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# Observational Limits on a Distant Cold Kuiper Belt

## 1 Introduction

More than 500 Kuiper belt Objects (KBOs) have been discovered since the first, 1992 QB1, was detected almost a decade ago. Nearly all of these are currently within 50 AU of the sun, and only one has been detected beyond 54 AU, despite surveys sensitive enough to detect 160 km-diameter KBOs to 60 AU. Such surveys have placed strong upper limits on the density of KBOs in an outer Kuiper belt (Allen, Bernstein & Malhotra, 2001; Trujillo et al., 2001; Jewitt, Luu, & Trujillo, 1998; Gladman et al., 2001). There are several possible explanations for the observed absence of distant KBOs, each with distinctly different predictions for the Kuiper belt beyond 50 AU, and distinctly different implications for the history of the solar system.

In the simplest view of the Kuiper Belt, the region beyond 50 AU, where the gravitational perturbations of the giant planets become negligible, has remained dynamically cold, with KBOs moving on their primordial circular and coplanar orbits. It is inferred that the region inside 48 AU has been heavily depopulated, by a factor of 10-100 in mass, over the age of the solar system as a result of planetary perturbations and mutual collisions (Stern, 1996; Stern & Colwell, 1997; Levison & Duncan, 1993; Duncan, Levison, & Budd, 1995). In the absence of such perturbations, the outer disk is expected to be a factor of 5–100 times as dense as the presently observed inner Kuiper belt. However, as yet no discovered KBO has been determined to be in a circular orbit beyond 48 AU. Shallow surveys, with typical magnitude limits of $`R<23.5`$, have searched for KBOs in more than $`100\mathrm{deg}^2`$ of sky, but objects at $`50`$ AU must be $`280`$ km in diameter to be detected in such surveys. (In quoting sizes of KBOs in this paper, we assume a 4% albedo.) It is desirable to search for smaller objects since the growth timescales for KBOs in the outer Kuiper belt, though highly uncertain, are likely longer than in the inner Kuiper belt. Only a few square degrees, however, have been surveyed to magnitudes $`R24.5`$.

Hahn (2000) has pointed out that if the outer disk were dynamically very cold, thus restricted to a thin line on the sky, it could have easily slipped between the previous sparse deep survey fields. The most likely location for this distant cold disk would be the invariable plane, the plane normal to the total angular momentum of the solar system, which is inclined 1$`\stackrel{}{\mathrm{.}}`$6 to the ecliptic (Allen, 1976). Most deep KBO surveys, including our previously published results (Allen, Bernstein & Malhotra, 2001)\[ABM\], have been conducted close to the ecliptic plane, possibly missing a thin disk near the invariable plane. We have therefore supplemented the ABM survey with four new fields that are strategically chosen on the sky to maximize the likelihood of detecting a thin trans-Neptunian disk near the invariable plane. We present here new limits on a putative cold disk beyond 50 AU that result from our observations in these new survey fields combined with previously published data.

## 2 Distant Disk Survey Observations

The new observations were taken with the KPNO Mayall 4-m telescope and Mosaic camera, during two consecutive nights in March 2001. The observation and reduction methodologies are identical to those of ABM. In brief: data were taken using a broad-band $`VR`$ filter similar to that described in Jewitt, Luu, & Chen (1996). Each field is observed in a series of 7 to 9 exposures each night, each exposure 480 s long. The images were registered and then combined with a “digital tracking” technique to search for faint moving objects: after registration, the images from each night are summed (with sigma-clipping rejection) into a deep template. This template is then subtracted from each individual image in the opposing night, after matching the point spread functions. This removes all stationary objects from each image, leaving only moving objects and cosmic rays. These blank images are searched individually for bright KBOs, then combined at potential KBO motion vectors to search for faint slow-moving objects. The images were combined tens of thousands of times to search all likely orbits between 30 and 100 AU.

As the observations were taken in fields very near opposition, the distance can be estimated to within 10% from the apparent velocity. Although we cannot determine orbits with the short (two-night) observational arc obtained here, a distance alone is usually sufficient to exclude the possibility of a distant circular orbit.

We discovered 10 new KBOs in this 2001 survey data, over an effective area of $`1.0\mathrm{deg}^2`$. The effective area is simply the subtended survey area multiplied by the detection efficiency—the latter factor being probability of detecting a KBO at a particular magnitude. The effective area is determined by inserting hundreds of artificial moving objects into the data, then repeating the search process. In our 2001 survey, the detection efficiency drops by 50% at a magnitude of $`R24.9`$ due to noise, but has no dependence on velocity or distance as all KBOs within 200 AU will move appreciably in the two-night baseline. This limiting magnitude varies from field to field due to seeing and integration-time variations, while the peak detection efficiency varies primarily with stellar density and field overlap. Data for each field are listed in Table 1 and the details for each discovered object are listed in Table 2.

Also included in the Tables are details of the fields and detected objects from the 1998 and 1999 ABM data, which have an effective area of 1.3 square degrees with mean limiting magnitude of $`R=25.4`$. Altogether, our surveys between 1998 and 2001 cover 2.3 square degrees and we discovered a total of 33 KBOs and 1 Centaur. The discovered objects were found at distances between 20 and 53 AU, but none of the objects beyond 48 AU are on circular orbits. In our 2001 survey, no KBOs were found beyond 46 AU. We have clearly detected no possible distant cold disk members, even though we could have detected KBOs larger than $`D`$=185 km to distances of 55 AU or greater over nearly the entire survey area with our stated magnitude limits.

Figure 1 shows in invariable-plane coordinates the extent of the ABM fields (A–G), the new fields (H–L), and other authors’ surveys. The heavy line is the ecliptic plane (the plane containing the orbit of the Earth), about which the previous surveys are clustered. Observing in the ecliptic rather than the invariable plane (the total angular momentum plane of the Solar System) has been the norm, as the difference between the two is not important when considering a thick disk such as the Kuiper belt inside 50 AU. It is only when searching for a disk with vertical dispersion $`\sigma 2\mathrm{°}`$ that this difference becomes significant.

Deep KBO surveys conducted by other researchers (Chiang & Brown, 1999; Gladman et al., 2001, 1998) generally cover too little area (on the order of a Keck field $`0.01\mathrm{deg}^2`$) to provide additional constraints on a thin disk. In the analysis described in the next section, we have included the KBO survey by Gladman et al. (2001), conducted with the Canada-France-Hawaii Telescope. This survey discovered 1999 DG8, for which a one-night arc suggests a distance of $`60`$ AU. This is the only known object which could have a circular orbit beyond 50 AU, but the short arc means that the eccentricity of the orbit is completely indeterminate—it could easily be a scattered disk member. For the following analysis we must calculate the probability of cold disk models being consistent with the observations. We sum the probabilities of the model yielding 1 or 0 objects in the Gladman et al. (2001) CFHT field, since the nature of 1999 DG8 is indeterminate. This, along with the high latitude of the field \[1.5 to 2 deg to the invariable plane\], substantially weaken its ability to constrain a cold disk in the invariable plane.

## 3 Limits on a Distant Disk

We did not detect any KBOs beyond 50 AU in the primordial, circular orbits expected of objects in a distant cold disk. We wish to constrain the total number of KBOs which could be resident in such a disk. We will consider only KBOs with diameter $`D185`$ km, since such objects are detectable at $`>50\%`$ efficiency in all our fields at a distance of 55 AU, assuming 4% albedo. We express the total population $`N_{\mathrm{cold}}`$ of $`D>185`$ km objects between 50 and 60 AU as $`fN_{\mathrm{CKBO}}`$, where $`N_{\mathrm{CKBO}}`$ is the number of classical KBOs (CKBOs) larger than $`D=185`$ km. Trujillo et al. (2001) determine $`N_{\mathrm{CKBO}}3500`$. The cold disk is assumed to have some inclination $`i`$ and ascending node $`\mathrm{\Omega }`$ relative to the invariable plane. The surface density of cold disk objects on the sky is assumed to have a Gaussian distribution in the vertical direction with dispersion $`\sigma `$, and to be uniform with disk longitude. An exponential vertical distribution yields similar results for most disk widths.

We ask then what is the probability $`P(O|f,i,\mathrm{\Omega },\sigma )`$ of a given disk model yielding the observations $`O`$. For simplicity we assume that all the $`N_{\mathrm{cold}}`$ objects in the 50–60 AU range have the apparent magnitude $`m=24.8`$ that a $`D=185`$ km object would have at a distance of 55 AU. This is conservative in the sense that many of the objects would presumably be larger and brighter, but we do not want to assume any particular size distribution for the cold-disk members. Note that for $`f=1`$, we may imagine taking the CKBO population, collapsing (cooling) it down to a thin disk, then moving the disk out from its present 38–48 AU annulus to a 50–60 AU annulus. If the “classical” belt is truly a depleted and excited inner portion of the full Kuiper Belt, then this is a lower bound to the expected distant disk.

For chosen disk parameters $`\{f,i,\mathrm{\Omega },\sigma \}`$, we convolve the model sky surface density with the survey geometry and detection efficiencies specified in Table 1, yielding an expected number of detections. The expected number of detections for each field, $`N_i`$, for each cold disk orientation is then

$$N_i=3550\frac{E_i}{2}\frac{\mathrm{\Delta }(\mathrm{RA})\mathrm{cos}(\mathrm{dec})}{2\pi }\left|\mathrm{erf}(\frac{|b_{i1}|}{\sqrt{2}\sigma })\mathrm{erf}(\frac{|b_{i2}|}{\sqrt{2}\sigma })\right|,$$
(1)
where $`E_i`$ is the detection efficiency in each field, $`\mathrm{\Delta }(\mathrm{RA})`$ is the field width and $`b_{i1}`$ and $`b_{i2}`$ are the top and bottom field latitudes in the cold disk plane. Since the actual number of detections is zero (save possibly for 1999 DG8 in the CFHT field), $`P(O)`$ is easily calculated from Poisson statistics. A given disk configuration is excluded at 95% confidence if $`3`$ detections are expected.

As an example, 74% of the nodes of a very thin disk ($`\sigma =0\stackrel{}{\mathrm{.}}5`$) inclined at $`i=1\stackrel{}{\mathrm{.}}0`$ to the invariable plane, are ruled out at the $`>95`$% confidence level for $`f=1`$. Most of the remaining un-excluded disks travel through our field H, due to its slightly brighter limiting magnitude. The $`i=1\mathrm{°}`$, $`\sigma =0\stackrel{}{\mathrm{.}}5`$ disks which are not ruled out by our deep fields are plotted in Figure 1.

To simplify the interpretation, we marginalize over the ascending node $`\mathrm{\Omega }`$ by assuming a uniform prior distribution in the interval $`0<\mathrm{\Omega }<2\pi `$:

$$P(O|f,i,\sigma )=\frac{1}{2\pi }_0^{2\pi }P(O|f,i,\mathrm{\Omega },\sigma )𝑑\mathrm{\Omega }.$$
(2)
Figure 2 plots the probability $`P(O|f=1,i,\sigma )`$. As we allow the cold disk model to be more inclined to the invariable plane, our limits become weaker because these disks more easily dodge the surveyed fields. Our limits also become weaker as the model disks become thicker, at inclinations $`1\mathrm{°}`$, since the sky density of the KBOs drops in our fields. This situation reverses at higher inclinations, where the thicker disks ($`\sigma >0.5\mathrm{°}`$) are more likely to be detected, as they are unable to slip between our fields and the inclination variation matters less.

If we assume that the distant cold disk must be located in the invariable plane, then we can place further limits on how many objects larger than 185 km could exist between 50–60 AU without being detected in our survey. Figure 3 plots the value of $`f`$ at which $`P(O|f,i=0\mathrm{°},\sigma )=0.05`$, as a function of disk thickness $`\sigma `$. A thin disk ($`\sigma =0.22\mathrm{°}`$) must have less than half as many $`D>185`$ km KBOs as the classical Kuiper belt ($`f<0.5`$ at 95% CL). An $`i=0\mathrm{°}`$ distant disk with the same number of objects as the inner belt must have $`\sigma >1.85\mathrm{°}`$ to have a $`>5\%`$ chance of escaping detection in the surveys to date. The apparent width of the classical Kuiper belt is $`5\mathrm{°}`$ (Trujillo et al., 2001). If the outer disk has the same width instead of being dynamically colder, an increase of factor $`f>2.36`$ over the classical belt population is ruled out at the 95% CL. The case of equivalent inner- and outer-disk sky distributions in considered in more detail in ABM.

