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# 1 Introduction

## 1 Introduction

Supersymmetric (SUSY) extensions of the Standard Model predict the existence of bosonic partners of all known fermions. The scalar top quark ($`\stackrel{~}{\mathrm{t}}`$), which is the bosonic partner of the top quark, may be light because of supersymmetric radiative corrections . Furthermore, the supersymmetric partners of the right-handed and left-handed top quarks ($`\stackrel{~}{\mathrm{t}}_\mathrm{R}`$ and $`\stackrel{~}{\mathrm{t}}_\mathrm{L}`$) mix, and the resulting two mass eigenstates ($`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\mathrm{t}}_2`$) have a mass splitting which may be very large due to the large top quark mass. The resulting lighter mass eigenstate ($`\stackrel{~}{\mathrm{t}}_1`$), $`\stackrel{~}{\mathrm{t}}_1=\stackrel{~}{\mathrm{t}}_\mathrm{L}\mathrm{cos}\theta _{\stackrel{~}{\mathrm{t}}}+\stackrel{~}{\mathrm{t}}_\mathrm{R}\mathrm{sin}\theta _{\stackrel{~}{\mathrm{t}}}`$, where $`\theta _{\stackrel{~}{\mathrm{t}}}`$ is a mixing angle, can be lighter than any other charged SUSY particle, and also lighter than the top quark . All SUSY breaking parameters are absorbed in $`\theta _{\stackrel{~}{\mathrm{t}}}`$ and the mass of $`\stackrel{~}{\mathrm{t}}_1`$.

The scalar bottom quark ($`\stackrel{~}{\mathrm{b}}`$) can also be light if $`\mathrm{tan}\beta `$, the ratio of vacuum expectation values of the two Higgs doublet fields, is large. In this case, the analogous mixing between the supersymmetric partners of the right- and left-handed states of the bottom quark ($`\stackrel{~}{\mathrm{b}}_\mathrm{R}`$ and $`\stackrel{~}{\mathrm{b}}_\mathrm{L}`$) becomes large, and the resulting two mass eigenstates ($`\stackrel{~}{\mathrm{b}}_1`$ and $`\stackrel{~}{\mathrm{b}}_2`$) also have a large mass splitting . The mass of the lighter mass eigenstate ($`\stackrel{~}{\mathrm{b}}_1`$) may therefore be within the reach of LEP.

Assuming R-parity  conservation and that the $`\stackrel{~}{\chi }_2^0`$ and $`\stackrel{~}{\mathrm{}}^\pm `$ are heavier than the $`\stackrel{~}{\mathrm{t}}_1`$, the dominant decay mode of the $`\stackrel{~}{\mathrm{t}}_1`$ is expected to be either $`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$ or $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\stackrel{~}{\nu }\mathrm{}^+`$, where $`\stackrel{~}{\chi }_1^0`$ is the lightest neutralino, $`\stackrel{~}{\nu }`$ is the scalar neutrino, and $`\mathrm{}`$ is $`\mathrm{e}`$, $`\mu `$ or $`\tau `$. The latter decay mode is dominant if it is kinematically allowed. Otherwise the flavour changing two-body decay, $`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$, is dominant except for the small region where $`m_{\stackrel{~}{\mathrm{t}}_1}m_{\stackrel{~}{\chi }_1^0}>m_{\mathrm{W}^\pm }+m_\mathrm{b}`$ 111 In this region, $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\stackrel{~}{\chi }_1^0\mathrm{W}^+`$ becomes dominant through a virtual chargino. This decay mode has not been studied in this paper.. Both of these decay modes ($`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$ and $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\stackrel{~}{\nu }\mathrm{}^+`$) have been searched for. The dominant decay mode of the $`\stackrel{~}{\mathrm{b}}_1`$ is expected to be $`\stackrel{~}{\mathrm{b}}_1\mathrm{b}\stackrel{~}{\chi }_1^0`$. Since the decay widths of these modes are smaller than the QCD energy scale, the $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1`$ produce colourless squark-hadrons before decay. Under the assumption of R-parity conservation, $`\stackrel{~}{\chi }_1^0`$ and $`\stackrel{~}{\nu }`$ are invisible in the detector. Thus, $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1\overline{\stackrel{~}{\mathrm{b}}}_1`$ events are characterised by two acoplanar jets 222Two jets are called ‘acoplanar’ if they not back-to-back with each other in the plane perpendicular to the beam axis. or two acoplanar jets plus two leptons, with missing energy. The phenomenology of the production and decay of $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1`$ is described in Section 2 of Ref. .

The CDF Collaboration has reported lower limit values  on the $`\stackrel{~}{\mathrm{t}}_1`$ mass of 89 and 110 GeV (95% C.L.), when the mass difference between $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\chi }_1^0`$ is larger than about 40 and 60 GeV, respectively. These limits were obtained with the assumption that $`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$. Searches at $`\mathrm{e}^+\mathrm{e}^{}`$ colliders are sensitive to smaller mass differences. The first lower limits on the $`\stackrel{~}{\mathrm{t}}_1`$ mass were obtained around the $`\mathrm{Z}^0`$ peak (LEP1) assuming $`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$ . Using part of the higher energy LEP2 data sample, the 95% C.L. lower limit for a mass difference larger than 6 GeV was improved to 83 GeV . Several other squark searches at various centre-of-mass energies ($`\sqrt{s}`$) have also been performed at LEP .

For the decay mode of $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\stackrel{~}{\nu }\mathrm{}^+`$ the first lower limit on the $`\stackrel{~}{\mathrm{t}}_1`$ mass was obtained at $`\sqrt{s}`$ = 161 GeV , and successive searches were performed at LEP  and the Tevatron. The D0 Collaboration has reported a lower limit  on the $`\stackrel{~}{\mathrm{t}}_1`$ mass of 123 GeV (95% C.L.), when the mass difference between $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\nu }`$ is larger than 40 GeV and the branching fraction to each lepton flavour is the same. A search for the four-body decay mode, $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\stackrel{~}{\chi }_1^0\mathrm{W}^+`$, where the $`\mathrm{W}`$ boson is off shell, was recently performed at LEP and no evidence was reported .

In 1999 and 2000, the LEP $`\mathrm{e}^+\mathrm{e}^{}`$ collider at CERN operated at $`\sqrt{s}`$= 192–209 GeV, and a data sample of about 440 $`\mathrm{pb}^1`$ was collected with the OPAL detector. Luminosities and mean values of $`\sqrt{s}`$ are summarised in Table 1.

In this paper direct searches for $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1`$ using this data sample are reported. The limits shown here have been obtained by combining the results obtained at these new centre-of-mass energies with those previously obtained using the OPAL data at lower $`\sqrt{s}`$ .

## 2 The OPAL Detector and Event Simulation

The OPAL detector, which is described in detail in Ref. , is a multipurpose apparatus having nearly complete solid angle coverage. The central detector consists of a silicon strip detector and tracking chambers, providing charged particle tracking for over 96% of the full solid angle, inside a uniform solenoidal magnetic field of 0.435 T. A lead-glass electromagnetic calorimeter (ECAL) located outside the magnet coil is hermetic in the polar angle range of $`|\mathrm{cos}\theta |<0.984`$. The magnet return yoke consisting of barrel and endcap sections along with pole tips is instrumented for hadron calorimetry (HCAL) in the region $`|\mathrm{cos}\theta |<0.99`$. Four layers of muon chambers cover the outside of the hadron calorimeter. Forward detectors (FD), silicon-tungsten calorimeters (SW) and the gamma-catcher detectors (GC) are located in the forward region ($`|\mathrm{cos}\theta |>0.98`$) surrounding the beam pipe and provide complete acceptance down to 25 mrad.

Monte Carlo simulation of the production and decays of $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1`$ were performed following . The squark ($`\stackrel{~}{\mathrm{q}}`$) pairs were generated, and the hadronisation process was subsequently performed to produce colourless $`\stackrel{~}{\mathrm{q}}`$-hadrons and other fragmentation products according to the Lund string fragmentation scheme (JETSET 7.4) . The parameters for perturbative QCD and fragmentation processes were optimised using hadronic $`\mathrm{Z}^0`$ decays measured by OPAL . For the fragmentation of $`\stackrel{~}{\mathrm{q}}`$, the fragmentation function proposed by Peterson et al.  was used. The $`\stackrel{~}{\mathrm{q}}`$-hadron was formed from a squark and a spectator anti-quark or diquark. For the $`\stackrel{~}{\mathrm{t}}_1`$ decaying into $`\mathrm{c}\stackrel{~}{\chi }_1^0`$, a colour string was connected between the charm quark and the spectator. The decays $`\stackrel{~}{\mathrm{b}}_1\mathrm{b}\stackrel{~}{\chi }_1^0`$ and $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\mathrm{}^+\stackrel{~}{\nu }`$ were simulated in a similar manner. One thousand events were generated at each point of a two dimensional grid of spacing of typically 5 GeV steps in $`(m_{\stackrel{~}{\mathrm{t}}_1},m_{\stackrel{~}{\chi }_1^0})`$ for $`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$, in $`(m_{\stackrel{~}{\mathrm{t}}_1},m_{\stackrel{~}{\nu }})`$ for $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\mathrm{}^+\stackrel{~}{\nu }`$ (with equal branching ratios for $`\mathrm{e}`$, $`\mu `$ and $`\tau `$) and $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\tau ^+\stackrel{~}{\nu }`$, and in $`(m_{\stackrel{~}{\mathrm{b}}_1},m_{\stackrel{~}{\chi }_1^0})`$ for $`\stackrel{~}{\mathrm{b}}_1\mathrm{b}\stackrel{~}{\chi }_1^0`$. Smaller steps were used for the case of small mass differences ($`\mathrm{\Delta }m=m_{\stackrel{~}{\mathrm{t}}_1}m_{\stackrel{~}{\chi }_1^0}`$, $`m_{\stackrel{~}{\mathrm{t}}_1}m_{\stackrel{~}{\nu }}`$ or $`m_{\stackrel{~}{\mathrm{b}}_1}m_{\stackrel{~}{\chi }_1^0}`$). The signal samples were generated at $`\sqrt{s}`$=192, 196, 200 and 206 GeV.

The background processes were simulated as follows. The KK2f generator  was used to simulate multihadronic ($`\mathrm{q}\overline{\mathrm{q}}(\gamma )`$) events, $`\tau ^+\tau ^{}(\gamma )`$, and $`\mu ^+\mu ^{}(\gamma )`$ events. Bhabha events, $`\mathrm{e}^+\mathrm{e}^{}\mathrm{e}^+\mathrm{e}^{}(\gamma )`$, were generated with the BHWIDE program . Two-photon processes are the most important background for the case of small mass differences, since in such cases signal events have small visible energy and small transverse momentum relative to the beam direction. Using the Monte Carlo generators PHOJET , PYTHIA  and HERWIG , hadronic events from various two-photon processes were simulated in which the invariant mass of the photon-photon system ($`M_{\gamma \gamma }`$) was larger than 5.0 GeV. Monte Carlo samples for leptonic two-photon processes ($`\mathrm{e}^+\mathrm{e}^{}\mathrm{e}^+\mathrm{e}^{}`$, $`\mathrm{e}^+\mathrm{e}^{}\mu ^+\mu ^{}`$ and $`\mathrm{e}^+\mathrm{e}^{}\tau ^+\tau ^{}`$) were generated with the Vermaseren program . The grc4f  and KoralW  generators were used for all four-fermion processes except for regions covered by the two-photon simulations. All interference effects of the various diagrams are taken into account in these generators. Four-fermion processes in which at least one of the fermions is a neutrino constitute a serious background at large mass differences. The generated signal and background events were processed through the full simulation of the OPAL detector , and the same analysis chain was applied as to the data.

