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# 1 Introduction

## 1 Introduction

The major feature of the algorithm in  for solving the Trkalian equation is writing a vector field as the real part of a complex field. Specifically, given the Monge potentials f, g, and h, a vector field v can be written as follows:

v = f$``$g + $``$h.

Here, v is the real part of a vector field c = eig$``$F, where F is defined by

F $`=`$ (h + if)e-ig.

It follows that the imaginary part, w, the “topological dual” (henceforth “Baldwin dual”) of v, is given by

w = -h$``$g + $``$f.

In terms of differential forms ,

A = f dg + dh, A = -h dg + df.

It is possible to generalize this to higher dimensions. For instance, a vector field of five to eight dimensions can be thought of as the real part of a quaternionic field.

## 2 Generalized Baldwin Dual

Consider the one-form A of rank 2n - 1, where n = 2k-1 for some integer k. The extended non-unique Clebsch decomposition is

A = f1df2 \+ f3df4 +… + df2n-1.

Then define F such that

F $`=`$ (f2n-1 \+ e1f1 \+ e2f3 +… + en-1f2n-3)exp(-e1f2 \- e2f4 -… - en-1f2n-2).

$`=`$ (f2n-1 \- e1f1 \- e2f3 -… - en-1f2n-3)exp(e1f2 \+ e2f4 +… + en-1f2n-2),

dF = ((df2n-1 \+ e1df1 \+ e2df3 +… + en-1df2n-3) - (f2n-1 \+ e1f1 \+ e2f3 +… + en-1f2n-3)(e1df2 \+ e2df4 +…

\+ en-1f2n-2))exp(-e1f2 \- e2f4 -… - en-1f2n-2),

dF̄ = ((df2n-1 \- e1df1 \- e2df3 -… - en-1df2n-3) \+ (f2n-1 \- e1f1 \- e2f3 -… - en-1f2n-3)(e1df2 \+ e2df4

+… + en-1f2n-2))exp(e1f2 \+ e2f4 +… + en-1f2n-2).

This immediately leads to a generalization of the main result, namely that A can be represented as the real part of a one-form acting upon an n-dimensional Clifford algebra. Specifically,

A = (exp(e1f2 \+ e2f4 +… + en-1f2n-2) dF + exp(-e1f2 \- e2f4 -… - en-1f2n-2) dF̄)/2,

which is equivalent to Re(exp(e1f2 \+ e2f4 +… + en-1f2n-2) dF). Defining the dual as the entire non-real portion fails because of the presence of multiple bases, so let A∼k denote the Baldwin dual of A that corresponds to the kth base (excluding unity) on the algebra associated with the rank of the form. Extracting from exp(e1f2 \+ e2f4 +… + e2n-1-1f2n-2) dF,

A∼1 = df1 \- f2n-1df2 \- f3df6 \+ f5df4 \- f7df10 \+ f9df8 \- …- f2n-5df2n-2 \+ f2n-3df2n-4,

A∼2 = df3 \- f2n-1df4 \+ f1df6 \- f5df2 \+ f7df12 \- f9df14 +…+ f2n-5df2n-8 \+ - f2n-3df2n-6,

and so on. For n = 2, the imaginary dual reduces to the known form. There is also a natural extension of the set of conditions that corresponds to the known criteria for Baldwin duality over a complex field with respect to g,

dA + A dg = 0,

A $``$ dA = 0,

A $``$ dA = 0,

A $``$ dA = A $``$ dA.

Specifically,

dA + f2A∼1 \+ f4A∼2 \+ f6A∼3 +… f2n-2A∼n-1 = 0.

However, it is difficult to write down a generalization for

dA + A dg = 0.

Given the value of n, though, generating equations for the duals becomes simple. Using

d(exp(e1f2 \+ e2f4 +… + en-1f2n-2) dF) = dA + e1dA$``$1 \+ e2dA$``$2 +… + en-1 dA$``$n-1 = (e1f2 \+ e2f4 +… + en-f2n-2)(exp(e1f2 \+ e2f4 +… + en-1f2n-2) dF)

and equating parts, the analogues quickly arise. Restraints on the duals can be determined from this:

f2dA∼1 \+ f4dA∼2 \+ f6A∼3 +… f2ndA∼n-1 = 0,

dA∼k $``$ A $``$ A∼1 $``$ $`A`$∼2$``$ $`A`$∼k-1 $``$ $`A`$∼k+1 $``$$``$ $`A`$∼n-1 $`=`$ 0,

A $``$ A∼1 $``$ $`A`$∼2$``$ $`A`$∼n-1 $``$ 0,

A $``$ dAn-1 = A∼1 $``$ (dA∼1)n-1 = A∼2 $``$ (dA∼2)n-1 =… = A∼n-1 $``$ (dA∼n-1)n-1

## 3 Special Case: Quaternions

The above generalization finds the Baldwin dual for any form of rank 2n - 1 to a n-dimensional algebra. Forms of rank 2n can be easily constructed simply by making the modulus of the hypercomplex form something other than unity. For other ranks, there at first seems to be no standard method of construction. Consider the special case n = 3:

A = f1df2 \+ f3df4 \+ f5df6 \+ df7,

F $`=`$ (f7 \+ if1 \+ jf3 \+ kf5)exp(-if2 \- jf4 \- kf6),

F̄ = (f7 \- if1 \- jf3 \- kf5)exp(if2 \+ jf4 \+ kf6),

dF = (df7 \+ i df1 \+ j df3 \+ k df5)exp(-if2 \- jf4 \- kf6) \- (f7 \+ if1 \+ jf3 \+ kf5)(i df2 \+ j df4 \+ k df6)exp(-if2 \- jf4 \- kf6),

dF̄ = (df7 \- i df1 \- j df3 \- k df5)exp(if2 \+ jf4 \+ kf6) + (f7 \- if1 \- jf3 \- kf5)(i df2 \+ j df4 \+ k df6)exp(if2 \+ jf4 \+ kf6),

A = Re(exp(if2 \+ jf4 \+ kf6) dF).

The Baldwin duals are as follows:

A∼1 = df1 \- f7df2 \- f3df6 \+ f5df4,

A∼2 = df3 \- f7df4 \+ f1df6 \- f5df2,

A∼3 = df5 \- f7df6 \- f1df4 \+ f3df2.

Now let B = A + iA∼1 \+ jA∼2 \+ kA∼3. Then

dB = (if2 \+ jf4 \+ kf6) B,

which leads to,

dA + f2A∼1 \+ f4A∼2 \+ f6A∼3 = 0,

dA∼1 \- f2A + f6A∼2 \- f4A∼3 = 0,

dA∼2 \- f4A - f6A∼1 \+ f2A∼3 = 0,

dA∼3 \- f6A + f4A∼1 \- f2A∼2 = 0.

Using the exterior derivative and product on this set of equations leads to more conditions satisfied by A and its Baldwin duals.

f2dA∼1 \+ f4dA∼2 \+ f6dA∼3 = 0,

f2dA - f6dA∼2 \+ f4dA∼3 = 0,

f4dA + f6dA∼1 \- f2dA∼3 = 0,

f6dA - f4dA∼1 \+ f2dA∼2 = 0,

dA $``$ A∼1 $``$ A∼2 $``$ A∼3 = 0,

dA∼1 $``$ A $``$ A∼2 $``$ A∼3 = 0,

dA∼2 $``$ A $``$ A∼1 $``$ A∼3 = 0,

dA∼3 $``$ A $``$ A∼1 $``$ A∼2 = 0,

A $``$ dA3 = A∼1 $``$ (dA∼1)3 = A∼2 $``$ (dA∼2)3 = A∼3 $``$ (dA∼3)3.

Special cases that reduce the rank of A to six are not interesting, because they can only arise by eliminating one of the zero-form potentials, (or else the rank would drop to five,) but none of the constraints rely on these. However, for f5 = f6 = 0, the equations are reduced as follows:

dA + f2A∼1 \+ f4A∼2 = 0,

dA∼1 \- f2A - f4A∼3 = 0,

dA∼2 \- f4A + f2A∼3 = 0,

dA∼3 \+ f4A∼1 \- f2A∼2 = 0.

f2dA∼1 \+ f4dA∼2 = 0,

f2dA + f4dA∼3 = 0,

f4dA - f2dA∼3 = 0,

f4dA∼1 \- f2dA∼2 = 0,

dA $``$ A∼1 $``$ A∼2 = 0,

dA∼1 $``$ A $``$ A∼3 = 0,

dA∼2 $``$ A $``$ A∼3 = 0,

dA∼3 $``$ A∼1 $``$ A∼2 = 0,

A $``$ dA2 = A∼1 $``$ (dA∼1)2 = A∼2 $``$ (dA∼2)2 = A∼3 $``$ (dA∼3)2.

For rank-three forms,

f3 = f4 = f5 = f6 = 0,

A∼2 = A∼3 = 0.

Furthermore, most of the constraints vanish, leaving

dA + f2A∼1 = 0,

dA∼1 \- f2A = 0,

dA $``$ A∼1 = 0,

dA∼1 $``$ A = 0,

A $``$ dA = A∼1 $``$ dA∼1,

which are precisely the equations specified in .

## 4 Acknowledgments

This paper is dedicated to Charlotte Hwa, of whom it is written111Proverbs xxvii, 17., “Iron sharpeneth iron; so a man sharpeneth the countenance of his friend.”

## 5 References

P. R. Baldwin and G. M. Townsend, Complex Trkalian Fields and Solutions to Euler’s Equations for the Ideal Fluid, Phys. Rev. E 51 (1995) 2059-2068.
H. Flanders, Differential Forms with Applications to the Physical Sciences, (Dover, N. Y., 1963).
P. Lounesto, Clifford Algebras and Spinors, (Cambridge University Press, Cambridge, 1997).


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# Matching the Electroweak Penguins 𝑄₇ and 𝑄₈

## Abstract

We report on recent advances on the computation of the matrix elements of the electroweak penguins $`Q_7`$ and $`Q_8`$ which are relevant for the $`\mathrm{\Delta }I=3/2`$ contribution to $`\epsilon _K^{}`$ in the chiral limit. The matching of scale and scheme dependences between Wilson coefficients and these matrix elements is done analytically at NLO in $`\alpha _S`$.

Direct CP violation in $`K\pi \pi `$ is usually parameterized with

$$\epsilon _K^{}\frac{i}{\sqrt{2}}\frac{\mathrm{Re}(\mathrm{a}_2)}{\mathrm{Re}(\mathrm{a}_0)}\left[\frac{\mathrm{Im}(\mathrm{a}_0)}{\mathrm{Re}(\mathrm{a}_0)}+\frac{\mathrm{Im}(\mathrm{a}_2)}{\mathrm{Re}(\mathrm{a}_2)}\right]e^{i\left[\delta _2\delta _0\right]},$$
(1)
where $`iA_I\mathrm{a}_I\mathrm{exp}(i\delta _I)`$ are $`K\pi \pi `$ isospin invariant amplitudes and $`\delta _I`$ are final state interaction (FSI) phases. The ratio $`\mathrm{Re}(\mathrm{a}_0)/\mathrm{Re}(\mathrm{a}_2)22.2`$ is an experimentally well known quantity.

In the limit $`m_u=m_d`$ and $`\alpha _{QED}^2=0`$, and neglecting the tiny electroweak corrections to Re(a2), one gets

$$\frac{\mathrm{Im}(\mathrm{a}_2)}{\mathrm{Re}(\mathrm{a}_2)}=\frac{3}{5}\frac{F_0^2}{m_K^2m_\pi ^2}\frac{\mathrm{Im}(\mathrm{e}^2\mathrm{G}_\mathrm{E})}{G_{27}}$$
(2)
including FSI to all orders in CHPT and up to $`O(p^4)`$ non-FSI corrections . The coupling $`G_{27}`$ modulates the 27-plet operator describing $`K\pi \pi `$ at $`O(p^2)`$ in CHPT. Its value can be obtained from a fit of $`K\pi \pi `$ and $`K\pi \pi \pi `$ to $`O(p^4)`$ amplitudes .

The coupling $`G_E`$ appears in CHPT to $`O(e^2p^0)`$

$$_{\mathrm{\Delta }S=1}=CF_0^6e^2G_E\left(U^{}𝒬U\right)_{23}+O(p^2)(G_{27},\mathrm{}).$$
(3)
The constant $`C`$ was defined in , $`F_0`$ is the pion decay constant in the chiral limit, $`𝒬`$ is a 3 $`\times `$ 3 matrix collecting the three light quarks electric charges and $`U=\mathrm{exp}(i\sqrt{2}\mathrm{\Phi }/F_0)`$ with $`\mathrm{\Phi }`$ a 3 $`\times `$ 3 matrix collecting the octet pion, kaon, and eta pseudo-scalar boson fields.