By also marginalizing over the inclination, we can place similar limits on $`f`$ for cold disks within $`1\mathrm{°}`$ of the invariable plane. Assuming that the model disk pole locations are uniformly distributed in polar area, then

$$P(O|f,i1\mathrm{°},\sigma )=\frac{_0^1P(O|f,\sigma ,i)i𝑑i}{_0^1i𝑑i}.$$
(3)
We can then find $`f`$ at which $`P(O|f,i1,\sigma )=0.05`$, plotted in Figure 3 as the solid line. We can place tighter limits on a disk in the invariable plane, as above, than on any disk in any inclination up to $`1\mathrm{°}`$ because more of our fields were located in the invariable plane. However, we find for $`\sigma <1.75\mathrm{°}`$ we can exclude at 95% CL or better the existence of a distant disk at any inclination $`i1\mathrm{°}`$ to the invariable plane that contains at least 1.2 times as many $`D>185`$ km KBOs as the Classical Kuiper belt.

## 4 Conclusions

We have provided strong limits on the existence of a distant cold disk. The simple expectation of a dense thin disk in the invariable plane appears to be ruled out. However, it is possible that a thin disk composed of objects smaller than $`D=185`$ km, undetectable in much of our survey, is present. This would require an extreme change in the size distribution of KBOs just beyond $``$50 AU, as objects larger than $`D1000`$ km have been found at distances near 50 AU. It is not clear what would cause such a large and sudden change in the size distribution.

Other explanations for the observed lack of distant KBOs involve dropping the density of objects beyond 50 AU. One possibility is that the outer Kuiper belt was dynamically excited by a stellar encounter early in the history of the solar system (Ida et al., 2000). An increase in the mean eccentricity and inclination of distant KBOs, thus lowering their apparent sky density and possibly halting accretion of large KBOs, would make a distant disk much harder to detect. Dynamical excitation by a stellar encounter results in a distinctive orbital distribution of KBOs, and could yield limits on the birth cluster environment of the solar system (Adams & Laughlin, 2001).

It is also possible to explain the lack of KBOs beyond 50 AU if the primordial planetesimal disk ended at this distance. If Neptune and Uranus have migrated significantly over the age of the solar system (Malhotra, 1993, 1995; Thommes, Duncan, & Levison, 1999), the primordial solar nebula surface density beyond $`30`$ AU could have been very small initially. This could suggest that the larger KBOs actually formed interior to 30–40 AU and were displaced to their present orbits by a large scale rearrangement of orbits in the outer Solar system. Circumstellar disks around other stars have been observed to have diameters ranging between 50–1000 AU (McCaughrean & O’Dell, 1996; Brown et al., 2000). A truncation of the solar nebula near 50 AU would fit easily within this range, with important implications for planetary formation models of our Solar System.

In order to distinguish between these theories and further constrain the distant KB population, deeper and wider survey observations of the Kuiper belt (to limiting magnitudes of $`R>25`$) will be necessary. Based on the limits we have found here, a survey covering approximately 20 square degrees near the invariable plane should be able to detect a distant disk dynamically excited to a thickness of 10° with even half the number of objects as the CKB. This would constrain the density and distribution of the Kuiper belt at distances beyond 50 AU, including the Scattered Disk Objects, enabling a better comparison between our solar system and extrasolar systems.

We thank L. Strolger and M. Holman for attempting to recover some of these objects, and the staff at Kitt Peak National Observatory for their excellent support. This work is supported by NASA Planetary Astronomy grant #NAG5-7860; GB is further supported by grant #AST-9624592 from the National Science Foundation; RM is further supported by NASA grants #NAG5-10346 and #NAG5-11661.


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# Origin of Correlations between Central Black Holes Masses and Galactic Bulge Velocity Dispersions

## Abstract

We argue that the observed correlations between central black holes masses $`M_{BH}`$ and galactic bulge velocity dispersions $`\sigma _e`$ in the form $`M_{BH}\sigma _e^4`$ may witness on the pregalactic origin of massive black holes. Primordial black holes would be the centers for growing protogalaxies which experienced multiple mergers with ordinary galaxies. This process is accompanied by the merging of black holes in the galactic nuclei.

Recent observations1 demonstrate that no less than 20% of regular galaxies contain the supermassive black holes (SMBH) in their nuclei. There are observed correlations between the mass of the central SMBH $`M_{BH}`$ in the galactic nucleus and velocity dispersion $`\sigma _e`$ at the bulge half-optical-radius2:

$$M_{BH}=1.2(\pm 0.2)\times 10^8\left(\frac{\sigma _e}{200\text{ km/s}}\right)^{3.75(\pm 0.3)}M_{}.$$
(1)
We use term “bulge” as for elliptical galaxies and for central spheroidal parts of spiral galaxies. Note what another study3 which based on poorer observational data gives the correlation in the different form $`M_{BH}\sigma _e^{4.8(\pm 0.5)}`$.

The origin of discussed correlations is quite uncertain. The simplest assumption that the growth of the SMBH mass depends on the bulge processes meets with the problem of different scales: the galactic bulge scale is a few kpc, whereas the linear scale of accretion disk around of SMBH is much less than $`1`$ pc. Some deterministic mechanism4 is needed for huge mass transfer from bulge to its innermost part. In these scenarios6 the SMBHs are formed deep inside of the gravitational potential well of the galactic or protogalalctic nuclei.

Here we explore the alternative approach by supposing that observed correlations are stochastic in origin. Our basic assumption is the existence in the Universe of pre-galactic population of black holes with masses $`M_h10^5M_{}`$ before the recombination time. The similar hypothesis of the existence of pre-galactic massive black hole population was used by Fukugita and Turner5 for interpretation of quasar evolution. The specific possibility7,8 is the formation of primordial black holes (PBH) in the early Universe, or the formation of pre-galactic black holes during cosmological phase transitions9.

The supposed PBHs are mixed with dark matter due to there cosmological origin. So the total mass of these PBHs in any galaxy $`M_h`$ would be proportional to galactic dark matter halo mass $`M`$. As a result the correlation $`M_hM`$ is primary in this model and the aforementioned observed correlations $`M_{BH}\sigma _e^4`$ would be secondary and approximate in origin due to complicated process of galactic formation. We may clarify this thesis as follows.

Cosmological fluctuation power spectrum $`P(k)`$ in the confined mass region can be approximated by the power law with the effective index $`n=d\mathrm{ln}P(k)/d\mathrm{ln}k`$. The effective galactic mass (mass of $`L^{}`$ galaxy) formed at red-shift $`z`$ is10

$$M=M_0(1+z)^{\frac{6}{n+3}},$$
(2)
where $`M_0=const`$. On galactic mass scales $`M=(10^{10}÷10^{12})M_{}`$ value of $`n`$ vary from $`2.28`$ to $`1.98`$ and $`M_0`$ vary from $`2.510^{16}M_{}`$ to $`710^{14}M_{}`$ respectively. Velocity dispersion is estimated as $`\sigma _e^2GM/R`$, where $`R=\left(3M/4\pi \kappa \rho (z)\right)^{1/3}`$ and $`\rho (z)=\rho _0(1+z)^3`$, $`\kappa =178`$, $`\rho _0`$ is the current density of cold dark matter.

For PBH cosmological density parameter $`\mathrm{\Omega }_h`$ and effective PBH merging in the galaxies the preceding relations gives the final mass of the central SMBHs

$$M_{BH}=\psi \mathrm{\Omega }_hM=\psi \mathrm{\Omega }_h\sigma _e^{\frac{12}{1n}}M_0^{\frac{n+3}{1n}}\left(4\pi G^3\rho _0/3\right)^{\frac{2}{1n}},$$
(3)
where factor $`\psi `$ is responsible for the possible additional growth of the central SMBH due to accretion. From (3) it follows

$$M_{BH}=(0.91÷1.03)10^8\left(\frac{\psi \mathrm{\Omega }_h}{210^4}\right)\left(\frac{\sigma _e}{200\text{ km s}^1}\right)^{(3.66÷4.03)}M_{},$$
(4)
where pair of coefficients 0.91 and 3.66 corresponds to $`M=10^{10}M_{}`$, and respectively pair 1.03 and 4.03 correspond to $`M=10^{12}M_{}`$. The considered model is in a good agreement with observation data (1). The fluctuation spectrum at the galactic scale, $`n2`$, completely defines the power index $`\alpha 4`$ in the relation $`M_{BH}\sigma _e^\alpha `$. There are definite astrophysical limitations11 on the number and mass of PBHs. We consider the case $`\mathrm{\Omega }_h10^4`$ in accordance with all the limits.

The necessary requirement of the above model is multiple merging of PBHs with mass $`M_h`$ into the one SMBH with mass $`M_{BH}`$ during the Hubble time. It is known that for a single black hole with mass $`M_h10^7M_{}`$ the dynamical friction in the galactic halo is ineffective. Nevertheless for the early formed PBHs it is possible the process of dark matter secondary accretion12. As a result the PBHs would be “enveloped” by the dark matter halo with a mass of a typical dwarf galaxy and a steep density profile, $`\rho r^{9/4}`$. Indeed10, the gravitationally bound objects formed at red-shifts $`z_{col}`$ from the density fluctuations at the moment of matter–radiation equality

$$\delta _{eq}=\delta _c(1+z_{col})/(1+z_{eq}),$$
(5)
where $`z_{eq}`$ is the red-shift of equality and $`\delta _c=1.686`$. In the uniform Universe the PBH with mass $`M_h`$ produce this fluctuation inside the sphere containing the total mass $`M=M_h/\delta _{eq}`$. We will call this combined spherical volume “PBH $`+`$halo” by “induced halo” (IH).

The growth of IH terminates at the epoch of nonlinear growth of ambient density fluctuations with the same mass $`M`$ as IH but originated from ordinary cosmological perturbation spectrum $`P(k)`$ with the r.m.s. fluctuation $`\delta _{eq}^{fl}(M)`$ in the mass scale $`M`$:

$$\delta _{eq}^{fl}(M)=\frac{M_h}{M}.$$
(6)
We use for $`P(k)`$ and $`\delta _{eq}^{fl}(M)`$ the known expression13 and solve numerically the equation (6) relative to independent variable $`M`$ with the $`M_h`$ as parameter. See Fig. 1 for calculated relations for $`M(M_h)`$ and $`z_{col}(M_h)`$ according to (5). For $`M_h=10^5M_{}`$ we find $`z_{col}10`$ and $`M=210^7M_{}`$. As a result up to epoch $`z10`$ the PBHs with mass $`M_h=10^5M_{}`$ had time to capture an additional mass which $`200`$ times exceeds the PBH mass. It is easily verified that for $`\mathrm{\Omega }_h10^4`$ the contribution IHs to the total galactic mass is negligible.

So we demonstrate that massive IHs with mass $`210^7M_{}`$ are formed around the PBHs. These IHs are massive enough to sink down to the galactic center during the Hubble time under influence of dynamical friction. Although the fate of nested PBHs inside the central parsec of the host galaxy is rather uncertain, we will suppose that multiple PBHs merge into a single SMBH during the Hubble time. Notice that dynamical friction must be very effective for merging because the density of IH $`\rho r^{9/4}`$ strongly grows towards the center and smoothed out only at small distance from PBH.

Our assumption of multiple merging of PBHs may be violated in the galaxies of late Hubble types. The central SMBH masses in Sa, Sb, Sc galaxies are less in a mean than in E and S0 galaxies. In our model this is related with a relatively late formation of Sa, Sb, Sc galaxies when the main part of PBHs do not have enough time to sinking to the galactic center. In particular $`10^2`$ PBHs of mass $`M_h10^5M_{}`$ can inhabit our Galaxy.

Coalescence of PBHs in the galaxies must be accompanied by the strong burst of gravitational radiation. The projected interferometric detector LISA is capable to detect this coalescence. So there is a principal possibility for the verification of considered model by the LISA detector.

