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# Order generated by random many-body dynamics

## Abstract

New features related to collective properties generated in the systems driven by random dynamics are observed and their implications for further understanding of interplay between coherence and chaos are discussed.

One of the most extensively developing directions in Wigner’s scientific legacy is associated with random matrix theory (RMT). From a current viewpoint, the RMT corresponds to the limit of extreme chaoticity in the dynamics of a complicated quantum system. During the last decade, the center of interest shifted from the well understood cases, such as quantum billiards or the hydrogen atom in a magnetic field, where the source of chaoticity is in the external conditions of incompatible symmetry, to many-body systems where the interparticle interaction is a driving force for the onset of quantum chaos. Nuclear physics, which long ago was the first arena to host studies of chaotic spectra of complex quantum systems, provides new insights into manifestations of many-body quantum chaos. Inversely, ideas of chaos give rise to new tools in understanding nuclear structure. Using examples taken from nuclear physics we demonstrate here an amazing coexistence of quantum chaos and order in a strongly interacting mesoscopic many-body system.

We consider a nuclear system described by a Hamiltonian with residual interactions that are defined at random but preserve the rotational invariance of the system. It turns out that with a high probability this results in orderly features bearing a striking resemblance to observed properties of nuclei. We limit our discussion here to a simple system containing just a single degenerate $`j`$-level, thus capable of accommodating $`\mathrm{\Omega }=2j+1`$ fermions. The general two-body Hamiltonian is defined as

$$H=\frac{1}{2}\underset{L}{}V_L\underset{\mathrm{\Lambda }}{}P_{L\mathrm{\Lambda }}^{}P_{L\mathrm{\Lambda }},\mathrm{where}P_{L\mathrm{\Lambda }}=\left(a_ja_j\right)_{L\mathrm{\Lambda }}$$
(1)
is a destruction operator for a pair of nucleons with angular momentum $`L`$ and projection $`\mathrm{\Lambda }.`$ The Fermi-statistics permits only even values $`L=0,2,\mathrm{},2j1`$. The $`j+1/2`$ parameters $`V_L`$ are selected at random with zero average and mean square deviation defining the unit of energy. The results are not critically sensitive to the details of the random ensemble, being mainly determined by underlying symmetries.

It was first noted in Ref.  that in this ensemble with an even number of particles the probability to encounter a ground state with spin $`J_0=0`$ significantly exceeds the statistical expectation given by the fraction of $`J=0`$ states in the available space. Features of odd and odd-odd (including isospin) systems are similar if viewed as one or two particles outside an even core and in all cases close to properties of actual nuclei governed by a deterministic nuclear Hamiltonian. These observations attracted a lot of attention; see for example  and references therein. The statistical model  makes a first step in explaining this phenomenon with the aid of an effective Hamiltonian $`\stackrel{~}{H}`$ for classes of states with certain values of conserved quantities $`N`$ and $`𝐉^2`$. From the original Hamiltonian (1) the most coherent parts of interaction, the monopole, $`\stackrel{~}{V}_0`$, and rotational (effective moment of inertia), $`\stackrel{~}{V}_1`$, are extracted,

$$\stackrel{~}{H}_{NJ}=\stackrel{~}{V}_0N(N+1)+\stackrel{~}{V}_1𝐉^2,\stackrel{~}{V}_0=\underset{L}{}\frac{(2L+1)V_L}{\mathrm{\Omega }(\mathrm{\Omega }1)},\stackrel{~}{V}_1=\underset{L}{}\frac{(2L+1)V_L}{2\mathrm{\Omega }^2𝐣^4}(𝐋^22𝐣^2).$$

Clearly, in this approximation the ground state spin has a 50-50% chance to be either $`J_0=0`$ or take the maximum possible value $`J_0=J_{max},`$ depending on the sign of $`\stackrel{~}{V}_1.`$ Numerical studies as well as other theoretical methods support this description for $`J_0=0`$. The excess of $`J_0=J_{max}`$ is also observed but with the probability much less than 50%; in a single-$`j`$ case this state is constructed uniquely and the mean-field approach has to be corrected. The whole picture is close to reality but still incomplete, and a more detailed analysis shows deviations from those average predictions. In particular, the low-lying states reveal correlations that go beyond this simple model.

Pairing correlations in the $`L=0`$ channel seem to be the first candidate for a source of the correlations. The kinematics of a single-$`j`$ level favor pairing; for example out of the $`j+1/2`$ linearly independent choices of $`V_L`$ in (1) more than 2/3 conserve the seniority (number of unpaired particles) . Pairing, however, does not explain the $`J_0=0`$ preponderance in typical shell-model situations with random interactions. In Fig. 1 the statistics of the overlaps $`x=|\psi |\psi _p|^2`$ is shown, where $`|\psi `$ is the wave function of a $`J_0=0`$ state and $`|\psi _p`$ is the $`J=0`$ ground state for the pure pairing Hamiltonian defined by $`V_0=1`$ and $`V_{L0}=0.`$ The amount of pairing in the actual state $`|\psi `$ agrees with the prediction for the random orientation of the state vector, and thus indicates no preference for pairing. This randomness coexists with the previously mentioned seniority rules. In many-level cases off-diagonal phase-insensitive pair transfer processes increase the predominance of $`J_0=0`$.

The dynamics of fermions in each realization of the ensemble creates a mean field, which shows substantial coherence beyond that predicted by the statistical model. Fig. 2 compares average over the ensemble occupation numbers $`n_m=\psi |a_{jm}^{}a_{jm}|\psi `$ for the lowest state $`\psi `$ of given symmetry $`J=M`$ with the statistical prediction. It is clear that these deviations are systematic. This is a generic result, except for some special cases, such as for a half-occupied shell, where there are no deviations because of particle-hole symmetry. For Fig. 3, as well as for the unshaded histograms in Fig. 1, the realizations that lead to $`J_0=0`$ along with $`J_1=2`$ for the first excited state are selected. The number of these realizations exceeds the statistical expectation. For both figures $`j=15/2`$ is used; for $`N=4`$ the fraction of $`J_0=0`$ is 48.4%, and the combination of $`J_0=0`$ and $`J_1=2`$ occurs in 6.7%; for $`N=6`$, $`J_0=0`$ in 68.7%, while the probability of the combination $`J_0=0`$ and $`J_1=2`$ is 9.2%. Fig. 3 shows the distribution of the ratio $`A=Q^2/B(E2)`$ where $`Q`$ is the quadrupole moment of the $`J_1=2`$ state and $`B(E2)`$ is the strength of the transition from this state to the ground state. The dashed line indicates $`A_0=4/49,`$ the rigid rotor value (Alaga rule). This picture shows a tendency of random interactions to create a deformed state with rotational structure. The onset of deformation provides an explanation for an enhancement of pairing correlations in this class of random realizations, seen in Fig. 1, as any deformation in such system leads to enhancement of pairing correlations . This is a simple geometric effect that scales as $`1/\mathrm{\Omega }.`$

To conclude, in this work we point out new collective features emerging in finite many-body systems with random dynamics. We discuss their origin and outline the route for understanding these phenomena that must go beyond the standard statistical descriptions and include non-linear correlations that shape the many-body mean field. The observed empirical results that come from randomness but exhibit realistic collective features emphasize the idea dating back to Wigner that robust realistic properties are not necessarily a result of a unique nature-chosen interaction, but rather a generic manifestation of kinematic rules and symmetries. We need to extend the RMT for the presence of non-mixed classes of states governed by the same Hamiltonian. This lays the ground for further mutually beneficial applications of quantum chaos to strongly interacting many-body systems.
Acknowledgments
A.V. thanks R. Chasman for useful discussions. The calculations were performed on the parallel computers of the Mathematics and Computer Science Division, Argonne National Laboratory. This work is supported by the U. S. Department of Energy, Nuclear Physics Division, under contract No. W-31-109-ENG-38, and by the National Science Foundation, grant PHY-0070911.


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# Manipulation and removal of defects in spontaneous optical patterns

## Abstract

Defects play an important role in a number of fields dealing with ordered structures. They are often described in terms of their topology, mutual interaction and their statistical characteristics. We demonstrate theoretically and experimentally the possibility of an active manipulation and removal of defects. We focus on the spontaneous formation of two-dimensional spatial structures in a nonlinear optical system, a liquid crystal light valve under single optical feedback. With increasing distance from threshold, the spontaneously formed hexagonal pattern becomes disordered and contains several defects. A scheme based on Fourier filtering allows us to remove defects and to restore spatial order. Starting without control, the controlled area is progressively expanded, such that defects are swept out of the active area.

Defects are local deviations from a given ordered structure and have attracted a large interest in many areas of physics mermin . The most prominent example is condensed matter physics chaikin ; vanbueren . This extends to adjacent areas, like spin lattices, liquid crystals leshouches , but also to spontaneous structure formation, e.g. convection patterns convect .

Defects have been catalogued in different classes depending on their topology mermin . Here we focus our attention on point-defects in two dimensions, known as dislocations. These break discrete symmetry of the periodic structure locally. Dislocations are robust entities which cannot be removed by smooth local alterations of the pattern. They can only be created or annihilated in pairs and correspondingly they are assigned a topological charge mermin .

The spatial order that we consider here develops spontaneously through self-organisation and is studied in many branches of science crosshohmanne . Spontaneous optical pattern formation is observed in numerous nonlinear media and optical architectures nlopatt . For low input energy and low external stress, spatial structures evolve to ordered patterns while under increase of the stress parameter, spatial and/or spatio-temporal disorder (optical turbulence) sets in. In certain instances such transitions have been shown to be mediated by the appearance and annihilation of defects crosshohmanne ; defmed .

In this communication, we deal with spatial disorder due to the presence of stable defects of the dislocation type. These configurations are often undesired since order maximises spatial correlations. We then describe a technique to progressively remove stable optical defects for a Kerr-Type nonlinearity in a so-called single-feedback setup singlefeedb . Our approach should be realizable in other kinds of nonlinear optical devices and experiments, as well as in chemistry or in fluid convection, where symmetry-broken patterns are also observed.

In our feedback system the uniform state becomes modulationally unstable at a given threshold of the laser (pump) intensity, leading to the formation of stationary hexagonal patterns. Above a second threshold of the pump intensity, patterns break up and become increasingly disordered, with defects appearing at random locations of the active area dyniap ; dynelse . The presence of spatial inhomogeneities can lower this second instability threshold.

The aim of this communication is to demonstrate the possibility to actively (re)move and manipulate these defects. Since removing defects is equivalent to the restoration of the ordered state, we need to apply a technique to control spatiotemporal disorder. In the regime of spontaneous disorder, the hexagonal state survives, but is unstable or marginally stable. Our scheme of control allows us to select this particular solution out of the infinite set of coexisting (dynamical) solutions and stabilize it.

Generalizing the control scheme introduced in strathcontr , we discourage the growth of structures which do not belong to the desired, well-ordered target state. This is achieved by adding a feedback (control) loop, realized in an all-optical manner. In this control loop, a spatial Fourier filter blocks the discrete number of modes which constitute the spatially periodic target pattern. The remaining control signal is fed back negatively into the system. Consequently, the system is driven towards the target state and the control signal vanishes when the ordered state is reached. This scheme has first been proposed and been tested numerically strathcontr , but has also been proven to work in several experiments contrexp ; SDcontr .

To manipulate defects in patterns, the control scheme described above is modified. The intention is not to entirely replace a disordered pattern by a regular one at once. Instead, the control is applied to a gradually increasing part of the spontaneous structure. Since defects are topologically robust objects, they do not vanish instantaneously. Instead, they can annihilate with corresponding partners or move towards regions where the control signal is not operating. Consequently, defects should be swept out by the front separating the controlled, ordered part of the pattern to the uncontrolled and disordered spatial region.

In our single-feedback experiment, the optical Kerr-type nonlinearity is provided by a so-called Liquid Crystal Light Valve (LCLV). This device has an intensity-sensitive write side (photoconductor layer) and a reflective read side with variable refractive index (liquid crystal layer). Both are coupled by an external electric ac field, applied by transparent electrodes. An intensity profile at the write side is transformed into a corresponding phase profile of a light wave, which is reflected by the LCLV read side lclvpatt .

The LCLV is put into a feedback loop: a uniform laser beam is phase modulated and reflected by the LCLV read side. The modulated beam is then fed back to the LCLV write side. It thereby propagates freely over a given distance, which causes the spatial phase modulations to be transformed into an intensity modulation. In this way the feedback is closed and the beam inside the loop modulates itself. LCLV feedback systems in different configurations are successfully used for the investigation of spontaneous optical patterns lclvpatt ; hyasia ; dynelse ; dyniap . In our particular realization, pattern formation is based solely on diffractional coupling.

The experimental setup is presented in Fig. 1. A cw-Nd:YAG laser ($`\lambda =532`$ nm) acts as light source (not shown in the scheme). The laser beam is phase modulated and reflected by the LCLV, and then guided to the write side by means of beam splitters (BS), mirrors (M) and lenses. The lenses L1, L2 and the aperture P form a spatial low pass filter. The dove prism D accounts for the correction of residual misalignments. The transverse intensity distribution is recorded with a camera (CCD).

