text:
# Density-of-states picture and stability of ferromagnetism in the highly-correlated Hubbard model

## 1 Introduction

The problem of ferromagnetic ordering in narrow energy bands is up to now extensively discussed. Despite the large number of publications on the topic, the magnetism of highly-correlated electronic systems described by the Hubbard model  remains at the center of attention . Physically, in this case the picture of magnetism is characterized by the existence of local magnetic moments and differs substantially from the Stoner picture of a weak itinerant magnetism .

According to Nagaoka , in the limit of infinite Hubbard repulsion the ground state for simple lattices is a saturated ferromagnetic state for a low density $`\delta `$ of current carriers (doubles or holes in an almost half-filled band). In particular, Nagaoka proved rigorously the existence of saturated ferromagnetic state for a single hole at $`U\mathrm{}`$ and found the instability of the spin-wave spectrum in the case with increasing $`\delta `$ and decreasing $`U`$.

Roth  applied a variational principle to this problem and obtained two critical concentrations. The first one, $`\delta _\mathrm{c}`$, corresponds to instability of saturated ferromagnetic state, and the second one, $`\delta _\mathrm{c}^{}`$, to the transition from non-saturated ferromagnetic into paramagnetic state. For the simple cubic (sc) lattice, the values $`\delta _\mathrm{c}=0.37`$ and $`\delta _\mathrm{c}^{}=0.64`$ were obtained. Next, the region of stability of the saturated ferromagnetic was investigated within various approximations in numerous works (see, e.g., Refs. ).

An interpolational approach to description of magnetic ordering in narrow bands, which yields saturated ferromagnetism for small $`\delta `$ and non-saturated one for large $`\delta `$, was developed in Refs.  on the basis of dynamic magnetic susceptibility treatment. However, the critical concentrations themselves were not determined.

Using high-temperature expansions in early papers  yielded non-stable results concerning stability of ferromagnetsm because of poor accuracy connected with slow convergence . However, according to recent results , ferromagnetism also occurs near $`\delta =0.3`$.

It should be noted that the hole concentration $`\delta =1/3`$ corresponds to the sign change of the chemical potential in the Hubbard-I approximation  in the case of symmetric conduction band, and instability of the paramagnetic state can occur at this point in some simple approximations .

Experimental data on Fe1-xCoxS2 , a system with strong correlations, give large values of $`\delta _\mathrm{c}`$ (saturation ferromagnetism is preserved up to conduction electron concentrations $`n=1\delta `$ of order $`0.2`$), but degeneracy effects in the conduction band appear to be important in this system.

The approaches mentioned do not analyze as a rule in detail the structure of the one-particle excitation spectrum in the ferromagnetic phase of the Hubbard model. The simplest “Hubbard-I” approximation  for the electron spectrum corresponds to the zeroth order in the inverse nearest-neighbor number $`1/z`$ (“mean-field” approximation in the electron transfer). This approximation is quite non-satisfactory at describing ferromagnetism (in particular, ferromagnetic solutions are absent, except for peculiar models of bare density of states).

A consistent calculation of the one-particle Green’s functions in the case of small $`\delta `$ (almost half-filled band) and low temperatures was performed in Refs. . The results demonstrated an important role of non-quasiparticle (incoherent) states in the density-of-states picture. Expressions for the one-particle Green’s functions in a more wide region of $`\delta `$ and $`T`$ were obtained in Refs. .

A physically transparent mechanism of instability of saturated ferromagnetic state was treated in detail in the works by Edwards and Hertz . This mechanism is connected with occurrence of spin-polaron states above the Fermi level of the current carriers.

In this paper, the stability of the saturated ferromagnetic state as the current carrier concentration is raised is studied using the one-particle Green’s functions of first order in $`1/z`$ and corresponding self-consistent approximations. This approach makes possible to construct a rather simple and physically transparent picture of the density of states in a saturated Hubbard ferromagnet. At the same time, the problem of description of non-saturated state is much more difficult, but our approach turns out to be successful too.

## 2 Calculation of the one-particle Green’s functions

We shall use the Hamiltonian for the Hubbard model in the limit of infinitely strong Coulomb repulsion in the many-electron $`X`$-operator representation ,

$$=\underset{𝐤\sigma }{}t_𝐤X_𝐤^{0\sigma }X_𝐤^{\sigma 0}$$
(1)
where $`t_𝐤`$ is the band energy, $`X_𝐤^{\alpha \beta }`$ is the Fourier transform of the Hubbard operators $`X_i^{\alpha \beta }=|i\alpha i\beta |`$ ($`0`$ denotes holes and $`\sigma =\pm (,)`$ denotes singly occupied states).

It should be noted that in this problem of infinitely strong Coulomb interaction, a number of difficulties arise in connection with the non-Fermi excitation statistics. These difficulties occur both in the diagram technique  and in the equations-of-motion method . In particular, it has been found  that in the expansion with respect to $`1/z`$ the analytic properties of the retarded Green’s functions were violated for the paramagnetic state.

We shall calculate the retarded anticommutator Green’s functions

$$G_{𝐤\sigma }(E)=X_𝐤^{\sigma 0}|X_𝐤^{0\sigma }_E,\mathrm{}E>0.$$
(2)
We write down the equation of motion

$$(Et_{𝐤\sigma })G_{𝐤\sigma }(E)=(n_0+n_\sigma )+\mathrm{\Gamma }_{𝐤\sigma }(E),$$
(3)
where

$$t_{𝐤\sigma }=t_𝐤(n_0+n_\sigma ),n_\alpha =X_i^{\alpha \alpha },\alpha =0,\sigma ,$$

$$\mathrm{\Gamma }_{𝐤\sigma }(E)=\underset{𝐪}{}t_{𝐤𝐪}X_𝐪^{\sigma \sigma }X_{𝐤𝐪}^{\sigma 0}+\delta (X_𝐪^{00}+X_𝐪^{\sigma \sigma })X_{𝐤𝐪}^{\sigma 0}|X_𝐤^{0\sigma }_E,$$

with $`\delta A=AA`$. Decoupling the sequence of equations of motion at the first stage corresponds to the zeroth order in $`1/z`$ and is known as the Hubbard-I approximation. This may represented in the form

$$G_{𝐤\sigma }^0(E)=[F_\sigma ^0(E)t_𝐤]^1,F_\sigma ^0(E)=\frac{E}{n_0+n_\sigma }.$$
(4)
When taking into account fluctuations we obtain

$$G_{𝐤\sigma }(E)=G_{𝐤\sigma }^0(E)\left(1+\frac{\mathrm{\Gamma }_{𝐤\sigma }(E)}{n_0+n_\sigma }\right).$$

Following Ref. , we perform decoupling at the next stage to derive

$$(Et_{𝐤𝐪\sigma }\sigma \omega _𝐪)X_𝐪^{\sigma \sigma }X_{𝐤𝐪}^{\sigma 0}|X_𝐤^{0\sigma }_E=\chi _𝐪^{\sigma \sigma }+n_{𝐤𝐪\sigma }$$

$$+(t_𝐤\chi _𝐪^{\sigma \sigma }(t_{𝐤𝐪}t_𝐤)n_{𝐤𝐪\sigma })X_𝐤^{\sigma 0}|X_𝐤^{0\sigma }_E,$$
(5)
$$(Et_{𝐤𝐪\sigma })\delta (X_𝐪^{00}+X_𝐪^{\sigma \sigma })X_{𝐤𝐪}^{\sigma 0}|X_𝐤^{0\sigma }_E=\chi _𝐪^{\sigma \sigma }(1+t_𝐤X_𝐤^{\sigma 0}|X_𝐤^{0\sigma }_E),$$
(6)
where

$$\chi _𝐪^{\sigma \sigma }=S_𝐪^\sigma S_𝐪^\sigma =X_𝐪^{\sigma \sigma }X_𝐪^{\sigma \sigma },$$

$$\chi _𝐪^{\sigma \sigma }=\delta (X_𝐪^{00}+X_𝐪^{\sigma \sigma })\delta (X_𝐪^{00}+X_𝐪^{\sigma \sigma })=\delta X_𝐪^{\sigma \sigma }\delta X_𝐪^{\sigma \sigma },$$

are the correlation function for spin and charge densities

$$n_{𝐤\sigma }=X_𝐤^{0\sigma }X_𝐤^{\sigma 0}.$$

The magnon frequencies in (5) are required to cut the logarithmic “Kondo” divergences which are connected with the Fermi functions.

We write down the Green’s function in the locator form

$$G_{𝐤\sigma }(E)=[F_{𝐤\sigma }(E)t_𝐤]^1,F_{𝐤\sigma }(E)=\frac{b_{𝐤\sigma }(E)}{a_{𝐤\sigma }(E)}.$$
(7)
For the Green’s function (7) we have

$`a_{𝐤\sigma }(E)`$ $`=`$ $`n_0+n_\sigma +{\displaystyle \underset{𝐪}{}}t_{𝐤𝐪}(\chi _𝐪^{\sigma \sigma }+n_{𝐤𝐪\sigma })G_{𝐤𝐪\sigma }^0(E\sigma \omega _𝐪)`$ (8)
$`+{\displaystyle \underset{𝐪}{}}t_{𝐤𝐪}\chi _𝐪^{\sigma \sigma }G_{𝐤𝐪\sigma }^0(E),`$
$`b_{𝐤\sigma }(E)`$ $`=`$ $`E+{\displaystyle \underset{𝐪}{}}t_{𝐤𝐪}^2n_{𝐤𝐪\sigma }G_{𝐤𝐪\sigma }^0(E\sigma \omega _𝐪).`$ (9)
To simplify our equations, we introduce the magnon spectral function $`K_𝐪(\omega )`$ and average this in $`𝐪`$,

$$K_𝐪(\omega )=\delta (\omega \omega _𝐪)\overline{K}(\omega )=\underset{𝐪}{}K_𝐪(\omega ).$$

This approximation is sufficient to obtain qualitatively valid results. Indeed, this approximation (which is in spirit of the large-$`d`$ or large-$`z`$ expansion) reproduces correctly the low-frequency behavior of spin fluctuations which is important near the Fermi level. following to Ref.  we have taken below $`D=0.7\delta |t|`$. It should be noted that the choice of $`D`$ influence weakly the critical concentration. We also neglect $`𝐪`$-dependence of transverse and longutidinal spin correlation functions by taking the values averaged over the Brillouin zone to obtain

$$\chi _𝐪^{\sigma \sigma }=n_\sigma ,\chi _𝐪^{\sigma \sigma }=n_\sigma (1n_\sigma ).$$

Then $`a(E)`$ and $`b(E)`$ do not depend on $`𝐤`$ and can be expressed in terms of the bare electron density of states $`N_0(E)`$,

$$G_{𝐤\sigma }(E)=[F_\sigma (E)t_𝐤]^1,F_\sigma (E)=\frac{b_\sigma (E)}{a_\sigma (E)},$$
(10)
$`a_\sigma (E)`$ $`=`$ $`n_0+n_\sigma +{\displaystyle \overline{K}(\omega )\underset{𝐪}{}t_𝐪(n_\sigma +n_{𝐪\sigma })G_{𝐪\sigma }^0(E\sigma \omega )d\omega }`$ (11)
$`+{\displaystyle \underset{𝐪}{}}t_𝐪n_\sigma (1n_\sigma )G_{𝐪\sigma }^0(E),`$
$`b_\sigma (E)`$ $`=`$ $`E+{\displaystyle \overline{K}(\omega )\underset{𝐪}{}t_𝐪^2n_{𝐪\sigma }G_{𝐪\sigma }^0(E\sigma \omega )d\omega },`$ (12)
$$G_{𝐪\sigma }^0(E\sigma \omega )G_\sigma ^0(E\sigma \omega ,t)=[F_\sigma (E\sigma \omega )t]^1,F_\sigma (E)=\frac{E}{n_0+n_\sigma },$$

$`a_\sigma (E)`$ $`=`$ $`n_0+n_\sigma +{\displaystyle \overline{K}(\omega )N_0(t)t(n_\sigma +f_\sigma (t))G_\sigma ^0(E\sigma \omega ,t)𝑑\omega 𝑑t}`$
$`+{\displaystyle N_0(t)tn_\sigma (1n_\sigma )G_\sigma ^0(E,t)𝑑t},`$
$`b_\sigma (E)`$ $`=`$ $`E+{\displaystyle \overline{K}(\omega )N_0(t)t^2f_\sigma (t)G_\sigma ^0(E\sigma \omega ,t)𝑑\omega 𝑑t},`$
where $`f_\sigma (t_𝐪)=n_{𝐪\sigma }`$, $`N_0(t)=_𝐤\delta (tt_𝐤)`$ is the bare density of states. The exact quasiparticle density of states is given by

$$N_\sigma (E)=\frac{1}{\pi }\mathrm{}\underset{𝐤}{}G_{𝐤\sigma }(E).$$
(13)
$$N_\sigma (E)=\frac{1}{\pi }\mathrm{}\underset{\mathrm{}}{\overset{+\mathrm{}}{}}G_\sigma (E,t)N_0(t)𝑑t.$$

