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# Quantum Ginzburg-Landau theory of doped Mott insulators

## Abstract

We improve a previous theory of doped Mott insulators with duality between pairing and magnetism by a further duality transform. As the result we obtained a quantum Ginzburg-Landau theory describing the Cooper pair condensate and the dual of spin condensate. We address the superconductivity by doping a Mott insulator, which we call Mott superconductivity. Some fingerprints of such novelty in cuprates are the scaling between neutron resonance energy and superfluid density, and the induced quantized spin moment by vortices or Zn impurity (together with circulating charge supper-current to be checked by experiments).

After more than a decade of intense experimental and theoretical studies on high-$`T_c`$ superconductors, it is becoming clear that the superconducting state turns out to be more “normal” than the normal state in the sense that there are better-defined fermionic quasi-particles that can be partly understood in terms of d-wave Bardeen-Cooper-Schrieffer (BCS) theory subject to suitable modifications. For example, the concept of nodal quasiparticles in d-wave BCS theory seems to account for a handful of transport properties.hightc  Recently it is even established by scanning tunneling microscopy (STM) that the response of the superconducting state to weak impurities is excellently described by a usual d-wave Bogoliubov-de Genn (BdG) theory,hoffman1karl  with quasi-particle scattering interference (a signature of well-defined free quasi-particles). The pairing gap function fitted according to scattering interference ideaqhwang  agrees unexpectedly with that from angle-resolved photo-emission spectrum arpes  (which is a probe in the momentum space in contrast to the real space STM). The implications would be the superconducting state of high-$`T_c`$ superconductors is “normal”. If this were the case, then what makes high-$`T_c`$ superconducting state unique? The secrete is of no secrete in the sense the experimental facts are already existing. First, the effective charge carrier density is given by doped holes. Second, the superfluid density scales with the doped holes in the underdoped region instead of the electron density. Third, there is well-defined inelastic neutron scattering resonance around the magnetic vector $`𝐐_0=(\pi ,\pi )`$ with incommensurability that scales with the hole density.resonance  The resonance energy scales with the superfluid density. While the doping-dominated superfluid density could be understood in one way or the other from re-normalized Landau-Fermi liquid theory millis  or gauge theorydunghai , the existence of a neutron resonance is unexpected, whose importance to seek a correct theory can never be over-estimated, just as the isotope effect in usual superconductors. The implication is twofold. The first is obvious: There is dynamic spin anti-ferromagnetic correlations. The second is more far-reaching. The resonance energy is related to the EM photon gap in a Meissner state via Anderson-Higgs Mechanism. This means that the condensate view spin excitations as if they were EM gauge fields! This turns out to be just the crazy idea in a recent theory of doped Mott insulators,crazy  which predicts a topological mutual-duality between Cooper pair condensate and spin magnetic condensate. The task of this Letter is to show that the theory accounts for the above mentioned aspects of high-$`T_c`$ superconductivity. We identify the fingerprints of such superconductors by a quantum Ginzburg-Landau theory of doped Mott insulators, Eq.(7).

Previously crazy  we derived an exact “all-boson” representation of the electronic t-J model and identified the mean field saddle point of the theory. The gauge fluctuations beyond mean fields combined to slave particles were then integrated in the infrared limit exactly, leaving us with an effective low energy field theory of doped Mott insulators described by the lagrangian $`L=L_c+L_m+L_{CS}`$ as follows.crazy

First, $`L_c`$ describes the charge condensate (CC) of the theory,

$`L_c=i\overline{\rho }_c(\varphi _c^{}{\displaystyle \frac{_\tau }{i}}\varphi _c2A_0)+iA_0+i\delta \rho _c(\varphi _c^{}{\displaystyle \frac{_\tau }{i}}\varphi _c+2a_0^h2A_0)+i𝐣_c(\varphi _c^{}{\displaystyle \frac{}{i}}\varphi _c+2𝐚^m2𝐀)+{\displaystyle \frac{u_c}{2}}\delta \rho _c^2+{\displaystyle \frac{1}{2K_c}}𝐣_c^2,`$ (1)
where $`\varphi _c`$ is the uni-modulus phase factor of a spin-charge recombined Cooper pair, $`\overline{\rho }_c=(1x)/2`$ and $`𝐣_c`$ are the Cooper pair density and spatial current, respectively, $`K_c`$ is the effective zero-temperature superfluid density, and finally $`u_c`$ is the effective local charge repulsion. At low doping it can be shown that $`K_cx`$. We emphasize that $`A_0`$ in the first two terms of $`L_c`$ simply reminds us that the effective charge density is $`12\overline{\rho }_c=x`$, but the Cooper pair density is $`(1x)/2`$ (counting electrons) and response to EM field as $`2e`$-carriers. This bears out the Mott physics automatically. The effect of gauge fields $`a_0^h`$ and $`𝐚^m`$ will become clear below.

Second, $`L_m`$ describes the spin magnetic condensate (MC) of the theory,

$`L_m=i\delta \rho _m(\varphi _m^{}{\displaystyle \frac{_\tau }{i}}\varphi _m2a_0^m)+𝐣_m(\varphi _m^{}{\displaystyle \frac{}{i}}\varphi _m2𝐚^h)+{\displaystyle \frac{u_m}{2}}\delta \rho _m^2+{\displaystyle \frac{1}{2K_m}}𝐣_m^2,`$ (2)
where $`\delta \rho _m`$, $`\varphi _m`$ and $`𝐣_m`$ are the z-direction magnetization $`S^z`$, the uni-modulus phase factor of $`S^{}`$ and the spin current. The background magnetic ordering wave vector $`𝐐=(\pi ,\pi )(1x)`$ on square lattices as in cuprates. The effect of gauge fields $`a_0^m`$ and $`𝐚^h`$ will be clear below.

Third, $`L_{CS}`$ is given by

$`L_{CS}`$ $`=`$ $`{\displaystyle \frac{i}{\pi }}a_0^h(\times 𝐚^h)_z+{\displaystyle \frac{i}{\pi }}a_0^m(\times 𝐚^m)_z.`$ (3)
In the above the subscript $`z`$ means the $`z`$-component of the object. Let us observe that integration over $`a_0^h`$ and $`a_0^m`$ using the total action $`L`$ enforces $`\times 𝐚^h=2\pi \delta \rho _c\widehat{z}`$ and $`\times 𝐚^m=2\pi \delta \rho _m\widehat{z}`$. The physical meaning is that Cooper pair condensate view localized $`S^z`$-moments as $`2\pi `$-flux bundle, while the magnetic $`S^{}`$ condensate view a localized Cooper pair density fluctuation also as their $`2\pi `$-flux bundles. (Note that locally $`\delta \rho _m1/2`$ and $`\delta \rho _c1/2`$ due to the microscopic no-double occupation constrain). Similar ideas appear in the literature but suffer from U(1) gauge symmetry breaking combined to slave particles.phasestring

Except for the first two terms in $`L_c`$ (which gives the average density of Cooper pairs and the charge carrier density) the two condensates CC and MC are mutually dual to each other. This mutual-duality is the crucial part of the theory that makes a difference to the 1D counterpart in which spin-charge separation is complete. In any case, the theory is millions of miles away from a Landau-Fermi liquid.

At zero temperature, we can simplify the theory by applying the concept of a self-duality transform as follows.dual  The basic idea is, if a condensate, say MC is disordered, its vortices condense instead. Let us call the new condensate as MC. MC and MC are self-dual, and see the charges of each other as flux bundles. Since $`(\delta \rho _m,𝐣_m)`$ is a conserved $`3`$-current due to the coupling to the phase mode $`\varphi _m`$, it can be represented by the field strength of a gauge field, say, $`b=(b_0,𝐛)`$ as

$`F_\mu =ϵ_{\mu \nu \lambda }_\nu b_\lambda ,`$ (4)
$`\delta \rho _m=F_\tau /2\pi ,𝐣_m^{x,y}=𝐅_{x,y}/2\pi .`$ (5)
This gauge field is seen by MC via self-duality, and by CC via mutual duality. These lines of reasoning suggests the following rewriting of the total Lagrangian as

$`L=`$ $`iA_0+i\overline{\rho }_c(\varphi _c^{}{\displaystyle \frac{_\tau }{i}}\varphi _c2A_0)+i\delta \rho _c(\varphi _c^{}{\displaystyle \frac{_\tau }{i}}\varphi _c2A_0+2b_0)+i𝐣_c(\varphi _c^{}{\displaystyle \frac{}{i}}\varphi _c2𝐀+2𝐛)+{\displaystyle \frac{u_c}{2}}\delta \rho _c^2+{\displaystyle \frac{1}{2K_c}}𝐣_c^2`$ (6)
$`+i\delta \rho _v(\varphi _v^{}{\displaystyle \frac{_\tau }{i}}\varphi _v2b_0)+i𝐣_v(\varphi _v^{}{\displaystyle \frac{}{i}}\varphi _v2𝐛)+{\displaystyle \frac{u_v}{2}}\delta \rho _v^2+{\displaystyle \frac{1}{2K_v}}𝐣_v^2+{\displaystyle \frac{u_m}{8\pi ^2}}F_\tau ^2+{\displaystyle \frac{1}{8\pi ^2K_m}}(F_x^2+F_y^2),`$
where $`\varphi _v`$ is a uni-modulus phase factor describing the vortex condensate MC and $`j_v=(\delta \rho _v,𝐣_v)`$ is the associated current, $`u_v`$ is the vortex fugacity and $`K_v`$ is the vortex condensate phase stiffness. The Maxwell term for the physical EM fields is implicit in the theory. A caution of gauge symmetry related to the EM gauge fields $`(A_0,𝐀)`$ is in order. The Lagrangian density itself is not EM gauge invariant due to the isolated term $`iA_0`$, but the total action $`S=d^2x𝑑\tau L`$ is. The mutual-duality is now aptly described by the fact that both CC and MC are coupled to the spin fluctuation gauge field $`b`$. As a result the Chern-Simons term $`L_{CS}`$ can be dropped from now on. $`u_v`$ and $`K_v`$ may be determined microscopically (for example at the mean field level of the bosonized t-J modelcrazy ), but their behavior follows from simple arguments. Suppose we freeze the pairing channel, the magnitude of $`K_v`$ is related to the gap for spin excitations. This gap is zero in ordered MC at low dopings. At higher doping levels, since the squeezed charges work as vortices to MC, they eventually disorder the MC to its self-dual MC at a critical doping level. At even higher doping, MC is established with increasing phase stiffness. These lines of reasoning suggests that the bare stiffness $`K_vK_c`$. This is more than reasonable in view of the fact that CC and MC fight against a common animal, the spin excitation $`b`$-fields, and can condense simultaneously to form a superconductor, for which we propose a new terminology, a Mott superconductor, to discriminate from the usual BCS superconductor. In any case, we just have to tune a finite number of parameters for a specific material, but the basic physics is captured by the theoretical framework.

