1E 2259$`+`$586, where emission beyond 4″ and extending up to 100″ was found (Patel et al 2001). However in this case the source is embedded in the diffuse emission from the supernova remnant G109.1–1.0, and it is very difficult to disentangle this component from that (possibly present) around the AXP. The present Chandra HRC–I data are by far the best spatial resolution observation carried out for an AXP and no significant diffuse X–ray emission was found beyond $``$2″.

This work is supported through CNAA, ASI, CNR and Ministero dell’Università e Ricerca Scientifica e Tecnologica (MURST–COFIN) grants. The authors thank Olivier Hainaut, Leonardo Vanzi and the NTT Team for their kind help during ESO observations. We thank Fotis Gavriil for a careful reading of an early version of the paper.


text:
# Structure change of Cooper pairs in color superconductivity 11footnote 1 Based on the work with H. Abuki and T. Hatsuda [1] and the on-going collaboration with G. Baym and T. Hatsuda [2]. — Crossover from BCS to BEC ? —

## 1 Introduction

There are two reasons for expecting that color superconductivity at moderate density could be qualitatively different from the usual weak-coupling superconductivity in metal. They are both related to distinct properties of QCD. As usual, Cooper instability is induced by quark-quark attractive interaction, but what is different in quark matter is that it is effective in principle for all of the quarks inside the Fermi sea. This is because the interaction itself has an attractive channel due to color factor. This property is in clear contrast to the electron superconductivity where the Coulomb interaction is repulsive, and the attractive force by the phonon exchange exists only in a small region $`|ϵ_kϵ_\mathrm{F}|<\omega _\mathrm{D}`$ restricted by the Debye cutoff $`\omega _\mathrm{D}`$. At high baryon density, the attractive force is given by one gluon exchange and becomes weak because the coupling constant at typical momentum scale (the chemical potential $`\mu `$) becomes small due to the asymptotic freedom. This ensures weak-coupling treatment of the color superconductivity, and much of efforts has been done in this direction . However, this implies, at lower densities, the effective attractive interaction becomes large, which will invalidate the naive weak-coupling treatment. These two properties (absence of analogue of $`\omega _\mathrm{D}`$ and the infrared enhancement of the QCD coupling) suggest that as the density becomes low, Cooper pairing will not be restricted only to a vicinity of the Fermi surface and become much more drastic phenomena. Besides, the Cooper pair itself will change into a tightly bound state with small size. Therefore, it is quite natural to expect that at low density (but still above the critical density of the deconfinement transition) the color superconductivity will turn into “strong-coupling superconductivity” or even “Bose-Einstein Condensation” of tightly bound Cooper pairs. To investigate this possibility is our main purpose of this talk. In the following, we will first discuss two-flavor case over a wide range of baryon density with a single model . Structural change of a Cooper pair is best studied by computing its wavefunction (quark correlation in the color superconductor) which is easily obtained once we know the momentum dependence of a superconducting gap. We will also consider the same problem in the two-color case .

## 2 Gap equation

A common field-theoretic strategy of superconductivity is the Nambu-Gor’kov formalism which uses a two component Dirac spinor $`\mathrm{\Psi }=\left(\begin{array}{c}\psi \\ \psi ^c\end{array}\right),\psi ^c=C\overline{\psi }^T.`$ The extended Fermion propagator $`iS(xy)T\mathrm{\Psi }(x)\overline{\mathrm{\Psi }}(y)`$ is now a $`2\times 2`$ matrix. The Schwinger-Dyson equation for self energy $`\mathrm{\Sigma }=S_0^1S^1`$ is written as

$$\mathrm{\Sigma }(k)=\left(\begin{array}{cc}M(k)& \mathrm{\Delta }(k)\\ \gamma ^0\mathrm{\Delta }(k)^{}\gamma ^0& M(k)\end{array}\right)=\frac{d^4q}{(2\pi )^4}g^2\mathrm{\Gamma }_\mu ^aS(q)\mathrm{\Gamma }_\nu ^aD^{\mu \nu }(kq),$$
(1)
where we ignore quark mass, $`D_{\mu \nu }^{ab}=\delta ^{ab}D_{\mu \nu }`$ is the gluon propagator in medium (which includes Debye screening for electric gluons and Landau damping for magnetic), $`S(q)`$ is the full quark propagator, and $`\mathrm{\Gamma }_\mu ^a`$ is the quark-gluon vertex, which is taken to be a bare one $`\mathrm{\Gamma }_\mu ^a=\mathrm{diag}(\gamma _\mu T^a,\gamma _\mu (T^a)^T)`$. For $`g^2`$ in eq. (1), we use a momentum dependent coupling $`g^2(q,k)`$ in the “improved ladder approximation”  ($`\beta _0=(11N_c2N_f)/3`$):

