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# Isoscaling bearing information on the nuclear caloric curve

Present address:\]Department of physics, University of Notre Dame, Notre Dame, IN 46556

## Abstract

We show that the qualitative behavior of the nuclear caloric curve can be inferred from the energy dependence of the isoscaling parameters. Since there are strong indications that the latter are not distorted by the secondary decay of primary hot fragments, in contrast to other observables, this suggests that valuable information on the nuclear caloric curve may be obtained through the analysis presented in this work.

The determination of the nuclear caloric curve is key to the understanding of the multifragment emission observed in heavy-ion collisions at intermediate energies Campi et al. (1996); Das et al. (2003). Indeed, equilibrium statistical calculations predict a continuous rise of the breakup temperature as a function of the excitation energy of the disassembling system if the multifragment emission takes place at fixed density Tan et al. (2003); Das et al. (2003); Bondorf et al. (1998). In this case, the pressure at the breakup stage increases monotonously as a function of the excitation energy. On the other hand, a wide plateau should be observed Bondorf et al. (1985a); Bondorf et al. (1998) if the onset of multifragmentation occurs after a rapid rise of the pressure, which is accompanied by a steady decrease of the breakup density as the excitation energy increases Bondorf et al. (1985a). Similar conclusions have also been obtained with a soluble thermodynamic model by Das et al. Das et al. (2003).

The experimental observation of the caloric curve has been intensively debated in the last years Natowitz et al. (2002); Moretto et al. (1996); Campi et al. (1996); Péter (1998); Gupta et al. (2001) since different measurements have led to distinctly different conclusions Natowitz et al. (2002); Ruangma et al. (2002); Kwiatkowski et al. (1998); Pochodzalla et al. (1994); Hauger et al. (1996); Ma et al. (1997); Serfling et al. (1998); Xi et al. (1998). One problem is due to the great difficulties in measuring the nuclear temperature as this quantity can only be inferred from fragment information measured long after the breakup stage. It has been shown that side feeding from the deexcitation of the primordial hot fragments Xi et al. (1999); Gupta et al. (2001); Péter (1998); Siwek et al. (1998); Kolomiets et al. (1996) may bias empirical conclusions drawn from the different methods currently employed Morrissey et al. (1984); Albergo et al. (1985); Veselsky et al. (2001); Siwek et al. (1998) in the determination of the breakup temperature.

In this context, the isotopic scaling recently observed in nuclear reactions, in a broad range of bombarding energies Xu et al. (2000); Tsang et al. (2001a, b); Botvina et al. (2002); Shetty et al. (2003); Souliotis et al. (2003), is expected to be rather insensitive to effects associated with the secondary decay of the primary fragments Tsang et al. (2001b); Souza et al. (2003). More precisely, the ratio $`R_{21}`$ between the multiplicity $`Y_i(N,Z)`$ of a fragment whose proton and neutron numbers are, respectively, $`Z`$ and $`N`$, measured in two reactions (1 and 2) with different isospin, follows the relation:

$$R_{21}=\frac{Y_2(N,Z)}{Y_1(N,Z)}=C\mathrm{exp}\left(\alpha N+\beta Z\right),$$
(1)
where $`\alpha `$ and $`\beta `$ are the isoscaling parameters and $`C`$ is a normalization constant. This scaling property is very robust. As is shown in refs. Tsang et al. (2001a); Shetty et al. (2003); Souliotis et al. (2003), it has been observed in deep inelastic reactions, evaporation processes, besides nuclear multifragmentation.

One explanation for this scaling behavior may be found in the grand-canonical ensemble, in which the multiplicity $`Y(N,Z)`$ is given by:

$$Y(N,Z)=\zeta _{AZ}(T,V_f)\mathrm{exp}\left[\frac{\mu _pZ+\mu _nN}{T}\right],$$
(2)
where $`T`$ is the breakup temperature, $`\mu _n`$ and $`\mu _p`$ respectively stand for the neutron and proton chemical potentials and

$$\zeta _{AZ}=g_{AZ}\frac{V_f}{\lambda _T^3}A^{3/2}\mathrm{exp}\left[\frac{B_{AZ}f_{AZ}(T)}{T}\right].$$
(3)
In the above expression, $`A`$ is the mass number, $`B_{AZ}`$ and $`g_{AZ}`$ are, respectively, the fragment’s binding energy and spin degeneracy factor. The excitation energy of the fragment is taken into account by the internal free energy $`f_{AZ}(T)`$. The free volume $`V_f`$ is a parameter of the calculation and $`\lambda _T=\sqrt{2\pi \mathrm{}^2/m_NT}`$, where $`m_N`$ is the nucleon mass.

If the breakup takes place in the two reactions at the same temperature and density, the ratio involving $`\zeta _{AZ}`$ cancels out and one finds that:

$$\alpha =\frac{\mu _n^{(2)}\mu _n^{(1)}}{T}\mathrm{and}\beta =\frac{\mu _p^{(2)}\mu _p^{(1)}}{T},$$
(4)
where the superscripts label reactions (1) and (2). Although the observed yields are affected by the decay of the primary fragments, the form of Eq. (2) is still expected to hold, even though $`\zeta _{AZ}`$ will be given by a more complex expression. Since $`\zeta _{AZ}`$ might be very similar in the two reactions, as long as the breakup temperatures are close enough, the isoscaling parameters should be safely obtained from the final yields Tsang et al. (2001b); Souza et al. (2003) and, therefore, should bear reliable information on the breakup stage.