The final form of the theory is obtained by integrating out the auxiliary currents $`(\delta \rho _c,𝐣_c)`$ and $`(\delta \rho _v,𝐣_v)`$ as

$`L=`$ $`iA_0+i\overline{\rho }_c(\varphi _c^{}{\displaystyle \frac{_\tau }{i}}\varphi _c2A_0)+{\displaystyle \frac{1}{2u_c}}(\varphi _c^{}{\displaystyle \frac{_\tau }{i}}\varphi _c2A_0+2b_0)^2+{\displaystyle \frac{K_c}{2}}(\varphi _c^{}{\displaystyle \frac{}{i}}\varphi _c2𝐀+2𝐛)^2`$ (7)
$`+{\displaystyle \frac{1}{2u_v}}(\varphi _v^{}{\displaystyle \frac{_\tau }{i}}\varphi _v2b_0)^2+{\displaystyle \frac{K_v}{2}}(\varphi _v^{}{\displaystyle \frac{}{i}}\varphi _v2𝐛)^2+{\displaystyle \frac{u_m}{8\pi ^2}}F_\tau ^2+{\displaystyle \frac{1}{8\pi ^2K_m}}(F_x^2+F_y^2),`$
which is a quantum Ginzburg-Landau theory for doped Mott insulators describing the Cooper pair condensate and the dual of spin condensate. In applying to finite temperatures it is no longer valid to do self-duality transform. This is because entropy effect at finite temperatures requires a concise meaning of order/disorder. In a sense temperature breaks the self-duality symmetry. But there is no problem in applying the theory to finite temperatures by keeping the above form.

A few lines of discussion on mechanism of Mott superconductor is in order. In the literature it is hotly debated whether spin fluctuations are the gluing force of pairing. The answer from the present theory is NO. They do exist but act to compete with superconductivity in a topological fashion. We would claim that both pairing and magnetism are intrinsic properties of doped Mott insulators.

The theory in the above new format place a good framework to discuss the Mott superconductor. Some unique features of Mott-superconductivity are immediately clear from this theory as we now discuss.

1) The CC+MC state is a simultaneous Meissner state to $`A`$-photons and $`b`$-photons. At zero energy they can only appear in vortices of the condensate. As such, the gauge flux $`d^2x\times 2𝐛=2\pi n`$ is quantized, just as the flux quantization in usual superconductors. The most-likely case is each vortex carries $`n=1`$ quantum of flux, and according to $`\delta \rho _m=\times 𝐛/2\pi `$ this is a quantized spin-$`1/2`$ moment. This tendency was also observed in a bosonic resonant valence bond theory based on the phase string effect on bipartite lattices.phasestring  The length scale of the distribution of this moment is determined by the “London penetration depth”

$$\lambda _b=\sqrt{\frac{u_m}{4\pi ^2(K_c+K_v)}},$$
(8)
which has the same qualitative behavior as that of the EM London penetration depth $`\lambda _L1/\sqrt{K_c}`$, assuming $`K_cK_v`$. Since the dual of MC is MC, the vortex favors MC. In fact in the vortex core, the gap for dynamic $`b`$-fluctuations is lowered. Therefore, in addition to the quantized spin moment, we also expect a cloud of softened spin excitations on an incommensurate anti-ferromagnetic background (according to the starting point of the theory). The quantized spin moment is a benchmark to compare with other theories so5  that also predict induced magnetism. This should also be a fingerprint of Mott superconductivity.

In the absence of applied magnetic field $`\times 𝐀=0`$, the vortex can be induced, for example, around Zn impurities in cuprates. This is because the Zn impurity works as an empty site to the system where unpaired spins have lower energy than elsewhere. (A Ni impurity does not upset spin pairing and is therefore a much weaker impurity than Zn.) The fact that Zn impurity captures spin moment has been observed by nuclear magnetic resonance (NMR) measurements.zinc  The next challenge to both our theory and experimentalists is to prove that there is also a charge super-current around Zn impurities, since the gauge flux of $`𝐛`$ is also seen by CC. In some sense this is indirectly proved by the strong suppression of Zn impurity to superconductivity, in a Swiss-cheese fashionzinc  as if each Zn kills a super-conducting region of the order of $`\pi \xi ^2`$, the area of a vortex core.

On the other hand, under an applied magnetic field, two possibilities follows. If the vortex core energy in MC is lower than that in CC, then a quantized spin moment is induced in the CC-vortex to counteract the applied flux. This lowers the kinetic energy cost in CC, making the CC-vortex non-topological (with zero winding number), with the expense of causing a vortex in MC. This is a way of making cheap vortices as realized in another context palee  (but without the topological structure in MC). Moreover, the softened spin fluctuations will be reflected in inelastic neutron scattering, with the scattering strength scaling with the number of vortices. This is exactly what was observed in cuprates. lake  Another possibility is that the MC-vortex is more expensive than CC-vortex. In this case the former is no longer inducible by the latter, and one has the normal CC-vortex. It is very likely that the first possibility is always the case in cuprates. The argument is as follows. If the second possibility were true, there would be a zero-energy peak in the single-particle density of states in the vortex core of a BCS d-wave superconductor, which is actually never observed in cuprates. corestm  This absence is however compatible with the capturing of spin moment around the vortex, making it non-topological. The existence of local spin moment and the removal of super current (caused by phase winding) are detrimental to the zero energy single particle state.

The underlying softened incommensurate anti-ferromagnetic modes may be related to the checker board pattern observed in the local density of states around vortices in cuprates.hoffman2  The period of $`4a`$ in the modulation may be a result of commensurability pinned by the underlying lattice.

2) The dynamic spin fluctuations are gapped. For the transverse $`b`$-photon, the energy gap is given by $`w_b\sqrt{K_m(K_v+K_c)}1/\lambda _b1/\lambda _L`$ (assuming $`K_vK_c`$), tracing the superfluid density $`1/\lambda _L^2`$. In view of our starting spin magnetic ordering vector $`𝐐=𝐐_0(1x)`$ for cuprates this is just the incommensurate inelastic neutron resonance observed in cuprates.resonance  When the $`b`$-photon wave-length decreases so that the spin excitations are closer to the vector $`𝐐_0`$, the gap increases. These results explain the existence of a $`𝐐_0`$ resonance at higher energy.resonance  The academic importance of the fact that the neutron resonance energy traces the superfluid density can never be over-estimated: The superfluid density is the quantity describing the response of the superconductor to physical EM fields that is not of spin-origin in a usual BCS superconductor. The relation between neutron resonance and superfluid density therefore implies a breathtaking effect: the superfluid response to spin excitations as if they were EM photons! This is just the consequence of the mutual-duality in the theory. In this sense, neutron resonance is just a fingerprint of a Mott superconductor, in the same way that the isotope effect is the fingerprint of phonon-driven weak-coupling BCS superconductors.

In the literature, there is a debate as whether the resonance is some collective mode that drives superconducting transition. The theory shows that it is merely a consequences rather than the cause.

3) By inspection of $`L`$ in Eq.(6) we find that assuming absence of long-range forces between CC-charges and between MC charges, the massless phase modes in the CC and MC, combining with the gauge field $`b`$, couples to the CC and MC $`3`$-currents. This is where one can do re-fermionization by expressing these currents in terms of Dirac fermions. The theory for such fermions has to assume the form of a QED3 theory by Lorenz invariance and gauge invariance. This is indeed found as a property of nodal quasi-particles in d-wave superconductors coupled to fluctuating vortices.qed3  Our theory gives physical meaning to the $`b`$-gauge field. While our theory starts off Mott insulator limit on microscopic grounds, the QED3 starts off a phenomenological description of quasi-particles interacting with vortices in d-wave superconductor. At zero doping our theory describes quantum antiferromagnetism while QED3 arrives at the same place via chiral symmetry breaking of the field theory combined with hand-made parameters to cope with the Mott insulator limit. Under these contexts they address the same physics from different paths that all lead to a place called Rome. The existence of low lying fermion excitations is important to understand the well-behaved quasi-particle scattering interference from weak impurities,hoffman1karl  in that in the absence of vortices in both CC and MC, the effective theory is very much the same as that of a usual BCS superconductor as viewed in the CC sector alone. The implication is that local density of states (LDOS) modulation around weak impurities observed by scanning tunnelling microscopyhoffman1karl  are the effect of scattering interference of the low-lying quasi-particle states as if in usual d-wave BCS theory, but the LDOS modulation found around vortices hoffman2  finds another likely mechanism in our theory, i.e., via capturing of quantized spin moments and softening of incommensurate anti-ferromagnetic fluctuations.

###### Acknowledgements.

I thank Z. Tesanovic for communications. This work is supported by NSFC 10204011 and 10021001.


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# Alfven Waves in Disks, Outflows and Jets

## 1 Introduction

The current picture of a classical T Tauri star (CTTS) is that of a central protostar, surrounded by a thin accretion disk that was formed as the result of the collapse of matter in a molecular cloud. At the corotation radius, the disk is disrupted due to the star’s dipole magnetic field. The accreting matter then follows the star’s magnetic field lines until it impacts on the stellar surface. This magnetospheric model accounts for the observational signatures seen in CTTSs, such as the excess of optical and ultraviolet continuum flux (veiling) and redshift absorption features in the emission line profiles (inverse P Cygni profiles) (Muzerolle, Hartmann, & Calvet 1998; Hartmann, Hewitt, & Calvet 1994). CTTSs display both outflow and inflow signatures (see, e.g., Edwards, Ray, & Mundt 1993).

Magnetic field lines on the order of 1 kG at the surface of the protostar are sufficient to disrupt the disk. The existence of magnetic fields of this magnitude on the star’s surface is inferred from observations (Johns-Krull et al. 1999; Guenther et al. 1999). Coupling of the accreting matter to the star’s magnetic field lines is possible if the temperature of the disk at the truncation radius is $`>10^3K,`$ at which collisional ionization of metal ions comes into effect (Umebayashi & Nakano 1988).

A major problem to be resolved concerns the gravitational energy $`E_G`$ of the accreted matter, which is over an order of magnitude greater than the emitted energy $`E_{}=\overline{L}_{}\tau _{}`$ of the CTTS, where $`\overline{L}_{}`$ is the average optical luminosity and $`\tau _{}`$ is its lifetime. It has been suggested that the occurance of large ejections could possibly get rid of the excess gravitational energy, but no detailed analysis has been made so far.

Another problem that must be dealt with is the large amount of angular momentum loss required for the formation of a protostar in a CTTS. The average protostellar mass $`M_{}`$ in a molecular cloud has an angular momentum 4-5 orders of magnitude greater than a protostar in a CTTS. It has been suggested that the Balbus and Hawley Instability (BHI) (Balbus & Hawley 1991, 1998) in the accretion disk may be able to get rid of the excess angular momentum. Detailed calculations of this possibility have yet to be made, although it has been shown in 3D numerical simulations that angular momentum can, in fact, be transported outward in the disk by the BHI (Hawley & Stone 1998).