In the Standard Model, there are just two operators contributing to $`\mathrm{Im}(\mathrm{e}^2\mathrm{G}_\mathrm{E})`$; namely, the so-called electroweak penguins, $`Q_7`$ and $`Q_8`$. In the chiral limit, these operators form a closed system under QCD corrections. Its anomalous dimensions mixing matrix is known to NLO in the NDR and HV schemes .

There has been recently a lot of work devoted to calculate $`\mathrm{Im}(\mathrm{e}^2\mathrm{G}_\mathrm{E})`$, both analytically  and using lattice QCD . Here, we report on the work presented in  and to which we refer for explicit formulas and further references. For a review of the method we used and the matching procedure see . Using this method, one can write exact results for the coupling $`\mathrm{Im}(\mathrm{e}^2\mathrm{G}_\mathrm{E})`$ in terms of integrals of full two-point functions in the chiral limit. They can be related to spectral functions via dispersion relations and resummation of the effect of all higher dimensional operators in the OPE of the relevant two-point functions.

The coupling $`\mathrm{Im}(\mathrm{e}^2\mathrm{G}_\mathrm{E})`$ can be written as

$`{\displaystyle \frac{3}{5}}F_0^6\mathrm{Im}(e^2G_E)=6\mathrm{Im}C_7(\mu _R)0|Q_7|0_\chi (\mu _R)`$
$`+\mathrm{Im}C_8(\mu _R)0|Q_8|0_\chi (\mu _R).`$ (4)
In the chiral limit and in the NDR scheme (for the HV scheme expressions see ), the matrix elements above are

$`0|Q_7|0_\chi ^{\mathrm{NDR}}(\mu _R)={\displaystyle \frac{3}{32\pi ^2}}\left(1+{\displaystyle \frac{1}{24}}{\displaystyle \frac{\alpha _S}{\pi }}\right)𝒜_{LR}(\mu _R)`$
$`+{\displaystyle \frac{1}{48}}{\displaystyle \frac{\alpha _S}{\pi }}_{SP}(\mu _R)`$ (5)
$`0|Q_8|0_\chi ^{\mathrm{NDR}}(\mu _R)=\left(1+{\displaystyle \frac{23}{12}}{\displaystyle \frac{\alpha _S}{\pi }}\right)_{SP}(\mu _R)`$
$`+{\displaystyle \frac{3}{32\pi ^2}}{\displaystyle \frac{9}{2}}{\displaystyle \frac{\alpha _S}{\pi }}𝒜_{LR}(\mu _R)`$ (6)
with

$$𝒜_{LR}(\mu _R)_0^{s_0}dtt^2\mathrm{ln}\left(\frac{t}{\mu _R^2}\right)\frac{1}{\pi }\mathrm{Im}\mathrm{\Pi }_{LR}^T(t)$$
(7)
and

$`_{SP}(\mu _R)30|\overline{q}q|0_{\overline{MS}}^2(\mu _R)`$
$`+{\displaystyle \frac{1}{16\pi ^2}}{\displaystyle _0^{\widehat{s}_0}}dtt\mathrm{ln}\left({\displaystyle \frac{t}{\mu _R^2}}\right){\displaystyle \frac{1}{\pi }}\mathrm{Im}\mathrm{\Pi }_{SS+PP}^{(03)}(t).`$ (8)
$`s_0`$ and $`\widehat{s}_0`$ are the onsets of local QCD duality. These results are exact in the chiral limit. The two-point function $`\mathrm{\Pi }_{LR}^T(Q^2)`$ is the transverse part of $`0|(V^\mu A^\mu )^{(3)}(x)(V^\nu +A^\nu )^{(3)}(0)|0`$ in momentum space, and the two-point function $`\mathrm{\Pi }_{SS+PP}^{(03)}(Q^2)`$ is the singlet minus triplet combination of $`0|(S+iP)(x)(SiP)(0)|0`$ in momentum space, both in the chiral limit. See  for their explicit expressions. In this reference, we show how scheme and scale dependences of the Wilson coefficients match analytically the ones of the matrix elements. This was done there explicitly in the NDR and HV schemes at $`O(\alpha _S^2)`$.

The first term in (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) comes from a disconnected diagram and is order $`N_c^2`$. The second term comes from connected diagrams and is order $`N_c^0`$. We also know that $`\mathrm{\Pi }_{SS+PP}^{(03)}(Q^2)`$ has an OPE which starts at $`1/Q^4`$ modulated by $`O(\alpha _S^2)`$ coefficients times $`0|Q_7|0`$ and $`0|Q_8|0`$. As a consequence, it fulfills exactly a first Weinberg sum rule-like  and very approximately a second one . Apart of fulfilling the two Weinberg sum rules-like, notice that the kernel of the sum rule (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) we are interested in has zeroes at t=0 and at $`t=\mu ^2`$ which we chose to be $`\mu ^2=\widehat{s}_0`$. One expects therefore that keeping just the first pole in each channel is a good approximation for estimating the leading OPE behavior as happens in $`\pi ^+\pi ^0`$ electromagnetic mass difference.

In  we discussed this sum rule using the known pion and the $`\eta _1`$ poles and including the first pion prime as a narrow width. The $`\pi ^{}`$ contribution can be improved using a Breit-Wigner shape and the results do not change much due to the phenomenologically small coupling of the $`\pi ^{}`$. The scalar counterpart is more delicate and more work is needed. But as a first estimate, we used two hadronic models  that fulfill the QCD short-distance constraints and produce values for $`L_4`$, $`L_6`$ and $`L_8`$ compatible with phenomenology. The scalar form factor in  is obtained from data and dispersion relations up to 1 GeV and Breit-Wigner shapes above. The result of using these models agreed with the results of naive narrow widths for the lowest scalar resonances. These were constructed to fulfill the short-distance QCD constraints and also produced reasonable values for $`L_6`$ and $`L_8`$. Here, we have also tried Breit-Wigner shapes for the scalar mesons instead of narrow widths and again find results in the same ball park. Now, we also have used the scalar form factors obtained in  where the lowest scalar triplet and singlet resonances are generated dynamically for energies up to 1 GeV and Breit-Wigner shapes above and we get similar results.

In all the estimates, we got negative corrections to the first term in (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) in the region between $``$10% to $``$30%. Though the scalar-pseudoscalar sum rule (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) cannot obviously be used at a quantitative level at present, the results above indicate that is difficult to have corrections larger than $`\pm `$30% to the first term in (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$).

The chiral limit OPE of $`\mathrm{\Pi }_{LR}^T(Q^2)`$ starts at $`1/Q^6`$ modulated by known coefficients times $`0|Q_7|0`$ and $`0|Q_8|0`$. Using this, one arrives at

$`M_2{\displaystyle _0^{s_0}}dtt^2{\displaystyle \frac{1}{\pi }}\mathrm{Im}\mathrm{\Pi }_{LR}^T(t)`$
$`{\displaystyle \frac{4\pi }{3}}\alpha _S(s_0)\left(1+{\displaystyle \frac{25}{8}}{\displaystyle \frac{\alpha _S(s_0)}{\pi }}\right)0|Q_8|0_\chi ^{\mathrm{NDR}}(s_0).`$ (9)
This is the relation that we use for the quantitative analysis of $`0|Q_8|0`$.

This sum rule and the one in (7) can be calculated using the excellent ALEPH  and OPAL  tau data. For the details of how we use the tau data we refer to . Only to mention here that we have generated around 100,000 tau data distributions according to their covariance matrix and assigned to each one a single value of $`s_0`$. This value is the highest one allowed by data where the second Weinberg sum rule (WSR) is fulfilled. Both sum rules (7) and (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) have $`t^2`$ as kernel. This makes the region above 1.5 GeV2 of increasing importance with respect to the low energy region. We have chosen the second WSR since it differs from the one we are interested in just by one power less in the kernel. In addition, the sum rule in (7) has a zero at $`t=\mu ^2=s_0`$. We also used the highest value available by the data -which is always between 2 GeV2 and 3 GeV2\- since one also expects QCD-Hadron duality to work better there.

Combining the ALEPH and OPAL results, we obtain

$$M_2=[1.9\pm 1.0]10^3\mathrm{GeV}^6$$
(10)
and always $`M_3>0`$ in agreement with the recent analysis in .

If we use Im$`\mathrm{\Pi }_{SS+PP}^{(03)}(t)=0`$ in (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) and $`0|\overline{q}q|0_{\overline{MS}}`$(2 GeV) = $`(0.018\pm 0.004)`$ GeV3 from , we get

$$M_2=[2.0\pm 0.9]10^3\mathrm{GeV}^6.$$
(11)
This result is very compatible with the FESR analysis result we got in (10).

For our final result in the NDR scheme, using $`\alpha _S`$(2 GeV) = 0.32 (see more details in ), we quote

$`0|Q_8|0_\chi ^{\mathrm{NDR}}(2\mathrm{G}\mathrm{e}\mathrm{V})=`$
$`(1.20\pm 0.60\pm 0.15)10^3\mathrm{GeV}^6=`$
$`(1.2\pm 0.7)10^3\mathrm{GeV}^6.`$ (12)
Where the first error is purely experimentally and takes into account both ALEPH and OPAL results as well as a possible variation of the local duality onset $`s_0`$ and the second one is from the unknown $`O(\alpha _S^3)`$ terms in (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) assuming a geometrical series.

The sum rule in (7) is much better behaved and with smaller error bars due to to the zero at $`t=\mu ^2=s_0`$. Using again the same strategy we explained above for the analysis of sum rule (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$), we get

$$𝒜_{LR}(2\mathrm{G}\mathrm{e}\mathrm{V})=(4.35\pm 0.50)10^3\mathrm{GeV}^6$$
(13)
combining ALEPH and OPAL results. See  for further details.

Comparison with other recent determinations is made in Table 1. For the results in the cases $`B_7^\chi (2\mathrm{G}\mathrm{e}\mathrm{V})=B_8^\chi (2\mathrm{G}\mathrm{e}\mathrm{V})=1`$ and Im$`\mathrm{\Pi }_{SS+PP}^{(03)}(t)=0`$ we used $`0|\overline{q}q|0_{\overline{MS}}`$ (2 GeV) = $`(0.018\pm 0.004)`$ GeV3 from , which is in agreement with the most recent sum rule determinations of this condensate and of light quark masses -see  for instance- and the lattice light quark masses world average in .

Within the present accuracy of $`0|\overline{q}q|0`$, the disconnected contribution to (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) -third line in Table 1\- is perfectly compatible with our full result -fourth line in Table 1\- as well as the results from  , so that we cannot conclude a large deviation from the large $`N_c`$ result within the present accuracy. Notice that we include in this result -third line in Table 1\- $`O(\alpha _S)`$ corrections that are indeed leading order in $`1/N_c`$ (see (Matching the Electroweak Penguins $`Q_7`$ and $`Q_8`$) and ) which are usually disregarded in the factorization approaches, this makes the chiral limit $`B_8^\chi (2\mathrm{G}\mathrm{e}\mathrm{V})`$ parameter larger than one by around 20% to 30%.

We thank Bachir Moussallam and José Oller for providing us with scalar form factor programs. J.P. thanks Vincenzo Cirigliano for helpful discussions. This work is supported in part by the Swedish Research Council, by the European Union TMR network, Contract No. HPRN-CT-2002-00311 (EURIDICE), by MCYT (Spain), Grant No. FPA 2000-1558 and by Junta de Andalucía, Grant No. FQM-101. E.G. is indebted to MECD (Spain) for a FPU fellowship.


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# YITP-02-60hep-th/0209220 Dualities of the entropy bound

(September, 2002)

I study the hypothetical thermodynamic system which saturates the so-called Hubble entropy bound and show that it is invariant under the S- and T-dualities of string theory as well as the interchanges of the eleventh dimension of M-theory. I also discuss how unique the entropy bound is under the dualities and some related issues.