Owing to the exponential relationship between the system mass and the chemical potential, $`\mu ^{(2)}\mu ^{(1)}`$ should be a slowly varying function of the temperature. This is indeed confirmed by our calculations (see below), in agreement with the findings of ref. Botvina et al. (2002). Therefore, the robustness of the isoscaling parameters may be used to investigate the qualitative behavior of the caloric curve.

To address this point, we apply the isoscaling analysis to the decay products of reactions in which a thermally equilibrated source with excitation energy $`E^{}`$ breaks up statistically. We consider a proton rich source, whose mass and atomic numbers are $`A_0=168`$ and $`Z_0=75`$, which corresponds to reaction (1). In the second reaction, we use a neutron rich source, with $`A_0=186`$ and $`Z_0=75`$. The improved version Tan et al. (2003) of the statistical multifragmentation model (ISMM) developed in refs. Bondorf et al. (1985b, a); Sneppen (1987), and described below, is used in the following calculations to simulate the decay of the excited source. Either implementation of this model is useful in the present study since, under different assumptions for the breakup density, it predicts qualitatively different caloric curves Bondorf et al. (1998). Thus its predictions can provide the input to investigate the sensitivity of the isoscaling parameters on the qualitative shape of the caloric curve.

In the ISMM model, partitions strictly consistent with the constraints:

$$A_0=\underset{AZ}{}N_{AZ}A,Z_0=\underset{AZ}{}N_{AZ}Z,$$
(5)
and

$$E_0^{\mathrm{g}.\mathrm{s}.}+E^{}=\frac{3}{5}\frac{Z_0^2e^2}{R_0}+\underset{AZ}{}N_{AZ}E_{AZ}(T,V),$$
(6)
are imposed. In the above equations, $`N_{AZ}`$ denotes the multiplicity, in each generated partition, of fragments whose mass and atomic numbers are $`A`$ and $`Z`$, $`E_0^{\mathrm{g}.\mathrm{s}.}`$ is the ground state energy of the source, $`e`$ represents the elementary charge, and $`R_0`$ is the radius of a sphere with a volume $`V`$, corresponding to the breakup volume. The energy $`E_{AZ}(T,V)`$ contains contributions from the fragment’s binding energy, excitation energy, translational motion, besides the remaining Coulomb terms which, through the Wigner-Seitz approximation, provide the corrections to account for the Coulomb repulsion between the fragments Bondorf et al. (1985b). A Monte Carlo sample of the possible fragmentation modes is carried out following Sneppen (1987). The breakup temperature is determined, for each partition, by solving Eq. (6).

The main differences from the ISMM Tan et al. (2003) and the original SMM Bondorf et al. (1985b, a); Sneppen (1987) are in the use of internal free energies built from empirical data on discrete states wherever available and of experimental binding energies all over the mass table Audi and Wapstra (1995). Careful extrapolations are carried out to mass regions where the information is not available in either case Tan et al. (2003); Souza et al. (2003). Both quantities influence directly the determination of $`T`$ in each fragmentation mode $`f`$, whereas the free energies also play an important role in the evaluation of the entropy $`S_f`$, which enters in the calculation of any physical observable $`O_{AZ}`$:

$$O_{AZ}=\frac{_fO_{AZ}\mathrm{exp}\left[_{\{AZ\}_f}N_{AZ}S_{AZ}\right]}{_f\mathrm{exp}\left[_{\{AZ\}_f}N_{AZ}S_{AZ}\right]}$$
(7)
Due to the constraints imposed on each partition, a physical observable $`O_{AZ}`$ fluctuates from one fragmentation mode to the other.

The average breakup temperature may be obtained through the above expression and it is shown in Fig. 1 as a function of the excitation energy for the two sources we consider. In order to suppress statistical fluctuations, a billion events have been generated for each excitation energy. A monotonous increase of the temperature is observed in the upper panel, in which case the breakup volume of the system is kept constant and is 6 times larger than its value at normal density. One also observes that the average temperatures are very similar for both sources, which justifies the assumption that the temperature dependent terms in $`\zeta _{AZ}`$ cancel out in Eq. (1). As stated before, and reported in ref. Bondorf et al. (1998), the situation is qualitatively different as one allows the breakup volume to be multiplicity dependent and a plateau is observed approximately between 3.5 and 7 MeV/A. The breakup temperatures in both systems are quite close, except at the region around the onset of multifragmentation, $`E^{}/A3.0`$ MeV, where small differences may be noticed.

In contrast to an earlier study also using the SMM Ogul and Botvina (2002), in which a larger isospin dependence in the plateau region was predicted, such effect is rather reduced in our calculations. To understand this aspect, we rewrite Eq. (6) in the following way:

$$E^{}\left[B_{A_0Z_0}\underset{AZ}{}N_{AZ}B_{AZ}\right]\left[\frac{3}{5}\frac{Z_0^2e^2}{R_0}\underset{AZ}{}N_{AZ}\frac{3}{5}\frac{Z^2e^2}{R_{cell}}\right]=\frac{3}{2}T(M1)+\underset{A}{}N_AE_A^{}(T).$$
(8)
where $`N_A`$ denotes the multiplicity of fragments with mass $`A`$ in the fragmentation mode considered and the total fragment multiplicity is represented by $`M`$. The quantity $`R_{cell}`$ stands for the radius of the cell in which the fragment is embedded as one subdivides the system in order to apply the Wigner-Seitz approximation Bondorf et al. (1985b).

