text:
# Calculation of optimized apodizers for a Terrestrial Planet Finder coronagraphic telescope

## 1 Introduction

A central problem in the search for Earth-like planets is to suppress the light from a star so as to reveal a planet which might be 10 to 12 orders of magnitude fainter than the star and might be in quite close to the star. In earlier papers (Nisenson and Papliolios, 2001; Nisenson et al, 2003) we showed that apodizing a telescope pupil reduced the diffraction of a telescope that would allow exo-planet detection. In addition to diffraction suppression, extremely low scattering optical surfaces at frequencies of 3 to 30 cycles/mirror are necessary. Obtaining such low scattering will require a combination of super-polishing and adaptive optic correction. In this paper, we describe a technique for designing an apodizer that minimizes diffraction in a chosen region of the focal plane while maximizing the throughput of the apodizer.

The image of a star (unaberrated by the atmosphere) is the point spread function (PSF) of the telescope. We want to design a real, non-negative, continuous tone mask, i.e., an apodizer, to place in the aperture (or a relay plane of the aperture) such that the PSF has a compact, central peak with minimal spread beyond the core of the PSF.

This problem was first studied by Slepian & Pollack (1961) in the context of radar, communications, and superresolution. The authors show that the band-limited signal, $`\varphi (t)`$, which has the most energy in time T satisfies the integral equation:

$$\lambda \varphi (t)=\varphi (s)w(s)a(ts)𝑑s$$
(1)
where $`w(t)`$ is a zero-one function which time-limits $`\varphi (t)`$ to T seconds and the Fourier transform, $`A(f)`$, of $`a(t)`$ is another zero-one function which band-limits $`\varphi (t)`$. The solutions (eigenfunctions) of this integral equation are prolate spheroidal (PS) functions and $`\varphi (t)`$ is the eigenfunction with the largest eigenvalue. The authors show that $`\varphi (t)`$, inside T, is identical to its Fourier Transform, $`\mathrm{\Phi }(f)`$, suitably scaled in f. Kaiser (1966) presented an approximation to $`\varphi (t)`$ and subsequent authors (Oppenheim and Schafer, 1989; Aime et al, 2002) have used the Kaiser window because $`\varphi (t)`$ is difficult to compute.

Papoulis (1968) studied the same problem in the optical context and showed that $`\mathrm{\Phi }(u)`$, the Fourier transform of $`\varphi (t)`$, is the optimal one-dimensional apodizer. He showed that the optimal apodizer for a square aperture is the product $`\mathrm{\Phi }(u)\mathrm{\Phi }(v)`$, which is the form proposed by Nisenson and Papaliolios (2001). He also shows that the optimal apodizer for a circularly symmetric aperture is a sum of the first and second order Bessel functions. Other authors (Kasdin et al, 2002 and Aime et al, 2001), have shown the optimality of a PS apodizer. Kasdin et al (2002) suggest a PS-shaped, binary aperture with the key advantage that the binary aperture may be easier to manufacture.

In this paper we present an iterative calculation of an optimal apodizer. The method does not require the Kaiser approximation and it can accommodate any special features of the measurement process, such as the likely position of a planet in reference to its star. We use a very simple iterative procedure to calculate the apodizer, an iterative algorithm that has its roots in linear system theory and is closely related to the well-known Gerchberg-Saxton algorithm (Gerchberg and Saxton, 1972).

## 2 The Algorithm

We use the method of alternating projections which was introduced by von Neumann (1950). We write Equation (1) in the compact form

$$\lambda \varphi =R\varphi ,$$
(2)
where R is an operator, sometimes called the kernel. R space-limits the two-dimensional function $`\varphi (x,y)`$ with a specified spatial mask, $`w(x,y)`$, then band-limits it with a specified spatial frequency mask, $`A(u,v)`$. The latter is determined by the shape of the aperture.

To solve Eq. (2) we repeatedly impose R on an initial $`\varphi (x,y)`$ until Eq. (2) is satisfied. More specifically, we calculate

$$f(x,y)=\varphi (x,y)w(x,y),$$
(3)
then we calculate the Fourier transform of f(x,y), namely F(u,v), and calculate

$$\mathrm{\Phi }(u,v)=F(u,v)A(u,v).$$
(4)
The inverse Fourier transform of $`\mathrm{\Phi }(u,v)`$ is $`\varphi (x,y)`$, which completes one iteration of the algorithm.

We rely on the fact that n iterations will produce an expansion of $`\varphi (x,y)`$ in eigenfunctions of Eq. 2 with coefficients which are multiplied by eigenvalues raised to the power n. Eventually, only the eigenfunction with the largest eigenvalue will emerge, a property which is well-known. The algorithm is described by the figures and text in Papoulis’ 1968 book.

Because the operation R uses a forward Fourier transform, a masking operation, an inverse Fourier transform, and another masking operation, the algorithm is similar to the iterative transform algorithm generally known as the Gerchberg-Saxton algorithm (Gerchberg and Saxton, 1972).

We emphasize that the functions $`w(x,y)`$ and $`A(u,v)`$ can be any desired shape, which gives us the opportunity to shape both the aperture and the search region.

## 3 Examples

A one-dimensional, unapodized aperture of width D has inverse Fourier transform, $`a(x)`$, a Sinc function with its first zero at $`x_0=\lambda /D`$. We call $`x_0`$ the diffraction-limited spot size or, more simply, a DL element. The magnitude squared of $`a(x)`$ is $`p(x)`$, the one-dimensional point spread function (PSF). A square, two-dimensional aperture has $`PSF=p(x)p(y)`$. On the left in Figure 1 is the logarithm of the PSF for such an unapodized aperture. The diagonal line in the image shows where we will sample the PSF for comparison purposes. In all of our examples we assume that the available light is broadband with a bandwidth which is 20% of the central wavelength. Thus, the deep nulls in a conventional Sinc function are blurred out when we combine the PSF’s at various wavelengths.

To form this first apodized aperture we space-limit a one-dimensional $`f(x)`$ to the interval, say, $`2.2x_0<x<2.2x_0`$, then we band-limit the result to D. (For these examples, we used FFT software with a calculation size of N = 256 and we set the aperture size to D = 41.) These space and bandwidth limiting operations are defined by Equations (3) and (4). We repeat them until the iterations converge. What emerges is the prolate spheroidal function, $`\varphi (x)`$. Its Fourier transform, $`\mathrm{\Phi }(u)`$, is the apodizer. Following previous authors (i.e. Aime et al, 2002), we form the product aperture $`P(u,v)=\mathrm{\Phi }(u)\mathrm{\Phi }(v)`$, which we call a Product Prolate Spheroidal (PPS) aperture, and its inverse Fourier transform, p(x,y), is the telescope’s PSF. In the center of Figure 1 is the logarithm of the PSF for this apodizer. Note that the PSF is concentrated along the x and y axes. The aperture has a transmission of $`24.9\%`$. Papoulis (1968) showed that this aperture best concentrates the PSF into a central square of size $`4.4x_0`$ by $`4.4x_0`$.

Figure 1 shows a third PSF. This was formed by defining a one-D spatial mask, $`w(x)`$, which is 1 in the range from 0 to $`2.27x_0`$, zero from $`2.27x_0`$ to $`6x_0`$ and 1 for all larger x; and is symmetric about $`x=0`$. The mask forces the PSF to be narrow, as above, but also allows it to rise outside a restricted search region from $`2.27x_0`$ to $`6x_0`$. We apply the same iterative algorithm, starting with the PPS apodizer and stopping the iterations when the transmission is ($`26.3\%`$). The result is the PSF shown on the right of Figure 1.

Figure 2 shows a $`45\mathrm{deg}`$ cut through three PSF’s. The horizontal axis plots diagonal distance in units of $`x_0`$ and the vertical axis plots the logarithm of $`p(x,y)`$, scaled such that $`p(0,0)=1`$. Figure 2 also shows the PSF for the unapodized aperture. Note that the PPS plot is about seven orders of magnitude below the no-apodizer plot, beyond about $`3.5x_0`$. The modified PPS plot matches the PPS plot from 0 to $`3.5x_0`$, drops about 2 db below it to about $`8x_0`$, then rises almost to the no-apodizer plot.

Figure 3 shows horizontal cuts through the PPS apodizer and the modified PPS apodizer.

For our next set of examples we used a circular aperture of diameter $`D=40`$. First we calculated the PSF for an unapodized aperture. It is the well-known Airy disc. The logarithm of this PSF is shown on the left of Figure 4. (As in Figure 1 the PSF’s are for wideband light so the rings are somewhat indistinct. The horizontal and vertical bands at the edge of the figures are aliasing, caused by our finite sampling.)

Next we formed a circular mask of radius 3.5z and exercised a two-dimensional version of the iterative algorithm. This results in the 2-D PSF in the center of Figure 4. This is the PSF which Papoulis (1968) reports but does not sketch. We call the apodizer a Circular Bessel (CB) apodizer. Then we allowed the mask to rise at a radius of $`8.2x_0`$, so that the mask looks like a bulls eye, and exercised the two-D algorithm. The PSF is on the right of Figure 4. Cuts through the PSF’s are shown in Figure 5. Inside the search region the bulls eye PSF is about two orders of magnitude below the PSF for the CB aperture. The apodizers are shown in Figure 6. Both have transmission of about $`21\%`$ .

Finally, we formed an apodizer for a square aperture with a two-dimensional mask which is a cross of width $`4x_0`$, imbedded in a circular mask of radius $`8x_0`$, a hybrid apodizer. It has a restricted search area as shown on the left in Figure 7. We exercised the iterative algorithm, starting with the CB apodizer. Figure 7 shows the mask (the search area) and the log of the PSF. Figure 8 shows a slice through the PSF and, for comparison, a slice through the PSF for the CB apodizer. Despite what appear to be only subtle differences in the shapes of the two apodizers, the hybrid apodizer has a transmission of $`39.3\%`$, almost double that of the CB apodizer; it also has a narrower central peak and better sidelobe supression. The reduced search area of this hybrid apodizer provides significant advantages over our earlier examples. Figure 9 shows cuts through the apodizer at 0 and at $`45\mathrm{deg}`$, which shows that the hybrid apodizer is not circularly symmetric.

## 4 Discussion

We have described an approach to designing an apodization mask that is optimized for minimizing diffraction in a selected local area of the focal plane. This would allow use of selectable apodization masks in a TPF telescope that could, for example, reduce diffraction over a wide area in the focal plane for a survey, and then produce deeper nulls in local areas for spectroscopy of an already detected planet. Or one could select an apodizer for the minimum width of the central peak, trading off the size of the searchable region for minimum detectable separation of star and planet. We also investigated use of apodizers that vary only in one direction (constant in the other). These apodizers result in maximizing throughput (close to 50%) while allowing detection of luminosity ratios of $`10^8`$. This is insufficient for TPF-like missions (luminosity ratios will be of order $`10^{10}`$ for an earth-like planet orbiting a star at 10 pc) but hybrid apodizers, as described in the paper, allow a continuous trade-off between maximizing throughput and minimizing diffraction.

The speckle due to optical surface errors and the diffraction will produce a PSF that is highly centro-symmetric when (as required for a TPF telescope) the phase errors are extremely small. For very small phases, the exponential phase can be accurately approximated by only the linear term of the power series expansion of the exponential. So, for example, a telescope with 1/1000 wave rms surface errors will have a centro-symmetric psf to a precision of about 0.1% and 1/10000 wave results in centro-symmetry of 0.01%. One can then use this asymmetry to calibrate the residual speckle and diffraction in the half-plane of the PSF that contains a planet using the opposite half-plane. Subtraction of the calibration region then increases the dynamic range to an accuracy limited only by photon statistics.