Energy and angular momentum in CTTSs can be transported over large distances by Alfven waves which are generated by perturbations of the magnetic field, embedded in the plasma of the protostar. In general, AWs are weakly damped, as compared with sonic waves. The wave transports the energy and angular momentum away from the source of the perturbation, generally turbulence, along the magnetic field lines at the Alfven velocity. Classical plasma processes do not allow for accretion to take place in a disk. It is, thus, generally assumed that turbulence exists in the disk, in order to produce the anamolous viscosity required for accretion. This assumption justifies the existence of AWs in the disk.

AWs have indeed been observed in a space physics environment, in particular, the solar wind. Near the sun, most of the fluctuations observed are propagating outwards (Bavassano 1990). Tu, Marsch and Thieme (1989) and Tu, Marsch and Rosenbauer (1990) found that, at a distance $`64R_{}`$ from the sun, the fluctuations are outward-going with periods of $`\mathrm{minutes}`$ to days. All of the observations indicate that these fluctuations are, in fact, AWs. The waves are observed to have a power law distribution. Jatenco-Pereira, Opher and Yamamoto (1994) showed that the observed AW flux can explain the observed velocity of the solar wind as well as the observed radial temperature distribution in the corona and chromosphere. In the calculations of Jatenco-Pereiro et al. (1994), the network heating of Parker (1991) with a flux of $`8.7\times 10^5\mathrm{ergs}\mathrm{cm}^2\mathrm{s}^1,`$ which has a damping length of $`0.5R_{}`$, was used. An Alfven flux of $`1.3\times 10^5\mathrm{ergs}\mathrm{cm}^2\mathrm{s}^1`$ was found to be necessary in order to fit the observed data. A coronal hole geometry, in which surface Alfven damping (Lee and Roberts 1986, Hasegawa and Uberoi 1982) at the border was assumed, was studied. The calculations predicted a spectral break at $`10^2\mathrm{Hz}`$ for a distance of $`64R_{},`$ as is observed. This Alfven flux produced a $`600\mathrm{kms}^1`$ wind, as is also observed.

In Section 2, our recent work on AW heating of the accretion disk and magnetosphere of CTTSs is presented. The structures produced in outflows from accretion disks, initiated by turbulent AWs, are treated in Section 3. Concluding remarks and a discussion of the energy and angular momentum problems in CTTS are given in Section 4.

## 2 AW heating in the accretion disk and magnetosphere of a CTTS

Accretion in the disk about a CTTS is generally assumed to be due to the BHI. An ionized plasma is required in order for the BHI to occur. However, Gammie (1996) predicted that the accretion disk is unionized in its central region from 0.1 to 5 AU. Based on the evidence by Stone et al. (1996) that the BHI becomes turbulent, Vasconcelos, Jatenco-Pereira and Opher (2000) suggested that the BHI turbulence in the ionized regions produce AWs that propagate into the central region and heat it, so that the entire disk becomes ionized. They found that, assuming nonlinear mode coupling for the damping mechanism of an AW with a frequency 1/10 the ion cyclotron frequency, an AW amplitude of only 0.2% of the Alfven velocity was sufficient to create the necessary heating in the disk.

The required temperature profile of the magnetosphere, based on observations, was calculated by Hartmann, Hewitt and Calvet (1994). Martin (1996) studied the heating of the accreting matter as it follows the magnetic field lines in the magnetosphere. He took into account adiabatic compression, photoionization and ambipolar diffusion. He found too low a temperature for the magnetosphere due to these heating mechanisms and concluded that an additional heating source must be present. Vasconcelos, Jatenco-Pereira and Opher (2002) found that for an Alfven frequency of 1/10 the ion cyclotron frequency, an AW amplitude of only 0.3% the Alfven velocity was required to attain the necessary temperature.

## 3 Structures produced in the turbulent AW-initiated outflows from accretion disks

In a cold, non-turbulent disk, matter cannot leave the surface since it is bound gravitationally. A magnetic field perpendicular to the AD is generally assumed in CTTSs. Vitorino, Jatenco-Pereira and Opher (2002, 2003) studied the outflow from the accretion disk in a CTTS along the magnetic field lines, assuming, as did Ouyed and Pudritz (1997), that the corona of the disk is supported by a turbulent AW pressure $`P_A`$, taken to be $`0.39P_{KR},`$ where $`P_{KR}`$ is the Keplerian ram pressure, defined as $`\rho V_K^2,`$ and $`\rho `$ and $`V_K`$ are the density in the disk and the Keplerian velocity, respectively. The $`P_A`$ balances the gravitational attractive force of the disk, allowing outflow to take place due to the centrifugal force. It is generally assumed that the twisting of the magnetic field lines due to the rotation of the disk will eventually transform the outflow into a jet.

Gas pressure in the corona $`P_G`$ was taken to be $`0.01P_{KR}.`$ The initial poloidal magnetic field, perpendicular to the disk, was assumed to be $`(8\pi P_G)^{1/2}.`$ It was assumed that the magnitude of the initial toroidal field was equal to that of the initial poloidal field, to which it was perpendicular. The density in the corona was taken to be $`0.01\rho .`$

The structure of the outflow after several hundred rotations of the inner Keplerian orbit was studied by Vitorino et al. (2002, 2003), using a 3D ZEUS code. Initially, they perturbed the outflow with a random velocity amplitude proportional to $`r^a,`$ where $`r`$ is the radius in the accretion disk and $`a=3/2,1,1/2,\mathrm{\hspace{0.33em}0},\mathrm{\hspace{0.33em}1}/2`$ and 1. The maximum random velocity perturbation at the inner orbit of the disk was 0.01 the Keplerian velocity. Although the perturbation was random, all the structures that formed had a spacing of 11 times the radius of the inner Keplerian orbit.

Periodic perturbations of the outflow were also studied by Vitorino et al. (2003). In this case, the structures that formed had a spacing of $`T/2`$ times the radius of the inner Keplerian orbit, where $`T`$ is the period of the perturbation. They investigated periods 10-80 times that of the inner Keplerian orbit $`T_{Ki}`$ and found that the structures dissipated for small $`T(1020T_{Ki})`$ and tended to fragment for large $`T(6080T_{Ki}).`$

It is to be noted that the investigations of Vitorino et al. (2000, 2003) are relevant for the formation of structures very near to the source, as yet unresolved with present telescopes. For example, the spacing of 11 times the radius of the inner Keplerian radius corresponds to a distance of only $`10^6\mathrm{pc}.`$

## 4 Conclusions

In Section 2, it was shown that AWs may be important in ionizing the central unionized region of an AD of a CTTS, making it possible for the BHI to operate and accretion to take place. It was also shown in Section 2 that AWs may be important in raising the temperature of the magnetosphere of a CTTS, so that it agrees with observations. In Section 3, turbulent AW-initiated outflow from the disk was seen to create interesting structures.

Finally, I would like to comment on the energy and angular momentum problems with respect to CTTSs which were discussed in the introduction. Concerning the problem of the excess angular momentum, it is possible that it may be transported away from the disk by AWs instead of the BHI. As noted, AWs can transport energy and angular momentum over great distances along magnetic field lines. Moreover, turbulent AWs can not only initiate mass outflow, as discussed in Section 3, but can also carry angular momentum out of the disk, depositing it in the molecular cloud. Concerning the energy problem, the major portion of the gravitational energy of the accreted matter is lost when its distance to the protostar decreases from $`3R_{}`$ to $`1R_{},`$ where $`R_{}`$ is the radius of the star. In the standard CTTS model, the accreting matter is found in the magnetosphere for radii $`3R_{}.`$ The presence of turbulence is assumed in the standard model for the accretion disk and we may assume that, due to the accreting matter, it is also present in the magnetosphere, where it can create large oscillations. In the region of the magnetosphere which touches the magnetic field lines that thread the disk, these oscillations can generate AWs. The AWs could transport appreciable energy outward from the magnetosphere into the molecular cloud.

## 5 Acknowledgments

The author would like to thank the Brazilian agencies FAPESP (Proc. No. 00/06770-2) and CNPq (Proc. No. 300414/82-0) as well as the project PRONEX (Proc. No. 41.96.0908.00) for partial support.


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# In-Medium Effects on Charmonium Production in Heavy-Ion Collisions

## Abstract

Charmonium production in heavy-ion collisions is investigated within a kinetic theory framework incorporating in-medium properties of open- and hidden-charm states in line with recent QCD lattice calculations. A continuously decreasing open-charm threshold across the phase boundary of hadronic and quark-gluon matter is found to have important implications for the equilibrium abundance of charmonium states. The survival of $`J/\psi `$ resonance states above the transition temperature enables their recreation also in the Quark-Gluon Plasma. Including effects of chemical and thermal off-equilibrium, we compare our model results to available experimental data at CERN-SPS and BNL-RHIC energies. In particular, earlier found discrepancies in the $`\psi ^{}/\psi `$ ratio can be resolved.

The production systematics of heavy-quark bound states in (ultra-) relativistic collisions of heavy nuclei ($`A`$-$`A`$) is believed to encode valuable information on the hot and dense strong-interaction matter formed in these reactions Vogt99 . Based on the notion that charm quark pairs ($`c\overline{c}`$) are exclusively created in primordial (hard) nucleon-nucleon ($`N`$-$`N`$) collisions, it has been suggested MS86  that a suppression of observed $`J/\psi `$ mesons in sufficiently central and/or energetic $`A`$-$`A`$ reactions signals the formation of a deconfined medium (Quark-Gluon Plasma=QGP), as tightly bound $`c\overline{c}`$ states are conceivably robust in hadronic matter. While theoretical LMW95  and (indirect) experimental evidence phenix-cc  supports $`N`$-$`N`$ collision-scaling of total charm production, it has recently been realized pbm00 ; TSR01 ; Gor01  that coalescence of $`c`$ and $`\overline{c}`$ quarks can induce significant regeneration of charmonium states in later stages of $`A`$-$`A`$ collisions, especially if several pairs are present (e.g., $`N_{c\overline{c}}`$=10-20 in central $`Au`$-$`Au`$ at RHIC). This is a direct consequence of (elastic) $`c`$-quark reinteractions, facilitating the backward direction of charmonium dissociation reactions, $`J/\psi +X_1X_2+c+\overline{c}(D+\overline{D})`$.

Recent lattice computations of Quantum Chromodynamics (QCD) have revealed important information on charm(onium) properties at finite temperature $`T`$, most notably: (i) an in-medium reduction of the open-charm threshold which is surprisingly continuous even across the phase transition region KLP01 , and, (ii) the survival of $`J/\psi `$ and $`\eta _c`$ states as resonances in the QGP phase DKP02 ; UNM02 , with essentially unmodified masses. Note that the use of charmonium spectral functions, in connection with appropriate asymptotic states, incorporates both (static) screening and (dynamical) dissociation mechanisms.