The first term on the right hand side of Eq. (8) corresponds to the fragments’ kinetic energy (in the center of mass reference frame of the total system) and $`E_A^{}(T)`$ represents the internal excitation energy of a fragment with mass $`A`$ at temperature $`T`$. We suppressed any $`Z`$ dependence in $`E_A^{}(T)`$ since it has been introduced in SMM only in ref. Tan et al. (2003). It entered in previous calculations only in the case of $`A=4`$ nuclei because all light fragments ($`A<5`$) were assumed to have no internal degrees of freedom, except for the alpha particles. Therefore, all the dependence on isospin is confined to the left hand side of this equation.

An increase of $`Z_0/A_0`$ enhances the Coulomb term between brackets in Eq. (8) and, as a consequence, tends to lower the temperature, which appears only on the right hand side of the above expression. This is the effect observed in ref. Ogul and Botvina (2002).

Nevertheless, the binding energies play a very important role in the balance of the equation and, consequently, on the temperature extracted from it. It is shown in ref. Souza et al. (2003) that total binding energies calculated through simple liquid drop mass formulae, such as that used in ref. Ogul and Botvina (2002), deviate appreciably from empirical values. The differences reported in ref. Souza et al. (2003) can be as large as 40 MeV for heavy nuclei and are, on the average, around 10 MeV for light fragments. Therefore, $`B_{A_0Z_0}_{AZ}N_{AZ}B_{AZ}`$ calculated in Ogul and Botvina (2002) has systematic errors which further increase the isospin dependence of the temperature. Our results, which are obtained with empirical binding energies and careful extrapolations to mass regions where this information is not avaliable, as described in Souza et al. (2003); Tan et al. (2003), exhibit a much weaker isospin dependence.

We now investigate the extent to which the isoscaling parameters carry informaton on the caloric curve and show, in Fig. 2, $`1/\alpha `$ as a function of the excitation energy. The parameters are obtained by fitting Eq. (1) to the primary yields predicted by the microcanonical ISMM calculations, with the same isotopes, $`Z=1`$, 2,$`\mathrm{}`$, 8, used in ref. Tsang et al. (2001b). We have checked that, in agreement with Tsang et al. (2001b); Souza et al. (2003), the changes in $`1/\alpha `$ due to the secondary decay Tan et al. (2003) of the primordial fragments are of the order of 5% at $`E^{}/A=3`$, 6, and 9 MeV and, therefore, do not change our conclusions. As in the previous plot, the results shown in the upper panel correspond to a fixed breakup density whereas it is allowed to change in the lower part of the picture. The results reveal distinct qualitative behaviors in each case. More specifically, the reciprocal of $`\alpha `$ follows approximately a straight line for almost the full range of excitation energies considered if the breakup density is kept fixed. A clear change of slope, before and after the plateau region, appears if the breakup volume is multiplicity dependent. The plateau observed in the caloric curve is not so apparent in the $`1/\alpha `$ plot because, although $`\mu ^{(2)}\mu ^{(1)}`$ varies slowly compared to $`T`$, it somewhat distorts the curve. The relevant point here is that one should observe different qualitative behaviors in the $`1/\alpha `$ plot according to the characteristics of the caloric curve. Similar conclusions are obtained with the $`\beta `$ parameter, but we concentrate on $`\alpha `$ because, as shown in refs. Tsang et al. (2001b); Souza et al. (2003), $`\beta `$ might change more than $`\alpha `$ after secondary decay of the primary fragments, probably due to Coulomb effects. The distinction between the two scenarios allows one to ascertain the existence of the plateau in the caloric curve. It is worth mentioning that the experimental results presented in Botvina et al. (2002) seem to favour the monotonous increase of the breakup temperature. However, since in this reference $`1/\alpha `$ is plotted as a function of the bombarding energy, further analysis is needed to draw more precise conclusions.

In order to investigate the dependence of the results on the statistical ensemble employed, we also calculate the primary yields, for the two sources considered here, in the framework of the grand-canonical approach. To prevent artificial deviations, we use the same ingredients of the micro-canonical case, such as binding energies, internal free energies, and spin degeneracy factors. The free volume and the breakup temperature, which enter into eqs. (2) and (3), are obtained from the micro-canonical calculation for each excitation energy, instead of considering them as free parameters as is usually assumed. Given these two quantities, the chemical potentials are calculated by imposing that:

$$A_0=\underset{NZ}{}Y(N,Z)A\mathrm{and}Z_0=\underset{NZ}{}Y(N,Z)Z,$$
(9)
where $`Y(N,Z)`$ is computed through eqs. (2) and (3). The chemical potentials are found by minimizing the difference between the left and the right hand sides of the above equations. We impose that the constraints are fulfilled with a precision better than 3 digits. Once the chemical potentials are obtained, the primary yields $`Y(N,Z)`$ may be evaluated through eqs. (2) and (3).

