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# Spin-orbit splitting in low-j neutron orbits and proton densities in the nuclear interior

## Abstract

On the basis of relativistic mean field calculations, we predict that the spin-orbit splitting of $`p_{3/2}`$ and $`p_{1/2}`$ neutron orbits depends sensitively on the magnitude of the proton density near the center of the nucleus, and in particular on the occupation of $`s_{1/2}`$ proton orbits. We focus on two exotic nuclei, 46Ar and 206Hg, in which the presence of a pair of $`s_{1/2}`$ proton holes is predicted to cause the splitting between the $`p_{3/2}`$ and $`p_{1/2}`$ neutron orbits near the Fermi surface to be much smaller than in the nearby doubly-magic nuclei 48Ca and 208Pb. We note that these two exotic nuclei depart from the long-standing paradigm of a central potential proportional to the ground state baryon density and a spin-orbit potential proportional to the derivative of the central potential.

One of the primary motivations for the study of exotic nuclei is to search for novel shell structure effects. A large amount of attention has been paid to the possibility that the spin-orbit force on high-$`j`$ neutron orbits weakens in nuclei near the neutron drip line We96 ; Te97 ; Re97 ; La98 ; De99 ; Du99 ; Re99 ; La99 ; Ca00 ; Pe00 ; De01 ; Ot01 ; Mi02 ; Ro02 . The neutron magic numbers for stable nuclei rely on the effect of the strong spin-orbit force on high-$`j`$ orbits, so the weakening of this force has the potential to change the neutron magic numbers in neutron-rich nuclei. The possibility of the narrowing or collapse of the $`N=28`$ major shell closure in neutron-rich nuclei near 42Si has attracted considerable attention because these isotopes are becoming accessible to experiments Gl97 ; Sa00 ; So02 ; No02 . The two most important reasons generally given for the decline of the spin-orbit force on high-$`j`$ neutron orbits near the neutron drip line are the large neutron surface diffuseness and the influence of the continuum in these nuclei Na01 ; Ca00b .

In the present communication, we predict a novel shell structure effect having to do with spin-orbit splitting in low-j neutron orbits — namely, p orbits. The dramatic decrease in the spin-orbit splitting described here is not caused by the neutron density near the nuclear surface, but rather by the proton density in the nuclear interior. The two nuclei for which we make specific predictions, 46Ar and 206Hg, are exotic but within two protons of the valley of stability. We make these predictions using the relativistic mean field theory, which has also been used to study the spin-orbit splitting of high-j orbits in exotic nuclei La98 ; La99 ; Ca00 ; De01 ; Mi02 .

The relativistic mean field calculation reported here is identical to the calculation used in Ref. To03  to predict the properties of neutron-rich nuclei over a wide mass range. The model used in Ref. To03  is based on a Lagrangian developed in Refs. Ho01a ; Ho01b  that includes novel nonlinear couplings between the isoscalar and isovector mesons. These new terms, which supplement the phenomenologically successful Lagrangians of Refs. La97 ; La99b ; Mu96 , modify the density dependence of the symmetry energy without changing ground state properties that are well established experimentally. Modifications to the poorly known density dependence of the symmetry energy induces interesting correlations between the neutron skin of heavy nuclei and a variety of neutron-star properties Ho01a ; Ho01b ; Ho02 ; Ca03 .

In both doubly-magic nuclei 48Ca and 208Pb, the highest lying proton orbits below the Fermi surface (or the lowest energy proton hole states in 47K and 207Tl) are $`s_{1/2}`$ orbits. The effect of removing a pair of $`s_{1/2}`$ protons from 48Ca and 208Pb is illustrated in Fig. 1, which compares the proton densities of 46Ar and 48Ca (upper panel), and the proton densities of 206Hg and 208Pb (lower panel). It is important to note that the predicted root-mean-square charge radii for 48Ca and 208Pb are in excellent agreement with experiment Vr87 . As the $`s_{1/2}`$ wavefunctions are strongly peaked in the center of the nucleus, the removal of these protons from 48Ca and 208Pb results in sharply reduced proton densities in the centers of 46Ar and 206Hg. This, in turn, causes a sharp increase in the magnitude of the spin-orbit interaction in the nuclear interior. Figure 2(a) illustrates this effect in 208Pb and 206Hg; inside of 2 fm, $`V_{\mathrm{so}}`$ is much stronger — and of the opposite sign — in the $`s_{1/2}^2`$ nucleus 206Hg than in the doubly-magic 208Pb core. This unconventional behavior of the spin-orbit potential is intimately related to the Lorentz structure of the Dirac mean fields. While the depletion of $`s_{1/2}`$ proton strength manifests itself in both the vector and scalar densities, the “proton-hole” disappears from the central potential as a result of the sensitive cancellation between the attractive scalar and the repulsive vector potentials Se86 . In contrast, (the derivatives of) the scalar and vector potentials add constructively in the spin-orbit potential and the development of a nontrivial spin-orbit structure in the interior of the nucleus ensues.

Figures 2(b)-(c) illustrate the effect of folding the spin-orbit potential in 208Pb and 206Hg with the $`3p_{1/2}`$ and $`3p_{3/2}`$ neutron wavefunctions. That is, we display

$$\mathrm{\Delta }V_{\mathrm{so}}(r)_0^r𝑑r^{}V_{\mathrm{so}}(r^{})\left[2u_{p_{3/2}}^2(r^{})+u_{p_{1/2}}^2(r^{})\right].$$
(1)
Expressions for the Schrödinger-equivalent spin-orbit potential and wavefunctions \[$`u(r)`$\] may be found in Ref. Pi93 . For the purposes of this study, normalized wavefunctions have been used. Note that the above quantity, while not exact, provides an accurate (first-order) estimate of the $`p_{3/2}`$$`p_{1/2}`$ spin-orbit splitting $`\mathrm{\Delta }V_{\mathrm{so}}\mathrm{\Delta }V_{\mathrm{so}}(r\mathrm{})`$.

The combined effect of a strong increase in $`V_{\mathrm{so}}`$ in the interior of 206Hg together with neutron wavefunctions that are much larger at small radii than larger $`j`$ orbits, yields a big effect on the integrated spin-orbit energy and, therefore, on the spin-orbit splitting for the $`p`$–neutrons. Indeed, this effect leads to the collapse of the $`p_{3/2}`$$`p_{1/2}`$ spin-orbit splitting: from $`0.60`$ MeV in 208Pb to $`0.02`$ MeV in 206Hg. A similar effect occurs in 46Ar relative to 48Ca: the spin-orbit splitting is reduced by almost an order of magnitude, as shown in Fig. 3. Figure 4 displays the exact values. We conclude that in the two exotic nuclei 46Ar and 206Hg, the spin-orbit interaction ceases to be a surface-dominated phenomenon.

Figure 4 summarizes the calculations and compares the experimental and calculated binding energies for $`p_{3/2,1/2}`$ neutron orbits in 48Ca and 208Pb. It should be emphasized that while models with nonlinear couplings between the isoscalar and isovector mesons change the energy of the individual $`p_{3/2}`$ and $`p_{1/2}`$ orbitals slightly, the prediction for their spin-orbit splitting is largely model independent. Thus, we limit ourselves to the original NL3 set of Ref. La97 . The experimental binding energies for 48Ca are taken from the 48Ca($`d`$,$`p`$) measurement of Uozumi et al. Uo94  and the mass compilation of Audi and collaborators Au97 . The 208Pb($`p`$,$`d`$) data used to extract the binding energies for 208Pb are taken from the compilation of Martin Ma93 ; the mass data are taken from Ref. Au97 .

For stable nuclei, the standard experimental technique for mapping single neutron strength in a nucleus is to use a stripping reaction such as ($`d`$,$`p`$). To differentiate between spin-orbit partners (such as $`p_{3/2}`$ and $`p_{1/2}`$) a polarized deuteron beam would be used (as in Uo94 ). For the exotic nucleus 46Ar, such a measurement would be performed in inverse kinematics with a 46Ar beam and polarized deuteron target. The measurement would further be complicated by the likelihood that the $`p_{3/2}`$ and $`p_{1/2}`$ strengths would be somewhat fragmented, as they are in 51Ti, 53Cr and 55Fe Ko72 . In 206Hg, the $`p_{3/2,1/2}`$ orbits would be observed as holes, requiring the use of the pickup reaction ($`p`$,$`d`$) in inverse kinematics, once again with a polarized target to differentiate between spin-orbit partners. For example, the normal kinematics experiment 208Pb($`p`$,$`d`$) with a polarized beam is reported in Ma97 .

In summary, we have used relativistic mean field calculations to predict that the spin-orbit splitting of $`p_{3/2}`$ and $`p_{1/2}`$ neutron orbits depends sensitively on the magnitude of the proton density near the center of the nucleus, and in particular on the occupation of $`s_{1/2}`$ proton orbits. The quenching (or collapse) of the spin-orbit splitting in high-$`j`$ neutron orbits has been advertised as the hallmark for novel nuclear-structure effects in neutron-rich nuclei. This collapse is associated with the development of a diffuse neutron-rich surface. In this communication we have proposed a new mechanism for the collapse of the spin-orbit splitting — but among low-$`j`$ neutron orbits. This mechanism is based, not on a rearrangement of the neutron density at the surface of the nucleus, but rather, on a depletion of the proton density in the nuclear interior. Two exotic nuclei, 46Ar and 206Hg, may be accessible for the study of this effect. In these nuclei we predict that the presence of a pair of $`s_{1/2}`$ proton holes causes the splitting between the $`p_{3/2}`$ and $`p_{1/2}`$ neutron orbits near the Fermi surface to be much smaller than in the nearby doubly-magic nuclei 48Ca and 208Pb. Thus these two exotic nuclei, only two protons away from being doubly magic, deviate from a long-standing paradigm that has been applied with enormous success in both structure and reaction calculations, namely, that of a central potential proportional to the ground state baryon density and a spin-orbit potential proportional to the derivative of the central potential. Finally, while the effects proposed here are likely to be modified by correlations that go beyond the mean-field approximation, we trust that most of its novel qualitative features will hold true.

This work was supported in part by the U.S. Department of Energy through grant DE-FG05-92ER40750, the National Science Foundation through grant PHY-0139950, and the State of Florida.


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# Structural evidence against current-induced destruction of charge-ordering in manganese oxides

## I Figures Captions

: Portion of the synchrotron x-ray diffraction patterns for Nd0.6Ca0.4MnO3 at 100K with zero bias, in the region of the $`(121)`$ (a), $`(302),`$ (122) (b) and $`(123)`$ (c) superlattice peaks.

: $`\frac{R}{R_{Ohmic}}`$ versus bias current at 100K for Nd0.6Ca0.4MnO3 (a) and Pr0.63Ca0.37MnO3 (b). The arrow denotes the estimated treshold current.