Now we write down the self-consistent approximation with replacing in (11), (12) the bare locator $`F_\sigma ^0(E)`$ by the exact locator $`F_\sigma (E)`$, i.e.

$$G_{𝐤\sigma }^0(E)G_{𝐤\sigma }(E).$$
(14)
In such an approach, large electron damping is present which smears the “Kondo” peak, so that including magnon frequencies does not change qualitatively the picture, but may be important for quantitatative results. We obtain

$`G_{𝐤\sigma }(E)`$ $`=`$ $`[F_\sigma (E)t_𝐤]^1,F_\sigma (E)={\displaystyle \frac{B_\sigma (E)}{A_\sigma (E)}},`$ (15)
$`A_\sigma (E)`$ $`=`$ $`n_0+n_\sigma +{\displaystyle \frac{1}{n_0+n_\sigma }}{\displaystyle \overline{K}(\omega )\underset{𝐪}{}t_𝐪(n_\sigma +n_{𝐪\sigma })G_{𝐪\sigma }(E\sigma \omega )d\omega }`$ (16)
$`+{\displaystyle \frac{1}{n_0+n_\sigma }}{\displaystyle \underset{𝐪}{}}t_𝐪n_\sigma (1n_\sigma )G_{𝐪\sigma }(E),`$
$`B_\sigma (E)`$ $`=`$ $`E+{\displaystyle \frac{1}{n_0+n_\sigma }}{\displaystyle \overline{K}(\omega )\underset{𝐪}{}t_𝐪^2n_{𝐪\sigma }G_{𝐪\sigma }(E\sigma \omega )d\omega }.`$ (17)
$`A_\sigma (E)`$ $`=`$ $`n_0+n_\sigma +{\displaystyle \frac{1}{n_0+n_\sigma }}{\displaystyle \overline{K}(\omega )N_0(t)t(n_\sigma +f_\sigma (t))G_\sigma (E\sigma \omega ,t)𝑑t𝑑\omega }`$
$`+{\displaystyle \frac{1}{n_0+n_\sigma }}{\displaystyle N_0(t)tn_\sigma (1n_\sigma )G_\sigma (E,t)𝑑t},`$
$`B_\sigma (E)`$ $`=`$ $`E+{\displaystyle \frac{1}{n_0+n_\sigma }}{\displaystyle N_0(t)t^2f_\sigma (t)G_\sigma (E\sigma \omega ,t)𝑑t𝑑\omega }.`$
It should be noted that another self-consistent approximation used in Refs.  leads to not quite satisfactory results because of violation of normalization condition for the density of states. As demonstrate our calculations, such a difficulty exists also for the approximation (10), but the violation is numerically small for $`\delta <\delta _\mathrm{c}`$ (about 2%); note that introducing longitudinal fluctuations improves considerably the results in comparison with Ref. . At the same time, the approximation (15) with the locator structure of the Green’s function does not violate the analytical properties.

The chemical potential $`\mu `$ is determined by the number of holes. By using the spectral representation for the Green’s function (2) this is calculated as

$$\delta n_0=X^{00}=X_i^{0\sigma }X_i^{\sigma 0}=\underset{𝐤}{}X_𝐤^{0\sigma }X_𝐤^{\sigma 0}=\frac{1}{\pi }\mathrm{}\underset{𝐤}{}\underset{\mathrm{}}{\overset{+\mathrm{}}{}}G_{𝐤\sigma }(E)f(E)𝑑E.$$
(18)
It is important the Hubbard-I approximation is hardly satisfactory in the narrow-band ferromagnetism problem since it is difficult to formulate a reasonable criterion of magnetic ordering by direct using the expressions for one-electron Green’s functions like (4). Unlike the decoupling scheme by Hubbard , the many-electron $`X`$-operator approach clarifies the causes of this failure. In particular, one can see that the approximation (4) violates the kinematical requirements since it is impossible to satisfy at $`S^z0`$ the relation (18) for both spin projections $`\sigma `$. Indeed, the quasiparticle pole for $`\sigma =`$, corresponding to a narrowed band and lying above the Fermi level of the holes, does not provide an adequate description of the energy spectrum and leads to the appearance of finite $`n_{}`$, i.e., the saturation ferromagnetism cannot be properly treated. However, the situation changes provided we use the expressions containing first-order $`1/z`$-corrections. Unlike the Hubbard-I approximation, the value of $`\mu `$ turns out to be weakly dependent of $`\sigma `$ for the approximation (10) and independent of $`\sigma `$ for the the approximation (15).

The magnetization is determined from the equation

$$S^z=\frac{1}{2}\underset{\sigma }{}\sigma n_\sigma ,$$
(19)
with

$$n_\sigma =\underset{𝐤}{}X_𝐤^{\sigma 0}X_𝐤^{0\sigma }=\underset{\mathrm{}}{\overset{+\mathrm{}}{}}N_\sigma (E)(1f(E))𝑑E.$$

In the leading approximation in $`1/z`$ for the one-particle occupation numbers, it is neccessary to use the Hubbard-I approximation, i.e.,

$$n_{𝐤\sigma }=(n_0+n_\sigma )f(t_{𝐤\sigma }),$$

but the chemical potential should be already chosen from the Green’s function (7). As opposed to Eq. (4), the Green’s functions (7) contain terms with resolvents and have branch cuts which describe non-quasiparticle (incoherent) contributions to the density of states. It is the latter which ensure qualitative agreement with the sum rule (18) for $`\sigma =`$. At the same time, there are no poles of the Green’s function for this projection of the spin for small $`\delta `$ above the Fermi level, i.e., the saturated ferromagnetic state is preserved.

The full density of states can be also represented in terms of the exact resolvent $`R_\sigma (E)=_𝐤G_{𝐤\sigma }(E)`$ as

$$N_\sigma (E)=\frac{1}{\pi }\mathrm{}R_\sigma (E).$$

This quantity satisfies the equation

$$R_\sigma (E)=R_0\{F_\sigma (E)\},R_0(E)=\underset{𝐤}{}\frac{1}{Et_𝐤}=N_0(t)\frac{1}{Et}𝑑t.$$

In the case of a saturated ferromagnetic state, the Green’s function (7) takes the form

$`G_𝐤(E)`$ $`=`$ $`\left(E/\left[1+{\displaystyle \underset{𝐪}{}}{\displaystyle \frac{t_𝐪(1n_0)}{Et_𝐪n_0}}\right]t_𝐤\right)^1,`$ (20)
$`G_𝐤(E)`$ $`=`$ $`E{\displaystyle \underset{𝐪}{}}{\displaystyle \frac{n_{𝐤𝐪}}{Et_{𝐤𝐪}+\omega _𝐪}}`$ (21)
$`\times \left(E\left[1n_0+{\displaystyle \underset{𝐪}{}}{\displaystyle \frac{(Et_𝐤)n_{𝐤𝐪}}{Et_{𝐤𝐪}+\omega _𝐪}}\right]{\displaystyle \underset{𝐪}{}}t_{𝐤𝐪}n_{𝐤𝐪}\right)^1,`$
where $`n_𝐤=f(t_𝐤)`$. Note that, as opposed to the one-electron approach , the Green’s function $`G_𝐤(E)`$ does not reduce to the free electron Green’s function even in the saturated ferromagnetic state, since fluctuations in the hole occupation number contribute to it. Neglecting the resolvent in Eq. (20) and the last term in the denominator of Eq. (21), we obtain a somewhat different form of the Green’s function in terms of the electron self-energy

$$G_𝐤(E)=\frac{1}{Et_𝐤},G_𝐤(E)=\frac{1}{Et_𝐤\mathrm{\Sigma }_𝐤(E)},$$
(22)
$$\mathrm{\Sigma }_𝐤(E)=(1n_0)\left(\underset{𝐪}{}\frac{n_{𝐤𝐪}}{Et_{𝐤𝐪}+\omega _𝐪}\right)^1.$$

This result corresponds to the Edwards-Hertz approximation in the limit $`U\mathrm{}`$. Of course, these expressions work only in the saturated ferromagnetic state. The results (22) can be also obtained by using the expansion in the electron and magnon occupation numbers .

## 3 Results of calculations and discussion

The $`1/z`$ corrections lead to a non-trivial structure of the total quasiparticle density of states. In the non-self-consistent approach the integral with the Fermi functions yields, similar to the Kondo problem, the logarithmic singularity

$$\underset{𝐪}{}\frac{f(t_{𝐤+𝐪})}{Et_{𝐤+𝐪}}\mathrm{ln}|EE_\mathrm{F}|N(E_\mathrm{F}).$$

For very low $`\delta `$ a significant logarithmic singularity exists only in the imaginary part of the Green’s function, which corresponds to a finite jump in the density of states . However, when $`\delta `$ increases, it is necessary to take into account the resolvents in both the numerator and denominator of the Green’s function, so that the real and imaginary parts are “mixed” and a logarithmic singularity appears in the density of states. When the magnon frequencies are included in the denominators of Eqs. (11) and (12), the singularity is spread out over the interval $`\omega _{\mathrm{max}}`$ and the peak is smoothed out. In the self-consistent approximations (16) and (17) the form of $`N_{}(E)`$ approaches the bare density of states and the peak is completely smeared, even neglecting spin dynamics (Fig. 1), so that the latter plays no crucial role, although shifts somewhat the peak below the Fermi level.

Near the critical concentration the peak in approximation (7) (but not in the Edwards-Hertz approximation) is again smeared (Fig. 2), but this spreading out is no longer noticeable for $`\delta =0.15`$.

In the non-saturated state a spin-polaron pole occurs, so that quasiparticle states with $`\sigma =`$ occur above the Fermi level with

$$n_{}=𝑑Ef(E)N_{}(E)$$

The corresponding DOS picture is shown in Fig. 3.

The critical concentrations $`\delta _\mathrm{c}`$ for the loss of stability of saturated ferromagnetism, as calculated in different approximations considered, are listed in Table 1 for a number of bare densities of states. In the case of fcc lattices (where the bare density of states is asymmetric and has a logarithmic divergence on one edge) we have chosen the sign of the transfer integral for which the saturated ferromagnetism is stable at low $`\delta `$ . Note that it is necessary to use an equation for the chemical potential (18) that is derived from the complete Green’s functions (15). (Using the Hubbard-I approximation here leads to a drop in $`\delta _\mathrm{c}`$ of the order of $`0.1`$.)

It is clear from the Table 1 that the results are fairly stable and do not depend too strong on the form of the approximation. In particular, self-consistency changes them little, leading to a slight reduction in $`\delta _\mathrm{c}`$. The dependence on spin dynamics (magnon spectrum), even in the non-selfconsistent approximation, is weaker (the critical concentration only varies in the third decimal place). At the same time spin dymamics is important for the description of the states near the Fermi level. It is interesting to note that results of the Edwards-Hertz approximation (22) are closer to those of the self-consistent approximation (15) than of the non-self-consistent approximation (7). Unfortunately, in Ref.  only a crude estimate of $`\delta _\mathrm{c}`$ was made by using the quadratic dispersion relation for the hole spectrum which yielded $`\delta _\mathrm{c}=0.16`$. This approximation is not sufficient for quantitative calculations, as one can see from Table 1.

Unlike most other analytical approaches, our results for the one-particle Green’s describe formation of non-saturated ferromagnetism too. It is important that the account of longitudinal spin fluctuations (which were neglected in Ref. ) turns out to be important for obtaining the non-saturated solution and calculating the second critical concentration $`\delta _\mathrm{c}^{}`$

The dependence of the saturation magnetization on the concentration of current carriers for various bare DOS’s is shown in Fig. 4. One can see that this dependence deviates from the linear one, $`S^z=(1n)/2`$, for $`\delta >\delta _\mathrm{c}`$.