In this letter, we propose an approach that implements charm properties inferred from lattice QCD as microscopic in-medium effects into a kinetic rate equation. It enables a comprehensive treatment of charmonium dissociation and regeneration across the phase transition, connecting hadronic and QGP phases in a continuous way, not present in previous calculations. E.g., in the kinetic approach of Ref. TSR01 , $`J/\psi `$’s were only considered in the QGP phase using their vacuum binding energy, whereas recent transport calculations ZKL02 ; BCS03  do not invoke the notion of a (equilibrium) phase transition. In addition, in-medium open-charm masses will significantly affect the equilibrium levels of charmonium, as employed in statistical models pbm00 ; Gor01 . We thus conceptually improve our earlier constructed “two-component” model GR01 , which combined statistical production at hadronization with suppression in hadronic and QGP phases. Employing a schematic thermal fireball model, the rate equations are applied to heavy-ion reactions at SPS and RHIC.

We begin by evaluating in-medium masses of charm states. Charmonium masses appear to be essentially unaffected at finite $`T`$, even above $`T_c`$ (critical temperature) DKP02 ; UNM02 , which we assume from now on. Unquenched QCD lattice studies of the free energy, $`F_{Q\overline{Q}}(r,T)`$, of a heavy-quark pair KLP01 , however, exhibit a plateau value for $`r\mathrm{}`$ which gradually decreases with increasing $`T`$. In the hadron gas (HG), this can be interpreted as a reduction of $`D`$-meson masses (supported by QCD sum rules Hay00 ) being driven by a reduced constituent light-quark mass, $`m_q^{}`$, due to (partial) chiral symmetry restoration DPS01 . We implement this also for other open-charm hadrons by employing a Nambu-Jona-Lasinio model calculation for $`m_q^{}`$ at finite $`T`$ and quark chemical potential $`\mu _q`$ BMZ87 , neglecting heavy-light quark interaction and kinetic energies. For small $`\mu _q`$, the typical light-quark mass reduction amounts to $`\mathrm{\Delta }m_q(T_c)`$$``$140 MeV. To assess open-charm states in the QGP, a key element is the essentially continuous behavior of the open-charm threshold through $`T_c`$. Within a quark description above $`T_c`$, we propose to identify this with an in-medium charm-quark mass, $`m_c^{}`$$``$1.6-1.7 GeV RG03 . In fact, $`m_c^{}(T_c)`$ is fixed such that the total open-charm density smoothly matches the hadronic side. The difference to the bare charm-quark mass ($`m_c`$$``$1.3 GeV) is naturally attributed to a thermal correlation energy of heavy quarks in the QGP.

Next, we determine the thermal widths (or inverse lifetimes), $`\mathrm{\Gamma }_\psi `$=$`(\tau _\psi )^1`$, of charmonium states $`\psi `$. They are related to (inelastic) dissociation cross sections, $`\sigma _{\psi i}^{diss}`$, by

$$\mathrm{\Gamma }_\psi (T)=\underset{i}{}\frac{d^3k}{(2\pi )^3}f^i(\omega _k;T)\sigma _{\psi i}^{diss}v_{rel},$$
(1)
where $`i`$ runs over all matter constituents with thermal distributions $`f^i`$. Within the QGP, parton-induced “quasifree” break-up, $`i+\psi i+c+\overline{c}`$ ($`i`$=$`g`$,$`q`$,$`\overline{q}`$), is utilized GR01 . For small binding energies, $`E_B`$=$`2m_c^{}`$-$`m_\psi `$$`\text{ }<`$$`\mathrm{\Lambda }_{QCD}`$, the latter (with $`\alpha _s`$$``$0.25) has been shown GR01  to dominate standard gluo-dissociation Shu78 , $`g+\psi c+\overline{c}`$. In addition, essentially unbound charmonium resonances such as $`\psi ^{}`$ and $`\chi `$-states can be treated on an equal footing. The thermal $`J/\psi `$ width turns out to be $``$100 MeV at $`T`$$``$250 MeV, reminiscent to (quenched) lattice results UNM02  under comparable conditions.

For $`J/\psi `$’s in the HG, we compute inelastic cross sections with $`\pi `$Dura02  and $`\rho `$-mesons within a flavor-$`SU(4)`$ effective lagrangian formalism LK00 ; HG01 , including in-medium charm hadron masses Sib99  as described above. The free $`\chi `$ and $`\psi ^{}`$ cross sections are approximated by geometric scaling GR02 , supported by quark-model calculations WSB01 . If the $`D\overline{D}`$ threshold moves below the charmonium mass, we additionally evaluate direct decays, $`\psi D\overline{D}`$, accounting for wavefunction-node effects according to Ref. FLS02 . Despite the increase in available phase space due to reduced masses, the charmonium lifetimes in the HG remain longer than in the QGP.

In-medium charm properties have important consequences for charmonia in heavy-ion reactions. To illustrate this point, consider the $`J/\psi `$ number in thermal equilibrium, $`N_\psi ^{eq}`$=$`V_{FB}n_\psi ^{eq}`$ ($`V_{FB}`$: 3-volume), with the density

$$n_\psi ^{eq}(T,\gamma _c)=3\gamma _c^2\frac{d^3q}{(2\pi )^3}f^\psi (m_\psi ,T).$$
(2)
Here, we have included chemical off-equilibrium effects via the charm-quark fugacity $`\gamma _c`$ which is adjusted to the total number, $`N_{c\overline{c}}`$, of $`c\overline{c}`$ pairs in the system via pbm00 ; Gor01

$$N_{c\overline{c}}=\frac{1}{2}\gamma _cN_{op}\frac{I_1(\gamma _cN_{op})}{I_0(\gamma _cN_{op})}+V_{FB}\underset{\eta _c,J/\psi ,\mathrm{}}{}n_\psi (T,\gamma _c)$$
(3)
where $`N_{op}`$=$`V_{FB}n_{op}(m_{c,D}^{};T)`$ denotes the total equilibrium-number of open-charm states in the thermal fireball. This procedure resides on the expectation that essentially all charm-quarks are created in primordial $`N`$-$`N`$ collisions, i.e., $`N_{c\overline{c}}`$ does not chemically equilibrate LMW95 . Thermal equilibration of charm quarks, however, is conceivable Svet88 , implying a hierarchy of relaxation times as $`\tau _{c,\overline{c}}^{chem}\tau _{FB}\tau _{c,\overline{c}}^{therm}`$. The resulting $`J/\psi `$ equilibrium abundances, $`N_\psi ^{eq}`$, are shown in Fig. 1 under conditions resembling central $`Pb`$-$`Pb`$ ($`Au`$-$`Au`$) collisions at SPS (RHIC).

One observes a large sensitivity to the (in-medium) open-charm masses. At fixed $`N_{c\overline{c}}`$, larger values for $`m_c^{}`$ (or $`m_D^{}`$) imply a thermal suppression of open-charm states so that an increasing number of anti-/charm quarks is redistributed into charmonia ($`c\overline{c}`$ states). Enforcing continuity on the open-charm spectrum across $`T_c`$ then has the interesting consequence that, due to the volume increase in the hadronic phase (reducing $`\gamma _c`$), the equilibrium charmonium level on the QGP side is significantly larger than on the HG side RG03 , i.e., $`J/\psi `$ formation is favored in the QGP.

Also note that, due to a constant $`N_{c\overline{c}}`$, the equilibrium $`J/\psi `$ numbers in the hadronic phase grow with decreasing temperature. Thus, if $`J/\psi `$’s equilibrate close to $`T_c`$, subsequent hadronic reactions will tend to increase their abundance (which has indeed been found in transport calculations at RHIC energies ZKL02 ; BCS03 ), quite contrary to the commonly assumed hadronic dissociation.

To model the time dependence, $`N_\psi (\tau )`$, of charmonia in heavy-ion collisions, we utilize the dissociation (formation) time $`\tau _\psi `$, Eq. (1), and equilibrium density, Eq. (2), within a kinetic rate equation,

$$\frac{dN_\psi }{d\tau }=\frac{1}{\tau _\psi }\left[N_\psi N_\psi ^{eq}\right].$$
(4)
The underlying temperature and volume evolution, $`T(\tau )`$ and $`V_{FB}(\tau )`$, are taken from a (schematic) thermal fireball expansion which is consistent with observed hadro-chemistry and radial flow characteristics (as employed before for thermal dilepton production RW00 ).

The simple form of the gain term in Eq. (4) resides on the assumption that the surrounding light and open-charm constituents (quarks or hadrons) are in thermal equilibrium. Following Ref. GR02 , we relax this assumption for $`c`$-quarks by introducing a thermal relaxation time correction, $`=1\mathrm{exp}(𝑑\tau /\tau _c^{therm})`$, which reduces $`N_\psi ^{eq}`$ in the early phases. Varying $`\tau _c^{therm}`$ within a factor of 2, the thermal yield is affected by $`\pm 10\%`$.

Another correction concerns the effective volume over which the charm quantum number is conserved (figuring into Eq. (3) via the Bessel functions). Clearly, if only few $`c\overline{c}`$ pairs are present, their pointlike primordial production implies that they cannot explore the entire fireball volume in the early stages111We thank U. Heinz for pointing this out to us, including useful discussions on the correlation volume.. This problem is well-known from strange particle production at fixed target energies, where a phenomenological “correlation volume”, $`V_0`$, has been introduced to localize strangeness conservation HRT00 . We adopt the same procedure here for local charm conservation by replacing $`V_{FB}(\tau )`$ in the argument of the Bessel functions in Eq. (3) with $`V_0(\tau )`$=$`4\pi (r_0+v_c\tau )^3/3`$. $`r_0`$$``$1.2 fm represents a minimal radius characterizing the range of strong interactions, and $`v_c`$$``$0.5$`c`$ is the average relative speed of produced $`c`$ and $`\overline{c}`$ quarks as inferred from experimental $`D`$-meson $`p_{}`$-distributions WA92-97 . We checked that our results are not very sensitive to the parameterization for $`V_0`$ (e.g., varying $`v_c`$ within a factor of 2 requires a change in the effective coupling constant $`\alpha _s`$ by $`\pm 30\%`$, to fit SPS data).

The rate Eq. (4) is readily integrated over the fireball evolution of the collision for $`J/\psi `$, $`\psi ^{}`$ and $`\chi `$’s, once initial conditions are specified. In an $`A`$-$`A`$ reaction at given centrality, $`N_{c\overline{c}}`$ is determined by the collision-scaled $`N`$-$`N`$ cross section. The initial charmonium numbers are also assumed to follow hard production (i.e., empirical fractions of $`N_{c\overline{c}}`$ observed in $`N`$-$`N`$ collisions), subject to (pre-equilibrium) nuclear absorption with a recently updated absorption cross section $`\sigma _{abs}`$=4.4 mb NA50-03 . Typical values for the fireball thermalization time range from $`\frac{1}{3}`$ (RHIC-200) to 1 fm/c (SPS).

We first confront our approach to NA50/NA38 data in $`\sqrt{s_{NN}}`$=17.3 GeV $`Pb`$-$`Pb`$ at CERN-SPS.