In conclusion we discuss why the PBHs with masses $`10^5M_{}`$ are very probable candidates on the independent black holes population. Noncompact objects (neutralino stars) of mass $`(0.1÷1)M_{}`$, consisting of weakly interacting nonbaryonic dark matter particles like neutralino were proposed by Gurevich et al.14 for the explanation of microlensing events in Large Magellanic Clouds. The hypothesized neutralino stars are originated from the cosmological fluctuations with a narrow sharp maximum $`1`$ in the spectrum at some small scale. In addition to neutralino stars the same maximum in the spectrum of cosmological fluctuations produce15 also the massive PBHs with mass $`10^5M_{}`$. So the hypothesized dark matter neutralino stars and PBHs may be indirectly connected through their common origin from the same cosmological fluctuations. The spectrum with a sharp maximum at some scale arises in some inflation models for example in the model of Starobinsky16. At the same time the spectrum beyond the maximum may be of the standard Harrison-Zel’dovich form and reproduce the usual scenario of large-scale structure formation in the galactic distribution.

The work was supported in part by the INTAS grant 99–1065 and by Russian Foundation for Basic Research grants 01-02-17829, 00-15-96697 and 00-15-96632.


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# Observation of vortex structure in MgB2 single crystals by Bitter decoration technique

## Abstract

We report the observation of superconducting vortices in pure and lightly Al doped MgB2 single crystals. Low field experiments allow for the estimation of the London penetration depth, lambda 1900 $`\AA `$ for T$``$6 K. Experiments in higher fields (e.g. 200 Oe) clearly show a triangular vortex lattice in both real space (13 $`\mu `$m by 13 $`\mu `$m Bitter decoration image of over 1000 vortices) and reciprocal space.

The recent discovery of superconductivity with $`T_c`$ 39 K in the simple intermetallic compound, magnesium diboride, Jap  has caused an explosion of experimental and theoretical works with a major part of the measurements being performed on polycrystalline samples. P1 ; P2 ; P3 ; P4 ; P5  Until now only a few groups have been able to grow (small, sub-mm size) single crystals of MgB2. X1 ; X2 ; X3 ; X4  From the very earliest data P2  it became clear that MgB2 is a type-II superconductor with its electromagnetic properties described within the framework of the vortex state. AAA  So far, for the most part, bulk techniques (magnetization, magneto-transport, etc.) that evaluate the ”average” properties of the sample were used for studies of the superconducting state of MgB2. On the other hand, direct imaging of the vortices is more of a local probe that can evaluate the homogeneity and strength of pinning for different parts of the sample. In addition this technique allows for the determination of basic superconducting properties such as anisotropy and London penetration depth $`\lambda `$.

In this work we use one of the direct techniques for the imaging of vortices: high resolution Bitter decoration, a technique that allows for the observation of the individual vortices (in small applied magnetic field) as well as for the imaging of vortex structures in a wide range of magnetic fields (up to 2kOe PRBLu ). It should be emphasized, though, that this technique requires that the surface of the sample be very clean and optically smooth. To achieve this degree of surface perfection, single crystals have to be used.

The single crystals used for our decoration experiments were grown using a high pressure cubic anvil technique from a mixture of Mg and B in a BN container (see X4 ; X5  for details). The samples used for decoration were plates with the approximate dimensions $`0.4\times 0.6\times 0.05mm^3`$. In addition to pure MgB2 single crystals ($`T_c=38.4`$ K, $`\mathrm{\Delta }T_c=0.9`$ K), crystals of nominal composition Mg0.99Al0.01B2 and Mg0.98Al0.02B2 (both with $`T_c=35.6`$ K, $`\mathrm{\Delta }T_c=0.6`$ K) were studied. The decoration was performed in the field-cooled (frozen flux) regime in applied magnetic fields ($`Hc`$) from several Oersted to 200 Oe. The temperature of the sample before the decoration was either 1.4 K or 4.2 K, during the decoration process the temperature increased several degrees; up to 4-5 K or 6-8 K respectively by the end of the decoration process. The vortex structures were observed on the as grown surfaces of the crystals using field emission scanning electron microscope in the secondary electron emission regime to locate the small islands of iron.

Figure 1 shows the structure of vortices in MgB2 for a small applied magnetic field ($`B4.4`$ G). The observed structure is a collection of weakly interacting individual vortices that do not form a regular triangular lattice (and do not have long range order). The diameter, d, of the image of a single vortex (”vortex diameter”) is, on average, 0.77$`\pm `$0.2 $`\mu `$m, a value that is much less than the distance between vortices. Taking into account the vortex expansion Pearl  near the surface of a superconductor, the London penetration depth can be estimated as $`\lambda =kd`$ with $`k1/4`$ lambda  that results in $`\lambda 1900\AA `$ for the temperature of the decoration experiment $`T`$ 6K. Common techniques for the measurements of London penetration depth in superconductors usually give very precise relative changes of $`\lambda `$ as a function of temperature and/or applied magnetic field. At the same time the accuracy in the absolute value of $`\lambda `$ is usually around several tens-of-percents. Since the range of the experimental values of the penetration depth for MgB2 obtained using different techniques is rather wide ($`6003000\AA `$ blah5 ; 5a ; 5b ; 5c ) our estimate of $`\lambda `$ from the size of the vortex image is useful by virtue of giving a reliable absolute value to the upper limit of the penetration depth. Several issues should be remembered in the course of such estimate. It is important to have the density of magnetic particles high enough to fill the region of the magnetic flux penetration in the vicinity of the vortex. From Fig. 1 it is clear that this condition is satisfied since the magnetic particles are observed in the area between the vortices. The correct estimate of the value of the coefficient $`k`$ that accounts for the vortex expansion near the surface of a superconductor is apparently the main source of uncertainty in our estimate of $`\lambda `$. Empirically, a comparison between the values for the penetration depth from decoration experiments and those obtained by other techniques in different materials where the values of $`\lambda `$ are considered to be reliable (Nb, $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$, NbSe2) vin1 ; vin2  give the upper limit of errors in $`\lambda `$ from Bitter decoration of $`30\%`$ using $`k=1/4`$.

In higher applied magnetic fields a regular triangular lattice is clearly observed (see Fig. 2). No difference in vortex structure was seen between pure and Al-doped MgB2 crystals. Fig. 2 shows the vortex lattice for MgB2 single crystal in 200 Oe applied field. The remarkably high quality of the vortex lattice can be seen in the real-space image as well as from the fast Fourier transform (FFT) pattern (inset fig.2). Autocorrelation function allows to estimate the translational length as 8-9 intervortex spacings. Our observation of the hexagonal vortex lattice is in a good agreement with the imaging of vortex unit cell by STM at the magnetic fields of 2kG X6  as well as 5 kGs. X5  It is worth noting that, given the high degree of order shown by the flux line lattice in Fig. 2, MgB2 should prove to be an excellent system for small angle neutron scattering (SANS) measurements.

In pure and doped magnesium diboride single crystals Meissner rims (narrow regions free from vortices) were often observed (see Fig. 3) near the top of growth steps and crystal edges. In the latter case the width of the stripe was several tens of microns that is comparable with the thickness of the crystals. Meissner rims were observed in several other superconductors blah ; blah1 ; blah2  with weak volume pinning in which case interaction of vortices with the lateral surface of the crystal becomes significant. The observation of a regular triangular lattice and Meissner rims in pure and Al-doped magnesium diboride single crystals point to weak volume pinning and therefore to high quality, with regards to pinning, of the crystals used in the decoration experiments.

As part of our search for effects caused by the expected anisotropy of the London penetration depth blah3  we made several attempts to perform Bitter decoration experiments in a tilted magnetic field using the same single crystals that were utilized for $`Hc`$ measurements shown above (after cleaning the samples from magnetic particles). However imperfections of the observed vortex structure (smeared maxima in the FFT pattern) did not allow us to reach any unambiguous conclusions about the anisotropy of $`\lambda `$. These imperfections could be caused, at least in part, by possible damage of the surface of the crystals during the cleaning process. Decoration experiments in tilted and perpendicular to $`c`$ magnetic field will be part of the future studies and still do have the potential of addressing important issues of superconducting anisotropies in MgB2.

In summary, a clear triangular vortex lattice was observed in an applied field of $`200`$ Oe ($`Hc`$) for Mg1-xAlxB2 single crystals ($`x`$ = 0, 0.01, 0.02) by Bitter decoration technique. The Meissner rims seen near the growth steps and crystal edges suggest very small volume pinning in these crystals. And an upper limit of the London penetration depth $`\lambda 1900\AA `$ at T $``$ 6 K was estimated from decoration experiments in very low fields.

###### Acknowledgements.

We wish to thank V.G. Kogan for useful discussions. Ames Laboratory is operated for the U. S. Department of Energy by Iowa State University under Contract No. W-7405-Eng.-82. This work was supported by the director for Energy Research, Office of Basic Energy Sciences. Partial support by NATO Collaborative Linkage Grant #PST.CLG.978513 is acknowledged. L.Ya.V. was partially supported by RFBR 00-02-04019a grant and Minestry of Industry,Science and Technologies grant 40.012.1.1.11.46 (Russia).


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# Possible Origin of RHIC 𝑅_{𝑜𝑢𝑡}/𝑅_{𝑠𝑖𝑑} HBT Results

## Abstract

The effects of opacity of the nuclei together with a blackbody type of emission along the system history are considered as a means to explain the ratio $`R_{out}/R_{sid}`$ observed by STAR and PHENIX collaborations at RHIC. Within our model, no flow is required to explain the data trend of this ratio for large surface emissivities.

BNL-69354

FERMILAB-Conf-02/227-T

IFT-P.070/02

The unexpected results presented by STAR in the previous Quark Matter meeting on $`\pi ^\pm \pi ^\pm `$ HBT, later confirmed by PHENIX, regarding the decrease of the ratio $`R_{out}/R_{sid}`$ for increasing $`K_T`$, has been challenging explanations since that time. Hydrodynamic models and microscopic-based simulations usually predicted the opposite behavior for increasing pair momentum.

Motivated by this challenge we proposed a simple model (see  for details) to try and understand the unforseen decrease of the outwards radius (along the direction of the average transverse momentum of the pair of pions, $`K_T`$) relative to the sidewards one (i.e., orthogonal to $`K_T`$). Two were the main ingredients of this attempt. The first was to consider the particle emission of a blackbody type, radiating from the external surface of the system during its entire evolution. The second was to treat this system as an opaque source. The other basic ingredients were not unusual. The system produced in a heavy ion collision is supposed to be formed above the critical temperature, $`T_c`$, at the time $`\tau _0`$, in a Quark-Gluon Plasma (QGP) phase. Its temperature gradually decreases while it expands and for the sake of simplicity, the expansion is considered to be only along the longitudinal direction. After this initial stage, lasting about ($`\tau _c\tau _0`$), where $`\tau _c`$ correspond to the on-set of the phase-transition at the temperature $`T_c`$, the mixed phase begins, during which the temperature remains constant with time. The mixed phase continues for a longer period, ending after an elapsed interval ($`\tau _h\tau _c`$). Then, the system converted into a gas of pions (no resonances are included) expands further, until the decoupling temperature, $`T_f`$, is reached. At this point, the system is quite dilute, since most of the particles have already been evaporated from its surface. Thus, at the time $`\tau _f`$, the system is supposed to decouple in an instantaneous volumetric emission. No complex mechanism for the hadronization of quarks and gluons is considered in detail at this point, although hadronization must take place. In other word, in first approximation, the evaporation of “gluons” and “quarks” (as hadronized pions) from the external surface of the system is considered in the same way as emission of pions, except for the number of degrees of freedom.

The Bjorken hydrodynamical model is assumed to describe the system during its entire evolution, i.e., since it is formed and until it breaks up. This is supplemented with a blackbody type of radiation from the surface of the matter from its formation. The emitting source is supposed to be opaque, in a generalized version of opacity proposed by Heiselberg and Vischer at CERN energies, later followed by Heinz and Tomás̆ik .

To compute the emitted spectrum and the two particle distribution function, the Covariant Current Ensemble formalism, , is adopted. In this formalism, the two particle correlation function can be written as $`C(k_1,k_2)=\frac{P_2(k_1,k_2)}{P_1(k_1)P_1(k_2)}=1+\frac{G(k_1,k_2)^2}{G(k_1,k_1)G(k_2,k_2)}`$, where $`P_1(k_i)`$ and $`P_2(k_1,k_2)`$ are, respectively, the single particle distribution and the probability for simultaneous observation of two particles with momenta $`k_1`$ and $`k_2`$. The average and the relative momentum of the pair are defined as $`𝐊=(𝐤_\mathrm{𝟏}+𝐤_\mathrm{𝟐})/2`$ and $`𝐪=𝐤_\mathrm{𝟏}𝐤_\mathrm{𝟐}`$.