The predictions of the two ensembles are compared in Fig. 3, where the results of the grand-canonical calculations are depicted by the open squares whereas the full circles represent those obtained with the micro-canonical ensemble. The isoscaling parameters are obtained by fitting Eq. (1) using the grand-canonical yields, as is done in the micro-canonical calculation. It may be noticed that, although the absolute values differ from one statistical approach to the other, both exhibit the same qualitative behavior. We have checked that $`\alpha `$ and $`\beta `$ obtained through Eq. (4) agree fairly well with the grand-canonical values displayed in this picture. Small deviations are observed only in the regions in which the difference between the breakup temperatures of the sources are non-negligible. Besides showing the consistency of the isoscaling assumptions, this confirms the expectation that small differences between the average temperatures of the two sources should not appreciably affect the scaling properties.

The difference between the predictions of the two statistical approaches may be attributed to the strong mass, charge, and energy constraints imposed in the micro-canonical calculations in each partition. These restrictions lead to a fairly broad temperature distribution Souza et al. (2000), corresponding to different fragmentation modes. In contrast, the temperature is kept constant in the grand-canonical ensemble whereas the charge, mass and energy are fixed only on the average and not event by event. However, the qualitative agreement between the two calculations is a very positive aspect since it is extremely difficult to select events whose decaying sources strictly obey these constraints in experiments. Therefore our analysis seem to indicate that, at least, the qualitative behavior of the caloric curve may be studied experimentally.

In conclusion, we suggest that the existence of the plateau in the nuclear caloric curve may be better investigated experimentally through the isoscaling analysis. Clear deviations from the linear behavior are expected to be found in the $`1/\alpha `$ vs $`E^{}/A`$ curve if the plateau exists. Conversely, if this plateau does not exist, the $`1/\alpha `$ vs $`E^{}/A`$ curve should follow a straight line over a wide excitation energy domain. Our results indicate that the determination of the qualitative shape of the caloric curve can be done more reliably using the isoscaling analysis than through measurements of the temperature from the multiplicities of the detected fragments.

###### Acknowledgements.

We would like to acknowledge CNPq and FUJB for partial financial support. This work was supported in part by the National Science Foundation under Grant No. PHY-01-10253 and INT-9908727 and by the CNPq-NSF agreement.


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# Number of quantal resonances

(September 26, 2003)

## Abstract

Based on extraction of resonances from quantal time delay, a theorem relating quantal time-delay and the number of resonances below a certain energy is proved here. Several illustrations from quantum mechanics, neutron reflectometry and hadron resonances are presented.

PACS numbers: 03.65.Nk

Physics of weakly-bound systems and resonances has been of great interest for the important role it plays in nuclear and particle physics. In particular, deriving reliable information about unstable and short-lived states leads to a deeper understanding in the theory of elementary particles in case of hadron resonances  and hypernuclei , compound nuclear resonances  in $`(n,\gamma )`$ and $`(p,\gamma )`$ reactions and in development of new models and theories in the active field of radioactive nuclei . The research on halo nuclei is also intimately connected with the search for superheavy nuclei . The structure of these elusive states is usually in the form of two-body, three-body or many-body resonances . It would be interesting if we could infer from the phase-shift data for $`\pi `$-$`\pi `$, or, $`\eta `$-$`d`$, or, $`\alpha `$-$`\alpha `$ scattering whether respectively a $`\rho `$-meson around $`E=770MeV`$ is formed, or, a hyper-nucleus, or, a resonant $`\alpha `$-cluster  is formed. Clearly, we would like to be sure of our analysis by studying simple, non-trivial illustrations from quantum mechanics. In this paper, we present various illustrations to elucidate how resonant structures can be reliably extracted and understood.

The concept of central importance for our considerations is that of time-delay. Time-delay, $`𝒯`$ is defined as the difference between the density of states with and without interaction. This reduces to the following relation  between $`𝒯`$ and the $`S`$-matrix ,

$$𝒯=i\mathrm{}\text{ tr }S^{}\frac{dS}{dE}$$
(1)
for a general form of interaction. For central potentials, for the $`l`$-th partial wave, $`𝒯_l`$ reduces to $`\mathrm{}d\overline{\delta }_l/dE`$ where $`\overline{\delta }_l`$ is the difference between phase shift $`\delta _l(E)`$ and hard-sphere scattering phase-shift $`\delta _l^H(a,E)`$, and where $`a`$ is the range of interaction. For an $`s`$-wave scattering, $`\delta _l^H(a,E)=ka`$ where $`k`$ is the wavenumber.

The complex-energy poles of time-delay on un-physical sheet like those of $`S`$-matrix represent resonances. Consequently, the peaks in $`𝒯(E)`$ are signatures of resonances .

In a system where number of single-particle states modify in the presence of an impurity, the change in the states is related to the energy-derivative of phase-shift. The total change in the density of states leads to the Friedel sum rule, which is basically a statement of charge-neutrality . On the other hand, an energy-integral of the phase-shift is shown to be connected to the energy of the impurity - Fumi’s theorem. All the filled states contribute to the energy of the impurity via electron-impurity interactions.