Let us perform a comparison of our results with other calculations. Generally, most calculations for a number of lattices yield the value of $`\delta _\mathrm{c}`$ which is close to $`0.3`$ (although the small value $`\delta _\mathrm{c}=0.045`$ was obtained in Ref.  for sc lattice by a diagram approach, a close approach of Ref.  yields much larger values, e.g., $`\delta _\mathrm{c}=0.25`$ for the quadratic lattice). At the same time, for the critical concentrations $`\delta _\mathrm{c}^{}`$ the interval of values is broader and varies from $`0.38`$ to $`0.64`$. Our calculations yield the $`\delta _\mathrm{c}^{}`$ values which are considerably smaller than the results of the spin-wave approximation .

Improved Gutzwiller method  yields for the sc lattice $`\delta _\mathrm{c}=0.33`$, and using the $`t/U`$ expansion  yields $`\delta _\mathrm{c}=0.27`$. For the quadratic lattice the result of the variational approach  is $`\delta _\mathrm{c}=0.251`$, and the result of Ref.  is $`\delta _\mathrm{c}^{}=0.38`$. The density matrix renormalization group approach  lead to the value $`\delta _\mathrm{c}=0.22`$ and the rough estimate $`\delta _\mathrm{c}^{}0.40`$. Quantum Monte-Carlo (QMC) method for density matrix in Ref.  gives $`\delta _\mathrm{c}=0.22`$ and rough evaluation $`\delta _\mathrm{c}^{}0.40`$. QMC in 2d case  gives $`\delta _\mathrm{c}^{}0.40`$. Self-consistent spin density approximation (SDA)  lead to the results for simple cubic and bcc lattices $`\delta _\mathrm{c}<0.32;`$ the values of $`\delta _\mathrm{c}^{}`$ for the cubic lattices are given in Table 1.

The values we have obtained can be compared with those in the limit of an infinite-dimensional space (it should be expected that our method of expanding in powers of $`1/z`$ is rather close to this approximation), for which $`\delta _\mathrm{c}=0.42`$ (Ref. ) and $`\delta _\mathrm{c}=0.33`$ (Ref. ) have been obtained. At the same time, our approach is possible to reproduce the dependence of $`\delta _\mathrm{c}`$ on the dimensionality of space and on the form of the bare density of states.

Recently, $`\delta _\mathrm{c}`$ has been obtained for a large number of lattices . These results are also given in the Table 1 for comparison. It can be seen that in a number of cases our results agree better with a number of other calculations, especially for a square lattice. We note in this connection that a variational method has been used  to obtain a rigorous estimate of $`\delta _\mathrm{c}<0.29`$ for a square lattice. Therefore, our results can be regarded as fairly reliable, even quantitatively.

To conclude, we have obtained the density-of-states pictures in a Hubbard ferromagnet with account of the “Kondo” scattering and spin-polaron contributions. Our approach yield a rather simple interpolational description of saturated and non-saturated ferromagnetism. One can expect that the results obtained will be useful for qualitative understanding of the ferromagnetism formation in narrow bands.

The research described was supported in part by Grant No. 747.2003.2 (Support of Scientific Schools) from the Russian Basic Research Foundation.


format: text

text:
# Generic left-separated spaces and calibers

## §1. Introduction

Let us start by recalling that a regular cardinal $`\varrho `$ is said to be a caliber of a topological space $`X`$ (in symbols: $`\varrho Cal(X)`$) if among any $`\varrho `$ open subsets of $`X`$ there are always $`\varrho `$ many with non-empty intersection. Note that in this paper we restrict the notion of caliber to regular cardinals, although the definition does make sense for singular cardinals as well. Note also that $`\varrho Cal(X)`$ implies that $`X`$ has no cellular family of size $`\varrho `$. Hence, as any infinite $`T_2`$ space has an infinite cellular family, for all spaces of interest we have $`Cal(X)𝐑`$, where $`𝐑`$ denotes the class of all uncountble regular cardinals.

It is trivial to see that if $`\varrho =cf(\varrho )>d(X)`$ then $`\varrho Cal(X)`$, moreover Šanin proved in \[Šn\] that, for any fixed $`\varrho `$, the property of spaces $`\varrho Cal(X)`$ is fully productive. Consequently, for any cardinal $`\kappa `$ we have $`Cal(2^\kappa )=Cal([0,1]^\kappa )=𝐑`$, showing that the converse of the above relation between density and calibers is not valid. More precisely, no bound for the density of $`X`$ can be deduced from the fact that $`X`$ satisfies the condition $`Cal(X)=𝐑`$ that we also call Šhanin’s condition, even for very nice (e. g. compact Hausdorff) spaces $`X`$.

Such a converse, however, is valid if $`X`$ is a compact $`T_2`$ space of countable tightness, as was shown by Šapirovskiĭ in \[S̆ap\], see also \[J1\], 3.25. Indeed, in this case $`\varrho Cal(X)`$ implies $`d(X)<\varrho `$ or, equivalently,

$$Cal(X)=[d(X)^+,\mathrm{})$$

where the interval on the right-hand side (just like in PCF theory) denotes an interval of regular cardinals.

More recently, in \[A\], Archangelskiĭ proved that if $`X`$ is Lindelöf $`T_3`$ and countably tight and $`\omega _1Cal(X)`$ then $`d(X)2^\omega `$. In \[JSz\] both Šapirovskiĭ ’s and Archangelskiĭ ’s results were strengthened and generalized, moreover, under CH, in the second result the conclusion $`d(X)2^\omega =\omega _1`$ was improved to $`d(X)=\omega `$. Of course, this immediately led us to the question if the use of CH here is essential.

In the present note we give an affirmative answer to this question, in fact we show that Archangelskiĭ ’s result is sharp for arbitrarily large values of the continuum $`2^\omega `$, even for hereditarily Lindelöf (in short HL) $`T_3`$ spaces of countable tightness. The examples showing this will be obtained by forcing generic left-separated 0-dimensional spaces in a natural way. Our methods will then be used to also solve some other problems raised in \[JSz\]. Moreover, we shall also prove the consistency of the statement that for any countable subset $`A`$ of $`𝐑`$ there is a countably tight HL $`T_3`$ space $`X`$ such that

$$Cal(X)=𝐑A.$$

This is in sharp contrast with the compact case.

We do not know if there are similar consistency results for uncountable $`A𝐑`$ and the following intriguing question also remains open: Is it provable in ZFC that a countably tight (hereditarily) Lindelöf $`T_3`$ space $`X`$ satisfying Šanin’s condition $`Cal(X)=𝐑`$ is separable?

Our notation and terminology follows \[E\] and \[J1\] in topology and \[K\] in forcing.

## §2. Generic left-separated spaces

Let $`\nu `$ be an arbitrary limit ordinal and consider the suborder $`P_\nu `$ of the Cohen order $`Fn(\nu ^2,2)`$ that consists of those $`pFn(\nu ^2,2)`$ which satisfy conditions (i) and (ii) below:
(i) if $`\alpha ,\alpha D(p)`$ then $`p(\alpha ,\alpha )=1`$;
(ii) if $`p(\alpha ,\beta )=1`$ then $`\alpha \beta `$.

Clearly, $`P_\nu `$ is a complete suborder of $`Fn(\nu ^2,2)`$, hence it is CCC and thus preserves cardinals and cofinalities.

It is straight forward to check that for any pair $`\alpha ,\beta \nu ^2`$ the set

$$D_{\alpha ,\beta }=\{pP_\nu :\alpha ,\beta D(p)\}$$

is dense in $`P_\nu `$, consequently if $`GP_\nu `$ is $`P_\nu `$-generic over $`V`$ then

$$F=G:\nu ^22,$$

i.e. $`F`$ defines a directed graph on $`\nu `$ by $`F(\alpha ,\beta )=1`$ meaning that an edge goes from $`\alpha `$ to $`\beta `$.

Now, in $`V[G]`$, for any $`\alpha \nu `$ and $`i2`$ let

$$U_{\alpha ,i}=\{\beta \nu :F(\alpha ,\beta )=1\},$$

and $`\tau _G`$ be the (0-dimensional) topology on $`\nu `$ generated by the subbase

$$𝒮_G=\{U_{\alpha ,i}:\alpha \nu ,i2\}.$$

In other words, $`\tau _G`$ is the graph topology on $`\nu `$ determined by the directed graph $`F`$ in the sense of \[J2\] or \[J3\].

For all $`\alpha \nu `$ the minimal element of $`U_\alpha `$ is $`\alpha `$ and this shows that $`\tau _G`$ is left-separated in its natural well-ordering. This immediately implies that $`\tau _G`$ is $`T_2`$ and thus, by 0-dimensionality, also $`T_3`$.

All finite intersections of the elements of $`𝒮_G`$ form a base $`_G`$ of $`\tau _G`$. A typical element of $`_G`$ is of the form

$$[\epsilon ]=\{U_{\alpha ,\epsilon (\alpha )}:\alpha D(\epsilon )\},$$

where $`\epsilon Fn(\nu ,2)`$.

All this was easy. Let us now turn to the less obvious properties of the topology $`\tau _G`$.

2.1. Lemma. $`\tau _G`$ is HL.

Proof. Assume, indirectly, that $`pP_\nu `$ forces that $`[\dot{\epsilon }_i]:i\omega _1`$ are right-separating neighbourhoods of the points $`\dot{x}_i:i\omega _1`$ in $`\nu `$, where WLOG we may assume that $`i<j`$ implies $`\dot{x}_i<\dot{x}_j`$. Then for every $`i\omega _1`$ there are $`p_iP_\nu `$, $`\xi _i\nu `$, and $`\eta _iFn(\nu ,2)`$ such that $`p_ip`$ and $`p_i\dot{x}_i=\xi _i`$ and $`\dot{\epsilon }_i=\eta _i`$. We may also assume that $`D(p_i)=a_i^2`$ for some $`a_i[\nu ]^{<\omega }`$, moreover $`\xi _ia_i`$ and $`D(\eta _i)a_i`$. By a standard $`\mathrm{\Delta }`$-system and counting argument we can find $`i,j\omega _1`$ with $`i<j`$ such that
(a) $`p_i(a_ia_j)^2=p_j(a_ia_j)^2`$, i.e. $`p_i`$ and $`p_j`$ are compatible as functions;
(b) $`\eta _ia_ia_j=\eta _ja_ia_j`$;
(c) $`\xi _ia_ia_j`$, $`\xi _ja_ja_i`$, and $`\xi _i<\xi _j`$.

Let us then define $`q:(a_ia_j)^22`$ in such a way that $`qp_ip_j`$, moreover

$$q(\alpha ,\xi _j)=p_i(\alpha ,\xi _i)$$

if $`\alpha D(\eta _i)a_j`$ and $`\alpha \xi _i<\xi _j`$, and $`q(\alpha ,\beta )=0`$ for every other pair $`\alpha ,\beta (a_ia_j)^2(a_i^2a_j^2)`$. It is easy to see that $`qP_\nu `$ because it satisfies (i) and (ii), moreover $`q(\alpha ,\xi _j)=p_i(\alpha ,\xi _i)`$ holds for every $`\alpha D(\eta _i)`$, consequently

$$q\dot{x}_j=\xi _j[\eta _i]=[\dot{\epsilon }_i],$$

contradicting that $`p\dot{x}_j[\dot{\epsilon }_i]`$. $``$

Next we show that $`\tau _G`$ is countably tight.

2.2. Lemma. $`\tau _G`$ has countably tightness.

Proof. Let us assume that for a $`P_\nu `$-name $`\dot{A}`$ and some ordinal $`\xi `$ we have a condition $`pP_\nu `$ which forces $`\xi \dot{A}^{}`$, i.e. that $`\xi `$ is an accumulation point of $`\dot{A}`$. Since $`\tau _G`$ is left separated, we may also assume that $`p\xi <\dot{A}`$, i.e. $`p`$ forces that every element of $`\dot{A}`$ is bigger than $`\xi `$. It can also be assumed that $`\xi ,\xi D(p)`$.

Let $`\lambda `$ be a large enough regular cardinal such that $`H(\lambda )`$ contains “everything in sight”, e.g. $`P_\nu `$, $`\dot{A}H(\lambda )`$, etc. Fix a countable elementary submodel $`N`$ of $`H(\lambda ),`$ such that $`\nu ,\xi ,p,\dot{A}N`$. Clearly, we shall be done if we can prove the following claim.

Claim. $`p\xi (N\dot{A})^{}`$.

To see this, consider any $`\epsilon Fn(\nu ,2)`$ and let $`qp`$ be an arbitrary extension of $`p`$ in $`P_\nu `$ such that $`D(q)=a^2`$ with $`a[\nu ]^{<\omega }`$, $`D(\epsilon )a`$, and $`q\xi [\epsilon ]`$, i.e. $`q(\alpha ,\xi )=\epsilon (\alpha )`$ for every $`\alpha D(\epsilon )`$.