It was argued by Atick and Witten  that the high temperature behavior of the string theory free energy with volume $`V`$ and temperature $`T`$ is given by 111In this paper, for notational simplicity, I omit the $`\alpha ^{}`$ parameter. I do not also care about inessential numerical factors. On the other hand, I take care much about dilaton dependence.

$$F_{string}VT^2.$$
(1)
They compared this behavior with the quantum field theory behavior in $`d`$ spatial dimensions,

$$F_{qft}VT^{d+1},$$
(2)
and gave the interpretations that the fundamental degrees of freedom in string theory are much less than those of quantum field theory in the same dimensions, and that the theory underlying string theory should be like a $`(1+1)`$-dimensional quantum field theory. This dramatic interpretation is fascinating and valuable to pursue further, but the perturbative method of string theory has been limited by the existence of the Hagedorn transition and, despite various efforts, the validity of this conjecture has been remaining unclear. Nevertheless, there is also another interesting observation to understand the behavior (1) . Assuming the T-duality along the compact temperature direction222Because of the complications of the boundary conditions of fermions in the temperature direction, the T-duality of temperature does not hold in the naive sense as above in superstring theory. Also it was argued that the duality symmetry should be spontaneously broken in the heterotic string theory . Hence the above discussions of T-duality should be regarded as a formal discussion to intuitively understand how the behavior (1) is characteristic of string theory. and equating the partition functions of the both sides of the T-duality, the following equation holds;

$$\frac{1}{T}F_{string}(T)=\frac{T}{T_H^2}F_{string}(T_H^2/T),$$
(3)
where $`T_H`$ is the Hagedorn temperature. The high temperature behavior (1) is obtained from (3) by assuming the non-vanishing of $`F_{string}(0)`$.

A hypothetical thermodynamic system with a similar temperature behavior of free energy can be obtained from the entropy bound which has recently appeared. A universal entropy bound dates back from the proposal of Bekenstein  that the total entropy of an isolated system with energy $`E`$ and scale $`R`$ should be bounded by $`ER`$. This entropy bound is a quantity conserved under the adiabatic change of thermal radiation matters, and therefore has a good reason to believe that it be applicable generally to quantum field theory. Moreover, combined with the Schwarzschild bound $`GE<R^{d2}`$, the entropy bound becomes $`R^{d1}/G`$, which agrees with the holography hypothesis 333On more precise discussions about the relations between the entropy bounds and the holography hypothesis, see .. On the other hand, the entropy bound which appeared recently has, among various formulations, essentially the form444The Hubble entropy bound is given by $`S_H=HV/G`$, where $`H`$ is the Hubble parameter . Using the Einstein equation $`H^2GE/V`$, the above expression (4) is derived.

$$S=\sqrt{\frac{EV}{G}},$$
(4)
where $`G`$ is the gravitational coupling constant. In string theory, this formula is written as

$$S=e^\varphi \sqrt{EV},$$
(5)
where $`\varphi `$ is the dilaton with the string coupling constant defined by $`g=e^\varphi `$. Considering a hypothetical thermodynamic system which saturates the entropy bound (5) and using the first law of thermodynamics, its free energy becomes

$$F=e^{2\varphi }VT^2,$$
(6)
where I have neglected an inessential numerical factor.

The difference between (6) and the string theory free energy (1) is the dilaton dependence. This difference is essential. In perturbative string theory, to obtain the temperature dependent part of the free energy, it is necessary for a string world sheet to wind around the compact temperature direction, and there is no genus-zero contribution like (6). Moreover the motivations for the entropy bound (4) come from cosmological considerations , a space-time uncertainty relation based on general relativity and quantum mechanics , and a generalization of (curved space)/CFT correspondence . The hypothetical matter satisfying (6) is the stiffest matter and is the main object in the cosmology of . Thus the entropy bound (5) originated from these rather macroscpic considerations, and there seem to be no reasons to think about the possibility of deriving (6) from any microscopic computations of string theory. Nevertheless, in this paper, I will point out that the formula (6) satisfies the duality symmetries of string theory and a requirement from M-theory. Assuming the duality invariance and that the free energy be proportional to the volume, the formula will be shown to be unique. These properties are quite amusing, suggesting that (6) might have a microscopic origin in string theory. In fact, in the original paper by Atick and Witten , the possibility of genus-zero contributions above the Hagedorn transition was pointed out. I will discuss this possibility further at the end of this paper.

To show the duality invariance of the free energy (6), let me recapitulate the T- and S- duality transformations of string theory . I take the space to be a periodic box (torus) of nine dimensions, and the string metric is assumed to be of the form

$$ds_{string}^2=e^{2\psi }dt^2+\underset{i=1}{\overset{9}{}}e^{2\lambda _i}dx_i^2,$$
(7)
where the metric depends only on time. I also assume that the dilaton field depends only on time. Then the string theory gravity-dilaton effective action in the lowest order approximation is given by

$`S_{string}`$ $`=`$ $`{\displaystyle 𝑑td^9x\sqrt{g}e^{2\varphi }(R+4(D\varphi )^2)}`$ (8)
$`=`$ $`V_9{\displaystyle 𝑑te^{\psi \phi }(\underset{i=1}{\overset{9}{}}\dot{\lambda }_i^2\dot{\phi }^2)},`$ (9)
where $`V_9`$ is the spatial volume in the unit of $`x`$, and

$$\phi =2\varphi \underset{i=1}{\overset{9}{}}\lambda _i.$$
(10)
This string theory effective action is invariant under the following T-duality transformations for a direction $`i`$,

$`\lambda _i`$ $``$ $`\lambda _i,`$ (11)
$`\varphi `$ $``$ $`\varphi \lambda _i,`$ (12)
$`\psi `$ $``$ $`\psi ,`$ (13)
and the S-duality transformation

$`\varphi `$ $``$ $`\varphi ,`$ (14)
$`\lambda _i`$ $``$ $`\lambda _i{\displaystyle \frac{\varphi }{2}}(\mathrm{for}\mathrm{all}i),`$ (15)
$`\psi `$ $``$ $`\psi {\displaystyle \frac{\varphi }{2}}.`$ (16)
Following the method of , the effective action for the thermodynamic system associated to (6) is given by

$`S_{hyp}`$ $`=`$ $`{\displaystyle 𝑑t\sqrt{g_{00}}F(\varphi ,\lambda _i,\beta \sqrt{g_{00}})},`$ (17)
$`=`$ $`V_9{\displaystyle 𝑑te^{\psi \phi }T^2}.`$ (18)
where $`\beta `$ is the inverse of the temperature. The $`g_{00}`$ dependences are necessary for the reparameterization invariance of the time direction. The temperature $`T`$ here is measured in the unit of the inverse of time $`t`$, and is therefore invariant under the duality transformations, which are defined as transformations on the background fields. The combination $`\psi \phi `$ is obviously invariant under the dualities (11) and (14), and so is the action (17).

Now let me start from the assumption that the free energy be proportional to the volume. Then the T-duality transformation (11) requires that the dilaton field must be combined with the volume in the form $`\phi =2\varphi _{i=1}^9\lambda _i`$. At this point I am not demanding that another dilaton dependence is impossible in string theory. If I consider another form of the dilaton dependence, I will need other terms with non-local $`1/R_i=e^{\lambda _i}`$ behaviors as well as the local $`R_i=e^{\lambda _i}`$ ones. Because of the winding modes of string, the non-local behaviors certainly appear when the compact directions are in the order of the string scale. Nevertheless the free energy (6) is peculiar in the sense that it is duality invariant purely with the term proportional to the volume. This fact may imply that the local degrees of freedom of the hypothetical system is given purely by the proposal of Atick-Witten without any complications of non-locality. Assuming this volume-dilaton dependence, an expression of the action with the reparameterization invariance of $`t`$ must be in the form

$$𝑑t\sqrt{g_{00}}e^\phi h(T/\sqrt{g_{00}}),$$
(19)
where $`h`$ is an arbitrary function. $`\phi `$ is not invariant under the S-duality (14), and to cancel the variation by a $`g_{00}`$ dependence, the unique choice is the form $`h(x)x^2`$. Thus the expression (6) can be obtained from the assumption that the free energy be proportional to the volume and invariant under the T- and S-dualities.

It is also interesting to look at (6) from the M-theory viewpoint . The type IIA string theory is obtained by compactifying one of the M-theory spatial dimensions, say the eleventh dimension. The relation between the M-theory metric and the string metric is given by

$`ds_M^2`$ $`=`$ $`g_{\mu \nu }^Mdx^\mu dx^\nu =e^{\frac{2}{3}\varphi }ds_{string}^2+e^{\frac{4}{3}\varphi }dy^2,`$ (20)
where $`y`$ is the eleventh dimension. Rewriting with the M-theory metric, the action (17) becomes

$$S_M=d^{11}x\sqrt{g^M}\left(\frac{T}{\sqrt{g_{00}^M}}\right)^2.$$
(21)
Therefore, the free energy of the hypothetical system in M-theory is

$$F_M=V_{10}T^2,$$
(22)
where $`V_{10}`$ is the ten-dimensional spatial volume of M-theory. This expression shows that the eleventh dimension is treated equivalently with the other spatial dimensions. Hence the expression (6) is invariant under the exchange of the eleventh dimension with the compactified dimensions of string theory. It is also clear that, if I impose this exchange symmetry on (19), the unique choice of the free energy is (6). This implies that I may impose this exchange symmetry instead of S-duality to obtain the expression (6) from the assumption that the free energy be proportional to volume. Amusingly the expression (22) suggests that, the local degrees of freedom of M-theory behaves like a (1+1)-dimensional field theory as string theory rather than (1+2) as would be a natural expectation from that M-theory is often referred as membrane theory. Since all the spatial directions are totally equivalent in (22), it would be hard to imagine that the temperature dependence has been modified in the process of compactifying the eleventh dimension to obtain the IIA string theory.

In this paper, I have shown how unique the expressions (5) and (6) are in the viewpoint of string/M-theory. Comparing with the macroscopic derivations of these formulas, it seems surprising for these formulas to satisfy the microscopic requirements of dualities. But are there any chances to obtain the expression (6) directly in string theory? As explicitly shown in , the Hagedorn transition is caused by the instability of a stringy mode which winds around the compact temperature direction. The mode will condense above the Hagedorn transition and allow genus-zero contributions to appear by making tiny holes with non-zero winding numbers on string world sheets. But in a low order approximation of string theory effective action, there were no stable minima and it was impossible to evaluate the free energy above the Hagedorn transition . On the other hand, assuming this story and the existence of a stable minimum, because the condensation is spatially local, the free energy would be dominated by a genus-zero contribution proportional to the volume,

$$Fe^{2\varphi }Vh(T),$$
(23)
where $`h(T)`$ is a function of the temperature. This takes the same form as (19), and, as argued above, if I impose the S-duality (14) or the exchange symmetry of the eleventh dimension of M-theory, the free energy is constrained to the form (6). Thus there seems to exist a good chance of obtaining the free energy expression (6) by a string theory computation which respects the duality symmetries and is not limited by the string world sheet picture. This high requirement of a non-perturbative formulation of string theory seems to make the formula (6) a fascinating primary goal for understanding string theory beyond the Hagedorn transition. But this line of thought is obscured by the fact that, if the relevant temperature is the order of or above the Hagedorn transition, there will be no controllable parameters to slow down the background evolution caused by the genus-zero contributions and the static approximation justifying the thermodynamic treatment will be no longer valid .


text:
# The Redshift of the Lensed Object in the Einstein Ring B0218+357 Based on observations obtained at the W.M. Keck Observatory, which is operated jointly by the California Institute of Technology, the University of California, and the National Aeronautics and Space Administration.

## 1 Introduction

B$`0218+357`$ is a strong flat-spectrum radio source which was discovered to be gravitationally lensed by Patniak et al. (1993). The object consists of two point sources which are radio loud and variable, with similar flat spectra in the radio regime. In addition to the point sources, there is an Einstein ring of 0.33 arcsec diameter. This object is the smallest known Einstein radio ring (Patnaik et al. 1993). Biggs et al. (1999) (see also Cohen et al. 2000) have measured a time delay for B$`0218+357`$ of 10.5$`\pm 0.4`$ days. HST optical images by Keeton, Kochanek & Falco (1998) and by Lehar et al. (2000) and NICMOS images by Jackson, Xanthopoulos & Browne (2000) reveal the lensing galaxy clearly.

B$`0218+357`$ is an extremely important object for studies of gravitational lensing. The Einstein ring provides a strong constraint on the mass distribution in the lens. The simple source structure and small angular size of B$`0218+357`$, the constraints from sub-structure in the images which are well mapped with VLBI (see Biggs et al., 2002), and the apparent absence of significant external shear make this object easier than most to model. As the error on the time delay is currently estimated to be 3 percent (1$`\sigma `$), (Biggs, private communication), B$`0218+357`$ is a prime target for determining the Hubble constant and so it is vital to obtain secure and accurate lens and source redshifts.