The emitted energy as well as the total entropy associated to each stage of the system evolution can be estimated. Just for a brief illustration, I write down the emitted energy as a function of time in the initial stage by considering the emission by an expanding cylinder of transverse radius $`R_T`$ and length $`h`$, in the time interval $`\tau `$ and $`\tau +d\tau `$, as $`dE_{in}=\kappa \sigma T^42\pi R_Thd\tau \frac{4}{3}\sigma T^4\pi R_T^2dh`$, where the first term comes from the blackbody type of energy radiated from the external surface of the cylinder, and the second term results from the mechanical work due to its expansion. The $`\kappa `$ factor was introduced to take into account that the system has some opacity to surface emission. The constant $`\sigma `$ is the Stefan-Boltzmann constant and is proportional to the number of degrees of freedom in the system. By integrating this expression the energy density can be obtained as $`ϵ_{in}=ϵ_0(\frac{\tau _0}{\tau })^{\frac{4}{3}}e^{\frac{2\kappa }{R_T}(\tau \tau _0)}`$. From this expression it can be seen that the multiplicative factor, $`e^{\frac{2\kappa }{R_T}(\tau \tau _0)}`$, appears in addition to that coming from the Bjorken picture. The variation of the temperature in the initial stage, i.e., prior to the beginning of the phase transition, follows immediately as $`T(\tau )=T_0(\frac{\tau _0}{\tau })^{\frac{1}{3}}e^{\frac{\kappa }{2R_T}(\tau \tau _0)}`$. The instant corresponding to the beginning of the mixed phase, $`\tau _c`$, when $`T_c=175`$ MeV is reached, that one corresponding to its end, at $`\tau _h`$, as well as and the decoupling time, $`\tau _f`$, at $`T_c=150`$ MeV, are given by $`\tau _ce^{\frac{3\kappa }{2R_T}\tau _c}=\left(\frac{T_0}{T_c}\right)^3\tau _0e^{\frac{3\kappa }{2R_T}\tau _0};\tau _he^{\frac{2\kappa }{R_T}\tau _h}=\left(\frac{g_g+g_q}{g_\pi }\right)\tau _ce^{\frac{2\kappa }{R_T}\tau _c};\tau _fe^{\frac{3\kappa }{2R_T}\tau _f}=\left(\frac{T_c}{T_f}\right)^3\tau _he^{\frac{3\kappa }{2R_T}\tau _h}`$.

Finally, the initial values of the temperature, $`T_0`$ and the formation time, $`\tau _0`$, are related to the initial entropy, $`S_0`$ and to the input number of particles, $`𝒩`$ (chosen to match the average experimental pion multiplicity per unit of rapidity at RHIC, $`𝒩1000`$), by $`S_0=\mathrm{\Gamma }𝒩=\left[(g_g+g_q)\times (\frac{4}{3})\frac{\pi ^2}{30}T_0^3\right]\pi R_T^2\tau _0;\tau _0\frac{1}{3T_0}(GeV^1)\frac{0.197}{3T_0}(fm)`$, where $`\mathrm{\Gamma }=3.6`$, as estimated by the entropy per particle ($`S_\pi /N_\pi `$) of a pion gas at freeze-out. Then, $`T_0411`$ MeV and $`\tau _00.160`$ fm. The degeneracy factors, $`g_g+g_q`$, account for the gluon and quark (antiquark) degrees of freedom ($`g_g+g_q=37`$ for two quark flavors). In the case of pions, the degeneracy factor is $`g_\pi =3`$. I illustrate in the table below the time variables for two different assumptions on the emissivity, $`\kappa `$. I also write the estimated fraction of the particles emitted from the surface during the period $`\tau _0\tau \tau _f`$, $`𝒮/𝒩_{tot}`$, relative to the total number of produced particles, $`𝒩_{tot}`$, as well as the remnant portion at freeze-out, $`𝒱`$$`/𝒩_{tot}`$, then emitted from the entire volume.

In order to check how the spectra estimated within our model behave as compared to data (PHENIX minimum bias ), I plot its predictions on the single-inclusive distribution in Fig. 1(a). The estimates and discussions presented here are restricted to the central rapidity region, i.e., $`y_i=0`$ (which implies that $`k_{i_L}=0`$, and, consequently, $`K_L=0`$ and $`q_L=0`$). In Fig. 1(b) I show the results for the ratio $`R_{out}/R_{sid}`$ vs. $`K_T`$, together with the preliminary STAR (filled triangles) and PHENIX (filled circles) data for both $`\pi ^+\pi ^+`$ and $`\pi ^{}\pi ^{}`$ interferometry.

As seen from the plots in Figure 1, our results were extremely successful in describing both sets of data for $`\kappa =1`$, but the curve corresponding to $`\kappa =0.5`$ is away above the data limits, suggesting that there should be high emissivity along the system history in order to explain the data trend. The model also describes the typical source radii reasonably well, but not the $`K_T`$ dependence of these radii (see  for details). This suggests that the time variation of the emitting radius and the introduction of transverse flow may play a significant role, -. If there is a time variation of the various radii, this will be correlated with the typical momentum scale of emitted particles, since the earlier is the time, the hotter are the particles. Our model is sensitive to such variation since emission from the hot surface is allowed at early times. Also, a proper treatment of the decoupling is not included in our computations, which would affect the results, although it might also suggest modification in the treatment of decoupling, ,.

The principal reason why such a small ratio of $`R_{out}/R_{side}`$ vs. $`K_T`$ is obtained within our model is probably due to a combination of two effects. The first is that the surface is opaque, and whatever is emitted from the surface will have a small value of this radius. The second effect is that black body radiation by partons is allowed when the surface is very hot. This allows a much larger contribution from surface emission than is typical of what happens in hydrodynamical simulations, where particles are emitted by Cooper-Frye decoupling from a surface at very low temperature. In fact about $`80\%`$ of the emission comes from the surface in our model. The fact that so many particle are emitted from the surface at early times also means that the longitudinal decoupling time in this computation is significantly shorter than would be the case for hydrodynamic simulations. I should add that many of the features of the model proposed and discussed here are embodied in the hydrodynamic computations of Heinz and Kolb. The main difference lies in the treatment of an essential ingredient, the emissivity of the surface.

I am deeply grateful to Larry McLerran and the Nuclear Theory Group at BNL, as well as to Keith Ellis and the Theoretical Physics Department at Fermilab, for their kind hospitality during the elaboration of this work. This research was partially supported by CNPq (Proc. N. 200410/82-2). This manuscript has been authored under Contracts No. DE-AC02-98CH10886 and No. DE-AC02-76CH0300 with the U.S. Department of Energy.


text:
# 1 Introduction

## 1 Introduction

We investigate the elastic and inelastic scattering of light heavy-ions, which have stimulated a great deal of interest over the last 40 years. There has been extensive experimental effort to measure the elastic and inelastic scattering data as well as their 90 and 180 excitation functions. A large body of experimental data for these systems is available (see  and references therein). A variety of theoretical accounts based on dynamical models or purely phenomenological treatments have been proposed to explain these data . The elastic scattering data have already been studied in detail using optical model and coupled-channels method.

Although most of these models provide reasonably good fits, no unique model has been proposed that explains consistently the elastic and inelastic scattering data over a wide energy range without applying any ad hoc approaches. Consequently, the following problems continue to exist for light heavy-ion reactions: $`(1)`$ explanation of anomalous large angle scattering data, ‘ALAS’; $`(2)`$ reproduction of the oscillatory structure near the Coulomb barrier; $`(3)`$ the lack of the correct oscillatory structure between theoretical predictions and experimental data for the ground and excited states; $`(4)`$ simultaneous fits of the individual angular distributions, resonances and excitation functions (for the 12C + 12C system in particular); $`(5)`$ the magnitude of the mutual-2+ excited state data in the 12C + 12C system is unaccounted for; $`(6)`$ the deformation parameters ($`\beta `$ values): previous calculations require $`\beta `$ values that are at variance with the empirical values and are physically unjustifiable.

Therefore, in this paper, we are concerned with the measured experimental data for 12C+12C, 16O+28Si, 12C+24Mg and 16O+24Mg in an attempt to find a global model, which simultaneously fits the elastic and inelastic scattering data for the ground and excited states in a consistent way over a wide energy range, and which throws light on the underlying mechanism of the reactions and on the nature of the interactions involved.

## 2 Standard Coupled-Channels Model

Although we have considered and studied four different reactions, we will show some of the results for the 16O+28Si and 12C+12C reactions. The details of the models and a complete set of the results for all reactions can be found in references .

We describe the interaction between 16O and 28Si nuclei with a deformed optical potential. The real potential is assumed to have the square of a Woods-Saxon shape:

$$V_N(r)=\frac{V_0}{(1+exp(rR)/a)^2}$$
(1)
with $`V_0`$=706.5 MeV, R=$`r_0`$($`A_p`$1/3+$`A_t`$1/3) with $`r_0`$=0.7490 fm and a=1.40 fm. The parameters of the real potential were fixed as a function of energy and were not changed in the present calculations although it was observed that small changes could improve the quality of the fits.

The imaginary part of the potential was taken as in ref. as the sum of a Woods-Saxon volume and surface potential:

$$W(r)=W_Vf_{(r,R_V,a_V)}+4W_Sa_Sdf_{(r,R_S,a_S)}/dr$$
(2)
$$f_{(r,R,a)}=\frac{1}{(1+exp((rR)/a))}$$
(3)
with $`W_V`$=59.9 MeV, $`a_V`$=0.127 fm and $`W_S`$=25.0 MeV, $`a_S`$=0.257 fm. These parameters were also fixed in the calculations and only their radii increased linearly with energy according to the following formulae.

$$R_V=0.06084E_{CM}0.442$$
(4)
$$R_S=0.2406E_{CM}2.191$$
(5)
Since the target nucleus 28Si is strongly deformed, it is essential to treat its collective excitation explicitly in the framework of the coupled-channels formalism. It has been assumed that the target nucleus has a static quadrupole deformation, and that its rotation can be described in the framework of the collective rotational model. It is therefore taken into account by deforming the real optical potential in the following way

$$R(\theta ,\varphi )=r_0A_p^{1/3}+r_0A_t^{1/3}[1+\beta _2Y_{20}(\theta ,\varphi )]$$
(6)
where $`\beta _2`$=-0.64 is the deformation parameter of 28Si. This value is actually larger than the value calculated from the known BE(2) value. However this larger $`\beta _2`$ was needed to be able to fit the magnitude for the 2+ data.

In the present calculations, the first two excited states of the target nucleus 28Si: 2+ (1.78 MeV) and 4+ (4.62 MeV) were included and the 0+-2+-4+ coupling scheme was employed. The reorientation effects for 2+ and 4+ excited states were also included. The calculations were performed with an extensively modified version of the code CHUCK .

Using the standard coupled-channels theory, we found, as other authors had found, that it was impossible to describe consistently the elastic and inelastic scattering of this and other reactions we considered.

## 3 New Coupling Potential

The limitations of the standard coupled-channels theory in the analyses of these reactions compelled us to look for another solution. Therefore, a second-derivative coupling potential, as shown in figure 1, has been used in the place of the usual first-derivative coupling potential. The interpretation of this new coupling potential is given in reference . We employed the same method with small changes in the potential parameters. The empirical deformation parameter ($`\beta _2`$) is used in these new calculations.

## 4 Results

### 4.1 16O+28Si

The first system we consider is 16O + 28Si, which shows anomalous large angle scattering (ALAS). In the present work, we consider an extensive simultaneous investigation of the elastic and the inelastic scattering of this system at numerous energies from $`E_{Lab}`$=29.0 MeV to 142.5 MeV over the whole angular range up to 180. In this energy range, the excitation functions for the ground and 2+ states are also analysed .

Several ad hoc models have been proposed to explain these data, but no satisfactory microscopic models have been put forward yet. The most satisfactory explanation proposed so far is that of Kobos and Satchler  who attempted to fit the elastic scattering data with a microscopic double-folding potential. However, these authors had to use some small additional ad hoc potentials to obtain good agreement with the experimental data.