In the context of nuclear physics, some recent works  treat the effect of continuum by considering the contribution of naroow resonances. These narrow resonances are assumed to be like broadened bound states. This is, of course, not a valid assumption for broad resonances occurring in particle physics. When this assumption holds, the change in the single-particle continuum level density, $`\delta \rho `$, in the presence of a potential $`V`$ is found by subtracting the free particle level density $`\rho _0`$ from the total level density, $`\rho `$ :

$$\delta \rho =\rho (ϵ)\rho (ϵ)=\underset{l,j}{}\frac{(2j+1)}{\pi }\frac{d\delta _{lj}}{dϵ},$$
(2)
the last being due to Friedel . The right hand side of (2) is connected with time-delay. We will consider an energy-integral of time-delay in this paper and illustrate it by a variety of physical situations of simple and advanced nature.

For a narrow resonance at energy $`E_0`$ of width $`\mathrm{\Gamma }`$, time-delay has a Lorentzian or a Breit-Wigner (B-W) form :

$$𝒯(E)=\frac{\mathrm{}\mathrm{\Gamma }/2}{(EE_0)^2+\frac{\mathrm{\Gamma }^2}{4}}.$$
(3)
Then, it follows that the number of resonances below $`E^{}`$ for a fixed partial wave is given by

$`n_R`$ $`=`$ $`{\displaystyle \frac{1}{\pi }}{\displaystyle _0^E^{}}\left({\displaystyle \frac{d\overline{\delta }(E)}{dE}}\right)𝑑E`$ (4)
$`=`$ $`N+\mathrm{\Delta },0<\mathrm{\Delta }<1.`$
This is related to the approaches based on level-density . Since most of the methods fail to determine the absolute values of phase-shifts, therefore, R.H.S. of (4) would be different from the expression $`[\overline{\delta }_l(E^{})\overline{\delta }_l(0)]/\pi `$. However, following somewhat more general considerations along the lines of , the spectral property of time-delay implies that

$$^E^{}𝒯𝑑E=n_R\mathrm{}.$$
(5)
This is valid also for broad resonances, as shown in the Illustration IV below. To appreciate (5), following remarks are in order : (i) (5) is not the Levinson’s theorem; (ii) if the energy-range includes bound states also, singularities will appear for bound states and non-zero widths appear for resonances, shapes being Lorentzians only for narrow ones (see also comments at the end of Illustration II below).

Construction of time delay above using the complex energy-eigenvalues may remind one of the potential scattering formalism due to Kapur and Peierls . To illustrate, with the $`s`$-wavefunction in the range of potential, the complex roots, $``$ of $`\mathrm{}u/r(,r=a)=i\sqrt{2m}u(,r)`$ are taken as resonances here. However, in , $`\sqrt{2m}`$ is replaced by $`\sqrt{2mE}`$, where $`E`$ is fixed. Moreover, Kapur-Peierls’ formalism is designed to yield a non-unitary $`S`$-matrix.

At resonance, the phase-shift $`\overline{\delta }(E)=\mathrm{arctan}\left(\frac{\mathrm{\Gamma }/2}{EE_0}\right)`$, due to the presence of an inverse trigonometric function, has an essential ambiguity of $`n\pi `$ where $`n`$ remains uncertain. On the other hand, the ambiguity disappears in $`𝒯(E)`$ as one gets a purely algebraic expression, making time-delay unambiguous and hence more reliable than the phase-shifts themselves. The second derivative of $`\overline{\delta }(E)`$ reveals that on the either side of $`E=E_0`$ the curvature changes sign and hence a point of inflexion in the variation of $`\overline{\delta }(E)`$ is a necessary signature for the existence of a resonance.

Resonances which are complex energy Gamow-Siegert states of a potential generally arise when the potential is localized (e.g., short-ranged),or, when there is a barrier of a finite width attached to the well. The square well represents the former when $`l=0`$ and the latter when $`l>0`$. However, for simplicity we present s-wave square well potential  and s-wave Dirac barrier potential $`V_0\delta (ra)`$  which represents the second situation. It is worth noting that the Illustrations III and IV discussed below are novel as they do not fall in the above categorization. Believing that a fundamental result is understood better in terms of diverse examples, we present them below.

Illustration I : Square-well potential (for barrier, see )

To begin with, we consider the most familiar potential $`V(r<a)=V_0,V(ra)=0`$, as an example to illustrate our results on resonances. It may be noted that a reliable description of narrow resonances is important for separating the background. The s-wave $`S`$matrix can be written as

$$S_0(E)=\frac{ik\mathrm{tan}pa+p}{ik\mathrm{tan}pap}.$$
(6)
The complex poles (resonances) of $`S_0(E)`$, i.e., the roots of $`ik\mathrm{tan}pa=p`$, are equivalent to demanding outgoing wave, $`u_0(ra)=e^{ikr}`$, instead of $`u_0(r>a)`$ as given above. The s-wave time delay for square-well potential can be obtained as