The shaded box in Fig. 1 contains the control loop. A fraction of the light wave is coupled out by beam splitter BS2. It passes the Fourier filter (4f-arrangement of the lenses L3, L4), containing a mask FM in the Fourier plane, which blocks the target modes. The remaining wave is reflected by mirror M4 and, after passing the filter a second time, is reinjected into the system. The phase of this control wave is adjusted by the phase shifter PS in order to achieve destructive interference, i.e. negative feedback of the control signal. The space mask S allows the selection of the area to which this control is applied. It is located in a plane, which is imaged onto the LCLV write side.

For the experiment described here, the spatial low pass filter (L1,L2,P) is used to block all wave numbers above the first critical band. This renders the transition to spatial disorder smoother and makes it easier to choose the amount of disorder contained in the spontaneous structure dyniap . The pump intensity was set to about six times the pattern threshold intensity. In the uncontrolled system, a distorted hexagonal pattern is observed (see Fig. 2, first image at $`t=0`$), showing a slow dynamics on a time scale of approximately some hundred milliseconds. The structure consists of several ordered domains, between which single or strings of defects are located. Care was taken to match the orientation of the target pattern with the spontaneous pattern in the region where the control is first applied.

After the system has reached an asymptotic disordered state, the space mask S is opened gradually from the right to the left side. Snapshots of the recorded sequence are shown in Fig. 2 where the front between controlled and uncontrolled regions is indicated by a gray line. Eye inspection of Fig. 2 already shows how hexagonal order is restored.

The ordering effect of our procedure becomes even more apparent when we extract the defects from the recorded images (r.h.s. column of Fig. 2). A hexagonal pattern consists of three independent Fourier modes, each corresponding to a stripe pattern. Each of the stripe patterns can show defects in the form of dislocations, i.e. of stripes ending somewhere in the pattern. Depending on the direction of the ending stripe, the defect is assigned a positive or negative topological charge. Consequently, a hexagonal pattern can contain six different types of defects, corresponding to the six possible Burgers vectors of unit length chaikin ; vanbueren . As long as we restrict the analysis to the topological properties only, domain boundaries can be regarded as strings of dislocations vanbueren .

With the exception of few defects which remain anchored to local inhomogeneities, the defects are indeed swept to the l.h.s. by the control signal, and are finally pushed out of the active area. During this motion, mutual annihilation of pairs of defects takes place as well as the temporary creation of few new defect pairs.

The effect of the control appears not to be strictly limited to the r.h.s. part of the pattern that is directly exposed to the control signal. The number of defects in the uncontrolled area significantly decreases even when the control front is relatively far away. This can be associated to the long range spatial coupling: the hexagonal pattern is self sustained by diffractional coupling throughout its extent. The restored order in the controlled part now promotes order even in the uncontrolled, disordered part, causing a reduction of the number of defects there.

We also observe that defects belonging to different modes of the hexagonal pattern appear to stay close to each other. This becomes evident by plotting all detected defect locations of the sequence into a single plot. Fig. 3 illustrates that the defects have moved on definite paths.

In the investigation of model systems, Pismen, Tsimring et al. pistsim  have shown that two dislocations of different modes attract each other and tend to form bound states, so-called penta-hepta defects. An example of an experimentally observed penta-hepta defect is shown in Fig. 3. According to pistsim , attracting as well as repelling forces can exist between different penta-hepta defects and the motion of such defects depends very much on the embedding spatial structure. Hence, we infer that the inhomogeneities in our experiment strongly influence the defect motion.

Numerical simulations of the progressive removal of defects in a spatially disordered stable structure have been implemented by using the LCLV model originally introduced in hyasia  and used later in SDcontr . All parameters of the fully quantitative model have been chosen in accordance to the experiment. Simulations above the pattern forming threshold, however, did not reach stable spatially disordered configurations.

In order to represent more faithfully the experimental observations, we have simulated local imperfections and inhomogeneities as localised dips in the pump laser intensity. These local imperfections were of variable number, location, size and depth. A large variety of stable or long term metastable disordered configurations formed by patches of hexagonal patterns were obtained up to three times above threshold. Remaining differences to the experiment, where metastable disordered structures were observed higher above threshold is easily explained by the simplified modelling of the inhomogeneities. With random initial conditions, a variety of spatially disordered structures were found, where defects tend to anchor in the vicinity of the local inhomogeneities. Fig. 4(a) shows a stable (or long term metastable) disordered structure observed three times above pattern formation threshold.

The Fourier control scheme was implemented numerically in a way that the area where control acts on the spontaneous structure can be chosen. Fig. 4(b) and (c) show the progressive sweeping of the defects while the domain which corresponds to the target state grows to finally occupy the entire area. In spite of the presence of pronounced local inhomogeneities, an ordered hexagonal structure is restored and stabilised at the end of the procedure (see Fig. 4(d)).

In agreement with the experimental results, we observe in the numerics progressive annihilation of dislocations ahead of the moving control front. In simulations with strong local inhomeogeneities (like the ones reported here) we also observed a lag between the moving front and temporally surviving defects. This, again, is in agreement with experimental measures.

In conclusion, we have shown how defects can be swept out of spontaneous optical patterns by using a control technique based on Fourier filtering. The control is applied to a varying part of the spontaneously formed, slightly disordered hexagons. Agreement is found between experiments on a LCLV single-feedback and numerical simulations on the full system model. We emphasized the important role played by local inhomogeneities in stabilizing spatial disorder by pinning the defects. This disorganising effect of inhomogeneities, which are difficult to eliminate in real experiments, can be overcome by our control technique.

Our control technique is independent of the nature of the nonlinearity and has been applied successfully to stabilise unstable patterns in models of saturable absorbers, lasers strathcontr  and optical parametric oscillators (OPO) scott . Presently, we are applying and modifying our elimination technique to systems with defects other than pattern dislocations. These include, for example, domain walls and vectorial defects in models of type-I and type-II optical parametric oscillators santaOSF .

We expect our control scheme to work on a variety of experiments in optics and other physical systems such as extended chemical reactions and fluids, where stable defects have been observed. Candidates for an all-optical implementation are photo-sensitive chemical systems, which can be detected optically and have already have successfully been manipulated by imposed, spatially varying optical signals optchem . Otherwise, a digital realization with Fast Fourier transforms may well be fast enough to allow to control systems with time constants in the range of milliseconds.

We acknowledge useful discussions with G. K. Harkness, and support by T. Tschudi and by M. Kreuzer. This research was partially funded by EPSRC (grants M19727, M31880, R04096), by SHEFC (grants VIDEOS and VISION), by the German science foundation (DFG grant SFB 185), and the Federal Ministry of Education and Research (BMBF grant 13N7311/8). The collaboration between Strathclyde and Darmstadt was supported by the British Council and the DAAD in the framework of the ARC-programme. G-L.O. acknowledges kind support from SGI.


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# 1 Introduction

## 1 Introduction

A technique for calculating the effective superpotential for the glueball field in an $`𝒩=1`$ supersymmetric gauge theory via a hermitian matrix integral over tree level superpotential was proposed by Dijkgraaf and Vafa . Their work is based on mainly the $`𝒩=1`$ gauge theory coupled to adjoint chiral fields with a general superpotential of a polynomial. There are many related works \-  along the lines of . The matrix model calculation with flavors have been found in various places . In particular, in  the matrix integral was completely calculated and infinite series in a perturbative expansion was represented by a single analytic function. Based on this, the nonperturbative Affleck-Dine-Seiberg (ADS) superpotential was rederived in . On the other hand, there was a different approach to get ADS superpotential by including a matrix valued delta funcion, which is known as the Wishart integral . In , there are some relevant works on the $`SO(N)/Sp(N)`$ gauge theories in the view point of matrix model .

In this paper, we calculate the matrix path integral over tree level superpotential obtained from $`𝒩=2`$ SQCD by taking into account the mass term of adjoint scalar field. The adjoint field mass $`\mu `$ is taken to be much larger than the dynamical scale $`\mathrm{\Lambda }_{N=2}`$ of the $`𝒩=2`$ theory. In the gauge theory side, one can consistently integrate out the adjoint scalar to obtain a low-energy effective $`𝒩=1`$ superpotential. This effective theory can be determined exactly using the information of the low-energy degrees of freedom of $`𝒩=1`$ $`SO(N)`$ gauge theories which was discovered by Intriligator and Seiberg  and $`Sp(N)`$ gauge theories by Intriligator and Pouliot . By inserting a matrix valued delta function initiated by Demasure and Janik  in our problem, the exact effective superpotential in terms of meson field possesses the nonperturbative ADS superpotential  plus the classical tree level superpotential. It is rather surprising to see this nonperturbative ADS superpotential within the Dijkgraaf-Vafa matrix model.

By completing a matrix integral over meson field, we find the free energy contribution from matter part in terms of glueball field, the adjoint mass and quark mass. By extremizing the effective superpotential obtained from the contributions of free energies, with respect to the glueball field, we analyze the mesonic vacuum structure. In the gauge theory side, the number of $`𝒩=1`$ vacua and the pattern of flavor symmetry breaking can be determined in the limit of zero mass of quark with $`\mu `$ and $`\mathrm{\Lambda }_{N=2}`$ fixed while the infinity limit of adjoint field mass keeping the quark mass and the scale of $`𝒩=1`$ theory fixed corresponds to the standard $`𝒩=1`$ theory without adjoint field. For $`U(N)`$ gauge theory with $`N_f`$ flavors of quarks in the fundamental and anti-fundamental representations, the exact mesonic vacua in the matrix descriptions have been found in .

## 2 Matrix model description of supersymmetric $`SO(N)`$ theory

Let us consider an $`𝒩=1`$ supersymmetric $`SO(N)`$ gauge theory with $`N_f`$ flavors of quarks $`Q_a^i(i=1,2,\mathrm{},N_f(=2n_f),a=1,2,\mathrm{},N)`$ in the vector (fundamental) representation ($`N4,N_fN5`$). The tree level superpotential of the theory is obtained from $`𝒩=2`$ SQCD by adding the mass $`\mu `$ for the adjoint scalar $`\mathrm{\Phi }_{ab}`$ belonging to the $`𝒩=2`$ vector multiplet

$`W_{tree}(\mathrm{\Phi },Q)={\displaystyle \frac{1}{2}}\mu \text{Tr}\mathrm{\Phi }^2+\sqrt{2}Q_a^i\mathrm{\Phi }_{ab}Q_b^jJ_{ij}+{\displaystyle \frac{1}{2}}m_{ij}Q_a^iQ_a^j`$ (2.1)
where $`J_{ij}`$ is the symplectic metric $`(\genfrac{}{}{0pt}{}{0}{1}\genfrac{}{}{0pt}{}{1}{0})\mathrm{𝟏}_{n_f\times n_f}`$ used to raise and lower $`SO(N)`$ flavor indices ( $`\mathrm{𝟏}_{n_f\times n_f}`$ is the $`n_f\times n_f`$ identity matrix ) and $`m_{ij}`$ is a quark mass matrix $`(\genfrac{}{}{0pt}{}{0}{1}\genfrac{}{}{0pt}{}{1}{0})\text{diag}(m_1,\mathrm{},m_{n_f})`$. The vacuum structure and phases of resulting $`𝒩=1`$ theories by integrating out the adjoint scalar was found in . The $`\mu =0`$ theory (with $`𝒩=2`$ supersymmetry) has a $`Z_{2N_cN_f4}\times SU(2)_R`$ R-symmetry which is broken to $`Z_2\times SU(2)_R`$ by the vev of $`\text{Tr}\mathrm{\Phi }^2`$. On the other hand, in an $`𝒩=1`$ theory with $`\mu 0`$, the adjoint mass explicitly breaks the R-symmetry down to $`Z_2`$.