Fig. 2 displays the ratio of $`J/\psi `$$``$$`\mu \mu `$ to Drell-Yan dimuons as a function of centrality. The agreement between model (solid line) and data is fair for semi-/central collisions (at $`E_T`$$`>`$100 GeV, the data can be reproduced by accounting for transverse energy fluctuations and losses in the minimum bias analysis at impact parameters close to zero CKS02 , cf. Ref. GR02 ). Since the initial $`J/\psi `$ number is well above the equilibrium level (cf. lower arrow in Fig. 1), $`J/\psi `$ regeneration (the gain term in Eq. (4)) is very moderate (dot-dashed line). Therefore, in line with our previous findings GR01 , $`J/\psi `$ suppression is the main effect at SPS energies.

In peripheral collisions, the suppression appears to be slightly overestimated. We believe this discrepancy to reside in limitations of our fireball description. In particular, thermalization is expected to be delayed (and/or incomplete) at large impact parameters due to less energetic initial conditions. This is also borne out of hydrodynamic models, which, e.g., reproduce the observed elliptic flow for mid-central collisions, but overestimate it for peripheral ones. A suitable increase of the equilibration time by up to a factor of $``$Ko03  indeed improves the agreement at small $`E_T`$, cf. dotted line in Fig. 2.

Another important observable is the $`\psi ^{}/\psi `$ ratio. In Ref. GR02 , the $`\psi ^{}`$ dissociation rates were too small by a factor of $``$5 to account for NA50 data NA50-psip . With in-medium $`D`$-meson masses, however, $`\mathrm{\Gamma }_\psi ^{}^{had}`$ increases substantially, primarily due to the opening of the $`\psi ^{}D\overline{D}`$ decay channel. As a result, the $`\psi ^{}/\psi `$ data are reasonably well described, cf. Fig. 3.

We finally examine the impact of in-medium modifications at RHIC, cf. Fig. 4.

Since reduced $`D`$-meson masses entail a lower $`J/\psi `$ equilibrium level (cf. Fig. 1), the regeneration of $`J/\psi `$’s is somewhat less pronounced than the statistical production with free hadron masses in the 2-component model GR02 ; GR03 . Nevertheless, in central $`Au`$-$`Au`$ collisions, regenerated $`J/\psi `$’s still exceed the suppressed primordial contribution, with the total yield (solid curve) in line with first PHENIX data PHE-03 . The uncertainty in the charm-hadron mass reduction is illustrated by the band in Fig. 4, corresponding to 80 MeV$`<`$$`\mathrm{\Delta }m_q(T_c)`$$`<`$250 MeV with accordingly matched charm-quark masses in the QGP. In any case, most of the regeneration occurs above $`T_c`$.

To summarize, we have proposed a conceptually improved model of charmonium production in heavy-ion collisions. In-medium modifications of both open-charm and charmonium states have been modeled in accordance with recent finite-$`T`$ QCD lattice calculations. The apparent reduction of the open-charm threshold with increasing $`T`$ has been linked to (partial) chiral symmetry restoration in the $`SU(2)`$-sector via decreasing constituent light-quark masses in charmed hadrons. The continuity of the open-charm threshold across the phase transition has been encoded in thermal charm-quark masses in the QGP phase, together with $`T`$-independent charmonium masses and $`J/\psi `$ resonance states surviving above $`T_c`$. Upon inclusion of chemical and thermal off-equilibrium effects, we solved kinetic rate equations for the time evolution of charmonia in heavy-ion reactions. The results for $`J/\psi `$ centrality dependences compare well with data from SPS and RHIC. The earlier predicted transition from suppressed production at SPS to predominant (thermal) regeneration at RHIC persists, with both mechanisms residing on QGP formation. A much improved description of the $`\psi ^{}/\psi `$ ratio at SPS emerged due to hadronic in-medium effects, accelerating $`\psi ^{}`$ dissociation. Forthcoming measurements by NA60 (SPS) and PHENIX (RHIC) will be of great importance to scrutinize the proposed approach.

Acknowledgments: We thank U. Heinz and E.V. Shuryak for valuable discussions. L.G. is grateful for the hospitality at NORDITA and the Niels-Bohr Institute where part of this work was done within a Rosenfeld fellowship. This work was supported in part by the US Department of Energy under Grant No. DE-FG02-88ER40388.


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# Population control of 2s-2p transitions in hydrogen

## I Introduction

The ability to control quantum systems, e.g. to cause a complete transfer of population from an initial state to a desired final state using an external field, is crucial in quantum computation Nielsen ; Bouwmeester  and modification of reaction dynamics Rabitz93 ; Shapiro02 . Since the 1970s many techniques for controlling single quantum systems have been developed, e.g. methods for trapping atoms Javanainen  and arranging atoms on surfaces Heller . In this paper we consider transitions between the $`2s`$ and the $`2p`$ levels in hydrogen caused by an interaction with a microwave radiation field. Hydrogen is an instructive example, since it is the simplest naturally occuring atom, and consequently one of the few that permit detailed and precise comparison with theoretical models. If one limits the number of active states to two, one has a qubit.

Transitions between two discrete states can be, under certain conditions, accurately described within the two-state model Milonni88 ; McDowell ; Shore ; Eberly75 ; Kyrola ; Bialynicka ; Fritsch . The energy separation between the $`2s`$ and $`2p`$ levels, discovered in 1947 by Lamb and Retherford Lamb , is small compared to the nearest levels, $`1s`$ and $`3p`$. This enables one to use the two-state model over a wide range of field frequencies. The interaction between a two-state atom and a single mode radiation field is often treated using the rotating wave approximation (RWA) that makes the problem exactly solvable Eberly75 ; Milonni88 ; Mittleman ; Silverman . It was first discussed in detail in 1963 by Jaynes and Cummings Jaynes63 . Although RWA provides an accurate description in many cases of interest, it has its limitations as well. It requires the frequency of the radiation field to be close to the transition frequency, and it cannot be applied to a system with nearly degenerate energy levels.

Another analytic solution of the time-dependent Shrödinger equation exists in the limit of degenerate energy levels. We present this solution here. We show that it has an interesting feature which can be used in the problem of quantum control.

Detailed analysis is given of the applicability of our analytical solution. Calculations are presented for $`2s2p`$ transitions in atomic hydrogen.

Atomic units are used throughout the paper.

## II Formalism

In the two-state approximation the exact time-dependent wave function has the form

$$\mathrm{\Psi }(\stackrel{}{r},t)=a_1(t)\mathrm{\Phi }_1(\stackrel{}{r})+a_2(t)\mathrm{\Phi }_2(\stackrel{}{r}),$$
(1)
where $`\mathrm{\Phi }_n(\stackrel{}{r})`$ are the orbital functions, and $`a_n`$ are the probability amplitudes. The time variation of the probability amplitudes is determined by the time-dependent Schrödinger equation, namely,

$`i\dot{a}_1=E_1a_1+V_{12}a_2`$
$`i\dot{a}_2=E_2a_2+V_{21}a_1,`$ (2)
where $`V_{ij}=\mathrm{\Phi }_i^{}(\stackrel{}{r})V_{ext}(\stackrel{}{r},t)\mathrm{\Phi }_j(\stackrel{}{r})d^3r`$, and $`E_n`$ are the electronic energy levels. The diagonal matrix elements $`V_{11}`$ and $`V_{22}`$ are required to be zero by the dipole selection rule.

In the dipole limit, an external electromagnetic field interacts with an electron via the time-dependent potential

$$V_{ext}(\stackrel{}{r},t)=\stackrel{}{r}\stackrel{}{E}(t),$$
(3)
where $`\stackrel{}{r}`$ is a relative electron-nuclear distance, and $`\stackrel{}{E}`$ is an electric field which for the plane monochromatic wave can be written as $`\stackrel{}{E}=\widehat{ϵ}E_0\mathrm{cos}(\omega t)`$. The matrix elements $`V_{ij}`$ can then be expressed as

$$V_{ij}(t)=\stackrel{}{r}_{ij}\widehat{ϵ}E_0\mathrm{cos}(\omega t),$$
(4)
where $`\stackrel{}{r}_{ij}=\stackrel{}{r}_{ji}^{}=\mathrm{\Phi }_i^{}(\stackrel{}{r})\stackrel{}{r}\mathrm{\Phi }_j(\stackrel{}{r})d^3r`$. We define $`\omega _{21}=E_2E_1`$, and introduce the Rabi frequency Milonni88

$$\chi =\stackrel{}{r}_{21}\widehat{ϵ}E_0.$$
(5)
The arbitrary zero of energy is set at $`E_1`$, so $`E_2E_2E_1=\omega _{21}`$. Then equations for the probability amplitudes become

$`i\dot{a}_1=\chi \mathrm{cos}(\omega t)a_2`$
$`i\dot{a}_2=\omega _{21}a_2\chi \mathrm{cos}(\omega t)a_1.`$ (6)
These equations can be solved numerically for an arbitrary values of energy separation $`\omega _{21}`$ between electronic energy levels, a field frequency $`\omega `$, and a Rabi frequency $`\chi `$ that expresses the field-atom interaction in frequency units.

Analytical solutions exist in various limits. When both $`\omega `$ and $`\omega _{21}`$ are large compared to the frequency of oscillation of the transition amplitudes and are close one to another, an analytical solution can be obtained either under RWA or within the oscillating-field theory Silverman . Equations (II) decouple when either $`\chi 0`$ or $`\omega _{21}\mathrm{}`$. Replacing an oscillating field by a stationary field (i.e. taking the limit $`\omega 0`$) also leads to an analytically solvable problem. Another analytic solution, considered in detail below, exists in the limit of degenerate energy levels.

### II.1 Analytic solution: limit $`\omega _{21}0`$

Equations (II) can be solved analytically in the limit $`\omega _{21}0`$, namely Shore ; Kyrola ; Bialynicka ,

$`a_1=\mathrm{cos}[{\displaystyle \frac{\chi }{\omega }}\mathrm{sin}(\omega t)]`$
$`a_2=i\mathrm{sin}[{\displaystyle \frac{\chi }{\omega }}\mathrm{sin}(\omega t)].`$ (7)
Here we take the initial conditions as $`a_1(0)=1`$ and $`a_2(0)=0`$ , i.e. initially the system is in state 1.

As we can see from (II.1), the temporal behavior of the probability amplitudes in this limit is defined by the ratio $`\chi /\omega `$. The argument of the ”outer” function (e.g., $`\mathrm{sin}`$ for $`a_2`$) varies between $`\pm \chi /\omega `$. Thus, the transition amplitude oscillates between $`0`$ and $`\mathrm{sin}(\chi /\omega )`$. Note that if $`\chi /\omega <\pi /2`$, the amplitude $`a_2`$ (and, consequently, the occupation probability $`P_2`$) never reaches 1, i.e. complete population of the second level cannot be achieved. If $`\chi /\omega >\pi /2`$, the amplitudes oscillate in a quasi-regular fashion.