$`g^2(q,k)={\displaystyle \frac{16\pi ^2}{\beta _0}}{\displaystyle \frac{1}{\mathrm{ln}\left((p_{\mathrm{max}}^2+p_c^2)/\mathrm{\Lambda }^2\right)}},p_{\mathrm{max}}=\mathrm{max}(q,k),`$ (2)
where $`p_c^2`$ plays a role of a phenomenological infrared regulator. At high momentum, $`g^2`$ shows the same logarithmic behavior as the usual running coupling with $`\mathrm{\Lambda }`$ identified with $`\mathrm{\Lambda }_{\mathrm{QCD}}`$. We adopt $`\mathrm{\Lambda }`$=400 MeV and $`p_c^2`$=1.5 $`\mathrm{\Lambda }^2`$ which are determined to reproduce the low energy meson properties for $`N_f=2,N_c=3`$ vacuum.

Performing the angular and frequency integrals leads to a gap equation with momentum dependence only. Once we obtain the momentum dependent gap $`\mathrm{\Delta }(q)`$, we can compute the wavefunction of a Cooper pair (or, $`q`$-$`q`$ correlation function) in momentum space:

$$\phi (q)=\frac{\mathrm{\Delta }(q)}{2\sqrt{(q\mu )^2+|\mathrm{\Delta }(q)|^2}}.$$
(3)
The size of Cooper pairs (the coherence length) is defined as the root mean square radius of coordinate space wavefunction $`\stackrel{~}{\phi }(r)`$. Recall that in a typical type-I superconductor in metals, the size of a Cooper pair $`\mathrm{\Delta }^1`$ is much larger than the typical scale $`k_\mathrm{F}^1`$ (the ratio is $`k_\mathrm{F}/\mathrm{\Delta }10^4`$), because there is a clear scale hierarchy, $`\mathrm{\Delta }\omega _\mathrm{D}k_\mathrm{F}`$. On the other hand, since there is no intrinsic scale $`\omega _\mathrm{D}`$ in QCD, scale hierarchy at extremely high density simply reads $`\mathrm{\Delta }\mu e^{c/g}k_\mathrm{F}\mu `$. At lower densities, however, such scale separation becomes questionable for $`g`$ is not small.

## 3 Momentum dependent gap and size of a Cooper pair in $`N_f=2,N_c=3`$

When $`N_f=2`$ and $`N_c=3`$, the most attractive channel is the flavor anti-symmetric, color anti-symmetric and $`J=0^+`$ channel $`\mathrm{\Delta }(k)=(\tau _2^{(\mathrm{flavor})}\lambda _2^{(\mathrm{color})}C\gamma _5)\{\mathrm{\Delta }_+(k)\mathrm{\Lambda }_+(\widehat{𝒌})+\mathrm{\Delta }_{}(k)\mathrm{\Lambda }_{}(\widehat{𝒌})\},`$ where $`\tau _2`$ is the Pauli matrix acting on the flavor space, $`\lambda _2`$ is a Gell-Mann matrix, and $`C`$ is the charge conjugation. $`\mathrm{\Lambda }_\pm (\widehat{𝒌})(1\pm \widehat{𝒌}𝜶)/2`$ is the projector on positive ($`+`$) and negative $`()`$ energy quarks. We ignore the effects of chiral condensate.

In Fig. 1(a), we show the gap $`\mathrm{\Delta }_+(k=|𝒌|)`$ as a solution of the gap equation for a wide range of densities. This result tells us the following things. At high density, (i) there is a sharp peak at the Fermi surface, and (ii) the gap decays rapidly but is nonzero for momentum far away from the Fermi surface. The property (i) is similar to the standard BCS but (ii) is not, which is due to the absence of the Debye cutoff in the gluonic interaction. On the other hand, at low density, (iii) the sharp peak at the Fermi surface disappears, and (iv) color superconductivity at low density is not a phenomenon just around the Fermi surface. This last point can be said after a close look at the effects of each contribution to the gap and computing the occupation number. The result shows that the Fermi surface is diffuse substantially at low density .