Then $`q_N=qNN`$ is an extension of $`p`$ hence $`q_N|[\epsilon _N]\dot{A}|\omega `$, where $`\epsilon _N=\epsilon N`$. But we also have $`q_NN`$, hence $`NH(\lambda )`$ implies that there is an extension $`rq_N`$ with $`rN`$ and an ordinal $`xNa`$ such that $`D(r)=b^2`$, $`xb`$, and

$$rxN\dot{A}[\epsilon _N].$$

Clearly $`q(aN)^2=r(aN)^2=q_N`$ and $`D(q)D(r)=(aN)^2`$, hence $`q`$ and $`r`$ are compatible as functions. We can thus define $`q^{}qr`$ with the following additional stipulations: $`q^{}(\alpha ,x)=\epsilon (\alpha )`$ whenever $`\alpha D(\epsilon )N`$. Note that neihter $`q`$ nor $`r`$ is defined for a pair $`\alpha ,x`$ of this form because $`xaN`$ and $`\alpha N`$. Also, $`q^{}P_\nu `$ because (i) holds trivially and (ii) holds because if $`\alpha D(\epsilon )N`$ and $`\epsilon (\alpha )=1`$ then by $`q(\alpha ,\xi )=\epsilon (\alpha )=1`$ we have $`\alpha \xi <x`$. Finally, if $`\alpha D(\epsilon )N`$ then we have $`q^{}(\alpha ,x)=r(\alpha ,x)=\epsilon _N(\alpha )=\epsilon (\alpha )`$ because $`rx[\epsilon _N]`$, consequently

$$q^{}xN\dot{A}[\epsilon ]\mathrm{}.$$

This completes the proof of the claim and thus of lemma 2.2. $``$

Note that lemmas 2.1 and 2.2 immediately yield us that $`\nu ,\tau _G`$ is a countably tight $`L`$ space if $`\nu \omega _1`$.

Our next lemma is the main result about calibers of $`\tau _G`$. In fact, for some applications to be given later, we formulate a slightly stronger result about calibers of initial segments of $`\nu `$ as subspaces of $`\nu ,\tau _G`$. So for $`\alpha \nu `$ we let $`X_\alpha `$ denote the subspace of $`\nu ,\tau _G`$ on $`\alpha `$. Note that for any $`\beta \nu \alpha `$ we have $`U_{\beta ,1}\alpha =\mathrm{}`$, consequently for any $`\epsilon Fn(\nu ,2)`$ we have either $`[\epsilon ]\alpha =\mathrm{}`$ or $`[\epsilon ]\alpha =[\epsilon \alpha ]\alpha `$. Therefore the trace of the base $`_G`$ on $`\alpha `$ can be written as

$$_G\alpha =\{[\epsilon ]\alpha :\epsilon Fn(\alpha ,2)\}\{\mathrm{}\}.$$

2.3. Lemma. If $`\alpha \nu `$ is any limit ordinal and $`\varrho `$ is an uncountable regular cardinal with $`\varrho <cf(\alpha )`$ then $`\varrho Cal(X_\alpha )`$. Moreover, we also have $`d(X_\alpha )=cf(\alpha )`$ and so $`Cal(X_\alpha )=𝐑\{cf(\alpha )\}`$.

Proof. By the above remark, to see the first part it clearly suffices to show that whenever $`p\{\dot{\epsilon }_i:i\varrho \}Fn(\alpha ,2)`$ then for some $`\xi \alpha `$ there is a $`qp`$ such that

$$q|\{i\varrho :\xi [\dot{\epsilon }_i]\}|=\varrho .$$

To see this, first we find for each $`i\varrho `$ an $`\eta _iFn(\alpha ,2)`$ and an extension $`p_ip`$ such that $`p_i\dot{\epsilon }_i=\eta _i`$. We may also assume that $`D(p_i)=a_i^2`$ for some $`a_i[\nu ]^{<\omega }`$ and $`D(\eta _i)a_i`$ for all $`i\varrho `$. But then

$$|\{a_i:i\varrho \}|\varrho <cf(\alpha ),$$

hence (the trace of) this union is bounded in $`\alpha `$. Consequently, there is an ordinal $`\xi <\alpha `$ with $`a_i\alpha <\xi `$ for all $`i\varrho `$. Now extend each $`p_i`$ to a condition $`q_iP_\nu `$ such that $`q_i(\alpha ,\xi )=\eta _i(\alpha )`$ for all $`\alpha D(\eta _i)`$. This is clearly possible because

$$D(\eta _i)a_i\alpha <\xi .$$

Note that then $`q_i\xi [\eta _i]=[\dot{\epsilon }_i]`$.

Since $`P_\nu `$ is CCC and $`q_ip`$ for all $`i\varrho `$, there is a condition $`qP_\nu `$ with $`qp`$ such that

$$q|\{i\varrho :q_i\dot{G}\}|=\varrho ,$$

hence clearly

$$q|\{i\varrho :\xi [\dot{\epsilon }]\}|=\varrho ,$$

which was to be shown.

To see that $`d(X_\alpha )=cf(\alpha )`$ first note that $`d(X_\alpha )cf(\alpha )`$ is trivial because $`X_\alpha `$ is left-separated in its natural ordering. On the other hand, if $`S\alpha `$ is any cofinal subset of $`\alpha `$ in the ground model $`V`$ then $`S`$ will be dense in $`X_\alpha `$. Indeed, it is again sufficient to show that $`S[\epsilon ]\mathrm{}`$ for every $`\epsilon Fn(\alpha ,2)`$, and this follows by a straight forward density argument. Consequently we have $`d(X_\alpha )cf(\alpha )`$, hence $`d(X_\alpha )=cf(\alpha )`$.

Now, if $`\varrho 𝐑`$ and $`\varrho >d(X_\alpha )=cf(\alpha )`$ then $`\varrho Cal(X)`$, trivially. Finally, $`cf(\alpha )Cal(X)`$ is again obvious because $`X_\alpha `$ is left-separated. $``$

It is immediate from the above lemmas that if $`\kappa `$ is regular and $`\kappa ^\omega =\kappa `$ then, in $`V^{P_\kappa }`$, we have $`2^\omega =\kappa `$ and the space $`X_\kappa `$ is HL, 0-dimensional $`T_2`$, countably tight with $`d(X_\kappa )=\kappa =2^\omega `$, and $`Cal(X_\kappa )=𝐑\{\kappa \}`$. In particular, this shows that Archangelskiĭ ’s result from \[A\] saying that a Lindelöf $`T_3`$ space $`X`$ with $`\omega _1Cal(X)`$ satisfies $`d(X)2^\omega `$ (or the more general corollary 1.2 of \[JSz\] saying that for such a space $`X`$ with $`\varrho ^+Cal(X)`$ we have $`d(X)2^\varrho `$) is, at least consistently, sharp.

Clearly, in a Lindelöf space of countable tightness every free sequence is countable. Consequently, if we also have $`\kappa >\omega _\omega `$ then the space $`X_\kappa `$ establishes in addition that from corollary 1.5 of \[JSz\] (saying that if $`X`$ is a countably tight $`T_3`$ space with no free sequence of length $`\omega _\omega `$ and satisfying $`\{\omega _n:0<n<\omega \}Cal(X)`$ then $`X`$ is separable provided that $`\omega _\omega `$ is strong limit) the assumption that $`\omega _\omega `$ be strong limit cannot be omitted.

With a little extra work we can deduce from our lemmas the following result showing that we have, again consistently, much more freedom in prescribing $`Cal(X)`$ for Lindelöf (even HL) and countably tight $`T_3`$ spaces than in the case of compact spaces of such kind.

2.4. Theorem. Let $`\kappa `$ be any cardinal. Then, in $`V^{P_\kappa }`$, for every countable subset $`A`$ of $`𝐑\kappa `$ there is a HL and countably tight 0-dimensional $`T_2`$, hence $`T_3`$, space $`X`$ such that $`Cal(X)=𝐑A`$.

Proof. For any $`\varrho A`$ let $`X_\varrho `$ be the subspace $`\varrho ,\tau _G\varrho `$ as in 2.3 and then let

$$X=\{X_\varrho :\varrho A\}$$

be the (disjoint) topological sum of these subspaces. Since $`A`$ is countable, it is obvious that $`X`$ is HL, countably tight, and 0-dimensional $`T_2`$. For any $`\varrho A`$ then $`X_\varrho `$ is a clopen subspace of $`X`$, hence, by 2.3, we have $`\varrho Cal(X_\varrho )`$, implying that $`\varrho Cal(X)`$ as well. On the other hand, if $`\lambda 𝐑A`$ and $`𝒢`$ is a family of open sets in $`X`$ with $`|𝒢|=\lambda `$ then, again by the countability of $`A`$, there is a $`\varrho A`$ such that $`|\{G𝒢:GX_\varrho \mathrm{}\}|=\lambda `$, hence by lemma 2.3 we have $`\lambda Cal(X_\varrho )`$ which implies that also $`\lambda Cal(X)`$. $``$

A natural question that we could not answer is if a similar result could be proved for uncountable sets $`A`$ of regular (uncountable) cardinals. Finally, our methods leave open the following very natural and interesting question formulated below.

2.5. Problem. Is it provable in ZFC that a Lindelöf $`T_3`$ space $`X`$ of countable tightness satisfying Šanin’s condition $`Cal(X)=𝐑`$ is separable?

I. Juhász
A. Rényi Institute of Mathematics,
Hungarian Academy of Sciences,
Budapest, P.O.B. 127, 1364 Hungary
e-mail address: juhasz@renyi.hu

S. Shelah
Institute of Mathematics,
The Hebrew University of Jerusalem,
91904 Jerusalem,
Israel
e-mail address: shelah@math.huji.ac.il


text:
# Twenty Years of Galactic Observations in Searching for Bursts of Collapse Neutrinos with the Baksan Underground Scintillation Telescope

## 1 Introduction

In 1933, Wolfgang Pauli introduced a new neutral particle of low or zero mass to save the law of conservation of energy in nuclear beta decays . This particle was experimentally observed only twenty–five years later by Reines and Cowan . The interactions of neutrinos and their role in particle physics, astrophysics, and cosmology have been studied with an increasing intensity ever since. The discovered particle turned out to be so amazing that it allowed one not only to study nuclear processes on Earth and in its atmosphere but also to look into stellar objects, because it is highly penetrating due to the weakness of its interactions with matter.

Progress in theoretical and experimental research has led to the development of many detectors designed to search for and record terrestrial and extraterrestrial neutrinos. Since the energy sources in stars are nuclear reactions, they also emit neutrinos. A new line of research emerged — neutrino astronomy. However, a constant flux of low–energy neutrinos is very difficult to detect, as evidenced by long–term experiments to study neutrino fluxes from the Sun, the star closest to the Earth .

Back in 1934, Baade and Zwicky  suggested the existence of neutron stars and came up with the idea that these are formed during supernova explosions. Thirty years later, in 1965, Zel’dovich and Gusseinov  concluded that a short burst of high–energy neutrinos could arise when matter is neutronized in the gravitational core collapse of a massive star. In the same year, Domogatsky and Zatsepin  pointed out an experimental possibility of searching for such neutrino bursts. In 1966, Colgate and White  surmised that neutrinos could play a crucial role in supernova explosions. Almost concurrently, the discovery of pulsars in the Crab Nebula , which is the supernova remnant observed by Chinese astronomers in 1054, and in Vela  late in the fall of 1968 provided evidence for the formation of neutron stars during supernova explosions. Subsequent observations and data analysis confirmed this conclusion and gave an insight into the physical processes that underlie these phenomena .

In the succeeding years, both a theory for the final stages of stellar evolution and experiments to search for bursts of such collapse neutrinos were intensively developed. The explosion of the supernova SN 1987A on February 23, 1987, was a special milestone in the development of the two lines of research.

The first experiments to search for neutrino bursts from gravitational stellar core collapses were begun in 1973 by Pennsylvania-Texas-Turin collaboration. These were three small water Cherenkov facilities with target masses of about 20 t each and with particle detection energy thresholds of 20 MeV: the first was at the Homestake Mine at a depth of 4400 meters of water equivalent (m.w.e.) , the second was at a mine in Ohayo at a depth of 1800 m.w.e. , and the third was in the road tunnel under Mont Blanc at a depth of 4270 m.w.e. . They did not work long, only a few years. Although no expected burst of collapse neutrinos was detected, they made the first step on the long way to 1987.