Accurate intensity transmission of the apodizers is critical for their success - this is evident from the apparently small differences in apodizer shape, as illustrated in Figure 3, producing substantial effects on the PSF. We have estimated the precision required in the transmission of the apodizer to be 0.3% or better for it not to affect the dynamic range. This is the same requirement as one for the uniformity of the reflective coatings of the telescope mirrors. Numerical simulations that substantiate this result are included in Nisenson et al. (2003)

The usual problems with iterative algorithms are choosing an initial function and choosing a stopping point in the iterations. For the examples which yielded the PS and CB solutions, we started with a Gaussian shape and we stopped the iterations when there was no significant change in the solution, typically a few hundred iterations. For the other examples we started with a PS or CB aperture. Continued iterations result in deeper and deeper suppression of diffraction in the chosen region but also resulted in decreasing throughput for the apodizer. We stop the iterations when the diffraction is reduced to a selected level while leaving the throughput at a maximum.

We have shown an approach to calculating an optimum apodizer that maximizes the detectable luminosity ratio for exo-planet detection in the focal plane of the TPF telescope. The next step in this analysis would be to include realistic specifications on wavefront errors from the telescope optics and also to factor in practical limits on the accuracy in the manufacture of apodizing masks. How well continuous tone apodizers can be manufactured is an open question. Many of the techniques developed for photolithography allow very precise shaped transmission to be generated in special glass. Such a mask was used in a laboratory demonstration of imaging two close point sources with a luminosity ratio of nearly $`10^9`$ (Melnick et al, 2001).


format: text

text:
# Lens optics as an optical computer for group contractions

## I Introduction

The six-parameter Lorentz group was initially introduced to physics as a group of Lorentz transformations applicable to the four-dimensional Minkowskian space. However, the Lorentz group can serve as the basic mathematical language for many branches of physics. It serves as the backbone for the theory of coherent and squeezed states of light . Recently we are realizing that the Lorentz group can serve as the standard language for classical ray optics, including polarization optics , interferometers , layer optics , lens optics , and cavity optics .

Since the Lorentz group provides the underlying scientific language to classical optics, it is not unreasonable to examine whether we can construct optical devices which will perform computations in the Lorentz group. This group has many subgroups, and we are particularly interested in Wigner’s little groups which dictate the internal space-time symmetries of relativistic particles . While these groups play the fundamental role in particle physics, they had a stormy history in connection with their role in explaining the space-time symmetry of massless particles .

Wigner’s little group is defined to be the maximal subgroup of the Lorentz group whose transformations leave the four-momentum of a given particle invariant. The little groups for massive, massless, and space-like momentum are like $`O(3)`$, $`E(2)`$, and $`O(2,1)`$ respectively . The $`O(3)`$ group is the three-dimensional rotation group and can provide computations on the numbers distributed on a spherical surface. The $`O(2,1)`$ group provides transformations in the Minkowskian space of two space-like and one time-like dimensions. Thus, this group deals with the numbers on a hyperbolic surface. The $`E(2)`$ group stands for Euclidean transformations on a flat surface. It consists of two translational degrees of freedom as well as the rotation around the origin.

The transitions from $`O(3)`$ to $`E(2)`$, and from $`O(2,1)`$ to $`E(2)`$ are called the group contractions in the literature , and they are known to be singular transformations which forbid analytic continuation from $`O(3)`$ to $`E(2)`$. After the $`O(3)`$ or $`O(2,1)`$ is contracted to $`E(2)`$, it is not possible to recover either of the two groups from $`E(2)`$. In addition, the little groups are not exactly the $`O(3),E(2)`$, and $`O(2,1)`$ groups whose geometry is quite transparent to us. They are only “like”. The question is then whether the contraction of $`O(3)`$ to $`E(2)`$ necessarily mean the contraction of the $`O(3)`$-like little group to $`E(2)`$-like little group. This conceptual question also has been discussed extensively in the literature . In this paper, we only use the results which can be represented in the two-by-two matrix representation of the Lorentz group.

The one-lens system consists of one lens matrix and two translation matrices . The combined matrix can be written in terms of the two-by-two matrices corresponding to four-by-four Lorentz-transformation matrices which constitute the transformations of the little groups . However, unlike the case of the little groups, the parameters of the two-by-two matrices are analytic, especially in the neighborhood of the focal condition in which the upper-right element vanishes. On the other hand, from the little group point of view, this is precisely where the group contraction occurs, and this transformation is singular as was mentioned above. Then how can we establish the correspondence between singular and non-singular representations?

Indeed, if we can represent those three little groups using one convex lens, the result would be quite interesting, especially in view of the fact that computations in a hyperbolic world can be performed in a spherical world, and vice versa. In order to achieve this goal, we have to develop a mathematical device which establishes a bridge between lens optics and the little groups, starting from Wigner’s original idea of finding the maximal subgroups of the Lorentz group which will leave the four-momentum of a given particle invariant.

With this point in mind, we present a different set of Lorentz transformations achieving the same purpose . We then show that the representation of the little groups in this set coincides with the matrix representation of the one-lens system. It is then seen that the focal condition corresponds to the transition from one little group to another. The transition is analytic. In this way, we achieve an analytic transformation of computations on a hyperbolic surface to a spherical surface.

In this paper, we are employing many sophisticated mathematical items such as the Lie algebra, compact groups, non-compact groups, solvable groups, as well as group contractions. However, we are very fortunate to be able to avoid these words and get directly into the computational world using only familiar two-by-two matrices without complex numbers. Our mathematics starts from the well-known two-by-two matrix formulation of the one-lens system.

In Sec. II, we start with one lens matrix and two translation matrices, and derive a core matrix to be studied in detail. In Sec. III, we introduce Wigner’s little groups and their traditional two-by-two representations, and point out that they are not suitable for describing the core matrix in the one-lens system because the transition from one little group to another is a singular transformation. In Sec. IV, for the little groups, we introduce a different set of Lorentz transformations which can serve as a bridge between the symmetries of relativistic particles and the one-lens system. It is noted that the transition from one little group to another can be achieved analytically. It is noted that the group contraction is not always a singular transformation.

Then in Sec. V, we formulate the one-lens system in terms of the little groups and the analytic group contraction. In Sec VI, it is pointed out that the cavity optics is a special case of the one-lens system, but that this simplified system contains all the essential features of group contractions. In Sec. VII, it is shown how the abstract idea of group contractions leads to a tool of concrete numerical calculations which can be carried out by optical devices.

## II Formulation of the Problem

The simplest lens system is of course the one-lens system with the lens matrix

$$\left(\begin{array}{cc}1& 0\\ 1/f& 1\end{array}\right),$$
(1)
where $`f`$ is the focal length. We assume that the focal length is positive throughout the paper. The translation matrix takes the form

$$\left(\begin{array}{cc}1& d\\ 0& 1\end{array}\right).$$
(2)
If the object and image are $`d_1`$ and $`d_2`$ from the lens respectively, the optical system is described by

$$\left(\begin{array}{cc}1& d_2\\ 0& 1\end{array}\right)\left(\begin{array}{cc}1& 0\\ 1/f& 1\end{array}\right)\left(\begin{array}{cc}1& d_1\\ 0& 1\end{array}\right).$$
(3)
The multiplication of these matrices leads to

$$\left(\begin{array}{cc}1d_2/f& d_1+d_2d_1d_2/f\\ 1/f& 1d_1/f\end{array}\right).$$
(4)
The image becomes focused when the upper right element of this matrix vanishes with

$$\frac{1}{d_1}+\frac{1}{d_2}=\frac{1}{f}.$$
(5)
The problem with this expression is that the off-diagonal elements are not dimensionless, but it can be decomposed into

$$\left(\begin{array}{cc}\left(d_1d_2\right)^{1/4}& 0\\ 0& \left(d_1d_2\right)^{1/4}\end{array}\right)\left(\begin{array}{cc}1x_2& 2\mathrm{cosh}\rho x\\ x& 1x_1\end{array}\right)\left(\begin{array}{cc}\left(d_1d_2\right)^{1/4}& 0\\ 0& \left(d_1d_2\right)^{1/4}\end{array}\right),$$
(6)
with

$`x_1={\displaystyle \frac{d_1}{f}},x_2={\displaystyle \frac{d_2}{f}},x={\displaystyle \frac{\sqrt{d_1d_2}}{f}},`$ (7)
$`\mathrm{cosh}\rho ={\displaystyle \frac{1}{2}}\left(\sqrt{d_1/d_2}+\sqrt{d_2/d_1}\right).`$ (8)
The matrix in the middle, the core matrix, can now be written as

$$\left(\begin{array}{cc}1x_2& 2\mathrm{cosh}\rho x\\ x& 1x_1\end{array}\right).$$
(9)
In the camera configuration, both the image and object distances are larger than the focal length, and both $`(1x_1)`$ and $`(1x_2)`$ are negative. Thus we start with the negative of the above matrix

$$\left(\begin{array}{cc}x_21& x2\mathrm{cosh}\rho \\ x& x_11\end{array}\right).$$
(10)
We can further renormalize this matrix to make the two diagonal elements equal. For this purpose, we can write it as

$$\left(\begin{array}{cc}b& 0\\ 0& 1/b\end{array}\right)\left(\begin{array}{cc}z1& x2\mathrm{cosh}\rho \\ x& z1\end{array}\right)\left(\begin{array}{cc}b& 0\\ 0& 1/b\end{array}\right),$$
(11)
with

$$b=\left(\frac{x_21}{x_11}\right)^{1/4}.$$

Then the core matrix becomes

$$\left(\begin{array}{cc}z1& x2\mathrm{cosh}\rho \\ x& z1\end{array}\right),$$
(12)
with

$$z=1+\sqrt{(x_11)(x_21)}.$$
(13)
In terms of the $`\rho `$ and $`x`$ variables, $`z`$ can be written as

$$z=1+\sqrt{x^22x\mathrm{cosh}\rho +1}.$$
(14)
We shall use the core matrix of Eq.(12) as the starting point in this paper. If $`x`$ is smaller than $`2(\mathrm{cosh}\rho )`$, the core matrix can be written as

$$\left(\begin{array}{cc}\mathrm{cos}(\varphi /2)& e^{\eta /2}\mathrm{sin}(\varphi /2)\\ e^{\eta /2}\mathrm{sin}(\varphi /2)& \mathrm{cos}(\varphi /2)\end{array}\right),$$
(15)
where the range of the angle variable $`\varphi `$ is between $`0`$ and $`\pi `$, and $`\eta `$ is positive.

This form of the core matrix serves a very useful purpose in laser optics which consists of chains of the one-lens system . Its connection with the Lorentz group and Wigner rotations has been studied recently by the present authors . Indeed, this is the starting point of this paper, where we intend to establish a connection between the one-lens system and a set of Lorentz transformations.

If $`x=2\mathrm{cosh}\rho `$, the above expression becomes

$$\left(\begin{array}{cc}1& 0\\ 2\mathrm{cosh}\rho & 1\end{array}\right),$$
(16)
and the focal condition of Eq.(5) is satisfied. If $`x`$ is is greater than $`2(\mathrm{cosh}\rho )`$, all the elements in the core matrix of Eq.(12) become positive. Thus, it is appropriate to write it as

$$\left(\begin{array}{cc}\mathrm{cosh}(\chi /2)& e^{\eta /2}\mathrm{sinh}(\chi /2)\\ e^{\eta /2}\mathrm{sinh}(\chi /2)& \mathrm{cosh}(\chi /2)\end{array}\right).$$
(17)
As we shall see in Sec. III, the expressions given in Eq.(15), Eq.(16), and Eq.(17) take the same mathematical forms as those of the representations of the $`O(3),E(2)`$, and $`O(2,1)`$-like little groups. The transition from one to another form is a singular transformation. On the other hand, the core matrix of Eq.(12) is analytic in the $`x`$ and $`\rho `$ variables when both $`x_1`$ and $`x_2`$ are greater than 1. We are thus led to look for another set of Lorentz transformations with analytic parameters. This will enable us to write those transformation parameters in terms of the lens parameters of Eq.(12). In so doing, we can establish a correspondence between lens optics and the transformations of the little groups, and we can achieve transformations from one little group to another by adjusting focal conditions.