Computing the size of a Cooper pair, one finds that it is less than 4 fm at the lowest density shown in Fig. 1 ($`\mu =800`$MeV) . This is small enough from the usual sense, because the ratio $`\xi _\mathrm{c}/d_q`$ of the Cooper pair size $`\xi _c`$ to typical length of the system $`d_q`$, i.e., averaged inter-quark distance for free quarks $`d_q=(\pi ^2/2)^{1/3}/\mu `$, is less than 10, in contrast to $`10^5`$ at the highest density (Fig. 1(b)). If we further extrapolate the curve in Fig. 1(b) to lower chemical potential and are still in the deconfined phase, tightly bound Cooper pairs ($`\xi _\mathrm{c}/d_q1`$) may seem to appear. Therefore, loosely bound large Cooper pairs similar to the BCS superconductivity in metals are formed at extremely high density, while at lower density, the size of a Cooper pair is small enough. This smooth transition from $`\xi _\mathrm{c}/d_q1`$ to $`\xi _\mathrm{c}/d_q1`$ as $`\mu `$ decreases is analogous to the crossover from the BCS-type superconductor to the BEC of tightly bound Cooper pairs .

## 4 Two color QCD with two flavors

It is interesting to study the same problem the same way in 2-color QCD , where the diquark $`\mathrm{\Delta }(p)=(\tau _2^{(\mathrm{color})}\tau _2^{(\mathrm{flavor})}\gamma _5)\mathrm{\Delta }_s(p)`$ is a gauge invariant “baryon” and at low density, it corresponds to the Nambu-Goldstone (NG) boson of a spontaneous broken enlarged chiral symmetry group . Therefore, bosonic-like description of diquark is expected to be appropriate at least at low density. The formalism developed in Sect. 2 is directly applicable to this problem, but we here retain the chiral condensate $`M0`$. Then the Schwinger-Dyson equation (1) forms coupled equations for $`M(p)`$ and $`\mathrm{\Delta }(p)`$:

$`M(p)`$ $`=`$ $`{\displaystyle \frac{3}{8}}g^2{\displaystyle \frac{d^3𝒒}{(2\pi )^3}D_{\nu \nu }(𝒑𝒒)\frac{M(q)}{\sqrt{q^2+M(q)^2}}\left(1n_{}(q)n_+(q)\right)},`$ (4)
$`\mathrm{\Delta }(p)`$ $`=`$ $`{\displaystyle \frac{3}{8}}g^2{\displaystyle \frac{d^3𝒒}{(2\pi )^3}D_{\nu \nu }(𝒑𝒒)\frac{1}{2}\left[\frac{1}{ϵ_{}(q)}+\frac{1}{ϵ_+(q)}\right]\mathrm{\Delta }(q)}`$ (5)
where $`ϵ_\pm (q)=\sqrt{(E\mu )^2+\mathrm{\Delta }^2}`$ is the quasi-particle energy (with $`E(q)=\sqrt{q^2+M^2(q)}`$) and $`n_\pm =\{1(E\pm \mu )/ϵ_\pm \}/2`$ is the occupation number. It is important to notice that, in the limit $`\mu 0`$, these gap equations have the same form which is invariant under the mixture of vector $`(M(p),\mathrm{\Delta }(p))`$:

$$\left(\begin{array}{c}M(p)\\ \mathrm{\Delta }(p)\end{array}\right)\frac{3}{8}g^2\frac{d^3𝒒}{(2\pi )^3}D_{\nu \nu }(𝒑𝒒)\frac{1}{\sqrt{q^2+M^2+\mathrm{\Delta }^2}}\left(\begin{array}{c}M(q)\\ \mathrm{\Delta }(q)\end{array}\right)(\mu 0).$$
(6)
This observation is consistent with the Pauli-Gürsey symmetry which is present at $`\mu =0`$ and leads to a strong consequence. For simplicity, we consider the chiral limit. We know that, at $`\mu =0`$, chiral symmetry is broken $`MM_00`$ and the diquark condensate is zero $`\mathrm{\Delta }=0`$ (there is no Fermi sphere). Consequently, a tightly $`q\overline{q}`$ bound state “pion” is generated as a NG boson, i.e., “the NG pion”. On the other hand, if the chemical potential is slightly nonzero $`\mu 0`$, the symmetry in eq. (6) is weakly broken so that the nonzero diquark condensate $`\mathrm{\Delta }M_00`$ is favored and the chiral condensate is zero $`M=0`$. The associated NG boson corresponds to a tightly-bound diquark state “the NG baryon”. Therefore, low density corresponds to the BEC-like region. If the quark mass is nonzero, the exchange between $`(M0,\mathrm{\Delta }=0,\mathrm{NG}\mathrm{pion})`$ at $`\mu =0`$ and $`(M=0,\mathrm{\Delta }0,\mathrm{NG}\mathrm{baryon})`$ at $`\mu 0`$ occurs smoothly. On the other hand, at very high density, we can ignore the chiral condensate, and the gap equation for $`\mathrm{\Delta }(p)`$ becomes the same as the previous 3 color case up to the prefactor. Thus, as the density is increased, the bosonic-like description should be replaced by the usual BCS-type description. There must be a transition from BEC to BCS as the density is increased. More evidences of this transition are now under investigation .