## 3 Analysis

Since the event topologies of $`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$ and $`\stackrel{~}{\mathrm{b}}_1\mathrm{b}\stackrel{~}{\chi }_1^0`$ are very similar, the same selection criteria were used (Section 3.1, analysis A). In Section 3.2 (analysis B), the selection criteria for $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\mathrm{}^+\stackrel{~}{\nu }`$ are discussed. These analyses are the same as those in Ref. . Variables used to make the selections, such as the total visible energy and the total transverse momentum, and jet properties, were calculated as follows. First, the four-momenta of the tracks and those of the ECAL and HCAL clusters not associated with charged tracks were summed. Whenever a calorimeter cluster had associated charged tracks, the expected energy deposited by the tracks was subtracted from the cluster energy to reduce double counting. If the energy of a cluster was smaller than the expected energy deposited by the associated tracks, the cluster energy was not used.

The following three preselections, which are common to analyses A and B, were applied first:

* The number of charged tracks was required to be at least four and the visible mass of the event was required to be larger than 3 GeV.
* The energy deposited had to be less than 5,2 and 5 GeV in each side of the SW, FD and GC detectors, respectively, to reduce the background from two-photon processes.
* The visible energy in the region of $`|\mathrm{cos}\theta |>0.9`$ was required to be less than 10% of the total visible energy, and the polar angle of the missing momentum direction, $`\theta _{\mathrm{miss}}`$, was also required to satisfy $`|\mathrm{cos}\theta _{\mathrm{miss}}|<0.9`$ to reduce the two-photon and the $`\mathrm{q}\overline{\mathrm{q}}(\gamma )`$ background.

### 3.1 Analysis A: $`\stackrel{\mathbf{~}}{𝐭}_\mathrm{𝟏}\mathbf{}𝐜\stackrel{\mathbf{~}}{𝝌}_\mathrm{𝟏}^\mathrm{𝟎}`$ and $`\stackrel{\mathbf{~}}{𝐛}_\mathrm{𝟏}\mathbf{}𝐛\stackrel{\mathbf{~}}{𝝌}_\mathrm{𝟏}^\mathrm{𝟎}`$

The experimental signature for $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$($`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$) events and $`\stackrel{~}{\mathrm{b}}_1\overline{\stackrel{~}{\mathrm{b}}}_1`$ events is two jets which are not coplanar with the beam axis. The fragmentation functions of $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1`$ are expected to be hard and the invariant mass of the charm (or bottom) quark and the spectator quark is small, therefore the jets are expected to be narrow and have low invariant masses. The following five selections were applied.

* Events from two-photon processes were largely removed by demanding that the missing transverse momentum, $`P_t`$, is greater than 4.5 GeV. Fig. 1(a) shows the distribution of $`P_t`$ after the preselection.
* The number of reconstructed jets was required to be exactly two. Jets were reconstructed using the Durham algorithm  with the jet resolution parameter of $`y_{\mathrm{cut}}`$ = $`0.005(E_{\mathrm{vis}}/\sqrt{s})^1`$, where $`E_{\mathrm{vis}}`$ is the total visible energy. This $`E_{\mathrm{vis}}`$-dependent $`y_{\mathrm{cut}}`$ parameter was necessary for good jet reconstruction over a wide range of $`m_{\stackrel{~}{\mathrm{t}}_1}`$, $`m_{\stackrel{~}{\mathrm{b}}_1}`$ and $`m_{\stackrel{~}{\chi }_1^0}`$, and the distribution of the number of reconstructed jets is shown in Fig. 1(b). Both reconstructed jets were required to contain at least two charged particles to reduce the $`\tau ^+\tau ^{}`$ background.
* The acoplanarity angle, $`\varphi _{\mathrm{acop}}`$, is defined as $`\pi `$ minus the azimuthal opening angle between the directions of the two reconstructed jets. To ensure the reliability of the calculation of $`\varphi _{\mathrm{acop}}`$, both jet axes were required to have a polar angle satisfying $`|\mathrm{cos}\theta _{\mathrm{jet}}|<0.95`$. The value of $`\varphi _{\mathrm{acop}}`$ was required to be larger than 20.
* Softness, $`𝒮`$, was defined as ($`\frac{M_1}{E_1}+\frac{M_2}{E_2}`$), where $`M_1`$ and $`M_2`$ are the invariant masses of the two reconstructed jets, and $`E_1`$ and $`E_2`$ are the energies of the jets. The signal events have low values of $`𝒮`$, whereas two-photon events which pass the acoplanarity cut have relatively large values . It was required that $`1.5\times 𝒮`$ $`<(P_t4.5)`$, where $`P_t`$ is given in units of GeV.
* The arithmetic mean of the invariant masses of the jets, $`\overline{M}_{\mathrm{jet}}`$, was required to be smaller than 8 GeV. When the invariant mass of the event, $`M_{\mathrm{vis}}`$, was larger than 65 GeV, a harder cut, $`\overline{M}_{\mathrm{jet}}<`$ 5 GeV, was applied to reduce background from $`\mathrm{We}\nu `$ events. Fig. 1(c) shows the $`\overline{M}_{\mathrm{jet}}`$ distributions for data, the simulated background processes and typical $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$ events. As shown in this figure, jets from $`\stackrel{~}{\mathrm{t}}_1`$ are expected to have low invariant masses.

The numbers of events remaining after each cut are listed in Table 2. The table also shows the corresponding numbers of simulated events for background processes. After all cuts, 13 events were observed in the data, which is consistent with the expected number of background events of 19.8$`\pm `$2.2. Fig. 1(d) shows the $`E_{\mathrm{vis}}`$ distribution after all selections were applied.

The efficiencies for both $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1\overline{\stackrel{~}{\mathrm{b}}}_1`$ events are 30–60% if the mass difference between $`\stackrel{~}{\mathrm{t}}_1`$($`\stackrel{~}{\mathrm{b}}_1`$) and $`\stackrel{~}{\chi }_1^0`$ is larger than 10 GeV. A modest efficiency of about 20% is obtained for a mass difference of 5 GeV for $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$ events. An additional loss of 3% (relative) arises from beam-related background in SW, FD and GC, which was estimated using random beam crossing events.

### 3.2 Analysis B: $`\stackrel{\mathbf{~}}{𝐭}_\mathrm{𝟏}\mathbf{}𝐛\mathbf{}\stackrel{\mathbf{~}}{𝝂}`$

The experimental signature for $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$($`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\mathrm{}\stackrel{~}{\nu }`$) events is two acoplanar jets plus two leptons with missing transverse momentum. The momenta of the leptons and the missing transverse momentum depend strongly on the mass difference between $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\nu }`$. To obtain optimal performance, two sets of selection criteria (analyses B-L and B-H) were applied for small and large mass differences, respectively.

The numbers of events remaining after each cut are listed in Tables 3 and 4. The tables also show the corresponding numbers for the simulated background processes.

#### 3.2.1 Small mass difference case

For the case of a small mass difference ($`\mathrm{\Delta }m`$ 10 GeV), the following four selection criteria were applied. Lepton identification was not used in this analysis.

* The event missing transverse momentum, $`P_t`$, was required to be greater than 5 GeV.
* The number of charged tracks was required to be at least six, and the number of reconstructed jets was required to be at least four, since the signal would contain two hadronic jets plus two isolated leptons. Jets were reconstructed using the Durham algorithm  with the jet resolution parameter $`y_{\mathrm{cut}}`$ = 0.004. Figure 2(a) shows the distribution of the number of reconstructed jets for the data, the simulated background processes and typical $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$ events.
* To examine the acoplanarity of the remaining events, the whole event was reconstructed as two jets using the Durham algorithm. To ensure a good measurement of the acoplanarity angle, $`|\mathrm{cos}\theta _{\mathrm{jet}}|<0.95`$ was required for both reconstructed jets. Finally, the acoplanarity angle, $`\varphi _{\mathrm{acop}}`$, between these two jets was required to be greater than 15. Fig. 2(b) shows the $`\varphi _{\mathrm{acop}}`$ distributions.
* The total visible energy, $`E_{\mathrm{vis}}`$, was required to be smaller than 60 GeV to reject four-fermion events. As shown in Fig. 2(c), a large fraction of four-fermion events are removed.

Five events were observed in the data after all the cuts, which is consistent with the number of expected background events (5.0$`\pm `$1.4), mainly from two-photon processes. The detection efficiencies are 30–40% if the mass difference between $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\nu }`$ is 10 GeV, and if the branching fraction to each lepton flavour is the same. Even if the branching fraction into $`\mathrm{b}\tau ^+\stackrel{~}{\nu }_\tau `$ is 100%, the efficiencies are 25–35%.

#### 3.2.2 Large mass difference case

The selection criteria for a large mass difference ($`\mathrm{\Delta }m>`$ 10 GeV) are as follows:

* The event missing transverse momentum, $`P_t`$, was required to be greater than 6 GeV.
* The number of charged tracks was required to be at least six, and the number of reconstructed jets was required to be at least three. Jets were reconstructed with the same jet resolution parameter ($`y_{\mathrm{cut}}`$ = 0.004) as in (B-L2).
* The same selection as (B-L3) was applied on the $`\varphi _{\mathrm{acop}}`$ variable to reject $`\mathrm{q}\overline{\mathrm{q}}(\gamma )`$ events.
* A candidate event was required to contain at least one lepton, since a signal event would contain two isolated leptons. The selection criteria for leptons are given in Ref. .
* The invariant mass of the event excluding the most energetic lepton, $`M_{\mathrm{hadron}}`$, was required to be smaller than 60 GeV in order to reject $`\mathrm{W}^+\mathrm{W}^{}\nu \mathrm{}\mathrm{q}\overline{\mathrm{q}}^{}`$ events. As shown in Fig. 3(a), a large fraction of four-fermion events was rejected using this requirement. Furthermore the invariant mass excluding all identified leptons was required to be smaller than 40 GeV.
* Finally, the visible mass of the event, $`M_{\mathrm{vis}}`$, must be smaller than 80 GeV to reduce $`\mathrm{W}^+\mathrm{W}^{}`$ background events in which one of $`\mathrm{W}^\pm `$’s decays into $`\tau \nu `$ and the other into $`\mathrm{q}\overline{\mathrm{q}}^{^{}}(\mathrm{g})`$. If one jet from $`\mathrm{q}\overline{\mathrm{q}}^{^{}}(\mathrm{g})`$ was misidentified as a tau lepton, this event could pass through the previous cut (B-H5). Fig. 3(b) shows the $`M_{\mathrm{vis}}`$ distributions.

Seven candidate events were observed in the data, which is consistent with the number of expected background events ($`6.3\pm 1.1`$). The dominant background arises from four-fermion processes. The detection efficiencies are 30–60%, if the mass difference between the $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\nu }`$ is 10 GeV, and if the $`\stackrel{~}{\nu }`$ is heavier than 30 GeV. The detection efficiencies for $`\stackrel{~}{\mathrm{t}}_1`$ were found to be slightly smaller for the case where it decays purely into $`\mathrm{b}\tau ^+\stackrel{~}{\nu }_\tau `$ than for the case where the branching fraction to each lepton flavour is assumed to be the same.

## 4 Results

The observed number of candidate events in each case is consistent with the expected number of background processes. Since no evidence for $`\stackrel{~}{\mathrm{t}}_1\overline{\stackrel{~}{\mathrm{t}}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1\overline{\stackrel{~}{\mathrm{b}}}_1`$ pair-production has been observed, lower limits on $`m_{\stackrel{~}{\mathrm{t}}_1}`$ and $`m_{\stackrel{~}{\mathrm{b}}_1}`$ are calculated. The results shown here have been obtained by combining the results obtained at these new centre-of-mass energies with those previously obtained using the OPAL data at lower $`\sqrt{s}`$ .