$$𝒯_0(E)=\mathrm{}\frac{V_0\mathrm{tan}pa+apk^2\mathrm{sec}^2pa}{2pk(p^2+k^2\mathrm{tan}^2pa)}.$$
(7)
Relevant complex poles of S-matrix, $`(E_ji\mathrm{\Gamma }_j/2)`$, such that $`E_j,\mathrm{\Gamma }_j>0`$, are known to be the resonant energies. With the help of FindRoot by Mathematica, by taking $`2m=1=\mathrm{}`$, and fixing the values of $`V_0`$ and $`a`$, we find the resonant energies (e.g., poles of (6), for $`l=0`$). We then construct time-delay as a sum of Lorentzians as these resonances are narrow. The solid lines in Fig. 1 display the exact values of $`𝒯_l(E)`$ for $`l=0,1,9,10`$ for square-well potential $`(V_0=5,a=10)`$ up to an energy, $`E=10`$. The dashed lines show the time-delay as calculated by using first fifteen complex energies $`E_ji\mathrm{\Gamma }_j/2`$. Excellent reproduction of the time-delay can be seen to testify the representation of the time-delay by a sum over Lorentzians for a localized potential possessing resonances. We check that $`E_j`$ are the energies where the peaks in time-delay occur. Further, we check that $`\mathrm{\Gamma }_j`$ is nothing but two times the inverse of the height of the $`j^{th}`$-peak. The values of the integral of time-delay up to $`E=10`$, $`n_R`$ (4), are mentioned in each part of Fig. 1 which can be verified to be giving the number of resonances as depicted by the number of peaks in $`𝒯_l(E)`$.

Interestingly, in the above calculations when $`l=9,10`$, we find that the first complex roots $`E=0.384990.479894i=E_A`$ and $`E=0.5417250.574161i=E_B`$ respectively do not show up as peaks in $`𝒯_l(E)`$. Moreover, if they are included in the summation (4), they spoil the reproduction of the time-delay at other energies. Similarly, when $`V_0=5`$ and $`a=2`$, we find that $`E_1=0.0233870.542466i=E_C`$ and $`E_2=9.383654.43007i`$ are the poles of $`S_0(E)`$ (6). We find that $`E_1`$ does not lead to a peak in $`𝒯_0(E)`$, whereas $`E_2`$ shows up as a broad peak in $`𝒯_0(E).`$ Notice that in these examples $`\mathrm{\Gamma }_j>E_j`$ and the corresponding B-W profile appears only partly for energies, $`E>0`$, most of it creeps in the negative energy regime. We rule out $`E_A,E_B,E_C`$ as resonances by studying the corresponding wavefunctions. The wavefunctions at energies equal to the real part of these complex energies show scattering-state-like behaviour wherein the localization within $`r<a`$ is inhibited.

Illustration II : Repulsive Dirac delta s-wave barrier

Dirac delta barrier, $`V_0\delta (ra),V_0>0`$ in three dimensional Schrödinger equation , even in s-wave, supports the Gamow-Siegert states. The poles of S-matrix can be worked out to be the complex roots of $`k\mathrm{cot}kaaV_0=ik`$, a condition which one also gets by using the outgoing wave boundary condition at $`r=a`$. The s-wave quantal time delay can be found as

$$𝒯_0(E)=\mathrm{}\frac{aV_0\mathrm{tan}^2ka+ak^2\mathrm{sec}^2ka}{2[k^2\mathrm{tan}^2ka+(k+aV_0\mathrm{tan}ka)^2]}.$$
(8)
For $`V_0=10`$ and $`a=1`$, we find first four poles of S-matrix and construct time-delay as a sum of Lorentzians (shown as dotted lines in Fig. 2). Even with only four poles, the $`𝒯_0(E)`$ (8) (solid line) is excellently reproduced by the dotted line in Fig. 2. By an integration of time-delay up to energy $`E=170`$, we get the value of the integral $`n_R=4.0114`$, correctly indicating four resonances or metastable states. In the limit of $`V_0\mathrm{}`$, we get $`E_j\frac{j^2\pi ^2\mathrm{}^2}{2ma^2}`$ and $`\mathrm{\Gamma }_j0`$ these states will be the bound states of a particle contained between two rigid walls of width $`a`$. Thus, for large values of $`V_0`$ one gets Dirac delta like spikes in $`𝒯_0(E)`$ at energies $`E=E_j`$.

Illustration III :

While studying the reflectometry of the polarized neutrons from magnetized superconductors, Zhang and Lynn  arrived at a novel result wherein a single, pronounced, parameter-dependent dip occurs in the reflectivity. In terms of simple quantum mechanics this means that the reflectivity, $`R(E)`$, of the potential-step barrier, $`V(x)=V_1+V_2(1e^{x/a})`$, as a function energy shows a single, pronounced, spike-like minimum at an energy slightly above the step, for certain sets of parameters, $`(V_1,V_2,a)`$. Usually when a semi-infinite potential is smooth, $`R(E)`$ is a smoothly converging function of energy. A discontinuity of derivative at a point in a semi-infinite potential turns out to be the essence  of this novel reflectivity. An interesting claim  that the energy, $`(E=E_d)`$, at which this reflectivity minimum occurs corresponds to a ‘half-bound state’ has been refuted by the help of several model potentials . Let us take the case of an exponential step where $`r(E)=\sqrt{R(E)}e^{i\theta (E)}`$ is given by