In order to fulfill the promise of B$`0218+357`$ for these purposes, both the source and the lens redshift are required. Browne et al. (1993), and independently Stickel & Kuhr (1993), established the redshift of one of these, which they assumed was the lens, as $`z=0.6847`$, detecting several emission and absorption features. Subsequently absorption arising in the lensing galaxy has been detected at 21 cm (Carilli, Rupen & Yanny, 1993), in CO (Wiklind & Coombes, 1995), and in formaldehyde (Menton & Reid, 1996) against the background source.

However, not surprisingly, the source redshift for B$`0218+357`$ proved more elusive, since the source is a blazar (O’Dea et al., 1992). We therefore started an effort to find the source redshift in 1994 using the Low Resolution Imaging Spectrograph (Oke et al., 1995) at the Keck Observatory. We were able to detect one definite weak emission feature fairly rapidly, but could not find a secure second line. Assuming the detected line at 5460Å is the 2800 Å Mg II line, the redshift of the lensed object in B$`0218+357`$ is then $`z0.95`$, further supporting Browne et al. (1993) and O’Dea et al. (1992), who offer $`z=0.94`$ as a “tantalizing possibility, rather than a firm claim”. This result was announced at two conferences in 1996 (Cohen, 1996; Lawrence, 1996). It has taken longer than expected, but we have finally succeeded in detecting with confidence multiple emission lines from the source. We present in this brief paper the secure redshift of the lensed object in B$`0218+357`$ based on the detection of five broad emission lines, $`z=0.944\pm 0.002`$.

## 2 Observations

In August 1994, we obtained several exposures with the LRIS of B$`0218+357`$, with a total exposure time of 6200 sec. The 300 g/mm grating was used and the spectra covered the wavelength region 3000 to 7600 Å (with no useful signal below 4000Å). Figure 1 shows the spectrum of B$`0218+357`$ over the central part of this wavelength regime (from spectra with the same instrumental configuration taken in 1997). The steep spectral slope is apparent in this figure. The optical spectrum is fairly red; $`F_\nu \nu ^\alpha `$, with $`\alpha 3.5`$ (O’Dea et al., 1992). Numerous absorption lines and a few emission lines from the lensing galaxy are clearly seen at the expected redshift, $`z=0.68`$ (Browne et al., 1993). In addition, we found a single broad emission line at $``$5470Å which has absorption components on its blue wing. We could not find a second emission line within the spectral range covered, and hence the most likely line identification for the detected broad line is Mg II at 2800Å, implying $`z`$ for the lensed object is $``$0.95.

If this value is correct, then the next strong emission line to the blue should be CIII\] 1909 Å expected to be at $``$3720 Å, while H$`\beta `$ should be at about 9500 Å. Since the blue side of LRIS was not installed until 2001, looking for the CIII\] line was impossible. Searching for the Balmer lines was also not trivial because these are likely to be weak broad features, and the night sky emission and absorption will create difficulties, but this was judged the only feasible route.

We took spectra of B$`0218+357`$ in the red in 1995, 1996, 1997 and 2000 to hunt for these lines in order to confirm our preliminary redshift. A number of hot stars (white dwarfs or rapidly rotating O stars) selected from Oke (1990) with broad spectral features (and no strong ones within the red region we use here) were observed at a similar range of airmass each night to enable removal of terrestrial atmospheric absorption bands. The object was slightly dithered by several arcsec along the slit between exposures. The 600 g/mm grating blazed at 7500 Å was used, with spectral coverage from 7530 to 10,100 Å. A sophisticated reduction and analysis scheme was developed, using the Laplacian cosmic ray removal algorithm of van Dokkum (2001), followed by standard Figaro scripts (Shortrige, 1993) for removing distortions in two dimensions, as well as subtraction of the resulting frames. Because both the emission and absorption night sky spectrum are temporally variable (as well as dependent on airmass), this did not result in perfect removal of the night sky emission lines, but it did reduce their intensity by a large factor. This was followed by a removal of the residual night sky emission and, as well as possible, the night sky absorption.

Figure 2 shows the region from 7800 to 8650 Å. The sum of the 1995, 1996 and 1997 red spectra of B$`0218+357`$ with a total exposure time of 16,500 sec is used. (Several additional spectra of this object taken during that period through thin clouds with lower signal levels were not included.) The summed spectra have been divided by a spectrum of the DA0 white dwarf G191B2B, whose signal level is much higher than that of the spectrum of B$`0218+357`$. The spectrum of G191B2B was normalized to the region near 8800 Å. Prior to this division, the summed, sky-subtracted spectrum of B$`0218+357`$ had $``$8500 ADU/pixel (with 2 $`e^{}`$/ADU) in the continuum at 8100Å, and $``$2000 ADU/pixel in the continuum at 9800Å. Regions within the strongest night sky lines are omitted in the figure; at such points the curve is discontinuous. This spectral region shows a strong narrow emission line (H$`\beta `$ from the lensing galaxy) plus a weaker broad emission line which we interpret as H$`\gamma `$ in the background source. The blue wing of the latter is interrupted by the strong 8430Å night sky emission line. The 4959, 5007 Å \[OIII\] doublet from the lens is present. The bluer line of the doublet is slightly to the red of the strong night sky emission line at 8343Å (where the curve is discontinuous), while the redder line is mixed in as a sharp peak within the broader H$`\gamma `$ from the background source. Small residuals of features from the night sky are also apparent.

The region of H$`\beta `$ in the source is shown in Figure 3. Even though this is a total of 16,500 sec exposure of B$`0218+357`$, the signal is weak due to the decrease in LRIS instrumental efficiency at such red wavelengths. As before, regions where the night sky emission lines are strong have been omitted. The spectrum has been divided by an exposure of the hot star G191-B2B to remove atmospheric absorption features normalized as described above. In this spectral region from 9300 to 9500 Å, the night sky absorption is large and rapidly varying. Regions where the hot star spectrum changed by more than 8%/1.2Å (1 pixel) are also omitted. Furthermore, the absorption in the hot star is slightly scaled to better match the absorption in B$`0218+357`$. In addition to H$`\beta `$, the somewhat narrower, but still broad (compared to the lines arising from the lens) lines of the 4959, 5007 Å \[OIII\] doublet from the source are apparent. Strong, narrow Na D absorption lines from the lens are seen easily in the full spectrum, just redward of the portion shown in Figure 3.

Table 1 summarizes the detected lines from both the source and the lens in B$`0218+357`$. Adopting the mean redshift from the four broad emission lines, (excluding MgII 2800, which is distorted by absorption features), we find $`z=0.944\pm 0.002`$ for the redshift of the lensed object in B$`0218+357`$.

### 2.1 Internal Motions in the Lens

Since the red spectra have higher spectral resolution, we have used the narrow H$`\beta `$ emission line in the lens, detected at 8189 Å, to set an upper limit to the velocity dispersion and/or rotation in the lens galaxy. The instrumental resolution (projection of a 1.0 arcsec wide slit) of LRIS corresponds at that wavelength to 204 km s-1. We determine an upper limit to the contribution to the FWHM line width from internal motions in the lens galaxy of $`100`$ km s-1. Pisano et al. (2001) have studied the relationship between the width of H$`\beta `$ emission and of 21 cm emission in a sample of galaxies, and find that this ratio has a mean of about 0.7, presumably because the ionized gas which gives rise to the former is more centrally concentrated within the gravitational potential of the galaxy.

Our upper limit is consistent with the measured FWHM of the 21 cm absorption line of Carilli, Rupen & Yanny (1993) of only 43 km s-1. However, the 21 cm absorption presumably probes only a small pencil beam through the lensing galaxy, and does not sample its full rotation curve.

The spectral features we detect are consistent with the lens being a spiral galaxy.

## 3 Comment

Given the very heavy use the community has made of our preliminary redshift for B$`0218+357`$, published in 1996 (Cohen, 1996; Lawrence, 1996), it is indeed fortunate that the definitive redshift of $`z=0.944`$ presented here confirms our earlier (educated) guess.

The entire Keck/LRIS user community owes a huge debt to Jerry Nelson, Gerry Smith, Bev Oke, and many other people who have worked to make the Keck Telescope and LRIS a reality and to operate and maintain the Keck Observatory. We are grateful to the W. M. Keck Foundation for the vision to fund the construction of the W. M. Keck Observatory. The authors wish to extend special thanks to those of Hawaiian ancestry on whose sacred mountain we are privileged to be guests. Without their generous hospitality, none of the observations presented herein would have been possible. The extragalactic work of JGC is not supported by any federal agency. RDB acknowledges support by the National Science Foundation under grant AST-9900866.


text:
# Polymer Translocation Through a Long Nanopore

## I Introduction

Translocation of polymers across a nanopore plays a critical role in numerous natural phenomena and industrial processes. Many biological phenomena, such as the motion of DNA and RNA molecules across nuclear pores, virus infection of cells, DNA packaging into viral capsids, gene swapping and protein transport through membrane channels, involve the motion of biopolymers across membranes.lodish ; alberts  In chemistry, the forced permeation of polymer molecules and electrophoresis are crucial for separations and purifications of synthetic as well as biological macromolecules. The motion of polymers in a confined medium is also technologically important in food and medicine production, in oil recovery and separation, and in many other industrial processes. Accordingly, the mechanisms of polymer translocation have become a subject of numerous experimentalKBBD ; akeson ; meller ; henrickson ; meller1 ; movileanu ; howorka  and theoretical studies.sung ; dimarzio ; degennes ; lubensky ; muth ; muth1 ; sebastian ; konkoli

A polymer molecule moving across a nanopore faces a large entropic barrier due to the decrease in the number of available configurations for polymer segments. In order to overcome this barrier and to speed up the motion of polymers, an external field or interaction is needed. In recent in vitro experiments,KBBD ; akeson ; meller ; henrickson ; meller1 ; movileanu ; howorka  DNA and RNA molecules are driven through an $`\alpha `$-hemolysin membrane channel with the help of an external electric field. These elegant experiments are based on the following simple idea. When a polymer molecule moves through a nanopore, the electric current in the system nearly vanishes because the polymer blocks the flow of free ions through the channel. Accurate recordings of current blockages allow the description of the dynamics of translocation of single polymer molecules. The principal experimental findings can be summarized as follows: (i) the ability of polymers to enter the nanopore depends linearly on polymer concentration and exponentially on applied voltage;KBBD ; henrickson  (ii) there is a critical value of the external electric potential below which no polymer molecule can enter and move through the nanopore;henrickson ; meller1  (iii) the effective number of free charges on a translocating polymer is surprisingly very small in comparison with the number of available charges;henrickson  (iv) there are two regimes of polymer threading through the nanopore depending on polymer length - long polymers move across the membrane with nearly constant velocity, while short polymers move significantly faster;meller1  (v) the nanopore length defines the boundary between short and long polymers.meller1  These last two experimental observations are the subject of the present theoretical investigations.

Several theoretical modelssung ; dimarzio ; degennes ; lubensky ; muth ; muth1 ; sebastian ; konkoli  have been developed in order to explain these experimental findings, however, with limited success. Theoretical approaches to polymer translocation mainly follows three directions. In one approach,sung ; muth ; konkoli  the moving polymer molecule should overcome the entropic barrier, and the free energies of polymer segments determine the dynamics of translocation. Another approachlubensky  focuses on the interaction between the polymer and the nanopore, and neglects the entropic contributions from polymer segments outside the nanopore. The last approachsebastian  views the polymer translocation as the motion of a kink, which travels in the direction opposite to polymer transport. All these theoretical works provide a reasonable description of polymer threading through the nanopore for very large polymers. However, these theories are less successful in understanding the dynamics of relatively short polymers due to the fact that they view the nanopore as an object which can hold only one monomer (with the exception of Ref.konkoli , as discussed below). The $`\alpha `$-hemolysin membrane channel, that has been used as the nanopore in in vitro experiments,KBBD ; akeson ; meller ; henrickson ; meller1 ; movileanu ; howorka  has a length of approximately 5 nm for the narrow part of the channel and thus can hold up to 10-15 DNA or RNA monomers. The theoretical approach of Ambjörnsson et al.konkoli  takes into account the nanopore length and studies both the polymer entrance into the pore and the translocation process. However, only ideal flexible polymers are considered and theoretical analysis focused on the dependence of polymer translocation dynamics on external electric field.