Using the standard coupled-channels method, some of the results obtained for the 180 excitation functions for the ground and 2+ states of the 16O+28Si reaction are shown in figure 2. The magnitude of the cross-sections and the phase of the oscillations for the individual angular distributions are given correctly at most angles. However, there is an out-of-phase problem between the theoretical predictions and the experimental data towards large angles at higher energies. This problem is clearly seen in the 180 excitation functions which are shown in the figure. A number of models have been proposed, ranging from isolated resonances to cluster exchange between the projectile and target nucleus to solve these problems (see ref. for a detailed discussion).

We have also attempted to overcome these problems by considering: $`(i)`$ changes in the real and imaginary potentials, $`(ii)`$ inclusion of 6+ excited state, $`(iii)`$ changes in the $`\beta _2`$ value, $`(iv)`$ the inclusion of the hexadecapole deformation ($`\beta _4`$). These attempts failed to solve the problems at all . We were unable to get an agreement with the elastic and the 2+ inelastic data as well as the 180 excitation functions simultaneously within the standard coupled-channels formalism.

However, as shown in figure 2, the new coupling potential has solved the out-of-phase problem for the 180 excitation functions and fits the ground state and 2+ state data simultaneously.

### 4.2 12C+24Mg and 16O+24Mg

The second and third examples we have considered are 12C+24Mg and 16O+24Mg. Fifteen complete angular distributions of the elastic scattering of 12C+24Mg system were measured at energies around the Coulomb barrier and were published recently . We have studied these fifteen complete elastic scattering angular distributions as well as some inelastic scattering data measured by Carter et al. some twenty years ago . Excellent agreement with the experimental data was obtained by using this new coupling potential. Our model has also solved some problems in 16O+24Mg scattering .

### 4.3 12C+12C

The final system we have considered is that of 12C+12C, which has been studied extensively over the last 40 years. There has been so far no model, which fits consistently the elastic, inelastic scattering data and mutual excited state data as well as the resonances and excitation functions. Another problem is the predicted magnitude of the excited state cross-sections, in particular for the mutual-2+ channel. The conventional coupled-channels model underestimates its magnitude by a factor of at least two and often much more . We have also observed this in our conventional coupled-channels calculations as shown in figure 3 with dashed lines. There are also resonances observed at low energies, which have never been fitted by a potential, which also fits either the angular distributions or the excitation functions. Therefore, the experimental data at many energies between 20.0 and 126.7 MeV in the laboratory system have been studied simultaneously to attempt to find a global potential.

Using this new coupling potential, we have been able to fit the energy average of all the available ground, single-2+, mutual-2+ and the backgrounds in the integrated cross-sections as well as the main gross features of the 90 excitation function, as shown in figures 3 and 4, simultaneously. Our preliminary calculations of resonances using no imaginary potential are promising but there are problems with the widths of the resonances.

To summarise while these four systems show quite different properties and problems, a unique solution has come from a new coupling potential. Although the origin of this new coupling potential is still speculative and needs to be understood from a microscopic viewpoint, the approach outlined here is universal and applicable to all the systems. Studies using this new coupling potential are likely to lead to new insights into the formalism and the interpretation of these systems. Therefore, this work represents an important step towards understanding the elastic and inelastic scattering of light deformed heavy-ion systems.

## Acknowledgments

Special thanks to W.D.M Rae, Y. Nedjadi, S. Ait-tahar, G.R. Satchler and D.M. Brink for valuable discussions and providing some data. I. Boztosun also would like to thank the Turkish Council of Higher Education (YÖK), Oxford and Erciyes Universities, Turkey, for their financial support.


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# Electromagnetic response and effective gauge theory of double-layer quantum Hall systems

## 1 Introduction

The Chern-Simons (CS) theories  realize the composite-boson and composite-fermion pictures  of the fractional quantum Hall effect (FQHE) and have been successful in describing various features of the fractional quantum Hall states. They, however, have some subtle limitations as well . In particular, when adapted to double-layer systems , they differ significantly in collective-excitation spectrum from the magneto-roton theory of Girvin, MacDonald and Platzman , based on the single-mode approximation (SMA).

In this paper we wish to report on a new approach  to effective theories of the FQHE, that relies on the incompressible nature of the quantum Hall states without referring to the composite-boson or composite-fermion picture. The basic tools used are projection to the Landau levels and functional bosonization , which are combined to construct, via the electromagnetic response of the incompressible states, a long-wavelength effective theory of the FQHE. For single-layer systems this effective theory properly reproduces the results consistent with the CS theories. Our approach thus has logic independent of but complementary to the standard CS theories.

The real merit of our approach becomes prominent for double-layer systems. We shall examine the electromagnetic characteristics of double-layer systems within the SMA theory and derive an effective theory that properly incorporates the SMA spectrum of collective excitations. We shall thereby clarify the relation between the SMA theory and the CS theories. The effects of interlayer coherence and tunneling are also discussed.

## 2 Double-layer systems

Consider first a double-layer system in the absence of interlayer tunneling, with average electron densities $`\rho _{\mathrm{av}}^{(\alpha )}=(\rho _{\mathrm{av}}^{(1)},\rho _{\mathrm{av}}^{(2)})`$ in the upper $`(\alpha =1)`$ and lower $`(\alpha =2)`$ layers. The electrons in the two layers are coupled through the Coulomb interaction $`V_𝐩^{\alpha \beta }`$, where $`V_𝐩^{11}=V_𝐩^{22}`$ and $`V_𝐩^{12}=V_𝐩^{21}`$ denote the intralayer and interlayer potentials, respectively.

The system is placed in a common strong perpendicular magnetic field $`B_z=B>0`$. We suppose that the electron fields $`\psi ^{(\alpha )}`$ in each layer are fully spin polarized and assemble them into a pseudospin  doublet spinor $`\mathrm{\Psi }=(\psi ^{(1)},\psi ^{(2)})^{\mathrm{tr}}`$. Our task is to study how the system responds to weak electromagnetic potentials $`A_\mu ^{(\alpha )}(x)`$ $`(\mu =0,1,2)`$ in three space, and we thus write the one-body Hamiltonian in the form

$`H_1={\displaystyle d^2𝐱\mathrm{\Psi }^{}\left[\frac{1}{2M}(𝐩+𝐀^B+𝐀^++𝐀^{}\sigma _3)^2+A_0^++A_0^{}\sigma _3\right]\mathrm{\Psi }},`$ (1)
where $`A_\mu ^\pm (x)=\frac{1}{2}\{A_\mu ^{(1)}(x)\pm A_\mu ^{(2)}(x)\}`$ in terms of the potentials acting on each layer; $`𝐀^B=eB(y,0)`$ supplies a uniform magnetic field $`B`$; the electric charge $`e>0`$ has been suppressed by rescaling $`eA_\mu A_\mu `$. The $`A_0^{}`$ coupled to $`\rho ^{(1)}\rho ^{(2)}`$ probes out-of-phase density fluctuations of the two layers while $`A_0^+`$ probes in-phase density fluctuations.

Let us now project our system into Landau levels. Let $`|N=|n,y_0`$ denote the Landau levels of a freely orbiting electron of energy $`\omega _c(n+{\scriptscriptstyle \frac{1}{2}})`$ with $`n=0,1,2,\mathrm{}`$, and $`y_0=\mathrm{}^2p_x`$, where $`\omega _ceB/M`$ and $`\mathrm{}1/\sqrt{eB}`$; we set $`\mathrm{}1`$ below. We first pass into $`N=(n,y_0)`$ space by a unitary transformation $`\mathrm{\Psi }(𝐱,t)=_N𝐱|N\mathrm{\Phi }_n(y_0,t)`$ and then, by a subsequent unitary transformation $`\mathrm{\Phi }_n(y_0,t)\mathrm{\Psi }_m(y_0,t)`$, make the one-body Hamiltonian diagonal in level indices. The resulting projected Hamiltonian is an operator in $`𝐫(r_1,r_2)=(i\mathrm{}^2/y_0,y_0)`$ with uncertainty $`[r_1,r_2]=i\mathrm{}^2`$.

Let us focus on the lowest Landau level $`n=0`$ in a strong magnetic field. The projected one-body Hamiltonian to $`O(A^2)`$ reads $`\overline{H}^{\mathrm{cyc}}+\overline{H}^{\mathrm{em}}`$ with

$`\overline{H}^{\mathrm{cyc}}`$ $`=`$ $`{\displaystyle \underset{\alpha =1}{\overset{2}{}}}{\displaystyle \underset{𝐩}{}}\left\{{\displaystyle \frac{\omega _c}{2}}\delta _{𝐩,\mathrm{𝟎}}+𝒰_𝐩^{(\alpha )}\right\}\overline{\rho }_𝐩^{(\alpha )},\overline{H}^{\mathrm{em}}={\displaystyle \underset{𝐩}{}}\left\{\chi _𝐩^+\overline{\rho }_𝐩+2\chi _𝐩^{}\overline{S}_𝐩^3\right\},`$ (2)
where $`\chi _𝐩^\pm =(A_0^\pm )_𝐩+(1/2M)(A_{12}^\pm )_𝐩`$; $`(A_\mu ^\pm )_𝐩`$ stands for the Fourier transform of $`A_\mu ^\pm (x)`$, $`A_{12}^\pm =_1A_2^\pm _2A_1^\pm `$. Here the projected charges $`\overline{\rho }_𝐩=\overline{\rho }_𝐩^{(1)}+\overline{\rho }_𝐩^{(2)}`$, $`\overline{S}_𝐩^3=\frac{1}{2}(\overline{\rho }_𝐩^{(1)}\overline{\rho }_𝐩^{(2)})`$, etc., are defined by

$`(\overline{\rho }_𝐩,\overline{S}_𝐩^a)`$ $``$ $`{\displaystyle 𝑑y_0\mathrm{\Psi }_0^{}(y_0,t)e^{\frac{1}{4}𝐩^2}e^{i𝐩𝐫}(1,\frac{1}{2}\sigma _a)\mathrm{\Psi }_0(y_0,t)},`$ (3)
where the two-spinor $`\mathrm{\Psi }_0`$ defines the true lowest Landau level. The $`𝒰_𝐩^{(\alpha )}`$ denote the contributions quadratic in $`A_\mu ^{(\alpha )}`$, and are given (for $`𝐩=0`$) by $`𝒰_{𝐩=\mathrm{𝟎}}=d^2𝐱𝒰(x)`$ with

$`𝒰^{(\alpha )}(x)`$ $`=`$ $`{\displaystyle \frac{1}{2}}A_\mu ^{(\alpha )}Dϵ^{\mu \nu \rho }_\nu A_\rho ^{(\alpha )}{\displaystyle \frac{1}{2\omega _c}}A_{k0}^{(\alpha )}DA_{k0}^{(\alpha )}+\mathrm{},`$ (4)
where $`D=\omega _c^2/(\omega _c^2+_t^2)`$ and $`A_{\mu \nu }=_\mu A_\nu _\nu A_\mu `$; $`ϵ^{\mu \nu \rho }`$ is a totally-antisymmetric tensor with $`ϵ^{012}=1`$.

The charges $`(\overline{\rho }_𝐩,\overline{S}_𝐩^a)`$ obey a simple SU(2)$`\times W_{\mathrm{}}`$ algebra

$`[\overline{\rho }_𝐩,\overline{\rho }_𝐤]=c(p,k)\overline{\rho }_{𝐩+𝐤},[\overline{\rho }_𝐩,\overline{S}_𝐤^a]=c(p,k)\overline{S}_{𝐩+𝐤}^a,`$
$`[\overline{S}_𝐩^a,\overline{S}_𝐤^b]=h(p,k)iϵ^{abc}\overline{S}_{𝐩+𝐤}^c+\delta ^{ab}{\displaystyle \frac{1}{4}}c(p,k)\overline{\rho }_{𝐩+𝐤},`$ (5)
with some given functions $`c(p,k)`$ and $`h(p,k)`$. They, however, differ slightly  from the projected charge densities $`(\rho _{00}^{(\alpha )})_𝐩=\overline{\rho }_𝐩^{(\alpha )}+\mathrm{}\overline{\rho }_𝐩^{(\alpha )}`$. The corrections $`\mathrm{}\overline{\rho }_𝐩^{(\alpha )}`$ depend on the potentials $`A_\mu ^{(\alpha )}`$ and, as a result, the projected Coulomb interaction

$`\overline{H}^{\mathrm{Coul}}=`$ $`{\displaystyle \frac{1}{2}}{\displaystyle \underset{𝐩}{}}\left(V_𝐩^+\overline{\rho }_𝐩\overline{\rho }_𝐩+4V_𝐩^{}\overline{S}_𝐩^3\overline{S}_𝐩^3\right)+\mathrm{}H^{\mathrm{Coul}}`$ (6)
acquires a field-dependent piece $`\mathrm{}H^{\mathrm{Coul}}`$, which plays an important role, as we shall see. Here we have set $`V_𝐩^\pm {\scriptscriptstyle \frac{1}{2}}(V_𝐩^{11}\pm V_𝐩^{12})`$.