: Cell volume versus temperature for zero bias (filled symbol, lower scale) and cell volume versus bias current at 100K (upper scale)

: Integrated intensity of the $`sup`$erlattice peaks as a function of the bias current at 100K. a) Nd0.6Ca0.4MnO3 ; b) Pr0.63Ca0.37MnO$`_3.`$ The arrows denote the occurence of the non-linear regime.

Portion of the x-ray diffraction patterns for Nd0.6Ca0.4MnO3 at 100K with bias 0 mA, 1 mA and 5 mA in the region of the $`(123)`$ superlattice peak.


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# Spatial structures and dynamics of kinetically constrained models of glasses

## Abstract

Kob and Andersen’s simple lattice models for the dynamics of structural glasses are analyzed. Although the particles have only hard core interactions, the imposed constraint that they cannot move if surrounded by too many others causes slow dynamics. On Bethe lattices a dynamical transition to a partially frozen phase occurs. In finite dimensions there exist rare mobile elements that destroy the transition. At low vacancy density, $`v`$, the spacing, $`\mathrm{\Xi }`$, between mobile elements diverges exponentially or faster in $`1/v`$. Within the mobile elements, the dynamics is intrinsically cooperative and the characteristic time scale diverges faster than any power of $`1/v`$ (although slower than $`\mathrm{\Xi }`$). The tagged-particle diffusion coefficient vanishes roughly as $`\mathrm{\Xi }^d`$.

In many liquids dramatic slowing down occurs on cooling, equilibrium cannot be achieved, and structural relaxation becomes complicated and spatially heterogeneous DeBenedettiStillinger ; ErdigerWeitz ; Glotzer . Despite a great deal of effort, these remarkable phenomena associated with the “glass transition” are still far from understood. Indeed, the most basic issues are unresolved: Is the rapid slowing down due to proximity to an equilibrium phase transition, albeit in a restricted part of phase space? Or is the underlying cause entirely dynamical? In either case, are there characteristic length scales that grow substantially near the glass transition?
Theoretical developments have been hampered by a shortage of models that capture essential features yet are simple enough to be analyzed. Exceptions are kinetically constrained models Jackle ; ReviewKLG  based on the Ansatz that the glass transition is caused by geometrical constraints on dynamical rearrangements with static correlations playing no role (see e.g. ChandlerGarrahanKLG ). These are also models for granular media (see e.g. Sellitto ) for which slow dynamics occurs already at densities well below close-packing Jaeger .
We focus on one of the simplest kinetically constrained models, the Kob-Andersen model (KA) KA . KA is a single component lattice gas with no static interactions other than hard core exclusion and dynamics given by a continuous time stochastic process. Each particle attempts, at a fixed rate, to move to a randomly chosen empty neighboring site; but the jump is allowed only if both before and after the move the particle has no more than some number, $`m`$, neighboring particles. This corresponds to vacancies moving only if the initial and final sites have at least $`s=zm1`$ neighboring vacancies, with $`z`$ the coordination number of the lattice. Since this dynamics satisfies detailed balance, the trivial distribution that is uniform over all configurations with a fixed number of particles is stationary: there can thus be no equilibrium transition. Nevertheless, the dynamics is sluggish and heterogeneous at high density KA ; FranzKA . For a three dimensional cubic-lattice with $`s=2`$, fits of the self diffusion coefficient of a tagged-particle, $`D_S`$, strongly suggest a dynamical glass transition at $`\rho _c0.881`$, above which $`D_S`$ appears to vanish and the structural relaxation time to diverge KA .
Our analysis shows that there are four classes of behavior for general KA models. These can be characterized by the dependence of $`D_S`$ on the vacancy density, $`v`$: (N) normal with $`D_Sv^q`$ as $`v0`$; (C) collective freezing with $`D_S0`$ faster than any power of $`v`$ as $`v0`$ ; (T) dynamical transition with $`D_S0`$ as $`vv_c`$ with a non-zero critical $`v_c=1\rho _c`$; and (F) always frozen with a finite fraction of the particles never moving for any $`v`$. Normal behavior occurs if a finite cluster of $`q`$ vacancies can move through an otherwise-totally filled lattice, e.g. a triangular lattice with $`s=1`$ in which vacancy pairs ($`q=2`$) are mobile. This yields $`D_S`$ proportional to the cluster concentration, $`v^q`$. At the opposite extreme, a square lattice with $`s=2`$ is always frozen as a four particle square can never move. We focus on the interesting intermediate cases, C and T. We show that a dynamical transition takes place on (tree-like) Bethe lattices — even with finite size loops. But such a transition cannot occur on finite dimensional lattices: if neither normal nor always frozen, these exhibit collective freezing with the dominant dynamical processes involving a number of vacancies that diverges as $`v0`$. This class (C) includes the original $`s=2`$ cubic lattice.

We first analyze Bethe lattices: infinite tree-like graphs with fixed connectivity $`z`$ which crudely approximate high–dimensional or high–coordination–number lattices. Monte-Carlo simulations of $`10^4`$ sites with $`z=4`$ and $`s=1`$ (crudely mimicking the $`s=1`$ square lattice) suggest a dynamical correlation length (as defined in FranzDH ) that diverges at a critical density $`\rho _c0.89`$. long  Approaching this apparent dynamical transition the local–density correlation function displays two-step relaxation, as for supercooled liquids. ReviewOE

The tree-like structure of Bethe lattices enables analytic study by iteration. Arranging the tree with $`k=z1`$ branches going up from each node and one going down, we focus on the following events for a chosen node and rearrangements restricted to the subtree above it : ($`𝒜`$) node is occupied by a particle which cannot move up even if the site below it is empty; ($``$) node is empty but a particle can never move onto it from below; ($`𝒞`$) node is occupied by a particle which can only move up if the node below it is empty; ($`𝒟`$) none of the above. Self-consistent equations for the probabilities of these events can be found by combining $`k`$ branches together with the site below them to which they are all linked long . For $`s=1`$ with $`z=k+1=4`$, this yields a critical density, $`\rho _c0.888825`$ in agreement with simulations. Below $`\rho _c`$, $`\mathrm{Prob}[𝒜]=\mathrm{Prob}[]=0`$; particles are mobile and diffusive at long times. At $`\rho _c`$, $`\mathrm{Prob}[𝒜]=A_c0`$ and the fraction of immobile particles jumps discontinuously; so does the extensive configurational entropy, $`S_C=\mathrm{ln}[\mathrm{\#}\text{different ergodic components}]`$. long  Above $`\rho _c`$, $`\mathrm{Prob}[𝒜]A_c\sqrt{\rho \rho _c}`$, the singularity indicative of diverging length and time scales. The KA dynamical transition on this Bethe lattice (like $`1/r^2`$ percolation in one-dimension lr-perc ) thus has both critical and “first order” characteristics. Interestingly, infinite-range quenched random p-spin models, conjectured to be related to the glass transition, also exhibit a dynamical transition with similar features ReviewOE .

The basic features found above hold for generic KA models on Bethe lattices with $`s0,k`$, including those with finite size loops long , i.e. for the so called pure Husimi trees Monroe  and for Bethe lattices where single sites are replaced by $`L\times L`$ squares (these interpolate among the Bethe lattice, $`L=1`$, and the square lattice, $`L=\mathrm{}`$). The only exceptions are cases in which particles with two occupied neighbors cannot move ($`m=1`$): the transition is then continuous and $`\rho _c=1/k`$, the critical density for conventional site percolation. This equivalence is due to the fact that the dynamical transition is associated with the emergence of an infinite cluster of permanently blocked particles. In general a frozen phase will only exist if an infinite cluster remains after all the particles mobile under KA rules have been iteratively removed. This is a type of bootstrap percolation, already introduced in this KA  and broader Adler ; Leath ; AizenmanLebowitz  contexts. For Bethe lattices, an exact solution long  (see Leath  for a simpler example) yields the same critical density found above.

We now turn to finite dimensions and show that the dynamical transition is destroyed by exponentially rare processes which will only occur in sufficiently large systems. Nevertheless, at high densities the dynamics is intrinsically collective and extremely slow. Furthermore, the ghost of the Bethe lattice transition may cause a sharp crossover at an apparent critical density.

We focus initially on the simple $`s=1`$ square lattice case. First, let us define a configuration as framed if all its boundary sites are empty (see for example the square on the right of fig. 1); and as frameable if, by an allowed sequence of moves, a framed configuration can be reached (see for example the square on the left of fig. 1). A key observation is that the lines of vacancies on the boundaries of a framed square can be shifted (moving vacancies starting from the corner) so that any nearest neighbor pair of particles inside the square can be sandwiched between two lines of vacancies. The position of this pair of particles can then be exchanged and the vacancy lines afterwards shifted back to their original positions. The net result is a pair exchange of particles with all other particles returned to their original positions. By combining such pair exchanges all frameable configurations with the same density can be connected. Thus, these form an irreducible component $`𝒵_\rho `$ of the configuration space. We must now show that almost all random configurations with a given $`\rho <1`$ belong to $`𝒵_\rho `$ in the thermodynamic limit. This can be done iteratively by observing that an $`l`$ by $`l`$ frameable configuration that has at least two vacancies externally adjacent to each of its sides is also an $`l+2`$ by $`l+2`$ frameable configuration, see fig. 1. Starting from a two by two frameable “nucleus” of vacancies, one can thus grow an $`L`$ by $`L`$ frameable configuration if the requisite vacancies are present in each concentric shell. The probability that this occurs is $`P_L(\rho )=(1\rho )^4_{l=2}^{L/2}[1\rho ^{2l}2l\rho ^{2l1}(1\rho )]^4`$ which converges to a non-zero probability, $`P_{\mathrm{}}(\rho )`$. Thus for all $`\rho `$ infinite frameable squares exist with all frameable configurations within them being reachable. For small vacancy densities, $`P_{\mathrm{}}(\rho )e^{2\widehat{K}_F/v}`$ with $`\widehat{K}_F4.48`$ . Moreover, $`P_L(\rho )`$ depends weakly on $`L`$ for $`L>\xi (\rho )\mathrm{ln}(1/v)/v`$; $`\xi `$ is thus the core size of frameable regions. Note that $`P_L`$ is the probability that a frameable square can be constructed around a nucleus at a fixed position. On the other hand the probability, $`F_L(\rho )`$, that a large square is frameable is roughly given by considering the $`O(\left[L/\xi \right]^2)`$ possible positions of a nucleus within the square. Although the probabilities of a configuration being frameable around each of these possible nuclei are not independent, if the nuclei are separated by more than a core diameter they are roughly independent. Indeed, it can be proven that $`F_L`$ asymptotes to one for $`L\mathrm{\Xi }`$ with the long crossover length scale $`\mathrm{\Xi }(\rho )`$ given, as expected from the above argument, by $`\mathrm{\Xi }^2P_\xi (\rho )\mathrm{\Xi }^2P_{\mathrm{}}(\rho )\xi ^2`$.