The systematic errors on the expected number of signal and background events were estimated in the same manner as in the previous paper . The main sources of systematic errors on the signal are uncertainties in the $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\mathrm{b}}_1`$ fragmentation (5–15%) and in Fermi motion of the spectator quark (3–10%). The main sources of systematic errors on the background are uncertainties in the generation of four-fermion processes (5%). The background from four-fermion processes evaluated with the grc4f and KoralW generators agreed within the statistical error, but the small difference was conservatively taken as a systematic error. The limited statistics of the two-photon Monte Carlo samples also give rise to a sizable systematic error. Detailed descriptions are given in Ref. . Systematic errors are taken into account when calculating limits .

Figure 4(a) shows the 95% C.L. excluded regions in the ($`m_{\stackrel{~}{\mathrm{t}}_1}`$ , $`m_{\stackrel{~}{\chi }_1^0}`$) plane for $`\stackrel{~}{\mathrm{t}}_1\mathrm{c}\stackrel{~}{\chi }_1^0`$. In this figure there is a triangular region of $`m_{\stackrel{~}{\mathrm{t}}_1}m_{\stackrel{~}{\chi }_1^0}>m_{\mathrm{W}^\pm }+m_\mathrm{b}`$, in which $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\stackrel{~}{\chi }_1^0\mathrm{W}^+`$(on shell) through a virtual chargino becomes dominant even if the chargino is heavy. This region is not excluded.

Figures 5(a) and (b) show the 95% C.L. excluded regions in the ($`m_{\stackrel{~}{\mathrm{t}}_1}`$ , $`m_{\stackrel{~}{\nu }}`$) plane for $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\mathrm{}\stackrel{~}{\nu }`$ ($`\mathrm{}`$= e,$`\mu `$,$`\tau `$) and $`\stackrel{~}{\mathrm{t}}_1\mathrm{b}\tau ^+\stackrel{~}{\nu }_\tau `$, respectively. The branching fraction to each lepton flavour $`\mathrm{}^+`$ depends on the composition of the lightest chargino . As the chargino becomes more Higgsino-like, the branching fraction into $`\mathrm{b}\tau ^+\stackrel{~}{\nu }_\tau `$ becomes large. In the limit that the chargino is a pure Wino state, the branching fraction to each lepton flavour is the same. Two extreme cases in which the branching fraction to each lepton flavour is the same, or the branching fraction into $`\mathrm{b}\tau ^+\stackrel{~}{\nu }_\tau `$ is 100%, were considered here.

The 95% C.L. mass bounds of $`\stackrel{~}{\mathrm{t}}_1`$ are listed in Table 5 for two values of $`\theta _{\stackrel{~}{\mathrm{t}}}`$. Assuming that $`\stackrel{~}{\mathrm{t}}_1`$ decays into $`\mathrm{c}\stackrel{~}{\chi }_1^0`$, and the mass difference between $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\chi }_1^0`$ is greater than 10 GeV, $`\stackrel{~}{\mathrm{t}}_1`$ is found to be heavier than 97.6 GeV for $`\theta _{\stackrel{~}{\mathrm{t}}}`$ = 0.0. A lower limit of 95.7 GeV is obtained even if $`\stackrel{~}{\mathrm{t}}_1`$ decouples from the $`\mathrm{Z}^0`$ boson ($`\theta _{\stackrel{~}{\mathrm{t}}}`$=0.98 rad), which approximately minimizes the cross-section. When $`\stackrel{~}{\mathrm{t}}_1`$ decays into $`\mathrm{b}\mathrm{}\stackrel{~}{\nu }`$, the lower limit on $`m_{\stackrel{~}{\mathrm{t}}_1}`$ is 96.0 GeV for the zero mixing angle case, assuming that the mass difference between $`\stackrel{~}{\mathrm{t}}_1`$ and $`\stackrel{~}{\nu }`$ is greater than 10 GeV and that the branching fraction to each lepton flavour is the same.

The 95% C.L. excluded regions in the ($`m_{\stackrel{~}{\mathrm{b}}_1}`$, $`m_{\stackrel{~}{\chi }_1^0}`$) plane are shown in Fig. 4(b) for two cases $`\theta _{\stackrel{~}{\mathrm{b}}}`$= 0 and 1.17 rad. The numerical mass bounds are listed in Table 6 for two values of $`\theta _{\stackrel{~}{\mathrm{b}}}`$. The lower limit on the $`\stackrel{~}{\mathrm{b}}_1`$-mass is found to be 96.9 GeV, if $`\mathrm{\Delta }m`$ is greater than 10 GeV and $`\theta _{\stackrel{~}{\mathrm{b}}}`$ = 0.0. If the $`\stackrel{~}{\mathrm{b}}_1`$ decouples from the $`\mathrm{Z}^0`$ boson ($`\theta _{\stackrel{~}{\mathrm{b}}}`$=1.17 rad), the lower limit is 85.1 GeV. Since the electromagnetic charge of $`\stackrel{~}{\mathrm{b}}_1`$ is half that of $`\stackrel{~}{\mathrm{t}}_1`$, the coupling between $`\gamma `$ and $`\stackrel{~}{\mathrm{b}}_1`$ is weaker than between $`\gamma `$ and $`\stackrel{~}{\mathrm{t}}_1`$. Therefore the production cross-section of $`\stackrel{~}{\mathrm{b}}_1\overline{\stackrel{~}{\mathrm{b}}}_1`$ is strongly suppressed when the $`\stackrel{~}{\mathrm{b}}_1`$ decouples from the $`\mathrm{Z}^0`$ boson.

## 5 Summary and Conclusion

A data sample of 437.6 pb-1 collected using the OPAL detector at $`\sqrt{s}=`$192–209 GeV has been analysed to search for pair production of the scalar top quark and the scalar bottom quark predicted by supersymmetric theories, assuming R-parity conservation. No evidence was found above the background level expected from the Standard Model.

The 95% C.L. lower limit on the scalar top quark mass is 97.6 GeV if the mixing angle of the scalar top quark is zero. Even if the $`\stackrel{~}{\mathrm{t}}_1`$ decouples from the $`\mathrm{Z}^0`$ boson, a lower limit of 95.7 GeV is obtained. These limits were estimated assuming that the scalar top quark decays into a charm quark and the lightest neutralino and that the mass difference between the scalar top and the lightest neutralino is larger than 10 GeV.

Assuming a relatively light scalar neutrino ($`m_{\stackrel{~}{\nu }}m_{\stackrel{~}{\mathrm{t}}_1}m_\mathrm{b}`$), the complementary decay mode, in which the scalar top quark decays into a bottom quark, a charged lepton and a scalar neutrino, has also been studied. If the mass difference between the scalar top quark and the scalar neutrino is greater than 10 GeV and if the mixing angle of the scalar top quark is zero, the 95% C.L. lower limit on the scalar top quark mass is 96.0 GeV. This limit is obtained assuming that the branching fraction to each lepton flavour is the same. If the branching fraction to the tau lepton is 100%, a lower limit of 95.5 GeV is obtained.

The lower limit on the light scalar bottom quark mass is found to be 96.9 GeV, assuming that the mass difference between the scalar bottom quark and the lightest neutralino is greater than 10 GeV and that the mixing angle of the scalar bottom quark is zero. When the scalar bottom quark decouples from the $`\mathrm{Z}^0`$ boson, a lower limit of 85.1 GeV is obtained. These limits are significantly improved with respect to the previous OPAL results , and are the best limits published to date.

## Acknowledgements

We particularly wish to thank the SL Division for the efficient operation of the LEP accelerator at all energies and for their close cooperation with our experimental group. In addition to the support staff at our own institutions we are pleased to acknowledge the
Department of Energy, USA,
National Science Foundation, USA,
Particle Physics and Astronomy Research Council, UK,
Natural Sciences and Engineering Research Council, Canada,
Israel Science Foundation, administered by the Israel Academy of Science and Humanities,
Benoziyo Center for High Energy Physics,
Japanese Ministry of Education, Culture, Sports, Science and Technology (MEXT) and a grant under the MEXT International Science Research Program,
Japanese Society for the Promotion of Science (JSPS),
German Israeli Bi-national Science Foundation (GIF),
Bundesministerium für Bildung und Forschung, Germany,
National Research Council of Canada,
Hungarian Foundation for Scientific Research, OTKA T-029328, and T-038240,
Fund for Scientific Research, Flanders, F.W.O.-Vlaanderen, Belgium.


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# Quenched scalar-meson correlator with Domain Wall Fermions

## 1 Introduction

The nature of the lightest scalar mesons is not well understood. The observed $`\sigma `$ resonance $`0^{++}`$ with $`m480`$ MeV and $`\mathrm{\Gamma }320`$ MeV  can be either a manifestation of the $`\pi \pi `$ scattering or a distinct $`0^{++}`$ state. Recent lattice simulations explore whether the lightest singlet $`0^{++}`$ state is a $`q\overline{q}`$ state, a mixture of $`\overline{q}q`$ and glueball or a $`\overline{q}^2q^2`$ state . A dynamical simulation of $`\overline{q}q`$ in Ref.  indicates $`m_\sigma ^{lat}m_\rho ^{lat}`$, while Ref.  finds $`m_\sigma ^{lat}`$ as low as $`m_\pi ^{lat}`$ indicating possible restoration of chiral symmetry at finite volume. In quenched studies, $`\overline{q}q`$-glueball mixing renders the lowest scalar mass both below $`1`$ GeV  and above $`1`$ GeV .

The lightest observed non-singlet scalar states are $`a_0(980)`$ and $`a_0(1450)`$. Previous lattice simulations indicate that lowest scalar $`(\overline{q}q)_{I=1}`$ state is heavier than $`1`$ GeV . This opens the question on the nature of the $`a_0(980)`$, proposed to be a $`\overline{q}^2q^2`$ state in . Dynamical simulation  observes an indication for the $`a_0\eta ^{}\pi `$ decay.

Those simulations were using Wilson  and Kogut-Susskind  fermions. We re-examine the light scalar spectrum using Domain Wall fermions (DWF), which allow us to study lighter quark masses. Good chiral properties of DWF are especially welcome in the study of the $`\sigma `$ meson, which is intimately related to chiral symmetry breaking.

A light $`\sigma `$ could play an important role as an intermediate state in $`K\sigma (\pi \pi )_{I=0}`$, for example.

## 2 Lattice simulation

We use the quenched approximation together with DWF ($`L_s=16`$) and RG-improved gauge action (DBW2). This renders the chiral symmetry breaking parameter $`m_{res}`$ smaller than $`1`$ MeV. Our lattice parameters are shown in Table 1.

Table 1: Simulation parameters, ranges of $`m_\pi a`$ and results for $`m_0`$.

The disconnected quark diagram is simulated with the Kuramashi technique . This technique is applied also for the connected diagram, so that a meson has a point source on every lattice site.

## 3 Connected diagram and quenching effects

The connected two-point function exhibits conventional exponential decay for $`m_q>m_s`$ and gives us the $`a_0`$ mass consistent with .

The connected two-point function has a striking quenched effect for $`m_q<m_s`$  \- it is negative at larger times! Fig. 1 shows that the negativity is more pronounced for smaller quark masses and smaller volumes. We also find that the correlation function is negative only for non-zero topological charge $`Q`$. This is consistent with the effects of fermionic zero modes, which are not suppressed in the quenched approximation and whose contributions are related by

$$d^4xa_0(x)a_0^{}(0)_0=d^4x\pi (x)\pi ^{}(0)_0=\frac{|Q|}{Vm_q^2}.$$
(1)
The negativity can be understood also within quenched chiral perturbation theory ($`Q\chi PT`$). The small-volume version of $`Q\chi PT`$  respects the relation (1) and is discussed in the Section 5. It is applicable when pion wavelength $`\lambda _\pi >L`$.