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# Rapid variability of accretion in AM Herculis

## 1 Introduction

AM Her is the prototype of Polars, strongly magnetic Cataclysmic Variables (mCVs) (10-230 MG), and consists of a magnetized ($``$ 14 MG) white dwarf accreting from a late type (M4V) Roche lobe-filling secondary star. Polars are characterized by long-term (months to years) high and low accretion states which, due to the absence of an accretion disc in these systems, reflect changes in the mass loss rate of the donor star. AM Her is the brightest and best monitored Polar in the optical range and hence represents a test object to study the evolution of the instantanous mass accretion rate with time and then to understand the causes of the mass transfer variations from the secondary star. Bright and faint luminosity states ($`\mathrm{\Delta }V`$ 2-3 mag) occur on irregular timescales from less than a day to months. Different models have been discussed to account for the long-term mass transfer variations in CVs (Livio & Pringle 1994; King & Cannizzo 1998) and the occurrence of starspots at the inner Lagrangian point appears to be the most likely explanation. Along this line, Hessman et al. (2000) derived the mass transfer rate history of AM Her, using the long term optical variability and convert it into starspot filling factors. They conclude that the density of the starspots near the L1 point is unusually high (about 50$`\%`$).

On the other hand, monitoring of the X-ray activity has been relatively sparce, but has already brought further insights into the variability of the mass accretion rate. In particular, since its launch, we undertook a programme with the BeppoSAX satellite to monitor the X-ray behaviour of AM Her, to infer the evolution of the X-ray luminosity and its X-ray spectral variability. In this work we present new and the most recent observations of AM Her carried out during the life of BeppoSAX together with simultaneous optical photometry acquired at the Loiano Bologna Observatory, which reveal further new results on the accretion variability and on the possible identification of the coronal X-ray emission from the magnetically active secondary star.

## 2 Observations and data reduction

During its life the BeppoSAX satellite (Boella et al. 1997) performed with the co-aligned Narrow Field Instruments (NFI) four pointed observations of AM Her. The source was found to be in different states as summarized in Table 1 and depicted in Fig. 1, where the secular AAVSO optical light curve is shown along with the times of the X-ray pointings.

### 2.1 The BeppoSAX data

The last BeppoSAX pointing of AM Her was carried out on April 22, 2001 during a low state that started in December 2000 and terminated at the end of July 2001 (Fig. 1). It was detected at its lowest level by the Low Energy Concentrator Spctrometer (LECS) \[0.1-10 keV\] and by the Medium Energy Concentrator Spectrometer (MECS) \[1.3-10 keV\] with an effective on source exposure time of 15.5 ks and 30.5 ks respectively.

Spectra and light curves from the MECS and LECS instruments have been extracted from a circular region with a radius of 3’ and 2’ respectively, using the Ftools XSELECT procedure. Background data were extracted from blank sky pointings using the same radius and subtracted from the data. The BeppoSAX observation initially shows AM Her at a higher count rate level (henceforth ”active state”) which was monitored for $``$ 2.2 hr, followed by a deep low count rate state monitored for $``$ 16.1 hr (henceforth ”quiescent state”). In Fig 2, the LECS and MECS light curves show a decrease by a factor of 47 and 30 in count rates between the active and quiescent states respectively.

### 2.2 The optical data

Optical UBVR photometry was carried out at the 1.5 m telescope of Loiano-Bologna Observatory (Italy) with a three channel photometer (TTCP) on the same day of BeppoSAX observation, covering simultaneously the quiescent state  for $``$ 3.14 hr (Fig. 2, upper panel). Data reduction was performed using the TTCP software developed at the Astronomical Observatory of Capodimonte-Naples. A set of Landolt standard stars were observed to calibrate data resulting in an average U=14.43$`\pm `$0.04 mag, B=15.43$`\pm `$ 0.1 and V=14.99 mag $`\pm `$ 0.04 mag. R band data were not calibrated due to unadequate detector efficiency estimates and poor calibration data. The optical level during these observation is similar to that observed during the low state in September 1997 (V=15.08 mag).