## III Little Groups

In his 1939 paper on the Lorentz group , Wigner considered the maximum subgroup of the Lorentz group whose transformations leave the four-momentum of a given free particle invariant. This subgroup is called Wigner’s little group. Wigner observed that there are three classes of the little group. In the Minkowskian space of the space-time coordinate $`(t,z,x,y)`$, the four-vector

$$m(1,0,0,0)$$
(18)
corresponds to the four-momentum of a massive particle at rest. To this four-vector, we can apply three-dimensional rotation matrix, like the rotation matrix around the $`y`$ axis:

$$\left(\begin{array}{cccc}1& 0& 0& 0\\ 0& \mathrm{cos}\varphi & \mathrm{sin}\varphi & 0\\ 0& \mathrm{sin}\varphi & \mathrm{cos}\varphi & 0\\ 0& 0& 0& 1\end{array}\right),$$
(19)
without changing the four-momentum of Eq.(18). In optics, it is more convenient to use the two-by-two representation this matrix . The rotation matrix then becomes

$$\left(\begin{array}{cc}\mathrm{cos}(\varphi /2)& \mathrm{sin}(\varphi /2)\\ \mathrm{sin}(\varphi /2)& \mathrm{cos}(\varphi /2)\end{array}\right).$$
(20)
In order to study the little group for a particle moving along the $`z`$ direction, we can start with a particle with four-momentum

$$m(\mathrm{cosh}\eta ,\mathrm{sinh}\eta ,0,0).$$
(21)
This particle moves in the negative $`z`$ direction with the speed of $`c(\mathrm{tanh}\eta )`$. To this four-vector, if we apply the boost matrix

$$\left(\begin{array}{cccc}\mathrm{cosh}\eta & \mathrm{sinh}\eta & 0& 0\\ \mathrm{sinh}\eta & \mathrm{cosh}\eta & 0& 0\\ 0& 0& 1& 0\\ 0& 0& 0& 1\end{array}\right),$$
(22)
the four-vector returns to the form given in Eq.(18). Here again, it is more convenient to use the two-by-two representation of this boost matrix which takes the form

$$\left(\begin{array}{cc}e^{\eta /2}& 0\\ 0& e^{\eta /2}\end{array}\right).$$
(23)
Thus, in order to construct a representation of the little group for the four-momentum of Eq.(21), we boost it to that of Eq.(18) using the boost matrix of Eq.(22) or (23), perform the rotation of Eq.(19) or (20) which does not change the momentum, and then boost the momentum back to the original form of Eq.(21). In the two-by-two representation, this chain of matrices take the form

$$\left(\begin{array}{cc}e^{\eta /2}& 0\\ 0& e^{\eta /2}\end{array}\right)\left(\begin{array}{cc}\mathrm{cos}(\varphi /2)& \mathrm{sin}(\varphi /2)\\ \mathrm{sin}(\varphi /2)& \mathrm{cos}(\varphi /2)\end{array}\right)\left(\begin{array}{cc}e^{\eta /2}& 0\\ 0& e^{\eta /2}\end{array}\right).$$
(24)
After the multiplication, the result becomes

$$\left(\begin{array}{cc}\mathrm{cos}(\varphi /2)& e^\eta \mathrm{sin}(\varphi /2)\\ e^\eta \mathrm{sin}(\varphi /2)& \mathrm{cos}(\varphi /2)\end{array}\right).$$
(25)
The mathematical form of this matrix is identical to that of Eq.(15).

This is the reason why the little groups can play a role in lens optics and vice versa. The group represented in this way is called the $`O(3)`$-like little group for a massive particle . As was mentioned in Sec. II, this expression is also one of the starting formulas in laser optics .

What happens if the four-momentum is light-like? The four-momentum in this case is

$$\omega (1,1,0,0).$$
(26)
The light-like particles cannot be brought to its rest frame, and thus cannot be brought to the form of Eq.(18). It is clear that this four-vector is invariant under rotations around the $`z`$ axis. In addition, Wigner observed in his original paper that there are two additional transformations which leave this light-like four-momentum invariant. These matrices are extensively discussed in the literature, and the result is that they correspond to the form

$$\left(\begin{array}{cc}1& 0\\ u& 1\end{array}\right),$$
(27)
where $`u`$ is a complex parameter with two real independent parameters. Since, we will be dealing with real matrices in this paper, $`u`$ represents only one real number. It is interesting to note that this form is identical to that of Eq.(16). This aspect of the little group also has been discussed in the literature .

The theory of the little group includes also the form

$$\left(\begin{array}{cc}1& u\\ 0& 1\end{array}\right),$$
(28)
but it does not play a role in this paper. This form may be useful if we consider the case when the lower left element of the core matrix of Eq(12) vanishes. The group represented either in the form of Eq.(27) or Eq.(28) is called the $`E(2)`$-like little group for massless particles.

The little-group matrix of Eq.(27) is invariant under the Lorentz boost along the $`z`$ direction, as can be seen from

$$\left(\begin{array}{cc}e^{\eta /2}& 0\\ 0& e^{\eta /2}\end{array}\right)\left(\begin{array}{cc}1& 0\\ u& 1\end{array}\right)\left(\begin{array}{cc}e^{\eta /2}& 0\\ 0& e^{\eta /2}\end{array}\right)=\left(\begin{array}{cc}1& 0\\ u& 1\end{array}\right).$$
(29)
There are no particles in nature with space-like four-momentum, whose four-vector may be written as

$$m(0,1,0,0),$$
(30)
but it occupies an important position in group theory . It will become more important as it finds its place in optical sciences. This four-vector is also invariant under rotations around the $`z`$ axis. In addition, it remains invariant under boosts along the $`x`$ and $`y`$ directions. The boost matrix along the $`x`$ direction takes the form

$$\left(\begin{array}{cc}\mathrm{cosh}(\chi /2)& \mathrm{sinh}(\chi /2)\\ \mathrm{sinh}(\chi /2)& \mathrm{cosh}(\chi /2)\end{array}\right).$$
(31)
If we apply the same Lorentz boosts as we did in two previous little groups, the little group matrix should become

$$\left(\begin{array}{cc}\mathrm{cosh}(\chi /2)& e^\eta \mathrm{sinh}(\chi /2)\\ e^\eta \mathrm{sinh}(\chi /2)& \mathrm{cosh}(\chi /2)\end{array}\right).$$
(32)
This form is identical to Eq.(17).

We have thus far shown that the transformation matrices of the little groups and the one-lens system take the same form. However, there is one crucial problem. In the case of the core matrix of Eq(10), the sign change of the upper-right element can be done analytically, but this is not true for the little group representation. The transition to Eq.(27) either from Eq.(25) and from Eq.(32) is possible and is known as the group contraction in the literature. However, in both cases, the two independent parameters collapse into one independent parameter. Thus, the inverse transformation is not possible. This keeps us from continuing analytically from Eq.(25) to Eq.(31). What should we do?

## IV Contractions of the Little Groups

In order to circumvent the singularity problem mentioned in the preceding section, we are interested in finding a set of Lorentz transformations which will remain analytic as we go through the transition point where the upper-right element vanishes. Let us restate the problem.

If $`x`$ is smaller than $`2\mathrm{cosh}\rho `$, the upper-right element of the core matrix of Eq.(12) is negative while the remaining three are positive, and it can be written in the form of Eq.(15). If it is greater than $`2\mathrm{cosh}\rho `$, all the elements are positive, and the core matrix should be written as Eq.(17). There is a value zero between these two values, which corresponds to the focal condition. This is precisely the point where the expressions Eq.(15) and Eq.(17) become singular. The purpose of this section is to establish the connection between the little groups and the one-lens system without this singularity. In the computer language, this singularity means a memory loss.

We are thus interested in a different set of Lorentz transformations for the little groups. We note here again that the little group consists of transformations which leave the four momentum of a given particle invariant . In order to find the set of transformations which will bring back the four-momentum of Eq.(21) to itself , let us first rotate the four-momentum by $`\theta `$, using the rotation matrix

$$\left(\begin{array}{cc}\mathrm{cos}(\theta /2)& \mathrm{sin}(\theta /2)\\ \mathrm{sin}(\theta /2)& \mathrm{cos}(\theta /2)\end{array}\right)$$
(33)
to Eq.(21). Then the four-momentum becomes

$$m(\mathrm{cosh}\eta ,(\mathrm{sinh}\eta )\mathrm{cos}\theta ,(\mathrm{sinh}\eta )\mathrm{cos}\theta ,0).$$
(34)
This four-momentum can be boosted along the $`x`$ direction, which then becomes

$$m(\mathrm{cosh}\eta ,(\mathrm{sinh}\eta )\mathrm{cos}\theta ,(\mathrm{sinh}\eta )\mathrm{cos}\theta ,0),$$
(35)
with the boost matrix

$$\left(\begin{array}{cc}\mathrm{cosh}\lambda & \mathrm{sinh}\lambda \\ \mathrm{sinh}\lambda & \mathrm{cosh}\lambda \end{array}\right).$$
(36)
We can return to the four-momentum of Eq.(21), by applying again the rotation matrix of Eq.(33). The net effect is

$$\left(\begin{array}{cc}\mathrm{cos}(\theta /2)& \mathrm{sin}(\theta /2)\\ \mathrm{sin}(\theta /2)& \mathrm{cos}(\theta /2)\end{array}\right)\left(\begin{array}{cc}\mathrm{cosh}\lambda & \mathrm{sinh}\lambda \\ \mathrm{sinh}\lambda & \mathrm{cosh}\lambda \end{array}\right)\left(\begin{array}{cc}\mathrm{cos}(\theta /2)& \mathrm{sin}(\theta /2)\\ \mathrm{sin}(\theta /2)& \mathrm{cos}(\theta /2)\end{array}\right),$$
(37)
which becomes

$$\left(\begin{array}{cc}\mathrm{cosh}\lambda \mathrm{cos}\theta & \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda \\ \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda & \mathrm{cosh}\lambda \mathrm{cos}\theta \end{array}\right).$$
(38)
Indeed, these two different ways of returning to the same four-momentum should give the same effect. Thus, the effect of Eq.(25) and and that of Eq.(38) are the same, and

$$\left(\begin{array}{cc}\mathrm{cos}(\varphi /2)& e^\eta \mathrm{sin}(\varphi /2)\\ e^\eta \mathrm{sin}(\varphi /2)& \mathrm{cos}(\varphi /2)\end{array}\right)=\left(\begin{array}{cc}\mathrm{cosh}\lambda \mathrm{cos}\theta & \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda \\ \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda & \mathrm{cosh}\lambda \mathrm{cos}\theta \end{array}\right),$$
(39)
with

$`\mathrm{cos}(\varphi /2)=\mathrm{cosh}\lambda \mathrm{cos}\theta ,`$ (40)
$`e^{2\eta }={\displaystyle \frac{\mathrm{cosh}\lambda \mathrm{sin}\theta \mathrm{sinh}\lambda }{\mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda }}.`$ (41)
Conversely, $`\lambda `$ and $`\theta `$ can be written in terms of $`\varphi `$ and $`\eta `$ as

$`\mathrm{cosh}\lambda =(\mathrm{cosh}\eta )\sqrt{1\mathrm{cos}^2(\varphi /2)\mathrm{tanh}^2\eta },`$ (42)
$`\mathrm{cos}\theta ={\displaystyle \frac{\mathrm{cos}(\varphi /2)}{(\mathrm{cosh}\eta )\sqrt{1\mathrm{cos}^2(\varphi /2)\mathrm{tanh}^2\eta }}}.`$ (43)
This leads to

$$\mathrm{cosh}\lambda =\frac{\mathrm{cosh}\eta }{\sqrt{1+(\mathrm{sinh}^2\eta )\mathrm{cos}^2\theta }},$$
(44)
which means that the boost parameter $`\lambda `$ is determined from the rotation angle $`\theta `$ for a given value of the boost parameter $`\eta `$.