We have shown that at any density almost all configurations of sufficiently large systems can be reached from one another. This excludes the possibility of a dynamical transition footnoteergodicity . The phase space of systems with linear size, $`L`$, larger than the crossover length $`\mathrm{\Xi }`$ is covered almost entirely by a single ergodic component, while the phase space for $`L<\mathrm{\Xi }`$ is typically decomposed into many disjoint parts. The framing analysis yields an upper bound for $`\mathrm{\Xi }`$.

A lower bound for $`\mathrm{\Xi }`$ can be obtained from bootstrap percolation arguments. ¿From a random configuration with density $`\rho `$ iteratively remove all particles with less than three occupied neighbors. If any particles remain they must form a system-spanning cluster of frozen particles and the configuration space will thus be broken up into many disjoint pieces. This happens with high probability for $`\mathrm{ln}L<K_F/v`$ with $`K_F=\pi ^2/18`$ AizenmanLebowitz ; new-bootstrap , yielding a lower bound for $`\mathrm{\Xi }`$ with the same density dependence as the above upper bound, but a different constant $`K_F`$ less than $`\widehat{K}_F`$ of the upper bound. However, a better definition of framed configurations yields a $`\widehat{K}_F`$ which is identical to $`K_F`$ long . The corresponding frame is minimal and the asymptotic form of the crossover length $`\mathrm{\Xi }e^{\pi ^2/18v}`$ exact (up to subdominant factors).

All other finite-dimensional KA models can be analyzed by generalizing the notion of frameable configurations, we thereby rule out any dynamical transitions. For $`d`$-dimensional hyper-cubic lattices $`s=0`$ and $`s>d1`$ correspond respectively to N and F while all the non-trivial cases, $`1sd1`$, are class C, collective freezing. long  Analogous expansion arguments yield upper bounds on their crossover lengths: $`\mathrm{\Xi }<exp^s\left(K_U(s,d)/v^{\frac{1}{ds}}\right)`$ with $`exp^s`$ the exponential function iterated $`s`$ times and $`K_U(s,d)`$ a positive constant given in long . Bootstrap percolation yields a lower bound of the same form but with a different constant $`K_L(s,d)`$ cerfcirillo  The scale, $`\xi `$, above which the probability that a nucleus is expandable saturates, is generally of order $`\mathrm{ln}\mathrm{\Xi }`$, up to log-log factors.

We now turn to the dynamics, focusing again on the $`s=1`$ square lattice model at high density. Vacancies will typically be far apart or in small clusters that cannot move. However vacancies can move within the cores of large frameable regions. And these cores of size $`\xi \mathrm{ln}(1/v)/v`$ are themselves mobile because they are likely to find vacancies on all the $`\xi `$ successive line segments needed for them to move in a given direction. A generic particle cannot move substantial distances except when a mobile core passes by; assuming independent core motion a tagged particle will thus diffuse with $`D_SD_Mn_M`$, where $`n_M1/\mathrm{\Xi }^2`$ is the density of the mobile cores which diffuse with $`D_M\xi ^2/\tau _\xi `$, $`1/\tau _\xi `$ being the typical relaxation rate of a core. Using our framing analysis and a generalization of the technique of Spohn , we have proved that, indeed, $`D_S>0`$ for all $`\rho `$. long

The relaxation time, $`\tau _\xi `$, of a core is dominated by the time to reach the most severe bottleneck in configuration space. Since all configurations are equiprobable this is proportional to $`\mathrm{exp}(\mathrm{\Delta }S)`$, the ratio of the number of accessible (frameable) configurations of the core to the number in the bottleneck long . The worst case scenario in which there is a single bottleneck configuration corresponds to $`\mathrm{\Delta }S=S_{\mathrm{total}}\mathrm{ln}\xi !`$, yielding an upper bound $`\tau _\xi <\xi !`$. A lower bound is obtained by noting long  that to equilibrate a frameable square of size $`\xi `$ one has to pass through configurations with the nucleus in a corner of the square. Using a transfer matrix technique we obtain for $`\mathrm{}\times \mathrm{}`$ minimally frameable squares an entropy difference $`\mathrm{\Delta }S\mathrm{{\rm Y}}\sqrt{\mathrm{}}+\alpha \mathrm{ln}\mathrm{}+C`$ with $`\mathrm{{\rm Y}}=2\sqrt{6+\sqrt{22}}2\sqrt{3}3.075`$ and $`\alpha `$ computable in principle. long  Simulations of frameable squares with $`\mathrm{}=4`$ to $`\mathrm{}=16`$ yield equilibration times with $`\mathrm{log}\tau _{\mathrm{}}`$ increasing slower than $`\mathrm{}`$ and in good agreement with the square root law with the predicted coefficient $`\mathrm{{\rm Y}}`$ plus logarithmic corrections. We thus conjecture that the entropic bottlenecks for moving the core of a mobile region are equivalent, up to subdominant factors, to the entropy loss associated with forcing the nucleus of of such core to a corner.

As long as bottlenecks for motion of the mobile cores are not too much larger than the above estimates, $`\tau _\xi \mathrm{\Xi }^2`$ and the dominant contribution to $`D_SD_Mn_M`$ will arise from the low density of mobile regions rather than the long time needed for motion within them. Thus, to leading order in $`v^1`$, $`\mathrm{ln}D_S2K_F/v`$ for the square lattice model with $`s=1`$. Numerical simulations at high densities fit this form well, see fig. 2: in particular $`lim_{v0}v\mathrm{ln}D=2K_F0.90.95`$ cf the predicted $`2K_F1.1`$.

For the other KA models, we obtain similar relationship between $`D_S`$ and $`n_M`$. For the $`s=2`$ cubic case theis yelds $`\mathrm{ln}\mathrm{ln}D_S^11/v`$ , a result consistent with a recent finite size scaling analysis Berthier .

Thus far we have focused on the high density limit. Yet simulations on KA and other kinetically constrained models suggest a transition at a non-trivial critical density KA . This is a natural consequence of the existence of a dynamical transition on Bethe lattices: in finite dimensions, the transition will be replaced by a crossover which, in some cases, could be quite sharp. In the $`s=1`$ square lattice case a three–vacancy element can move along a network of other vacancies provided these are linked no more weakly than via second neighbors (along axes or diagonals). At low density, there will always be a percolating vacancy network of such type. As the density increases, diffusion slows down as the vacancy percolation cluster, on which mobile elements rely, sparsens. Beyond the second-neighbor vacancy percolation transition at $`\rho _{2P}`$, the simple mobile elements can no longer move. But by growing, mobile elements can still form: they have to become large enough to find a percolating cluster on which objects of their size can move. At high densities, such mobile elements will be the cores of (minimal) frameable regions that we have discussed above. If the crossover from small mobile objects and behavior similar to that on Bethe lattices is sharp enough, a substantial range of “critical” behavior of $`D_S`$ — and of relaxation times — might be observed near to an apparent transition at $`\rho _G\rho _{2P}`$. This reasoning can be generalized to other KA models — indeed a sharper crossover should occur in higher dimensions — and could be an explanation of the apparent dynamical transition found for the original cubic lattice KA KA .

We have shown how simple kinetically constrained models exhibit concretely some of the qualitative features conjectured to be the cause of the dramatic slowing down in structural glasses. In particular, finite-dimensional models can “almost” have a a dynamical phase transition; such exists on Bethe lattices and percolation arguments suggest it is replaced by a crossover — possibly very sharp — in finite dimensions. The dominant dynamical processes involve cooperative rearrangements of regions whose size diverges in the high density limit; nevertheless, these yield a non-vanishing self-diffusion coefficient at all densities. But the length and time scales of these processes grow extremely rapidly at high densities. This is reminiscent of the super-Arrhenius increase of the relaxation time as fragile liquids are cooled.

###### Acknowledgements.

We thank L. Berthier, L. Bertini, J-P. Bouchaud, K. Dawson, J-M. Luck and M. Mézard for interesting discussions. CT thanks COFIN MIUR-2002027798 for financial support. DSF thanks the National Science Foundation for support via DMR-9976621 and DMR-0229243. We thank Les Houches summer school LXXVII where this collaboration initiated.


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# 1 𝑆₁₁ correlators for six low quark masses. Negative dip of the correlators is an indication of the domination of the ghost 𝜂'𝑁 state over the physical 𝑆₁₁. 𝑚_𝜋 are in GeV.

Roper Resonance and $`S_{11}(1535)`$ from Lattice QCD

N. Mathura, Y. Chenb, S.J. Donga, T. Drapera, I. Horvátha, F.X. Leec,d, K.F. Liua, and J.B. Zhange

aDept. of Physics and Astronomy, University of Kentucky, Lexington, KY 40506
bInstitute of High Energy Physics, Chinese Academy of Science, Beijing 100039, China
cCenter for Nuclear Studies, Dept. of Physics, George Washington University, Washington, DC 20052
dJefferson Lab, 12000 Jefferson Avenue, Newport News, VA 23606
eCSSM and Dept. of Physics and Mathematical Physics, University of Adelaide, Adelaide, SA 5005, Australia

## Abstract

Using the constrained curve fitting method and overlap fermions with the lowest pion mass at $`180\mathrm{MeV}`$, we observe that the masses of the first positive and negative parity excited states of the nucleon tend to cross over as the quark masses are taken to the chiral limit. Both results at the physical pion mass agree with the experimental values of the Roper resonance ($`N^{1/2+}(1440)`$) and $`S_{11}`$ ($`N^{1/2}(1535)`$). This is seen for the first time in a lattice QCD calculation. These results are obtained on a quenched Iwasaki $`16^3\times 28`$ lattice with $`a=0.2\mathrm{fm}`$. We also extract the ghost $`\eta ^{}N`$ states (a quenched artifact) which are shown to decouple from the nucleon interpolation field above $`m_\pi 300\mathrm{MeV}`$. From the quark mass dependence of these states in the chiral region, we conclude that spontaneously broken chiral symmetry dictates the dynamics of light quarks in the nucleon.