In this work the effects of the nanopore length and diameter on the threading dynamics of single polymer molecules are investigated. The goal is to develop the simplest theoretical description of translocation process which takes into account the geometry of the nanopore and interactions between the nanopore and polymer molecule. In the present model the polymer moves across the membrane as shown in Fig.1. The article is organized as follows. In Section II we develop a model and calculate free energies and translocation times for translocating polymers of different sizes. In Section III we apply our results for the description of experimental translocations of voltage-driven DNA molecules. Our theoretical analysis is summarized in Section IV.

## II Model for Polymer Translocation

Consider a polymer molecule consisting of $`N`$ monomers (each of size $`a`$), which moves from an upper chamber to a lower chamber through a nanopore of length $`l=Ma`$ and diameter $`d=Da`$, as shown in Fig.1. Here we assume that as soon as the polymer enters into the pore, it is unlikely to come back. This assumption is justified since under experimental conditions the energy gained by a single monomer by moving through the nanopore is much larger than the thermal energy, and thus the probability to return is very small.konkoli  It is also assumed that the nanopore is part of an infinite two-dimensional membrane, and there are no interactions between the polymer and the membrane. Let the chemical potential of the monomer in the upper region, in the nanopore, and in the lower region be $`\mu _1`$, $`\mu _2`$ and $`\mu _3`$ respectively (see Fig.1). The potential energy change is considered to occur only across the nanopore.

The simple visual analysis of polymer transport across the nanopore indicates that the motion of long polymers (larger than the nanopore length) is qualitatively different from that of short polymers, and these two cases must be considered separately. In our analysis, we assume that both $`N`$ and $`M`$ are large, which is consistent with current experimental conditions.KBBD ; akeson ; meller ; henrickson ; meller1 ; movileanu ; howorka  In our theoretical model the translocation process starts as soon as the first monomer enters the pore, and ends when the last monomer leaves the pore. Note that experimental translocation times are slightly different, as discussed below.

### II.1 Polymers with sizes $`N>M`$

In this case, there are three regimes of motion, as shown in Fig.2a. In regime I, the leading monomer enters the nanopore from the upper region and then moves across the nanopore. In regime II, the leading monomer leaves the nanopore, while the end monomer approaches the entrance of the pore. In regime III, the end monomer goes through the nanopore and finally leaves it for the lower region. Assuming that the polymer segments inside the nanopore do not contribute to the free energy, i.e., there are no fluctuations inside the pore, the free energy $`F_m`$ of the polymer configuration in regime I with $`m`$ monomers in the pore and $`(Nm)`$ monomers in the upper region, is given bymuth

$$\frac{F_m}{k_BT}=(1\gamma _1^{})\mathrm{ln}(Nm)+\frac{m\mathrm{\Delta }\mu _1}{k_BT},$$
(1)
where $`\gamma _1^{}`$ is a parameter which describes the properties of polymers and which is equal to 0.5, 0.69 and 1 for Gaussian, self-avoiding, and rod-like chains, respectively;eisenriegler  the subindex 1 indicates the properties of the upper region of the system. The first term in (1) is an entropic contribution due to $`(Nm)`$ free monomers in the upper region, while the second term represents the energy gain due to moving $`m`$ monomers into the pore, and includes the effect of the external field and chemical potential changes. The entropic contribution term follows from the partition function for the polymer chain in a semi-infinite space near a hard wall with the end monomer anchored at the wall.eisenriegler ; muth  The chemical potential difference per monomer is given by $`\mathrm{\Delta }\mu _1=\mu _2\mu _1`$, and we assume that the potential energy inside the nanopore is uniform. Note that the number of monomers in the pore $`m`$ can vary between 0 and $`M`$. Similarly, the translocation of the polymer in regimes II and III can be described by

$$\frac{F_m}{k_BT}=(1\gamma _1^{})\mathrm{ln}(NMm)+(1\gamma _2^{})\mathrm{ln}m+\frac{m\mathrm{\Delta }\mu _3}{k_BT},$$
(2)
with $`0<m<NM`$, and

$$\frac{F_m}{k_BT}=(1\gamma _2^{})\mathrm{ln}m+\frac{m\mathrm{\Delta }\mu _2}{k_BT},$$
(3)
with $`NM<m<N`$, respectively. Here $`\gamma _2^{}`$ describes the properties of the polymers in the lower region, and the chemical potential differences are $`\mathrm{\Delta }\mu _2=\mu _3\mu _2`$ and $`\mathrm{\Delta }\mu _3=\mu _2\mu _1+\mu _3\mu _2=\mathrm{\Delta }\mu _1+\mathrm{\Delta }\mu _2`$.

The transport of the polymer across the nanopore can be described by a Master equationmuth

$$\frac{P_m(i,t)}{t}=u_{m1}P_{m1}(i,t)+w_{m+1}P_{m+1}(i,t)(u_m+w_m)P_m(i,t),$$
(4)
where $`P_m(i,t)`$ is the probability of moving $`m`$ monomers in regime $`i=`$I, II or III at time $`t`$. $`u_m`$ is the rate constant of adding one more monomer to the segment of $`m`$ monomers already moved, and $`w_m`$ is the rate constant of removing one monomer from the segment of length $`m`$. These rate constants are related by detailed balance, namely,

$$\mathrm{ln}\frac{u_m}{w_{m+1}}=\frac{(F_{m+1}F_m)}{k_BT}.$$
(5)
Following Muthukumar,muth  it is assumed that these rate constants are independent of $`m`$; however, they are different for different regimes, i.e., $`u_m=u_i`$ for $`i=`$I, II or III, and generally $`u_1u_2u_3`$. Transforming the discrete Eq. (4) into continuum Smoluchovskii equation, we obtain

$$\frac{P_m(i,t)}{t}=\frac{}{m}\left[\frac{u_i}{k_BT}\frac{F_m}{m}P_m(i,t)+u_i\frac{}{m}P_m(i,t)\right].$$
(6)
The mean translocation time $`\tau `$ can now be calculated as a sum of mean first-passage times in each regime,risken  i.e., $`\tau =\tau _1+\tau _2+\tau _3`$, with

$$\tau _1=\frac{1}{u_1}_0^M\mathrm{exp}\left(\frac{F_{m_1}}{k_BT}\right)𝑑m_1_0^{m_1}\mathrm{exp}\left(\frac{F_{m_2}}{k_BT}\right)𝑑m_2,$$
(7)
$$\tau _2=\frac{1}{u_2}_0^{NM}\mathrm{exp}\left(\frac{F_{m_1}}{k_BT}\right)𝑑m_1_0^{m_1}\mathrm{exp}\left(\frac{F_{m_2}}{k_BT}\right)𝑑m_2,$$
(8)
$$\tau _3=\frac{1}{u_1}_{NM}^N\mathrm{exp}\left(\frac{F_{m_1}}{k_BT}\right)𝑑m_1_0^{m_1}\mathrm{exp}\left(\frac{F_{m_2}}{k_BT}\right)𝑑m_2,$$
(9)
where the corresponding expressions for free energies in different regimes are used. These equations can be solved numerically for any set of parameters; however, explicit analytic results can be obtained in some special cases. Chemical potential differences are the leading factors in the dynamics of translocation.muth ; muth1  Then, for $`\mathrm{\Delta }\mu _1=\mathrm{\Delta }\mu _2=\mathrm{\Delta }\mu _3=0`$, we can obtain exact expressions for translocation times; namely, $`\tau _i`$ are given by

$$\tau _1=\frac{N^2}{u_1\gamma _1^{}}\left[\frac{1(1M/N)^{2\gamma _1^{}}}{2\gamma _1^{}}\frac{1(1M/N)^2}{2}\right],$$
(10)
$$\tau _2=\alpha \frac{(NM)^2}{u_2},$$
(11)
$$\tau _3=\frac{N^2}{u_3(2\gamma _2^{})}\left[\frac{1(1M/N)^{\gamma _2^{}}}{\gamma _2^{}}\frac{1(1M/N)^2}{2}\right],$$
(12)
where $`\alpha `$ is a constant, which is equal to 1/2 and $`\pi ^2/16`$ for the special cases $`\gamma _1^{}=\gamma _2^{}=1`$ and $`\gamma _1^{}=\gamma _2^{}=1/2`$, respectively. In the limit $`NM`$, these results reduce to

$$\tau _1\frac{M^2}{2u_1},\tau _2\frac{\alpha N^2}{u_2},\tau _3\frac{M^2}{2u_3}.$$
(13)
Thus the overall translocation time $`\tau `$ in this limit is proportional to $`N^2`$, in agreement with the corresponding results from Ref.muth . For another limiting case, $`NM`$, we obtain in a similar way

$$\tau _1\frac{N^2}{2u_1(2\gamma _1^{})},\tau _20,\tau _3\frac{N^2}{2u_3\gamma _2^{}}.$$
(14)
In this case, the overall translocation time is also proportional to $`N^2`$, however, with a different coefficient.

For more realistic situations, when the chemical potential differences are negative and the entropic terms in Eqs.(1,2,3) are weak in comparison with the $`\mathrm{\Delta }\mu _i`$ terms, we obtain in regime I

$$\tau _1\{\begin{array}{cc}\frac{k_BTM}{u_1|\mathrm{\Delta }\mu _1|},& M|\mathrm{\Delta }\mu _1|>1,\\ \frac{M^2}{2u_1},& M|\mathrm{\Delta }\mu _1|<1,\end{array}$$
(15)
in regime II,

$$\tau _2\{\begin{array}{cc}\frac{k_BT(NM)}{u_2|\mathrm{\Delta }\mu _3|},& (NM)|\mathrm{\Delta }\mu _3|>1,\\ \frac{(NM)^2}{2u_2},& (NM)|\mathrm{\Delta }\mu _3|<1,\end{array}$$
(16)
and in regime III,

$$\tau _3\{\begin{array}{cc}\frac{k_BTM}{u_3|\mathrm{\Delta }\mu _2|},& M|\mathrm{\Delta }\mu _2|>1,\\ \frac{M^2}{2u_3},& M|\mathrm{\Delta }\mu _2|<1.\end{array}$$
(17)
For large positive chemical potential differences we can easily calculate for different regimes

$$\tau _1\frac{1}{u_1}\left(\frac{k_BT}{u_1\mathrm{\Delta }\mu _1}\right)^2\mathrm{exp}\left(M\frac{\mathrm{\Delta }\mu _1}{k_BT}\right),$$
(18)
$$\tau _2\frac{1}{u_2}\left(\frac{k_BT}{u_2\mathrm{\Delta }\mu _3}\right)^2\mathrm{exp}\left((NM)\frac{\mathrm{\Delta }\mu _3}{k_BT}\right),$$
(19)
$$\tau _3\frac{1}{u_3}\left(\frac{k_BT}{u_3\mathrm{\Delta }\mu _2}\right)^2\mathrm{exp}\left(M\frac{\mathrm{\Delta }\mu _2}{k_BT}\right).$$
(20)
When $`NM`$, the translocation time $`\tau `$ is governed by the dynamics in regime II, and it becomes proportional to the polymer length for large negative chemical potential differences, in agreement with experimental observations.KBBD ; meller1

### II.2 Polymers with sizes $`N<M`$

For relatively short polymers (but recall that $`N1`$), again three regimes of translocation are observed, as shown in Fig. 2. The motion in regimes I and III is qualitatively similar to the transport of long polymers (compare Fig.2a and Fig.2b); however the transport in regime II is different, since there are no polymer segments in the upper or lower regions. Thus the free energy expressions in regimes I and III are the same as those given by Eqs. (1) and (3), respectively with, however, $`0<m<N`$ in both regimes. The free energy in regime II can be taken equal to zero because at this level of approximation we neglect the free energy contribution from the polymer segments fluctuating inside the nanopore.

Calculations of translocation times can be performed in a similar fashion as was done for long polymers. First, for translocation time in regime II at all possible values of parameters, it can be easily computed,

$$\tau _2=\frac{(NM)^2}{2u_2^{}},$$
(21)
where it is assumed that $`u_2^{}u_2`$ because the translocation process is physically different in this regime for short polymers in comparison with long polymers.