### II.2 Complete population transfer

An interesting solution occurs when the ratio $`\chi /\omega =\pi /2`$. Then Eqs (II.1) take the form

$`a_1=\mathrm{cos}[{\displaystyle \frac{\pi }{2}}\mathrm{sin}(\omega t)]`$
$`a_2=i\mathrm{sin}[{\displaystyle \frac{\pi }{2}}\mathrm{sin}(\omega t)].`$ (8)
The corresponding occupation probabilities $`P_1=|a_1|^2`$ and $`P_2=|a_2|^2`$ are

$`P_1=\mathrm{cos}^2[{\displaystyle \frac{\pi }{2}}\mathrm{sin}(\omega t)]`$
$`P_2=\mathrm{sin}^2[{\displaystyle \frac{\pi }{2}}\mathrm{sin}(\omega t)].`$ (9)
For this special value of $`\chi /\omega `$ the probability is completely transfered back and forth between the two levels with the period $`\pi /\omega `$ as shown in figure 1. It can be easily shown that when $`P_2(t)`$ reaches its maximum value at $`t=\pi /2\omega `$, a small deviation $`ϵ`$ from the value $`\pi /2`$ in the ratio $`\chi /\omega `$ reduces $`P_2`$ from $`1`$ to $`1ϵ^2`$. This can be used to estimate how sensitive this approach is to fluctuations in the strength of the external field, $`\chi `$. The period of oscillation of the occupation probabilities is two times smaller than the period of oscillation of the radiation field since $`P_i=|a_i|^2`$.

Complete population transfer occurs in general wherever the action, $`A(t)=_0^tV_{21}(\tau )𝑑\tau `$, is an integer multiple of $`h/4`$. Each cycle has a ”flat” part where the probability value remains very close to the extreme values of 0 or 1 for an extended period of time (cf. figure 1). As we can see, the external radiation field with the ratio $`\chi /\omega =\pi /2`$ can be used to cause periodical population inversion of the electronic levels (a physical realization of a quantum controllable system). An analysis of the applicability of this analytic solution to $`2s2p`$ transitions in hydrogen, including the criteria for the choice of a field frequency, is given in Section III. Modifying the shape of $`V(t)`$ to further control population transfer is also discussed.

### II.3 Duration of the population transfer

Equations (II.2) can be expanded in a power series in the vicinity of the point $`t_0=T/4`$, where $`P_2(t)`$ reaches its first maximum. Then $`P_2`$ can be accurately approximated by taking only first few terms in the series, which converges rapidly for $`\tau <T=2\pi /\omega `$. For the form of the potential chosen in Eq.(3), the first, second and third derivatives of the function $`P_2`$ are zero at $`t=t_0`$, and

$$P_2(t_0+\tau )=1+\frac{1}{4!}\frac{d^4P_2}{dt^4}\tau ^4+𝒪(\tau ^6)1\frac{\pi ^2}{16}(\omega \tau )^4.$$
(10)
Hence the occupation probability $`P_2`$ in the vicinity of its maximum can be approximated by a $`4th`$ degree polynomial.

The polynomial approximation of Eq.(10) tells one how to choose the field frequency to provide a desired duration of the populated state. To obtain a duration $`T_s`$ of the populated state with a population leakage less than some critical value $`P_{cr}`$, the field frequency to be used is

$$\omega =\sqrt{\frac{4}{\pi }}\frac{(P_{cr})^{\frac{1}{4}}}{T_s}$$
(11)
Near $`\tau =0`$ the error is $`𝒪((\omega \tau )^6)`$. This is illustrated in figure 2.

## III Results

In this section we compare full and analytic results for the $`2s2p`$ transition in hydrogen in the two state approximation.

### III.1 Population leakage

To obtain our analytic solution to Eq.(II), we had to neglect the $`\omega _{21}a_2`$ term in the equation $`i\dot{a}_2=\omega _{21}a_2\chi \mathrm{cos}(\omega t)a_1.`$ This approximation requires that $`\omega _{21}\chi `$, or (since $`\chi /\omega =\pi /2`$), $`\omega _{21}\omega .`$ When $`\omega _{21}`$ is finite, the population transfer is not complete. The effect of this population leakage can be calculated by expanding the transition amplitude $`a_2`$ in a power series in time including terms $`\omega _{21}`$. It is easily shown that the first $`\omega _{21}`$ term corresponds to the second derivative, $`\ddot{a_2}(t)`$. The difference between the exact and the analytic solutions for the transition amplitudes is $`\mathrm{\Delta }a_2(t)\frac{1}{2}\omega _{21}\chi t^2`$, and

$$\mathrm{\Delta }P(t)=|\mathrm{\Delta }a_2(t)|^2\frac{1}{4}\omega _{21}^2\chi ^2t^4.$$
(12)
By the time the occupation probability $`P_2`$ reaches its first maximum at $`t_0=T/4=\pi /2\omega `$, the difference becomes

$$\mathrm{\Delta }P(t_0)\frac{1}{4}(\frac{\pi }{2})^6(\frac{\omega _{21}}{\omega })^2.$$
(13)
Comparison of Eqs. (13) and (11) shows that the choice of the field frequency, $`\omega `$, involves a trade-off between the duration of the state and the population leakage. The higher the frequency, $`\omega `$, the smaller the population leakage, $`\mathrm{\Delta }P`$. But the higher $`\omega `$, the shorter the duration $`T_s`$ of the population transfer.

### III.2 Calculations of $`2s2p`$ transitions in hydrogen

Here we compare the full (numerical) calculations and the analytical solution for a $`2s2p`$ transition in hydrogen. The full calculations were done by numerically integrating Eqs. (II) using a standard fourth order Runge-Kutta algorithm. In hydrogen the energy separation of $`2s`$ and $`2p`$ levels (Lamb shift) is $`4.3710^6eV`$, while the next available level ($`3p`$) is $`1.89eV`$ away. Therefore, one can choose the frequency of the external field $`\omega `$ such that $`\omega _{21}\omega \omega _{2s3p}`$, i.e. both the degenerate level approximation (limit $`\omega _{21}0`$) and the two-state model can be used.

As shown in figure 3, the difference between the full and analytic solutions for $`P_1(t)=1P_2(t)`$ in the vicinity of $`t_0=\pi /2\omega `$ is large when $`\omega =\omega _{21}`$. But it decreases for $`\omega >\omega _{21}`$. The difference is less than 1% for $`\omega /\omega _{21}=10`$, and 0.01% for $`\omega /\omega _{21}=100`$. Since that difference is proportional to $`(\omega _{21}/\omega )^2`$, one can go up in frequency as high as fractions of $`eV`$ (that brings the difference between the approximate and exact solution down to $`10^{10}10^{11}`$) and yet be far sensibly from the nearest available ($`2s3p`$) resonant transition frequency. Therefore, a radiation field with the wavelength from a few $`\mu m`$ (and the intensity of the order $`10^{12}W/cm^2`$) up to a few $`cm`$ (and the intensity of the order $`10^4W/cm^2`$) can be used for $`2s2p`$ transitions in hydrogen. The probability of the multiphoton excitation to the $`3p`$ state (or any other state, including continuum) also seems to be small for the range of the external field frequencies under consideration.

In summary, our analytic approximation appears to be valid for $`2s2p`$ transitions in hydrogen over a broad range of field frequencies.

### III.3 Changing the shape of $`V(t)`$

We have noted previously that the choice of the field frequency is a trade-off between two competing factors: reducing the population leakage and increasing the duration of the populated state. If wishes to obtain a long lasting populated state with very small leakage, it may be that both requirements for the system cannot be met simultaneously for a single frequency radiation field. In this case it may be possible to use another form of the interaction potential. In particular, one may change the shape of the ”flat” part of the probability (cf. figure 1) by using different shapes for the external potential $`V_{ext}(t)`$ . For an arbitrary external potential the formulas for the occupation probabilities can be written in the form:

$`P_1(t)=\mathrm{cos}^2[{\displaystyle _0^t}V_{21}(\tau )𝑑\tau ]`$
$`P_2(t)=\mathrm{sin}^2[{\displaystyle _0^t}V_{21}(\tau )𝑑\tau ].`$ (14)
A Taylor series expansion can be used for choosing the shape of the external potential. For example, one can use the potential with the first non-vanishing derivative of the order higher than four to make the shape of the populated state even flatter. The derivatives can be calculated using the general formula for the n$`th`$ derivative of a composite function Gradshteyn , which in this case takes the form

$$\frac{d^nP_2}{dt^n}=\frac{n!}{i!j!\mathrm{}k!}\frac{d^mF}{dy^m}(\frac{y^{}}{1!})^i(\frac{y^{\prime \prime }}{2!})^j\mathrm{}(\frac{y^{(l)}}{l!})^k,$$
(15)
where $`P_2(t)=F(y)=\mathrm{sin}^2y`$, $`y=y(t)=_0^tV_{21}(\tau )𝑑\tau `$, $``$ indicates summation over all solutions in non-negative integers of the equation $`i+2j+\mathrm{}+lk=n`$ and $`m=i+j+\mathrm{}+k`$.

In principle, Eqn.(15) tells us how to shape $`V(t)`$ to control the population transfer. As one can see from Eq.(15), one may eliminate all terms up to the order $`\tau ^k`$ by choosing the potential for which all derivatives up to the order $`(k1)`$ are zero at the point $`t=t_0`$. That will ”flatten” the shape of the populated (or depopulated) state, i.e. allow one to use smaller frequency (and, as a result, an increased duration of the state) to achieve the same level of population leakage. Therefore, the shape of an external potential can be used (along with the choice of the field frequency) for quantum control. For example, in a truly two-level system, choosing the potential of the form

$$V(t)=\frac{\pi }{2}\delta (tt_0)$$

leads to

$`P_1(t)=1\mathrm{\Theta }(tt_0)`$
$`P_2(t)=\mathrm{\Theta }(tt_0).`$ (16)
This represents complete and immediate population inversion at $`t=t_0`$. However, Fourier transformation of $`V(t)`$ now contains all frequencies, so one can no longer use a two-state approximation for the $`2s2p`$ transition in hydrogen, since higher states become necessarily involved.

## IV Discussion

In this paper we have used the $`2s2p`$ transition in hydrogen as an example of population transfer. The same approach can be used for any other atomic or molecular system that has a similar pattern of energy levels (two levels located close one to another and far from the other levels). As we have shown in Eq.(13), for an external field with a single frequency $`\omega `$, the difference between the exact calculations and the analytic approximation varies as $`(\omega _{21}/\omega )^2`$ for $`\omega _{21}/\omega 1`$, and does not depend on the internal structure of the atom or molecule. This feature opens the possibility for using different systems with different values of the transition frequency, $`\omega _{21}`$ and different ranges for the field frequency, $`\omega `$.

A downside of analyzing more complex atomic or molecular systems is that analytic expressions for the orbital functions (and, consequently, for the matrix element $`V_{21}`$ in Eq. (III.3)) are not always available. Then genetic algorithms (GA) may be used to choose a shape for the external potential, $`V(t)`$. The application of GA with active feedback to the selective breaking and making chemical bonds in polyatomic molecules has been discussed in detail by Rabitz et al  Rabitz92 ; Rabitz93 , and tested experimentally Levis99 ; Levis01 ). As in any optimization scheme, the effectiveness of the GA increases significantly when the initial value of the parameter close to the optimal one is chosen. One might combine our method with GA using approximate analytic orbital functions to choose the ”starting” form of the potential, estimate $`T_s`$ and $`P_{cr}`$, and then employ the GA scheme.