By manipulating this tree level superpotential as the potential for the matrix model, we describe $`SO(N)`$ matrix model at large $`N`$ by replacing the gauge theory fields with matrices to get the contributions to the free energies. Then the partition function can be written as

$`Z={\displaystyle \frac{1}{vol(SO(N))}}{\displaystyle [d\mathrm{\Phi }][dQ]e^{\frac{1}{g_s}W_{tree}(\mathrm{\Phi },Q)}}`$ (2.2)
where the large $`N`$-limit behavior of the volume for $`SO(N)`$ gauge group can be read off from

$`\mathrm{log}vol(SO(N))={\displaystyle \frac{1}{4}}N^2\mathrm{log}\left({\displaystyle \frac{N}{2\pi e^{3/2}}}\right)+\mathrm{}.`$
In order to describe and study the effective theory by the gauge invariant meson fields $`M^{ij}=Q^iQ^j`$, we make a change of variable in the superpotential by using a matrix valued delta function defined in  which is valid for the region $`N_fN5`$ along the line of

$`e^{\frac{1}{g_s}W_{tree}(\mathrm{\Phi },Q)}={\displaystyle [dM]\delta (M^{ij}Q^iQ^j)e^{\frac{1}{g_s}W_{tree}(\widehat{\mathrm{\Phi }},M)}}`$ (2.3)
where the new superpotential in terms of $`\widehat{\mathrm{\Phi }}`$ can be written as

$`W_{tree}(\widehat{\mathrm{\Phi }},M)={\displaystyle \frac{1}{2}}\mu \text{Tr}\widehat{\mathrm{\Phi }}^2{\displaystyle \frac{1}{2\mu }}\text{Tr}MJMJ+{\displaystyle \frac{1}{2}}\text{Tr}mM,\widehat{\mathrm{\Phi }}_{ab}=\mathrm{\Phi }_{ab}+{\displaystyle \frac{\sqrt{2}}{\mu }}Q_a^iQ_b^jJ_{ij}.`$
Now we substitute (2.3) into (2.2) with matrix path integral over $`\widehat{\mathrm{\Phi }}`$

$`Z={\displaystyle \frac{1}{vol(SO(N))}}{\displaystyle [d\widehat{\mathrm{\Phi }}][dQ][dM]\delta (M^{ij}Q^iQ^j)e^{\frac{1}{g_s}W_{tree}(\widehat{\mathrm{\Phi }},M)}}.`$
We make a matrix gaussian integral over $`\widehat{\mathrm{\Phi }}`$ (in the gauge theory side this is equivalent to the statement that as the mass $`\mu `$ is increased beyond the scale of the asymptotic free $`𝒩=2`$ theory one can integrate out the adjoint field) and get

$`Z`$ $`=`$ $`{\displaystyle \frac{1}{vol(SO(N))}}\left({\displaystyle \frac{4\pi g_s}{\mu }}\right)^{N^2/2}{\displaystyle [dQ][dM]\delta (M^{ij}Q^iQ^j)e^{\frac{1}{g_s}W_{tree}(X)}}`$
where the tree level superpotential depends on the meson fields $`M^{ij}`$ only and is given by

$`W_{tree}(M)={\displaystyle \frac{1}{2\mu }}\text{Tr}MJMJ+{\displaystyle \frac{1}{2}}\text{Tr}mM.`$ (2.4)
We execute a matrix integral over $`Q`$ and use the result of Wishart random matrices

$`Z(S)`$ $`=`$ $`{\displaystyle \frac{1}{vol(SO(N))}}\left({\displaystyle \frac{4\pi g_s}{\mu }}\right)^{N^2/2}e^{\frac{1}{2}N_fN\mathrm{log}\frac{N}{2}}{\displaystyle [dM]\left(\text{det}M\right)^{(NN_f1)/2}e^{\frac{1}{g_s}W_{tree}(M)}}`$ (2.5)
$``$ $`{\displaystyle [dM]Z(S,M)}.`$
In the large $`N`$-limit we are interested in, the glueball field $`S`$ can be identified with $`g_sN`$ and the size of $`M`$ depends on $`N_f`$ and the matrix integral over $`M`$ does not contribute to the function of $`S`$. Let us denote $`Z(S,M)`$ as the partition function before the integral over $`M`$. Then one can write the log of the partition function as follows:

$`\mathrm{log}Z(S,M)`$ $`=`$ $`{\displaystyle \frac{1}{4}}N^2\mathrm{log}\left({\displaystyle \frac{8\pi g_s^2N}{e^{3/2}\mu ^2}}\right){\displaystyle \frac{1}{2}}N_fN\mathrm{log}\left({\displaystyle \frac{N}{2}}\right)+{\displaystyle \frac{N}{2}}\mathrm{log}\text{det}M{\displaystyle \frac{1}{g_s}}W_{tree}(M)+\mathrm{}`$
$`=`$ $`{\displaystyle \frac{S^2}{4g_s^2}}\mathrm{log}\left({\displaystyle \frac{8\pi g_sS}{e^{3/2}\mu ^2}}\right){\displaystyle \frac{SN_f}{2g_s}}\mathrm{log}\left({\displaystyle \frac{S}{2g_s}}\right)+{\displaystyle \frac{S}{2g_s}}\mathrm{log}\text{det}M{\displaystyle \frac{1}{g_s}}W_{tree}(M)+\mathrm{}`$
$``$ $`{\displaystyle \frac{1}{g_s^2}}_2{\displaystyle \frac{1}{g_s}}_1.`$
Then the effective superpotential $`W(S,M)`$ for the glueball field $`S`$ by identifying the $`1/g_s^2`$ and $`1/g_s`$ terms can be computed as the derivative of the contribution to free energy $`_2`$ plus the contribution $`_1`$ from flavors

$`W`$ $`=`$ $`\left(N_c2\right){\displaystyle \frac{_2}{S}}+_1`$ (2.6)
$`=`$ $`{\displaystyle \frac{1}{2}}\left(N_c2\right)\left[SS\mathrm{log}\left({\displaystyle \frac{S}{\mathrm{\Lambda }^3}}\right)\right]{\displaystyle \frac{SN_f}{2}}\left(1\mathrm{log}S\right){\displaystyle \frac{S}{2}}\mathrm{log}\text{det}M+W_{tree}(M).`$
Solving the F-flatness condition $`_SW=0`$ (minimizing $`W(S,M)`$ with respect to a glueball field $`S`$) one gets

$`\widehat{S}=\left({\displaystyle \frac{\mathrm{\Lambda }^{3\left(N_c2\right)}}{\text{det}M}}\right)^{1/\left(N_cN_f2\right)}e^{2\pi ik/\left(N_cN_f2\right)},k=1,\mathrm{},\left(N_cN_f2\right)`$
with the phase factor $`e^{2\pi ik/\left(N_cN_f2\right)}`$ reflecting the $`(N_cN_f2)`$ supersymmetric vacua. Then the exact superpotential $`W(M)`$ by plugging back $`\widehat{S}`$ into (2.6) leads to

$`W(M)`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(N_cN_f2\right)\widehat{S}+W_{tree}(M)`$ (2.7)
$`=`$ $`{\displaystyle \frac{1}{2}}\left(N_cN_f2\right)ϵ_{N_cN_f2}\left({\displaystyle \frac{\mathrm{\Lambda }^{3\left(N_c2\right)}}{\text{det}M}}\right)^{1/\left(N_cN_f2\right)}+W_{tree}(M)`$
$`=`$ $`{\displaystyle \frac{1}{2}}\left(N_cN_f2\right)ϵ_{N_cN_f2}\left({\displaystyle \frac{16\mathrm{\Lambda }_{N_c,N_f}^{3\left(N_c2\right)N_f}}{\text{det}M}}\right)^{1/\left(N_cN_f2\right)}+W_{tree}(M)`$
$`=`$ $`W_{ADS}(M)+W_{tree}(M)`$
where $`\mathrm{\Lambda }^{3(N_c2)}=16\mathrm{\Lambda }_{N_c,N_f}^{3\left(N_c2\right)N_f}`$ is the strong coupling scale of the $`𝒩=1`$ theory obtained by decoupling the adjoint field $`\mathrm{\Phi }`$ and $`ϵ_{N_cN_f2}e^{2\pi ik/\left(N_cN_f2\right)}`$ is the $`(N_cN_f2)`$-th root of unity. We have checked that the nonperturbative ADS superpotential $`W_{ADS}(M)`$  was obtained from the large $`N`$ asymptotics of the constrained matrix integral measure in the context of Dijkgraaf-Vafa matrix model. In the low energy effective theory, the classical vacuum degeneracy was lifted by quantum effects which is represented by a dynamically generated superpotential for the light meson fields $`M^{ij}`$. The superpotential  alone generated by gaugino condensation has no vacuum but by adding the $`W_{tree}(M)`$ to the superpotential $`W_{ADS}(M)`$, the theory has $`(N_cN_f2)`$ supersymmetric vacua. If not all of the matter fields are massive, in the gauge theory side, one can integrate out massive quarks and get the effective superpotential at low energy for the massless ones. It is the same form as the above $`W_{ADS}(M)`$ but with the scale replaced by the low energy one.

In order to perform the matrix integral over $`M`$ in (2.5), the evaluation of this matrix integral is approximated around the solution of the saddle point equation (for $`U(N)`$ matrix model this approach was done in )

$`{\displaystyle \frac{1}{\mu }}\lambda _i+{\displaystyle \frac{1}{2}}m_i{\displaystyle \frac{S}{\lambda _i}}=0`$ (2.8)
where the matrix $`M`$ has the following form $`(\genfrac{}{}{0pt}{}{0}{B^T}\genfrac{}{}{0pt}{}{B}{0})`$ and $`B=\text{diag}(\lambda _1,\mathrm{},\lambda _{n_f})`$ . In the gauge theory side, this can be obtained by differentiating (2.7) with respect to the meson fields $`M`$ and looking at the equations of motion for the $`\lambda _i`$ . This has two solutions for each $`\lambda _i`$ as a function of $`S`$ denoted by $`\lambda _i^{(\pm )}`$

$`\lambda _i^{(\pm )}=\mu m_i\left({\displaystyle \frac{1\pm \sqrt{116\alpha _iS}}{4}}\right)\mu m_if^{(\pm )}(\alpha _iS),\alpha _i={\displaystyle \frac{1}{\mu m_i^2}}.`$ (2.9)
Let us remind that $`m_i`$’s are the component of a quark mass matrix $`(\genfrac{}{}{0pt}{}{0}{1}\genfrac{}{}{0pt}{}{1}{0})\text{diag}(m_1,\mathrm{},m_{n_f})`$. By using the solution (2.8) at the saddle point and eliminating the quadratic part of meson field of the effective superpotential, one can read off the free energy in terms of glueball field $`S`$, a quark mass $`m_i`$ and the adjoint field mass $`\mu `$ from the matter part as follows:

$`_1(S,\alpha _i)=S{\displaystyle \underset{i=1}{\overset{n_f}{}}}\left({\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{4f^{(\pm )}(\alpha _iS)}}\mathrm{log}f^{(\pm )}(\alpha _iS)\right)`$
where we also used the fact that the product of two roots of $`\lambda _i`$ behaves like

$`\lambda _i^{(+)}\lambda _i^{()}=\mu S.`$
It is ready to write the effective superpotential from the complete matrix integration and the free energy due to the matter part above in terms of guleball field $`S`$:

$`W(S,\mu ,m_i,\mathrm{\Lambda })=S\left[{\displaystyle \frac{1}{2}}\left(N_c2\right)\left(1\mathrm{log}{\displaystyle \frac{S}{\mathrm{\Lambda }^3}}\right){\displaystyle \underset{i=1}{\overset{n_f}{}}}\left({\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{4f^{(\pm )}(\alpha _iS)}}\mathrm{log}f^{(\pm )}(\alpha _iS)\right)\right].`$
By differentiating this with respect to $`S`$ and using the explicit expression for $`f^{(\pm )}(\alpha _iS)`$ in (2.9) we get

$`\left({\displaystyle \frac{S}{\mathrm{\Lambda }^3}}\right)^{\frac{N_c2}{2}}`$ $`=`$ $`{\displaystyle \underset{i=1}{\overset{n_f}{}}}f^{(\pm )}(\alpha _iS)`$ (2.10)
$`=`$ $`{\displaystyle \frac{1}{2^{2n_f}}}{\displaystyle \underset{i=1}{\overset{r}{}}}\left(1+\sqrt{116\alpha _iS}\right){\displaystyle \underset{i^{}=r+1}{\overset{n_f}{}}}\left(1\sqrt{116\alpha _iS}\right)`$
where the index $`i`$ runs for the positive sign among the roots of $`\lambda _i^{(\pm )}`$ and the index $`i^{}`$ does for the negative sign respectively. Here we used $`f^{(\pm )}(\alpha _iS)^2\frac{1}{2}f^{(\pm )}(\alpha _iS)+\alpha _iS=0`$. This relation (2.10) is exactly the same as the defining equation of $`X`$ in the notation of . Although one cannot solve exactly, one determines the number of distinct solutions (or the number of distinct vacua) and symmetry breaking patterns in certain limiting regimes. In the $`m_i0`$ limit ($`m_i<<\mathrm{\Lambda }_{N=2}<<\mu `$), one can ignore the second term in (2.8) and from (2.10) one gets

$`\lambda _i=\lambda ^{(\pm )}\pm \sqrt{\mu S},S^{N_cn_f2}\left(\mu \mathrm{\Lambda }_{N=2}^2\right)^{N_cn_f2}.`$
Here the strong coupling scale of the $`𝒩=1`$ theory is related to the dynamical $`𝒩=2`$ scale $`\mathrm{\Lambda }_{N=2}`$ by one loop matching condition through

$`\mu ^{N_c2}\mathrm{\Lambda }_{N=2}^{2(N_c2n_f)}=\mathrm{\Lambda }_{N_c,N_f}^{3(N_c2)N_f}.`$
Then there exist $`(N_cn_f2)(\genfrac{}{}{0pt}{}{n_f}{r})`$ distinct solutions (that is, the expression of (2.10) is a polynomial of degree $`(N_cn_f2)`$ in $`S`$ and the number of ways for choosing $`r`$ positive signature is given by $`(\genfrac{}{}{0pt}{}{n_f}{r})`$) and the total number of $`𝒩=1`$ vacua is given by

$`\mathrm{\#}=(N_cn_f2){\displaystyle \underset{r=0}{\overset{n_f}{}}}({\displaystyle \genfrac{}{}{0pt}{}{n_f}{r}})=\left(N_cn_f2\right)2^{n_f}`$
which coincides with the number of the semi-classical vacua . The quantum corrected effective action shows a spontaneous breakdown of the global $`Sp(2n_f)`$ symmetry into $`U(n_f)`$ since some of the meson vevs remain non-zero in this limit. The proof for this was given in . When the quark masses are nonvanishing, the unbroken flavor symmetry is $`U(r)\times U(n_fr)`$ which agrees with the classical description.