We extract $`m_{a_0}`$ using the large-volume version of $`Q\chi PT`$ where $`\lambda _\pi <L`$ . The dominant negative contribution to $`a_0(t)a_0^{}(0)`$ in this approach arises from the $`\pi \eta ^{}`$ intermediate state  (Fig. 2). This diagram dominates at larger $`t`$, where the $`e^{m_{a_0}t}`$ term is sub-dominant. The $`q\overline{q}\pi \eta ^{}`$ coupling is $`m_\pi ^2/m_q`$. The finite volume is taken into account by replacing the integral over momenta with a finite sum. The value of the $`m_0`$ insertion is determined from the disconnected pseudoscalar diagram and is given in Table 1. The value of $`\delta =m_0^2/(24\pi ^2f_\pi ^2)0.14\pm 0.04`$ ($`f_\pi 0.13`$ GeV) obtained from this $`m_0`$ is larger than $`\delta `$ obtained from $`m_\pi `$  and this discrepancy is currently under study. We use $`m_0^2`$ from the hairpin to be consistent with $`m_1^2`$ determined in analogous way below. With this input, the diagram in Fig. 2 is predicted with no free parameters and agrees well with our data for different quark masses and volumes, as shown in Fig. 1. Surprisingly, the agreement is good also for the case of smallest $`m_q`$ and $`V`$, where effects from fermionic zero modes are thought to be important.

The complete $`Q\chi PT`$ description of the $`a_0(t)a_0^{}(0)`$ correlator incorporates pseudoscalar and scalar fields , and is given by the sum of the $`a_0`$-exchange diagram, the diagram in Fig. 2 and their chiral corrections (given in Fig. 8 of ). The sum of the diagrams describes our data very well and depends only on two free-parameters: the $`a_0`$ mass and its coupling $`\sqrt{8}f_{a_0}m_\pi ^2/m_q`$ to the $`\overline{q}q`$ current111$`m_{a_0}`$ and $`f_{a_0}`$ are denoted by $`m_s`$ and $`f_s`$ in . . On the lattice with the largest volume, which has smaller finite-size and quenching effects (Fig.1), we find $`f_{a_0}0.05`$ GeV insensitive to $`m_q`$, while $`m_{a_0}`$ is shown in Fig. 3. Our result for $`m_{a_0}`$ is lower than those of  since we have taken into account the intermediate two-pseudoscalar states in the analysis of the two-point function 222The result for $`m_{a_0}`$ in  is larger since their value of $`f_\pi `$ is somewhat higher than the physical value, so the chiral corrections are smaller.. Our result does not exclude the possibility of $`a_0(980)`$ being a $`\overline{q}q`$ state.

## 4 Disconnected diagram and $`\sigma `$ meson

Our data for the disconnected two-point function is given in Fig. 4. We analyze it in terms of the meson diagram333 We approximate $`m_1^2`$ to be a local coupling since the lightest glueball has a heavy mass of $`1.6`$ GeV . in Fig. 5: $`\sigma ^0(t)\sigma ^0(0)\sigma ^0\sigma ^0=[\sqrt{8}f_{a_0}m_\pi ^2/m_q]^2(m_1^2)/(p^2+m_{a_0}^2)^2`$. The values of $`m_{a_0}`$ and $`f_{a_0}`$ are taken from the connected diagram above. We have checked also that $`m_{a_0}`$, determined from the shape of the disconnected two-point function, is consistent with $`m_{a_0}`$ obtained from the connected two-point function. A one-parameter fit to $`m_1^2`$ gives $`m_1^2a^2=0.11\pm 0.04`$ at $`m_\pi a=0.3003\pm 0.0019`$ for our largest lattice, consistent with results from the other two lattices. The sum of the diagrams with an arbitrary number of $`m_1^2`$ insertions in the dynamical theory gives the singlet scalar mass $`m_\sigma ^2=m_{a_0}^2+m_1^2`$. The sign of the disconnected diagram in our data has an important physical consequence as it implies that $`m_1^2<0`$ and $`m_\sigma <m_{a_0}`$. The resulting $`m_\sigma `$ is shown in Fig. 3.

## 5 $`Q\chi PT`$ at small volume

Fig. 6 shows the comparison between predictions of small-volume $`Q\chi PT`$  and our data for two-point functions at fixed topology and very small $`m_q`$. The dominance of the fermionic zero modes as $`V0`$ and $`m_q0`$ (Eq. 1) is reflected in our data as well as the effective theory. Note that $`Q\chi PT`$  gives a negative prediction for the pion correlator at this $`V`$ for larger $`t`$, although a pion correlator with a point source and sink should be positive on every configuration by definition. This probably indicates that the expansion parameter $`1/(Lf_\pi )`$ in $`Q\chi PT`$ is not small enough at $`8^3\times 24`$ with $`a^1=1.3`$ Gee and the comparison has to be performed at larger volume.

## 6 Conclusion

We examined the lightest $`\overline{q}q`$ singlet and non-singlet scalar meson masses using Domain Wall fermions in the quenched approximation. Our conclusions on the scalar spectra are based on the lattice with the largest volume and are displayed in Fig. 3. The singlet is lighter than non-singlet - this is an inevitable consequence of the sign of the disconnected two-point function. Our results $`m_{a_0}=1.04\pm 0.07`$ GeV and $`m_\sigma =0.9\pm 0.1`$ GeV at the smallest quark mass indicate that the lightest singlet $`\overline{q}q`$ state could be lighter than $`1`$ GeV and can not rule out that the $`a_0(980)`$ is a $`\overline{q}q`$ state.


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# On the singular braid monoid of an orientable surface

## 1 Introduction

The aim of this paper is proving, in an easy and fully topological way, that the singular braid monoid of an orientable surface can be embedded into a group.

The singular braid monoids appear naturally when studying braid groups of surfaces. They were introduced in  and  and they arise in some situations connected with the Vassiliev knot invariants ().

A particular case of our theorem (that of the open disk) was proved by Fenn, Keyman and Rourke in , where it was pointed out that all the topological difficulties of the proof relied on the so–called diamond lemma. Their proof, although purely topological, was both quite involved and not adaptable (at least in an easy way) for general orientable surfaces. On the other hand our approach results in a simpler proof, even for the open disk case.

An algebraic generalization of this result can be found in , which in fact may include the surface case if applied together with the results of  concerning the monoid presentation. However, we think that a topological and more down–to–earth proof of this result may shed some light and contribute towards a better understanding of the subject.

A final comment is in order : a different proof of this result, also based in the monoid presentation, has been announced to us by Bellingeri in a private communication.

## 2 The singular braid monoid and the singular braid group

Definition.– Let $`U`$ be any orientable surface. If we fix beforehand $`n`$ distinct points $`P_1,\mathrm{},P_nU`$, a geometric braid is a set of $`n`$ differentiable disjoint paths $`b_1,\mathrm{},b_n`$ inside the cylinder $`U\times [0,1]`$, such that $`b_i`$ (also called the $`i`$–th string) goes, monotonically in $`t[0,1]`$, from $`(P_i,0)`$ to $`(P_j,1)`$.

A singular geometric braid is just the same as a geometric braid, except for the fact that we allow a finite number of transversal intersections between two strings. The intersection points will be called singular points.

If we consider the braids modulo isotopies of $`U\times [0,1]`$ leaving fixed $`U\times \{0,1\}`$, we get the singular braid monoid (of $`U`$), noted $`SB_n`$, with the operation defined by concatenation.

We will note by $`\alpha ,\beta ,\gamma ,\mathrm{}`$ the geometric braids and by $`\widehat{\alpha },\widehat{\beta },\widehat{\gamma },\mathrm{}`$ their corresponding classes in $`SB_n`$.

When $`U`$ is the open disk $`D`$, $`SB_n`$ is a very well–known monoid (), generated by the braids $`\widehat{\sigma _i},\widehat{\sigma _i^1},\widehat{\tau _i}`$, where $`\sigma _i,\sigma _i^1,\tau _i`$ are the geometric braids shown below. We will also speak of $`\widehat{\sigma _i},\widehat{\sigma _i^1},\widehat{\tau _i}`$ in the general case, by means of the natural embedding of the singular braid monoid of the disk into $`SB_n`$.

In what follows, we will draw braids only in the cylinder $`D\times [0,1]`$ (for the sake of simplicity), although our arguments will work for $`U\times [0,1]`$.

We will introduce now the analogous setup to that of Fenn, Keyman and Rourke in  for the disk case.

Definition.– We will call $`M`$ the monoid where the elements are geometric singular braids (modulo isotopies) in which every singular point is assigned a colour, black or white.

We will then note by $`\alpha ,\beta ,\gamma ,\mathrm{}`$ the geometric braids (with coloured singular points) and by $`\widehat{\alpha },\widehat{\beta },\widehat{\gamma },\mathrm{}`$ their corresponding classes in $`M`$.

Remark.– There is a surjection from $`M`$ to $`SB_n`$ which consists on forgetting the colours of the singular points. On the other hand, $`SB_n`$ can be embedded in $`M`$ by assigning the black colour to every singular point. The image of $`\widehat{\tau _i}`$ under this injection will be noted also by $`\widehat{\tau _i}`$, while we will note by $`\upsilon _i`$ the braid obtained by assigning the white colour to the singular point of $`\tau _i`$. We will call $`\widehat{\upsilon _i}`$ the opposite of $`\widehat{\tau _i}`$.

Without explicit mention we will consider $`SB_n`$ as a submonoid of $`M`$, using the above injection.

Definition.– If we add to $`M`$ the relations $`\widehat{\tau _i}\widehat{\upsilon _i}=\widehat{\upsilon _i}\widehat{\tau _i}=1`$, we obtain a group, called the singular braid group (of $`U`$), noted $`SG_n`$.

From now on, if a singular braid has the form, say $`\widehat{\alpha }=\widehat{\alpha _1\tau _i\alpha _2}`$, and we do not care about who $`\alpha _1`$ and $`\alpha _2`$ are, we will draw it as follows:

## 3 The embedding theorem

Theorem.– The natural map $`SB_nSG_n`$ is one–to–one.

Before proving the result we will introduce a few notations. For $`\alpha ,\beta `$ geometric singular braids, we will note $`\alpha \beta `$ if there exist $`\alpha _1,\beta _1`$ such that $`\widehat{\alpha }=\widehat{\alpha _1}`$, $`\widehat{\beta }=\widehat{\beta _1}`$ and we can obtain $`\beta _1`$ from $`\alpha _1`$ by adding a pair of consecutive opposite singular points. In the same way, we will note $`\alpha \beta `$ if there exist $`\alpha _1,\beta _1`$ such that $`\widehat{\alpha }=\widehat{\alpha _1}`$, $`\widehat{\beta }=\widehat{\beta _1}`$ and we can obtain $`\beta _1`$ from $`\alpha _1`$ by erasing a pair of consecutive opposite singular points.

Remark.– Note that $`\widehat{\alpha }`$ and $`\widehat{\beta }`$ define the same element on $`SG_n`$ if and only if there exist $`\alpha =\alpha _0,\alpha _1,\mathrm{},\alpha _k=\beta `$ such that either $`\alpha _i\alpha _{i+1}`$ or $`\alpha _i\alpha _{i+1}`$ for all $`i=0,\mathrm{},k1`$.

The following result is the key part of the proof of the theorem, as noted in , where it is proved for the case $`U=D`$. The proof will be given in the following section.

Diamond lemma.– Let $`\alpha ,\beta ,\gamma `$ be geometric singular braids such that $`\alpha \beta \gamma `$. Then, either $`\widehat{\alpha }=\widehat{\gamma }`$, or there exists $`\eta `$ such that $`\alpha \eta \gamma `$.