## 3 Data analysis and results

The observations were analyzed separately according to the BeppoSAX count rate level.

### 3.1 The X-ray active state

During the active state AM Her shows a first peak or flare followed by a second one and finally a fast exponential decay ($`e^{t/\tau }`$, with $`\tau `$ = 51 min, in the MECS detector). Due to the lower efficiency, the LECS coverage is poorer. A similar fast decay was recorded by BeppoSAX during the low state in September 1997 (de Martino et al. 1998), but at that time the active state count rate level was three times lower than the one observed in April 2001.

We have folded the MECS active state 2001 data along the 3.1 hr rotational/orbital period using the magnetic ephemeris reported in Heise & Verbunt (1988), and compared with the high state light curve observed by BeppoSAX in 1998 (Matt et al. 2000). Although fragmentary, the light curve shown in Fig. 3 shows that the two peaks find their counterparts in the high state light curve. They are consistent with the bright phase (maximum) and hence with the X-ray emission from the main accreting pole which is self-occulted at $`\varphi _{mag}`$=0.1-0.3. However the decay occurs somewhat earlier (by $``$ 0.1 in phase), possibly suggesting the concurrence of the beginning of disappearance of the main accreting pole and of an intrinsic drop in the accretion flux. It is worth noting that the X-ray active state observed during September 1997 was also compatible with X-ray emission onto the main accreting pole (de Martino et al. 1998).

The averaged combined LECS and MECS spectrum during the active state does not require a black-body component, similar to that of September 1997. The spectrum was then fitted using the XSPEC package with a MEKAL model with iron abundances fixed at the solar value (Matt et al. 2000) plus absorption fixed at $`\mathrm{N}_\mathrm{H}=9\times 10^{19}\mathrm{cm}^2`$ (Gänsicke et al. 1995), which gives $`\mathrm{kT}=14_6^{+23}`$ keV ($`\chi _{red}^2`$=1.38 for 44 d.o.f). Though the fit is poor (Fig. 4, left panel), the optically thin plasma temperature is compatible with that found during intermediate and high states (Matt et al. 2000). The data are not of enough quality to allow a partial covering component to be added. The bolometric flux during the active state is $`2.6\times 10^{11}\mathrm{erg}\mathrm{cm}^2\mathrm{s}^1`$.

### 3.2 The quiescent state

#### 3.2.1 The X-ray emission

While during the active state, the count rate is larger than that observed in the September 1997 active state, this is not the case for the quiescent state  count rate, which, in September 1997, was $``$ 1.4 times higher than the one recorded in 2001, thus making the present BeppoSAX data the faintest X-ray state detected so far in AM Her.

No orbital modulation can be detected in the MECS data, thus suggesting that accretion onto the main pole has switched off.

The quiescent state average combined LECS and MECS spectrum (Fig. 4, right panel) was fitted with the same MEKAL plus absorption model which gives a much lower temperature kT=1.5$`\pm _{0.7}^{+0.9}`$ keV ($`\chi _{red}^2`$=1.43, for 24 d.o.f), the lowest determined so far in AM Her. The bolometric flux is $`1.5\times 10^{12}\mathrm{erg}\mathrm{cm}^2\mathrm{s}^1`$.

#### 3.2.2 The optical quiescent light curves

Unlike the X-rays, the optical light curve shows an orbital modulation (Fig. 2). Folding differential photometric UBVR data along the orbital period, a clear colour dependence is found, as depicted in Fig. 5. The amplitude of modulation changes from 20$`\%`$ in the U band, to 13$`\%`$ in the B and is almost absent in V and R bands. The blue filters show the typical behaviour observed in the far-UV range (Gänsicke et al. 1995; Gänsicke et al. 1998) with a maximum at $`\varphi _{mag}`$=0.64 and a minimum at $`\varphi _{mag}`$=0.1. This is consistent with the emission from the white dwarf plus the heated pole cap which dominates the UV range during both high and low accretion states (Gänsicke et al. 1995). The lack of significant modulation in V and R bands suggests that cyclotron emission, known to be dominant at these wavelengths, is negligible during this low state.