The Baksan underground scintillation telescope (Northern Caucasus, Russia), the LSD scintillation facility under Mont Blanc (Italy) , the scintillation detector at the salt mine in the town of Artemovsk (Ukraine) , and the water Cherenkov detectors Kamiokande II (Japan)  and IMB (USA)  belong to the second generation of collapse–neutrino detectors with target masses of several hundred tons, which began their operation in 1977—1980. The last two detectors were specially designed to search for proton decays, but they proved to be incapable of recording collapse neutrinos.

Before 1987, the theoretical models for the late evolutionary stages of massive stars were one–dimensional calculations of spherically symmetric nonmagnetic nonrotating configurations. The basic neutrino–radiation parameters expected during the gravitational core collapse of a massive star and the cooling of a newborn neutron star were formulated: the total neutrino–radiation energy is $`(2÷5)10^{53}`$erg, , the mean electron–neutrino energy is $`(8÷12)`$ MeV, the fraction of electron antineutrinos in the total radiation is $`(0.16÷0.25)`$ and the burst duration is $`(10÷20)`$ s .

The recording of a neutrino signal from a type–II supernova exploded in the Large Magellanic Cloud, a neighboring galaxy, by three facilities, Kamiokande II , IMB , and the Baksan telescope , on February 23, 1987, first confirmed the basic ideas of the general theoretical pattern of gravitational collapse with the formation of a neutron star. At the same time, however, it raised many questions both for theory and for experiment.

Observations of the expanding envelope of the supernova remnant show that the explosion was asymmetric, with an unusual shape of the remnant, with matter mixing , with an as yet undiscovered pulsar  or with a candidate for a pulsar with unusual properties . All of this led to rapid progress in the theoretical modeling of processes inside stars and in understanding the many processes in core collapse and in the stellar envelope, as well as to a complication of the collapse pattern , particularly when rotation and strong magnetic fields are included in the calculations . However, not all of the questions have been answered as yet. In particular, the stellar–envelope ejection mechanism and, what is important for experimenters, the complete temporal structure of the neutrino luminosity are still problems to be solved. In addition, the general–relativity  and weak–magnetism  effects, which have not yet been included in the calculations and which may lead to a higher neutrino luminosity, as well as a possible nonzero neutrino mass, which would cause the neutrino spectra to change , are being discussed.

The development of methods for analyzing experimental data with small statistics and using them to study the neutrino signals recorded on February 23, 1987, by three facilities also led authors to conclude that the neutrino radiation has a more complex temporal structure .

An important lesson drawn from the history of experimental observation of the neutrino signal from SN 1987A is that the facilities capable of recording collapse neutrinos improved and adjusted their physical parameters and are combined into a single network, SNEWS (SuperNova Early Warning System), to form a coincidence trigger for their signals (when they appear) that will notify observatories of other types of radiation of the beginning of supernova observations .

In addition, it became clear that detectors with an even larger target mass sensitive to all types of neutrino are required to reliably and completely record the expected Galactic neutrino burst. This is how the third–generation neutrino detectors with a characteristic target mass of about 1 kt or higher and with low event detection energy thresholds (about 5 MeV) emerged. When a Galactic burst of collapse neutrinos occurs, the most powerful of these detectors will record over 8500 neutrinos of all types (SuperKamiokande, the target mass is 32 kt of water) , about 1000 neutrinos of all types in the SNO detector with heavy and light water (the total target mass is 2.4 kt) , and over 350 neutrinos of all types in the LVD scintillation detector . Apart from the long–operating LSD  and MACRO  scintillation facilities, which will also record about 100 or more Galactic neutrinos each, the Amanda facility in the ice at the South Pole in Antarctica  was included in the network of collapse– neutrino observations in 1997. A number of new detectors are also prepared to be launched or are being designed .

Thus, of particular importance is the so unexpected phenomenon of a type–II or, possibly, type–Ib/c supernova  in our Galaxy. At least seven neutrino detectors, one of which is the Baksan underground scintillation telescope, were prepared for its recording.

## 2 The Baksan Underground Scintillation Telescope

The Baksan underground scintillation telescope is an instrument for a broad range of scientific research, with one of its experiments being the search for neutrino burst from supernova explosions. The telescope is located in the Northern Caucasus, at the foot of the Mount Elbrus, in the tunnel under the Andyrchi Mountain at a depth of 850 m.w.e.. A general view of the telescope is schematically shown in Fig.1, and the facility is described in detail in . Here, we briefly recall its basic parameters.

The telescope consists of 3150 standard detectors. These detectors form a closed configuration with two internal layers that comprise four vertical planes and four horizontal planes. Each standard detector is $`70\times 70\times 30`$ 3 in size, is filled with an organic $`C_nH_{2n+2}`$, ($`n9`$) scintillator, and is viewed by one photomultiplier with a photocathode diameter of 15 cm. The total target mass is 330 t, and the target mass enclosed in the three internal (starting from the lower horizontal plane) layers is 130 t (1200 standard detectors). The charged–particle detection energy thresholds are 8 and 10 MeV for the horizontal and vertical planes, respectively. The energy reference for standard–detector measurements is the amplitude of the most probable energy release when cosmic–ray muons pass through it (50 MeV). Accordingly, the detector thresholds are given in fractions of the amplitude of this energy release.

An intense burst of neutrinos of all types is expected during a type–II supernova explosion. However, the vast majority of the events recorded with the Baksan telescope will be produced in inverse beta–decay reactions,

$`\overline{\nu _e}+pn+e^+.`$
The contribution from the remaining types of neutrinos to the total recorded signal will be minor .

Since the telescope is located at a relatively small depth, a special event–selection method is used to significantly reduce the background from the cosmic–ray muons that cross the facility in our experiment. This methods is based on an enormous energy difference between the muons and the positrons formed from collapse electron antineutrinos. Passing through the telescope, the muons leave a track from several triggered detectors, while the positrons formed in a particular detector will lose all of their energy almost entirely in this detector. Thus, the main event–selection criterion in our program, — one and only one detector from 3150, —- implies the selection of single standard–detector triggerings; i.e., at the program marker, data on the state of all devices in the facility at the triggering time of one and only one detector in it is written to the online computer memory and then to storage.

As a result, the neutrino signal from a supernova explosion on the facility will appear as a series of events from singly triggered detectors during the neutrino burst.

The count rate from single background events, the statistical clumps of which can imitate the expected signal, was not constant with time at the beginning of the experiment on the telescope, because operations were continuously performed to remove one or another background source, which caused a continuous reduction in the total count rate of single events. Figure 2 shows time variations in the yearly mean count rate of single detector triggerings summed over three internal planes (the lower and the next two planes in Fig.1) in which 130 t of scintillator are contained in 1200 detectors. The data from this part of the facility, i.e., the total number of single triggerings within a given time interval, act as a trigger in the offline analysis of information from the telescope: when an unusual signal was detected in this part of the telescope (i.e., when the number of events was larger than a given number), information from the entire facility was analyzed offline.

Figure 2 also indicates the time intervals when the particle detection energy threshold on the telescope was reduced. As we see from this figure, the background after 1985, when the main operations to remove the strongest noise were finished, was virtually constant within a certain detection energy threshold. Its subsequent modest reduction resulted from the continuous operations to improve the physical parameters of the facility.

The time when the explosion of SN 1987A occurred is shown in the same figure.

If the core of a massive star collapses at the Galactic center to form a neutron star, then one might expect over 50 events on the telescope from the interactions of electron antineutrinos in the 130–t scintillator or over 100 events in the entire telescope. The current information is analyzed by the method of a 20–s–long time interval sliding from event to event with the total threshold number of events in the signal equal to 5. For detection of a signal with a given or larger number of events, 40 rather than 20 s of information with complete data on each event (coordinates on the telescope, time, energy amplitude, the number of detector triggerings in the signal over the current day, and photomultiplier–pulse duration) is analyzed. A signal would be considered to be a serious candidate for collapse detection if nine or more events were observed for 20 s in the telescope target mass of 130 t (internal layers). No such signal was detected over the entire period of observations with the telescope.

The telescope was constructed late in 1977. However, the physical experiments began later, because it took time for us to figure out how the instrument behaved. The facility has been operating almost continuously under the program of search for collapse neutrinos (the program was called Collapse) since the mid–1980. One maintenance day per week, when the necessary repair and maintenance operations are performed on the facility, and the emergency situations of seasonal power cuts or online computer replacement constitute an exception. So, the total time of Galactic observation accounts for 90% of the calender time.

Thus, information from the telescope was accumulated under the program of search for collapse neutrinos, but there was no expected neutrino signal. The history of detecting the neutrino signal from SN 1987A in the Baksan data and the related dramatic searches for the cause of the then unexpected clock error have long been published . A new clock with a self–contained power supply has been in operation since February 1988, providing a 1–ms accuracy of determining the absolute time.

## 3 Results of the Observations

When the Baksan experiment to search for collapse neutrinos began, the frequency of expected signals was of great importance. Observations of historical supernovae in our Galaxy, supernovae in other galaxies, stellar statistics, pulsar statistics, and even the thermoluminescence of samples of bottom sediments were used in the literature to determine the time interval between events in which supernovae, neutron stars, or black holes were expected to be formed.

At that time, the most optimistic estimate of this interval was obtained from an analysis based on observations of 149 pulsars, which predicted the birth of one pulsar approximately every six years . Although a later reanalysis of the pulsar birth rate yielded a different estimate of this interval, about 30 years , we still hoped for a positive result at the beginning of our experiment, especially since the last supernova was observed on Earth 400 years ago.

Another optimistic result was obtained by analyzing stellar statistics: when calculating the total star death rate with the ultimate formation of pulsars, black holes, supernovae, and any other possibilities, except white dwarf, the interval between such events was found to be $`9_3^{+2}`$ years . The estimates for the rate of type–II supernovae in our Galaxy by other authors give a large spread in the predictions of its mean value. This appears to be attributable to a large number of assumptions used and approximations, for example, about the luminosity of the Galaxy , its morphological type , the initial mass function , the fraction of detected pulsars , and many others .

Subsequently, the relationships between supernova statistics and galactic evolution were analyzed and it was concluded that the supernova rates were functions of cosmic time . In addition, a study of the light curves for SNe Ib/c showed them to be similar to the light curves for type–II supernovae , led one to conclude that the SN Ib/c progenitor was a massive star, and suggested that neutron stars could also be formed during their explosions.

Recent estimates of the supernova rate from stellar statistics show that the following number of such events may be expected in our Galaxy : $`2_1^{+1}`$ for SNe Ib/c and $`12_6^{+6}`$ for SNe II in 1000 years. Recently, however, the same authors improved these Galactic values : $`1.5_{1.0}^{+1.0}`$ for SNe II $`+`$ Ib/c in 100 years or about one supernova with the formation of a neutron star every 50 years. The latter value is almost equal to this interval previously estimated to be 10—50 years  when the above possible sources of discrepancies are taken into account. In general, it is clear that the sought–for rate estimated from stellar statistics lies within the range $`10^2310^2`$ per year or with a mean estimate of the interval between supernovae equal to $`47_{12}^{+12}`$ years .

In recent years, it has been found from the statistics of pulsars that they are formed, on average, once every 60–330 years , although it is still unclear in what systems the pulsars of a particular class are born .

Thus, recent estimates for the rates of supernova explosions and pulsar formation lead us to conclude that this event is rare and that the spread in estimates is large. Therefore, it becomes all the more necessary to obtain the result from direct observations of these events with neutrino detectors.

The Baksan telescope has been observing the Galaxy since June 30, 1980. Because of all the operations performed to increase its sensitivity to the expected burst of collapse neutrinos, the telescope views the entire Galaxy . The calendar time of the Collapse experiment is 19.75 years, while the total live observing time is 17.6 years. No signal, except SN 1987A in the Large Magellanic Cloud, that could be reliably interpreted as a burst of Galactic electron antineutrinos was detected with the facility over this period.

An upper bound on the mean frequency of gravitational collapses in the Galaxy can be obtained from the observing time. If we denote the mean frequency of collapses by $`f_{collapse}`$ and if we assume that, first, their frequency (as rare events) obeys the Poisson law and, second, the probability of missing the signal is less than 10 % at 90 % confidence, then we derive the following inequality for the total live observing time T = 17.6 years:

$`e^{f_{collapse}T}<0.1,`$
whose solution $`forf_{collapse}`$ yields a bound on the frequency of collapses in the Galaxy,

$`f_{collapse}(90\%\text{confidence})<0.13\text{yr}^1.`$
Hence, the mean time interval $`\mathrm{\Delta }T_{collapse}`$ between the expected Galactic events exceeds

$`\mathrm{\Delta }T_{collapse}(90\%\text{confidence})>7.7\text{years}.`$
Thus, the first twenty years on the path to detecting the first neutrino burst in our Galaxy have been traversed, although this may prove to be only a small part of the required path.