$$r(E)=\frac{ikJ_{2ipa}(2qa)+qJ_{2ipa}^{}(2qa)}{ikJ_{2ipa}(2qa)qJ_{2ipa}^{}(2qa)},$$
(9)
where $`p=\frac{\sqrt{2m(EV_1V_2)}}{\mathrm{}}`$ and $`q=\sqrt{\frac{2mV_2}{\mathrm{}^2}}`$. Whenever $`2qa`$ is close  to the zeros of $`J_0(z)`$, a single pronounced minimum exists in $`R(E)`$. More precisely, when $`V_1=V_2=1`$ and $`a=1.31`$ $`(2m=1=\mathrm{})`$ the dip in reflectivity occurs at $`E=2.0445=E_d`$ . We find that reflection time-delay, $`\frac{d\theta }{dE}`$, possesses a single dip at, $`E=E_d`$, confirming the existence of a resonance there (see Fig. 3). Since the contention is regarding the dip in reflectivity, we have calculated the reflection-phase-shift ($`\theta `$) and its derivative. Eventually, the integration (4) of time-delay over a long range of energy (from $`E=2`$ to E=4,6,10) divided by $`\pi `$ has been checked to yield a number very close to 1. Thus, the composite semi-infinite potential steps  are a new type of model potentials which are neither localized nor there is a well attached to a barrier. They, however, possess a single resonance. We also find that the low energy, single minimum in reflectivity of the composite potential wells  such as $`V(x)=V_0\mathrm{exp}(|x|/a)`$ is nothing but a resonance.

Illustration IV :

Usually, narrow resonances are treated as elementary particles . However, even relatively broader resonance like the excited state of a nucleon called $`\mathrm{\Delta }^{++}(1232)`$ are treated as particles. Here we would like to demonstrate that time delay calculated from the available  elastic scattering phase shifts of $`\pi ^+`$ and $`p`$ ($`P33`$) yields a peak at $`E=1218`$ MeV of width $`\mathrm{\Gamma }=129`$ MeV (see Fig. 4) corresponding to the formation of the well-known baryon resonance called the $`\mathrm{\Delta }`$-resonance which has mass as 1232 MeV and width as 120 MeV. This result can also be found in  where there is a more detailed study on unflavoured baryon resonances. The integration (4) of time-delay in the energy range given in Fig. 4 divided by $`\pi `$ yields $`0.87`$ instead of unity, simply because the resonance data is truncated at the lower energies. This illustration, in addition to  shows that (4) and (5) are also valid for non-central interactions and for broad resonances with lifetimes $`10^{23}`$s. It should also be noted that one is in a relativistic regime with energies of the order of GeV. The concept of time-delay holds in relativistic regime because of its connection with the $`S`$-matrix (1) .

Hitherto, the energy-integral of the first derivative of phase shift over a long range of energy is supposed to either vanish  or yield the number of bound states  via the well-known result in (10) below. In such a confusing scenario, we have brought out the correct meaning of the energy-integral mentioned above. We have revealed that the integral (4) does not vanish and it yields the number of resonances possessed by a potential. Since time and energy are conjugate variables, (5) can be interpreted as an analogue of the Bohr-Sommerfeld quantization. This is also a quantum analogue of some results in classical scattering theory obtained twenty years ago by Narnhofer and Thirring .

Finally, we would like to make some observations on the Levinson’s theorem in its original form relates the phase-shift at zero energy to the number of bound states, $`n_B`$, possessed by an attractive potential : $`n_B=\delta _l(0)/\pi `$ . However, it is very often written as

$$n_B=[\delta _l(0)\delta _l(\mathrm{})]/\pi .$$
(10)
It is important to note that (10) seems to relate the negative-energy bound states to the phase-shift at an infinitely positive energy. This is basically done to provide a reference at infinite energy where phase shift is assumed to be zero. Although for short-range potentials, $`\delta _l(\mathrm{})`$ is zero, this is not generally true . In a specific calculation, one may find $`\delta _l(0)`$ and $`\delta _l(\mathrm{})`$ with ambiguous factors of, say, $`m_1\pi `$ and $`m_2\pi `$ with $`m_1,m_2`$ as two arbitrary, uncontrollable integers, having nothing to do with the potential. To obtain phase shifts free of such ambiguities (modulo $`\pi `$), one needs to employ special methods like the variable phase approach  and an integral representation of phase shift found recently .

Figure Captions :
Fig. 1(a): Time-delay, $`𝒯(E)`$, for a square well-potential $`(V_0=5,a=10)`$ for four values of angular momentum $`l=0,1,9,10`$. The solid lines are the exact calculation and the dashed lines represent a sum of Lorentzians using first fifteen resonances (poles of $`S`$-matrix on un-physical sheet). Interestingly, in the case of $`l=9,10`$ the very first complex energies $`E_A=0.384990.47984i`$ and $`E_B=0.5417250.574161i`$, respectively are not included (see text for details). Notice that the values of $`n_R`$ agree with the number of peaks in all the plots of time-delay, illustrating (4).

Fig. 1(b): The first peaks corresponding to Fig. 1(a) are separated out and shown for clarity.

Fig. 2: Excellent reproduction of the time-delay (8) by a sum of Lorentzians for the Dirac delta potential by using just first four complex energies (resonances). A value of $`n_R`$ close to 4, illustrates existence of four resonances up to $`E=170`$.