When $`\mathrm{\Delta }\mu _1=\mathrm{\Delta }\mu _2=0`$, the translocation times in regimes I and III are equal to

$$\tau _1=\frac{N^2}{2u_1(2\gamma _1^{})},\tau _3=\frac{N^2}{2u_3\gamma _2^{}}.$$
(22)
Here we assume that the rate constants for long and for short polymers are the same, since the dynamics of translocation in these regimes are very similar for short and for long polymers. For more realistic situations, when $`\mathrm{\Delta }\mu _1<0`$ and $`\mathrm{\Delta }\mu _2<0`$, and the entropic terms in the free energy expressions are small, the calculations in regime I yield

$$\tau _1\{\begin{array}{cc}\frac{k_BTN}{u_1|\mathrm{\Delta }\mu _1|},& N|\mathrm{\Delta }\mu _1|>1,\\ \frac{N^2}{2u_1},& N|\mathrm{\Delta }\mu _1|<1,\end{array}$$
(23)
and in regime III

$$\tau _3\{\begin{array}{cc}\frac{k_BTN}{u_3|\mathrm{\Delta }\mu _2|},& N|\mathrm{\Delta }\mu _2|>1,\\ \frac{N^2}{2u_3},& N|\mathrm{\Delta }\mu _2|<1.\end{array}$$
(24)
For large positive chemical potential differences, translocation times are given by

$$\tau _1\frac{1}{u_1}\left(\frac{k_BT}{u_1\mathrm{\Delta }\mu _1}\right)^2\mathrm{exp}\left(N\frac{\mathrm{\Delta }\mu _1}{k_BT}\right),$$
(25)
$$\tau _3\frac{1}{u_3}\left(\frac{k_BT}{u_3\mathrm{\Delta }\mu _2}\right)^2\mathrm{exp}\left(N\frac{\mathrm{\Delta }\mu _2}{k_BT}\right).$$
(26)
### II.3 Fluctuations inside the nanopore

So far in our calculations of polymer translocation times we neglected the contributions from the fluctuations of polymer segments inside the nanopore, although these fluctuations may be important. To take them into account the scaling analysis can be used to describe the polymer molecule inside the confined cylindrical pore.degennes1  The free energy of confined polymer chain is given by $`k_BTN_b`$, where $`N_b=l/d`$ is the number of blobs inside the pore.degennes1  Note, however, that this approach is valid when $`dl`$. The size of each blob is equal to the diameter of the pore, i.e.,

$$d=Da=ag^\nu ,$$
(27)
where $`g`$ is the number of monomers in the blob, and the exponent $`\nu `$ is equal to 1/2, 3/5, and 1 for ideal, self-avoiding, and rod-like chains, respectively. Then the maximum number of monomers in the pore of length $`l=Ma`$ and diameter $`d=Da`$ is given by

$$M_{max}=\frac{l}{d}g=MD^{(1/\nu 1)}.$$
(28)
Note that for rod-like chains $`M_{max}=M`$, while for ideal flexible chains $`M_{max}=MD`$.

Knowing the free energy contribution of polymer segments inside the nanopore allows to calculate the translocation dynamics as discussed in detail above. Consider first the dynamics of the polymer molecule in regime II. The contribution from the fluctuating polymer segments inside the pore is always constant in this regime because the number of monomers inside the nanopore does not change. Then this free energy term will not affect translocation times since they are determined by free energy differences \[see Eqs.(15),(16),(17)\]. In regimes I and III the number of monomers inside the nanopore is changing, however the free energy difference from this confinement term is equal to $`k_BTD^{1/\nu }`$, which for experimental conditionsKBBD ; henrickson ; meller  is very small in comparison with entropic and chemical potential terms, and can be neglected. Thus the free energy contributions from fluctuating monomers inside the nanopore do not change the results on translocation dynamics of the polymers (provided that $`M`$ is replaced by $`M_{max}`$).

## III Comparison with Experiments

The above results are well compared with the experimental findings of Ref.meller1 , where the size dependence of voltage-driven single-stranded DNA molecules has been investigated. In the present theoretical approach, the process of translocation is assumed to start as soon as the leading monomer enters the nanopore and to end when the end monomer leaves the nanopore. Then the translocation velocity is given by

$$V=(N+M)a/\tau .$$
(29)
For realistic situations (large $`N`$ and $`M`$, $`\mathrm{\Delta }\mu _i0`$), the results for translocation times in corresponding regimes \[see Eqs. (15),(16),(17),(21) and (22)\] can be substituted into equation (29), leading to explicit expressions for the translocation velocity

$$V=\{\begin{array}{cc}(N+M)a/\left(\frac{k_BTM}{u_1|\mathrm{\Delta }\mu _1|}+\frac{k_BT(NM)}{u_2|\mathrm{\Delta }\mu _3|}+\frac{k_BTM}{u_3|\mathrm{\Delta }\mu _2|}\right),& N>M,\\ (N+M)a/\left(\frac{k_BTN}{u_1|\mathrm{\Delta }\mu _1|}+\frac{(MN)^2}{2u_2^{}}+\frac{k_BTN}{u_3|\mathrm{\Delta }\mu _2|}\right),& N<M.\end{array}$$
(30)
However, in the experiments of Meller et al.,meller1  the translocation time was measured only when a current passing through the nanopore dropped to a level below 65$`\%`$ of an open channel current. The authors also showed that the blockade level is proportional to the fractional volume of the channel occupied by the polymer. This means that in these experiments the translocation process started when 35$`\%`$ of the polymer entered into the nanopore, and ended when only 35$`\%`$ of the polymer left in the pore. Thus, in order to compare our theoretical predictions with experimental observations, the expressions for translocation velocity (30) should be modified as follows

$$V=\{\begin{array}{cc}(N+0.30M)a/\left(\frac{0.65Mk_BT}{u_1|\mathrm{\Delta }\mu _1|}+\frac{k_BT(NM)}{u_2|\mathrm{\Delta }\mu _3|}+\frac{0.65Mk_BT}{u_3|\mathrm{\Delta }\mu _2|}\right),& N>M,\\ (N+0.30M)a/\left(\frac{k_BT(N0.35M)}{u_1|\mathrm{\Delta }\mu _1|}+\frac{(MN)^2}{2u_2^{}}+\frac{k_BT(N0.35M)}{u_3|\mathrm{\Delta }\mu _2|}\right),& N<M.\end{array}$$
(31)
Under experimental conditions,meller1  the single-stranded DNA molecules behave more like rod-like polymers, and this fact justifies using $`M_{max}=M`$ in our description of experimental data. Then the expressions (31) can be used to fit the observed translocation velocitiesmeller1  as shown in Fig.3. The present theoretical approach predicts two types of translocation depending on polymer size. For large polymers, larger than the nanopore length, the translocation velocity approaches a constant value, while for short polymers the velocity increases significantly with decreasing polymer length. These predictions are in excellent qualitative and quantitative agreement with experiments for large polymers; however, for short polymers the agreement is only qualitative.

There are several reasons to explain the deviations between the presented theory and experimental behavior for short polymers. In our theoretical approach we used a polymer description of molecule dynamics, while for such short polynucleotides ($`N=4`$—12) the polymer description is probably less precise and the discrete chemical nature of the molecules should be taken into account. In addition, our descriptions of the nanopore geometry and the potential changes inside the nanopore are very simplified. However, for short polymer molecules these factors probably influence the translocation dynamics much stronger than for large polymers. Despite these discrepancies, the fact that a very simple theoretical approach can provide a qualitative and semi-quantitative description of complex translocation processes is rather encouraging. It also indicates that the presented theoretical model correctly captures and describes the main features of translocation phenomena.

Our theoretical approach allows us to investigate the effect of interactions between the nanopore and the polymer molecule. The rate constants $`u_j`$ measure the degree of such interactions. The smaller the rate constants, the larger the attraction between the moving polymer chains and the nanopore. As shown in Fig.4, when only the rate constants for short polymers in regime II are varied, the interactions between the nanopore and the polymer can change the translocation dynamics significantly. The stronger the interaction, the slower the motion of threading polymer molecules, in agreement with intuition.

## IV Summary and Conclusions

A simple theoretical model of polymer translocation through the long nanopores driven by external electric fields is presented. The fact that we take into account the nanopore length and diameter allows us to describe the translocation dynamics for polymer molecules of different sizes. By considering in detail different regimes of moving polymers across the membranes, the general expressions for free energies and translocation times for polymer chains threading through the nanopores are derived. The presented theoretical predictions are compared with experimental results on voltage-driven translocations of single-stranded DNA molecules through the $`\alpha `$-hemolysin protein channels.meller1  It is found that for experimental conditions,meller1  long polymers, longer than the nanopore length, translocate with nearly constant velocity, while short polymers move significantly faster. The theoretical analysis indicates that for experimentsmeller1  with $`\alpha `$-hemolysin protein channels the polymer fluctuations inside the nanopore do not affect the translocation dynamics. Presented theoretical results are in agreement with experimental observations.

Although a reasonable description of polymer translocation experimentsmeller1  is provided, there are many factors that have not been taking into account. We assumed in our calculations that the external field inside the nanopore is uniform, while more realistic picture would incorporate a potential profile inside the nanopore,konkoli  which can be found by taking into account the realistic geometry of the nanopore and all electrostatic interactions. In the present model, the possibility that the polymer molecule can return was neglected, which is a very good approximation at large external driving fields, as realized in most experiments. Given theoretical approach allows to consider this effect by solving the Smoluchovskii equations (6) with different boundary conditions. We also assumed that the nanopore is very narrow, i.e., the effect of the nanopore diameter on free energies of the polymer segments outside of the pore has not been considered, although the $`\alpha `$-hemolysin pore in principle can hold several monomers of DNA or RNA molecules. Probably, the simplest way to include this possibility into presented theoretical model, is to utilize the scaling approach.degennes1

## Acknowledgments

ABK is grateful to Dr. A. Meller for introducing to this problem and for valuable discussions. The critical comments by Profs. M. Robert, M.E. Fisher, and M. Pasquali, Dr. P. Willis and A. Montesi are highly appreciated. The financial support of the Camille and Henry Dreyfus New Faculty Awards Program (under Grant NF-00-056) is gratefully acknowledged. The authors are also grateful to Center of Biological and Environmental Nanotechnology at Rice University for financial support.

## Figure Captions

Fig. 1. A polymer molecule moves from the upper chamber to lower through a cylindrical nanopore of length $`l`$ and diameter $`d`$. The potential energy change is considered to be only inside the nanopore. In polymer translocation experiments (see Refs. KBBD ; akeson ; meller ; henrickson ; meller1 ; movileanu ; howorka ), $`l5`$ nm, $`d2`$ nm, and $`\mathrm{\Delta }V50`$—300 mV.

Fig. 2. Three regimes of translocation for polymers of different sizes: a) for long polymers, b) for short polymers. The size of the nanopore is $`l=Ma`$. Solid filled circles indicate the head and the end monomer of the polymer molecule.

Fig. 3. Translocation velocity as a function of polymer size. The length of a nanopore is equal to 12$`a`$, where the monomer size is given by $`a=4\times 10^4\mu m`$. Filled squares are experimental observations from Ref. meller1  obtained at external field of 120 mV. Solid lines are our fits with $`\mathrm{\Delta }\mu _1=\mathrm{\Delta }\mu _2=2.5k_BT`$, $`u_1=u_3=2.3\times 10^4`$ s<sup>-1</sup>, $`u_2=1.4\times 10^4`$ s<sup>-1</sup>, and $`u_2^{}=4.5\times 10^6`$ s<sup>-1</sup>. Eq. (31) is used to calculate theoretical curves.

Fig. 4. Translocation velocities for different degrees of interactions between the nanopore and the polymers. Solid curve is the same as in Fig.3 with $`u_2^{}=4.5\times 10^6`$, while dashed curve is for the case when $`u_2^{}=1.0\times 10^6`$, dot-dashed curve is for the case when $`u_2^{}=0.5\times 10^6`$, and dotted curve is for the case when $`u_2^{}=0.2\times 10^6`$.


text:
# Jet Quenching

## 1 Introduction

In August 1982 J. D. Bjorken published a preprint  on ”Energy Loss of Energetic Partons in Quark-Gluon Plasma: Possible Extinction of High $`p_{}`$ Jets in Hadron-Hadron Collisions”, in which he discussed that high energy quarks and gluons propagating through quark-gluon plasma (QGP) suffer differential energy loss, and where he further pointed out that as an interesting signature events may be observed in which the hard collisions may occur such that one jet is escaping without absorption and the other is fully absorbed.