## 4 Acknowledgments

We wish to thank the staff of the Baksan neutrino observatory, those who are still working and those who have left it, for a long and fruitful collaboration in this experiment. This study was supported by the Russian Foundation for Basic Research (project no. 00-02-17778).


text:
# Giant resonances in the deformed continuum

11institutetext: Physics Department, Tohoku University, Sendai 980-8578, Japan 22institutetext: Institute of Physics, University of Tsukuba, Tsukuba 305-8571, Japan (Received: date / Revised version: date)

## Abstract

Giant resonances in the continuum for deformed nuclei are studied with the time-dependent Hartree-Fock (TDHF) theory in real time and real space. The continuum effect is effectively taken into account by introducing a complex Absorbing Boundary Condition (ABC).

offprints:

Giant resonances (GR) are the most prominent feature of nuclei at high excitation energy. Recently, the GR becomes an active issue again in relation with the structure of unstable nuclei. The major part of GR’s strength is embedded in the continuous energy spectrum, at energies higher than the neutron and proton separation energies. Thus, the coupling to the continuum is a key issue to understand the excitation mechanism and damping of the GR.

It has been well-known that the effects of the continuum can be properly treated in the random-phase approximation (RPA) with Green’s function in the coordinate space SB75 . However, it is very difficult to directly apply the method to deformed nuclei because construction of the Green’s function becomes a difficult task for the multi-dimensional space. Recently, we have developed a numerical method of constructing the three-dimensional (3D) Green’s function with a proper boundary condition and studied photoabsorptions of molecules NY01-1 . Although the method works successfully in calculations of response functions in electron systems, complexity of nuclear Hamiltonian makes its application to nuclear physics harder NY01-2 . Therefore, we investigate an alternative treatment of the continuum in deformed systems; Absorbing Boundary Condition (ABC) method. The ABC method was extensively utilized in a field of the quantum chemistry, in order to study chemical reactions (for instance, see Ref. SM92 ). We have shown that the ABC method is also very useful to treat the electronic continuum in molecules and clusters NY01-1 . We are also applying the ABC method to studies of the continuum effects in nuclear response NY02-1 ; NY02-2  and in nuclear reaction UYN02-1 ; UYN02-2 .

The essential trick for the treatment of the continuum in the ABC method is to allow the infinitesimal imaginary part in the Green’s function, $`iϵ`$, to be a function of coordinate and finite, $`iϵ(𝐫)`$ SM92 . The $`ϵ(𝐫)`$ should be zero in the interaction region and positive outside the physically relevant region of space. This is equivalent to adding the absorbing potential to the original Hamiltonian, $`HHiϵ(𝐫)`$. We adopt a function form of $`ϵ(r)`$ being linearly dependent on the radial coordinate $`r`$. The conditions and limitations on $`ϵ(𝐫)`$ are discussed in a number of works (see Ref. SM92  and references therein).

In this work, we use ABC in the time-dependent Hartree-Fock calculations on a 3D coordinate grid. In the real-time calculations, the linear response is computed by applying an impulsive external field to the Hartree-Fock (HF) ground state, then calculating the expectation values of some observables as a function of time, and then Fourier transforming to get the energy response YB96 ; NY01-1 ; NY02-2 . Since all frequencies are contained in the initial perturbation, the entire energy response can be calculated with a single time evolution.

We use the Skyrme energy functional of Ref. BFH87  with the SGII parameter set GS81 . For calculations of the HF ground state, the imaginary-time method of Ref. Dav80  is utilized. For the time evolution of the TDHF state, to which the time-odd components in the energy functional also contribute, we follow the prescription in Ref. FKW78 . The model space is a sphere whose radius is 22 fm. The absorbing potential,$`iϵ(r)`$, is zero in a region of $`r<10`$ fm, while it is non-zero at $`r>10`$ fm. The TDHF single-particle wave functions are discretized on a rectangular mesh in a 3D real space. In order to reduce number of mesh points outside the interaction region, we employ curvilinear coordinates which are mapped by a change of coordinates to an adaptive mesh in Cartesian coordinates MZK97 . More details will be published in our forthcoming paper NY02-3 .

In this paper, we discuss an application of ABC to the isovector giant dipole resonance (GDR) in 24Mg. The density distribution of the ground state has a prolate shape. In Table 1, calculated single-particle energies of neutrons and protons are listed. The deformation lifts the $`(2j+1)`$-fold but not the Kramers degeneracy. The energies of the highest occupied single-particle orbitals for neutrons and protons are $`14.4`$ MeV and $`9.7`$ MeV, respectively. Since the height of Coulomb barrier for protons is $`45`$ MeV, the nucleonic continuum plays an effective role when the nucleus gets excitation energy larger than $`1415`$ MeV.

We take an initial external field as

$$𝐕_{\mathrm{ext}}(t)=k𝐫\left\{\frac{1}{2}\left(1\tau _z\right)e\frac{Ze}{A}\right\}\delta (t),$$
(1)
where $`k`$ should be small enough to validate the linear response approximation. Of course, after the Fourier transform, the calculated $`E1`$ strength should not depend on the magnitude of $`k`$. In this calculation, we choose $`k=0.001`$.

Fig. 1 (a) shows that the time evolution of $`E1`$ dipole moment initiated by the impulsive perturbation of Eq. (1), $`(V_{\mathrm{ext}})_x`$. We perform two kinds of TDHF simulation with the same initial perturbation; TDHF with the ABC described above, and the one with the box (vanishing) boundary condition at $`r=10`$ fm. Time evolution is carried out up to $`T=10\mathrm{}`$/MeV. The total period of time evolution, $`T`$, is related with the energy resolution after the Fourier transform, $`\mathrm{\Delta }E`$, by $`\mathrm{\Delta }E=2\pi \mathrm{}/T`$. In the box calculation, the dipole oscillation damps in a short period of time. However, we find a beating structure in a long period. The beat comes from reflection of outgoing waves during the time evolution of the TDHF state. On the other hand, the ABC calculation does not indicate any prominent beating pattern. Since the difference becomes significant at $`t1\mathrm{}`$/MeV, the box calculation can provide a reliable result only when the strength function is averaged over an energy width of 6 MeV.

The Fourier transform of the dipole moment, $`D_x(t)`$, $`D_y(t)`$, and $`D_z(t)`$, calculated with ABC leads to $`E1`$ oscillator strengths of 24Mg shown in Fig. 1 (b). Here, we use a smoothing parameter of $`\mathrm{\Gamma }=1`$ MeV. The calculation shows a prominent double-peak structure which corresponds to the deformation splitting of the GDR. The distribution of the oscillator strength qualitatively agrees with the photoneutron cross section BF75 . A high energy tail of the oscillator strength (at $`E>25`$ MeV) cannot be reproduced in the calculation with the box boundary condition. It turns out that the box calculation significantly changes the $`E1`$ strength at $`E23`$ MeV, compared to the ABC results of Fig. 1 (b). In other words, the damping effect caused by fast emissions of a nucleon is important for $`E23`$ MeV.

In summary, the isovector GDR in the continuum of deformed nuclei is investigated with the linear response theory. The single-nucleon continuum is taken into account by the ABC. The real-time TDHF is an efficient method to calculate the energy response over a wide range of energy. We consider that the present method, TDHF combined with ABC, is promising and we are studying excited states and responses in nuclei near drip lines NY02-1 ; NY02-3 .


text:
# Neutrino-deuteron reactions at solar neutrino energies

## 1 Introduction

The establishment of the Sudbury Neutrino Observatory (SNO) has greatly increased the necessity of detailed theoretical studies of the neutrino-deuteron ($`\nu d`$) reactions. At SNO, neutrino oscillations can be directly tested by measuring the solar electron-neutrino flux using the charged-current (CC) reaction ($`\nu _ede^{}pp`$) and the total solar neutrino flux using the neutral-current (NC) reaction, $`\nu _xd\nu _xpn`$ ($`x=e,\mu \mathrm{or}\tau `$). The recent SNO results have given definitive evidence for neutrino oscillations. To make the best use of the existing and future SNO data, it is highly desirable to further improve the theoretical estimates of the $`\nu d`$ cross sections.

A traditional approach for describing nuclear electroweak processes consists in evaluating the contributions of 1-body impulse-approximation (IA) operators and 2-body exchange-current (EXC) operators defined in the Hilbert space of non-relativistic nuclear wave functions, with the EXC terms derived from one-boson exchange diagrams. We refer to this approach as SNPA (standard nuclear physics approach). The calculations of the $`\nu d`$ cross sections ($`\sigma _{\nu d}`$) based on SNPA have been done by several authors ; the most recent work due to Nakamura et al. shall be referred to as NSGK  and NETAL .

An alternative approach, effective field theory (EFT), has been applied to the $`\nu d`$ reaction by Butler et al.(BCK). The EFT lagrangian used by BCK involves one unknown low-energy constant (LEC), $`L_{1A}`$, which BCK adjusted to optimize fit to the $`\sigma _{\nu d}`$ of NSGK. After this fine-tuning, the results of BCK were found to agree with those of NSGK within 1% over the entire solar-neutrino energy region. Very recently, Ando et al. have performed an EFT-motivated calculation of $`\sigma _{\nu d}`$  using a method called EFT\*; in this approach, originally proposed by Park et al., the electroweak transition operators are derived with a cut-off scheme EFT, while the initial and final nuclear wave functions are obtained with the use of a realistic phenomenological $`NN`$ potential. The EFT\* lagrangian contains an unknown LEC, denoted by $`\widehat{d}^R`$, which plays a role similar to $`L_{1A}`$ in BCK. In EFT\*, however, $`\widehat{d}^R`$ can be determined directly from the tritium $`\beta `$-decay rate $`\mathrm{\Gamma }_t^\beta `$, which allows a parameter-free calculation of the $`\nu d`$ cross sections.

We give here a concise account of the latest SNPA calculation of the $`\nu d`$ reaction carried out in NETAL . The main points of improvement over NSGK are as follows. First, the updated value of the axial coupling constant $`g_A`$ is used. Secondly, the treatment of the axial-vector exchange current ($`𝑨_{\mathrm{EXC}}`$) is improved. Since the $`\nu d`$ reaction in the solar-neutrino energy region is dominated by the Gamow-Teller (GT) transition, $`𝑨_{\mathrm{EXC}}`$ is a crucial ingredient that controls the accuracy of calculated cross sections. Among the various terms in $`𝑨_{\mathrm{EXC}}`$, the $`\mathrm{\Delta }`$-excitation current is the most important one. NETAL uses the $`\mathrm{\Delta }`$-excitation current determined in Ref.  to reproduce the experimental value of $`\mathrm{\Gamma }_t^\beta `$. Thirdly, NETAL employs the effective Fermi coupling constant $`G_F^{}`$ that includes inner-radiative corrections instead of $`G_F`$ used in NSGK. Furthermore, the stability of theoretical estimates is investigated by comparing the new SNPA calculation with Ando et al.’s EFT\* calculation .

## 2 Formalism

The interaction hamiltonian ($`H_W`$) for a weak semileptonic process is given by the product of the hadron current ($`J_\lambda `$) and the lepton current ($`L^\lambda `$) as

$`H_W^X`$ $`=`$ $`{\displaystyle \frac{G_F^X}{\sqrt{2}}}{\displaystyle 𝑑𝒙[J_\lambda ^X(𝒙)L^\lambda (𝒙)+\text{h. c.}]},`$ (1)
with $`X`$=CC or NC, and $`G_F^{CC}(G_F^{NC})=G_F^{}V_{ud}(G_F^{})`$, where $`G_F^{}`$ is the weak coupling constant determined from the $`0^+`$-$`0^+`$ $`\beta `$-decay rates, and $`V_{ud}`$ is the K-M matrix element. The hadron current is the sum of the vector ($`V_\lambda `$) and the axial current ($`A_\lambda `$);

$`J_\lambda ^{CC}(𝒙)`$ $`=`$ $`V_\lambda ^+(\text{ }𝒙)+A_\lambda ^+(𝒙)`$ (2)
for the CC reaction and

$`J_\lambda ^{NC}(𝒙)`$ $`=`$ $`(12\mathrm{sin}^2\theta _W)V_\lambda ^3(𝒙)+A_\lambda ^3(𝒙)2\mathrm{sin}^2\theta _WV_\lambda ^s(\text{ }𝒙)`$ (3)
for the NC reaction. Here $`\theta _W`$ is the Weinberg angle. The hadron current consists of the 1-body IA current and the 2-body EXC, whose explicit forms can be found in Ref. . Other details of the calculation including multipole expansion and the cross section formula are given in Ref.\[̇2\]. For numerical results, NETAL used the deuteron and the $`NN`$ scattering wave functions generated with the ANLV18 potential .