The dynamics within the lowest Landau level is now governed by the Hamiltonian $`\overline{H}=\overline{H}^{\mathrm{Coul}}+\overline{H}^{\mathrm{cyc}}+\overline{H}^{\mathrm{em}}`$. Suppose now that an incompressible many-body state $`|G`$ of uniform density $`(\rho _{\mathrm{av}}^{(1)},\rho _{\mathrm{av}}^{(2)})`$ is formed within the lowest Landau level. Then, setting $`G|\overline{\rho }_𝐩^{(\alpha )}|G=\rho _{\mathrm{av}}^{(\alpha )}(2\pi )^2\delta ^2(𝐩)`$ in $`\overline{H}^{\mathrm{em}}`$ one obtains the effective action to $`O(A^2)`$:

$`S^{\mathrm{cycl}}={\displaystyle 𝑑td^2𝐱\underset{\alpha }{}\rho _{\mathrm{av}}^{(\alpha )}𝒰_2^{(\alpha )}(x)},`$ (7)
which summarizes the response due to electromagnetic inter-Landau-level mixing, i.e., due to the cyclotron modes (one for each layer).

The electromagnetic interaction in $`\overline{H}`$ also gives rise to intra-Landau-level transitions. For single-layer systems the intra-Landau-level excitations are only dipole-inactive  (i.e., the response vanishes faster than $`𝐤^2`$ for $`𝐤0`$) as a result of Kohn’s theorem, and the incompressible quantum Hall states show universal $`O(𝐤)`$ and $`O(𝐤^2)`$ long-wavelength electromagnetic characteristics determined by the cyclotron mode alone. The situation changes drastically for double-layer systems, which we discuss in the next section.

## 3 Electromagnetic response

In this section we examine the electromagnetic response of double-layer systems due to intra-Landau-level processes by use of the projected single-mode approximation (SMA) . Let $`|G`$ denote the exact ground state of the present double-layer system. The SMA supposes that the density fluctuations over $`|G`$ have predominant overlap with $`|G`$ through the associated density operators $`\rho ^{(\alpha )}`$. We here consider two modes, a phonon-roton mode $`|\varphi _𝐤^{}\overline{S}_𝐤^3|G`$ representing the out-of-phase density fluctuations of the two layers and a charge mode $`|\varphi _𝐤^+\overline{\rho }_𝐤|G`$ representing the in-phase density fluctuations.

The normalization of the $`|\varphi _𝐤^{}`$ mode

$`\overline{s}^{}(𝐤)`$ $``$ $`{\displaystyle \frac{2}{N_e}}G|\overline{S}_𝐤^3\overline{S}_𝐤^3|G=\overline{s}^{}(𝐤)`$ (8)
is called the (projected) static structure factor of the ground state $`|G`$; $`N_e=N_e^{(1)}+N_e^{(2)}`$. Similarly, we normalize $`|\varphi _𝐤^+`$ with $`\overline{s}^+(𝐤)=G|\overline{\rho }_𝐤\overline{\rho }_𝐤|G/(2N_e)`$. In the SMA the static structure factors $`\overline{s}^\pm (𝐤)`$ are the basic quantities, through which the effect of nontrivial correlations pertinent to the ground state is reflected in the dynamics. Invariance under translations of both layers implies an analog of Kohn’s theorem for the interlayer in-phase collective excitations so that $`\overline{s}^+(𝐤)|𝐤|^4`$ for small $`𝐤`$ . As a result, the $`O(𝐤)`$ and $`O(𝐤^2)`$ in-phase response of the double-layer system is governed by the cyclotron modes.

On the other hand, the presence of interlayer interactions $`V_𝐩^{12}`$ spoils invariance under relative translations of the two layers and, unless spontaneous interlayer coherence is realized, the out-of-phase collective excitations become dipole-active ,

$$\overline{s}^{}(𝐤)=c^{}\frac{1}{2}𝐤^2+O(|𝐤|^4).$$
(9)
With this fact in mind we shall henceforth concentrate on the dipole-active out-of-phase response. Actually, particular sets of double-layer QH states of our concern are the Halperin $`(m_1,m_2,n)`$ or $`(m,m,n)`$ states . For the $`(m,m,n)`$ states the coefficient $`c^{}`$ is known :

$`c^{}=n/(mn).`$ (10)
To determine the excitation energy $`ϵ_𝐤^{}`$ of the collective mode in the SMA one considers the (projected) oscillator strength $`\overline{f}^{}(𝐤)=(2/N_e)G|\overline{S}_𝐤^3[\overline{H},\overline{S}_𝐤^3]|G`$, which is calculable  by use of the algebra (5). Saturating it with the single mode $`|\varphi _𝐤^{}`$ then yields the SMA excitation gap $`ϵ_𝐤^{}=\overline{f}^{}(𝐤)/\overline{s}^{}(𝐤)`$ at $`𝐤0`$:

$$ϵ_0^{}ϵ_{𝐤=\mathrm{𝟎}}^{}=\frac{1}{c^{}}\underset{𝐩}{}V_𝐩^{12}𝐩^2\{\overline{s}^{12}(𝐩)\},$$
(11)
where $`\overline{s}^{12}(𝐩)=\frac{1}{2}\{\overline{s}^+(𝐩)\overline{s}^{}(𝐩)\}`$.

Let us now study the response of the state $`|G`$ through the collective excitations. Consider first the $`A_0^{}`$ to $`A_0^{}`$ response, and write the associated density-density response function $`(4i)G|T\overline{S}^3(x)\overline{S}^3(x^{})|G`$ in spectral form in Fourier space

$`F[\omega ,𝐤]`$ $`=`$ $`{\displaystyle \underset{n}{}}\left\{{\displaystyle \frac{1}{\omega ϵ_n}}\sigma ^n(𝐤){\displaystyle \frac{1}{\omega +ϵ_n}}\sigma ^n(𝐤)\right\}.`$ (12)
In the SMA we saturate the sum over $`|n`$ by a single collective mode $`|\varphi _𝐤^{}`$ so that the spectral weight $`\sigma ^n(𝐤)=(4/\mathrm{\Omega })G|\overline{S}_𝐤^3|nn|\overline{S}_𝐤^3|G(2N_e/\mathrm{\Omega })\overline{s}^{}(𝐤)`$, where $`\mathrm{\Omega }`$ denotes the spatial surface area. With $`\overline{s}^{}(𝐤)\frac{1}{2}c^{}𝐤^2`$, this leads to a dipole response of the form

$$S_{A_0}^{\mathrm{col}}=\frac{1}{2}\rho _{\mathrm{av}}d^3x_jA_0^{}(x)\frac{2c^{}ϵ_0^{}}{(ϵ_0^{})^2\omega ^2}_jA_0^{}(x),$$
(13)
where $`\omega `$ stands for $`i_t`$ and $`\rho _{\mathrm{av}}=\rho _{\mathrm{av}}^{(1)}+\rho _{\mathrm{av}}^{(2)}`$. This response is not gauge invariant by itself. Fortunately, the field-dependent Coulomb interaction $`\mathrm{}H^{\mathrm{Coul}}`$ serves to promote it into a gauge-invariant form and at the same time yields another important response, the Chern-Simons term. The actual calculation is quite nontrivial since it requires evaluation of products of three charge operators such as $`G|\overline{S}_𝐤^3\{\overline{\rho }_𝐩,\overline{S}_{𝐩𝐤}^3\}|G`$. Nevertheless, it turns out that the leading long-wavelength response is determined from the portion that derives from the noncommutative nature $`([r_1,r_2]0)`$ of the projected charges. Eventually one is led to the dipole and related response of the form

$`S_{\mathrm{eff}}^{}`$ $`=`$ $`{\displaystyle \frac{\rho _{\mathrm{av}}}{2}}{\displaystyle d^3xA_{j0}^{}\left[\frac{2c^{}ϵ_0^{}}{(ϵ_0^{})^2\omega ^2}+\frac{\omega _c}{\omega _c^2\omega ^2}\right]A_{j0}^{}}`$ (14)
$`{\displaystyle \frac{\rho _{\mathrm{av}}}{2}}{\displaystyle d^3xA_\mu ^{}\left[\frac{2c^{}(ϵ_0^{})^2}{(ϵ_0^{})^2\omega ^2}+\frac{\omega _c^2}{\omega _c^2\omega ^2}\right]ϵ^{\mu \nu \rho }_\nu A_\rho ^{}}`$
$`{\displaystyle \frac{\rho _{\mathrm{av}}}{2M}}{\displaystyle d^3xA_{12}^{}\left[\frac{2c^{}(ϵ_0^{})^2}{(ϵ_0^{})^2\omega ^2}+\frac{\omega _c^2}{\omega _c^2\omega ^2}\right]A_{12}^{}},`$
where the cyclotron-mode contribution in Eq. (7) has also been included.

The effect of the collective mode is significant in the low-energy $`(\omega ϵ_0^{})`$ regime. The dipole response acquires the scale $`ϵ_0^{}`$ rather than $`\omega _c`$. The Hall conductance and magnetic susceptibility are enhanced by a common factor $`(2c^{}+1)`$, which equals $`(m+n)/(mn)`$ for the $`(m,m,n)`$ states. Actually, the Hall conductance $`\sigma _{xy}^{}=e^2\rho _{\mathrm{av}}(m+n)/(mn)`$ and the static density correlation function $`\rho _{\mathrm{av}}(2c^{}+1)𝐩^2`$ agree exactly with what one gets in the Chern-Simons theories .

## 4 Effective gauge theory

In the previous section we have calculated the response of a double-layer electron system. Once such a response is known, it is possible to reconstruct it through the quantum fluctuations of a boson field, a procedure known as functional bosonization . Indeed, it is a simple exercise of functional integration to verify that, of the out-of-phase response $`S_{\mathrm{eff}}^{}`$ in Eq. (14), the collective-mode contribution is reconstructed from the theory of a three-vector field $`\xi _\mu =(\xi _0,\xi _1,\xi _2)`$, with the Lagrangian

$`L_\xi ^{\mathrm{col}}`$ $`=`$ $`A_\mu ^{}ϵ^{\mu \nu \rho }_\nu \xi _\rho +{\displaystyle \frac{1}{4c^{}\rho _{\mathrm{av}}}}\left[\xi _\mu ϵ^{\mu \nu \rho }_\nu \xi _\rho +{\displaystyle \frac{1}{ϵ_0^{}}}(\xi _{k0})^2{\displaystyle \frac{1}{M}}(\xi _{12})^2\right].`$ (15)
Similarly, the cyclotron-mode contribution in $`S_{\mathrm{eff}}^{}`$ is reproduced from an analogous Lagrangian consisting of a pair of vector fields $`b_\mu ^\alpha =(b_\mu ^1,b_\mu ^2)`$,

$`L_b^{\mathrm{cycl}}`$ $`=`$ $`A_\mu ^{(\alpha )}ϵ^{\mu \nu \rho }_\nu b_\rho ^\alpha b_0^\alpha +{\displaystyle \frac{1}{2\rho _{\mathrm{av}}^{(\alpha )}}}\left[b^\alpha ϵb^\alpha +{\displaystyle \frac{1}{\omega _c}}(b_{k0}^\alpha )^2{\displaystyle \frac{1}{M}}(b_{12}^\alpha )^2\right],`$ (16)
where summations over layer indices $`\alpha `$ are understood; $`b^\alpha ϵb^\alpha b_\mu ^\alpha ϵ^{\mu \nu \rho }_\nu b_\rho ^\alpha `$. Thus the double-layer system is now described by a gauge-field theory with the Lagrangian $`L_\xi ^{\mathrm{col}}+L_b^{\mathrm{cycl}}`$.