The Roper resonance has been studied extensively, but its status as the first excited state of the nucleon with the same quantum numbers is intriguing. Although awarded four stars in the Particle Data Table, it is not as easily identifiable as other resonances. It does not show up as a peak in the cross sections in various experiments; rather its existence is revealed through phase shift analysis . Furthermore, the theoretical situation is in a quandary. First of all, it has been noted for a long time that it is rather unusual to have the first positive parity excited state lower than the negative parity excited state which is the $`N^{1/2}(1535)`$ in the $`S_{11}\pi N`$ channel. This is contrary to the excitation pattern in the meson sectors with either light or heavy quarks. This parity reversal has caused problems for the otherwise successful quark models based on $`SU(6)`$ symmetry with color-spin interaction between the quarks  which cannot accommodate such a pattern. Realistic potential calculations with linear and Coulomb potentials  and the relativistic quark model  all predict the Roper to be $``$ $`100`$$`200\mathrm{MeV}`$ above the experimental value with the negative parity state lying lower. On the other hand, the pattern of parity reversal was readily obtained in the chiral soliton model like the Skyrme model via the small oscillation approximation to $`\pi N`$ scattering . Although the first calculation  of the original skyrmion gives rise to a breathing mode which is $`200\mathrm{MeV}`$ lower than the Roper resonance, it was shown later  that the introduction of the sixth order term, which is the zero range approximation for the $`\omega `$ meson coupling, changes the compression modulus, yielding better agreement with experiment for both the mass and width in $`\pi N`$ scattering.

Since the quark potential model is based on the $`SU(6)`$ symmetry with residual color-spin interaction between the quarks, whereas the chiral soliton model is based on spontaneous broken chiral symmetry, their distinctly different predictions on the ordering of the positive and negative parity excited states may be a reflection of different dynamics as a direct consequence of the respective symmetry. This possibility has prompted the suggestion  that the parity reversal in the excited nucleon and $`\mathrm{\Delta }`$, in contrast to that in the excited $`\mathrm{\Lambda }`$ spectrum, is an indication that the inter-quark interaction of the light quarks is mainly of the flavor-spin nature rather than the color-spin nature (e.g. one-gluon exchange type.) This suggestion is supported in the lattice QCD study of “Valence QCD”  where one finds that the hyperfine splitting between the nucleon and $`\mathrm{\Delta }`$ is largely diminished when the $`Z`$-graphs in the quark propagator are eliminated. This is an indication that the color-magnetic interaction is not the primary source of the inter-quark spin-spin interaction for light quarks. (The color-magnetic part, being spatial in origin, is unaffected by the truncation of $`Z`$-graphs in Valence QCD, which only affects the time part.) Yet, it is consistent with the Goldstone-boson-exchange picture which requires $`Z`$-graphs and leads to a flavor-spin interaction.

The failure of the $`SU(6)`$ quark model to delineate the Roper and its photo-production has prompted the speculation that the Roper resonance may be a hybrid state with excited glue  or a $`qqqq\overline{q}`$ five quark state . Thus, unraveling the nature of Roper resonance has direct bearing on our understanding of the quark structure and chiral dynamics of baryons, which is one of the primary missions at experimental facilities like Jefferson Lab.

Lattice QCD is perhaps the most desirable tool to adjudicate the theoretical controversy surrounding the issue. In fact, there have been several calculations to study the positive-parity excitation of the nucleon . However, they have not been able to probe the relevant low quark mass region while preserving chiral symmetry at finite lattice spacing (except Ref.  which uses the Domain Wall fermion). We employ the overlap fermion  on a large lattice which admits calculations with realistically small quark masses  to study the chiral region. Since the controversy about the nature of Roper hinges on chiral symmetry, it is essential to have a fermion action which explicitly exhibits the correct spontaneously broken chiral symmetry.

Another difficulty of the calculation of the excited states in lattice QCD is that the conventional two-exponential fits are not reliable. Facing the uncertainty of the fitting procedure for the excited state, it has been suggested to use a non-standard nucleon interpolating field which vanishes in the non-relativistic limit , in the hope that it may have negligible overlap with the nucleon so that the Roper state can be seen more readily. However, the lowest state calculated with this interpolation field ($`2.2\mathrm{GeV}`$ is much higher than the Roper state. Employing the maximum entropy method allows one to study the nucleon and its radial excitation with the standard nucleon interpolation field . However, with the pion mass at $`600\mathrm{MeV}`$, the nucleon radial excitation is still too high ($`2\mathrm{GeV}`$). In order to have a reliable prediction of the excited state in lattice QCD calculations by way of addressing the above mentioned difficulties, we implement constrained curve fitting based on an empirical Bayes method. It has been advocated  recently as a powerful tool which utilizes more data points while better controlling the systematics.

Since we adopt the quenched approximation, we should mention that there are quenched artifacts. Due to the absence of quark loops in quenched QCD, the would-be $`\eta ^{}`$ propagator involves only double $`\eta `$ poles in hairpin diagrams. This leads to quenched chiral logs in hadron masses which are clearly observed and extracted from our recent lattice calculation of pion and nucleon masses . Another quenched artifact is the contribution of ghost states in the hadron correlators. As first observed in the $`a_0`$ meson channel , the ghost $`S`$-wave $`\eta ^{}\pi `$ state lies lower than $`a_0`$ for small quark mass. There is a similar situation with the excited state of the nucleon where the $`P`$-wave $`\eta ^{}N`$ appears in the vicinity of the Roper. Since this is not clearly exhibited in the nucleon correlator where the nucleon is the lowest state in the channel and dominates the long-time behavior of the correlator, we can look at the parity partner of the nucleon ($`N^{\frac{1}{2}}`$ or $`S_{11}`$) with $`I=1/2`$. There, the lowest $`S`$-wave $`\eta ^{}N`$ state with a mass close to the sum of the pion and nucleon masses can be lower than $`S_{11}`$ for sufficiently low quark mass. Since the $`\eta `$$`\eta `$ coupling in the hairpin diagram is negative , one expects that the $`S_{11}`$ correlator will turn negative at larger time separations as in the case of the $`a_0`$ . In Fig. 1, we show the $`S_{11}`$ correlators for 6 low quark cases with pion mass from $`m_\pi =181(8)\mathrm{MeV}`$ to $`m_\pi =342(6)\mathrm{MeV}`$. We see that for pion mass lower than $`248(7)\mathrm{MeV}`$, the $`S_{11}`$ correlator starts to develop a negative dip at time slices beyond 4, and it is progressively more negative for smaller quark masses. This is a clear indication that the ghost $`\eta ^{}N`$ state in the $`S`$-wave is dominating the correlator over the physical $`S_{11}`$ which lies higher in mass.

One can calculate the one-loop hairpin diagram on a $`L^3\times T`$ lattice which gives the following contribution to the zero-momentum nucleon correlator for the $`P`$-wave would-be $`\eta ^{}`$ loop

$`\mathrm{\Delta }G_{NN}(t)`$ $`=`$ $`m_0^2{\displaystyle \frac{|Z|^2T}{16L^3}}{\displaystyle \underset{\stackrel{}{p}}{}}{\displaystyle \frac{E_N+E_\pi +m_N}{E_N^2E_\pi ^3}}`$ (1)
$`\times {\displaystyle \frac{\stackrel{}{p}^2}{m_N^2}}(1+E_\pi t)e^{(E_N+E_\pi )t}.`$
Here $`m_0^2`$ is the coupling between the would-be Goldstone bosons. However, this is not quite adequate to be used in the fitting because there is an interaction between the would-be $`\eta ^{}`$ and the nucleon which can lead to an energy which is different from $`E_N+E_\pi `$. Instead of modeling it with the re-summation of the hairpin diagram, as is done for the $`a_0`$ meson , we shall introduce these ghost states which are in the vicinity of the Roper and $`S_{11}`$ with the form $`W(1+E_\pi t)e^{E_{\eta ^{}N}t}`$. This has the same functional form as in Eq. (1). The $`(1+E_\pi t)`$ pre-factor is preserved to reflect the double-pole nature of the hairpin diagram and the weight $`W`$ is constrained to be negative to preserve the ghost nature of the state. The only exception is $`E_{\eta ^{}N}`$ which is allowed to be different from but close to the non-interacting energy $`E_N+E_\pi `$. Being the energy of the interacting would-be $`\eta ^{}`$ and $`N`$ state, it will be fitted to the data together with the negative weight $`W`$. Since we work in a finite box, the $`\eta ^{}N`$ states are discrete and they will be constrained to be near the energy of the two non-interacting particles, with discrete lattice momenta $`p_n=\frac{2\pi n}{L},n=0,\pm 1,\mathrm{}`$.

With a constrained-curve fitting method , we develop an adaptive sequential way of extracting the priors from data at a smaller volume, i.e. $`12^3\times 28`$. We fit the ground state first over a few large-time slices, and then use the fitted values as priors to constrain the ground state in a subsequent fit (which includes earlier time slices) of the excited state. We include the next excited states, one by one, constraining all previously fitted states to their most recently fitted values. For each new fit, we add one more earlier time slice and check if it is needed by comparing its contribution to the statistical error of the added time slice. When the time slices are exhausted, we use the resultant fit parameters as priors for a standard constrained-curve fit of the correlator on the larger $`16^3\times 28`$ lattice. More details can be found in Ref. . For the $`\eta ^{}N`$ state, we make an appropriate adjustment to priors for $`E_{\eta ^{}N}`$ and $`E_\pi `$ due to the fact that the discrete momentum is inversely proportional to the spatial lattice size $`L`$. We find that the constraint to make $`W`$ negative is crucial to obtain a fit with acceptable $`\chi ^2`$, especially for the case of the nucleon correlator where the Roper and the first $`\eta ^{}N`$ state are nearly degenerate.

We shall report our results on $`16^3\times 28`$ and $`12^3\times 28`$ lattices with quenched Iwasaki gauge action and overlap fermions with a lattice spacing $`a=0.200(3)\mathrm{fm}`$ determined from $`f_\pi (m_\pi )`$. This makes our lattice sizes as large as $`3.2\mathrm{fm}`$ and $`2.4\mathrm{fm}`$. At our lowest pion mass at $`181(8)\mathrm{MeV}`$, the finite volume error is estimated to be $`2.7\%`$ . We first present the Roper and $`S_{11}`$ masses for the $`16^3\times 28`$ lattice with their associated ghost $`\eta ^{}N`$ states in the $`P`$-wave and $`S`$-wave respectively. They are plotted as a function of $`m_\pi ^2`$ in Fig. 2. We see in Fig. 2 (left) that the $`\eta ^{}N`$ state ($`p=2\pi /L`$) and the Roper are nearly degenerate; they are resolved when the weight for the $`\eta ^{}N`$ is constrained to be negative. Fig. 2 (right) shows that the $`p=0`$ $`S`$-wave $`\eta ^{}N`$ lies lower than $`S_{11}`$, and below $`m_\pi 316\mathrm{MeV}`$ the $`p=2\pi /L`$ $`\eta ^{}N`$ state also becomes lower than $`S_{11}`$. The dashed line in Fig. 2 (left) is the mass for the non-interacting would-be $`\eta ^{}`$ and $`N`$ which lies below the fit of the $`\eta ^{}N`$ state. This shows that there is a repulsive interaction of about $`50\mathrm{MeV}`$ between the would-be $`\eta ^{}`$ and $`N`$ in the $`P`$-wave. The corresponding non-interacting $`\eta ^{}N`$ states, represented by the solid line ($`p=0`$) and the dashed line ($`p=2\pi /L`$) in Fig. 2 (right), are closer to the interacting $`\eta ^{}N`$ states with $`1050\mathrm{MeV}`$ repulsion in this case.