The solutions of the full nonlinear coupled equations (2.9) and (2.10) can be classified according to the number of $`\lambda _i`$’s. For large quark masses ($`\mathrm{\Lambda }_{N=2}<<m_i<<\mu `$) assuming that $`S<<\mu m_i^2`$, the multiplicity of solutions gives $`(N_c2r2)`$ and there are $`(\genfrac{}{}{0pt}{}{n_f}{r})`$ ways of selecting a vacuum configuration with $`r`$ nonzero $`\lambda ^{(+)}`$ and the number of vacua with $`U(r)\times U(n_fr)`$ symmetry is $`(N_c2r2)(\genfrac{}{}{0pt}{}{n_f}{r})`$ which is the same as the semi-classical results. In particular, $`r=0`$ vacuum will lead to

$`S^{N_c2}\mu ^{N_c2}\mathrm{\Lambda }_{N=2}^{2(N_cn_f2)}\text{det}m\mathrm{\Lambda }_{N_c,N_f}^{3(N_c2)N_f}\text{det}m`$
which was observed in  in the description of Dijkgraaf-Vafa matrix model.

As the number of flavors is increased, in the IR theory of electric theory, the magnetic theory is described by an $`SO(\stackrel{~}{N}=N_fN+4)`$ gauge theory ($`N_f>N4`$) with $`N_f`$ flavors of dual quarks $`q_a^i(i=1,\mathrm{},N_f(=2n_f),a=1,\mathrm{},\stackrel{~}{N})`$ and the additional gauge singlet fields $`M^{ij}`$ which is an elementary field of dimension 1 at the UV-fixed point . The matter field variables in the magnetic theory are the original electric variables $`M^{ij}`$ and magnetic quarks $`q_i`$ with the superpotential together with mass term

$`W={\displaystyle \frac{1}{2\kappa }}M^{ij}q_iq_j+W_{tree}(M)`$
where $`W_{tree}(M)`$ is given in (2.4). The partition function can be written as follows:

$`Z`$ $`=`$ $`{\displaystyle \frac{1}{vol(SO(\stackrel{~}{N}))}}{\displaystyle [dq][dM]e^{\frac{1}{g_s}\left(\frac{1}{2\kappa }M^{ij}q_iq_j+W_{tree}(M)\right)}}.`$
After calculating a gaussian matrix integral over $`q`$, the effective superpotential from the log of partition function can be expressed as by using the method in  in dual gauge theory

$`W(M)`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{N}_c2\right)\left(SS\mathrm{log}{\displaystyle \frac{S}{\stackrel{~}{\mathrm{\Lambda }}^3}}\right){\displaystyle \frac{SN_f}{2}}\mathrm{log}\stackrel{~}{\mathrm{\Lambda }}+{\displaystyle \frac{1}{2}}S\mathrm{log}\text{det}\left({\displaystyle \frac{M}{\kappa }}\right)+W_{tree}(M)`$ (2.11)
$`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{N}_c2\right)\left(SS\mathrm{log}{\displaystyle \frac{S}{\left(\stackrel{~}{\mathrm{\Lambda }}^{3\left(\stackrel{~}{N}_c2\right)N_f}\text{det}\left(\frac{M}{\kappa }\right)\right)^{1/\left(\stackrel{~}{N}_c2\right)}}}\right)+W_{tree}(M).`$
Solving the F-flatness condition $`_SW=0`$ one gets, with the phase factor $`e^{2\pi ik/\left(\stackrel{~}{N}_c2\right)},k=1,\mathrm{},\left(\stackrel{~}{N}_c2\right)`$ reflecting the $`(\stackrel{~}{N}_c2)`$ supersymmetric vacua,

$`\widehat{S}=\left(2^{12}\stackrel{~}{\mathrm{\Lambda }}_{N_fN_c+4,N_f}^{3\left(\stackrel{~}{N}_c2\right)N_f}\text{det}\left({\displaystyle \frac{M}{\kappa }}\right)\right)^{1/\left(\stackrel{~}{N}_c2\right)}ϵ_{\stackrel{~}{N}_c2},\stackrel{~}{\mathrm{\Lambda }}^{3\left(\stackrel{~}{N}_c2\right)N_f}=2^{12}\stackrel{~}{\mathrm{\Lambda }}_{N_fN_c+4,N_f}^{3\left(\stackrel{~}{N}_c2\right)N_f}.`$
Then the exact superpotential by plugging this $`\widehat{S}`$ into (2.11) leads to

$`W`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{N}_c2\right)\widehat{S}+W_{tree}(M)`$ (2.12)
$`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{N}_c2\right)ϵ_{\stackrel{~}{N}_c2}\left({\displaystyle \frac{2^{12}\stackrel{~}{\mathrm{\Lambda }}_{N_fN_c+4,N_f}^{3\left(\stackrel{~}{N}_c2\right)N_f}\text{det}M}{\kappa ^{N_f}}}\right)^{1/\left(\stackrel{~}{N}_c2\right)}+W_{tree}(M)`$
$`=`$ $`{\displaystyle \frac{1}{2}}\left(N_c+N_f+2\right)ϵ_{N_c+N_f+2}\left({\displaystyle \frac{2^{12}\stackrel{~}{\mathrm{\Lambda }}_{N_fN_c+4,N_f}^{3\left(N_fN_c+2\right)N_f}\text{det}M}{\kappa ^{N_f}}}\right)^{1/\left(N_c+N_f+2\right)}+W_{tree}(M)`$
$`=`$ $`{\displaystyle \frac{1}{2}}\left(N_cN_f2\right)ϵ_{N_cN_f2}\left({\displaystyle \frac{16\mathrm{\Lambda }_{N_c,N_f}^{3\left(N_c2\right)N_f}}{\text{det}M}}\right)^{1/\left(N_cN_f2\right)}+W_{tree}(M)`$
$`=`$ $`W_{ADS}(M)+W_{tree}(M)`$
which is exactly the same as the one in (2.7). Here we used the fact that $`\stackrel{~}{N}_c=N_fN_c+4`$ and $`ϵ_{\stackrel{~}{N}_c2}=ϵ_{N_c+N_f+2}=ϵ_{N_cN_f2}`$. The scale of the magnetic theory in the gauge theory side was related to that of electric theory by

$`2^8\mathrm{\Lambda }_{N_c,N_f}^{3\left(N_c2\right)N_f}\stackrel{~}{\mathrm{\Lambda }}_{N_fN_c+4,N_f}^{3\left(N_fN_c+2\right)N_f}=\left(1\right)^{N_fN_c}\kappa ^{N_f}`$
where the normalization factor $`1/2^8`$ was chosen to get the consistent low energy behavior under large mass deformation and along the flat directions. Note that the factor $`(1)^{\frac{(N_fN_c)}{(N_c+N_f+2)}}=1`$ in (2.12) is cancelled exactly by the overall $`1`$ factor.

## 3 Matrix model description of supersymmetric $`Sp(N)`$ theory

In this section, we continue to study the matrix model for the symplectic group $`Sp(N)`$. Let us consider an $`𝒩=1`$ supersymmetric $`Sp(N=2n)`$ gauge theory with $`N_f(=2n_f)`$ flavors of quarks $`Q_a^i(i=1,2,\mathrm{},N_f,a=1,2,\mathrm{},N)`$ in the fundamental representation ($`N_fN`$). The tree level superpotential of the theory is obtained from $`𝒩=2`$ SQCD by adding the mass $`\mu `$ for the adjoint scalar $`\mathrm{\Phi }_{ab}`$ belonging to the $`𝒩=2`$ vector multiplet

$`W_{tree}(\mathrm{\Phi },Q)=\mu \text{Tr}\mathrm{\Phi }^2+{\displaystyle \frac{1}{\sqrt{2}}}Q_a^i\mathrm{\Phi }_b^aQ_c^iJ^{bc}+{\displaystyle \frac{1}{2}}m_{ij}Q_a^iQ_b^jJ^{ab}`$ (3.1)
where $`J_{ab}`$ is the symplectic metric $`(\genfrac{}{}{0pt}{}{0}{1}\genfrac{}{}{0pt}{}{1}{0})\mathrm{𝟏}_{n\times n}`$ and $`m_{ij}`$ is a quark mass matrix $`(\genfrac{}{}{0pt}{}{0}{1}\genfrac{}{}{0pt}{}{1}{0})\text{diag}(m_1,\mathrm{},m_{n_f})`$. The vacuum structure and phase and flavor symmetry breaking pattern of this $`𝒩=1`$ theory was studied in .

By manipulating this tree level superpotential as the potential for the matrix model, we describe $`Sp(N)`$ matrix model at large $`N`$ by replacing the gauge theory fields with corresponding matrices to get the contributions to the free energies. Then the partition function can be written as

$`Z={\displaystyle \frac{1}{vol(Sp(N))}}{\displaystyle [d\mathrm{\Phi }][dQ]e^{\frac{1}{g_s}W_{tree}(\mathrm{\Phi },Q)}}`$ (3.2)
where the large $`N`$-limit behavior of the volume for $`Sp(N)`$ gauge group can be read off from

$`\mathrm{log}vol(Sp(N))={\displaystyle \frac{1}{4}}N^2\mathrm{log}\left({\displaystyle \frac{N}{2\pi e^{3/2}}}\right)+\mathrm{}.`$
In order to describe the effective theory by the meson fields $`M^{ij}=Q^iQ^j=Q_{ia}Q_{jb}J^{ab}=M^{ji}`$ which is antisymmetric, we make a change of variable in the superpotential by using a matrix valued delta function

$`e^{\frac{1}{g_s}W_{tree}(\mathrm{\Phi },Q)}={\displaystyle [dM]\delta (M^{ij}Q^iQ^j)e^{\frac{1}{g_s}W_{tree}(\widehat{\mathrm{\Phi }},M)}}`$ (3.3)
where the new superpotential in terms of $`\widehat{\mathrm{\Phi }}`$ can be written as

$`W_{tree}(\widehat{\mathrm{\Phi }},M)=\mu \text{Tr}\widehat{\mathrm{\Phi }}^2{\displaystyle \frac{1}{8\mu }}\text{Tr}MJMJ{\displaystyle \frac{1}{2}}\text{Tr}mM,\widehat{\mathrm{\Phi }}_b^a=\mathrm{\Phi }_b^a+{\displaystyle \frac{1}{2\sqrt{2}\mu }}J^{ac}Q_c^iQ_b^i.`$
Now we substitute (3.3) into (3.2) with matrix path integral over $`\widehat{\mathrm{\Phi }}`$

$`Z={\displaystyle \frac{1}{vol(Sp(N))}}{\displaystyle [d\widehat{\mathrm{\Phi }}][dQ][dM]\delta (M^{ij}Q^iQ^j)e^{\frac{1}{g_s}W_{tree}(\widehat{\mathrm{\Phi }},M)}}.`$
We make a matrix gaussian integral over $`\widehat{\mathrm{\Phi }}`$

$`Z`$ $`=`$ $`{\displaystyle \frac{1}{vol(Sp(N))}}\left({\displaystyle \frac{2\pi g_s}{\mu }}\right)^{N^2/2}{\displaystyle [dQ][dM]\delta (M^{ij}Q^iQ^j)e^{\frac{1}{g_s}W_{tree}(M)}}`$
where the tree level superpotential depends on the meson fields $`M^{ij}`$ and is given by

$`W_{tree}(M)={\displaystyle \frac{1}{8\mu }}\text{Tr}MJMJ{\displaystyle \frac{1}{2}}\text{Tr}mM.`$ (3.4)
We execute a matrix integral over $`Q`$ and use the result of Wishart random matrices

$`Z(S)`$ $`=`$ $`{\displaystyle \frac{1}{vol(Sp(N))}}\left({\displaystyle \frac{2\pi g_s}{\mu }}\right)^{N^2/2}e^{\frac{1}{2}N_fN\mathrm{log}\frac{N}{2}}{\displaystyle [dM]\left(\text{det}M\right)^{(NN_f1)/2}e^{\frac{1}{g_s}W_{tree}(M)}}`$
$``$ $`{\displaystyle [dM]Z(S,M)}.`$
In the large $`N`$-limit we are interested in, the glueball field $`S`$ can be identified with $`g_sN`$ and the size of $`M`$ depends on $`N_f`$ and the matrix integral over $`M`$ does not contribute to the function of $`S`$. Let us put $`Z(S,M)`$ as the partition function before the integral over $`M`$. Then one can write the log of the partition function as follows:

$`\mathrm{log}Z(S,M)`$ $`=`$ $`{\displaystyle \frac{1}{4}}N^2\mathrm{log}\left({\displaystyle \frac{8\pi g_s^2N}{e^{3/2}\mu ^2}}\right){\displaystyle \frac{1}{2}}N_fN\mathrm{log}\left({\displaystyle \frac{N}{2}}\right)+{\displaystyle \frac{N}{2}}\mathrm{log}\text{det}M{\displaystyle \frac{1}{g_s}}W_{tree}(M)+\mathrm{}`$
$`=`$ $`{\displaystyle \frac{S^2}{4g_s^2}}\mathrm{log}\left({\displaystyle \frac{8\pi g_sS}{e^{3/2}\mu ^2}}\right){\displaystyle \frac{SN_f}{2g_s}}\mathrm{log}\left({\displaystyle \frac{S}{2g_s}}\right)+{\displaystyle \frac{S}{2g_s}}\mathrm{log}\text{det}M{\displaystyle \frac{1}{g_s}}W_{tree}(M)+\mathrm{}`$
$``$ $`{\displaystyle \frac{1}{g_s^2}}_2{\displaystyle \frac{1}{g_s}}_1.`$
Then the effective superpotential $`W(S,M)`$ for the glueball field $`S`$ can be computed as the derivative of the contribution to free energy $`_2`$ plus the contribution from flavors

$`W`$ $`=`$ $`\left(N_c+2\right){\displaystyle \frac{_2}{S}}+_1`$ (3.5)
$`=`$ $`{\displaystyle \frac{1}{2}}\left(N_c+2\right)\left[SS\mathrm{log}\left({\displaystyle \frac{S}{\mathrm{\Lambda }^3}}\right)\right]{\displaystyle \frac{SN_f}{2}}\left(1\mathrm{log}S\right){\displaystyle \frac{S}{2}}\mathrm{log}\text{det}M+W_{tree}(M).`$
Solving the F-flatness condition $`_SW=0`$ (minimizing $`W(S,M)`$ with respect to a glueball field $`S`$) one gets

$`\widehat{S}=\left({\displaystyle \frac{\mathrm{\Lambda }^{3\left(n_c+1\right)}}{\text{Pf}M}}\right)^{1/\left(n_cn_f+1\right)}e^{2\pi ik/\left(n_cn_f+1\right)},k=1,\mathrm{},\left(n_cn_f+1\right)`$
with the phase factor $`e^{2\pi ik/\left(n_cn_f+1\right)}`$ reflecting the $`(n_cn_f+1)`$ supersymmetric vacua. Here $`\text{Pf}M`$ is the Pfaffian of the antisymmetric matrix $`M`$. Then the exact superpotential by plugging $`\widehat{S}`$ into (3.5) leads to

$`W(M)`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(N_cN_f+2\right)\widehat{S}+W_{tree}(M)`$ (3.6)
$`=`$ $`\left(n_cn_f+1\right)ϵ_{n_cn_f+1}\left({\displaystyle \frac{\mathrm{\Lambda }^{3\left(n_c+1\right)}}{\text{Pf}M}}\right)^{1/\left(n_cn_f+1\right)}+W_{tree}(M)`$
$`=`$ $`\left(n_cn_f+1\right)ϵ_{n_cn_f+1}\left({\displaystyle \frac{2^{n_c1}\mathrm{\Lambda }_{n_c,n_f}^{3\left(n_c+1\right)n_f}}{\text{Pf}M}}\right)^{1/\left(n_cn_f+1\right)}+W_{tree}(M)`$
$`=`$ $`W_{ADS}(M)+W_{tree}(M)`$
where $`\mathrm{\Lambda }^{3(n_c+1)}=2^{n_c1}\mathrm{\Lambda }_{n_c,n_f}^{3\left(n_c+1\right)n_f}`$. The classical vacuum degeneracy was lifted by quantum effects which is represented by a dynamically generated superpotential for the light meson fields $`M^{ij}`$. The superpotential  generated by gaugino condensation has no vacuum but by adding the (3.4) to the superpotential $`W_{ADS}(M)`$, the theory has $`(n_cn_f+1)`$ supersymmetric vacua.

In order to perform the matrix integral over $`M`$, it is approximated around the solution of the saddle point equation (for $`U(N)`$ matrix model this approach was done in )

$`{\displaystyle \frac{1}{2\mu }}\lambda _im_i{\displaystyle \frac{S}{\lambda _i}}=0`$ (3.7)
where the matrix $`M`$ has the following form $`i\sigma _2\text{diag}(\lambda _1,\mathrm{},\lambda _{n_f})`$. This has two solutions for each $`\lambda _i`$

$`\lambda _i^{(\pm )}=\mu m_i\left(1\pm \sqrt{1+2\alpha _iS}\right)\mu m_if^{(\pm )}(\alpha _iS),\alpha _i={\displaystyle \frac{1}{\mu m_i^2}}.`$
By using the solution (3.7) at the saddle point and eliminating the quadratic part of meson field of the effective superpotential, together with the fact that

$`\lambda _i^{(+)}\lambda _i^{()}=2\mu S,`$ (3.8)
one gets the free energy in terms of glueball field, quark mass and adjoint field mass from the matter part

$`_1(S,\alpha _i)=S{\displaystyle \underset{i=1}{\overset{n_f}{}}}\left({\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{f^{(\pm )}(\alpha _iS)}}\mathrm{log}f^{(\pm )}(\alpha _iS)\right).`$
The effective superpotential from the complete matrix integration and the free energy due to the matter part above in terms of glueball field $`S`$ is

$`W(S,\mu ,m_i,\mathrm{\Lambda })=S\left[{\displaystyle \frac{1}{2}}\left(N_c+2\right)\left(1\mathrm{log}{\displaystyle \frac{S}{\mathrm{\Lambda }^3}}\right){\displaystyle \underset{i=1}{\overset{n_f}{}}}\left({\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{f^{(\pm )}(\alpha _iS)}}\mathrm{log}f^{(\pm )}(\alpha _iS)\right)\right].`$
By differentiating this with respect to $`S`$ we get

$`\left({\displaystyle \frac{S}{\mathrm{\Lambda }^3}}\right)^{n_c+1}`$ $`=`$ $`{\displaystyle \underset{i=1}{\overset{n_f}{}}}f^{(\pm )}(\alpha _iS)`$
$`=`$ $`{\displaystyle \underset{i=1}{\overset{r}{}}}\left(1\sqrt{1+2\alpha _iS}\right){\displaystyle \underset{i^{}=r+1}{\overset{n_f}{}}}\left(1+\sqrt{1+2\alpha _iS}\right)`$
where we choose $`r`$ negative signs and $`(n_fr)`$ positive signs in the roots of $`\lambda _i`$. Here we used $`f^{(\pm )}(\alpha _iS)^22f^{(\pm )}(\alpha _iS)2\alpha _iS=0`$ obtained from (3.7) easily. As in the case of previous section, this relation corresponds to the defining equation of $`X`$ in . The distinct vacua can be determined in certain limiting regimes. In the massless quark limit ($`m_i0`$) with fixed $`\mu `$ and $`\mathrm{\Lambda }_{N=2}`$, there are $`(2n_cn_f+2)`$ solutions for $`S`$ by ignoring the second term in (3.7) and there is $`2^{n_f}`$ possibilities for the signs among $`\lambda _i`$’s

$`\lambda _i=\lambda ^{(\pm )}\pm \sqrt{2\mu S},S^{2n_cn_f+2}\left(\mu \mathrm{\Lambda }_{N=2}^2\right)^{2n_cn_f+2}.`$
where the strong coupling scale of the $`𝒩=1`$ theory is related to the dynamical $`𝒩=2`$ scale $`\mathrm{\Lambda }_{N=2}`$ through

$`\mu ^{2n_c+2}\mathrm{\Lambda }_{N=2}^{2(2n_c+2n_f)}=\mathrm{\Lambda }_{n_c,n_f}^{2(3(n_c+1)n_f)}.`$
Moreover, for a particular phase of $`S`$ with even or odd solutions, the number of minus signs among $`\lambda _i`$ must be even or odd, respectively. This will reduce to the choice of the signs by half . Therefore there exists

$`\left(2n_cn_f+2\right)2^{n_f1}`$
vacua which is consistent with the semi-classical result.

For $`\mu \mathrm{}`$ limit which is different from previous limit, some of the $`\lambda _i`$’s of (3.8) are of order of $`\mu `$ while others are much smaller. For large $`\lambda _i`$’s there exists the relation $`\lambda _i2m_i\mu `$ and the smaller $`\lambda _i`$’s can be found by substituting the large $`\lambda _i`$’s into the defining equation (3.7). According to the analysis of , the total number of the vacua agrees with the one of the classical vacua. We can see the standard supersymmetric vacua of the theories without adjoint field corresponding to $`r=0`$ vacua

$`S^{n_c+1}\mu ^{n_c+1}\mathrm{\Lambda }_{N=2}^{2(n_c+1)n_f}\text{Pf}m\mathrm{\Lambda }_{n_c,n_f}^{3(n_c+1)n_f}\text{Pf}m`$
which can be interpreted similarly as the one in . For $`N_f=N_c+2`$, it is evident that ADS superpotential vanishes and the classical moduli space of vacua is changed quantum mechanically. The large $`\mu `$ theory develops a quantum modified constraint

$`\text{Pf}M=2^{n_c1}\mathrm{\Lambda }_{n_c,n_c+1}^{2(n_c+1)}.`$
By introducing a Lagrange multiplier $`Y`$ in order to impose this constaint the effective superpotential will be

$`W=Y\left(\text{Pf}M2^{n_c1}\mathrm{\Lambda }_{n_c,n_c+1}^{2(n_c+1)}\right)+W_{tree}(M).`$
One can check that the total number of vacua will be consistent with the semi-classical result. When $`N_f=N_c+4`$, the large $`\mu `$ theory develops a superpotential

$`W={\displaystyle \frac{\text{Pf}M}{2^{n_c1}\mathrm{\Lambda }_{n_c,n_c+2}^{2(n_c+1)}}}+W_{tree}(M).`$
In the IR theory of electric theory, the magnetic theory is described by an $`Sp(\stackrel{~}{N}=N_fN4)`$ gauge theory ($`N_f>N+4`$) with $`N_f`$ flavors of dual quarks $`q_a^i(i=1,\mathrm{},N_f(=2n_f),a=1,\mathrm{},\stackrel{~}{N})`$ and the additional gauge singlet fields $`M^{ij}`$ which is an elementary field of dimension 1 at the UV-fixed point . The matter field variables in the magnetic theory are the original electric variables $`M^{ij}`$ and magnetic quarks $`q_i`$ with the superpotential together with mass term

$`W={\displaystyle \frac{1}{\kappa }}M^{ij}q_iq_j+W_{tree}(M).`$
where the scale $`\kappa `$ is the matching scale between the electric and magnetic gauge couplings and $`W_{tree}(M)`$ is given in (3.4). The partition function can be written as follows:

$`Z`$ $`=`$ $`{\displaystyle \frac{1}{vol(Sp(\stackrel{~}{N}))}}{\displaystyle [dq][dM]e^{\frac{1}{g_s}\left(\frac{1}{\kappa }M^{ij}q_iq_j+W_{tree}(M)\right)}}.`$
The effective superpotential from the log of partition function after calculating a gaussian matrix integral over $`q`$ can be expressed as

$`W`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{N}_c+2\right)\left(SS\mathrm{log}{\displaystyle \frac{S}{\stackrel{~}{\mathrm{\Lambda }}^3}}\right){\displaystyle \frac{SN_f}{2}}\mathrm{log}\stackrel{~}{\mathrm{\Lambda }}+{\displaystyle \frac{1}{2}}S\mathrm{log}\text{det}\left({\displaystyle \frac{2M}{\kappa }}\right)+W_{tree}(M)`$ (3.9)
$`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{N}_c+2\right)\left(SS\mathrm{log}{\displaystyle \frac{S}{\left(\stackrel{~}{\mathrm{\Lambda }}^{3\left(\stackrel{~}{N}_c+2\right)N_f}\text{det}\left(\frac{2M}{\kappa }\right)\right)^{1/\left(\stackrel{~}{N}_c+2\right)}}}\right)+W_{tree}(M)`$
$`=`$ $`\left(\stackrel{~}{n}_c+1\right)\left(SS\mathrm{log}{\displaystyle \frac{S}{\left(\stackrel{~}{\mathrm{\Lambda }}^{3\left(\stackrel{~}{n}_c+1\right)n_f}\text{Pf}\left(\frac{2M}{\kappa }\right)\right)^{1/\left(\stackrel{~}{n}_c+1\right)}}}\right)+W_{tree}(M)`$
where $`\stackrel{~}{n}_c=\stackrel{~}{N}_c/2`$. Solving the F-flatness condition $`_SW=0`$ one gets, with the phase factor $`e^{2\pi ik/\left(\stackrel{~}{n}_c+1\right)},k=1,\mathrm{},\left(\stackrel{~}{n}_c+1\right)`$ reflecting the $`(\stackrel{~}{n}_c+1)`$ supersymmetric vacua,