The above relations are valid only when $`(\mathrm{cosh}\lambda \mathrm{sin}\theta )`$ is greater than $`\mathrm{sinh}\lambda `$. Otherwise, instead of Eq.(24), we have to start from

$$\left(\begin{array}{cc}e^{\eta /2}& 0\\ 0& e^{\eta /2}\end{array}\right)\left(\begin{array}{cc}\mathrm{cosh}(\chi /2)& \mathrm{sinh}(\chi /2)\\ \mathrm{sinh}(\chi /2)& \mathrm{cosh}(\chi /2)\end{array}\right)\left(\begin{array}{cc}e^{\eta /2}& 0\\ 0& e^{\eta /2}\end{array}\right),$$
(45)
which leads to

$$\left(\begin{array}{cc}\mathrm{cosh}(\chi /2)& e^\eta \mathrm{sinh}(\chi /2)\\ e^\eta \mathrm{sinh}(\chi /2)& \mathrm{cosh}(\chi /2)\end{array}\right).$$
(46)
This form is identical to Eq.(17), and should also be equal to Eq.(38). We write this as

$$\left(\begin{array}{cc}\mathrm{cosh}(\chi /2)& e^\eta \mathrm{sinh}(\chi /2)\\ e^\eta \mathrm{sinh}(\chi /2)& \mathrm{cosh}(\chi /2)\end{array}\right)=\left(\begin{array}{cc}\mathrm{cosh}\lambda \mathrm{cos}\theta & \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda \\ \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda & \mathrm{cosh}\lambda \mathrm{cos}\theta \end{array}\right),$$
(47)
which leads to the identities

$`\mathrm{cosh}(\chi /2)=\mathrm{cosh}\lambda \mathrm{cos}\theta ,`$ (48)
$`e^{2\eta }=\left({\displaystyle \frac{\mathrm{cosh}\lambda \mathrm{sin}\theta \mathrm{sinh}\lambda }{\mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda }}\right).`$ (49)
Conversely,

$`\mathrm{cosh}\lambda =(\mathrm{cosh}\eta )\sqrt{\mathrm{cosh}^2(\chi /2)\mathrm{tanh}^2\eta },`$ (50)
$`\mathrm{cos}\theta ={\displaystyle \frac{\mathrm{cosh}(\chi /2)}{(\mathrm{cosh}\eta )\sqrt{\mathrm{cosh}^2(\chi /2)\mathrm{tanh}^2\eta }}}.`$ (51)
In this case, the boost parameter $`\lambda `$ takes the form

$$\mathrm{cosh}\lambda =\frac{\mathrm{sinh}\eta }{\sqrt{\mathrm{cosh}^2\eta \mathrm{cos}^2\theta 1}}.$$
(52)
Here, the boost parameter $`\lambda `$ is determined by the little group parameter $`\theta `$ for a given value of $`\eta `$.

While the quantity

$$\frac{\mathrm{cosh}\lambda \mathrm{sin}\theta \mathrm{sinh}\lambda }{\mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda }$$
(53)
changes the sign from $`(plus)`$ to $`(minus)`$, it has to go through zero. With the parameters $`\lambda `$ and $`\theta `$, this process is quite analytic. On the other hand, the exponential factor $`\mathrm{exp}(2\eta )`$ is always positive. Thus, changing $`\mathrm{exp}(2\eta )`$ to $`\mathrm{exp}(2\eta )`$ cannot be achieved analytically. This is necessarily a singular transformation. However, this exponential factor becomes vanishingly small when $`\eta `$ becomes very large. Perhaps we are allowed to change the sign when it is vanishingly small, but this is still a non-analytic continuation. Furthermore, let us look at the expressions given in Eq.(25) and Eq.(46). This sign change is accompanied by the transition of a rotation matrix of the form of Eq.(20) to a boost matrix of the form given in Eq.(31).

Indeed, by changing the parameters from $`\varphi `$ and $`\eta `$ to $`\theta `$ and $`\lambda `$, we can analytically navigate through the vanishing value of the upper-right element of matrices of Eq.(39). The process of approaching this zero value either from the positive or negative side is called the group contraction in the literature. In this paper, however, we are eventually interested in how these parameters operate in lens optics. We shall come back to this issue in Sec. V.

## V Lens Optics and Group Contractions

In Sec. II, we started with a camera-like one-lens system, and derived

$$\left(\begin{array}{cc}z1& x2\mathrm{cosh}\rho \\ x& z1\end{array}\right)=\left(\begin{array}{cc}\mathrm{cos}(\varphi /2)& e^\eta \mathrm{sin}(\varphi /2)\\ e^\eta \mathrm{sin}(\varphi /2)& \mathrm{cos}(\varphi /2)\end{array}\right),$$
(54)
for $`x`$ smaller than $`2(\mathrm{cosh}\rho )`$, and $`x`$ is positive. Here all the parameters are determined from $`d_1,d_2`$, and $`f`$ of the lens optics. If we gradually increase the value of $`x`$, the upper-right element becomes zero and then positive. The right-hand side of the above expression cannot accommodate this transition.

The right-hand side is a familiar expression both in optics and the Lorentz group. In Sec. III, we started with Wigner’s little groups, and noted that the expressions given in Eq.(15) and Eq.(25) are identical to each other. The parameters in Eq.(25) are the Lorentz-transformation parameters for Wigner’s $`O(3)`$-like little group for massive particles.

In order to circumvent the above-mentioned singularity problem, we have chosen a different set of Lorentz-transformation parameters, and the result was the expression given in Eq.(39). In terms of these parameters, the core matrix can be written as

$$\left(\begin{array}{cc}z1& x2\mathrm{cosh}\rho \\ x& z1\end{array}\right)=\left(\begin{array}{cc}\mathrm{cosh}\lambda \mathrm{cos}\theta & \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda \\ \mathrm{cosh}\lambda \mathrm{sin}\theta +\mathrm{sinh}\lambda & \mathrm{cosh}\lambda \mathrm{cos}\theta \end{array}\right).$$
(55)
Here, both sides have the upper-right their upper-right elements which are analytic as they go through zero.

The parameters are now related by

$`x2\mathrm{cosh}\rho =\mathrm{sinh}\lambda \mathrm{cosh}\lambda \mathrm{sin}\theta ,`$ (56)
$`x=\mathrm{sinh}\lambda +\mathrm{cosh}\lambda \mathrm{sin}\theta ,`$ (57)
and therefore to

$`\mathrm{sinh}\lambda =x\mathrm{cosh}\rho ,`$ (58)
$`\mathrm{sin}\theta ={\displaystyle \frac{\mathrm{cosh}\rho }{\sqrt{1+(x\mathrm{cosh}\rho )^2}}}.`$ (59)
We are thus able to write the Lorentz-transformation parameters $`\lambda `$ and $`\theta `$ in terms of the parameters of the one-lens system.

Thus, by adjusting the lens parameters, we can now perform transformations in Wigner’s little groups. It is interesting to note that we perform group contractions whenever we try to focus the object before taking a camera photo. Unlike the traditional procedures, the contraction presented this paper is an analytic transformation, which provides a reversible process from Eq.(15) to Eq.(17) through Eq.(16). What significance does this have? We shall return to this question in Sec. VII.

## VI Cavity Optics

In our previous paper , we studied light beams in laser cavities. One cavity cycle there consists of two lenses with the same image and object distances. We are thus led to consider the one-lens system with $`d_1=d_2=d`$, and thus

$$x_1=x_2=x.$$
(60)
The core matrix of Eq.(12) becomes

$`x2=\mathrm{sinh}\lambda \mathrm{cosh}\lambda \mathrm{sin}\theta ,`$ (61)
$`x=\mathrm{sinh}\lambda +\mathrm{cosh}\lambda \mathrm{sin}\theta .`$ (62)
Therefore, $`\mathrm{cosh}\lambda \mathrm{sin}\theta =1`$, or

$$\mathrm{sin}\theta =\frac{1}{\mathrm{cosh}\lambda },$$
(63)
which is satisfied by the physical values of $`\theta `$ and $`\lambda `$. Furthermore, this relation reduces Eq.(55) to

$$\left(\begin{array}{cc}x1& x2\\ x& x1\end{array}\right)=\left(\begin{array}{cc}\mathrm{sinh}\lambda & 1+\mathrm{sinh}\lambda \\ 1+\mathrm{sinh}\lambda & \mathrm{sinh}\lambda \end{array}\right).$$
(64)
From this expression, we can compute both $`\lambda `$ and $`\theta `$ in terms of the $`x`$ variable, as they can be written as

$$\mathrm{sinh}\lambda =x1,\mathrm{sin}\theta =\frac{1}{\sqrt{1+(1+x)^2}}.$$
(65)
Indeed, this is an oversimplified example, but it is interesting to note that it contains all the ingredients of the group contractions discussed in this paper.

## VII Lorentz Group and Optical Computing

Each individual is equipped with a natural computer. He/she has ten fingers. With them, we can do additions and subtractions of numbers smaller than ten. This is how our decimal system was developed. Then Chinese came up with the abacus which is an extension of the ten-finger computer. About 150 years ago, French artillery men invented the slide rule which converts multiplication into addition. In the 1940s, von Neumann observed that vacuum tubes can perform the yes-or-no logic, and started building electronic computers.

In building computers, it is not enough to develop computer mathematics. In the final stage, we have to adjust those mathematical tools to the language spoken by devices. As we noted in Sec. I, the Lorentz group is the standard language for classical and quantum optics. The Lorentz group is also the natural language for light beams and for the materials through which the beams propagate. Thus, if we intend to build optical computers, we have to translate all mathematical algorithms into the language of the Lorentz group. In fact, it has been shown that some optical systems have a slide-rule-like property .

In this paper, we noted first that a camera-like single-lens system can perform the algebra of Wigner’s little groups and their contractions. While discussing group contractions, we observed the difference between the rotation matrix

$$\left(\begin{array}{cc}\mathrm{cos}(\varphi /2)& \mathrm{sin}(\varphi /2)\\ \mathrm{sin}(\varphi /2)& \mathrm{cos}(\varphi /2)\end{array}\right)$$
(66)
of Eq.(20), and the boost matrix

$$\left(\begin{array}{cc}\mathrm{cosh}(\lambda /2)& \mathrm{sinh}(\lambda /2)\\ \mathrm{sinh}(\lambda /2)& \mathrm{cosh}(\lambda /2)\end{array}\right)$$
(67)
of Eq.(31). These matrices operate in two different spaces, namely the rotation matrix on a circle and the boost matrix on a hyperbola. Since we now have a procedure which makes an analytic continuation from one to the other, we can perform computations in the hyperbolic world and carry it to the circular world.