Definition.– We will say $`\widehat{\alpha }M`$ is irreducible if there is no $`\beta `$ with $`\alpha \beta `$.

Corollary.– If $`\widehat{\alpha },\widehat{\beta }M`$ are irreducible and define the same element in $`SG_n`$, then $`\widehat{\alpha }=\widehat{\beta }`$ in $`M`$.

The proof is immediate from the diamond lemma (see ) and, besides, as the elements of $`SB_n`$ are irreducible (they only have black singular points), this proves that the map from $`SB_n`$ to $`SG_n`$ is an embedding. Hence the theorem is proved, up to the diamond lemma.

## 4 The diamond lemma

Given a geometric singular braid $`\beta `$, with a singular point $`p`$ on it, we will denote by $`\beta (p^+)`$ and $`\beta (p^{})`$ the braid obtained from $`\beta `$ by replacing $`p`$ by a positive and negative crossing, respectively. That is, if $`\beta =\beta _1\tau _i\beta _2`$, (where $`p`$ is the singular point in $`\tau _i`$) we will have $`\beta (p^+)=\beta _1\sigma _i\beta _2`$ and $`\beta (p^{})=\beta _1\sigma _i^1\beta _2`$. In a similar way, if we have $`p_1,\mathrm{},p_m`$ singular points on $`\beta `$, we will write $`\beta (p_1^{s_1},\mathrm{},p_m^{s_m})`$ the braid obtained by replacing each $`p_i`$ by a crossing with sign $`s_i\{+,\}`$.

If we have a singular braid $`\beta `$, with a singular point $`p`$ on it, we will write $`\beta (p^{})`$ and $`\beta (p^{})`$ the braid obtained from $`\beta `$ by replacing $`p`$ (no matter which colour it has) by a black point and a white point, respectively.

Lemma 1.– Let $`\beta `$ and $`\beta ^{}`$ be geometric singular braids, $`p`$ a singular point on $`\beta `$. Assume $`\widehat{\beta }=\widehat{\beta ^{}}`$ and let us call also $`p`$ the point corresponding to $`p`$ in $`\beta ^{}`$. Then:

1. $`\widehat{\beta (p^+)}=\widehat{\beta ^{}(p^+)}`$.
2. $`\widehat{\beta (p^{})}=\widehat{\beta ^{}(p^{})}`$.

Proof.– As both cases are analogous, we will do the first case only. As $`\widehat{\beta }=\widehat{\beta ^{}}`$ , there exists an isotopy of the cylinder, $`H_t`$, with $`H_0(\beta )=\beta `$, $`H_1(\beta )=\beta ^{}`$. Take a sphere $`S`$ centered at $`p`$ with radius small enough such that the only strings intersecting $`S`$ are those forming the singular point. We can assume that $`\beta (p^+)`$ and $`\beta `$ coincide outside $`S`$.

We can suppose that $`H_1(S)`$ is also a sphere centered at $`p`$ on $`\beta ^{}`$. Hence, if we apply $`H_1`$ to $`\beta (p^+)`$, we obtain the braid $`\beta ^{}`$, except for the fact that the point $`p`$ has been replaced by a positive crossing (since $`U`$ is orientable). That is, we get $`\beta ^{}(p^+)`$. So $`H_1(\beta (p^+))=\beta ^{}(p^+)`$.

Lemma 2.– Let $`\widehat{\beta }M`$, having two consecutive singular points, $`p`$ and $`q`$. Then $`\widehat{\beta (p^s,q^c)}=\widehat{\beta (p^c,q^s)},\text{ with }s\{+,\},c\{,\}.`$

Proof.– This result is a straightforward consequence of the well known relation $`\sigma _i\tau _i=\tau _i\sigma _i`$ in the singular braid monoid of the disk.

We can now proceed to prove the diamond lemma. As $`\alpha \beta `$ we can consider, with no loss of generality, that $`\alpha =\beta (p^+,q^{})`$ for some pair $`p,q`$ of opposite consecutive points in $`\beta `$. On the other side, as $`\beta \gamma `$, let us call $`\beta ^{}`$ the braid verifying $`\widehat{\beta }=\widehat{\beta ^{}}`$ and, as above, $`\gamma =\beta ^{}(r^+,s^{})`$ for a pair $`r,s`$ of opposite consecutive points in $`\beta ^{}`$.

Let us call $`H`$ the cylinder isotopy taking $`\beta `$ into $`\beta ^{}`$. Then, using our previous notation, we can write $`\alpha =\beta (p^+,q^{})\beta \stackrel{H}{}\beta ^{}\beta ^{}(r^+,s^{})=\gamma .`$

The technique used for the proof is heavily related to the proof of lemma 1. In fact, we will make an extensive use of the fact that $`H`$ brings together $`r`$ and $`s`$, while possibly moving apart $`p`$ and $`q`$, and $`H^1`$ acts the other way around. This fact, together with the using of the small spheres as in lemma 1, will give us the result.

We will assume that $`p`$ is above $`q`$ and $`r`$ is above $`s`$ from now on. Then we need to distinguish three cases:

1. $`p=r`$, $`q=s`$.
2. $`p,q,r,s`$ are all distinct.
3. $`p=s`$ or $`q=r`$.

Case (a) This is the easiest situation. As $`\widehat{\beta }=\widehat{\beta ^{}}`$, from lemma 1 we have $`\widehat{\beta (p^+)}=\widehat{\beta ^{}(p^+)}`$. Hence $`\widehat{\alpha }=\widehat{\beta (p^+,q^{})}=\widehat{\beta ^{}(p^+,q^{})}=\widehat{\gamma }`$.

Case (b) In this case $`\beta `$ has two pairs of opposite singular points, $`(p,q)`$ and $`(r,s)`$, of which $`(p,q)`$ are consecutive. Hence $`\beta `$ can be assumed to have the form $`\beta _1\tau _i\upsilon _i\beta _2`$, and the analogous thing happens with $`\beta ^{}`$ and $`(r,s)`$.

Then we can write

$$\alpha =\beta (p^+,q^{})\stackrel{H}{}\beta ^{}(p^+,q^{})\beta ^{}(p^+,q^{},r^+,s^{})\stackrel{H^1}{}$$

$$\stackrel{H^1}{}\beta (p^+,q^{},r^+,s^{})\beta (r^+,s^{})\stackrel{H}{}\beta ^{}(r^+,s^{})=\gamma .$$

This proves the existence of $`\eta =\beta ^{}(p^+,q^{},r^+,s^{})`$ with $`\alpha \eta \gamma `$.

Case (c) We will do the subcase $`q=r`$, the other one being symmetric. We have

Then, from lemma 2,

$$\alpha =\beta (p^+,q^{})\stackrel{H}{}\beta ^{}(p^+,q^{})=\beta ^{}(p^+,q^{},s^{})\stackrel{}{}\beta ^{}(p^+,q^{},s^{})\stackrel{H^1}{}$$

$$\stackrel{H^1}{}\beta (p^+,q^{},s^{})\stackrel{}{}\beta (p^{},q^+,s^{})\stackrel{H}{}\beta ^{}(p^{},q^+,s^{})=\gamma ,$$

where $`\stackrel{}{}`$ stands for the (non–specified) isotopies which come from applying the lemma 2. This proves $`\widehat{\alpha }=\widehat{\gamma }`$ and concludes the proof of the diamond lemma.


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# Pseudo-Newtonian Potentials to Describe the Temporal Effects on Relativistic Accretion Disks around Rotating Black Holes and Neutron Stars

## 1. Introduction

X-ray binaries are known to be powered by accretion disks around Neutron Stars and Black Holes. The rapid variability of these sources indicate that the X-ray emission arises from the inner accretion disk where the effects of strong gravity are important. High frequency ($``$ kHz) Quasi Periodic Oscillations (QPO) have been observed in neutron star systems (see van der Klis 2000 for a review) while slightly lower frequencies ($`450`$ Hz) QPOs have been detected in black hole systems (Strohmayer 2001). For neutron star systems the kHz QPO tends to be observed in pairs. Associating these frequencies with a Keplerian frequency in the disk, leads to the conclusion that the phenomena originate at radii less than 20 gravitational radius ($`r_gGM/c^2`$).

A number of theoretical ideas have been proposed to explain the phenomenology of kilohertz QPO. In all these models, one of the two frequencies observed in neutron star systems, is identified as the Keplerian frequency of the innermost orbit of an accretion disk. The sonic point model (Miller et al. 1998) identifies the second frequency as the beat of the primary QPO with the spin of the neutron star, while according to the two oscillators model (Osherovich & Titarchuk 1999), the secondary frequency is due to the transformation of the primary (Keplerian) frequency in the rotating frame of the neutron star magnetosphere. On the other hand, Stella & Vietri (1999) have proposed a General Relativistic (GR) precession/apsidal motion model, wherein the primary frequency is the Keplerian frequency of a slightly eccentric orbit and the secondary is due to the relativistic apsidal motion of this orbit i.e. the secondary frequency is the Keplerian frequency minus the epicyclic one. These models in general are based on identifying the characteristic frequencies of the system with observed ones and often do not address the issue of how such oscillations occur in the accreting flow.

A complete understanding of the QPO phenomena would require a self consistent hydrodynamical simulation of the accreting flow in general relativity. While such an ambitious endeavor has been impeded for several reasons, the main difficulties can be identified to be (a) the development of a self-consistent turbulent viscosity and (b) the inclusion of GR effects. In hydrodynamical simulations, turbulent viscosity has typically been introduced in a parametric form like the $`\alpha `$-parameterization (e.g. Taam & Lin 1984). Since the temporal behavior of accretion disks is expected to depend on the form of the viscosity law, the results of such simulations were not conclusive. A promising mechanism for driving the turbulence responsible for angular momentum and energy transport is the action of the magneto-rotational instability (MRI) that is expected to take place in such disks (Balbus & Hawley 1991). Recent 3D magneto hydrodynamical (MHD) simulations have shown that indeed the MRI can give rise to a turbulent viscosity which leads to the accretion flow in a Keplerian disk (Hawley, Balbus & Stone 2001). While presently such simulations do not include radiation (and hence do not describe optically thick accretion flow), it is expected that self-consistent simulations will be possible in the near future and the temporal behavior of accretion disks can be studied with confidence.

Despite these recent advances, it is still extremely difficult to simulate realistic accretion flows in a complete GR framework. However, relativistic effects may be approximately simulated by using modified Newtonian (or Pseudo-Newtonian) potentials in the non-relativistic radial-momentum equation. Paczyński & Wiita (1980) proposed such a pseudo-Newtonian potential which has been frequently used in simulations (e.g. Milsom & Taam 1997; Hawley & Balbus 2002). Here the Newtonian potential has been replaced by $`\varphi =GM/(r2r_g)`$. The attractive feature of the potential is that it reproduces the last stable orbit exactly and the specific energies of circular orbits within $`10\%`$ of the GR values (i.e. for Schwarzschild geometry). Several other pseudo-Newtonian potentials have been proposed and used in the literature (e.g. Chakrabarti & Khanna 1992). Artemova et al. (1996) have considered several such potentials and concluded that the Paczyński-Wiita potential is better than the rest based on the above criteria for non-rotating compact objects. Recently, Mukhopadhyay (2002) has proposed a pseudo- potential which is valid for rotating compact objects. This potential reproduces the GR values of last stable orbit exactly and is a good approximation ($`<10\%`$ error) for the specific energy at last stable circular orbit in case of Kerr geometry. It also reduces to the Paczyński-Wiita potential when the spin of the black hole is set to zero.