On the other hand, the CS theories, both bosonic and fermionic, lead to an effective theory of the FQHE, described by the dual-field Lagrangian of Lee and Zhang . For the double-layer $`(m_1,m_2,n)`$ states it is written in terms of a pair of vector fields $`b_\mu ^\alpha =(b_\mu ^1,b_\mu ^2)`$:

$`L_{\mathrm{eff}}^{\mathrm{CS}}[b]`$ $`=`$ $`A_\mu ^{(\alpha )}ϵ^{\mu \nu \rho }_\nu b_\rho ^\alpha b_0^\alpha +{\displaystyle \frac{1}{2}}\mathrm{\Lambda }_{\alpha \beta }b^\alpha ϵb^\beta +{\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{\omega _c\rho _{\mathrm{av}}^{(\alpha )}}}(b_{k0}^\alpha )^2+\mathrm{}.`$ (17)
The mixing matrix

$`\mathrm{\Lambda }_{\alpha \beta }`$ $`=`$ $`2\pi \left(\begin{array}{cc}m_1& n\\ n& m_2\end{array}\right)`$ (20)
is a consequence of the flux attachment characteristic of the $`(m_1,m_2,n)`$ states.

Our effective Lagrangian $`L_\xi ^{\mathrm{col}}+L_b^{\mathrm{cycl}}`$ consists of three vector fields $`(\xi _\mu ,b_\mu ^\alpha )`$ representing three dipole-active modes. To make a connection with $`L_{\mathrm{eff}}^{\mathrm{CS}}[b]`$ let us try to rewrite $`L_\xi ^{\mathrm{coll}}+L_b^{\mathrm{cycl}}`$ in favor of the new fields $`\eta _\mu ^1=b_\mu ^1+\frac{1}{2}\xi _\mu `$ and $`\eta _\mu ^2=b_\mu ^2\frac{1}{2}\xi _\mu `$, and eliminate $`\xi _\mu `$. We then learn that the resulting Lagrangian $`L_{\mathrm{eff}}[\eta ]`$ coincides with $`L_{\mathrm{eff}}^{\mathrm{CS}}[b]`$ to $`O()`$ only if

$$c^{}=\frac{2n}{m_1+m_22n},$$
(21)
which thus fixes what appears to be the static structure factor of the $`(m_1,m_2,n)`$ state.

While $`L_{\mathrm{eff}}[\eta ]`$ and $`L_{\mathrm{eff}}^{\mathrm{CS}}[b]`$ coincide to $`O()`$, they differ in $`O(^2)`$. In particular, for the $`(m,m,n)`$ states they differ merely by the (out-of-phase) collective-mode spectrum:

$$ϵ_\eta ^{}=ϵ_0^{}\frac{m+n}{2n}+\mathrm{}ϵ_{\mathrm{CS}}^{}=\frac{mn}{m+n}\omega _c.$$
(22)
Here we see spectra of different origin, one of Coulombic origin and one of orbital origin.

From the above consideration emerge the following observations: The presence of the dipole-active out-of-phase collective excitations, inherent to double-layer systems, implies strong interlayer correlations that affect the long-wavelength characteristics of the double-layer QH states. The leading $`O()`$ correlations are correctly incorporated into the CS theories by the flux attachment transformation, which, however, fails to take in the next-leading $`O(^2)`$ correlations; as a result, the collective-excitation spectrum is left on the scale of $`O(\omega _c)`$.

## 5 Interlayer coherence and tunneling

We have so far assumed the absence of interlayer coherence. It is possible to extend our analysis to double-layer systems in the presence of interlayer coherence and tunneling, where a variety of phenomena such as linearly dispersing collective modes and Josephson-like effects  attract attention. The relevant quantum Hall states are the ground states at filling $`\nu =1/m`$ for odd integers $`m`$, believed to have total pseudospin $`S=N_e/2`$, with their orbital wave functions well approximated by the Halperin $`(m,m,m)`$ wave functions .

We have studied the electromagnetic characteristics of the $`\nu =1`$ double-layer system by means of (i) a low-energy effective theory of pseudospin textures and (ii) the single-mode approximation, with essentially the same results . Here we quote only some of the results. The low-lying neutral collective mode is a (pseudo) Nambu-Goldstone mode $`m(x)`$ associated with spontaneous breaking of some pseudospin $`U(1)`$ symmetry (exact for vanishing tunneling strength $`\mathrm{}_{SAS}0`$). It is described by an effective Lagrangian of the form

$`^{\mathrm{coll}}`$ $`=`$ $`{\displaystyle \frac{1}{2}}\rho _s^E\left[{\displaystyle \frac{1}{v^2}}(_tm2A_{}^{}{}_{0}{}^{})^2(_jm2A_{}^{}{}_{j}{}^{})^2\right]+{\displaystyle \frac{1}{2}}\rho _{\mathrm{av}}\mathrm{}_{SAS}\mathrm{cos}m,`$ (23)
where $`\rho _s^EO(V_𝐩^{12})`$ stands for the pseudospin stiffness; $`v^22\rho _s^E\mathrm{}_{SAS}/\rho _{\mathrm{av}}`$ and $`2A_{}^{}{}_{\mu }{}^{}d(_zA_\mu _\mu A_z)`$ with $`d`$ being the layer separation. This collective mode $`m(x)`$ gives rise to an electromagnetic response of the form

$`_{\mathrm{em}}^{\mathrm{coll}}`$ $``$ $`{\displaystyle \frac{1}{2}}\rho _s^Ed^2\left(_z𝐄_{}𝒟_z𝐄_{}v^2_zB_{}𝒟_zB_{}\right)`$ (24)
$`+{\displaystyle \frac{1}{4}}\rho _{\mathrm{av}}\mathrm{}_{SAS}d^2\left(E_{}𝒟E_{}v^2𝐁_{}𝒟𝐁_{}\right)`$
in terms of the field strengths in three space, where $`𝒟=1/\{\omega _𝐩^2(i_t)^2\}`$ with the collective-excitation spectrum $`\omega _𝐩^2=(\mathrm{}_{SAS})^2+\mathrm{}+O(|𝐩|)`$. Note that this response is gauge-invariant. This implies, in particular, that there is no Anderson-Higgs mechanism or no Meissner effect working in the present double-layer system.

A close comparison with the effective theory derived within the CS theory reveals that the difference is subtle for the $`(_tm2A_{0}^{}{}_{}{}^{})^2`$ term:

$`v^2/\rho _s^E4V_{𝐩=0}^{}+2\mathrm{}_{SAS}/\rho _{\mathrm{av}}`$ (25)
These coincide if $`V_{𝐩=0}^{}`$ reads $`V_{𝐩=0}^{}(1/\rho _{\mathrm{av}})_𝐩V_𝐩^{}e^{\frac{1}{2}𝐩^2}`$; this shows the importance of Landau-level projection, of which no explicit account is taken in the CS approach. For the $`(_jm2A_j^{})^2`$ term the discrepancy is

$`\rho _s^E(\rho _{\mathrm{av}}/4M)=\omega _c/(8\pi ).`$ (26)
Here we see that the CS approach attributes the pseudospin stiffness improperly to inter-Landau-level processes. Another difficulty is that an important low-energy response related to the drift of Hall electrons, the $`A_\mu ^{}ϵ^{\mu \nu \lambda }_\nu A_\lambda ^{}`$ term, is missing in the CS theory.

All these subtleties derive from the fact that the CS approach, because of the lack of Landau-level projection, fails to distinguish between the cyclotron modes and the collective excitation modes. The flux attachment in the CS approach properly introduces some crucial correlations among electrons, but unfortunately not all of them.

## 6 Summary and discussion

In this paper we have studied the electromagnetic characteristics of double-layer quantum Hall systems. The results of our analysis are summarized as follows:

(1) It is pointed out that dipole-active excitations, both elementary and collective, govern the long-wavelength features of quantum Hall (QH) systems. In particular, the presence of the dipole-active interlayer out-of-phase collective excitations, inherent to double-layer systems, modifies the leading $`O(𝐤)`$ and $`O(𝐤^2)`$ characteristics of the double-layer QH states substantially.

(2) The CS theories properly incorporate some crucial correlations among electrons via the flux-attachment transformation, but not all of them. This explains why they correctly account for $`O()`$ features, such as the Hall conductance, vortex charges and long-range orders, while they leave the collective-excitation spectrum on the scale of the Landau gap$`\omega _c`$.

(3) An effective gauge theory reconstructed from such electromagnetic characteristics consists of three vector fields representing one interlayer collective mode and two inter-Landau-level cyclotron modes. It properly incorporates the single-mode approximation spectrum of collective excitations, as well as the favorable transport properties of the standard CS theories.

The idea underlying our approach is to explore the properties of QH states via their electromagnetic response, which in some cases is calculable by relying on the incompressible nature of the QH states without the details of the microscopic dynamics. The examples reported in this paper would combine to enforce again the fact that incompressibility is the key character of the QH states and prove that studying the response offers not only a fresh look into the quantum Hall systems but also a practical means for constructing effective theories without referring to composite bosons and fermions.

## acknowledgments

This work is supported in part by a Grant-in-Aid for Scientific Research from the Ministry of Education of Japan, Science and Culture (No. 14540261).

## References


text:
# 1 𝐿=10⁵. Middle plot shows PDF of 𝜉^𝐿_{𝑚𝑎𝑥} (circles) compared with PDF of maxima of decorrelated process (crosses), 𝑁=40. Top plot (stars) is PDF of maxima 𝜒^𝐿_{𝑚𝑎𝑥} of exponentially distributed r.v’s, 𝑁=40. Lowest plot (circles) shows 𝜉^𝐿_{𝑚𝑎𝑥} in 𝑁=250 case. Also shown on each plot are the BHP curve (solid line), and the 𝑎=1 FTG plot (dashed line). Displacements of 10^{-1.5} and 10⁻³ for the middle and lower plots, respectively, were applied for clarity.

Comment on “Universal Fluctuations in Correlated systems”

In  the “universal” probability density function (PDF) of various global measures $`x`$ from correlated equilibrium and non-equilibrium physics-inspired models was shown (figure 2 of ) to be in reasonable agreement with $`\mathrm{\Pi }(y)=K(e^{ye^y})^a`$, where $`y=b(xs)`$. This Bramwell-Holdsworth Pinton (BHP) PDF with shape parameter $`a=\pi /2`$, was contrasted with the Fisher-Tippett-Gumbel (FTG) PDF where $`a=1`$, one of 3 possible asymptotes for the maxima of uncorrelated random variables (r.v.’s) . In  the BHP PDF was also seen to describe the distribution of maxima $`\xi _{max}^L`$ from $`L`$ trials of length N vectors $`\xi `$ of correlated r.v.’s, generated by $`\xi =𝐌\chi `$. The elements of $`\chi `$ were i.i.d. exponentially distributed, and $`𝐌`$ was “an $`N\times N`$ matrix with random but fixed elements”. The applicability of the BHP PDF to all the considered processes in  was inferred to be due to “finite size, strong correlations (our italics) and self-similarity”. In this Comment we show that this inference is not supported by the extremal behaviour of $`\xi _{max}^L`$: because 1) while a suitable choice of $`N`$ ensures that $`\xi _{max}^L`$ falls on the BHP curve, other equally arbitrary values of $`N`$ give maxima which don’t; and 2) $`\xi `$ is in fact not strongly correlated, and the PDF of $`\xi _{max}^L`$ change little for decorrelated $`\xi `$. We thus suggest that $`a`$ differs from its FTG asymptote of 1 here largely due to slow convergence of maxima of the nearly Gaussian $`\xi `$.