Following the method described in Gänsicke et al. (2001), we have attempted to model the calibrated UBV light curves. The first attempt assumes that the U band light curve is due entirely to emission from the white dwarf plus the heated polar spot. We fix the following parameters to the values derived from the previous works (Gänsicke et al. 1995, 1998): distance $`d=90`$ pc, the white dwarf radius $`R_{\mathrm{wd}}=1\times 10^9`$ cm, inclination $`i=50^{}`$, colatitude and azimuth of the polar cap $`\beta =55^{}`$ and $`\mathrm{\Psi }=0^{}`$. Cyclotron emission is neglected as well as the emission from the accretion stream. The secondary M4V star contribution is taken into account as described in Gänsicke et al. (2001) and set to U=19.76 mag, B=19.43 mag and V=16.83 mag. The temperature of the white dwarf is then adjusted to match the faint-phase flux which agrees with the UV IUE low state results (Gänsicke et al. 1995). The central spot temperature and the spot opening angle are then adjusted to match the amplitude and width of the observed modulation in the U band, thus giving $`\mathrm{T}_{\mathrm{wd}}`$=19000 K, $`\mathrm{T}_{\mathrm{spot}}`$=50000 K, $`\mathrm{\Theta }_{\mathrm{spot}}`$ = 20. The model, however, overpredicts the observed B band flux and underpredicts the V flux.

A match with the observed light curves is found, as shown in Fig. 6, by lowering the temperature ($`\mathrm{T}_{\mathrm{wd}}`$=17000 K) of the white dwarf in order to decrease its contribution. The spot temperature and opening angle are the same as before since they represent the amplitude and shape of the modulation well. However, a constant component (with $`U`$=16.1 mag) has to be added. This could be attributed to the optically thin emission of a weak and faint accretion stream. Also, a very weak $`V`$=18.5 mag component is required to match the V flux. This could be due to a faint contribution from cyclotron emission still present. The lack of a clear modulation in the R band light curve (Fig. 5) is not easy to interpret, although the data cannot exclude that a modulation at a 10$`\%`$ is present. In the red, ellipsoidal variations from the secondary star of about 0.1-0.2 mag are expected (Bailey et al., 1988) together with the heated white dwarf atmospheric spot modulation. A possibility could be due that the weak cyclotron emission, whose behaviour is in anti-phase with the white dwarf spot modulation (see Gänsicke et al. 2001 for modeling of cyclotron contribution, is present producing a flat R band light curve. Unfortunately the lack of reliable calibration in this band does not allow us to properly assess this issue.

## 4 Discussion and conclusions

The last pointed BeppoSAX observation of AM Her caught the source during its deepest low state ever observed. The X-ray flux shows a rapid variability from an active to a quiescent state similar to that observed during another prolonged low state in 1997 (de Martino et al. 1998). Unfortunately, also for this second time, AM Her was bright at the beginning of the observation and, although the bright state is consistent with X-ray accretion-induced emission, it is not possible to assess whether this was a temporary accretion event or if the source was previously in a constant accretion epoch. However, the drop in X-ray flux indicates that the accretion rate decreased by a factor of $``$ 17 in less than one hour. A very rapid variation (18 min) in the X-ray flux also has been recorded in XMM-Newton data of UZ For during a deep low X-ray state and interpreted as an accretion event (Still & Mukai 2001). For the active state, we derive an estimate of the accretion luminosity, assuming that about half of the thermal bremsstrahlung and cyclotron radiation emitted from the post-shock region is intercepted by the white dwarf and re-emitted in the UV ($`\mathrm{L}_{\mathrm{UV}}=\mathrm{L}_{\mathrm{tb}}+\mathrm{L}_{\mathrm{cyc}}`$) and neglecting the contribution of a re-processed component in the EUV range (cfr. Gänsicke et al. 1995 and similar reasoning in de Martino et al. 1998). We then estimate an accretion rate of $`4.9\times 10^{11}\mathrm{M}_{}\mathrm{yr}^1`$. The drop in mass accretion rate therefore indicates that the X-ray emission during the quiescent state is not due to accretion. The much lower temperature (1.5 keV) is compatible with coronal temperatures of M type dwarfs (Schmitt et al. 1990) as well as the low X-ray luminosity in the 0.05-3 keV of $`8.6\times 10^{29}\mathrm{erg}\mathrm{s}^1`$ is compatible with those observed in active late type stars (Pallavicini et al. 1990). Furthermore the emission measure derived during the quiescent state EM= $`4.6\times 10^{52}\mathrm{cm}^3`$ is also consistent with coronal values. We have also compared the X-ray luminosity during the quiescent state with that expected from coronal emission of rapidly rotating late type stars. For a secondary star filling its Roche lobe in a 3.09 hr orbital period binary, the period-radius relation (Patterson 1984) gives for the secondary star $`\mathrm{R}_{\mathrm{sec}}=0.320.36\mathrm{R}_{}`$. The predicted saturation value for the X-ray luminosity due to rotation is $`\mathrm{R}_{\mathrm{sec}}^2`$ (Fleming et al. 1989), corresponding to $`4.96.3\times 10^{29}\mathrm{erg}\mathrm{s}^1`$ (0.3-3 keV band), in remarkable agreement with the luminosity derived in the same range for the BeppoSAX quiescent state ($`6.4\times 10^{29}\mathrm{erg}\mathrm{s}^1`$).