For $`2s2p`$ transitions in hydrogen, sources of the microwave radiation with corresponding intensities may now be available, which can be used to test our model. Metastable excited $`H(2s)`$ atoms could interact with a low frequency (e.g. microwave) radiation. Since the lifetime of the $`2p`$ state is much shorter than the $`2s`$ state, the population of the $`2p`$ state may be monitored by observing photons emitted in $`2p1s`$ transitions. In these experiments the smallness of the Lamb shift requires the use of the temperatures below the $`1mK`$ to exclude the thermal transitions between the levels.

Finally we note that the approximation introduced here is related to the removal of time ordering in the time evolution operator mgbook . The full evolution operator may be expressed as $`U(t,t_0)=T\mathrm{exp}(i_{t_o}^tV(t^{})𝑑t^{})`$, where $`T`$ is the Dyson time ordering operator that puts the sequence $`V(t_n)\mathrm{}V(t_2)V(t_1)`$ in the order of increasing time. When time ordering is removed $`T1`$ and $`U(t,t_0)\mathrm{exp}(i_{t_o}^tV(t^{})𝑑t^{})`$. In a two state system this corresponds to $`a_1=\mathrm{cos}(_{t_o}^tV(t^{})𝑑t^{})`$ and $`a_2=i\mathrm{sin}(_{t_o}^tV(t^{})𝑑t^{})`$, as used in this paper. This approximation has been recently studied in the context of second order perturbation theory mg01 ; gm01 ; gm02 , where it has been shown that the time evolution of different electrons becomes uncorrelated as $`T1`$. Corrections to this Magnus-like approximation Magnus  lead to correlated propagation that is non local in time. These corrections correspond to quantum fluctuations in the energy in short lived intermediate states arising from coupling of a quantum system with its macroscopic environment mg02 .

## V Summary

A new analytical solution of two coupled channel equations has been found that enables one to temporally control the electron population of $`2s`$ and $`2p`$ states in hydrogen by using a time varying external field. In addition, the population leakage can both be easily estimated, and than be further controlled by changing the shape of the external field. Our method can be applied to various systems.

###### Acknowledgements.

We thank J.H. Eberly who encouraged us to use non-perturbative methods, showed us how coupled channel equations for photon interactions work and provided insightful examples. This work was supported by the Division of Chemical Sciences, Office of Science, U.S. Department of Energy.


text:
# Supernova Neutrinos, Neutrino Oscillations, and the Mass of the Progenitor Star

## I Introduction

Core-collapse supernovae produce a huge flux of neutrinos of all types. The observation of neutrinos from SN1987A in the Large Magellanic Cloud was a milestone for neutrino astronomy . Although some important constraints on neutrino properties were obtained , the total of 19 events in the Kamiokande and IMB detectors was frustratingly sparse. On the other hand, SuperKamiokande is expected to detect about five to ten thousand neutrinos from the next galactic supernova. Together with the other neutrino detectors arrayed around the world (e.g. SNO, LVD, ICARUS, IceCube), a high-statistics (nearby) supernova will provide an enormous amount of information on both supernova and neutrino properties.

Despite the new oscillation data from solar , atmospheric , reactor , and accelerator  neutrinos, the neutrino mixing angle $`\theta _{13}`$ and the nature of the mass hierarchy remain unknown. The constraints and implications of these data have been explored by many authors . The greatest uncertainty for the study of neutrino oscillations in the supernova context is the spectral and temporal evolution of the neutrino burst itself. Although the hierarchy of the average energies of the $`\nu _e,\overline{\nu }_e`$, and $`\nu _x`$ neutrinos ($`E_{\nu _e}<E_{\overline{\nu }_e}<E_{\nu _x}`$) is believed to hold, quantitatively their specific spectra remain a matter of detailed calculation . ($`\nu _x`$ denotes $`\nu _\mu ,\nu _\tau `$ and their antineutrinos.) Since a supernova is the end-product of a massive star, the properties of the neutrino burst will depend on the properties of the progenitor star, in particular its initial mass and envelope structure .

In this paper, we study how the initial mass of the progenitor star affects the early neutrino burst and the signature of neutrino oscillations in supernovae. The rest of the paper is organized as follows. In §II, we briefly review the evolution of massive stars, supernova explosions, and neutrino bursts. Conversion probabilities for progenitor stars with various masses are calculated and compared in §III. Then, neutrino spectra with and without neutrino oscillations are shown in §IV. Finally in §V we discuss the ramificatons of our results and summarize our conclusions.

## II Evolution of Massive Stars and Supernovae

Here, we briefly summarize the evolution of massive stars and supernovae. See  for a more extended review.

The evolution and death of a single massive star are determined by its initial mass and metallicity. For the metallicity of the Sun, a star with initial mass below about 8 $`M_{}`$ does not ignite carbon burning and forms a white dwarf. Above about 8 $`M_{}`$, a star completes the advanced burning stages, including for most stars silicon burning. This leads to the presupernova state, which is characterized by a core (iron or NeOMg) of roughly the Chandrasekhar mass surrounded by active burning shells and the accumulated ashes of oxygen, neon, carbon, and/or helium burning. The degenerate core in excess of the Chandrasekhar mass will dynamically collapse and explode as a supernova.

Up to an initial mass of $`2025M_{}`$, the supernova leaves behind a neutron star . Almost all of the binding energy of the neutron star,

$$E_\mathrm{b}\frac{GM_{\mathrm{NS}}^2}{2R_{\mathrm{NS}}}1.5\times 10^{53}\mathrm{erg}\left(\frac{M_{\mathrm{NS}}}{M_{}}\right)^2\left(\frac{10\mathrm{k}\mathrm{m}}{R_{\mathrm{NS}}}\right),$$
(1)
is radiated away as neutrinos. Here $`G`$, $`M_{\mathrm{NS}}`$ and $`R_{\mathrm{NS}}`$ are the gravitational constant, the protoneutron star’s mass, and its radius, respectively. Due to the differences in interaction strength, average neutrino energies vary with neutrino flavor. A full-scale numerical simulation by the Livermore group  using a multi-group flux-limiter diffusion approach for neutrino transport finds $`E_{\nu _e}13\mathrm{MeV},E_{\overline{\nu }_e}16\mathrm{MeV},E_{\nu _x}23\mathrm{MeV}`$ and almost perfect equipartition of the luminosities . Simulations with more sophisticated neutrino transport , which are, however, limited to the early phase of neutrino burst, derive a smaller flavor-dependence for the average energy. These differences are essential if neutrino oscillations are to have a perceptible effect on supernova neutrino detection. (For details on supernova neutrinos, see, for example, the reviews by Burrows and Suzuki.)

For progenitor masses larger than $`2025M_{}`$, sufficient mass may fall back onto the protoneutron star after explosion to turn it into a black hole. Even in this case, during the early phase which we consider in this paper, the properties of the neutrino burst are almost the same as stated above.

The mass of the progenitor star affects the neutrino oscillation signature of supernova neutrinos through differences in the mantle and core structures. The density profile of the progenitor star, especially of the mantle, is important because it is related to the dynamics of neutrino flavor conversion. On the other hand, the structure of the iron core at the collapse determines the characteristics of the neutrino burst, e.g., the average energy and luminosity for each flavor. We discuss these in the following sections.

## III Neutrino Flavor Conversion and the Density Profile

The evolution of a massive star is significantly affected by mass loss due to a stellar wind. Indeed, the mass loss can become so strong for a star with initial mass more than about 35 $`M_{}`$ and solar metallicity that the entire hydrogen envelope can be lost prior to the explosion of the star. It is suggested in  that the maximum in the final mass is about 20 $`M_{}`$. In addition, the density profile of a star just before the supernova explosion will not depend much on the initial mass of the star. The final density profiles of stars with various initial masses are shown in Fig. 1 . As is expected, they are similar just before collapse.

The density structure in the range $`10\mathrm{g}/\mathrm{cc}\rho 10^4\mathrm{g}/\mathrm{cc}`$ is particularly important when considering neutrino oscillations. Neutrinos produced in the high-density region of the iron core interact with matter before emerging from the supernova. Due to the non-zero masses and non-zero vacuum mixing angles among various neutrino flavors, flavor conversions can occur in supernovae. When the mixing angle is small, these conversions occur mainly in the resonance layer, where the density is

$`\rho _{\mathrm{res}}`$ $``$ $`1.4\times 10^6\mathrm{g}/\mathrm{cc}\left({\displaystyle \frac{\mathrm{\Delta }m^2}{1\mathrm{e}\mathrm{V}^2}}\right)\left({\displaystyle \frac{10\mathrm{M}\mathrm{e}\mathrm{V}}{E_\nu }}\right)`$ (3)
$`\times \left({\displaystyle \frac{0.5}{Y_e}}\right)\mathrm{cos}2\theta .`$
$`\mathrm{\Delta }m^2`$ is the mass squared difference, $`\theta `$ is the mixing angle, $`E_\nu `$ is the neutrino energy, and $`Y_e`$ is the mean number of electrons per baryon. Since the inner supernova core is too dense to allow resonance conversion, we focus on two resonance points in the outer supernova envelope. One that occurs at higher density is called the H-resonance and the other, which occurs at lower density, is called the L-resonance. If the mass hierarchy is normal, both resonances occur in the neutrino sector. On the other hand, if the mass hierarchy is inverted, the H-resonance occurs in the antineutrino sector and the L-resonance occurs in the neutrino sector.

The dynamics of conversion including large mixing case is determined by the adiabaticity parameter $`\gamma `$,

$$\gamma \frac{\mathrm{\Delta }m^2}{2E_\nu }\frac{\mathrm{sin}^22\theta }{\mathrm{cos}2\theta }\frac{n_e}{|dn_e/dr|},$$
(4)
which depends on the mixing angle and the mass-squared difference between the involved flavors. In eq. 4, $`n_e`$ is the electron number density. We define these as:

$$\theta _{13}\mathrm{and}\mathrm{\Delta }m_{13}^2,\mathrm{at}\mathrm{the}\mathrm{H}\mathrm{resonance},$$
(5)
and

$$\theta _{12}\mathrm{and}\mathrm{\Delta }m_{12}^2,\mathrm{at}\mathrm{the}\mathrm{L}\mathrm{resonance}.$$
(6)
Here, the Cabibbo-Kobayashi-Maskawa (CKM) matrix is taken as:

$`U=`$ (7)
$`\left(\begin{array}{ccc}c_{12}c_{13}& s_{12}c_{13}& s_{13}\\ s_{12}c_{23}c_{12}s_{23}s_{13}& c_{12}c_{23}s_{12}s_{23}s_{13}& s_{23}c_{13}\\ s_{12}s_{23}c_{12}c_{23}s_{13}& c_{12}s_{23}s_{12}c_{23}s_{13}& c_{23}c_{13}\end{array}\right),`$ (11)
where $`s_{ij}=\mathrm{sin}\theta _{ij},c_{ij}=\mathrm{cos}\theta _{ij}`$ for $`i,j=1,2,3(i<j)`$. When $`\gamma 1`$, the resonance is referred to as an ‘adiabatic resonance’ and the fluxes of the two involved mass eigenstates are completely exchanged. However, when $`\gamma 1`$, the resonance is called ‘nonadiabatic’ and the conversion does not occur. The dynamics of the resonance in supernovae is surveyed by Dighe and Smirnov .