Indeed, the circle versus hyperbola is a very old problem known as the conic sections. It is a geometrical as well as a topological problem, but these issues are beyond the scope of this paper. It is interesting to see that the single-lens system can tell us a story about this fundamental problem.


text:
# The shroud around the “compact, symmetric”radio jets in NGC 1052

## 1 Introduction

The nearby111We adopt $`\mathrm{H}_0`$=65 km s-1 Mpc-1, with no corrections for local deviations from the Hubble flow, so that the optical stellar absorption line heliocentric redshift, $`cz=1474`$ km s-1 (Sargent et al. 1977), corresponds to a distance of 22 Mpc and implies that 1 mas $``$ 0.1 pc LINER (e.g., Gabel et al. 2000) elliptical galaxy NGC 1052 has an unusually prominent central radio source (1 to 2 Jy). It is variable on timescales of months to years (e.g. Heeschen & Puschell 1983) and has a fairly flat spectrum between 1 and 30 GHz, which has sometimes been classified as Gigahertz peaked (e.g., de Vries et al. 1997). The overall radio structure is core-dominated, and has two lobes spanning only about 3 kpc (Wrobel 1984), so that NGC 1052 meets the traditional size limit for CSSs, but not for CSOs. With VLBI, detailed sub-parsec scale scrutiny of the active nucleus and its inner environment are possible.

A more extensive analysis of the data presented below is in Vermeulen et al. (2002).

## 2 Kinematics

Ten epochs of 15 GHz VLBA data (Fig. 1) show a two-sided source, with oppositely directed, slightly curved jets and a prominent gap 0.1 to 0.2 pc west of the brightest feature in most images. At our high linear resolution, NGC 1052 shows complex evolution, which we have quantified using a consistent set of moving components, rank-numbered “E”ast and “W”est by decreasing distance to the centre (Fig. 1). While not every one of these should be interpreted as a true physical entity (a plasmon or a “cannon-ball”), we are confident that the set as a whole gives an appropriate representation of the motions in the jets. There is a plausible relative alignment of the epochs, in which the motions of most of the components, on both sides of the centre, are consistent with being ballistic: linear on the sky and constant over time. Features on the two sides move in opposite directions with roughly equal apparent velocities of $`0.26\pm 0.04c`$. Using these error margins, the jets are oriented at most 33 from the plane of the sky.

## 3 Ionised gas

The left panel in Fig. 2 shows data at 43, 22, 15, 8, 5, 1.6, and 1.4 GHz from VLBA observations within a few days of each other in July 1997. There is a wide range of spectral shapes, which proceed from steep, through convex, to highly inverted, from the outer jets towards the middle, and produce a distinctive central hole in the VLBA images. On both sides of the gap there are components with a low-frequency brightness temperature well below 1010 K, and a low-frequency spectral cutoff steeper than $`\alpha =3`$ if expressed as a power law. As first reported in Kellermann et al. (1999), we find that the only plausible explanation is free-free absorption from ionised gas; a conclusion also reached with other data by Kameno et al. (2001) and Kadler et al. (2001a). At about 0.5 pc along the eastern jet, and 1 to 2 pc along the western jet, the signature of free-free absorption becomes hard to distinguish from synchrotron-self-absorbed spectral shapes. If conditions are such that similar peak frequencies result, the two absorption mechanisms are difficult to disentangle, but it is likely that both play a role.

The absorption is more pronounced along the western jet than at corresponding locations along the eastern jet. This suggests a geometrically thick disk- or torus-like absorbing region, more or less perpendicular to the jets, which are oriented close to the plane of the sky, with the eastern jet approaching and the western jet receding. Variations on this scenario with a thinner disk or torus, either not oriented orthogonal to the jets, or warped, are possible. Furthermore, the range of spectral shapes and the flux density variations of components tracked over time at 15 GHz (Fig. 2, right panel), suggest that the absorbing region has a fairly well-defined overall geometry but substantial patchiness in detail. It is then not very meaningful to use a single epoch for detailed modeling. The deepest absorption seen, $`\tau 1`$ at 43 GHz over the central region, implies a volume density of $`n_\mathrm{e}10^5`$ cm-3 if the free-free absorbing gas were distributed uniformly along a path-length of 0.5 pc with a temperature $`T=10^4`$ K.

## 4 Atomic gas

Figure 3 depicts Hi VLBI spectra from July 1998 at all locations where the signal-to-noise ratio allowed detection of absorption at the level of a few percent. We think there are three different absorption systems, at least two of which are probably due to atomic gas on parsec or sub-parsec scales, local to the AGN environment.

The most remarkable system is at “high velocity”, redshifted by 125 to 200 km s-1 with respect to the stellar systemic velocity. It gives rise to 5 to 20 % absorption at 1 to 2 pc along both the western, receding jet, and the eastern, approaching jet, with a possible west-to-east velocity gradient of some 10 km s-1 pc-1. But the high velocity system is absent closer to the core, at least on the eastern side, where it could easily have been detected. The combination of free-free absorption covering the inner parsec, and atomic gas in an annulus at 1 to 2 pc, is quite natural: the innermost region and/or the surface of an accretion disk or torus receive the most intense ionising radiation. Weaver et al. (1999), Guainazzi & Antonelli (1999), Guainazzi et al. (2000), and Kadler et al. (2002b) discuss soft X-ray absorbing gas towards the nuclear continuum source, with large column depths ($`N_\mathrm{H}=10^{23}`$ to 1024 cm-2), and possibly a patchy distribution, or involving two components with a substantially different density, which matches the evidence we see for patchiness in the radio spectra and flux density evolution of jet components. An Hi optical depth of 20% with a FWHM of 20 km s-1 implies a column depth of $`N_\mathrm{H}=10^{21}T_{\mathrm{sp},100}`$ cm-2, but close to an AGN the spin temperature $`T_{\mathrm{sp}}`$ may well be one or two orders of magnitude above 100 K (e.g., Maloney et al. 1996).

## 5 Molecular gas

Figure 3 shows WSRT spectra of the 18 cm OH lines. We find that 1667 and 1665 MHz absorption, recently detected by Omar et al. (2002), extends over at least as wide a velocity range as Hi. The peak 1667 MHz depth, 0.4 % in the high velocity system, suggests a column depth of order $`10^{14}`$ cm-2. The 1667/1665 ratio ranges from near 1 at low velocities to approximately 2 in the high velocity system. We have discoverd that the satellite lines are also present: 1612 MHz in absorption and 1720 MHz in emission. Their conjugate profiles probably result from excitation in a far infra-red radiation field when the OH column density is sufficiently large; competing pumping mechanisms determine which line is in emission and which one in absorption in specific density and temperature regimes, as modeled for Cen A by van Langevelde et al. (1995).

The OH main lines and the total Hi profile are remarkably similar in the high velocity system, and we suggest co-location of these high velocity atomic and molecular gas components. They probably do not coincide with the H2O masers at 0.1 to 0.2 pc along the receding jet (Claussen et al. 1998), even though these are at the same velocity. Other questions also remain regarding the nature of the high velocity system. Interpretation of the velocity gradient in Hi as evidence for a structure rotating around the nucleus is contradicted by the fact that the centroid is redshifted by 150 km s-1 or more from the systemic velocity. But if it is instead infalling gas, the nature of the central hole in Hi is unclear.

## References

Claussen, M.J., Diamond, P.J., Braatz, J.A., Wilson, A.S., Henkel, C. 1998, ApJ , 500, L129

de Vries, W. H., Barthel, P. D., O’Dea, C. P. 1997, A&A, 321, 105

Guainazzi, M., Antonelli, L. A. 1999, MNRAS , 304 L15

Guainazzi, M., Oosterbroek, T., Antonelli, L. A., Matt, G. 2000, A&A, 364, L80

Gabel, J. R., Bruhweiler, D. M., Crenshaw, D. M., Kraemer, S. B., Miskey, C. L. 2000, ApJ , 532, 883

Heeschen, D. S., Puschell, J. J. 1983, ApJ , 267, L11

Kadler, M., Ros, E., Kerp, J., et al. 2002a, in Proc. 6th Eur. VLBI Network Symp., ed. E. Ros et al. (MPIfR, Bonn, Germany), 167

Kadler, M., Ros, E., Zensus, J.A., Lobanov, A.P., Falcke, H. 2002b, in SRT: the impact of large antennas on Radio Astronomy and Space Science, SRT Conference Proceedings, (Cagliari, Italy) Vol. 1, in press

Kameno, S., Sawada-Satoh, S. Inoue, M., Shen, Z.-Q., Wajima, K. 2001, PASJ, 53, 169

Kellermann, K.I., Vermeulen, R.C., Cohen, M.H., Zensus, J.A. 1999, BAAS , 31, 856

Maloney, P. R., Hollenbach, D. J., Tielens A. G. G. M. 1996, ApJ , 466, 561

Omar, A., Anantharamiah, K. R., Rupen, M., Rigby, J. 2002, A&A, 381, L29

Sargent, W.L.W., Schechter, P.L., Boksenberg, A., Shortridge, K. 1977, ApJ , 212, 326

van Langevelde H.J., van Dishoeck E.F., Sevenster M., Israel, F.P. 1995, ApJ , 448 L123

Vermeulen, R. C., Ros, E., Kellermann, K. I., Cohen, M. H., Zensus, J. A., van Langevelde, H.J. 2002, A&A, submitted

Weaver, K. A., Wilson, A. S., Henkel, C., Braatz, J. A. 1999, ApJ , 520, 130

Wrobel, J. 1984, ApJ , 284, 531


text:
# Untitled Document

Spiral-like light profiles but elliptical-like kinematics in mergers of galaxies

Chanda J. Jog and Aparna Chitre

Department of Physics, Indian Institute of Science, Bangalore 560012, India

e-mail: cjjog@physics.iisc.ernet.in,aparna@physics.iisc.ernet.in

To Appear in A & A Letters, 393, Oct. 2002

Abstract

It is commonly accepted that a merger of two spiral galaxies results in a remnant with an elliptical-like surface-brightness profile. Surprisingly, our recent study (Chitre & Jog 2002) of the 2MASS data for twenty-seven advanced mergers of galaxies has shown that half of these have a light distribution that decreases exponentially with radius. Such a distribution normally characterizes a rotationally supported disk in a spiral galaxy. Here we show from kinematic data for two of these mergers, Arp 224 and Arp 214, that the main support against gravitational collapse comes from pressure due to random motion of stars as seen in an elliptical galaxy rather than from rotation. The origin of the unusual combination of properties seen here is a puzzle. The standard theoretical N-body models in the literature cannot account for these systems. Further observational and dynamical studies of this new class of merger remnants are needed, and would be important for understanding merger dynamics and galaxy evolution.

Key words. galaxies: elliptical - galaxies: evolution - galaxies: interactions - galaxies: kinematics and dynamics - galaxies: spiral - galaxies: structure

Running Title: Spiral-like light profiles but elliptical-like kinematics in mergers

1. Introduction

It is well-established observationally that a merger of two gas-rich spirals can result in an $`r^{1/4}`$ de Vaucouleurs radial profile typical of ellipticals (Schweizer 1982, Wright et al. 1990, Stanford & Bushouse 1991). Our recent study (Chitre & Jog 2002) has shown the existence of robust, exponential profiles in surface brightness in thirteen advanced mergers of spiral galaxies, similar to the radial profiles seen in isolated spiral galaxies (Freeman 1970). This result is unexpected and is in contrast to the result from the earlier studies of mergers (Wright et al. 1990, Scoville et al. 2000, Genzel et al. 2001). We note that these earlier studies had mainly concentrated on infrared-bright galaxies whereas our sample was selected purely based on a disturbed appearance without any bias towards IR luminosity. The existence of exponential profiles, that too in a large fraction of the sample, is a puzzle and needs further dynamical study.

To get a coherent picture of the mergers with exponential profiles, in this Letter, we study the complementary information from kinematics available for two of these galaxies, namely Arp 224 (NGC 3921) and Arp 214 (NGC 3718). We also obtain additional photometric properties of the thirteen galaxies with exponential profiles by analyzing the $`K_\mathrm{s}`$ band images from the Two Micron All Sky Survey (2MASS). The most significant result from this paper is that these merger remnants appear to be largely pressure-supported as seen in an elliptical galaxy and yet show an exponential mass profile as seen in a spiral galaxy.