$`\widehat{S}=\left(2^{\stackrel{~}{n}_c1}\stackrel{~}{\mathrm{\Lambda }}_{n_fn_c2,n_f}^{3\left(\stackrel{~}{n}_c+1\right)n_f}\text{Pf}\left({\displaystyle \frac{2M}{\kappa }}\right)\right)^{1/\left(\stackrel{~}{n}_c+1\right)}ϵ_{\stackrel{~}{n}_c+1},\stackrel{~}{\mathrm{\Lambda }}^{3\left(\stackrel{~}{n}_c+1\right)n_f}=2^{\stackrel{~}{n}_c1}\stackrel{~}{\mathrm{\Lambda }}_{n_fn_c2,n_f}^{3\left(\stackrel{~}{n}_c+1\right)n_f}.`$
Then the exact superpotential by plugging this $`\widehat{S}`$ into (3.9) leads to

$`W`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{N}_c+2\right)\widehat{S}+W_{tree}(M)`$ (3.10)
$`=`$ $`\left(\stackrel{~}{n}_c+1\right)ϵ_{\stackrel{~}{n}_c+1}\left({\displaystyle \frac{2^{\stackrel{~}{n}_c1+n_f}\stackrel{~}{\mathrm{\Lambda }}_{n_fn_c2,n_f}^{3\left(\stackrel{~}{n}_c+1\right)n_f}\text{Pf}M}{\kappa ^{n_f}}}\right)^{1/\left(\stackrel{~}{n}_c+1\right)}+W_{tree}(M)`$
$`=`$ $`\left(n_c+n_f1\right)ϵ_{n_c+n_f1}\left({\displaystyle \frac{2^{n_c+2n_f3}\stackrel{~}{\mathrm{\Lambda }}_{n_fn_c2,n_f}^{3\left(n_fn_c1\right)n_f}\text{Pf}M}{\kappa ^{n_f}}}\right)^{1/\left(n_c+n_f1\right)}+W_{tree}(M)`$
$`=`$ $`\left(n_c+1n_f\right)ϵ_{n_c+1n_f}\left({\displaystyle \frac{2^{n_c1}\mathrm{\Lambda }_{n_c,n_f}^{3\left(n_c+1\right)n_f}}{\text{Pf}M}}\right)^{1/\left(n_c+1n_f\right)}+W_{tree}(M)`$
$`=`$ $`W_{ADS}(M)+W_{tree}(M)`$
which is exactly the same as the one in (3.6). Here we used the fact that $`\stackrel{~}{N}_c=N_fN_c4`$ and $`ϵ_{\stackrel{~}{n}_c+1}=ϵ_{n_c+n_f1}=ϵ_{n_cn_f+1}`$. This suggests Seiberg duality in the context of matrix model. The scale of the magnetic theory in the gauge theory side was related to that of electric theory by

$`\mathrm{\Lambda }_{n_c,n_f}^{3\left(n_c+1\right)n_f}\stackrel{~}{\mathrm{\Lambda }}_{n_fn_c2,n_f}^{3\left(n_fn_c1\right)n_f}=2^{42n_f}\left(1\right)^{n_fn_c1}\kappa ^{n_f}`$ (3.11)
where the normalization factor was chosen to get the consistent low energy behavior under large mass deformation and along the flat directions. Note that we take different convention for mass term and that is the reason why there exists $`2^{2n_f}`$ factor in the above (3.11). Of course, the number of vacua can be also obtained from the vacuum equation in the magnetic theory like as the electric theory. By making the ansatz $`M=i\sigma _2\text{diag}(\lambda _1,\mathrm{},\lambda _{n_f})`$, we get similar vacuum equation. In the massless limit, the solution for $`X`$ will provide

$`X^{2n_c+2n_f}=\stackrel{~}{\mathrm{\Lambda }}^{2(3(n_fn_c1)n_f)}\kappa ^{2n_f}\mu ^{n_f}`$
and together with $`2^{n_f1}`$ possibilities coming from the sign choices for each $`\lambda _i`$, it will be the same number as $`(2n_cn_f+2)2^{n_f1}`$ as we have seen before.

Acknowledgments

This research was supported by Korea Research Foundation Grant(KRF-2002-015-CS0006). I would like to thank K. Ohta for the correspondence on his paper and S. Nam for relevant discussions.


text:
# Optical spectroscopy and the UV luminosity function of galaxies in the Abell 1367, Coma and Virgo clusters.Based on observations obtained with the Loiano telescope belonging to the University of Bologna (Italy), with the G.Haro telescope of the INAOE (Mexico) and with the Calar Alto observatory operated by the Centro Astronomico Hispano Aleman (Spain).

## 1 Introduction

Multi-wavelength determinations of the luminosity function of galaxies belonging to nearby rich clusters are fundamental tools for shedding light on the process of galaxy evolution and, in conjunction with similar determinations of ”field” galaxies, should help unveiling the role of the environment on galaxy evolution.
These determinations suffer from insufficient redshift coverage, a crucial parameter for discriminating the (minority of) cluster members from the background interlopers.
Luminosity functions based on narrow band (i.e. H$`\alpha `$) surveys are less affected by the redshift incompleteness: only emission-line galaxies in a narrow recessional velocity range are detected by the limited band–width of the adopted filters. Complementary redshift information is nevertheless highly recommended in order to reject background objects whose H$`\beta `$ or \[OIII\] lines would fall into the band designed for containing the redshifted H$`\alpha `$ line. Iglesias-Paramo et al. (2002) carried out a deep H$`\alpha `$ imaging survey of 1 $`\times `$ 1 degree area in Coma and A1367 clusters and obtained the first H$`\alpha `$ luminosity function of nearby clusters of galaxies. By that time approximately fifty percent of H$`\alpha `$ emitting galaxies had no estimate of the recessional velocity. With the aim of measuring the remaining redshifts and for confirming the H$`\alpha `$ emission of these galaxies we carried out the spectroscopic survey presented in this paper. As a side product we also obtained redshifts of several UV selected galaxies in Coma and A1367 regions which enable us to re-compute the UV luminosity functions of the two clusters.
The present paper is arranged as follows: Section 2 contains a description of the galaxy selection criteria. The observations and the data-reduction procedures are described in Section 3. The new redshift are presented in Section 4 along with the data on one interesting object in the Virgo cluster. The H$`\alpha `$ and UV luminosity functions of A1367 and Coma are discussed in Section 5. Conclusions are briefly summarized in Section 6.

## 2 The sample selection criteria

Galaxies in the present study were primarily selected among objects, projected in the direction of the Abell 1367 and Coma clusters, with H$`\alpha `$ emission detected in the INT H$`\alpha `$ survey of (Iglesias-Paramo et al. (2002)) or selected from the $`r^{}`$ survey by Iglesias-Paramo et al. (2003). The H$`\alpha `$ selected galaxies in the Coma cluster were all spectroscopically measured, while only 75% of them were observed in A1367. The $`r^{}`$ selected galaxies with $`r^{}17`$ have been observed with a completeness of 64% and 92% for A1367 and Coma respectively.
In addition to these, we selected 20 targets with UV magnitude $`\mathrm{m}_{\mathrm{uv}}<18.5`$ detected by the FOCA balloon-borne wide field UV camera ($`\lambda =2000\mathrm{\AA };\mathrm{\Delta }\lambda =150\mathrm{\AA }`$) (Donas et al. 1995 and Donas, private communication). The UV magnitude is defined as: $`\mathrm{m}_{\mathrm{uv}}=2.5\mathrm{log}(\mathrm{F}_{2000})21.175`$, where $`F_{2000}`$ is the flux in units of $`\mathrm{erg}\mathrm{cm}^2\mathrm{s}^1\mathrm{\AA }^1.`$ The spatial resolution of the UV data is 20 arcsec FWHM (Milliard et al. 1992). The astrometric accuracy of these data is therefore typically 3-5 arcsec, insufficient for unambiguously identifying spectroscopic targets and discriminating between stars and galaxies. To overcome this limitation, we cross-correlated the FOCA catalogues of A1367 and Coma with the $`r^{}`$ band catalogue of galaxies ($`r^{}<21`$) by Iglesias-Paramo et al. (2003), using a matching radius of 20 arcsec. In cases of multiple identifications we select the galaxy closest to the UV position. Including the present observations, spectra are available for 64% and 56% of the UV selected galaxies with an optical counterpart in A1367 and Coma respectively.
A dozen of faint H$`\alpha `$ emitting galaxies in the Virgo cluster with no estimate of the recessional velocity in the literature were also selected as filler objects. These were serendipitously found around bright VCC galaxies by visual inspection to the net ($`H\alpha +N[II]`$) frames obtained at the INT by Boselli et al. (virgoint (2002)).

## 3 Observations and data reduction

Long-slit, low dispersion spectra of 93 galaxies were obtained in several observing runs since 2001 using the imaging spectrograph BFOSC attached to the Cassini 1.5m telescope at Loiano (Italy), LFOSC at the 2.1m telescope of the Guillermo Haro Observatory at Cananea (Mexico), and with CAFOS attached to the 2.2m telescope of the Calar Alto Observatory (Spain). Table 1 lists the characteristics of the instrumentation in the adopted set-up.
The observations at Loiano (44 galaxies) were performed using a 2.0 or 2.5 arcsec slit, depending on the seeing conditions, generally oriented E-W. The wavelength calibration was secured with exposures of HeAr lamps. The on-target exposure time ranged between 15 and 30 min according to the brightness of the targets.
The observations at Cananea (40 galaxies) were carried out with a 1.9 arcsec slit, generally oriented N-S. The wavelength calibration was secured with exposures of XeNe lamps. The on-target exposure time ranged between 20 and 40 min according to the brightness of the targets.
The observations at Calar Alto (9 galaxies) were carried out with a 1.5 arcsec slit, generally oriented N-S. The wavelength calibration was secured with exposures of CdHe lamps. The on-target exposure time ranged between 15 and 30 min according to the brightness of the targets. In all runs the observations were obtained in nearly photometric conditions, with thin cirrus. The orientation of the slit was modified from the set-up given above when two adjacent objects could be observed in the same exposure.
The data reduction was performed in the IRAF environment. After bias subtraction, when 3 or more frames of the same target were obtained, these were combined (after spatial alignment) using a median filter to help cosmic rays removal. Otherwise the cosmic rays were removed using the task COSMICRAYS and/or under visual inspection. The lamps wavelength calibration was checked against known sky lines. These were found within $`1\mathrm{\AA }`$ from their nominal position, providing an estimate of the systematic uncertainty on the derived velocity of $`50\mathrm{km}\mathrm{s}^1`$. After subtraction of sky background, one-dimensional spectra were extracted from the frames. The redshift were obtained using the cross-correlation technique of Tonry & Davis (tonry (1979)). This method is based on a ”comparison” between the spectrum of a galaxy (or a star) whose redshift is to be determined, and a fiducial spectral template of a galaxy of appropriate spectral type to contain the wanted absorption/emission lines. The basic assumption behind this method is that the spectrum of a galaxy is well approximated by the spectrum of its stars, modified by the effects of the stellar motion inside the galaxy and by the systemic redshift. For this purpose high signal-to-noise spectra were taken of two template galaxies: VCC0066 (emission lines) and NGC221 (absorption lines), which were converted to the rest frame $`\lambda `$. The derived redshift are not transformed to Heliocentric.

## 4 Results

The velocity measurements obtained in this work are listed in Table 2 as follow:
Column 1: Galaxy designation. For Virgo cluster we use the VCC (Binggeli et al. (1985)) and VPC (Young & Currie 1998) designations when available.
Column 2, 3: (J2000) celestial coordinates, measured with few arcsec uncertainty.
Column 4: $`r^{}`$ band magnitude.
Column 5, 6: observed recessional velocity with uncertainty derived in this work. The latter quantity includes only statistical errors. The global uncertainty can be derived by adding in quadrature $`50\mathrm{km}\mathrm{s}^1`$ due to the uncertainty in the absolute wavelength calibration.
Column 7: type of lines (A=absorption; E=Emission)
Column 8: telescope (LOI=Loiano; CAN=Cananea, CAL=Calar Alto)
Column 9: galaxies selection band (UV, H$`\alpha `$ or $`r^{}`$)

### 4.1 The Virgo cluster

Twelve redshift measurements presented in this work are of faint ($`r^{}18`$) objects in the Virgo cluster which were serendipitously detected near bright VCC galaxies as part of an H$`\alpha `$ imaging survey of this cluster (Boselli et al. 2002). Four of these galaxies turned out to be background galaxies whose emission, revealed in the net ($`H\alpha +N[II]`$) frames, is in fact due to H$`\beta `$ and \[OIII\] lines, showing that at the faint limit of the survey the contamination by this type of objects becomes relevant.
We would like to draw the attention on the point-like H$`\alpha `$ source *122603+130724* detected at the projected distance of 2’ from the giant galaxy VCC873 shown in Fig. 1. The source shows an H$`\alpha `$ equivalent width of $`700\mathrm{\AA }`$ and an H$`\alpha `$ flux $`10^{14.6}\mathrm{erg}\mathrm{s}^1\mathrm{cm}^2`$. In spite of its very faint continuum ($`r^{}21.5`$), the 15 min spectrum of this object taken with the Loiano 1.5m telescope yielded a prominent H$`\alpha `$ emission at $`260\mathrm{km}\mathrm{s}^1`$, consistent with the velocity of VCC873 ($`232\mathrm{km}\mathrm{s}^1`$).
Unlike planetary nebulae (ICPNe) found near giant galaxies in the Virgo and Fornax cluster (Arnaboldi et al. 1996; Theuns & Warren 1997) showing strong \[OIII\] $`\lambda 5007\mathrm{\AA }`$ lines (Dopita et al. 1992), *122603+130724* is not detected in \[OIII\]. However, given the weakness of the available spectrum, the upper limit on \[OIII\] is $``$ 0.3 of the H$`\alpha `$ flux, therefore consistent with *122603+130724* being an extragalactic HII region (Dopita et al. 2000) associated with the giant galaxy VCC873. The point-like H$`\alpha `$ source *122544+130740* listed in Table 2 could be another extragalactic HII region, in this case not associated with a bright cluster galaxy. However the redshift of this faint ($`r^{}20`$) object, based on one line (presumably H$`\alpha `$) needs confirmation because it lies at a projected distance of 10 arcsec from a bright star.
Gerhard et al. (2002) found 17 candidate extragalactic HII regions in the Virgo cluster, among which the one associated with VCC836 was confirmed spectroscopically. Objects of this kind could account for the diffuse intracluster light (Bernstein et al. 1995) and might contribute to the enrichment of the intergalactic medium in clusters.