The density profile of the star comes into the adiabaticity parameter $`\gamma `$ as the scale height $`n_e/|dn_e/dr|`$. A smaller scale height, that is, a steeper density profile results in less adiabatic resonance. The scale heights of stars with various initial masses, calculated from the density profiles shown in Fig. 1, are given in Fig. 2 as functions of the density. The scale heights vary significantly, but differences between various initial masses are factors of 2 or 3 at the densities relevant for resonances.

To estimate the effects of these differences on neutrino oscillations, we solve numerically the evolution equations for the neutrino wave functions along the density profiles shown in Fig. 1. We take the following values for the neutrino parameters:

$`\mathrm{sin}^22\theta _{12}=0.84,`$ $`\mathrm{\Delta }m_{12}^2=7\times 10^5\mathrm{eV}^2,`$ (12)
$`\mathrm{sin}^22\theta _{23}=1.0,`$ $`\mathrm{\Delta }m_{23}^2=3.2\times 10^3\mathrm{eV}^2.`$ (13)
The values of $`\theta _{12}`$ and $`\mathrm{\Delta }m_{12}^2`$ are taken from the global analysis of the solar neutrino observations and the KamLAND experiment and correspond to the large mixing angle (LMA) solution of the solar neutrino problem, while those of $`\theta _{23}`$ and $`\mathrm{\Delta }m_{23}^2`$ are taken from the analysis of the atmospheric neutrino observations. As for $`\theta _{13}`$, we take $`\mathrm{sin}^22\theta _{13}=10^4`$. With this $`\theta _{13}`$, the H-resonance is neither perfectly adiabatic nor nonadiabatic and its adiabaticity is sensitive to the density profile. The normal hierarchy is assumed, but the results are the same for the inverted hierarchy if $`\nu _e`$ is replaced by $`\overline{\nu }_e`$.

In Fig. 3, the evolution of the probability $`P(\nu _e\nu _e)`$ that a neutrino emitted as a $`\nu _e`$ at the neutrinosphere remains a $`\nu _e`$ is shown. The neutrino energies on the plot are 5 MeV and 40 MeV. The H-resonance radii and the final probabilities can be quite different for different progenitors and neutrino energies. The observationally important quantity is the final conversion probability and this is shown in Fig. 4 as a function of the neutrino energy. The differences are not so small, about $`0.050.1`$ at all energies. But if $`\mathrm{sin}^22\theta _{13}`$ is very large or very small, the adiabaticity parameter is very large or very small, respectively. In this case such difference of scale height as in Fig. 2 will not affect the neutrino conversion probability. The range of $`\mathrm{sin}^22\theta _{13}`$ is shown to be $`\mathrm{sin}^22\theta _{13}10^5`$ and $`\mathrm{sin}^22\theta _{13}10^3`$ in .

Although the density structure evolves as the shock wave propagates, it takes about 2 seconds for the shock wave to reach the H-resonance region . We concentrate our analysis on the early phase when the shock propagation effect can be neglected. The potential time dependence of neutrino oscillations due to shock propagation is discussed by several authors .

## IV Neutrino Bursts and Neutrino Oscillations

As was stated in the previous section, massive stars experience significant mass loss. For current empirical mass loss rates, all solar-metallicity stars initially more massive than about $`35M_{}`$ are thought to become hydrogen-free objects of roughly $`5M_{}`$ at the end of their thermonuclear evolution. The corresponding upper limit to the mass of the final iron core is about $`2M_{}`$ .

The mass of the iron core is determined roughly by the Chandrasekhar mass, which for a zero-temperature, constant $`Y_e`$, Newtonian structure is

$$M_{\mathrm{Ch0}}=5.83Y_e^2M_{}.$$
(14)
However, there are numerous corrections, some of which are large . To a first approximation, the non-zero entropy of the core is important and

$$M_{\mathrm{Ch}}M_{\mathrm{Ch0}}\left[1+\left(\frac{s_e}{\pi Y_e}\right)^2\right],$$
(15)
where

$$s_e=0.50\left(\frac{\rho }{10^{10}\mathrm{g}/\mathrm{cc}}\right)^{1/3}\left(\frac{Y_e}{0.42}\right)^{2/3}\left(\frac{T}{1\mathrm{M}\mathrm{e}\mathrm{V}}\right)$$
(16)
is the electronic entropy per baryon. More massive stars have higher entropy and contain larger iron cores on average. However, this general tendency is moderated by the loss and redistribution of entropy that occurs during the late burning stages. Thus, the mass of the iron core as a function of the initial mass will be somewhat uncertain in that a small change in the initial mass results in a large difference in the iron core mass. According to , the mass of the iron core is $`1.2(1.4)1.6M_{}`$ when the initial mass is beween $`10(20)M_{}`$ and $`40M_{}`$. This weak dependence of the iron core mass on the ZAMS progenitor mass leads to a somewhat universal neutrino burst.

Figs. 5-10 show the evolution of the average neutrino energy and number luminosity in the early phase up to 200 milliseconds after bounce. The calculation is based on dynamical models of core-collapse supernovae in one spatial dimension, employing a Boltzmann neutrino radiation transport algorithm, coupled to Newtonian Lagrangean hydrodynamics and a consistent high-density nuclear equation of state. Details of these simulations are described in . As can be seen, the major features of the early neutrino burst are almost independent of the initial mass.

Combined with the discussion in the previous section, we conclude that the mantle structure and the features of the neutrino burst depend little on the initial mass of the progenitor star if $`\mathrm{sin}^22\theta _{13}10^5`$ or $`\mathrm{sin}^22\theta _{13}10^3`$. On one hand, this means that we can not easily obtain information about the initial mass from observations of neutrinos during the first 200 milliseconds after bounce. On the other hand, this situation is desirable for extracting information about the neutrino parameters themselves.

In our previous papers , we investigated the possibility of extracting information on neutrino parameters, especially $`\theta _{13}`$ and the neutrino mass hierarchy, from future supernova neutrino observations. We used a numerical supernova model from the Livermore group  with an initial mass of $`15M_{}`$. Since the average neutrino energy is flavor dependent ($`E_{\nu _e}<E_{\overline{\nu }_e}<E_{\nu _x}`$), neutrino oscillations make the spectra of observed $`\nu _e`$ and $`\overline{\nu }_e`$ neutrinos harder. The extent to which observable neutrinos become harder depends on the adiabaticity parameters at both the H- and L-resonances, which depend on neutrino parameters. We considered models with four sets of neutrino parameters: normal-LMA-L, normal-LMA-S, inverted-LMA-L and inverted-LMA-S. Here, normal-LMA-L means that the mass hierarchy is normal ($`m_1^2<m_2^2m_3^2`$) and $`\theta _{13}`$ is large ($`\mathrm{sin}^22\theta _{13}=0.043`$), inverted-LMA-S means that the mass hierarchy is inverted ($`m_3^2m_1^2<m_2^2`$) and $`\theta _{13}`$ is small ($`\mathrm{sin}^22\theta _{13}=10^6`$), and so on. The other parameters are the same as in the previous section.

In Figs. 11-14, we show for a 20-$`M_{}`$ progenitor the time-integrated event spectra and the time evolution of the event number at SuperKamiokande (SK) and SNO. The events at SNO include only the charged-current events due to the process $`\nu _e+dp+p+e^{}`$, while all relevant processes are included in the SK event estimates. The detector properties and cross sections used to calculate these events are described in our previous paper . It should be noted that the neutronization burst events at SNO are significantly suppressed due to neutrino oscillation.

In , we used as a measure of neutrino oscillation the ratio of high-energy event number to low-energy event number at SuperKamiokande, whose events are dominated by $`\overline{\nu }_e`$, and SNO, which can identify $`\nu _e`$.

High (low) means higher (lower) than 20 MeV. Our conclusions were that inverted-LMA-L is clearly distinguishable from the other models although the distinction between normal-LMA-L and normal- and inverted-LMA-S is rather difficult. In addition, we determined that normal-LMA-S and inverted-LMA-S are completely degenerate . One of the uncertainties in our analysis was that we did not previously take into account the initial progenitor mass dependence.

We plot in Fig. 15 the above-mentioned event-number ratios for SK ($`R_{\mathrm{SK}}`$) and SNO ($`R_{\mathrm{SNO}}`$). Included are results for the above four neutrino parameter models, as well as for the no oscillation case, and various initial progenitor masses. Since we use only early-phase events ($`0.2`$ sec), the statistical errors are large, whereas in our previous papers we incorporated the full evolution of the neutrino burst based on the simulations of the Livermore group . It can be seen that differences due to initial mass are much smaller than those due to neutrino parameter and statistical errors. Thus, we can conclude that although the uncertainty due to the unknown progenitor mass is not small for intermediate $`\theta _{13}`$ ($`10^5\mathrm{sin}^22\theta _{13}10^3`$), we can nevertheless draw conclusions about whether $`\theta _{13}`$ is very large or very small and about the mass hierarchy.

## V Discussion and Summary

In this paper, we have investigated the initial mass dependence of the early-phase neutrino signal from supernovae. The early-phase analysis has the advantage that it is not affected by the time evolution of the density structure of the star due to shock propagation and is independent of whether the remnant is eventually a neutron star or a black hole. The initial mass does not affect neutrino oscillations in two senses: the density profile of the mantle, which is important for neutrino flavor conversion, and the final iron core structure, which determines the features of the neutrino burst, are almost independent of the initial mass. This is desirable when we try to extract information from future supernova-neutrino observations on neutrino parameters. Although the uncertainty due to the progenitor mass is not small for intermediate $`\theta _{13}`$ ($`10^5\mathrm{sin}^22\theta _{13}10^3`$), we can nevertheless extract information about whether $`\theta _{13}`$ is very large or very small and about the neutrino mass hierarchy.

## VI Acknowledgements

K.T.’s work is supported by Grant-in-Aid for JSPS Fellows. K.S.’s work is supported by Grant-in-Aid for Scientific Research (S) No. 14102004 and Grant-in-Aid for Scientific Research on Priority Areas No. 14079202. A.B. acknowledges support from the Scientific Discovery through Advanced Computing (SciDAC) program of the US DOE, grant number DE-FC02-01ER41184. T.A.T. is supported by NASA through Hubble Fellowship grant #HST-HF-01157.01-A awarded by the Space Telescope Science Institute, which is operated for NASA by the Association of Universities for Research in Astronomy, Inc., under contract NAS 5-26555.