Section 2 gives the kinematic data for the above two galaxies and the results deduced, and also the photometric properties of the entire sample. Section 3 gives the dynamical implications and puzzles from these results, and Sect. 4 contains a summary and discussion.

2. Results on Photometric and Kinematic Properties

The kinematical data on rotation and random motion for Arp 224 and Arp 214 are taken from the HYPERCAT archival database (Simien & Prugniel 1997, Heraudeau & Simien 1998). These observations involve absorption spectroscopic measurements and a Fourier-fitting analysis and give the rotation velocity projected along the major axis and the velocity dispersion around it with an accuracy of dispersion of $`<`$ 30 km s-1.

Figures 1 and 2 show the variation in the surface brightness ($`\mu _\mathrm{K}`$), the circular rotation velocity ($`V_\mathrm{c}`$), and the velocity dispersion ($`\sigma `$), with radius for Arp 224 and Arp 214 respectively. The surface brightness profile was derived from the 2MASS data (Figs. 1a and 2a) and it shows a robust exponential fit (see Chitre & Jog 2002 for details). On doing a similar fitting for the J and the H band data from 2MASS, we get disk scalelengths that are comparable within the error bars (of $``$ 10 %), with no clear dependence on wavelength. Thus, the luminosity profile is not affected significantly by the dust extinction within the two galaxies.

The most striking result from Figs. 1c and 2c is that the velocity dispersion values are large $``$ 100 km s-1 within a few kpc of the galaxy centre. Thus, these merger remnants are largely pressure-dominated as seen in an elliptical galaxy and yet surprisingly show an exponential mass profile as seen in an isolated spiral galaxy. Given the high velocity dispersion values, the mass distribution is probably not confined to a thin disk.

There are, however, subtle differences between the kinematics of these two galaxies and a typical elliptical galaxy. First, in the two galaxies studied here, the values of both the rotation velocity and the velocity dispersion are high, but the dispersion is generally larger ($`V_\mathrm{c}\sigma `$) - compare Figs. 1b and 1c, and Figs. 2b and 2c. Thus, the support against gravitational collapse due to both pressure and rotation is important though the pressure-support dominates over a large radial range. In a typical bright giant elliptical, on the other hand, the values of rotation velocity seen are much smaller $``$ few $`\times `$ 10 km s-1 (Binney & Merrifield 1998), thus the support due to rotation is negligible. The kinematics of the two galaxies studied here is also in a stark contrast to a typical spiral disk which is supported by rotation.

Second, the velocity dispersion increases monotonically with radius in the outer parts in both Arp 224 and Arp 214, unlike in a typical elliptical galaxy (Binney & Merrifield 1998). This is probably a sign of its tidal origin and it also points to the existence of an outer, perhaps unrelaxed component which shows the exponential mass profile. We obtained the ellipticity of the isophotal contours from the $`K_\mathrm{s}`$ band images for these galaxies. Interestingly, we find that in both cases, the ellipticity shows a sharp discontinuity at the region where the velocity dispersion begins to rise again, at $`10^{\prime \prime }`$ (on the positive side of the major axis) for Arp 224 and at $`20^{\prime \prime }`$ (on both the sides) for Arp 214. This is also the region beyond which the exponential disk gives a good fit (see Figs. 1a and 2a). The ellipticity drops from a maximum of 0.18 at $`14^{\prime \prime }`$ to 0.07 at $`17^{\prime \prime }`$ in Arp 224, while it drops from a maximum of 0.14 at $`19^{\prime \prime }`$ to 0.05 at $`21^{\prime \prime }`$ in Arp 214. This gives an independent confirmation of a separate structural component (a disk) in the outer parts of the galaxy, outside of the central bulge. Note that this is approximately the radius at which the rotation curve shows a maximum. The coincidence of the rise in the velocity dispersion and the fall in the rotation curve in both these cases can be understood physically as arising due to the phenomenon of asymmetric drift (Binney & Tremaine 1987). This aspect will be studied in a future paper.

We note that in detail the kinematics show a complex behaviour. For example, the rotation curve is asymmetric on the two sides of the major axis for Arp 224 (Fig. 1b). This is probably due to the strong disturbance that the galaxy has undergone, and is not surprising. Note that even normal galaxies show a significant rotational asymmetry of a lopsided nature, representing the effects of a past tidal encounter (Jog 2002).

In Arp 214, the HI gas shows disturbed kinematics believed to be due to a projection of the outer warped and twisted disk onto the inner regions (Schwarz 1985). This model can be ruled out for the stellar kinematics since the latter spatially cover a central region even smaller than the beam-size of the HI study. Also, the gas and stars are often decoupled in mergers (Genzel et al. 2001), mainly because of the dissipational nature of gas. In Arp 224, any incoming tails (Hibbard & Mihos 1995), if aligned along the line-of-sight, could give rise to a spurious dispersion but it would need a contrived geometry for this scenario to explain the details of the dispersion profile observed. Thus, both these alternatives for the origin of the high velocity dispersion ($`\sigma `$) observed can be ruled out.

Further, the symmetric central profile of $`\sigma `$ (as in an elliptical), the increase in $`\sigma `$ with radius in the outer parts where the exponential disk fits well, and the correlation between the falling rotation curve and the increasing $`\sigma `$, convincingly show that the values of $`\sigma `$ observed in Figs. 1c and 2c represent true stellar random motion, and are an intrinsic property of the galaxy. Thus, our interpretation of these systems as being mainly pressure-supported is well-justified.

So far for simplicity we have portrayed spiral and elliptical galaxies as being supported respectively by rotation and random motion alone. In reality both types can sometimes show a range of dynamical and photometric properties. For example, the low-luminosity ellipticals are often disky (Faber et al. 1997), and show a significant rotational support with $`V_\mathrm{c}/\sigma `$ between 0.5-1.0 (Bender et al. 1992), and can show exponential luminosity profiles (Caon et al. 1993). On the other hand, bulges in isolated spiral galaxies are dynamically hot (Binney & Merrifield 1998), and sometimes show a comparable support from both rotation and random motion (Bender et al. 1992). This behaviour is not understood, and the present study on mergers may help shed some light on this.

In order to better understand the mass distribution and evolution of the thirteen mergers showing exponential profiles (Chitre & Jog 2002), we compare their photometric properties with those of typical isolated spirals. We find that the distribution of the $`K_\mathrm{s}`$ band disk scalelengths of these is similar to that for a sample of undisturbed spiral galaxies (Peletier et al. 1994). Such a similarity was noted earlier (Schwarzkopf & Dettmar 2000), but only for a merger of galaxies with a mass ratio less than 1:10. Next, a simultaneous disk plus an $`r^{1/4}`$ profile for the bulge was tried, but this overestimates the luminosity in the middle radial range, and hence is not a good fit for any of the thirteen galaxies. A Sersic or a generalized de Vaucouleurs fit with an $`r^{1/n}`$ profile (e.g., Caon et al. 1993) was also attempted, but the resulting value of $`n`$ is extremely sensitive to the radial range chosen, hence this fit cannot be used. The disk scalelengths for our sample galaxies are comparable to those for isolated spirals as shown above, hence these are too large compared to those of typical S0 galaxies (Binney & Tremaine 1987).

It is interesting that the disky ellipticals show (Scorza & Bender 1995) smaller scalelengths than S0’s or Sa’s while our sample shows values similar to normal spirals, implying different dynamical evolution of the disky ellipticals compared to our sample. The idea of a different origin is also supported by the dynamical data presented here, because Arp 224 and Arp 214 are mainly pressure-supported whereas the low-luminosity, disky ellipticals studied by Rix et al (1999) show a dominant rotational support beyond one effective radius. Another difference is that the Rix et al. (1999) sample galaxies are less luminous than $`M_\mathrm{B}`$ = - 19.5, whereas our galaxies are brighter than this.

3. Dynamical Implications and Puzzles

The results in Sect. 2 show that despite the evidence for a strong tidal interaction such as the high velocity dispersion, tidal tails, and a disturbed appearance as shown by these galaxies, their radial mass distribution seems largely unaffected. However, because of the high velocity dispersion, the disk is probably puffed up vertically, and also would not show large-scale spiral structure (Binney & Tremaine 1987). Our work shows that the galaxy disks are not fragile as is sometimes suggested from their vertical heating during an encounter (Toth & Ostriker 1992), in fact if anything the galaxies are robust in their radial mass distribution.

These mergers seem to have avoided suffering a complete violent relaxation (Barnes 1992) that would have resulted in an $`r^{1/4}`$ de Vaucouleurs type of profile (de Vaucouleurs 1977) as seen in an elliptical galaxy. Yet these galaxies are indistinguishable (Chitre & Jog 2002) in appearance from the mergers which show an $`r^{1/4}`$ profile. Thus the origin of these galaxies and their dynamics is a puzzle. The standard indicators of a galaxy type, namely the radial mass distribution and the kinematics, do not tally in these galaxies. This may indicate that these galaxies are in transition from a spiral galaxy to an early-type spheroidal system, and hence have properties interim to both of these types.

We suggest that future observations that give kinematic data for the other eleven mergers with the exponential profiles would be extremely useful. This will help establish this new class of mergers on a firmer footing.

How do these mergers compare with the theoretical models? The theoretical work involving N-body simulations of mergers of galaxies has a vast range of parameter space available covering different progenitor mass ratios, encounter geometry, and inclination of galaxies, all of which has not yet been fully sampled. We find that there are no analogs of such pressure-supported remnants with exponential profiles in the models in the literature so far. Mergers of galaxies with equal mass (Barnes 1992), and comparable masses with a mass ratio in the range of 1:4-1:1 (Naab & Burkert 2001, Bendo & Barnes 2000), have been studied. These result in a pressure-supported remnant, with an $`r^{1/4}`$ profile, as seen in a bright giant elliptical galaxy- and different from our sample (Sect. 2). These models were largely motivated by the observations of ultraluminous galaxies, which involve mergers of comparable-mass galaxies. However, the models with the mass ratios 1:4 and 1:3 cannot yet be excluded, because for some input parameters these produce remnants with properties overlapping with those observed for Arp 224 and Arp 214. First, these remnants can have comparable support from rotation and random motion, with $`V_\mathrm{c}/\sigma `$ 0.5-1 at one effective radius (Naab et al. 1999, Naab & Burkert 2001, Cretton et al. 2001, Barnes 1998). This range is roughly comparable to the observed data presented in our work. Second, the unpublished surface density results for the models of Naab & Burkert (Naab 2002, personal communication) show a trend to more disk-like profiles in the outer regions.

At the other end of the mass ratio, the studies of a satellite merging with a parent galaxy with a mass ratio of about 1:10 (Quinn et al. 1993, Walker et al. 1996, Velazquez & White 1999) show an increase in the random velocity at large radii along all the three directions in a galaxy, but their values obtained are smaller by a factor of 2-3 compared to the velocity dispersion values observed already at a galactic radius of a few kpc in Arp 224 and Arp 214.

We suggest that future N-body work should explore the new parameter range covering mergers of a massive satellite with the parent galaxy with values of mass-ratios not covered so far, namely between 1:10-1:4. The simulations of mergers with this mass range are currently lacking. This range can result in a higher increase in velocity dispersion than in the satellite accretion work studied so far, yet avoid the full-scale violent relaxation seen in mergers of comparable-mass galaxies so that the exponential distribution is unaffected. Physically, the above idea has the potential of explaining the unusual, mixed set of properties shown by Arp 224 and Arp 214. An inclusion of gas with the associated dissipation may also be important, but it should have a strong enough effect to affect the distribution of the main mass component namely the old stars that we have studied via the near-infrared.