The arguments in this work have been based on elastic scattering of high momentum partons from quanta in the QGP, with a resulting (”ionization”) loss $`dE/dz\alpha _s^2\sqrt{ϵ}`$, with $`ϵ`$ the energy density of the QGP. The loss turns out to be less than the string tension of $`O(1\mathrm{GeV}/\mathrm{fm})`$  .

However, as in QED, bremsstrahlung is another important source of energy loss . Due to multiple (inelastic) scatterings and induced gluon radiation high momentum jets and leading large $`p_{}`$ hadrons become depleted, quenched  or may even become extinct. In  it has been shown that a genuine pQCD process (Fig. 2) is responsible for the dominant loss: after the gluon is radiated off the energetic parton it suffers multiple scatterings in the medium. Indeed, further studies by  support this observation .

In the following I mainly concentrate on the influence of the medium-induced energy loss on the large $`p_{}`$ leading hadron spectrum. More about the recent theoretical developments can be learned from the contributions to the ”High Transverse Momentum” session at this conference .

It is important to mention that for the first time large $`p_{}`$ leading hadron data from $`AuAu`$ collisions have been measured by the PHENIX and STAR Collaborations at RHIC .

## 2 pQCD medium-induced radiative energy loss

After its production in a hard collision the energetic parton radiates a gluon which both traverse a finite size $`L`$ medium. Due to its non-abelian nature and its interaction with the medium this gluon follows a zig-zag path (Fig. 2), with a mean free path $`\lambda >1/\mu `$, which is the range of screened multiple gluon interactions.

It can be shown that the average energy loss of the parton (in the limit $`E_{parton}\mathrm{}`$) due to gluon radiation with a spectrum $`\frac{\omega dI}{d\omega }`$ is determined by the characteristic gluon energy $`\omega _c`$ as follows,

$$\mathrm{\Delta }E=^{\omega _c}\frac{\omega dI}{d\omega }𝑑\omega \alpha _s\omega _c,$$
(1)
where

$$\omega _c=\frac{1}{2}\widehat{q}L^2.$$
(2)
The medium dependence is controlled by the transport coefficient

$$\widehat{q}\mu ^2/\lambda \rho d^2q_{}q_{}^2𝑑\sigma /d^2q_{},$$
(3)
where $`\rho `$ is the density of the medium (a nucleus, or partons) and $`\sigma `$ the cross section of the gluon-medium interaction. In order to understand (1) the coherent pattern of the induced gluon radiation is important.

The following semiquantitative arguments are crucial:

$``$ number of coherent scattering centers, which act as a single source of gluon radiation: $`N_{coh}t_{coh}/\lambda \sqrt{\omega /\mu ^2\lambda }>>1`$

$``$ coherence/formation time: $`t_{coh}\omega /k_{}^2\sqrt{\omega /\widehat{q}}`$

$``$ random walk of emitted gluon (Fig. 2): accumulated average transverse momentum $`k_{}^2N_{coh}\mu ^2`$

$``$ medium-induced soft gluon spectrum in relation to the Gunion-Bertsch (GB) spectrum :

$$\frac{\omega dI}{d\omega dz}\frac{1}{N_{coh}}\frac{\omega dI}{d\omega dz}|_{GB}\frac{1}{N_{coh}}\frac{\alpha _s}{\lambda }\alpha _s\sqrt{\widehat{q}/\omega }.$$
(4)
The medium-induced (BDMPS ) gluon spectrum (valid for finite size $`L>>\lambda `$ and for soft gluon energies $`\omega _{GB}=\widehat{q}\lambda ^2<\omega <<E_{parton}\mathrm{}`$) with the characteristic behaviour: $`\frac{\omega dI}{d\omega }\alpha _s\sqrt{\frac{\omega _c}{\omega }}`$ , $`\omega <\omega _c`$, is shown in Fig. 2. It is suppressed by $`1/N_{coh}`$ for $`\omega >\omega _{GB}`$ with respect to the incoherent Gunion-Bertsch spectrum (cf. Eq. 4). For comparison with QED the LPM suppressed photon spectrum behaves as $`\frac{\omega dI}{d\omega }\sqrt{\omega }`$ .

## 3  Transport coefficient $`\widehat{q}`$

The coefficient $`\widehat{q}`$ (3) can be calculated in terms of the gluon structure function, i.e. for nuclear matter,

$$\widehat{q}=\frac{4\pi ^2\alpha _sN_c}{N_c^21}\rho [xG(x,\widehat{q}L)],$$
(5)
where $`xG(x,Q^2)`$ is the gluon distribution for a nucleon and $`\rho `$ the nuclear density.

Gluon dynamics is responsible for the following important relations:

$``$ relation to $`q_{}`$ broadening

Due to multiple scatterings off nucleons there is transverse momentum broadening of the gluon,

$$<q_{}^2>=\widehat{q}L,$$
(6)
such that the differential energy loss is expressed by

$$\frac{dE}{dz}\alpha _s<q_{}^2>.$$
(7)
$``$ relation to ”saturation scale” $`Q_s`$

The saturation momentum of gluons for central gluon-nucleus (radius $`R_A`$) collisions at small $`x`$ is given by ,

$$Q_s^2=\frac{4\pi ^2\alpha _s(Q_s)N_c}{N_c^21}\rho [xG(x,Q_s^2)]2R_A=2R_A\widehat{q}.$$
(8)
$``$ medium dependence of $`\widehat{q}`$

In Fig. 3 the dependence of $`\widehat{q}`$ as a function of the energy density of (equilibrated) media is shown; e.g. for QGP the number density is translated into $`ϵ`$ as $`\rho (T)T^3ϵ^{3/4}`$. A ”smooth” increase of $`\widehat{q}`$ with increasing $`ϵ`$ is observed, such that

$$\widehat{q}|_{\mathrm{QGP}}>>\widehat{q}|_{\mathrm{nuclear}\mathrm{matter}}.$$
(9)
However, it is difficult to deduce from the behaviour indicated in Fig. 3, how the QCD phase transition near $`ϵ1\mathrm{GeV}/\mathrm{fm}^3`$  may be observed by measuring jet quenching.

$``$ expanding medium

In case of a dynamically expanding collision region the gluon radiation spectrum, and the resulting energy loss depend on an effective $`\widehat{q}|_{\mathrm{eff}}`$, equivalent to a static coefficient, which is obtained by

$`\widehat{q}(L)|_{\mathrm{eff}}`$ $`=`$ $`{\displaystyle \frac{2}{L^2}}{\displaystyle _{\tau _0}^L}𝑑\tau (\tau \tau _0)\widehat{q}(\tau )`$ (10)
$``$ $`{\displaystyle \frac{2}{2\alpha }}\widehat{q}(L)\mathrm{for}\tau _00,`$
when $`\widehat{q}(\tau )=\widehat{q}(\tau _0)(\frac{\tau _0}{\tau })^\alpha `$, where $`\tau _0`$ is the starting time of the expansion, which, however, may not be very small. $`\alpha =1`$ corresponds to Bjorken’s longitudinal expansion .

Which medium is actually probed by quenching? According to the possible time behaviour of the hadronic system produced in heavy ion collisions: Colour Glass Condensate in the initial state - (non-equilibrated) quark gluon matter - QGP - mixed phase , it is most likely that the hard probes propagate through different expanding, not necessarily thermalized, but dense gluonic media.

## 4 How to ”measure” $`\mathrm{\Delta }E(L)`$ ?

### 4.1  Quenching of leading hadron spectra in media

The yield of inclusive large $`p_{}`$ hadrons in $`AA`$ collisions is essentially modified due to the radiative medium induced energy loss, leading to significant jet quenching, i.e. to a shift of the leading particle/pion spectrum

$$\frac{d\sigma ^{\mathrm{medium}}(p_{})}{dp_{}^2}\frac{d\sigma ^{\mathrm{vacuum}}(p_{}+S(p_{}))}{dp_{}^2},$$
(11)
or, by introducing the medium dependent quenching factor $`Q(p_{})`$,

$$\frac{d\sigma ^{\mathrm{medium}}(p_{})}{dp_{}^2}=\frac{d\sigma ^{\mathrm{vacuum}}(p_{})}{dp_{}^2}Q(p_{}),$$
(12)
which is related to the shift $`S(p_{})`$ by

$$Q(p_{})=\mathrm{exp}\left\{\frac{n}{p_{}}S(p_{})\right\}.$$
(13)
The vacuum leading hadron distribution is a steeply falling spectrum with increasing $`p_{}`$, in terms of an effective power $`n`$,

$$\frac{d\sigma ^{\mathrm{vacuum}}(p_{})}{dp_{}^2}\frac{1}{p_{}^n},n=n(p_{})\frac{d}{d\mathrm{ln}p_{}}\mathrm{ln}\frac{d\sigma ^{\mathrm{vacuum}}(p_{})}{dp_{}^2},$$
(14)
i.e. at RHIC: $`n810`$. This behaviour causes a strong bias leading to an additional suppression of real gluon emission, with the important result that the shift is $`p_{}`$ dependent and that

$$S(p_{})<\mathrm{average}\mathrm{loss}\mathrm{\Delta }E!$$
(15)
The additional energy loss due to medium induced gluon radiation in the final state is characterized by the probability $`D(ϵ)`$ that radiated gluons carry away the energy $`ϵ`$ by independent emission of soft primary gluons,

$$D(ϵ)=\underset{n=0}{\overset{\mathrm{}}{}}\frac{1}{n!}\left[\underset{i=1}{\overset{n}{}}𝑑\omega _i\frac{dI(\omega _i)}{d\omega }\right]\delta \left(ϵ\underset{i=1}{\overset{n}{}}\omega _i\right)\mathrm{exp}\left[𝑑\omega \frac{dI}{d\omega }\right],$$
(16)
where $`\frac{dI(\omega )}{d\omega }`$ is the inclusive soft LPM gluon spectrum given above (Fig. 2). The last factor in (16) accounts for virtual corrections. The distribution $`D(ϵ)`$ peaks at small gluon energies $`ϵ_{peak}<\omega _c`$ , as illustrated in Fig. 5. To obtain the inclusive hadron spectrum the vacuum production cross section at energy $`(p_{}+ϵ)`$ has to be convoluted with the distribution $`D(ϵ)`$,

$$\frac{d\sigma ^{\mathrm{medium}}(p_{})}{dp_{}^2}=𝑑ϵD(ϵ)\frac{d\sigma ^{\mathrm{vacuum}}(p_{}+ϵ)}{dp_{}^2}.$$
(17)
The resulting quenching factor $`Q(p_{})`$ scales in the dimensionless variable $`X=p_{}/(n\omega _c).`$ Fig. 5 shows a significant suppression for small $`X`$ , i.e. for a hot medium $`Q<<1`$. Typical $`X`$ values are for $`L=5\mathrm{fm},p_{}=10\mathrm{GeV},n10:`$ cold matter ($`\omega _c=3\mathrm{GeV}`$) $`X0.3`$ , hot matter ($`\omega _c=25\mathrm{GeV},ϵ=2\mathrm{GeV}/\mathrm{fm}^3`$) $`X0.04.`$

In the region of interest for RHIC data the shift is plotted in Fig. 7, supporting the statement (15), and showing that effectively $`S(p_{})\alpha _sL\sqrt{\widehat{q}p_{}/n}`$ .

Although $`Q(p_{})`$ is formally an infrared-safe quantity, the soft LPM spectrum $`1/\sqrt{\omega }`$ (Fig. 2) causes a serious instability for the range $`p_{}<10\mathrm{GeV}`$. At the same time in the large $`p_{}20\mathrm{GeV}`$ range (where the characteristic gluon energies are much larger than $`\omega _{GB}`$) the perturbative treatment for quenching is applicable, meaning that the ”infrared sensitivity” is not large. For an illustration this sensitivity is shown in Fig. 7; the curves from bottom to top correspond to gluon energies $`\omega `$ cut by $`\omega \omega _{cut}=0,100,300,500`$ MeV, respectively.

### 4.2 Medium-modified fragmentation functions

Instead of (17) medium modifications may be studied more directly in the fragmentation of partons $``$ hadrons.

$``$ model with gluon radiation probability $`D(ϵ)`$

With $`D(ϵ)`$ (16) the hadronic cross section for high $`p_{}`$ hadrons produced in heavy ion collisions is calculated by convoluting with the vacuum fragmentation function

$$D_{h/p}^{\mathrm{medium}}(z,Q^2)=𝑑ϵD(ϵ=\widehat{ϵ}p_{,jet})\frac{1}{1\widehat{ϵ}}D_{h/p}^{\mathrm{vacuum}}(\frac{z}{1\widehat{ϵ}},Q^2).$$
(18)
As an example the modified fragmentation of $`u`$ quark $`\pi `$ is plotted in Fig. 9 . To $`O(ϵ_{peak}/p_{})`$ this ansatz - after convolution with the jet cross section - is equivalent to (17).