## 3 Results and Discussion

The calculated total cross section for the CC reaction ($`\sigma _{\nu d}^{CC}`$) is shown in Fig.1 as a function of the incident neutrino energy ($`E_\nu `$). Although the cross section is dominated by the GT transition leading to the final $`{}_{}{}^{1}S_{0}^{}`$ $`NN`$ state, the transitions leading to higher partial waves are not totally negligible; they account for 1% and 4% of the reaction rate at $`E_\nu 10`$ MeV and $`E_\nu 20`$ MeV, respectively.

The ratio $`\sigma _{\nu d}^{CC}`$(IA+EXC)/$`\sigma _{\nu d}^{CC}`$(IA) is shown in Table 2 for both NETAL and NSGK. In NETAL, the EXC contribution to $`\sigma _{\nu d}^{CC}`$ is $``$2%, which is $``$3% smaller than the NSGK results. The strength of $`𝑨_{\mathrm{EXC}}^{\mathrm{NSGK}}`$ was determined by analyzing the $`np\gamma d`$ reaction and assuming a quark-model relation between the axial vector and vector coupling constants for the $`N\mathrm{\Delta }`$ transition. We note, however, that $`\mathrm{\Gamma }_t^\beta `$ should give a much more direct constraint on $`𝑨_{\mathrm{EXC}}`$ than $`\sigma (npd\gamma )`$, the latter being governed by the vector current. One way to gauge the sensitivity of $`\sigma _{\nu d}`$ to different choices of $`𝑨_{\mathrm{EXC}}`$ is to normalize the strength of $`𝑨_{\mathrm{EXC}}^{\mathrm{NSGK}}`$ near threshold to reproduce $`𝑨_{\mathrm{EXC}}^{\mathrm{NETAL}}`$. With this normalization applied, the difference between the two EXC models is reduced to 0.2%; see the fourth column in Table 1. Thus it is the overall strength of $`𝑨_{\mathrm{EXC}}`$ that controls the low-energy $`\nu d`$ reactions; $`\sigma _{\nu d}`$ is insensitive to the detailed structure of $`𝑨_{\mathrm{EXC}}`$ once EXC is adjusted to reproduce $`\mathrm{\Gamma }_t^\beta `$.

Comparison with an EFT\* calculation  provides a further test of the reliability of $`\sigma _{\nu d}`$ obtained in NETAL. It is sufficient to make this comparison for the reaction rate leading to the final $`{}_{}{}^{1}S_{0}^{}`$ state. Table 2 shows the ratio $`\sigma _{\nu d}`$(EFT\*)/$`\sigma _{\nu d}`$(SNPA), from which we can conclude that SNPA and EFT\* give identical results within 1% accuracy. This agreement proves the robustness of the theoretical estimates of $`\sigma _{\nu d}`$ obtained in NETAL.

With the improved inputs as described above, NETAL have obtained $`\sigma _{\nu d}`$’s that are slightly larger ($``$1%) than those of NSGK. The $`\sigma _{\nu d}`$’s in NETAL are considered to be reliable within 1% accuracy.

Besides the absolute value of $`\sigma _{\nu d}`$, the ratio $`R=`$$`\sigma _{\nu d}^{NC}`$$`/`$$`\sigma _{\nu d}^{CC}`$ is an important quantity for SNO experiments. Comparing the $`R`$’s obtained in NETAL, NSGK and EFT\*, we can assign $`0.5`$% accuracy to the calculated $`R`$.

The radiative corrections are expected to affect $`\sigma _{\nu d}`$ at the level of a few per cent. NETAL only took into account a part of the radiative correction incorporated into $`G_F^{}`$; the most recent estimation of the remaining radiative corrections can be found in Ref. .

A new experimental value of $`g_A`$ has been presented at this conference by Abele . The reported value, $`g_A`$=1.274, is significantly larger than the current PDG value used by NETAL. We remark, however, that if the calculation of NETAL is repeated with the use of this new value of $`g_A`$, the resulting $`\sigma _{\nu d}`$’s would be essentially unchanged. Since the strength of $`𝑨_{\mathrm{EXC}}`$ in NETAL is determined to reproduce $`\mathrm{\Gamma }_t^\beta `$, an increase in $`g_A`$ is largely compensated by a decrease in $`𝑨_{\mathrm{EXC}}`$, leaving $`\sigma _{\nu d}`$’s essentially unaffected.

This work is supported in part by the Japan Society for the Promotion of Science, Grant No. (c) 12640273, and by the US National Science Foundation, Grant No. PHY-9900756 and No. INT-9730847.


text:
# Black hole mass and binary model for BL Lac object OJ 287

## 1 Introduction

OJ 287 (0851+202) at red-shift $`z=0.306`$ is one of the most active and best studied BL Lac objects. While it was identified in 1967 (Dickel et al. dickel67 (1967)), its optical observations were dated back to 1890s, which makes it be one of the best candidates for searching for long-term periodicity. Based on the historical optical light curves, Sillanpää et al. (sillanpaa88 (1988)) found the large optical outbursts of OJ287 recurrent with a period of 11.65 yr and proposed a binary black hole model, which predicted an outburst in the 1994 fall.

Although the predicted large optical outbursts were detected in 1994 and 1995, it was found that the outbursts are double-peaked and the binary black hole model has to be modified (Sillanpää et al. sillanpaa96 (1996)). Among the proposed models to explain the periodicity of OJ 287, those of binary black holes (Lehto & Valtonen lehto96 (1996)), procession jet (Katz katz97 (1997)), rotating helical jets (Villata et al. villata98 (1998)) and the thermal instability of slim accretion disk (Liu et al. liu95 (1995)) can explain the periodicity in optical band well. However, radio and polarization observations show that the first of the two peaks is narrow and thermal, and the second one is broad and synchrotronic (Valtaoja et al. valtaoja00 (2000); Pursimo et al. pursimo00 (2000)). Both flares should be synchrotronic and identical in the processing/helical jet models while thermal and similar to each other in the binary black hole model (Valtaoja et al. valtaoja00 (2000)). Another difficulty with the binary model is that it requires an extremely massive primary of $`M=1.5\times 10^{10}\mathrm{M}_{}`$ (Pietilä pietila98 (1999)), which is at least one order of magnitude larger than the super-massive black hole masses of other BL Lac objects (Barth et al. barth02 (2002); Wu et al. wu02 (2002); Falomo et al. falomo02 (2002)).

In the binary black hole model, the outburst thermal optical/IR photons should be up-scattered into $`\gamma `$-ray regime by the relativistic electrons in the jets via inverse Compton scattering process. From the parameters given by Pietilä (pietila98 (1999)), the estimated time for photons to travel from the impact site to the jets is about 20 days and implies a delay of about three weeks between the optical/IR outbursts and high energy $`\gamma `$-ray radiations. Such a large lag is not consistent with the EGRET $`\gamma `$-ray observations (Shrader et al. shrader96 (1996)).

To resolve the difficulties of the models mentioned above, Valtaoja et al. (valtaoja00 (2000)) suggest a new binary scenario to explain the observations of radio flux and polarization. In their model, the first thermal flare of the outbursts is caused when a secondary black hole hyper-sonically passes through the accretion disk around the primary, and the second synchrotron flare after a viscous time scale $`t_{\mathrm{vis}}`$ is from the jet as the perigee passage enhances the accretion rate in the accretion disk, leading to increased jet mass flux and formation of strong shocks down the jet. As for such a scenario a constant period agrees with all the sharp outbursts (the first peak), a precession of the binary orbit and an extreme primary black hole are not needed (Valtaoja et al. valtaoja00 (2000)). However, as the lack of accurate knowledge of the primary black hole mass, Valtaoja et al. (valtaoja00 (2000)) did not estimate the parameters of the new system. In this letter, we extend Valtaoja et al’s model to explain all the observations and try to estimate the physical parameters of the new scenario.

After a brief summary of the observations in Sec. 2, we describe the model in Sec. 3. In Sec. 4, we try to estimate the parameters of the model. Our discussions and conclusions are presented in Sec. 5. $`H_0=50\mathrm{km}\mathrm{s}^1\mathrm{Mpc}^1`$ and $`q_0=0.5`$ are used throughout the paper.

## 2 Observations

The optical outbursts of OJ287 have a period of $`P=11.886\mathrm{yr}`$ (Kidger kidger00 (2000)) and are double-peaked with a spacing of 416 days (Sillanpää et al. sillanpaa96 (1996); Kidger kidger00 (2000)). The first flare is thermal and narrow without corresponding radio outburst and the second one is non-thermal and broad with strong outburst in radio (Valtaoja et al. valtaoja00 (2000); Pursimo et al. pursimo00 (2000) and references therein). The variability in the IR band is similar to that in the optical band (Kidger et al. kidger95 (1995); Pursimo et al. pursimo00 (2000)). The first flare in the nearest 1994-1995 outbursts peaked at JD1994.86 and the second one did at 1996.00. A small UV flare was detected during the first optical flare and no observation was made around the second one (Pursimo et al. pursimo00 (2000)).

The observations made around JD1994.88 showed no evidence for any X-ray outburst, but weak flux variations of time-scale as short as the time limit of the instrument (96 minutes) were detected (Idesawa et al. idesawa97 (1997); Pursimo et al. pursimo00 (2000)). EGRET observations integrating from 10 to 15 November 1994 showed that in the $`\gamma `$-ray band the object was three times brighter than earlier, when it was in a low optical state (Shrader et al. shrader96 (1996); Pursimo et al. pursimo00 (2000))

The optical polarization is very low during the first flare but very high during the second flare. A substantial increase of optical polarization and a large change of positional angle within one day at JD1995.16 have been observed (Smith et al. smith87 (1987); Takalo takalo94 (1994); Pursimo et al. pursimo00 (2000); Efimov et al. efimov02 (2002)). The variability of radio polarization is similar but with a time delay to that of optical polarization (Valtaoja et al. valtaoja00 (2000); Pursimo et al. pursimo00 (2000)).

The host galaxy of OJ 287 has been marginally resolved recently and has an absolute magnitude of $`M_\mathrm{R}=23.23`$ (Heidt et al. heidt99 (1999))

## 3 A revised binary black hole model

The new binary scenario initially proposed by Valtaoja et al. (valtaoja00 (2000)) and described in the introduction can be extended to explain the optical polarization, the X-ray variation and the $`\gamma `$-ray radiation of OJ287.

In addition to an enhancement of the accretion rate, the perigee passage also causes strong shocks in the accretion disk, which propagate inwards and outwards at the speed of sound. The shocks arrive at the jet roots after a sound traveling time scale $`\mathrm{\Delta }t_\mathrm{s}`$ and cause cause a very small increase of the jet flow and shocks down the jets, compressing the magnetic fields in the jets and therefore causing a rapid increase of the optical polarization and large rotation of positional angle about $`\mathrm{\Delta }t_\mathrm{s}0.30\mathrm{yr}`$ after the first optical flare.

The thermal optical/IR photons of the first main flare feed the jets of the primary black hole and are up-scattered into the $`\gamma `$-ray regime by the relativistic electrons in the jets via inverse Compton scattering. The $`\gamma `$-ray outbursts, which have a delay of light traveling time from the impact site to the jets, may have been detected by EGRET. The detected weak X-ray variability may be generated around the secondary black hole, as the secondary is also an X-ray radiation source.

The apogee passage of the secondary black hole through the accretion disk may be too weak and undetectable.