However, these potentials are not a good approximation (with error $`>50\%`$) for the angular and epicyclic frequencies for radii $`<20r_g`$. Thus, while they are adequate to approximate the relativistic effects for a steady state accretion disk, they can not quantitatively reproduce the temporal behavior of a disk since that is expected to depend on the disk’s characteristic (i.e. the angular and epicyclic) frequencies. Nowak & Wagoner (1991) have proposed a potential for a non rotating black hole which reproduces the Keplerian frequencies (with deviations $`<15\%`$) and the epicyclic frequencies (with deviations less than $`45\%`$) and hence is better than the Paczyński-Wiita potential for such applications.

In this paper, we present two pseudo-Newtonian potentials which may be used to simulate the relativistic time varying effects in accretion disks around a compact object that may be co-rotating or counter-rotating with respect to the disk with the spin parameter $`a<0.99`$. For faster spin rates the predictions of these potentials deviate pronouncedly (with errors $`>200\%`$) and hence are no longer a good approximation. The first has been named the Second-order Expansion Potential (SEP) since it contains terms up to $`(r_{ms}/r)^2`$, where $`r_{ms}`$ is the marginally stable orbit. This potential reproduces the specific energy and the angular frequency with deviations $`<10\%`$ and $`<25\%`$, respectively from GR values (i.e. for Kerr geometry). The deviations in epicyclic frequency range from $`25170\%`$ (for $`a0.9`$) depending on the spin rate of the compact object. When the object is not rotating, the potential reduces to the one proposed by Nowak & Wagoner (1991). The second has been named Logarithmically Modified Potential (LMP) since it contains a logarithmic term. This potential reproduces well the angular (with deviations $`<20\%`$ for co-rotating and $`<40\%`$ for counter-rotating flows) and epicyclic frequencies (with deviations $`<60\%`$) but predicts specific energies which are around $`30\%`$ different from the GR values.

## 2. Pseudo-Newtonian Potentials

Since hydrodynamical code directly require the gravitational acceleration, it is practical to modify the Newtonian force instead of the potential. In terms of such a modified force per unit mass ($`F`$), the angular ($`\mathrm{\Omega }`$) and epicyclic ($`\kappa `$) frequencies are given by

$$\mathrm{\Omega }^2=\frac{F}{R}$$
(1)
and

$$\kappa ^2=\frac{2\mathrm{\Omega }}{R}\frac{d}{dR}(\mathrm{\Omega }R^2)=\frac{1}{R^3}\frac{d}{dR}(FR^3).$$
(2)
These Newtonian (or pseudo-Newtonian) frequencies should match with the GR ones ($`\mathrm{\Omega }_{GR}`$ and $`\kappa _{GR}`$) as seen by an observer at infinity. In terms of the dimensionless radial coordinate ($`r=R/r_g`$) and spin parameter ($`a`$) these frequencies are given by (e.g. Semerák & Zácek 2000),

$$\mathrm{\Omega }_{GR}=\frac{1}{r^{3/2}+a}$$
(3)
and

$$\kappa _{GR}^2=\left(\frac{\mathrm{\Omega }_{GR}}{r}\right)^2[\mathrm{\Delta }4(\sqrt{r}a)^2]$$
(4)
where $`\mathrm{\Delta }=r^22r+a^2`$. For the above equations and rest of the paper we have used dimensionless quantities by setting $`G`$, $`M`$ and $`c`$ to be unity.

The modified force should also reproduce the marginal stable radius ($`r_{ms}`$) given by (Bardeen 1973)

$`r_{ms}`$ $`=`$ $`3+Z_2[(3Z_1)(3+Z_1+2Z_2)]^{1/2}`$ (5)
$`Z_1`$ $`=`$ $`1+(1a^2)^{1/3}[(1+a)^{1/3}+(1a)^{1/3}]`$
$`Z_2`$ $`=`$ $`(3a^2+Z_1^2)^{1/2},`$
where the ’-’ (’+’) sign is for the co-rotating (counter-rotating) flow.

Since either one of the relativistic frequencies ($`\mathrm{\Omega }_{GR}`$ and $`\kappa _{GR}`$) can specify the form of the required modified force, $`F`$ (from Eqns. 1 or 2), it is clear that a modified Newtonian force cannot reproduce both the frequencies exactly. Hence an appropriately chosen modified force should correspond to frequencies which have minimal deviation from the GR values. Here we present two such modified (or pseudo-Newtonian) forces. Both the potentials are constructed in such a manner that the marginally stable orbit ($`r_{ms}`$) is always same as the relativistic value (i.e. in Kerr geometry).

### 2.1.  Second-order Expansion Potential (SEP)

For this potential the Newtonian force per unit mass is modified to be,

$$F=\mathrm{\Omega }^2r=\frac{1}{r^2}\left[1\left(\frac{r_{ms}}{r}\right)+\left(\frac{r_{ms}}{r}\right)^2\right]$$
(6)
where $`r_{ms}`$ is given by Eqn. (5). The corresponding epicyclic frequency is

$$\kappa =\frac{1}{r^{3/2}}\left[1\left(\frac{r_{ms}}{r}\right)^2\right]^{1/2}.$$
(7)
In Figs. 1, 2, and 3, the variation of angular and epicyclic frequencies with radii are compared with GR values for three different values of the spin parameters $`a=0,0.5,0.9`$. Figure 4 shows the variations of these frequencies for spin parameter $`a=0.99`$ where the deviations from the GR values are large and the potentials described in the work are no longer a good approximation, particularly for the epicyclic frequency. The main advantage of this potential is its relative simplicity and that the angular frequencies deviate from the GR values by less than or equals to $`25\%`$. The specific energy (i.e. the energy per unit mass for a circular orbit) is also close (error is at most $`10\%`$ for all values of the Kerr parameter including $`a=1`$) to the relativistic values (see Fig. 5). Its disadvantage is that $`\kappa `$ deviates from $`\kappa _{GR}`$ by around $`40\%`$ for low and by nearly $`150\%`$ for high spin values ($`a0.9`$) of the compact object (Fig. 3). However, for higher counter-rotation of the compact object the error in $`\kappa `$ reduces to $`25\%`$.

### 2.2.  Logarithmically Modified Potential (LMP)

Here the Newtonian force is modified to be

$$F=\frac{1}{r^2}\left[1+r_{ms}\left\{\frac{9}{20}\frac{(r_{ms}1)}{r}\frac{3}{2r}log\left(\frac{r}{(3rr_{ms})^{2/9}}\right)\right\}\right]$$

and the corresponding epicyclic frequency is given by

$$\kappa ^2=\frac{3}{2r^4}\frac{(rr_{ms})(2rr_{ms})}{(3rr_{ms})}.$$
(8)
Note that the term in the force which depends on $`r^3`$ does not contribute to $`\kappa `$ (Eqn. 2). The logarithmic form of the modified force (Eqn. (8)) was obtained by integrating the epicyclic frequency expression (9) whose form was guessed to be a good approximation. The advantage of this potential is that both the angular and epicyclic frequencies are generally better comparable with the GR values than the SEP (Figs. 1, 2 and 3). Its disadvantage is that the specific energy deviates by more than $`30\%`$ from the GR values which is substantially larger than the deviation for SEP (Fig. 5).

## 3. Summary and Discussion

In this work, we have presented two pseudo-Newtonian potentials which approximate the general relativistic effects on an accretion disk around rotating compact objects. These two potentials are designed particularly to approximate the angular and epicyclic frequencies of the accretion disk as seen by an observer at infinity. Table 1 summarizes the results by comparing the maximum percentage deviations from relativistic values (in Kerr geometry) for the two potentials and comparing them with those of another standard pseudo-potential.

The SEP not only approximates the frequencies well, but also the specific energies for circular orbits turn out to be remarkably close to the relativistic values. Thus based on such criteria, this potential is better than other pseudo-Newtonian potentials given in the literature and can be used to simulate both the steady state and time varying accretion disks. The LMP while being a better approximation to the frequencies than SEP, gives rather large ($`30\%`$) deviation from the GR results for the specific energies. Hence its utility is perhaps limited to the time-dependent studies of accretion disks.

Which one of these two potentials should be used in a hydrodynamical simulation depends on problem being addressed. Acoustic waves (which depend on the epicyclic frequencies) would perhaps be better simulated by the LMP while the SEP may be more suited for the long term temporal behavior (which may depend also on the energy dissipation). Moreover, a temporal behavior detected in a simulation could be an artifact of the pseudo-Newtonian potential rather than true GR effects. Hence, it will be prudent to confirm the behavior using both the potentials. Since the mathematical forms of the two potentials are quite different any temporal behavior detected for both the potentials would imply that the behavior is indeed due to relativistic effects. Use of these potentials in hydrodynamical simulations of accretion disk will help in the understanding of relativistic effects and may serve as a guideline for advanced simulations in general relativity.


text:
# F-regularity does not deform

## 1. Introduction

Throughout this paper, all rings are commutative, Noetherian, and have an identity element. The theory of tight closure was developed by Melvin Hochster and Craig Huneke in \[HH2\] and draws attention to rings which have the property that all their ideals are tightly closed, called weakly F-regular rings. The term F-regular is reserved for rings all of whose localizations are weakly F-regular. A natural question that arose with the development of the theory was whether the property of F-regularity deforms, i.e., if $`(R,m,K)`$ is a local ring such that $`R/tR`$ is F-regular for some nonzerodivisor $`tm`$, must $`R`$ be F-regular? (See the Epilogue of \[Ho\].) Hochster and Huneke showed that this is indeed true if the ring $`R`$ is Gorenstein, \[HH3\], and their work has been followed by various attempts at extending this result, see \[AKM, Si, Sm3\]. Our primary goal here is to settle this question by constructing a family of examples to show that F-regularity does not deform. We shall throughout be considering $``$-graded rings, but local examples can be obtained, in all cases, by localizing at the homogeneous maximal ideals. Our main result is:

###### Theorem 1.1.

There exists an $``$-graded ring $`R`$ of dimension three (finitely generated over a field $`R_0=K`$ of characteristic $`p>2`$) which is not F-pure, but has an F-regular quotient $`R/tR`$ where $`tm`$ is a homogeneous nonzerodivisor.

Specifically, for positive integers $`m`$ and $`n`$ satisfying $`mm/n>2`$, consider the ring $`R=K[A,B,C,D,T]/I`$ where $`I`$ is generated by the size two minors of the matrix

$$\left(\begin{array}{ccc}A^2+T^m& B& D\\ C& A^2& B^nD\end{array}\right).$$

Then the ring $`R/tR`$ is F-regular, whereas $`R`$ is not F-regular. If $`p`$ and $`m`$ are relatively prime integers, then the ring $`R`$ is not F-pure.

A notion closely related to (and frequently the same as) F-regularity is that of strong F-regularity. A recent result of G. Lyubeznik and K. E. Smith states that the properties of weak F-regularity, F-regularity, and strong F-regularity agree for $``$-graded F-finite rings, see \[LS\]. In the light of this result, we frequently make no distinction between these notions.

The first result on the deformation of F-regularity is a theorem of Hochster and Huneke which states that for a Gorenstein local ring $`(R,m,K)`$, if $`R/tR`$ is F-regular for some nonzerodivisor $`tm`$, then $`R`$ is F-regular. They show that for Gorenstein rings the properties of F-regularity and F-rationality coincide, and that F-rationality deforms, see \[HH3, Theorem 4.2\]. This result is generalized in \[Si\] where the author uses the idea of passing to an anti-canonical cover $`S=_{i0}I^{(i)}`$, where $`I`$ represents the inverse of the canonical module in $`Cl(R)`$. Strong F-regularity is shown to deform in the case that the symbolic powers $`I^{(i)}`$ satisfy the Serre condition $`S_3`$ for all $`i0`$, and the ring $`S`$ is Noetherian.