$``$ effective models

Because of the peaked behaviour of $`D(ϵ)`$ (Fig. 5) one may approximate:

$`D(ϵ)\delta (\widehat{ϵ}\widehat{ϵ}_{peak})/p_{,jet}`$ and simplify (18) by

$$D_{h/p}^{\mathrm{medium}}(z,Q^2)\frac{1}{1\widehat{ϵ}_{peak}}D_{h/p}^{\mathrm{vacuum}}(\frac{z}{1\widehat{ϵ}_{peak}},Q^2)$$
(19)
with $`\widehat{ϵ}_{peak}=ϵ_{peak}/p_{,jet}`$. Instead, in most cases the fractional average loss $`\mathrm{\Delta }\widehat{ϵ}`$, which is larger than $`\widehat{ϵ}_{peak}`$, is used in (19) for the phenomenological analysis, e.g. in .

The study of fragmentation functions and their nuclear modifications allows a comparison with data in DIS; an example is shown in Fig. 9 .

### 4.3  Heavy quark radiative energy loss and quenching

The pattern of medium induced gluon radiation is qualitatively different for heavy and light quarks, due to the ”dead cone” phenomena (Fig. 11): gluon radiation is suppressed at angles $`\theta <m_q/E`$, where $`m_q`$ is the heavy quark mass and $`E`$ its energy,

$$1/\theta ^2\frac{\theta ^2}{[\theta ^2+m_q^2/E^2]^2}.$$
(20)
As a consequence the ratio of quenching factors is $`Q_H(p_{})/Q_L(p_{})1`$ as shown in Fig. 11, i.e. there is less energy loss and less suppression for heavy quarks than for pions. This effect could be studied experimentally in the $`D/\pi `$ ratio in heavy ion collisions .

## 5  Summary and conclusions

After 20 years the studies of hard/large $`p_{}`$ phenomena in nucleus-nucleus collisions in the context of (p)QCD are now becoming very exciting, since more and more detailed information is available. The importance of multiple gluon scatterings and gluon radiation is theoretically confirmed. Gluon dynamics in $`AA`$ collisions enforces quenching of large $`p_{}`$ leading hadrons and jets. The magnitude is sensitive to the density of the surrounding medium. Rather stable predictions are possible for $`p_{}>1020\mathrm{GeV}`$, where the quenching factor $`Q(p_{})`$ is significantly less than $`1`$. The most recent observations at RHIC  are indeed encouraging (although the measured ratio $`R_{AA}(p_{})Q(p_{})`$, for not yet large values of $`p_{}8\mathrm{GeV}`$, does not quite show the expected/predicted $`p_{}`$ dependence shown in Fig. 5).

Remaining open questions are related e.g. to the determination of the precise properties of the dense medium (cold hadronic, Colour Glas Condensate, QGP, ..), and to the relevant time scales: non-equilibrium versus thermal and chemical equilibrium.

Detailed quantitative predictions, including more complete treatments of the collision geometry , have still to be worked out. As reference and comparison $`pp`$ and $`pA`$ data have to be taken.

The first indications of the presence of parton energy loss form a promising start for the further studies of jet physics, especially for LHC, where jets with energies of $`O(100\mathrm{GeV})`$ will be measured and where, due to the medium induced gluon radiation, a characteristic dependence on the finite angular jet cone is predicted .

I am grateful for the very pleasant collaboration with Yu. L. Dokshitzer, A. H. Mueller, S. Peigné and D. Schiff during the past few years. I thank U. A. Wiedemann for useful discussions.


text:
# FERMILAB-Conf-02/192-E UASLP-IF-02-008 Two RICH Detectors as Velocity Spectrometers in the CKM ExperimentContributed talk at the Fourth Workshop on RICH Detectors, June 5-10, 2002, Pylos, Greece. To be published in NIMA.

## 1 The Physics

The basic goal of the CKM experiment  is to determine $`|V_{td}|`$, contributing to test the Standard Model hypothesis that a single phase in the CKM matrix is the sole source of $`𝒞𝒫`$ violation. The idea is to over-constrain the predictions with measurements. To really falsify the hypothesis, one needs a set of observables which can not only be measured sufficiently well, but also need to have controlled errors in the theoretical connection between the observable and the CKM matrix elements. A short list of these clean measurements to be made in the near future includes: $`B_d^0\mathrm{\Psi }K_s`$ (the golden mode at the $`B`$-Factories), the ratio of the mixing parameters of $`B_d`$ and $`B_s`$ (to be measured at the Tevatron), $`K^+\pi ^+\nu \overline{\nu }`$ and $`K^0\pi ^0\nu \overline{\nu }`$.

The standard model prediction for the branching ratio of $`K^+\pi ^+\nu \overline{\nu }`$ is  $`0.55\times 10^{10}[(1.35\overline{\rho })^2+(1.05\overline{\eta })^2]`$, defining an ellipse in the $`\overline{\rho }\overline{\eta }`$ plane. The calculation  is done as a ratio to the branching ration of the decay $`K^+\pi ^0e^+\nu `$, via weak isospin rotation. With current values this leads to $`(0.72\pm 0.21)\times 10^{10}`$. The theoretical uncertainty is estimated to be around $`8\text{\%}`$ , and dominated by the uncertainty in the charm quark mass. We therefore aim at observing 100 events of that decay, giving a measurement of $`|V_{td}|`$ of $`10\text{\%}`$ including theoretical errors.

Recently the Brookhaven experiment 787 observed  two events of this decay after several years of running; their branching ratio measurement is high but consistent with the prediction of the Standard Model. A continuation of that stopped kaon experiment, E949, hopes to see 5-10 events in the next couple of years.

## 2 The Experiment

The CKM (Charged Kaons at the Main Injector) Collaboration plans to measure the branching ratio of $`K^+\pi ^+\nu \overline{\nu }`$ to a statistical precision of $`10\text{\%}`$ by observing the decay in flight. After a lengthy process  the experiment obtained Stage 1 (physics) approval at Fermilab in June 2001. The experiment plans to run in parallel to the Collider Run 2.

Protons from the Fermilab Main Injector are used to produce an RF-separated beam, containing $`3010^6`$ $`K^+`$ per second, with a total flux of $`<5010^6/\text{s}`$. A layout of the experiment is shown in fig. 1. The largest part of the experiment is a $`50\text{m}`$ long vacuum decay volume, filled with photon counters to veto against (under others) the decay $`K^+\pi ^+\pi ^0`$, one of the main backgrounds to suppress. This system should give a $`\pi ^0`$ rejection of $`<1.610^7`$, requiring an additional kinematic rejection of $`<310^5`$ by redundant spectrometer systems: two conventional magnetic spectrometers and two velocity spectrometers based on RICH detectors. The kinematic rejection uses the fact that the main background modes are two-body decays, and, if calculating the invariant mass the $`\pi ^+`$ recoils to ($`M_{\mathrm{miss}}`$), results within resolution a fixed value, whereas the signal mode is a three-body decay, leading to a distribution in $`M_{\mathrm{miss}}`$. The spectrometer systems have to measure the magnitude of the momenta of the $`K^+`$ and $`\pi ^+`$, as well as the decay angle between the $`K^+`$ and $`\pi ^+`$.

## 3 RICHes as Velocity Spectrometers

The velocity spectrometers consist of RICH detectors, which will measure the vector velocity (magnitude via the ring radius, track angles via the position of the ring center) for the incoming $`K^+`$ and for the outgoing $`\pi ^+`$. The detectors are modeled after the SELEX RICH , following the founding principle of the experiment that only proven detector technologies should be used to avoid surprises while searching for very rare decays. The results from the SELEX RICH are being used to study resolution effects and to tune the Monte Carlo simulation.

In fig. 2 we show, when operating the RICH close to threshold, that one can obtain with a modest accuracy in ring radius an excellent measurement of momentum. In addition, the curves for kaon and pion are widely separated, so particle identification comes nearly for free. That a RICH can be operated in this regime was shown by the SELEX RICH .

The experiment requires momentum and angular resolutions in the order of $`1\text{\%}`$, which can easily be translated into required ring radius resolutions. An even more important question is how gaussian is this resolution, e.g. how will non-gaussian tails in the resolution function affect the overall performance when searching for rare decays.

In fig. 3 we show the result of a study with SELEX data, single track events with $`\beta =1`$. To assign hits to a ring, we used the standard SELEX algorithm, which uses the information of the tracking system to determine the ring center. The average number of hits on a ring is $`13.4`$, with a Poisson distribution. We fit a sum of gaussians to this distribution, where the width of the gaussians is scaled by $`\sqrt{N3}`$ ($`N`$ being the number of hits on a ring), and the weight is given by how many events we observed for every given $`N`$. As can be seen, the resolution function shows a gaussian behavior over more than 4 orders of magnitude.

For CKM we do not want to use information from the tracking system in order to keep the two spectrometer systems really independent and redundant. We used the same SELEX sample as above, but this time performing a ring fit assigning all observed hits to the ring. We calculated the pull (deviation from mean divided by error) for the radius, where we scaled again the error with $`\sqrt{N3}`$. The result is shown in fig. 4.

The gaussian behavior found in this study is already sufficient for the experiment. We are currently working on improving the pattern recognition algorithm. In addition, the integration in SELEX was $`170\text{nsec}`$, and in CKM we expect a time resolution in the order of a few nsec, which should help to reduce the noise contribution.

## 4 The Pion RICH

The Pion RICH will be a straight copy of the SELEX RICH, with the only exception of doubling the vessel length from $`10\text{m}`$ to $`20\text{m}`$, with a corresponding change in curvature of the mirrors to $`40\text{m}`$. The radiator gas will be Neon at atmospheric pressure. Monte Carlo simulations showed that we should use $`1/2\text{in. }`$photomultipliers sensitive down to $`160\text{nm}`$ to obtain a momentum resolution in the $`1\text{\%}`$ range. The resolution is balanced between the different contributions (pm size, chromatic dispersion), and the $`\pi `$-$`\mu `$ separation is $`>10\sigma `$.

## 5 The Kaon RICH

Due to the beam characteristics (about $`10\text{cm}`$ diameter, very small divergence) only a small number of phototubes is needed to cover the focal plane of the Kaon RICH. Due to space restrictions and rate problems, we will double-fold the light path in a $`11\text{m}`$ long vessel, filled either with N2 at atmospheric pressure or with CF4 at about $`0.7\text{atm}`$. The spherical mirror ($`40\text{m}`$ radius) and the second flat mirror will be outside the beam. The mirror sizes are chosen so that only part of the Cherenkov photons for the (bigger) pion ring are reflected, but the number of detected photons is still enough, as shown in fig. 5.

The rings from kaons and pions are nicely separated, a fact we will use in the experiment trigger. The rates per tube will be as high as $`1.4\text{MHz}`$. The resolution is limited by chromatic dispersion, and we will use $`1/2\text{in. }`$photomultipliers with a cutoff around $`300\text{nm}`$.

## 6 Resolution Studies with MC

We implemented both RICHes, together with all other detectors, into GEANT . We ran studies with up to $`10^6`$ $`K^+\pi ^+\pi ^0`$ events with full kinematic reconstruction to verify the performance of single detectors and of the experiment as a whole. Detailed results can be found in . A main result is that we have no correlations between the two spectrometer systems (magnetic, RICHes). With the current design we should be able to reach the goal of the experiment.

## 7 Summary

The recently approved CKM experiment will measure the branching ratio of $`K^+\pi ^+\nu \overline{\nu }`$ with 100 events, to obtain a $`10\text{\%}`$ measurement, including theoretical uncertainties, of the magnitude of $`V_{td}`$. We will employ two phototube RICH detectors, modeled after the SELEX RICH, as velocity spectrometers. We can stand high rates, have a very low noise rate, good time resolution (all intrinsic properties of photomultipliers), and we expect the non-gaussian tails of the resolution functions to be sufficiently small.

## Acknowledgments

This work was supported in part by Consejo Nacional de Ciencia y Tecnología (Mexico), FAI-UASLP, and the US Department of Energy (contract No. DE-AC02-76CHO3000 and DE-AC02-98CH10886).