## 4 Parameters of the model

### 4.1 Masses of the black holes

It was found recently that the masses of the center black holes in active and inactive galaxies follow tight correlations with the bulge velocity dispersions (e.g. Gebhardt et al. gebhardt00 (2000); Merritt & Ferrarese 2001a ; 2001b ) and the bulge luminosities (e.g. Magorrian et al. magorrian98 (1998); McLure & Dunlop mclure02 (2002)). The host galaxy of OJ287 was marginally resolved only recently of an effective radius $`r_\mathrm{e}=0.72^{\prime \prime }`$ and an absolute magnitude $`M_\mathrm{R}=23.23`$ (Heidt et al. heidt99 (1999)). A black hole mass of $`M4.6\times 10^8\mathrm{M}_{}`$ is obtained with the absolute magnitude together with the correlation of black hole mass and bulge luminosity ($`ML_{\mathrm{bulge}}`$) for active galaxies given by McLure & Dunlop (mclure02 (2002)). With the morphological data of the host galaxy in Heidt et al. (heidt99 (1999)), we estimated the central velocity dispersion $`\sigma `$, using the fundamental plane of a tight correlation of velocity dispersion, effective radius and average surface brightness for elliptical galaxies (Bettoni et al. bettoni01 (2001)). A second value of the black hole mass $`M3.2\times 10^8\mathrm{M}_{}`$ was derived with the estimated velocity dispersion $`\sigma `$ and the $`M\sigma `$ correlation given by Merritt & Ferrarese (2001b ). The two estimated values of the black hole mass agree well with each other and are consistent with the upper limit $`M10^9\mathrm{M}_{}`$ obtained by Valtaoja et al. (valtaoja00 (2000)). We used their mean value $`M=4\times 10^8\mathrm{M}_{}`$ in the following calculation.

For the secondary, one can set only an upper limit $`m/M_{}10^8`$, if the variability of the X-ray flux is from the accreting gas around it.

### 4.2 Standard thin accretion disk or ADAF?

While it has been suggested that the accretion disk in BL Lac objects is optically thin (Rees et al. rees82 (1982); Cavaliere & D’Elia cavaliere02 (2001)), it is still possible that OJ 287 is exceptional and has an optically thick and geometrically thin accretion disk (e.g. Sundelius et al. sundelius97 (1997); Pietilä et al. pietila99 (1999)).

For an accretion disk, the viscous time-scale is $`t_{\mathrm{vis}}R/vR^2/\nu =Rt_\mathrm{s}/(\alpha H)`$ where $`t_\mathrm{s}=R/c_\mathrm{s}`$. If we take $`t_{\mathrm{vis}}1.14/(1+z)\mathrm{yr}`$ and $`t_\mathrm{s}0.30/(1+z)\mathrm{yr}`$, we have $`H/R0.3`$ for $`\alpha 1`$, which implies a geometrically thick disk. If we assume that large rotation of optical polarization angle (PA) around the time of the first optical outburst is caused by the passage of the secondary through the accretion disk, the nearly simultaneity between the PA rotation and optical outburst implies that the outburst radiation region becomes optically thin immediately when it is generated by the passage. So, it is naturally to assume the accretion disk being optically thin and geometrically thick, i.e. an advection-dominated accretion flow (ADAF).

For an ADAF, the self-similar solutions of sound speed $`c_\mathrm{s}`$ and radial velocity $`v`$ are (Narayan et al. narayan00 (2000)), respectively, $`c_\mathrm{s}=c_0v_\mathrm{K}`$ and $`v=v_0v_\mathrm{K}`$, where $`v_\mathrm{K}`$ is the Keplerian velocity, $`c_0=(2/5)^{1/2}`$ and $`v_0=3\alpha /5`$ for the politropic index $`\gamma =5/3`$. Therefore, we have

$$\alpha =\frac{\sqrt{10}}{3}\frac{t_\mathrm{s}}{t_{\mathrm{vis}}}=0.28,$$
(1)
which is very close to the favored value $`\alpha =0.25`$ in literature (Narayan et al. narayan98 (1998)). The value of $`\alpha `$ slightly depends on the polytropic index $`\gamma `$ and we have $`\alpha 0.31`$ for $`\gamma =7/5`$.

### 4.3 Parameters of the binary system

If the secondary black hole is comparable to the primary, the primary would rotate around their mass center with a large amplitude, which leads up to in a significant sinusoidal twist of jets. Such a twist was not detected by VLBI (e.g. Tateyama et al. tateyama96 (1996); Roberts et al. roberts87 (1987)). So, we have $`mM`$ and the major axis $`a`$ of the secondary orbit is

$$a\frac{1}{2}\left(\frac{Pc}{\pi r_\mathrm{G}\left(1+z\right)}\right)^{2/3}r_\mathrm{G}=4.1\times 10^2M_8^{2/3}r_\mathrm{G},$$
(2)
where $`r_\mathrm{G}`$ is the Schwarzschild radius of the primary and $`M_8=M/\left(4\times 10^8\mathrm{M}_{}\right)`$.

The pericenter passage of the orbit is at radius

$$R_{\mathrm{min}}c_\mathrm{s}t_\mathrm{s}/(1+z)=88M_8^{2/3}r_\mathrm{G}.$$
(3)
If the accretion disk is a standard thin high-$`\alpha `$ disk, the orbit of the secondary may be coplanar with the accretion disk due to disk-secondary black hole interaction (Ivanov et al. ivanov98 (1998); cf. Valtaoja et al. valtaoja00 (2000)). However, the situation is unclear for an advection-dominated accretion flow, as the interaction between the secondary and the disk is negligible (Narayan narayan00a (2000)) and the coplanar time scale is of order of viscous time scale or larger (Ivanov et al. ivanov98 (1998); Scheuer & Feiler scheuer96 (1996)). In the following discussion, we assumed that the orbit of the secondary is roughly coplanar with the accretion disk and the secondary passes through the accretion disc twice per orbit. Then, the eccentricity of the orbit is $`e0.78`$ and the apogee is at radius

$$R_{\mathrm{max}}=7.2\times 10^2M_8^{2/3}r_\mathrm{G}.$$
(4)
The IR/optical photons, which are up-scattered into $`\gamma `$-ray regime by the relativistic electrons in the jets, travel from the pericenter passage to the jets within a time scale $`\mathrm{\Delta }t_\gamma R_{\mathrm{min}}/c=4.0M_8`$ days. So, the model predicts an increase of $`\gamma `$-ray flux with a lag of $`(1+z)\mathrm{\Delta }t_\gamma 5`$ days after the main flare, which is consistent with the EGRET observations (Shrader et al. shrader96 (1996); Pursimo et al. pursimo00 (2000)).

### 4.4 The apogee passage

From the self-similar solutions (Narayan et al. narayan00 (2000)), the ratio of the mass densities between the two passages is $`\rho _{\mathrm{max}}/\rho _{\mathrm{min}}(R_{\mathrm{min}}/R_{\mathrm{max}})^{3/2}=4.3\times 10^2`$. As the radiation of optically thin hot gas is bremsstrahlung and proportional to the density square, the radiation is at least three order of magnitudes fainter at the apogee than at the pericenter. The difference of temperature, $`T_{\mathrm{max}}/T_{\mathrm{min}}(R_{\mathrm{min}}/R_{\mathrm{max}})=1.2\times 10^1`$, makes the radiation at $`R_{\mathrm{max}}`$ even weaker and in lower frequency. Therefore, the burst at the apogee is undetectable.

## 5 Discussions and Conclusions

Basing on the observations of OJ 287 in multi-frequencies and of the host galaxy, we extended and estimated the parameters of the revised binary model initially suggested by Valtaoja et al. (valtaoja00 (2000)). In the model, the mass of the primary black hole is $`4\times 10^8\mathrm{M}_{}`$, which is consistent with the upper limit obtained by Valtaoja et al. (valtaoja00 (2000)) and about 40 times smaller than what the L&V’s model has given (Pietilä pietila98 (1999)). As the semi-major axis is, respectively, about $`30r_\mathrm{G}`$ in the L&V’s model and about $`4.1\times 10^2r_\mathrm{G}`$ in the revised model, the two black holes are about ten times closer in the L&V’s model than in ours (in units of the Schwarzschild radius). With such a less massive primary black hole and larger semi-major axis, the gravitational radiation is much weaker in the new scenario, though we cannot exactly estimate its value as we have only an upper limit of the companion mass. It can be expected that the lifetime of the binary system is much longer in the new model than that in the L&V’s which is only about $`10^4\mathrm{yr}`$.

As we took the constant period of $`P=11.886`$ yr as in Kidger (kidger00 (2000)), the predicted next outbursts (Kidger kidger00 (2000)) are that the first thermal optical flare is at 2006.75 (1 Oct 2006) and the second synchrotron flare is at about 2007.89 (21 Nov 2007). The predictions are consistent within the uncertainties of the period with those given by Valtaoja et al. (valtaoja00 (2000)). In addition, an increase of optical polarization and large rotation of PA at 2007.05 (18 Jan, 2007) and brightening in $`\gamma `$-ray on 5 Oct, 2006 (at 2006.76) are expected by our model.

We identify the small X-ray variations observed about one week after the first flare with radiations from the hot gas around the secondary black hole. However, it is possible that the X-ray variability is not relevant to the pericenter passage event and cannot be detected during the 2006-2007 outbursts. Another possibility is that the arrival signal of sound wave traveling from the impact site to the jets is the variation in X-ray continuum instead of optical polarization. If so, an extremely high eccentricity $`e=0.98`$ is needed. The orbit of the secondary in such a system is completely embedded in the thick accretion disk and no outburst can be observed. Any binary system with such an extremely-high initial eccentricity would very rapidly reduce its eccentricity to $`e0.8`$ due to gravitational radiation and the interaction between the secondary and the accretion disk (cf Artymowicz artymowicz92 (1992)).

If the traveling time scale of shock waves is as short as $`t_\mathrm{s}/2`$, the eccentricity of the binary system is $`e0.87`$ and most part of the orbit must be embedded in the accretion disk. No sharp optical outbursts can be detected. If the traveling time scale of the shock waves is longer than $`t_\mathrm{s}`$, e.g. $`2t_\mathrm{s}`$, the orbit becomes very circular with $`e=0.66`$ and the two passages are very close to each other and $`R_{\mathrm{min}}/R_{\mathrm{max}}0.21`$. The outbursts caused by the apogee passage become significant and detectable. In this case, an intersection of two periodic variabilities of $`p=11.886\mathrm{yr}`$ should have been observed. One possibility is that the orbit is circular of $`a640r_\mathrm{G}`$ (Note that the observed period $`P_{\mathrm{obs}}=P_{\mathrm{orbit}}/2`$) and we have actually observed two equal passages with $`R_{\mathrm{min}}R_{\mathrm{max}}a`$. In this case, the traveling time scale of shock waves is about $`7.3t_\mathrm{s}2.2\mathrm{yr}`$, which implies an unreasonably large $`\alpha 2.0`$. Our conclusion is that the shock traveling time scale of shock waves is between about $`t_\mathrm{s}/2`$ and $`2t_\mathrm{s}`$. It is reasonable to assume that the rapid increase of the optical polarization and the large rotation of positional angle after about 0.30 yr following the first flare are caused by the shock waves arriving at the jet foot-points. As the shock waves may increase the mass flow into jet and cause shocks down the jets, a small synchrotron outburst corresponding to the change of optical polarization is also expected.

We have assumed that the orbit of the secondary is roughly coplanar with the accretion disk in the calculation of the eccentricity $`e`$ and $`R_{\mathrm{max}}`$. If they are not roughly coplanar with each other, the system would have a much higher eccentricity and closer apogee. This problem has already been discussed before.

We used the self-similar solutions to a stationary and vertically averaged one-dimension ADAF. Two-dimensional numerical simulation (Igumenshchev & Abramowicz igo00 (2000)) showed that an ADAF with higher $`\alpha `$ ($`1`$) is convectively unstable. For an ADAF with lower viscosity ($`\alpha 0.1`$), no bipolar or large scale circular motion is present and $`t_{\mathrm{vis}}`$ should be passage-independent. For ADAF with a moderate viscosity $`\alpha 0.3`$, while a self-similar solution is adequate, time-dependent bipolar outflows and large scale circulations are important (Igumenshchev & Abramowicz igo00 (2000)). Thus, a passage-dependent time scale $`t_{\mathrm{vis}}`$ is not inconsistent with our model. However, to fully understand the time dependences of the inner accretion disk, two or even three dimensional numerical simulations are needed. In our model, a time-dependent $`t_{\mathrm{vis}}`$ gives a time-dependent viscous parameter $`\alpha `$. Other estimated parameters are independent of $`t_{\mathrm{vis}}`$.

###### Acknowledgements.

We are grateful to the anonymous referee for his/her helpful comments. FKL acknowledges support by the Swedish Natural Sciences Research Council (NFR). He thanks the director and staff of the Department of Astronomy and Astrophysics, Göteborg University & Chalmers University of Technology, for their warm hospitality during his stay.