This question has also been settled for $``$-Gorenstein rings, i.e., rings in which the canonical module is a torsion element of the divisor class group. For $``$-Gorenstein rings essentially of finite type over a field of characteristic zero, K. E. Smith showed that the property of F-regular type (a characteristic zero analogue of F-regularity) does deform, see \[Sm3\]. The point is that in this setting F-regular type is equivalent to log-terminal singularities, and log-terminal singularities deform by J. Kollár’s result on “inversion of adjunction”, see \[Ko\]. For $``$-Gorenstein rings of characteristic $`p`$, a purely algebraic proof that F-regularity deforms was provided by I. Aberbach, M. Katzman, and B. MacCrimmon in \[AKM\].

Before proceeding with formal definitions in the next section, we would like to point out that although tight closure is primarily a characteristic $`p`$ notion, it has strong connections with the study of singularities of algebraic varieties over fields of characteristic zero. Specifically, let $`R`$ be a ring which is essentially of finite type over a field of characteristic zero; then $`R`$ has rational singularities if and only if it is of F-rational type, see \[Ha, Sm1\]. In the $``$-Gorenstein case, we have some even more remarkable connections: F-regular type is equivalent to log-terminal singularities and F-pure type implies (and is conjectured to be equivalent to) log-canonical singularities, see \[Sm2, Wa3\].

## 2. Frobenius closure and tight closure

By an $``$-graded ring $`R`$, we will always mean a ring $`R=_{n0}R_n`$, finitely generated over a field $`R_0=K`$.

Let $`R`$ be a Noetherian ring of characteristic $`p>0`$. The letter $`e`$ denotes a variable nonnegative integer, and $`q`$ its $`e`$th power, i.e., $`q=p^e`$. For an ideal $`I=(x_1,\mathrm{},x_n)R`$, let $`I^{[q]}=(x_1^q,\mathrm{},x_n^q)`$.

For a reduced ring $`R`$ of characteristic $`p>0`$, $`R^{1/q}`$ shall denote the ring obtained by adjoining all $`q`$th roots of elements of $`R`$. A ring $`R`$ is said to be F-finite if $`R^{1/p}`$ is module-finite over $`R`$. A finitely generated algebra $`R`$ over a field $`K`$ is F-finite if and only if $`K^{1/p}`$ is a finite field extension of $`K`$. We use $`R^{}`$ to denote the complement of the union of the minimal primes of $`R`$.

###### Definition 2.1.

Let $`R`$ be a ring of characteristic $`p`$, and $`I`$ an ideal of $`R`$. For an element $`x`$ of $`R`$, we say that $`xI^F`$, the Frobenius closure  of $`I`$, if there exists $`q=p^e`$ such that $`x^qI^{[q]}`$.

An element $`x`$ of $`R`$ is said to be in $`I^{}`$, the tight closure of $`I`$, if there exists $`cR^{}`$ such that $`cx^qI^{[q]}`$ for all $`q=p^e0`$. If $`I=I^{}`$ we say that the ideal $`I`$ is tightly closed. It is easily seen that $`II^FI^{}`$.

A ring $`R`$ is said to be F-pure  if the Frobenius homomorphism is pure, i.e., $`F:MF(M)`$ is injective for all $`R`$-modules $`M`$. Note that this implies $`I^F=I`$ for all ideals $`I`$ of $`R`$.

A ring $`R`$ is weakly F-regular if every ideal of $`R`$ is tightly closed, and is F-regular if every localization is weakly F-regular. An F-finite ring $`R`$ is strongly F-regular if for every element $`cR^{}`$, there exists an integer $`q=p^e`$ such that the $`R`$-linear inclusion $`RR^{1/q}`$ sending $`1`$ to $`c^{1/q}`$ splits as a map of $`R`$-modules. $`R`$ is F-rational if, in every local ring of $`R`$, all ideals generated by systems of parameters are tightly closed.

It follows from the definitions that a weakly F-regular ring is F-rational as well as F-pure. We summarize some basic results regarding these notions from \[HH1, Theorem 3.1\], \[HH3, Theorem 4.2\] and \[LS, Corollaries 4.3, 4.4\].

###### Theorem 2.2.

$`(1)`$ Regular rings are F-regular; if they are F-finite, they are also strongly F-regular. Strongly F-regular rings are F-regular.

$`(2)`$ Direct summands of F-regular rings are F-regular.

$`(3)`$ F-rational rings are normal. An F-rational ring which is a homomorphic image of a Cohen-Macaulay ring is itself Cohen-Macaulay.

$`(4)`$ An F-rational Gorenstein ring is F-regular. If it is F-finite, then it is also strongly F-regular.

$`(5)`$ The notions of weak F-regularity and F-regularity agree for $``$-graded rings. For F-finite $``$-graded rings, these are also equivalent to strong F-regularity.

## 3. A review of rational coefficient Weil divisors

The examples constructed in the following section are best understood in the setting of $``$-divisors. Also, an interpretation of the graded pieces of certain local cohomology modules using $``$-divisors provided the original heuristic ideas which led to these examples. We recall some notation and results from \[De, Wa1, Wa2\].

###### Definition 3.1.

By a rational coefficient Weil divisor (or a $``$-divisor) on a normal projective variety $`X`$, we mean a linear combination of codimension one irreducible subvarieties of $`X`$, with coefficients in $``$. For $`E=n_iV_i`$ with $`n_i`$, we set $`[E]=[n_i]V_i`$, where $`[n]`$ denotes the greatest integer less than or equal to $`n`$, and define $`𝒪_X(E)=𝒪_X([E])`$.

Let $`E=(p_i/q_i)V_i`$ where the integers $`p_i`$ and $`q_i`$ are relatively prime and $`q_i>0`$. We define $`E^{}=((q_i1)/q_i)V_i`$ to be the fractional part of $`E`$. Note that with this definition we have $`[nE]=[nE+E^{}]`$ for any integer $`n`$.

For an ample $``$-divisor $`E`$ (i.e., $`NE`$ is an ample Cartier divisor for some $`N`$), we construct the generalized section ring:

$$S=S(X,E)=_{n0}H^0(X,𝒪_X(nE)).$$

In this notation, Demazure’s result (\[De, 3.5\]) states that every $``$-graded normal ring arises as a generalized section ring $`S=S(X,E)`$ where $`E`$ is an ample $``$-divisor on $`X=ProjS`$.

Let $`X`$ be a smooth projective variety of dimension $`d`$ with canonical divisor $`K_X`$, and let $`E`$ be an ample $``$-divisor on $`X`$. If $`\omega `$ denotes the graded canonical module of the ring $`S=S(X,E)`$, K.-i. Watanabe showed in \[Wa1\] and \[Wa2\] that

$$[\omega ^{(i)}]_n=H^0(X,𝒪_X(i(K_X+E^{})+nE))$$

and
$$[H_m^{d+1}(\omega ^{(i)})]_n=H^d(X,𝒪_X(i(K_X+E^{})+nE)).$$

Let $`E_S(K)=H_m^{d+1}(\omega )`$ denote the injective hull of $`K`$ as a graded $`S`$-module. The Frobenius action on the $`n`$th graded piece of $`E_S(K)`$ can then be identified with

$$H^d(X,𝒪_X(K_X+E^{}+nE))\stackrel{𝐹}{}H^d(X,𝒪_X(p(K_X+E^{}+nE))),$$

and in particular the Frobenius action on $`[H_m^{d+1}(\omega )]_0`$, the socle of $`E_S(K)`$, can be identified with

$$H^d(X,𝒪_X(K_X+E^{}))\stackrel{𝐹}{}H^d(X,𝒪_X(p(K_X+E^{}))).$$

If the ring $`S`$ is F-pure this Frobenius action must be injective, and consequently $`H^d(X,𝒪_X(p(K_X+E^{})))`$ must be nonzero. Heuristically, the dimension of the vector space $`H^d(X,𝒪_X(p(K_X+E^{})))`$ may be regarded as a measure of the F-purity of $`S`$. With this is mind, we choose $`E`$ such that $`h^d(X,𝒪_X(p(K_X+E^{})))`$ while nonzero, is “small”. This motivates our choice of the $``$-divisor $`E`$ on $`^1`$, see the proof of Proposition 4.3.

## 4. The main construction

When working with quotients of polynomial rings, we shall use lower-case letters to denote the images of the corresponding variables.

###### Remark 4.1.

Let $`K`$ be a field of characteristic $`p`$. For positive integers $`m`$ and $`n`$, consider the ring $`R=K[A,B,C,D,T]/I`$ where $`I`$ is generated by the size two minors of the matrix

$$𝔐_{m,n}=\left(\begin{array}{ccc}A^2+T^m& B& D\\ C& A^2& B^nD\end{array}\right).$$

The ring $`R`$ is graded by setting the weights of $`a`$, $`b`$, $`c`$, $`d`$, and $`t`$ to be $`m`$, $`2m`$, $`2m`$, $`2mn`$, and $`2`$ respectively. This ring is the specialization of a Cohen-Macaulay ring, and so is itself Cohen-Macaulay. The elements $`t`$, $`c`$ and $`d`$ form a homogeneous system of parameters for $`R`$, and so the element $`tm`$ is indeed a nonzerodivisor.

We record the following crucial lemma.

###### Lemma 4.2.

Let $`m`$ and $`n`$ be positive integers satisfying $`mm/n>2`$. Consider the ring $`R=K[A,B,C,D,T]/I`$ where $`I`$ is generated by the size two minors of the matrix $`𝔐_{m,n}`$ (see §4.1). If $`k`$ is a positive integer such that $`k(mm/n2)1`$, then

$$(b^nt^{m1})^{2mk+1}(a^{2mk+1},d^{2mk+1}).$$

###### Proof.

Let $`\tau =A^2+T^m`$ and $`\alpha =A^2`$. It suffices to working in the polynomial ring $`K[\tau ,\alpha ,B,C,D]`$ and establish that

$$B^{n(2mk+1)}(\tau \alpha )^{2k(m1)}(\alpha ^{mk+1},D^{2mk+1})+𝔞$$

where $`𝔞`$ is the ideal generated by the size two minors of the matrix

$$\left(\begin{array}{ccc}\tau & B& D\\ C& \alpha & B^nD\end{array}\right).$$

Taking the binomial expansion of $`(\tau \alpha )^{2k(m1)}`$, it suffices to show that

$$B^{n(2mk+1)}(\tau ,\alpha )^{2k(m1)}(\alpha ^{mk+1},D^{2mk+1})+𝔞.$$

This would follow if we show that for all integers $`i`$ where $`1imk+1`$, we have

$$B^{n(2mk+1)}\alpha ^{mk+1i}\tau ^{mk2k+i1}(\alpha ^{mk+1},D^{2mk+1})+𝔞,$$

and so it is certainly enough to show that

$$B^{n(2mk+1)}\tau ^{mk2k+i1}(\alpha ^i,D^{2mk+1})+𝔞.$$

Since $`\alpha DB(B^nD)𝔞`$, it suffices to establish that

$$B^{n(2mk+1)}\tau ^{mk2k+i1}(B^i(B^nD)^i,D^{2mk+1},B^n\tau D(C+\tau )).$$

Working modulo the element $`B^i(B^nD)^i`$, we may reduce $`B^{n(2mk+1)}`$ to a polynomial in $`B`$ and $`D`$ such that the highest power of $`B`$ that occurs is less than $`i(n+1)`$. Consequently it suffices to show that

$$B^{n(2mk+1j)}\tau ^{mk2k+i1}D^j(D^{2mk+1},B^n\tau D(C+\tau ))$$

where $`n(2mk+1j)<i(n+1)`$, i.e., $`j2mk+(1i)(1+1/n)`$. With this simplification, it is enough to check that

$$B^{n(2mk+1j)}\tau ^{mk2k+i1}(D^{2mk+1j},B^n\tau D(C+\tau )).$$

It only needs to be verified that $`mk2k+i12mk+1j`$ since, working modulo $`B^n\tau D(C+\tau )`$, we can then express $`B^{n(2mk+1j)}\tau ^{mk2k+i1}`$ as a multiple of $`D^{2mk+1j}`$. Finally, note that

$$(mk2k+i1)(2mk+1j)=jmk2k+i2k(m\frac{m}{n}2)10$$

since $`imk+1`$, $`j2mk+(1i)(1+1/n)`$ and $`k(mm/n2)1`$. ∎

###### Proposition 4.3.

Let $`S=K[A,B,C,D]/J`$ where the characteristic of the field $`K`$ is a prime $`p>2`$, and $`J`$ is the ideal generated by the size two minors of the matrix

$$\left(\begin{array}{ccc}A^2& B& D\\ C& A^2& B^nD\end{array}\right).$$

Then $`S`$ is an F-regular ring.