Moreover, the lack of V and R band modulations indicate that, even if present, cyclotron emission is very weak, thus implying that AM Her really switched-off accretion during the BeppoSAX observation. All this indicates that the X-ray emission can be indeed and more safely ascribed to the secondary star than done previously for the quiescent state in September 1997.

As for the 1997 BeppoSAX data set, still remains unclear the cause of the rapid drop of accretion flux, with timescales remarkably close to the dynamical timescale of the secondary star. The observations of a rapidly evolving burst in UZ For observed with XMM-Newton further confirms that such rapid changes occur in AM Her stars and a coronal mass ejection event at the L1 point may be the cause of the observed active state (cfr. de Martino et al. 1998 for discussion). It is clear that secondaries in these close binary systems are still far from being understood and further X-ray observations during low states would help in assessing the nature of these active secondary stars.

###### Acknowledgements.

In this work, we have used and gratefully acknowledge the data from the AAVSO International Database, based on observations submitted to the AAVSO by variable star observers worldwide. DdM and GM acknowledge financial support from ASI. BTG was supported by a PPARC advanced Fellowship.


text:
# Experimental Study of Pressure Influence on Tunnel Transport into 2DEG

## I Introduction

In the very vicinity of metal-insulator transition charge transport properties of a 2DEG depend not only on the interplay between the electron density and disorder but also on the influence of quasi-particle interaction. Tunneling measurements under pressure may provide a useful experimental approach to this fundamental problem by the following reasons. Contrary to magnetotransport measurements that obviously deal with the carriers only in filled subbands of spatial quantization, tunneling allows also to get an information on energy spectra of empty higher lying subbands. Many-particle effects (exchange and/or electron-phonon interactions) manifest themselves in tunnel characteristics either through the changes in a barrier shape 1  or as self-energy effects 2 . Examples are the specific singularities at biases near ($`36.5mV`$, corresponding to LO phonons in GaAs and the so called zero bias anomaly originated from the interaction between the electrons revealing as a peak of tunnel resistance 1 ; 3 ). High pressure may be used as a tool that allows to change substantially the electron density as well as the energy levels in a quantum well formed by selective doping of a narrow layer near the Me/GaAs interface, maintaining concentration and distribution of static scattering centers (impurities, dislocations etc) practically constant. An additional mechanism of the pressure influence on the charged impurity density may be related to the existence of DX centers as it was shown earlier in magnetotransport measurements 4 . In this paper we present a first attempt (to our knowledge) to measure normal tunneling in a system Al/$`\delta _{Si}`$-GaAs with 2DEG formed by the delta-doped layer close to the interface under pressure up to $`2GPa`$ at $`4.2K`$.

## II Experimental

The tunnel structures, shown in FIG. 1, were fabricated in IRE RAS following the procedure described in 3 . On (100) GaAs substrate by the MBE method an undoped buffer layer ($`p5\times 10^{15}cm^3`$) was grown. The delta-doped layer with width about $`3nm`$ at the depth of $`20nm`$ from Al/GaAs interface containing $`5.2\times 10^{12}cm^2`$ Si atoms was formed at $`570^{}C`$. At the final stage of growth cycle, an Al film of $`80100nm`$ width was deposited from the Knudsen cell in the same MBE chamber. Photolithographically shaped tunnel junctions were supplied with Au-Ge-Ni alloy ohmic contacts to the delta-layer.