## 5 The luminosity functions

### 5.1 The H$`\alpha `$ luminosity function

With the new data presented in this work, the redshift of all H$`\alpha `$ selected galaxies in the Coma cluster (Iglesias-Paramo et al. (2002)) have been measured. All objects turned out to be cluster members ($`4000<\mathrm{V}<10000\mathrm{km}\mathrm{s}^1`$) and significant H$`\alpha `$ emission was detected in their spectra. The H$`\alpha `$ luminosity function determined by Iglesias-Paramo et al. (2002) assuming that all objects were at the distance of Coma is fully confirmed.
In A1367 we measured the redshift of 14 galaxies, bringing to 75% the completeness of H$`\alpha `$ selected galaxies in this cluster. The membership to the cluster was confirmed for 13 galaxies, while 1 (*114430+195718*) turned out to be a background galaxy whose emission, revealed by Iglesias-Paramo et al. (2002) is in fact due to H$`\beta `$ and \[OIII\] lines. This confirms that the H$`\alpha `$ survey by Iglesias-Paramo et al. (2002) is little contaminated by H$`\beta `$ and \[OIII\] emission lines from background objects, emphasizing the high success-rate of selecting emission line members with the Iglesias-Paramo et al. (2002) method.

### 5.2 The UV luminosity function

The H$`\alpha `$ luminosity functions of Coma and A1367 are found consistent one another, being characterized by a faint end slope $`\alpha `$$``$-0.7. This value differs significantly from the slope of the UV luminosity function of Coma (Andreon 1999, hereafter A99) $`\alpha `$$``$-2.0, the only UV luminosity function ever determined for a cluster. While stars with masses M$`>10M_{\mathrm{}}`$ and lifetimes $`<`$ 20 Myr contribute significantly to the H$`\alpha `$ flux, the UV emission is dominated by young stars of intermediate masses (2 $`<`$M$`<`$5 $`M_{\mathrm{}}`$). Furthermore UV emission is detected also from early-type galaxies with no recent star formation episodes (Deharveng et al. 2002). However these differences alone are insufficient for producing discrepant luminosity function such as obtained in the two bands. Thus we use the spectroscopic observations presented in this work to re-compute the Coma UV luminosity function and to compute, for the first time, the UV luminosity function of A1367. Using the same UV data available to A99, we cross-correlate the UV detections with the $`r`$’ catalogue of Iglesias-Paramo et al. (2003) for a better star/galaxy discrimination. This reduces our luminosity function determination to an area of $`0.97\mathrm{°}^2`$ (the same over which we determined the H$`\alpha `$ luminosity function), instead of $`3\mathrm{°}^2`$ analyzed by A99. The determination of the cluster luminosity function requires a reliable estimate of the contribution of background/foreground objects to the UV counts. This can be accurately achieved for $`m_{UV}`$ 16.75, since for these UV sources the redshift completeness is $``$ 90% (see Fig.2). At fainter magnitudes the redshift completeness drops rapidly, thus requiring the contamination to be estimated statistically from the number of field galaxies, per bin of UV magnitude, that are expected to be randomly projected onto the cluster area. The over-density of UV counts due to Coma/A1367 galaxies can be derived from the difference between the counts in the direction of the two clusters and the UV galaxy counts derived in three random fields by Milliard et al. (1992) using the same experimental set up as for Coma and A1367. Opposite to our expectation the cluster galaxy counts at faint magnitudes are $``$ 3 times lower than the Milliard et al. (1992) number counts (see Fig. 4), as already noticed by A99. The reason for such discrepancy is not fully understood and might reflect a higher degree of star contamination among the UV counts than estimated by Milliard et al. (1992).

Alternatively it might derive from a higher than expected fraction of foreground galaxies in Milliard et al. (1992). However foreground galaxies should contribute significantly less than background objects due to the small sampled volume at $`\mathrm{V}<4000\mathrm{km}\mathrm{s}^1`$. Using our new redshifts we can at least estimate a minimum and a maximum background contribution to the observed counts in the direction of Coma and A1367, a method followed by A99. The true background is at least composed of all objects whose velocity falls outside the assumed range for the clusters ($`4000<\mathrm{V}<10000\mathrm{km}\mathrm{s}^1`$). At most it comprises also all galaxies with unknown redshift. These limiting estimates, shown in Figure 4 for Coma (dotted line) and A1367 (long dashed line), are found in good reciprocal agreement, but are significantly lower than the background counts estimated by Milliard et al. (1992). The resulting clusters UV luminosity functions should lie in between the two determinations given in Figs. 5 and 6.
Due to the large uncertainties we did not attempt to fit a complete Schechter (1976) function to the data. Instead we fit the low-end slope (15.5$`<m_{UV}<`$18) with an exponential form of slope $`km_{UV}`$ where $`m_{UV}`$ is the UV magnitude and $`k`$ is related to the $`\alpha `$ parameter of the Schecther function by:

$$\alpha =(k/0.4+1)$$

The resulting UV luminosity function of A1367 shows a slope between $`k_{lower}`$= 0.14 $`\pm `$ 0.08 and $`k_{upper}`$ = 0.42 $`\pm `$ 0.09 (equivalent to $`\alpha _{lower}`$=-1.35$`\pm `$0.20 and $`\alpha _{upper}`$=-2.05$`\pm `$0.22). Similarly, for the UV luminosity function of Coma we find $`k_{lower}`$ = 0.14 $`\pm `$ 0.09 and $`k_{upper}`$ = 0.37$`\pm `$ 0.09 (equivalent to $`\alpha _{lower}`$=-1.35$`\pm `$0.22 and $`\alpha _{upper}`$=-1.94$`\pm `$0.24). The upper and lower limits of the UV luminosity functions of the two clusters are in fair agreement, but the allowed range between the two limits is still very broad. Likely the low limit gives a more realistic representation of the true UV luminosity function because nearly all (18/20 or 90%) of the UV selected galaxies for which we obtained a redshift in this work turned out to be in the background. The low limit slope $`\alpha `$$``$-1.35 is in agreement with the field UV luminosity function of Sullivan et al. (2000) and it is consistent with the slope of the H$`\alpha `$ luminosity function of the two clusters as determined by Iglesias-Paramo et al. (2002). Certainly the very steep ($`\alpha `$$``$-2.0, -2.2) luminosity function found for Coma by A99 is due to an underestimate of the density of background galaxies.

## 6 Summary and conclusions

Optical spectroscopy of 93 galaxies, 60 of which are projected in the direction of Abell 1367, 21 onto the Coma cluster and 12 onto Virgo, is reported. These observations bring the redshift completeness among H$`\alpha `$ selected galaxies by Iglesias-Paramo et al.(2002) to 100% in the Coma region and to 75% in Abell 1367. All, except one, the H$`\alpha `$ selected galaxies show H$`\alpha `$ emission and are confirmed cluster members. The exception is a background galaxy whose \[OIII\] lines fall in the H$`\alpha `$ filter. The H$`\alpha `$ luminosity function of the two clusters determined by Iglesias-Paramo et al. (2002) is fully confirmed.
Redshifts of UV selected galaxies in Coma and A1367 regions were also obtained. With these new data the redshift completeness in the core of the two clusters has reached $``$ 90% for $`m_{UV}`$16.75. We re-determine the Coma UV luminosity function and we compute for the first time the UV luminosity function of A1367. The two are found in fair agreement. Their faint–end slopes remain unconstrained (-2.00$`<`$$`\alpha `$$`<`$-1.35) due to the uncertainty on the background counts. However if 90% of the UV selected galaxies without a redshift measurement will be found in the cluster background, as our data indicate, the slope of the UV luminosity function should be near $`\alpha `$$``$-1.35, in agreement with the field one (Sullivan et al. 2000) and with the H$`\alpha `$ luminosity functions of the two clusters (Iglesias-Paramo et al. 2002).
Finally we discover a point like H$`\alpha `$ source in the Virgo cluster, associated with the giant galaxy VCC873, possibly an extragalactic HII region as the one recently observed in Virgo by Gerhard et al.(2002). Objects of this kind could account for the diffuse intracluster light and might contribute to the enrichment of intergalactic medium in galaxy clusters.

###### Acknowledgements.

We wish to thank Jose Donas for providing us with his unpublished catalogue of UV sources in the Coma and Abell 1367 fields. The TACS of the Loiano, Cananea and Calar Alto telescopes are acknowledged for the generous time allocation to this project. This work could not be completed without the NASA/IPAC Extragalactic Database (NED) which is operated by the Jet Propulsion Laboratory, Caltech under contract with NASA.


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# Massive triplet excitations in a magnetized anisotropic Haldane spin chain.

## Abstract

Inelastic neutron scattering experiments on the Haldane-gap quantum antiferromagnet Ni(C5D14N2)2N3(PF6) are performed at mK temperatures in magnetic fields of almost twice the critical field $`H_c`$ applied perpendicular to the spin cahins. Above $`H_c`$ a re-opening of the spin gap is clearly observed. In the high-field Néel-ordered state the spectrum is dominated by three distinct long-lived excitation branches. Several field-theoretical models are tested in a quantitative comparison with the experimental data.

One-dimensional (1D) integer-spin antiferromagnets (AFs) are famous for having a disordered “spin liquid” ground state and an energy gap $`\mathrm{\Delta }\mathrm{exp}(\pi S)`$ in the excitation spectrum Hal . Elementary excitations are a triplet of massive (gapped) long-lived “magnons”. An external magnetic field modifies the magnon energies by virtue of Zeeman effect Katsumata ; Aff . At a certain critical field $`H_c`$ the gap in one of the branches approaches zero Tsvelik (1990); Aff . The result is a condensation of magnonsAff ; Tak  and the emergence of a qualitatively new ground state. What this new ground state actually is, depends on the symmetry of the problem. Theory predicts that in an axially symmetric (AS) Heisenberg or XY-like scenarios the high-field phase is a gapless “Luttinger spin liquid” with quasi-long-range order and a diffuse continuum of excitations (no sharp magnons) S. Sachdev and Shankar (1994). The high-field phase in the axially asymmetric (AA) case is expected to be totally different. Here the ground state should have true long-range Néel order (“spin solid”). A simple boson description Aff  predicts a re-opening of the gap at $`H>H_c`$, and implies the restoration of a single-particle excitation spectrum. Is this state then similar to a classical easy-plane AF in a field, that also features long-range order and sharp gapped spin waves?

Only recently did experiments, which are the key to understanding the high-field behavior, become technically feasible. This was in part due to the discovery of the very useful model material Ni(C5D14N2)2N3(PF6) (NDMAP) Hon , where various techniques Hon ; Zheludev et al. (2001); Chen et al. (2001) confirmed a quantum phase transition at an easily accessible critical field of $`H_c6`$ T. Inelastic neutron studies were carried out in the AA geometry in the thermally-disordered phase: at $`H>H_c`$, but at temperatures high enough to destroy long-range Néel order Zheludev et al. (2002). Somewhat unexpectedly, it was found that as the Haldane gap closes at $`H_c`$, the spectrum retains a considerable quasielastic (gapless) component at higher fields. The theoretically predicted reopening of the gap was thus not observed. At the time, this behavior was not fully understood, though several intriguing explanations were put forward. One attributed the phenomenon to the 1D diffusion of thermally excited classical solitons Mik , while another drew parallels with the incommensurate Luttinger liquid state in the AS geometry. To better understand this issue, we carried out a new series of measurements at considerably lower temperatures and in higher magnetic fields, overcoming any finite-$`T`$ effects to directly probe the ground state properties. The spin dynamics in this regime was found to be qualitatively different from that previously seen at elevated temperatures. The new data allow a quantitative comparison with several quantum field-theoretical models, while emphasizing dramatic differences between the high-field phase and a classical magnet.