4. Summary and Discussion

High random velocities in mergers are expected theoretically (e.g., Walker et al. 1996), however, it is the combination of exponential profiles and the dominance of velocity dispersion over rotation that we have found here that is unexpected and hard to explain. Thus, the photometric near-IR properties for a new type of sample chosen mainly from its morphologically disturbed appearance (Chitre & Jog 2002), combined with the kinematic data studied in this paper, have together led to a complete and more intriguing picture of these mergers than either data alone would have. The origin and evolution of this new class of observed merger remnants is an open question, and needs further observational and dynamical studies.

The new mass range of 1:10-1:4 proposed here is likely to be common in mergers at high redshift, as shown in the hierarchical merging models (Steinmetz & Navarro 2002) for galaxy formation. Observationally, it is well-known that galaxy morphology evolves with redshift (Abraham & van den Bergh 2001). The two merger remnants studied here appear to be the present-day analogs of the high percentage of peculiar galaxies without well-developed spiral structure observed to be common at high redshift. Thus, the present study may be relevant for the early evolution of galaxies.

Acknowledgements

This publication makes use of archival data products from the Two Micron All Sky Survey (http://isra.ipac.caltech.edu), and the HYPERCAT archival database (http://www-obs.univ-lyon1.fr/hypercat/).

We would like to thank the referee, T. Naab, for constructive comments; and C.A. Narayan for useful discussions.

References

Abraham, R.G., & van den Bergh, S. 2001, Science, 293, 1273

Barnes, J.E. 1992, ApJ, 393, 484

Barnes, J.E. 1998, in Galaxies: Interactions and Induced Star Fromation, Saas-Fee Advanced course 26, ed. D. Friedli, L. Martinet, & D. Pfenniger (Berlin: Springer), 275

Bender, R., Burstein, D., & Faber, S.M. 1992, ApJ, 399, 462

Bendo, G.J., & Barnes, J.E. 2000, MNRAS, 316, 315

Binney, J., & Merrifield, M. 1998, Galactic Astronomy (Princeton: Princeton Univ. Press)

Binney, J., & Tremaine, S. 1987, Galactic Dynamics (Princeton: Princeton Univ. Press)

Caon, N., Capaccioli, M., & D’Onofrio, M. 1993, MNRAS, 265, 1013

Chitre, A., & Jog, C.J. 2002, A&A, 388, 407

Cretton, N., Naab, T., Rix, H.-W., & Burkert, A. 2001, ApJ, 554, 291

de Vaucouleurs, G. 1977, in Evolution of Galaxies and Stellar Populations, ed. B.M. Tinsley, & R.B. Larson (New Haven: Yale Univ. Obs.), 43

Faber, S.M. et al. 1997, AJ, 114, 1771

Freeman, K.C. 1970, ApJ, 160, 811

Genzel, R., Tacconi, L.J., Rigopoulou, D., Lutz, D., & Tecza, M. 2001, ApJ, 563, 527

Heraudeau, Ph., & Simien, F. 1998, A&AS, 133, 317

Hibbard, J. E., & Mihos, J.C. 1995, AJ, 110, 140

Jog, C.J. 2002, A&A, 391, 471

Naab, T., & Burkert, A. 2001, in Galaxy Disks and Disk Galaxies, ASP Conf. Ser. 230, ed. J.G. Funes & E.M. Corsini (San Francisco: ASP), 453

Naab, T., Burkert, A., & Hernquist, L. 1999, ApJ, 523, L133

Peletier, R.F., Valentijn, E.A., Moorwood, A.F.M., & Freudling, W. 1994, A&AS, 108, 621

Quinn, P.J., Hernquist, L., & Fullagar, D.P. 1993, ApJ, 403, 74

Rix, H.-W., Carollo, C.M., & Freeman, K.C. 1999, ApJ, 513, L25

Schwarz, U.J. 1985, A&A, 142, 273

Schwarzkopf, U., & Dettmar, R.-J. 2000, A&A, 361, 451

Schweizer, F. 1982, ApJ, 252, 455

Scorza, C., & Bender, R. 1995, A&A, 293, 20

Scoville, N.Z. et al. 2000, AJ, 119, 991

Simien, F., & Prugniel, Ph. 1997, A&AS, 126, 15

Stanford, S.A., & Bushouse, H.A., 1991, ApJ, 371, 92

Steinmetz, M., & Navarro, J.F. 2002, New A, 7, 155

Toth, G., & Ostriker, J.P. 1992, ApJ, 389, 5

Velazquez, H., & White, S.D.M. 1999, MNRAS, 304, 254

Walker, I.R., Mihos, J.C., & Hernquist, L. 1996, ApJ, 460, 121

Wright, G.S., James, P.A., Joseph, R.D., & McLean, J.S. 1990, Nature, 344, 417

Figure Captions

Figure 1. Photometric (a) and kinematic (b and c) properties of Arp 224. (a) shows the surface brightness distribution with radius in the $`K_\mathrm{s}`$ band derived using the image from the 2MASS data. The inverted triangles denote the observed values and the straight line is obtained by fitting an exponential to the outer points. The exponential disk gives a good fit beyond $`10^{\prime \prime }`$ (where $`1^{\prime \prime }`$ = 0.38 kpc). The disk scalelength is $`7.6^{\prime \prime }`$ or 2.91 kpc. (b) shows $`V_\mathrm{c}`$, the circular rotation velocity of Arp 224 on either side of the galaxy centre. The rotation velocity reaches a maximum value at around $`10^{\prime \prime }`$ and then decreases beyond this radius. (c) shows $`\sigma `$, the velocity dispersion. It peaks at the centre with a value of $``$ 210 km s-1 and then dips gradually upto $``$ $`10^{\prime \prime }`$ on either side, and again increases beyond this radius on the positive side of the axis. $`V_\mathrm{c}`$ is less than $`\sigma `$ at all radii covered by the kinematical data.

Figure 2. Photometric (a) and kinematic (b and c) properties of Arp 214, with details similar to Fig. 1. (a) The exponential disk gives a good fit beyond $`20^{\prime \prime }`$ (where $`1^{\prime \prime }`$ = 0.065 kpc). The disk scalelength is $`26.5^{\prime \prime }`$ or 1.72 kpc. (b) $`V_\mathrm{c}`$, the rotation velocity reaches a maximum value at $`20^{\prime \prime }`$ and then decreases beyond this radius. (c) $`\sigma `$, the velocity dispersion peaks at the centre with a value of $``$ 180 km s-1 and falls on either side, and again increases beyond about $`20^{\prime \prime }`$. Between $`10^{\prime \prime }20^{\prime \prime }`$, $`V_\mathrm{c}`$ is larger than $`\sigma `$, beyond $`20^{\prime \prime }`$ the dispersion dominates over rotation again.


text:
# Seven energy/temperature scales in hole-doped cuprates

## I Introduction

The phenomenon of high-$`T_c`$ superconductivity was discovered in cuprates . The understanding of a phase diagram of cuprates is important since it is directly related to the understanding of the physics of high-$`T_c`$ superconductors.

In the literature, one can find a few different phase diagrams for superconducting cuprates. As an example, figure 1 shows four different phase diagrams of hole-doped cuprates, taken from the literature. All four phase diagrams show the commensurate antiferromagnetic phase at low doping level $`p`$ and the superconducting phase with a transition temperature $`T_c`$. These two phases are long-ranged. The commensurate antiferromagnetic phase appears at a Néel temperature $`T_N`$. If in La2-xSrxCuO4 (LSCO), these two phases are separated by some distance, in YBa2Cu3O6+x (YBCO) the distance between them is almost absent. In spite of this and some other small differences, there is good agreement on the existence of these two phases in the phase diagram of superconducting cuprates. In figure 1, one can see that the disagreement among all these phase diagrams is mainly in the dispositions of the temperature scales situated above the superconducting phase. In other words, there is no consensus on the physics of normal state of cuprates.

Soon after the discovery of high-$`T_c`$ superconductivity it became clear that the understanding of normal-state properties of cuprates is crucial for the understanding of the mechanism of high-$`T_c`$ superconductivity. Indeed, there is an interesting contrast between the development of the physics of cuprates and that of the physics of conventional superconductors. Just before the creation of the BCS theory, the normal-state properties of conventional metals were very well understood; however superconductivity was not. The situation with the cuprates was just the opposite: at the time high-$`T_c`$ superconductivity was discovered, there already existed a good understanding of the phenomenon of superconductivity, but the normal-state properties of the cuprates were practically unknown. What is interesting is that 16 years after the discovery  their normal-state properties are still “unknown.” The problem is not that there is no explanation of these unusual properties, the problem is that there are too many of them.

There is good agreement on the existence of the so-called pseudogap which occur at $`T^{}>T_c`$. There is even consensus on the doping dependence of pseudogap in hole-doped cuprates: the magnitude of pseudogap decreases as the doping level increases.

However, here the common agreement ends. Further there is a polarization of opinions based either on different measurements or on different theories. First, there is no yet consensus on the presence of preformed Cooper pairs above $`T_c`$ in cuprates. Secondly, there is no agreement on the exact doping dependence of temperature (energy) scale $`T^{}`$.

The question concerning the presence of preformed Cooper pairs above $`T_c`$ in cuprates is not the main topic of this paper, therefore we are not going to discuss it here. There are enough evidence in the literature for the presence of preformed Cooper pairs above $`T_c`$ in cuprates (see references in  and ). The purpose of this paper is to discuss the second issue raised above, namely, the doping dependences of different temperature/energy scales in hole-doped cuprates and their origins. Hole-doped cuprates have a very rich phase diagram as a function of doping. This is due to a charge inhomogeneity in CuO2 planes: the charge distribution in CuO2 planes is inhomogeneous both on a nanoscale and macroscale. Depending on the doping level, the CuO2 planes comprise at least four different types of clusters having a size of a few nanometers. Each type of clusters has its own features. As a consequence, the common phase diagram consists of, at least, seven different energy/temperature scales. As an example, we consider a phase diagram of Bi2Sr2CaCu2O8+x (Bi2212).

## II Different phase diagrams

In figure 1, the first two phase diagrams are based on experimental data: the phase diagram shown in figure 1(a) is mainly inferred from nuclear magnetic resonance, specific heat and resistivity measurements (see references in ). The phase diagram in figure 1(b) is based on tunneling and angle-resolved photoemission (ARPES) measurements. In figure 1(b), the pseudogap temperature scale $`T^{}`$ is inferred from bias positions of humps in tunneling and ARPES spectra, while the positions of main peaks in these spectra determine the pairing temperature/energy scale $`T_0`$ corresponding to the formation of incoherent Cooper pairs. The phase diagrams in figures 1(c) and 1(d) are purely theoretical and based on the idea of the existence of two types of superconductivity: an unconventional type in underdoped cuprates and a BCS type in overdoped cuprates. They emerge near the optimally doped region of superconducting phase.

Leaving the phase diagrams shown in figures 1(c) and 1(d) for further theoretical considerations, we focus our attention exclusively on experimental data presented in figures 1(a) and 1(b). The question is why do different experimental techniques give different energy/temperature scales? This question is directly related to the understanding of normal-state properties of cuprates.

## III Phase diagram of Bi2212

Figure 2 shows an idealized phase diagram of Bi2212 taken from , in which the spin-glass temperature scale $`T_g`$ is added. This temperature/energy scale was recently observed in Bi2212 by muon spin relaxation measurements . Figure 2 shows six different temperature/energy scales in Bi2212. The seventh temperature scale—the commensurate antiferromagnetic phase at low doping level—is not shown because it was not yet observed in Bi2212: There is a technical problem to synthesize large-size good-quality undoped single crystals of Bi2212, which are necessary for neutron scattering measurements. In fact, the commensurate antiferromagnetic phase is not the primary focus of this paper. It is worth noting that the phase diagram of Bi2212 in figure 2 is not universal but reflects main features of the physics involved in all cuprates. First, the temperature scales in figure 2 will be given explicitly, and then we discuss their origins.