To verify that the $`\eta ^{}N`$ state can be separated from the physical Roper and $`S_{11}`$, we examine the ratio of the spectral weights for the Roper (respectively, the $`S_{11}`$) and the $`\eta ^{}N`$ from the $`12^3\times 28`$ lattice to that on the $`16^3\times 28`$ lattice. (See Fig. 3.) The ratio for the Roper ($`S_{11}`$) is consistent with unity which is expected for a one-particle state; whereas, the corresponding ratios for the $`\eta ^{}N`$ states are more consistent with the ratio of the three volumes $`V_3(16)/V_3(12)=2.37`$ which reflects the volume dependence of the two-particle scattering state.

In Fig. 4, we display the weight of the $`\eta ^{}N`$ state and those of the Roper and $`S_{11}`$. The weight for the Roper is essentially constant (Fig. 4 (left)) and that of $`S_{11}`$ decreases as the pion mass increases and reaches a constant for $`m_\pi >400\mathrm{MeV}`$ (Fig. 4 (right)). The negative weight of the $`\eta ^{}N`$ is 3 orders of magnitude smaller than the Roper above $`m_\pi =266\mathrm{MeV}`$ in the nucleon channel and $`m_\pi =320\mathrm{MeV}`$ in the $`S_{11}`$ channel. This decoupling means that the two-particle intermediate state $`\eta ^{}N`$ is not produced by the three-quark nucleon interpolating field $`\chi _N^{}`$ so that the matrix element $`\eta ^{}N|\chi _N^{}|0`$ is zero. This confirms our earlier study of Valence QCD  which suggests that, for higher quark mass, the $`SU(6)`$ symmetry prevails which explains why the valence quark model with color-spin interaction works well. However, for light quarks, it is chiral symmetry which dictates the dynamics via the $`Z`$-graphs. This is to be manifested as the meson loops as well as meson exchanges between quarks in the chiral quark model of the baryon . The present study suggests that this transition occurs in the region $`m_\pi 300\mathrm{MeV}`$. We should point out that the fact that the $`\eta ^{}N`$ ghost states are separated out from the physical $`S_{11}(1535)`$ in our fitting relies on the fact that the ghost state has a different functional form from that of the physical state and its weight is negative. When the dynamical fermion calculation is available with realistically light quarks, these $`\eta ^{}N`$ ghost states will turn into physical $`\eta N`$ and $`\eta ^{}N`$ states. Since $`S_{11}(1535)`$ is close to the $`\eta N`$ threshold and both have the same functional form, i.e. $`We^{mt}`$, it would be difficult to separate them with a fitting procedure based on one interpolation field.

Finally, we plot the nucleon, Roper and $`S_{11}`$ in Fig. 5 as a function of $`m_\pi ^2`$. We see that for heavy quarks ($`m_\pi 800`$ MeV), the Roper, $`S_{11}`$, and nucleon splittings are like those of the heavy quarkonium. When the quark mass becomes lighter, the Roper and $`S_{11}`$ have a tendency to coincide and possibly cross over. More statistics are needed to clarify this point. However, we have plotted as the insert in Fig. 5 the ratio of Roper to nucleon as a function of $`m_\pi ^2(\mathrm{GeV}^2)`$ which has a smaller error (by $`40\%`$) than the Roper mass itself. It shows that the Roper is consistent with the experimental value near the physical pion mass. The chiral behavior of the nucleon mass is analyzed in more detail with the inclusion of the $`m_\pi \mathrm{log}(m_\pi )`$ term in . Here, we shall simply use the form $`C_0+C_{1/2}m_\pi +C_1m_\pi ^2`$ to extrapolate the Roper and $`S_{11}`$ to the physical pion mass. The resultant nucleon mass of $`928(56)\mathrm{MeV}`$, Roper at $`1462(157)\mathrm{MeV}`$, and $`S_{11}`$ at $`1554(65)\mathrm{MeV}`$ are consistent with the experimental values ($`m_N=939\mathrm{MeV}`$, $`m_R1440\mathrm{MeV}`$, and $`m_{S_{11}}1535\mathrm{MeV}`$). This suggests that a successful description of the Roper resonance depends not so much on the use of the dynamical quarks, but that most of the essential physics is captured by using light quarks to ensure the correct chiral behavior.

To conclude, with the help of constrained curve fitting (which allows fitting of the excited states including the ghost $`\eta ^{}N`$ states) and the overlap fermion (which admits calculations with realistically small quark masses), we are able to study the Roper and $`S_{11}`$ closer to the chiral limit than before. The physical Roper and $`S_{11}`$ are distinguished from the ghost two-particle intermediate states ($`\eta ^{}N`$) by checking their volume dependence of the weights as a function of the pion mass. We observe the tendency for the Roper and $`S_{11}`$ to cross over (with the caveat of large errors) at the low $`m_\pi `$ region. This is consistent with the thesis that the order reversal between the Roper and $`S_{11}(1535)`$ compared to the heavy quark system is caused by the flavor-spin interaction between the quarks due to Goldstone boson exchanges . We support the notion that there is a transition from heavy quarks (where the $`SU(6)`$ symmetry supplemented with color-spin interaction for the valence quarks gives a reasonable description) to light quarks (where the dynamics is dictated by chiral symmetry). It is suggested that this transition occurs at $`m_\pi 300400\mathrm{MeV}`$ for the nucleon.

This work is partially supported by DOE Grants DE-FG05-84ER40154 and DE-FG02-95ER40907. We wish to thank A. Bernstein, G.E. Brown, L. Glozman, D.O. Riska, and S. Sasaki for useful discussions.


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# Entropy perturbations in quartessence Chaplygin models

## 1 Introduction

A spatially flat Universe whose evolution is driven by two components, pressureless dark matter and negative pressure dark energy, is currently considered the standard model of cosmology. In spite of its success in explaining the majority of cosmological observations, the exact nature of these components, which account for more than $`90\%`$ of all the matter and energy content of the Universe, is still a mystery. This situation spurred a search for alternatives and, recently, considerable work has been devoted to explore the possibility that dark matter and dark energy could be distinct manifestations, at different scales, of a single substance. This unifying dark matter-energy component is usually referred to as UDM or quartessence . Two candidates for such unification, that received a lot of attention lately, are the quartessence Chaplygin fluid  and the quartessence tachyonic field .

Of course, the first and most important task is to confront the quartessence scenario with observations. In fact, it has been shown that the quartessence Chaplygin model is not much constrained by cosmological tests like SNeIa, lensing, age of the Universe etc, that involve only the background metric . On the other hand, tests that depend on the evolution of density perturbations, narrow the parameter space so much, that only generalized Chaplygin models whose behavior is close to the $`\mathrm{\Lambda }`$CDM limit are allowed . However, in all the analyses performed so far, it is assumed that pressure perturbations are adiabatic. The main goal of this paper is to show that if intrinsic entropy perturbations are allowed the dynamics can change dramatically. A convenient choice for this quantity will make a critical length  in the Chaplygin component vanish and, as a consequence, instabilities and oscillations in this fluid are severely reduced. In particular we show that models with negative values for the exponent $`\alpha `$ of the equation of state, which are discarded by the usual analysis of adiabatic perturbations, may now be stable and, in principle, compatible with CMB and large scale structure observations.

## 2 Evolution of Linear Perturbations

The relativistic equations that govern the linear evolution of scalar perturbations in a multi-component fluid, in the synchronous gauge, are

$`\delta _i^{}+3(c_{si}^2w_i){\displaystyle \frac{a^{}}{a}}\delta _i`$ $`=`$ $`(1+w_i)\left(kv_i+{\displaystyle \frac{h_L^{}}{2}}\right)3w_i{\displaystyle \frac{a^{}}{a}}\mathrm{\Gamma }_i,`$ (2.1)
$`v_i^{}+(13c_{si}^2){\displaystyle \frac{a^{}}{a}}v_i`$ $`=`$ $`{\displaystyle \frac{c_{si}^2}{1+w_i}}k\delta _i+{\displaystyle \frac{w_i}{1+w_i}}k\mathrm{\Gamma }_i,`$ (2.2)
$`h_L^{\prime \prime }+{\displaystyle \frac{a^{}}{a}}h_L^{}`$ $`=`$ $`{\displaystyle \underset{i}{}}(1+3c_{si}^2)8\pi G\rho _ia^2\delta _i24\pi Ga^2{\displaystyle \underset{i}{}}p_i\mathrm{\Gamma }_i,`$ (2.3)
where $`\delta _i`$, $`v_i`$, and $`\mathrm{\Gamma }_i`$ are, respectively, the density contrast, the velocity perturbation, and the entropy perturbation of component $`i`$, $`a`$ is the scale factor, $`h_L`$ is the trace of the metric perturbation, and $`k`$ is the comoving wave number. For the sake of simplicity, we assume that both the spatial curvature and the anisotropic pressure perturbation vanish and that the energy-momentum tensor of each component is separately conserved. In the equations above the prime denotes derivative with respect to conformal time and, as usual, $`c_{si}^2=p_i^{}/\rho _i^{}`$ and $`w_i=p_i/\rho _i`$ are, respectively, the adiabatic sound speed and the equation of state parameter of component $`i`$.