Five newly-grown deuterated NDMAP single crystals were co-aligned by neutron diffraction to produce a sample of total mass 1.4 g and a mosaic spread of $`3^{}`$. NDMAP crystallizes in the orthorhombic space group $`Pnmn`$. The $`S=1`$ AF spin chains, formed by Ni2+ ions bridged by azido-groups, run along the crystallographic $`c`$ axis, and $`(a,b)`$ is the magnetic easy plane. In zero field the Haldane gap energies were previously determined to be $`\mathrm{\Delta }_x=0.42`$ meV, $`\mathrm{\Delta }_y=0.52`$ meV, and $`\mathrm{\Delta }_z=1.89`$ meV Zheludev et al. (2001). In our experiments the sample was mounted with the $`a`$ axis vertical, and the data were collected in the $`(0,k,l)`$ reciprocal-space plane. The sample environment was a cryomagnet with a dilution refrigerator. The measurements were performed at $`T=30`$ mK in magnetic fields of up to 11 T applied along the crystallographic $`a`$ axis.

The first series of experiments was performed at the SPINS 3-axis cold-neutron spectrometer installed at the NIST Center for High Resolution Neutron Scattering (CHRNS). The main purpose was to measure the field dependence of scattering at the 1D AF zone-center $`l=0.5`$. Neutrons with a 3.7 meV fixed-final energy were used with a horizontally focusing analyzer and a BeO filter after the sample. Energy scans were performed on the $`(0,k,0.5)`$ reciprocal-space rod. The wave vector transfer perpendicular to the chains was continuously adjusted to maintain the sample $`c`$ axis directed towards the analyzer for optimal wave vector resolution along the chains. The background (featureless and typically 4 counts/min) was measured away from the 1D AF zone-center, at $`(0,k,0.35)`$ and $`(0,k,0.65)`$.

Typical background-subtracted data sets are shown in Fig. 1. A similar scan previously measured in zero field (Fig. 3 in Ref. Zheludev et al. (2001)) clearly shows two peaks at roughly 0.47 mV and 1.9 meV energy transfer, respectively. The data plotted in Fig. 1a corresponds to $`H=3`$ T, still well below $`H_c6`$ T. At this field the lower-energy peak is visibly split in two components. At $`H=6`$ T$`H_c`$ the gap in the lower mode vanishes altogether, to within experimental error, as illustrated in Fig. 1b. At the same time, long-range AF order sets in Chen et al. (2001). The main new result of the present study is the observation that at $`T=30`$ mK at $`H>H_c`$ the gap in the lower mode re-opens and increases with field (Fig. 1c,d). In the ordered state the spectrum at $`q_{}=\pi `$ thus contains three distinct sharp excitation branches, just as in the low-field disordered phase.

The new 30 mK data clearly show that the quasielastic scattering previously observed at $`H>H_c`$ and $`T=2`$ K is absent, and must therefore be a finite-$`T`$ effect. In the constant-$`q`$ scans collected at $`T=30`$ mK all three peaks have resolution-limited widths at all fields. In fact, very good fits to the data (solid lines in Fig. 1) can be obtained using a simple model cross section that involves three excitations with a zero intrinsic energy width Zheludev et al. (2001). The cross section was numerically convoluted with the spectrometer resolution function, and the adjustable parameters at each field were the three gap energies and intensity prefactors for each mode. In Fig. 1 the partial contributions of the three branches are shown as shaded areas. The field dependence of the gap energies deduced from these fits is shown in Fig. 2 in open symbols.

To study the wave vector dependence of the dynamic structure factor additional measurements were performed using the Disk Chopper Spectrometer (DCS) at NIST CHRNS. The data were collected using a fixed incident neutron energy of 4.5 meV. The sample was mounted with the $`(b,c)`$ plane horizontal, and the chain axis almost perpendicular to the incident beam. The background was measured separately, with the sample removed from the cryostat. The background-subtracted data collected at $`H=0`$, $`H=6`$ T and $`H=10`$ T are visualized in the false-color and contour plots in Fig. 3, and correspond to a typical counting time of 20 hours. They are to be compared to similar 3-axis data measured previously at $`T=2`$ K and shown in Fig. 2 of Ref. Zheludev et al. (2002). The new low-$`T`$ experiment shows that the excitations at $`H>H_c`$ have a simple relativistic (hyperbolic) dispersion relation, with a spin wave velocity equal to that at $`H<H_c`$ (see solid lines in Fig. 3). The “inverted” hyperbolic dispersion curves with “negative gaps” shown in solid lines in Fig. 3 of Ref. Zheludev et al. (2002) are clearly inconsistent with the new data. This latter dispersion form was proposed as one possible interpretation of the anomalous $`q`$-width of quasielastic scattering at $`T=2`$ K Zheludev et al. (2002) and is based on a Fermion representation of excitations in isotropic Haldane spin chains. The present data show that this model does not apply in highly anisotropic case of NDMAP: the spectrum is truly gapped and has no intrinsic incommensurate features. The quasielastic scattering at $`T=2`$ K, $`H>H_c`$ is thus to be attributed to a diffusion of thermally excited topological solitons Zheludev et al. (2002), and its anomalous $`q`$-width is due to the $`T`$-dependent mean distance between solitons Mik .

For the following discussion of the observed low-$`T`$ properties it is crucial to note that at $`T=30`$ mK the spin chains are antiferromagnetically ordered at $`H>H_c`$ Chen et al. (2001), with a static staggered magnetization as large as $`m1\mu _\mathrm{B}`$ per site at $`H=11`$ T. Clearly, inter-chain coupling is needed to stabilize order at a non-zero temperature. However, in the AA geometry, even an isolated chain orders at $`H>H_c`$ at $`T=0`$, the system being equivalent to the (1+1)-dimensional Ising-model Aff . Since inter-chain interactions in NDMAP are very weak Zheludev et al. (2001), we can assume that a purely 1D problem is realized: long-range AF correlations are intrinsic to the 1D chains, and the sole role of residual 3D interactions is to maintain their stability at a finite temperature.

The conventional approach to describing spin excitations in ordered systems is the quasiclassical spin wave theory (SWT). In this model the magnons are precessions of staggered magnetization $`𝐦`$ around its equilibrium direction. As a consequence, in SWT there are only two sharp excitation branches, polarized perpendicular to the $`𝐦`$. In our case three sharp magnons are seen in the ordered state ($`H>H_c`$). At least one of the three branches must have the character of a “longitudinal” magnon that is not a precession mode, but is polarized along the ordered moment. Thus, at $`H>H_c`$ quantum-mechanical effects remain crucial, and the SWT is inapplicable. Instead, the three observed excitation branches can be visualized as soliton-antisoliton breathers: the three massive bound states formed by the two types of topological defects allowed in an anisotropic semisiclassical 1D magnet Mik . In more detail our experiments can be understood in the frameworks of several field-theoretical models.

The approach due to Affleck Aff  is based on coarse-graining the (1+1)-dimensional $`O(3)`$ non-linear sigma model (NLSM), to which, in turn, the $`S=1`$ Heisenberg chain can be mapped Hal . The resulting Lagrangian is that of an unconstrained real vector field $`𝝋(𝐫)`$ with the $`\phi ^4`$-type interaction. Anisotropy is added by postulating separate masses $`\mathrm{\Delta }_\alpha `$ for the different components of this vector field. For $`H>H_c`$ the ground state has a non-zero staggered magnetization $`𝐋=𝝋`$ and uniform magnetization $`𝐌𝐇\times 𝝋`$. The $`\phi ^4`$-model captures the basic physics involved, but suffers from several drawbacks. In particular, the predicted value of the critical field for $`𝐇𝐞_\alpha `$ is $`g\mu _BH_c^{(\alpha )}=\mathrm{\Delta }_\alpha `$. This is inconsistent with established experimental Regnault et al. (1994); Honda et al. (1997, 1999); Chen et al. (2001); Zhe  and numerical Gol  results, as well as with simple arguments based on the perturbation theory Gol ; Regnault et al. (1993). Another potential weakness is that at the mean field (MF) level $`M(H)`$ and the lowest gap $`\mathrm{\Delta }(H)`$ come out to be $`\sqrt{HH_c^{(\alpha )}}`$, while a roughly linear behavior is seen experimentally and numerically. For NDMAP, the derivations of Ref. Aff,  must be generalized to allow for an arbitrary field direction, since the anisotropy axis of the $`\mathrm{Ni}^{2+}`$ ions forms an angle of about $`16^{}`$ with the crystallographic $`c`$ axis. The resulting predictions are shown in dashed lines in Fig. 2.

Another theory, due to Tsvelik Tsvelik (1990), stems from the integrable $`SU(3)`$ model of a $`S=1`$ chain. It involves three Majorana fields with masses $`\mathrm{\Delta }_\alpha `$. The predicted critical fields $`g\mu _BH_c^{(\alpha )}=\sqrt{\mathrm{\Delta }_\beta \mathrm{\Delta }_\gamma }`$ coincide with the perturbative formulas of Gol ; Regnault et al. (1993). Again, incorporating an arbitrary field direction, and using the known parameters for NDMAP, we can directly compare the predicted gap energies (dash-dot lines in Fig. 2) to those measured in this work. Unlike the $`\phi ^4`$ model, Tsvelik’s approach predicts the linear behavior of $`M(H)`$ and $`\mathrm{\Delta }(H)`$ near $`H_c`$. The theory, however, fails to reproduce the two upper gaps at $`H>H_c`$.

In the context of the present experiments we would like to introduce a different approach that is similar to the model proposed for dimerized $`S=1/2`$ chains in Ref. Kolezhuk, 1996. It is a Ginzburg-Landau-type theory written in terms of a *complex* triplet field $`𝚽(𝐫)=𝑨(𝐫)+i𝑩(𝐫)`$. The uniform and staggered magnetization are written as $`𝐌(𝑨\times 𝑩)`$ and $`𝐋𝑨(1A^2B^2)^{1/2}`$. Interaction terms $`(𝚽^{}𝚽)^2`$ and $`(𝚽^{}\times 𝚽)^2`$ are naturally present in the model. Unlike the models discussed above, anisotropy enters the Lagrangian through *two* sets of masses, separately in the $`A`$ and $`B`$ “channels”: $`_\alpha (m_\alpha A_\alpha ^2+\stackrel{~}{m_\alpha }B_\alpha ^2)`$. By integrating out the $`𝑩`$-field one obtains an effective $`\phi ^4`$-type theory similar to that of Affleck. However, the Zeeman term $`𝑯(𝝋\times _t𝝋)`$ of Ref. Aff,  becomes replaced by the anisotropy-dependent expression $`_{\alpha \beta \gamma }(\stackrel{~}{m_\gamma })^1\epsilon _{\alpha \beta \gamma }H_\alpha A_\beta (_tA_\gamma )`$. Remarkably, this model includes Affleck’s theory as the special case $`\stackrel{~}{m_\gamma }=\text{const}`$, and at the same time it reproduces the results of the Tsvelik’s theory for $`\mathrm{\Delta }(H)`$ and $`M(H)`$ *below $`H_c`$* in another special case $`\stackrel{~}{m_\gamma }=m_\gamma `$. There are no particular reasons why either of these special cases should correspond to the actual Heisenberg $`S=1`$ chain with single-ion anisotropy realized in NDMAP. The masses $`\stackrel{~}{m_\alpha }`$ and $`m_\alpha `$ at the present stage may be treated as adjustable parameters to reproduce the measured gap energies $`\mathrm{\Delta }_\alpha =\sqrt{\stackrel{~}{m_\alpha }m_\alpha }`$ at $`H=0`$ and the measured field dependencies. Very good fits to our experimental data are obtained with $`\stackrel{~}{m_x}/m_x=0.87`$, $`\stackrel{~}{m_y}/m_y=0.83`$, and $`\stackrel{~}{m_z}/m_z=0.35`$ (solid lines in Fig. 2). A detailed description of the application of this model to NDMAP will be reported elsewhere.

In summary, the present low-$`T`$ study is a direct observation of several fundamental quantum-mechanical features predicted for anisotropic Haldane spin chains, and helps clarify the nature of the previously investigated finite-$`T`$ spin dynamics. The next experimental challenge will be to investigate the AS geometry, searching for manifestations of the Luttinger spin liquid regime.

We would like to thank H.-J. Mikeska, F. Eßler, A. Tsvelik, and I. Zaliznyak for enlightening discussions. Work at ORNL and BNL was carried out under DOE Contracts No. DE-AC05-00OR22725 and DE-AC02-98CH10886, respectively. Work at JHU was supported by the NSF through DMR-0074571. Experiments at NIST were supported by the NSF through DMR-0086210 and DMR-9986442. The high-field magnet was funded by NSF through DMR-9704257. Work at RIKEN was supported in part by a Grant-in-Aid for Scientific Research from the Japan Sosciety for the Promotion of Science. One of us (AK) was supported by the grant I/75895 from Volkswagen-Stiftung.