###### Proof.

There are various ways to establish this. We can identify $`S`$ with the generalized section ring $`_{i0}H^0(^1,𝒪_^1(iE))X^i`$, where $`^1=ProjK[X,Y]`$, and $`E`$ is the rational coefficient Weil divisor

$$E=\frac{1}{2}V(X)+\frac{1}{2}V(Y)+\frac{1}{2n}V(X+Y).$$

Under this identification,

$$A=X,B=\frac{X^3}{Y},C=XY\text{ and }D=\frac{X^{3n+1}}{Y^n(X+Y)}.$$

One may now appeal to Watanabe’s classification in \[Wa2\] to conclude that $`S`$ is F-regular.

For an alternate proof, it is easily verified that $`S`$ is the Veronese subring

$$H^{(2n+1)}=\underset{i}{}[H]_{i(2n+1)}$$

where $`H`$ is the hypersurface

$$K[A,X,Y]/(A^2XY(X^nY))$$

and the variables $`A`$, $`X`$ and $`Y`$ have weights $`2n+1`$, $`2`$ and $`2n`$ respectively. Here $`B=XY^2`$, $`C=X(X^nY)^2`$ and $`D=Y^{2n+1}`$. Since the characteristic of $`K`$ is greater than $`2`$, a routine computation shows that the hypersurface $`H`$ is F-regular, and consequently its direct summand $`S`$ is also F-regular. ∎

###### Remark 4.4.

Although we do not use this fact, we mention that the hypersurface $`H`$ in the proof above is obtained as the cyclic cover

$$S\omega \omega ^{(2)}\mathrm{}\omega ^{(2n)}$$

where $`\omega `$ is the canonical module of the ring $`S`$.

###### Proposition 4.5.

Let $`K`$ be a field of characteristic $`p>2`$ and consider the ring $`R=R_{m,n}=K[A,B,C,D,T]/I`$ where $`I`$ is generated by the size two minors of the matrix $`𝔐_{m,n}`$ (see §4.1). If $`mm/n>2`$, then $`R`$ is not F-regular. If in addition $`p`$ and $`m`$ are relatively prime, then $`R`$ is not F-pure.

###### Proof.

First note that $`b^nt^{m1}(a,d)`$. To establish that $`R`$ is not F-regular we shall show that $`b^nt^{m1}(a,d)^{}`$.

For a suitably large arbitrary positive integer $`e`$, let $`q=p^e=2mk+\delta `$ where $`k`$ and $`\delta `$ are integers such that $`k(mm/n2)1`$ and $`2m+2\delta 1`$. To see that $`b^nt^{m1}(a,d)^{}`$, it suffices to show that

$$(b^nt^{m1})^{q+2m1}(a^q,d^q).$$

Since $`q+2m1=2mk+\delta +2m12mk+1`$ and $`q2mk+1`$, it suffices to check that

$$(b^nt^{m1})^{2mk+1}(a^{2mk+1},d^{2mk+1}),$$

but this is precisely the assertion of Lemma 4.2.

For the second assertion, note that since $`p>2`$, the integers $`p`$ and $`2m`$ are relatively prime and we may choose a positive integer $`e`$ such that $`q=p^e=2mk+1`$ for some $`k>0`$. Taking a higher power of $`p`$, if necessary, we may also assume that $`k(mm/n2)1`$. But now $`(b^nt^{m1})^q(a^q,d^q)`$ by Lemma 4.2, and so $`b^nt^{m1}(a,d)^F`$. Hence the ring $`R`$ is not F-pure. ∎

###### Proof of Theorem 1.1.

We have already noted in §4.1 that the element $`t`$ is a nonzerodivisor in $`R`$, and Proposition 4.3 establishes that the ring $`R/tR`$ is F-regular. Since $`mm/n>2`$, Proposition 4.5 shows that $`R`$ fails to be F-regular, and is not even F-pure if $`p`$ and $`m`$ are relatively prime integers. ∎

## 5. The characteristic zero case

Hochster and Huneke have developed a notion of tight closure for rings essentially of finite type over fields of characteristic zero, see \[HH2, HH4\]. However we can also define notions corresponding to F-regularity, F-purity, and F-rationality in characteristic zero, without explicitly considering a closure operation for rings of characteristic zero. We include a brief summary, and discuss how the examples constructed above also show that the property F-regular type does not deform.

Suppose $`R=K[X_1,\mathrm{},X_n]/I`$ is a ring finitely generated over a field $`K`$ of characteristic zero, choose a finitely generated $``$-algebra $`A`$ such that

$$R_A=A[X_1,\mathrm{},X_n]/I_A$$

is a free $`A`$-algebra with $`RR_A_AK`$. Note that the fibers of the homomorphism $`AR_A`$ over maximal ideals of $`A`$ are finitely generated algebras over fields of positive characteristic.

###### Definition 5.1.

Let $`R`$ be a ring which is finitely generated over a field of characteristic zero. Then $`R`$ is said to be of F-regular type if there exists a finitely generated $``$-algebra $`AK`$ and a finitely generated $`A`$-algebra $`R_A`$ as above such that $`RR_A_AK`$ and, for all maximal ideals $`\mu `$ in a Zariski dense subset of $`SpecA`$, the fiber rings $`R_A_AA/\mu `$ are F-regular.

Similarly, $`R`$ is said to be of F-pure type if for all maximal ideals $`\mu `$ in a Zariski dense subset of $`SpecA`$, the fiber rings $`R_A_AA/\mu `$ are F-pure.

###### Remark 5.2.

Some authors use the term F-pure type (F-regular type) to mean that $`R_A_AA/\mu `$ is F-pure (F-regular) for all maximal ideals $`\mu `$ in a Zariski dense open subset of $`SpecA`$.

###### Theorem 5.3.

For positive integers $`m`$ and $`n`$ satisfying $`mm/n>2`$, consider the ring $`R=[A,B,C,D,T]/I`$ where $`I`$ is generated by the size two minors of the matrix $`𝔐_{m,n}`$ of §4.1. Then the ring $`R`$ is not of F-pure type, whereas $`R/tR`$ is of F-regular type.

###### Proof.

If $`p`$ is a prime integer which does not divide $`2m`$, the fiber of $`R_{}`$ over $`p`$ is not F-pure by Proposition 4.5, and consequently the ring $`R`$ is not of F-pure type. On the other hand, Proposition 4.3 shows that $`R/tR`$ is of F-regular type since the fiber of $`(R/tR)_{}`$ over $`p`$ is F-regular for all primes $`p>2`$. ∎

###### Remark 5.4.

R. Fedder first constructed examples to show that F-purity does not deform, see \[Fe\]. However Fedder pointed out that his examples were less than satisfactory in two ways: firstly the rings were not integral domains, and secondly his arguments did not work in the characteristic zero setting, i.e., did not comment on the deformation of the property F-pure type. In \[Si\] the author constructed various examples which overcame both these shortcomings, but left at least one issue unresolved — although the rings $`R`$ were integral domains (which were not F-pure), the F-pure quotient rings $`R/tR`$ were not integral domains. The examples we have constructed here also settle this remaining issue.

## 6. Conditions on fibers

The examples constructed in the previous section are also relevant from the point of view of the behavior of F-regularity under base change. We first recall a theorem of Hochster and Huneke, \[HH3, Theorem 7.24\].

###### Theorem 6.1.

Let $`(A,m,K)(R,n,L)`$ be a flat local homomorphism of local rings of characteristic $`p`$ such that $`A`$ is weakly F-regular, $`R`$ is excellent, and the generic and closed fibers are regular. Then the ring $`R`$ is weakly F-regular.

It is a natural question to ask what properties are inherited by an excellent ring $`R`$ if, as above, $`(A,m,K)(R,n,L)`$ is a flat local homomorphism, the ring $`A`$ is F-regular and the generic and closed fibers are F-regular. Our examples can be used to show that even if $`(A,m,K)`$ is a discrete valuation ring and the generic and closed fibers of $`(A,m,K)(R,n,L)`$ are F-regular, then the ring $`R`$ need not be F-regular.

Once again, we construct $``$-graded examples, and examples with local rings can be obtained by the obvious localizations at the homogeneous maximal ideals. Let $`A=K[T]`$ be a polynomial ring in one variable, and $`R=K[A,B,C,D,T]/I`$ where $`I`$ is generated by the size two minors of the matrix $`𝔐_{m,n}`$, see §4.1. As before, $`K`$ is a field of characteristic $`p>2`$, and $`m`$ and $`n`$ are positive integers such that $`mm/n>2`$.

The generic fiber of the inclusion $`AR`$ is a localization of $`R_t`$, whereas the fiber over the homogeneous maximal ideal of $`A`$ is $`R/tR`$. We have earlier established that $`R/tR`$ is F-regular, and only need to show that the ring $`R_t`$ is F-regular. In the following proposition we show that the $`R`$ is, in fact, locally F-regular on the punctured spectrum.

###### Proposition 6.2.

Let $`K`$ be a field of characteristic $`p>2`$. For positive integers $`m`$ and $`n`$ consider the ring $`R=R_{m,n}=K[A,B,C,D,T]/I`$ where $`I`$ is generated by the size two minors of the matrix $`𝔐_{m,n}`$ (see §4.1). Then the ring $`R_P`$ is F-regular for all prime ideals $`P`$ in $`SpecR\{m\}`$.

###### Proof.

A routine verification shows that the singular locus of $`R`$ is $`V(J)`$ where the defining ideal is $`J=(a,b,c(c+t^m),d)`$. Consequently we need to show that the two local rings $`R_P`$ and $`R_Q`$ are F-regular where $`P=(a,b,c,d)`$ and $`Q=(a,b,c+t^m,d)`$.

After localizing at the prime $`P`$, we may write $`d=b^n(a^2+t^m)/(c+a^2+t^m)`$ and so $`R_P`$ is a localization of the ring

$$K[T,A,B,C]/(A^2(A^2+T^m)BC)$$

at the prime ideal $`(a,b,c)`$. Since $`a^2+t^m`$ is a unit, the hypersurface $`R_P`$ is easily seen to be F-regular.

Localizing at the prime $`Q`$, we have $`b=a^2(a^2+t^m)/c`$ and so $`R_Q`$ is a localization of the ring

$$K[T,A,C,D]/(C^nD(C+A^2+T^m)A^{2n}(A^2+T^m)^{n+1})$$

at the prime ideal $`(a,c+t^m,d)`$. Again we have a hypersurface which, it can be easily verified, is F-regular. ∎

## Acknowledgments

It is a pleasure to thank Melvin Hochster for several enjoyable discussions on tight closure theory. I am also grateful to Ian Aberbach for pointing out the issues that lead to §6. of this paper.