We will consider only two components in the universe: baryons ($`p_b=0`$) and a generalized Chaplygin fluid, whose homogeneous equation of state is

$$p_{ch}=M^{4(\alpha +1)}/\rho _{ch}^\alpha .$$
(2.4)
The separate conservation of the energy-momentum tensors leads to

$$\rho _b=\rho _{b0}a^3,$$
(2.5)
and222Some authors (e.g. Makler et al. , and Sandvik et al. ) use a different notation for $`A`$. Their “matter” parameter is related to ours by the relation $`A=1\mathrm{\Omega }_M^{}`$.

$$\rho _{ch}=\rho _{ch0}\left[(1A)a^{3(\alpha +1)}+A\right]^{\frac{1}{\alpha +1}},A\frac{M^{4(\alpha +1)}}{\rho _{ch0}^{\alpha +1}},$$
(2.6)
where the subscript “0” denotes quantities at the present time and we choose the scale factor today equal to unity. It then turns out that the equation of state parameter and the adiabatic sound velocity, for the Chaplygin component, are given by

$$w_{ch}(a)=\frac{Aa^{3(\alpha +1)}}{(1A)+Aa^{3(\alpha +1)}},$$
(2.7)
and

$$c_{sch}^2=\alpha w_{ch}(a).$$
(2.8)
It is a good approximation to take $`c_{sb}^2=0`$ and we will also assume that for baryons $`\mathrm{\Gamma }_b=0`$. When the Chaplygin component is considered, the instabilities and oscillations in the Chaplygin mass power spectrum (and, to a lesser extent, also in the baryon mass power spectrum), in the adiabatic case, have their origin in a non-vanishing value of the right-hand side in Eq. (2.2) . In this case, the effective sound speed and the adiabatic sound speed are equal . However, this may not be true if entropy perturbations are present . Entropy perturbations are quite common and, since the sound speeds of baryon and the Chaplygin component are different, even for the so called “adiabatic case” there is, in fact, a relative entropy perturbation . We then impose that the right-hand side of Eq. (2.2) vanishes, such that the effective sound speed for the Chaplygin component is zero. This is equivalent to assuming, as an initial condition, that $`\delta p_{ch}=0`$. It is straightforward to show that $`\delta p_{ch}=0`$ implies $`d\delta p_{ch}/dt=0`$, such that the condition is preserved . With this choice we can determine the intrinsic entropy perturbation $`\mathrm{\Gamma }_{ch}`$ for the Chaplygin component, obtaining

$$\mathrm{\Gamma }_{ch}=\frac{c_{sch}^2}{w_{ch}}\delta _{ch}=\alpha \delta _{ch}.$$
(2.9)
Since, for baryons $`c_{sb}^2=\mathrm{\Gamma }_b=w_b=0`$, it is easy to see from Eq. (2.2), that $`v_b`$ decays rapidly and, as a matter of simplification, we take $`v_b=0`$. Also, from Eq. (2.1), we have, $`\delta _b^{}=h_L^{}/2`$. Now, with $`\mathrm{\Omega }_{b0}+\mathrm{\Omega }_{ch0}=1`$, Eqs. (2.1)-(2.3) can be recast as

$$\frac{d\delta _{ch}}{da}3w_{ch}(a)\frac{\delta _{ch}}{a}=(1+w_{ch}(a))\left(\frac{kv_{ch}}{\dot{a}a}\frac{d\delta _b}{da}\right),$$
(2.10)
$$\frac{dv_{ch}}{da}+(1+3\alpha w_{ch}(a))\frac{v_{ch}}{a}=0,$$
(2.11)
and

$$\frac{d^2\delta _b}{da^2}+\left(\frac{2}{a}+\frac{\ddot{a}}{\dot{a}^2}\right)\frac{d\delta _b}{da}=\frac{3H_0^2}{2\dot{a}^2}\left\{\frac{\mathrm{\Omega }_{b0}\delta _b}{a^3}+(1\mathrm{\Omega }_{b0})\delta _{ch}\left[\frac{(1A)}{a^{3(\alpha +1)}}+A\right]^{\frac{1}{\alpha +1}}\right\},$$
(2.12)
where $`\dot{a}`$ and $`\ddot{a}`$ are given by

$`\dot{a}=H_0\left\{{\displaystyle \frac{\mathrm{\Omega }_{b0}}{a}}+(1\mathrm{\Omega }_{b0})\left[Aa^{2(\alpha +1)}+{\displaystyle \frac{(1A)}{a^{\alpha +1}}}\right]^{\frac{1}{\alpha +1}}\right\}^{\frac{1}{2}},`$ (2.13)
$`\ddot{a}={\displaystyle \frac{H_0^2}{2}}\left\{{\displaystyle \frac{\mathrm{\Omega }_{b0}}{a^2}}+(1\mathrm{\Omega }_{b0})(1+3w_{ch}(a))\left[Aa^{\alpha +1}+{\displaystyle \frac{(1A)}{a^{2(\alpha +1)}}}\right]^{\frac{1}{\alpha +1}}\right\}.`$ (2.14)
## 3 Discussion

In our numerical calculations we evolved Eqs. (2.10), (2.11) and (2.12) from $`z=500`$ to $`z=0`$ to obtain the power spectra. At $`z=500`$ the Chaplygin fluid behaves like CDM and, to take this into account, proper initial conditions were established; we assumed $`v_{ch}=0`$, a scale invariant primordial spectrum and used the BBKS transfer function,  with the following effective shape parameter ,,

$$\mathrm{\Gamma }_{eff}=(\mathrm{\Omega }_{b0}+(1\mathrm{\Omega }_{b0})(1A)^{1/(1+\alpha )})h\mathrm{exp}\left(\mathrm{\Omega }_{b0}\frac{\sqrt{2h}\mathrm{\Omega }_{b0}}{\mathrm{\Omega }_{b0}+(1\mathrm{\Omega }_{b0})(1A)^{1/(1+\alpha )}}\right).$$
(3.15)
In Fig. 1 we present the Chaplygin mass power spectra, in the adiabatic case ($`\mathrm{\Gamma }_{ch}=0`$), for $`\alpha =10^4,10^5,0,10^5`$ and $`10^4`$ (from top to bottom), $`h=0.7`$, $`\mathrm{\Omega }_{b0}=0.04`$ and we choose $`A`$ such that all models have $`\mathrm{\Gamma }_{eff}=0.18`$. The normalization of the mass power spectra is arbitrarily fixed at $`k=0.01`$ h Mpc-1. For larger absolute values of $`\alpha `$ the oscillations and instabilities are much stronger. The data points are the power spectrum of the 2dF galaxy redshift survey as compiled in . In Fig. 2, for the same parameters, we show the baryon power spectra. It is clear that, for baryons, the oscillations and, to a lesser extent, instabilities (that occur for $`\alpha <0`$) are quite reduced .

In Fig. 3 we show the mass power spectra for the Chaplygin fluid in the case $`\mathrm{\Gamma }_{ch}=\alpha \delta _{ch}`$ ($`\delta p_{ch}=0`$). We considered $`\alpha =0.6,0.3,0,0.3,0.6`$ and $`1`$, $`h=0.7`$, $`\mathrm{\Omega }_{b0}=0.04`$ and, again, $`A`$ such that all models have $`\mathrm{\Gamma }_{eff}=0.18`$. The degeneracy is clear (only one curve is visually discernible) and, as remarked before, at linear scales, the oscillations and instabilities are absent. Note that models with $`\alpha <0`$ may now be in agreement with observations. The baryon mass power spectra curves essentially coincide with these ones. In Fig. 4 we show the mass power spectra for the Chaplygin component, in the non-adiabatic case, for the same values of $`\alpha `$, $`h`$ and $`\mathrm{\Omega }_{b0}`$ as above, but now we fixed the parameter $`A=0.72`$, such that $`\mathrm{\Gamma }_{eff}`$ is different for each model. The degeneracy has now been broken. Again the baryon mass power spectra curves are essentially identical.

In the standard cosmological model ($`\mathrm{\Lambda }`$CDM and QCDM), two mysterious components, dark matter and dark energy, are predicated to explain two different phenomena: clustering of matter and cosmic acceleration. In spite of the standard cosmological model’s success, so far it has not been proven that dark matter and dark energy are, in fact, two distinct substances. A first attempt has been presented in . In  it has been shown that CMB observations strongly constrain the parameter space of quartessence Chaplyging models, leaving little room for models dissimilar to $`\mathrm{\Lambda }`$CDM. All these results are based on the assumption that there is no intrinsic entropy perturbation in the Chaplygin component. In this work we argue that if $`\mathrm{\Gamma }_{ch}=\alpha \delta _{ch}`$, or, equivalently, $`\delta p_{ch}=0`$ as an initial condition, oscillations and instabilities, present in the adiabatic case, will disappear and, consequently, the parameter space will be enlarged (for instance, now $`\alpha <0`$ should be included in the analyses). We believe that the game is not over or in its final round for these models, perhaps it has just started. Anyway, our results suggest that they deserve further investigation.

Acknowledgments

We thank helpful conversations with Raul Abramo, Fabio Finelli, Martin Makler and Max Tegmark. The authors would like to thank the Brazilian research agencies CAPES, CNPq, FAPERJ and Fundação José Bonifácio for financial support.


text:
# The Ku-band Polarization Identifier

## 1 Introduction

In the last few years the cosmology community has come to realize that a wealth of information can be gleaned from measurements of the angular power spectra of cosmic microwave background (CMB) polarization as well as its correlation with the temperature power spectrum. Detailed studies of CMB polarization may detect the gravitational waves from the inflationary epoch (e.g. Kamionkowski and Jaffe 2000), help isolate the peculiar velocity at the surface of last scattering (Zaldarriaga and Harari 1995), determine the nature of primordial perturbations (e.g. Spergel and Zaldarriaga 1997), and probe primordial magnetic fields (e.g. Kosowsky and Loeb 1996) as well as cosmological parity violation (e.g. Lue, Wang, and Kamionkowski 1999). A number of other possibilities are reviewed in Kamionkowski and Kosowsky 1999. This realization has manifested itself in the large number of new experiments devoted to CMB polarization studies (e.g. Timbie and Gundersen, 2002). At least 12 of these experiments represent low frequency ($`<100`$ GHz) polarization measurements that may ultimately be limited by foreground contamination from polarized galactic synchrotron (Kogut and Hinshaw 2000, Davies and Wilkinson 1999), point sources, or perhaps the anomalous emission - hypothesized to be ”spinning dust” (Draine and Lazarian 1998a, 1998b). The level to which these foreground contaminants will limit the CMB polarization measurements is not well known (Tegmark et al. 1999). The need for a low frequency survey to characterize the polarized emissions has been emphasized on many occasions (e.g. Cecchini et al. 2002). The research objectives of the Ku-band Polarization Identifier (KUPID) directly address this need and go beyond.