In this structure only one level is initially occupied at $`T=4.2K`$. The energy diagram of the sample that defines tunneling current in the direction normal to the interface is shown on FIG. 2. The spatial distribution of the electric potential that forms both the tunnel barrier and the quantum well depends on the surface barrier height, on doping level in delta-plane and on volume acceptor density in the epitaxial layer. A system of energy levels exists in the quantum well that gives rise to the dips on tunneling spectra corresponding to the stepwise changes in conductance versus applied bias. One should note that the 2D levels are changed in the biased diode as the barrier (and QW) shape selfconsistently depends on the charge density in the delta-layer. FIG. 2 shows the variation of the 2D levels in the well with the applied bias, calculated for $`p=1.5GPa`$ by simultaneous solution of Poisson and Schrödinger (in Hartree approximation) equations.

The pressure was generated at room temperature in a stand-alone high-pressure cell of a piston-cylinder type filled with 40% transformer oil and 60% pentane mixture as a pressure transmitting medium 5 . After slow cooling down to low temperatures the $`I(V)`$ curves were measured within the accuracy $`7\frac{1}{2}`$ digit DC voltmeter. The actual pressure was evaluated by the change of the critical temperature $`T_c`$ of Sn wire placed in situ using the expression: $`\mathrm{\Delta }T_c=0.495P+0.039P^2`$ (the pressure $`P`$ in $`GPa`$) 6 .

Under pressure the tunnel resistance tends to increase rapidly with pressure 7 . This made us to confess that the usual measurement procedure based on modulation technique is not well suited for the case of large tunnel resistances. Instead, we used direct current $`I(V)`$ measurements and subsequent numerical derivation to reveal the fine features due to the subband structure and many-particle effects. The comparison of the both measurement techniques for the case of zero pressure when the tunnel resistance is of moderate value, confirms the validity of DC implementation, that becomes even more effective under pressure when the resistance grows by several orders of magnitude (FIG. 3). Results of $`I(V)`$ measurements in terms of differential tunneling conductance as well as its logarithmic derivative, i.e. tunneling spectra, are presented in FIG. 4.

## III Analysis

Model calculations were used to evaluate the tunneling barrier shape and the position of energy levels in the QW, and hence the tunneling spectra and the value of tunnel resistance at zero bias $`R_0(P)`$, the latter being a simple and convenient scalar quantity to compare the model assumptions with reality.

From our previous studies of Shottky barrier Me/$`n^+`$-GaAs 7  we knew that barrier height at the Al/GaAs interface may change with pressure not the same way as the energy gap in the semiconductor does. Possible presence of DX-centers could also change effective charge state of the impurity in the delta-layer under pressure. Thus we considered such an ambigous at high pressure quantities as free parameters and tried possibly fit the calculated and measured spectra and zero bias resistances at different pressures.

We found that the best fit to the experimental spectra at pressures up to $`1.5GPa`$ may be attained if one assumes that the barrier height grows at the rate of $`3meV/kbar`$, that is considerably lower than the pressure coefficient of the band gap $`10.8meV/kbar`$ 8 .

Comparison of the zero bias resistances (FIG. 5) shows that while a reasonable agreement with the experiment (filled circles) may be achieved for $`1GPa`$ with the charged impurity density in delta-layer $`4.5\times 10^{12}cm^2`$ (same as at $`P=0`$), a systematic underestimate of the calculated resistance is observed at $`P=1.5GPa`$. A better fit for that pressure (open circle), that gives also closer fit of tunnel spectrum, may be obtained if one assumes the decrease of charged impurity density in delta-layer down to $`3.8\times 10^{12}cm^2`$ at $`1.5GPa`$.

A possible reason for that may be related to the electron capture by DX-centers, making them either negative 9  or neutral 10 , that changes the effective charged impurity density in the delta-layer. To become resonant with the ground state at $`1GPa`$, DX-level at $`P=0`$ should be about $`170meV`$ above the conduction band edge that is not quite consistent with the previous data 11 , obtained from magnetotransport measurements in a deep lying delta-layer with multiple occupied 2D-levels.

We could not obtain any reasonable model description of our experimental data at $`2GPa`$. The estimation allows supposing that these measurements correspond to the state when a metal-insulator transition occurs and the ground level is depleted, but this cannot explain the existence of slight remnants of higher levels in spectrum at negative biases.

###### Acknowledgements.

The authors acknowledge financial support by Russian Foundation for Basic Researches and the Alexander von Humboldt Foundation, the Federal Ministry of Education and Research and the Programme for Investment in the Future (ZIP) of the German Government.