In , “random” implies “i.i.d Gaussian, mean 0, variance 1” i.e. $`P(M)=\frac{1}{\sqrt{2\pi }}e^{M^2/2}`$ and “random but fixed” implies $`𝐌`$ has random elements held constant between trials. $`\xi `$ is correlated but the fact that $`𝐌`$ and $`\chi `$ are statistically independent means that for the simplest case of $`N=2`$, $`\xi _1`$ $`(=M_{11}\chi _1+M_{12}\chi _2)`$ has PDF $`P(\xi _1)=𝑑M_{11}𝑑M_{12}𝑑\chi _1𝑑\chi _2\delta (\xi _1M_{11}\chi _1M_{12}\chi _2)P(M_{11})P(M_{12})P(\chi _1)P(\chi _2).`$ Taking exponential $`P(\chi )=\lambda e^{\lambda \chi }`$ as in  we generalise to $`N\times N`$ matrix $`𝐌`$ so $`P(\xi )=\frac{1}{2\pi }_{\mathrm{}}^{\mathrm{}}I(k)^Ne^{ik\xi }𝑑k.`$ Here $`I(k)^N=\lambda ^N[_{\mathrm{}}^{\mathrm{}}\frac{P(M)}{\lambda +ikM}𝑑M]^N`$ is the generating function of $`P(\xi )`$. We then have $`I(k)=\sqrt{\frac{\pi }{2}}\frac{\lambda }{k}e^{\lambda ^2/2k^2}(1erf(\lambda /\sqrt{2}k)).`$ The maxima of $`\xi `$ are dominated by the tail behaviour of $`P(\xi )`$, which from a small $`k`$ expansion of $`I`$ is seen to be Gaussian $`(\lambda /\sqrt{N})\mathrm{exp}\xi ^2\lambda ^2/4N`$. The maxima of $`\xi `$ will thus be in the basin of attraction of the FTG distribution. The asymptotic shape parameter $`a`$ corresponding to $`L,N\mathrm{}`$ cannot be changed by short range dependence , but one expects corrections to $`a`$ for finite $`N,L`$ because of the logarithmically slow convergence of the maxima of Gaussians, and, sometimes, a change in effective degrees of freedom $`N`$ due to correlation .

Figure 1 shows the PDF of $`\xi _{max}^L`$ for $`L=10^5`$ trials in 2 cases: $`N=40`$ and $`250`$, and for comparison the PDF of $`\chi _{max}^L=\mathrm{max}(\chi ^L)`$, when $`N=40`$, to illustrate the expected rapid convergence of $`\chi _{max}^L`$ to the FTG curve. Convergence of $`\xi _{max}^L`$ however slows with increasing $`N`$. By $`N=40`$, convergence of $`\xi _{max}^L`$ is noticeably slower than $`\chi _{max}^L`$ and the PDF follows the BHP curve; while for $`N=250`$ even slower convergence in $`\chi _{max}^L`$ gives obvious deviation from the BHP form resembling that seen in figure 2 of  . For $`N=40`$ the autocorrelation function of $`\chi `$ (not shown) drops fast by the first lag. Weak (less than $`\pm 0.2`$) long ranged oscillations are seen at all lags. Despite this, decorrelating $`\xi `$ by shuffling the $`L\times N`$ matrix before taking the maximum of $`\xi `$ changes the PDF of its maxima in a relatively minor way (see Figure 1), confirming that correlation cannot explain most of the change from the FTG PDF here. Our result implies that, even though subsequent results may show that the BHP curve can result from strong correlation, it need not.

NWW thanks Mervyn Freeman, Clare Watt, Pat Espy and David Stephenson for valuable suggestions.

N. W. Watkins
British Antarctic Survey, Cambridge, CB3 0ET, U.K.
S. C. Chapman and G. Rowlands
University of Warwick, Coventry, CV4 7AL, U.K.

Received

PACS numbers: 02.50.-r, 05.40.-a


text:
# QCD String Spectrum 2002

## Abstract

Results from a comprehensive new analysis on the excitation spectrum of the QCD string are presented. A rapid onset of string formation is observed in the spectrum on a length scale of 2 fm, with Dirichlet boundary conditions. The crossover from the short distance spectrum towards string excitations and an observed fine structure in the 1–3 fm range are related to effective string theory. The deficiencies of the Nambu-Goto bosonic string model in describing the observed spectrum are briefly discussed.

We report here our new comprehensive analysis of the rich low-lying energy spectrum of the excited gluon field between a static quark–antiquark $`(q\overline{q})`$ pair in the fundamental color representation of $`SU(3)_c`$. For references on earlier work, we refer to our pilot journal publication . The analysis of each simulation will be detailed in forthcoming publications.

Three exact quantum numbers which are based on the symmetries of the problem determine the classification scheme of the gluon excitation spectrum in the presence of a static $`q\overline{q}`$ pair. We adopt the standard notation from the physics of diatomic molecules and use $`\mathrm{\Lambda }`$ to denote the magnitude of the eigenvalue of the projection $`𝐉_g\widehat{𝐑}`$ of the total angular momentum $`𝐉_g`$ of the gluon field onto the molecular axis with unit vector $`\widehat{𝐑}`$. The capital Greek letters $`\mathrm{\Sigma },\mathrm{\Pi },\mathrm{\Delta },\mathrm{\Phi },\mathrm{}`$ are used to indicate states with $`\mathrm{\Lambda }=0,1,2,3,\mathrm{}`$, respectively. The combined operations of charge conjugation and spatial inversion about the midpoint between the quark and the antiquark is also a symmetry and its eigenvalue is denoted by $`\eta _{CP}`$. States with $`\eta _{CP}=1(1)`$ are denoted by the subscripts $`g`$ ($`u`$). There is an additional label for the $`\mathrm{\Sigma }`$ states; $`\mathrm{\Sigma }`$ states which are even (odd) under a reflection in a plane containing the molecular axis are denoted by a superscript $`+`$ $`()`$. Hence, the low-lying levels are labeled $`\mathrm{\Sigma }_g^+`$, $`\mathrm{\Sigma }_g^{}`$, $`\mathrm{\Sigma }_u^+`$, $`\mathrm{\Sigma }_u^{}`$, $`\mathrm{\Pi }_g`$, $`\mathrm{\Pi }_u`$, $`\mathrm{\Delta }_g`$, $`\mathrm{\Delta }_u`$, and so on. For convenience, we use $`\mathrm{\Gamma }`$ to denote these labels in general.

Restricted to the $`R=0.23`$ fm range of a selected simulation, energy gaps $`\mathrm{\Delta }E`$ above the ground state are compared to asymptotic string gaps for 18 excited states in Fig. 1. The quantity $`\mathrm{\Delta }E/(N\pi /R)1`$ is plotted to show percentage deviations from the asymptotic string levels. The selected states correspond to $`N=1,2,3,4`$ string levels in the asymptotic limit. The energy gaps, far below the null lines of the plots and strongly split at fixed $`N`$, differ from the simple string gaps for $`R<2`$ fm. The Nambu-Goto (NG) bosonic string does somewhat better. The spectrum with fixed end boundary conditions in $`D`$ dimensions was first calculated in Ref. ,

$$E_N=\sigma R\left[1\frac{D2}{12\sigma R^2}\pi +\frac{2\pi N}{\sigma R^2}\right]^{\frac{1}{2}},$$
(1)
where $`\sigma `$ is the asymptotic string tension. The $`D=4`$ choice has quantization problems and a tachyon singularity in the spectrum at $`R1/3`$ fm. The gaps $`E_N`$ are plotted in Fig. 1 for all $`N`$ values (the gray line corresponds to $`N=1`$). The states $`\mathrm{\Sigma }_u^{},\mathrm{\Sigma }_g^{}`$ and $`\mathrm{\Pi }_g^{^{}}`$ are in the worst disagreement for $`R<2`$ fm. Above $`2`$ fm, several of the levels break away from the NG formula and stay higher than the null level of the string gaps. In addition, there is a pronounced fine structure at all $`R`$ values. We now discuss three distinct regions in the spectrum.
Short distance spectrum. For $`R1`$ fm, the observed level ordering is consistent with short distance physics of gluon field excitations which are trapped around the dominantly color octet static $`q\overline{q}`$ pair. A new approximate symmetry is expected in the $`R/\sqrt{\sigma }1`$ limit since gluon field dynamics will only depend softly on $`𝐑`$. Gluon excitations will transform according to representations of $`O(3)`$ so that $`\mathrm{\Lambda }`$ in the set $`\mathrm{\Gamma }`$ will be replaced by the gluon angular momentum $`L`$. Since this group is larger than $`\mathrm{\Gamma }`$, several gluonic excitations between static quarks are expected to be approximately degenerate in the short-distance limit. This approximate symmetry was first used within the short distance operator product expansion of QCD in Ref. . References to earlier work are given in .

There exist ten states which are described by operators up to dimension three with degenerate groups: $`(\mathrm{\Sigma }_g^+^{},\mathrm{\Pi }_g)`$, $`(\mathrm{\Sigma }_u^{},\mathrm{\Pi }_u)`$, $`(\mathrm{\Sigma }_g^{},\mathrm{\Pi }_g^{^{}},\mathrm{\Delta }_g)`$, and $`(\mathrm{\Sigma }_u^+,\mathrm{\Pi }_u^{^{}},\mathrm{\Delta }_u)`$. Within each group one has different string quantum numbers mixed together. Fig. 2 illustrates the remarkable working of the predicted degeneracies. Only $`\mathrm{\Delta }_u`$ and $`\mathrm{\Sigma }_g^+^{}`$ show considerable soft breaking of the approximate symmetry at the shortest $`R`$ values. We note that the hierarchy of the doublet $`(L=1)`$ and triplet $`(L=2)`$ groups follows the dimensional hierarchy of the operators, similar to the dimensional hierarchy of glueball operators in Ref. .
Crossover region and Casimir energy. On the intermediate scale of $`0.5`$ fm $`<R<2`$ fm, a rapid crossover of the energy levels towards a string-like spectrum is prominent. An interesting feature of this region is the rather accurate description of the $`\mathrm{\Sigma }_\mathrm{g}^+`$ ground state energy by the empirical function $`E_0(R)=a+\sigma Rc\pi /12R`$, with the fitted constant $`c`$ close to unity, once $`R`$ exceeds $`0.5`$ fm (the Casimir energy of a thin flux line was calculated in Refs. , yielding $`c=1`$). This approximate agreement is often interpreted as evidence for string formation. The conformal charge $`c`$ and the spectrum are related. Our excitation spectrum, even the qualitative ordering of the energy levels, does not agree well with the asymptotic bosonic string spectrum for $`R<1`$ fm. A recent high precision calculation shows the rapid approach of $`c_{\mathrm{eff}}(R)`$ to the asymptotic Casimir value in the same $`R`$ range .

It remains a challenge to explain the precocious onset of the asymptotic value of the conformal charge.

String limit. The rapid rearrangement of the energy levels towards asymptotic string-like ordering around $`R2`$ fm is remarkable. For example, the states $`\mathrm{\Sigma }_u^{}`$ and $`\mathrm{\Sigma }_g^{}`$ break away from their respective short distance non-string degeneracies to approach string ordering for $`R>2`$ fm separation. After the rapid transition, the level orderings and approximate degeneracies at large $`R`$ match, without exception, those expected of the asymptotic string modes. However, the precise separation $`\pi /R`$ of the energy levels is not observed in the spectrum. Some of the expected degeneracies are also significantly broken.

An explanation for this fine structure is expected to come from effective QCD string theory which is formulated in terms of the Lagrangian of the two-dimensional position vector $`𝝃`$ of the string defined in world sheet coordinates . Symmetries of the effective Lagrangian require a derivative expansion of the form $`_{\mathrm{eff}}=\frac{1}{2}\alpha _\mu 𝝃_\mu 𝝃+\mathrm{},`$ where the dots represent terms with four, or more derivatives and $`\alpha `$ is a dimensional constant. For low frequency excitations, the first term, which describes massless Goldstone modes (asymptotic string modes), dominates and higher dimensional operators are expected to generate perturbative fine structure in powers of $`R^1`$.

The Nambu-Goto action when expanded,

$$_{\mathrm{eff}}=\alpha \sqrt{1+_\mu 𝝃_\mu 𝝃}=\frac{1}{2}\alpha _\mu 𝝃_\mu 𝝃+\mathrm{},$$
(2)
generates higher dimensional operators with preset coefficients which cannot describe rigidity, torsion, and other physical properties of the confining flux, if they exist. Deviations of our spectrum from the NG prediction demonstrates that the coefficients in the effective QCD string action will differ significantly from those of the NG Lagrangian (a particularly interesting form was proposed in Ref. ).

This work was supported by the U.S. DOE, Grant No. DE-FG03-97ER40546, the U.S. National Science Foundation under Award PHY-0099450 and the European Community’s Human Potential Programme, HPRN-CT-2000-00145.