## 2 Observation Objectives

KUPID will be configured as a polarimeter to measure both Q and U Stokes parameters, and it will also measure the continuum brightness temperature. When the latter measurements are spatially differenced they can also be used as a differential radiometer to measure $`\mathrm{\Delta }T`$. With these capabilities, this instrument will be able to perform a wide variety of studies that span the interstellar medium to cosmology. The primary research objectives include:
$``$ Survey the polarized component of galactic synchrotron radiation
$``$ Characterize the anomalous foreground emission - hypothesized to be ”spinning dust”
$``$ Measure CMB polarization, if foregrounds are not too limiting
$``$ Perform follow-up measurements of interesting regions identified by the WMAP satellite

### 2.1 Synchrotron

The bane of low frequency CMB polarization studies will likely be polarized Galactic synchrotron emission; however, no one knows the level of this contamination at the frequencies and angular scales of interest to CMB studies. A summary of some of the existing observations derived from both polarization and temperature observations is presented in Figure 1. When possible, this figure uses data from near the North Celestial Pole (NCP) at the angular scales of interest. All the upper limits derived from both temperature and polarization measurements are shown as upside down triangles. Actual detections of polarization derived from low frequency surveys are shown as other symbols. The line that represents synchrotron radiation is normalized to the value of 0.5 $`\mu K^2`$ obtained by the WMAP satellite (Kogut et al. 2003) at 41 GHz. This value is extrapolated to other frequencies using $`T\nu ^{2.9}`$. The other WMAP points in Figure 1 are obtained from the rms of the temperature anisotropy data in a $`3^{}`$ radius cap centered on the NCP as derived from the maximum entropy method synchrotron maps (Bennett et al. 2003a). A K-band (22 GHz) version of one of these NCP synchrotron maps is shown in Figure 3. These points represent the maximum expected polarized synchrotron signal at these frequencies. There are several uncertainties in extrapolating to other frequencies. First, Faraday rotation can depolarize the low frequency measurements. Second, there is uncertainty in the spectral index of the synchrotron. The spectral index varies as a function of position on the sky (Reich & Reich 1988) and is believed to steepen at higher frequencies due to a knee in the cosmic ray spectrum (Rybicki & Lightman 1979). The combination of these uncertainties makes the extrapolation to other frequencies quite suspect. A Ku-band polarization survey will measure the normalization and slope of the synchrotron brightness spectrum and thus minimize many of these uncertainties. In particular it will measure the polarized synchrotron in the region of interest for CAPMAP.

In addition to the slope and normalization of the synchrotron brightness spectrum, the slope and normalization of the polarized synchrotron angular power spectrum is of particular interest to CMB studies. For many of the same reasons mentioned above, there is little known about angular power spectrum of polarized synchrotron at higher frequencies and at the high galactic latitudes of interest to CMB studies. Recent studies from Baccigalupi et al. 2001 estimate the slope and normalization of either the E or B-mode angular power spectra with:

$$C_{\mathrm{}}^{E,B}=(1.2\pm 0.8)\times 10^9(\mathrm{}/450)^{1.8\pm 0.3}(\nu _{GHz}/2.4)^{5.8}K^2.$$
(1)
This result is based on low and mid-latitude surveys (Duncan et al. 1997, 1999 and Uyaniker et al. 1999) at 1.4, 2.4 and 2.7 GHz as well as the results of Brouw and Spoelstra 1976 (BS76) on large angular scales. The resulting power spectrum is similar to the results of Tucci et al. 2000. The mean value of the normalization and slope are used for the synchrotron angular power spectrum shown in Figure 2 for an observation frequency of 15 GHz. Based on these results the synchrotron spectrum (whether E or B) is expected to dominate over the CMB polarization power spectra and other foreground angular power spectra in KUPID’s multipole band. In addition to the quoted uncertainties in this determination of the normalization and slope of the synchrotron angular power spectrum, there are uncertainties in the extrapolation to higher frequencies, as mentioned in the discussion above. Finally there are several caveats that need to be made about the validity of the Baccigalupi et al. 2001 results at high galactic latitudes, and there are also concerns regarding source subtraction (of HII regions) for the surveys used in the galactic plane. KUPID’s high signal/noise measurements at high and low galactic latitudes will reconcile many of these uncertainties.

While polarized synchrotron radiation may be the bane of CMB polarization studies, it is a useful tool to study galactic magnetism (Beck et al. 1996). Polarized synchrotron radiation is one of the key observational tracers of the plane-of-sky component of the galactic magnetic field $`B_{}`$ (as opposed to the line-of-sight component $`B_{}`$). The direction of polarization is perpendicular to $`B_{}`$ while the strength of the polarization is proportional to $`B_{,u}^2/B_{,t}^2`$, where$`B_t^2=B_u^2+B_r^2`$ and $`B_t,B_u,B_r`$ are the total, uniform, and random components of the magnetic field (Ginzburg & Syrovatskii 1965). There is some controversy between estimates derived from radio frequency measurements of polarized galactic synchrotron radiation (Spoelstra, 1984), which suggest that $`B_u`$ is slightly less than half the energy in fluctuations, and those derived from pulsar rotation measure data (Rand & Kulkarni 1989 and Ohno & Shibata 1993) which suggest that less than 10$`\%`$ of the energy density is carried by the uniform component. Since KUPID will make very sensitive measurements of the polarized synchrotron radiation at frequencies where Faraday effects are small, it will provide estimates of the mean and random components of the galactic magnetic field. This type of data will be useful in constraining various models that attempt to explain the origin and maintenance of galactic magnetic fields (Zweibel & Heiles 1997).

### 2.2 Anomalous Emission - (Spinning Dust?)

The second observation objective involves the characterization of the anomalous foreground emission that has been detected by five independent measurements including COBE (Kogut et al. 1996a, 1996b), Saskatoon (de Oliveira-Costa et al. 1997), OVRO (Leitch et al. 1997), the 19 GHz survey (de Oliveira-Costa et al. 1998, Boughn et al. 1992) and Tenerife (Gutierrez et al. 2000, de Oliveira-Costa et al. 1999 and Mukherjee et al. 2000). This foreground is spatially correlated with 100 $`\mu m`$ dust emission but has a spectrum that rises towards lower frequencies. This rise is incompatible with thermal dust emission and was initially attributed to free-free emission (Kogut et al. 1996a, 1996b). Draine and Lazarian (1998a, 1998b) argued against the free-free hypothesis based on energetics and forwarded a hypothesis based on spinning (as opposed to vibrational) dust mission. A cross-correlation analysis of the low frequency surveys with the Wisconsin H-Alpha Mapper (WHAM) data show little correlation, thus supporting the spinning dust hypothesis over the free-free component that is traced by the WHAM data (de Oliveira-Costa et al. 2000). The brightness spectrum of the spinning dust shown in Figure 1 is normalized to the rms of the 100 $`\mu `$m dust emission (Wheelock et al. 1994) in the NCP region scaled to 15 GHz using 50 mK(MJy/sr)<sup>-1</sup> (de Oliveira-Costa et al. 2000) and assumes 5$`\%`$ polarization (Lazarian and Draine 2000). Since the hypothesized spinning dust spectrum is predicted to peak in the 15-20 GHz regime, this experiment is ideal for measuring the polarized component (or lack thereof) of the anomalous emission. As with the brightness spectrum, little is known about the angular power spectrum of the anomalous emission. An estimate of this anomalous emission’s angular power spectrum (Tegmark et al. 2000) is shown in Figure 2. While the synchrotron emission is expected to dominate over the anomalous emission, the fact that they have different brightness spectra and the fact that the anomalous emission correlates with far-IR measurements will simplify the separation of these two sources.

### 2.3 CMB Polarization

If neither the anomalous emission nor the synchrotron radiation is a dominant polarized foreground, then this experiment is well suited for studies of CMB polarization since it will be designed to have a high sensitivity and low systematic effects as discussed below. Precision measurements of the CMB polarization angular power spectra will not only be the best independent confirmation of temperature anisotropy measurements, but they will also encode complementary information (e.g., Kosowsky 1999). They will break degeneracies inherent in the parameter estimation derived from the temperature angular power spectrum, and they will constrain parameters that are not well constrained by temperature anisotropy measurements alone (e.g., Hu and White 1997). While the signal-to-noise ratio of the temperature anisotropy measurements is typically a factor of 10-20 higher, the polarization signal is considered to be a “cleaner” signal. Phenomena such as the integrated Sachs-Wolfe effect and the Sunyaev-Zeldovich (SZ) effect, that occur between the current epoch (z=0) and the last scattering surface (at z=1000), affect the temperature anisotropy but not the polarization. This fact can be used to disentangle low redshift ($`z<1000`$) effects from primordial phenomena. In addition the polarization spectra are more sensitive to some cosmological parameters (such as the optical depth $`\tau `$) than the temperature spectrum. Thus, even a lower signal to noise measurement on polarization can yield a better constraint on the optical depth. Finally, the combined precision measurements of the temperature spectrum, the E and B mode polarization spectra and the T-E correlation spectrum will aid in the separation of the relative contributions from scalar, vector and tensor fluctuations (Hu and White 1997) - a goal that is unattainable with temperature measurements alone. The quantification of the tensor contribution would be an amazing achievement since it would represent a measure of the stochastic background of primordial gravity waves. A gravity wave background is the most direct and irrefutable evidence for an inflationary epoch at the very earliest stage of the Universe (Turner 1997). While this experiment will not likely have the sensitivity to probe the B-mode polarization alone, it will determine the limiting level of foreground contaminants at low frequencies. This information will be very important in the design of future experiments aimed at measuring B-mode polarization.

### 2.4 WMAP Follow-up

The Wilkinson Microwave Anisotropy Probe (WMAP) satellite has made full sky temperature maps at five frequencies between 22 and 90 GHz with angular resolution that varies from $`0.93^{}0.23^{}`$, respectively (see http://map.gsfc.nasa.gov). These maps encode a great deal of information about the CMB temperature anisotropy, the temperature-polarization correlation, and the galactic foregrounds. This treasure trove of information has helped to answer many questions and has led to more refined questions regarding phenomena associated with both cosmology and the interstellar medium. Many of these questions will benefit from the enhanced frequency coverage, angular resolution, and polarization sensitivity of experiments such as KUPID. For instance, the WMAP satellite has identified the regions with the lowest synchrotron brightness temperature. These regions will be prime targets for follow-up CMB polarization studies since they will also likely have the lowest polarized foreground emission. Part of KUPID’s observing time will be devoted to studies of these low foreground regions.

## 3 Instrument Design

One of the primary challenges of CMB polarization studies is the minimization of systematic effects. This is a difficult task since the predicted polarization signal is a factor of 20-60 below the noise level that a single detector can obtain in one second and a factor of 100 million below ambient foreground temperatures. The polarimeter, the telescope and the observation strategy are all designed to minimize the various systematic effects, some of which include polarized ground emission, correlated crosstalk, and polarization-dependent emission/absorption in the optics. Both PIQUE (Hedman et al. 2001, 2002) and CAPMAP (Barkats, this volume) have demonstrated the ability to reach noise levels that are within a factor of 2-3 of the expected CMB polarization signal - without being limited by these types of systematic effects. The KUPID experiment that will take advantage of this experimental heritage.