The superconducting phase appears at a critical temperature $`T_c`$ shown in figure 2. In Bi2212, the doping dependence $`T_c(p)`$ can be expressed  as

$$T_c(p)T_{c,max}[182.6(p0.16)^2].$$
(1)
For Bi2212, $`T_{c,max}`$ = 95 K. The superconducting phase is approximately located between $`p`$ = 0.05 and 0.27, having the maximum critical temperature $`T_{c,max}`$ in the middle, thus at $`p`$ 0.16. The corresponding phase-coherence energy scale $`\mathrm{\Delta }_c`$ is proportional to $`T_c`$ as $`2\mathrm{\Delta }_c=\mathrm{\Lambda }k_BT_c`$, where $`k_B`$ is the Boltzmann constant. In different cuprates, the coefficient $`\mathrm{\Lambda }`$ is slightly different: $`\mathrm{\Lambda }5.4`$ in Bi2212; $`\mathrm{\Lambda }`$ 5.1 in YBCO; and $`\mathrm{\Lambda }5.9`$ in Tl2Ba2CuO6 (Tl2201) .

In the literature, there are ample evidence for the existence of the so-called quantum critical point in cuprates (see references in ). In a quantum critical point located at/near absolute zero, the magnetic order is about to form or to disappear. In figure 2, the quantum critical point in Bi2212 exists at $`p`$ 0.19. At low temperature, superconductivity in cuprates is most robust at this doping level $`p`$ = 0.19, and not at $`p`$ = 0.16 (see below why).

In figure 2, the temperature scale $`T_{MT}`$ starts/ends in the quantum critical point (MT = Magnetic Transition). Then, it is more or less obvious that this temperature/energy scale has a magnetic origin. The temperature scale $`T_{MT}`$ is analogous with a magnetic transition temperature of long-range antiferromagnetic phase in heavy fermions . The doping dependence $`T_{MT}(p)`$ can be expressed as

$$T_{MT}(p)T_{MT,0}\times \left[1\frac{p}{0.19}\right],$$
(2)
where $`T_{MT,0}=`$ 970–990 K (see references in ). As was mentioned above, this energy scale is inferred from resistivity, nuclear magnetic resonance and specific heat measurements. Magnetic fluctuations are strong along the transition temperature $`T_{MT}(p)`$.

In figure 2, the energy scale with a characteristic temperature $`T_{CO}`$ corresponds to a charge ordering (CO) in shape of quasi-one-dimensional stripes. A structural phase transition precedes the charge ordering. The doping dependence $`T_{CO}(p)`$ can approximately be expressed as follows

$$T_{CO}(p)980\times \left[1\frac{p}{0.3}\right]\text{(Kelvins).}$$
(3)
The corresponding charge gap $`\mathrm{\Delta }_{cg}`$ observed in tunneling and ARPES spectra depends on hole concentration as

$$\mathrm{\Delta }_{cg}(p)251\times \left[1\frac{p}{0.3}\right]\text{(meV).}$$
(4)
In cuprates, manganites and nickelates, the charge ordering always precedes a magnetic ordering (MO) . In figure 2, the energy scale with a characteristic temperature $`T_{MO}`$ corresponds to an antiferromagnetic ordering occurring in insulating stripes which separate charge stripes. This magnetic ordering stabilizes the charge order which becomes long-ranged at $`T_{MO}`$. The doping dependence $`T_{MO}(p)`$ can be expressed as follows

$$T_{MO}(p)566\times \left[1\frac{p}{0.3}\right]\text{(Kelvins).}$$
(5)
The dynamical two-dimensional magnetic stripes can be considered as a local memory effect of the commensurate antiferromagnetic phase.

In figure 2, the temperature scale $`T_{pair}`$ corresponds to the formation of Cooper pairs, the doping dependence of which can be expressed as

$$T_{pair}(p)\frac{T_{CO}(p)}{3}=\frac{980}{3}\times \left[1\frac{p}{0.3}\right]\text{(Kelvins).}$$
(6)
The corresponding pairing energy scale $`\mathrm{\Delta }_p`$ depends on doping level as follows

$$\mathrm{\Delta }_{pair}(p)\frac{\mathrm{\Delta }_{cg}(p)}{3}=\frac{251}{3}\times \left[1\frac{p}{0.3}\right]\text{(meV).}$$
(7)
The pairing gap manifests itself in tunneling and ARPES measurements. The extensions of three dependences $`T_{CO}(p)`$, $`T_{MO}(p)`$ and $`T_{pair}(p)`$ cut the horizontal axis approximately in one point, at $`p`$ = 0.3.

In figure 2, the spin-glass temperature scale $`T_g`$ is shown schematically. For example, the temperature scale $`T_g`$ in LSCO linearly increases as the doping starts to increase from zero, reaches its maximum when it crosses a Néel temperature scale $`T_N`$, and then decreases to zero as the doping increases. In Bi2212, $`T_g`$ 8 K at $`p`$ = 0.05, and $`T_g`$ = 0 somewhere at $`p`$ 0.15 .

It is worth noting that, in first approximation in Bi2212, the two energy scales with characteristic temperatures $`T_{CO}`$ and $`T_{MT}`$ intersect the vertical axis in one point, at $`T`$ 980 K. Some discussion on this issue can be found elsewhere .

It is necessary to mention that the above formula are approximate. To understand why, consider just one temperature/energy scale—the charge ordering scale $`T_{CO}`$. From acoustic measurements, it is well known that any structural phase transition has a hysteresis on lowering and on increasing the temperature. Since in cuprates, a structural phase transition precedes the charge ordering, its hysteresis may affect the charge ordering temperature scale. As a consequence, the above expression for $`T_{CO}(p)`$ is most likely approximate. Secondly, the real doping dependences of temperature scales $`T_{MT}`$, $`T_{CO}`$, $`T_{MO}`$ and $`T_{pair}`$, most likely, are not linear but quasi-linear.

## IV Charge inhomogeneities: phase separation

Let us go back to the question raised above: Why do different experimental techniques give different energy/temperature scales? As a matter of fact, this question is related to another question, namely, how is it possible that there are several magnetic temperature/energy scales in one phase diagram (see figure 2)?

Consider CuO2 planes at different doping levels. In undoped region ($`p<`$ 0.05), the doped holes gather into clusters having a size of a few nanometers. These clusters are embedded in an antiferromagnetic background where the long-range antiferromagnetic order is preserved. In the clusters, the holes are not distributed homogeneously, but they form quasi-one-dimensional stripes along the diagonal direction relative to the Cu–O–Cu bonds . In figure 3, this type of clusters is marked by B. The spin glass appears in these clusters at $`T_g`$ .

In underdoped region, thus above $`p=`$ 0.05, the charge stripes in most clusters are rotated by 45 relative to those in undoped region. Thus, they now run along the Cu–O–Cu bonds, and the distance between stripes becomes smaller than that between diagonal stripes. However, in a small fraction of clusters, the charge stripes remain diagonally oriented. This explains the existence of spin glass in the superconducting phase. The clusters with vertically (horizontally) oriented charge stripes are schematically shown in figure 3 by C. Thus, in deep underdoped region, the two types of clusters—with vertical stripe order and with diagonal stripe order—are embedded in an antiferromagnetic background. Therefore, the long-range antiferromagnetic phase which is usually located at low doping level extends to higher dopings. The doped holes are sucked out by the clusters. As a consequence, the Néel temperature scale $`T_N`$ literally transforms into the temperature scale $`T_{MT}`$ shown in figure 2. In a sense, the temperature scale $`T_{MT}`$ is an echo of the $`T_N`$ scale.

Near optimally doped region, the picture is different: now clusters with intact antiferromagnetic order are embedded in a charge-stripe background. In figure 3, the antiferromagnetic clusters are shown by A. At $`p`$ = 0.19, this type of clusters completely vanishes, as schematically shown in figure 4(a). At the same time, the fraction of clusters with vertical charge stripes is maximal at $`p`$ = 0.19, as shown in figure 4(b). Since superconductivity in cuprates occurs in these clusters, this is the reason why it is most robust at $`p`$ = 0.19, and not at $`p`$ = 0.16.

The three temperature scales, $`T_{MT}`$, $`T_g`$ and $`T_{MO}`$ shown in figure 2, originate from a magnetic ordering in different clusters—A, B and C in figure 3, respectively. Since different experimental techniques are sensitive to different types of correlations, and have different resolutions and different characteristic times, it is then obvious why there is a discrepancy among phase diagrams presented in the literature.

Finally, let us consider the deep overdoped region. In deep overdoped region, new doped holes gather between stripes, forming clusters with Fermi sea, in which the hole distribution is more or less homogeneous. The Fermi-sea clusters, shown schematically in figure 3 by D, are embedded in a charge-stripe background. Since, the superconducting phase vanishes at $`p`$ = 0.27, it is commonly assumed that above this doping level, the hole distribution becomes homogeneous in CuO2 planes. In fact, this assumption may be not true: The three temperature scales $`T_{CO}`$, $`T_{MO}`$ and $`T_{pair}`$ in figure 2 originate from different types of ordering in clusters with vertical charge stripes. Since these three temperature scales cut the horizontal axis approximately at $`p`$ = 0.3, as shown in figure 2, it is possible that between $`p`$ = 0.27 and 0.3, the hole distribution in CuO2 planes is not completely homogeneous. The clusters with vertical charge stripes may exist between $`p`$ = 0.27 and 0.3, being embedded in a Fermi-sea background. In this case, the hole distribution in CuO2 planes is homogeneous only above $`p`$ = 0.3, as schematically shown in figure 4(a). After all, this is not very important for understanding the mechanism of high-$`T_c`$ superconductivity.

## V Stripe phase

Since superconductivity in cuprates occurs in clusters with vertical charge stripes, it is most important to understand the physics of this phase. The size of clusters with vertical charge stripes depends on the doping level: In underdoped region, the size of these clusters is about 30 Å . Then, it is obvious that the length of charge stripes is of the same magnitude. In overdoped region, the length of charge stripes increases up to 100 Å . Therefore, the length of charge stripes also depends on the doping level.

Since charge stripes in cuprates are very dynamical, one may wonder how it is possible to observe charge-stripe domains by tunneling . First of all, there are two types of dynamics involved: the fluctuation of charge stripes inside clusters, and the clusters fluctuate as whole. Superconductivity most likely requires the former but not the latter. Secondly, the charge stripes can slow down in one separate cluster, this will not affect superconductivity locally if the charge stripes in the neighboring clusters go on fluctuating . Generally speaking, the charge stripes can be pinned by an impurity, by a lattice defect, or by the surface.

It is commonly assumed that the charge-stripe orientation in adjacent CuO2 layers is alternately rotated by 90. In fact, this assumption is not necessary: Depending on doping level, the clusters with vertical charge stripes may coexist in the same CuO2 layer with clusters having horizontal charge stripes .

## VI Summary

We discussed here a phase diagram of hole-doped cuprates and the origins of different temperature/energy scales. Hole-doped cuprates have a very rich phase diagram as a function of doping. This is due to a charge inhomogeneity in CuO2 planes: the charge distribution in CuO2 planes is inhomogeneous both on a nanoscale and macroscale. Depending on the doping level, the CuO2 planes comprise at least four different types of clusters having a size of a few nanometers. Each type of clusters has its own features. As a consequence, the common phase diagram consists of, at least, seven different energy/temperature scales. As an example, we considered a phase diagram of Bi2Sr2CaCu2O8+x.