### 3.1 Polarimeter Design

The primary instrument that requires development for KUPID is a phase switched correlation polarimeter (e.g. Duncan et al. 1995) that operates in the 12-18 GHz (Ku) band. A diagram of the KUPID polarimeter is shown in Figure 4. The main advantage of a correlation polarimeter is that it directly measures the Q and U Stokes parameters rather than taking the difference between two large signals like the MAP experiment and many bolometric-based experiments will do. In so doing, gain fluctuations in the front-end amplifiers only multiply the small polarization signal rather than the system temperature as in the total power case. A phase switch is introduced into one arm of the polarimeter, and this reverses the sign of the multiplier output. The phase switching and synchronous demodulation obviates the small offset term that is inherent in the multiplier output, and the switching is performed at a frequency (several kHz) that is well above the 1/f knee of the cryogenic amplifiers. Other similarities with the PIQUE and CAPMAP systems includes the use of low noise cryogenic amplifiers, an ambient temperature amplifier and a power divider that allows for the detection of the total intensity in each arm - in this case the intensity of the left and right circular polarizations. The triplexers in the backend of KUPID split the 12-18 GHz into 3 equal sub-bands. This allows for frequency discrimination among various astrophysical sources, and it also enables easier phase matching since the fractional bandwidth is smaller.

There are several differences between the KUPID polarimeter and the PIQUE/CAPMAP polarimeters. First, KUPID is a homodyne receiver rather than a heterodyne receiver. This significantly simplifies the construction and testing of the polarimeter, and it reduces the overall cost. KUPID will not need a local oscillator or an associated magic tee and phase shifter, and perhaps most importantly, there’ll be no cryogenic mixer. The primary source of reduced effective bandwidth of PIQUE’s Q-band and W-band polarimeters has been the lack of flatness in the cryogenic mixers’ conversion loss. The desired goal for KUPID will realize a large fraction ($`>90\%`$) of its potential 6 GHz bandwidth. The second difference is that the phase switching is performed in-line rather than in the local oscillator signal as is done for CAPMAP. This technique has worked successfully for the MAP satellite. The third difference between the polarimeters is that KUPID’s lens is quite large (approximately 50 cm in diameter) and it will initially be at ambient temperature.

The Ku-band is chosen for a number of science reasons: 1) As shown in Figure 1, polarized synchrotron emission is expected to be sizable at these frequencies, 2) very little mapping of the diffuse polarization has been performed at these frequencies, 3) this band is complementary to the higher frequency bands of the MAP satellite that extend from 22 to 90 GHz, and 4) this band straddles the peak of the hypothesized spinning dust foreground. There are also several technical/practical reasons to chose Ku-band: 1) A simple homodyne system can be incorporated with no waveguide components (except the horn, the OMT and the quadrature hybrid), 2) similar components used in the intermediate frequency (IF) portions of PIQUE/CAPMAP can be also incorporated into this system, and 3) very low noise, cryogenic amplifiers are available in the Ku-band from the National Radio Astronomy Observatory.

### 3.2 Sensitivity

The sensitivity of a correlation receiver is given by $`\sqrt{2}T_{sys}/\sqrt{\mathrm{\Delta }\nu }`$ (Kraus 1986), where $`T_{sys}`$ is the system temperature and $`\mathrm{\Delta }\nu `$ is the bandwidth and this is often expressed in terms of $`\mu K\sqrt{sec}`$. The various factors that contribute to the system temperature include the CMB itself (2.7 K), the atmosphere (3-6 K at 12-18 GHz), the loss in the lens, horn and waveguide (estimated to be $`<0.1`$ dB), and the receiver noise temperature (7 K) which is dominated by the cryogenic amplifiers. These factors give a system temperature of $`20`$ K, and when this is combined with a 6 GHz bandwidth it results in a sensitivity of 370 $`\mu `$K$`\sqrt{sec}`$ in the measurement of either the Q or U Stokes parameter.

### 3.3 Antenna

KUPID will use the 7-meter millimeter wave antenna at Crawford Hill (Chu et al. 1978), and it will share observing time with CAPMAP. There are a number of reasons that this antenna is preferred over other possible antennas:

1) First and foremost, the KUPID experiment and the CAPMAP experiment share many of the same personnel and hardware; thus it is prudent, from a budgetary and personnel perspective, to site both experiments at the same antenna. In this plan, CAPMAP would observe from late autumn until early spring when the precipitable water vapor is lowest, and KUPID would observe during the other months.

2) The Crawford Hill telescope is an offset Cassegrain antenna that resides on an alt-az mount. Its characteristics are well tailored for the measurement of polarization. The off-axis structure and the low surface error on the mirror ($`<`$ 100 $`\mu `$m) afford low sidelobe and cross-polarization levels. No other telescope of similar size (CSO, HHT, SEST, FCRAO, Owens Valley 10-m, JCMT) offers the combination of these features. In addition very few, if any, of these other antennas would allow the extended observing time that is required.

3) The FWHM beam size will be 0.2 at 15 GHz. This is well matched to PIQUE’s 90 GHz measurements (0.24 FWHM), and it is also matched to WMAP’s highest frequency (90 GHz) channels which have a 0.2 FWHM. A much larger off-axis telescope (such as the GBT in the extreme case) would allow increased angular resolution; however, we would not be able to map large regions (10’s of square degrees) in a reasonable time at the requisite sensitivity level. A small, off-axis telescope (such as that used for PIQUE) does not provide the angular resolution necessary for straightforward comparisons with WMAP and other higher angular resolution CMB temperature and polarization experiments.

### 3.4 Observing Strategy

The initial survey will focus on the NCP region ($`\delta >87^{}`$) because COMPASS, PIQUE and now CAPMAP have focused their higher frequency polarization observations near the NCP. The NCP region is chosen because it affords long continuous observations of a very small patch of sky without the need to change elevation. The long, deep observations are required to observe the very small polarization signal. A region corresponding to declinations larger than 87 can be measured by KUPID to a precision of 10 $`\mu `$K/beam in 170 hours. An estimate of the uncertainties in the measured synchrotron angular power spectrum are shown in Figure 2. This measurement will more than encompass the regions that have already been observed by any of the above experiments. If no polarization is observed at this precision, then it would support the conclusion that neither spinning dust nor synchrotron is interfering with the higher frequency measurements since the brightness temperature spectrum drops precipitously at higher frequencies. In this case KUPID would continue observing in the $`\delta >87^{}`$ region and push to 5 $`\mu `$K/beam precision and this would take an additional 510 hours of observing. At this level the CMB polarization signal is expected to become significant. In the event that significant polarization is observed at the 10 $`\mu `$K/beam level, then KUPID would perform a larger survey near the NCP. A survey region of $`\delta >80^{}`$ would take approximately 420 hours or 17.5 days. This low frequency survey will be invaluable to future CMB polarization surveys of the region. Both the deep survey and the extended survey can be completed in the first three month season of observations. This takes into account the fact that previous polarization experiments (PIQUE, COMPASS and POLAR) only observed for about 25$`\%`$ of the time due to poor weather and occasional experimental downtime.

The observing strategy of the second observing season will be dictated by what is observed in the first season. If no foreground contamination is observed, then these seasons will focus on deep CMB polarization surveys. If significant foreground contamination is observed, then KUPID will perform follow-up observations in interesting regions observed by other polarization experiments such as MAXIPOL. Another goal would be to establish the foreground contamination level in regions with low foreground levels, such as the North Galactic Pole. In addition, a galactic plane survey covering regions from galactic longitudes 0 to 250 and galactic latitudes of -5 to 5 could be conducted to a precision of 100 $`\mu `$K/beam in approximately 151 hours. This precision should be adequate since existing surveys (e.g. Uyaniker et al. 1998) have peak-to-peak variations in Q and U of 500 $`\mu `$K at 1.4 GHz. If this is scaled to 14 GHz using $`T\nu ^3`$, the peak-to-peak values near the plane of the galaxy will be on order of 500 $`\mu `$K.

### 3.5 Calibration

The calibration of the polarimeter itself will be established in the lab using a second OMT, in place of the horn, with variable temperature cold loads at its two inputs. The two OMTs are rotated 45 with respect to each other such that when the two loads are at different temperatures, it generates a nonzero Q (or U) at the output of the correlators. In the process of varying the two load temperatures, the gain of the polarimeter can be established. The polarized flux density scale of the telescope can be calibrated using a bright, polarized astronomical source such as the Crab Nebula. The Crab has been well characterized at these frequencies (e.g. Mayer and Hollinger 1968). The antenna temperature of the total linear polarization $`P=\sqrt{Q^2+U^2}`$ of the Crab is expected to be about 100 mK at 18 GHz for KUPID’s $`0.2^{}`$ FWHM beam. A signal/noise of well over 100 can be achieved in one second of integration. Measurements of the Crab’s Stokes parameters can be completed over a wide range of parallactic angles ($`PA_{AZ}`$) yielding signals:

$$Q_{out}=P_{crab}\mathrm{cos}(2(PA_{src}PA_{AZ}))$$
(2)
$$U_{out}=P_{crab}\mathrm{sin}(2(PA_{src}PA_{AZ}))$$
(3)
for an idealized polarimeter/feed system, where $`PA_{src}=0.5\mathrm{tan}^1(U_{src}/Q_{src})`$ is the position angle of the source. Deviations from this ideal behavior can be attributed to non-ideal components in the polarimeter/feed system which can modify the amplitude and phase of the incident Stokes parameters. This non-ideal behavior causes coupling between the measured Stokes parameters (I, Q, U) and this coupling can be characterized in terms of a Mueller matrix (Tinbergen 1996) for each component in the polarimeter chain. A high signal/noise measurement of the Crab or another bright calibration target will enable the precision determination of the various terms in the Mueller matrix, and these can in turn be used to correct for the instrumental effects. A thorough discussion of this technique is given in Heiles et al. 2001 and Heiles 2001.

### 3.6 Timeline

Year 1 (8/02-7/03) - During the first year the primary goals involve the design, construction, and testing of the polarimeter. The telescope-polarimeter interface will be established, and an ambient version of the complete polarimeter will be tested. A replica of the CAPMAP data acquisition card will be constructed and tested. Towards the end of the year the cryostat will be completed and the cryocooler and compressor will be delivered. The month of June will be used to perform cryogenic tests of the polarimeter and once it is operating well, it will be moved to the Crawford Hill telescope.

Year 2 (8/03-7/04) - The months of August, September and October will be spent observing a small cap near the NCP. KUPID will fit into one of the four cryostat slots alloted to CAPMAP until all four CAPMAP cryostats are completed and deployed (12/03). These months are chosen to complement CAPMAP’s observing season which is October through May. The rest of the year will be dominated by data analysis from the first observing season. The other months will also be used to incorporate modifications to the polarimeter system.

Year 3 (8/04-7/05) - The months of August-October will be used to perform the observations, and the rest of the year will be used to conclude the data analysis. Based on the results from Year 2, we will determine the observation strategy for Year 3 as discussed in the Observation Strategy section.

This work was supported in part by NSF grant AST-0206241. JG is grateful to V. Shenouda for her assistance in extracting Figure 3 from the WMAP archive.