Fig. 3: An instance of reflectivity, $`R(E)`$, dip in the exponential semi-infinite potential step when $`V_1=V_2=1`$ and $`a=1.31`$. At $`E=2.0445`$ there occurs a dip in R(E) and $`𝒯(E)`$ and the (reflection) phase-shift, $`\theta (E)`$ displays point of inflexion. The value of $`n_R`$ from $`E=2`$ up to $`E=4,6,10`$ has been found to be very close to 1.

Fig. 4: The well known baryon resonance, $`\mathrm{\Delta }^{++}`$  is demonstrated as a peak in time-delay in the phase-shift data  of the scattering : $`\pi ^++p\mathrm{\Delta }^{++}`$. We get $`M_\mathrm{\Delta }=1218`$ MeV and $`\mathrm{\Gamma }_\mathrm{\Delta }=129`$ MeV, whereas the standard values are $`M_\mathrm{\Delta }=1232`$ MeV and $`\mathrm{\Gamma }_\mathrm{\Delta }=120`$ MeV. The value of $`n_R`$ we get is $`0.87`$.


text:
# Internal kinematics of spiral galaxies in distant clusters Part I Based on observations collected at the European Southern Observatory, Cerro Paranal, Chile (ESO Nos. 64.O–0158, 64.O–0152 & 66.A–0547)

## 1 Introduction

Galaxy clusters provide a special environment for their members. In contrast to the field, the number volume density of galaxies is high and the relative velocities are large. The gravitational potential of a cluster is filled by the intracluster medium (ICM), a hot X–ray emitting gas, and the overall mass–to–light ratio is much larger than for the individual galaxies indicating the presence of vast amounts of dark matter. This environment exerts a strong influence on the evolution of the cluster galaxies superposed on the (field) evolution that arises from the hierarchical growth of objects and the declining starformation rates over cosmic epochs. Besides tidal interactions between galaxies including merging as can also be observed in the field, cluster members are affected by clusterspecific phenomena related to the ICM (like ram-pressure stripping) or the structure of the cluster (like harassment). For a recent overview see third volume of the Carnegie Observatories Astrophysics Series111 http://www.ociw.edu/ociw/symposia/series/symposium3/proceedings.html. Imprints of these interactions can not only be seen in present-day clusters, but also manifest themselves in a strong evolution of the population of cluster galaxies. One example is the photometric Butcher–Oemler effect of an increasing fraction of blue galaxies with redshift \[e.g. Butcher and Oemler Jr., 1978\] implying a rising percentage of starforming galaxies. Another example is the rapid decline of the abundance of lenticular galaxies (S0) from the dominant population in local clusters to a few percent at a lookback time of $`5`$ Gyrs \[e.g. Dressler et al., 1997\]. These observations have led to the question whether field spirals falling into a cluster can be subject to such morphological transformations that they appear as S0 galaxies today.

Independent from whether this overall scenario is true or not, the observed tidal interactions (either between galaxies or with the cluster potential) may cause substantial distortions both on the structure and the kinematics of the galaxies involved. Indeed, Rubin et al. , for example, found that half of their sample of 89 disk galaxies in the Virgo cluster exhibit kinematic disturbances ranging from modest (e.g. asymmetric) to severe (e.g. truncated curves) peculiarities. On the other hand, many local cluster galaxies, for which only H i velocity widths (in contrast to spatially resolved velocity profiles) were measured, follow a tight Tully–Fisher relation similar to field spirals \[e.g. Giovanelli et al., 1997\]. This TFR connects the luminosity of the stellar population of a galaxy to its internal kinematics which are dominated by the presence of a dark matter halo \[Tully and Fisher, 1977\].

But it is not yet clear whether the halo of dark matter and, therefore, the total mass of a galaxy can also be affected by certain interaction phenomena. In numerical simulations of the evolution of substructure in clusters by Springel et al. , the dark matter halo of a galaxy that falls into the cluster is truncated via tidal interactions so that the mass-to-light ratio of a galaxy gets reduced during its passage to the cluster core. Gnedin  simulates the tidal field along galactic orbits in hierarchically growing clusters, and finds that about 40% of the dark halo of a massive galaxy ($`V_{\mathrm{max}}=250`$ km/s) is lost between $`z=5`$ and $`z=0`$. But the rotational velocity at $`5`$ disk scale lengths is predicted to hardly change (decrease by $`2`$%).

## 2 Our Project

Since in models of hierarchically growing structure clusters are still in the process of forming at $`z1`$ in the concordance cosmology, a higher infall rate and more interactions are expected at redshifts $`0.3z1`$ \[e.g. Kodama and Bower, 2001\]. With the availability of large telescopes, it is now feasible to conduct spatially resolved spectroscopy of the faint galaxies at these redshifts to observationally test these predictions. Therefore, we have performed a large campaign at the VLT targeting seven distant rich clusters with $`0.3z0.6`$. The clusters were chosen from a very limited list with existing HST/WFPC2 imaging (mainly the core regions) at the time the project started (1999) and that are accessible with the VLT. MS 1008–12 has no HST imaging but was included since it was imaged extensively during FORS science verification time. The main goal is to derive the two-dimensional internal kinematics of disk galaxies from emission lines. In combination with measurements of starformation rates, luminosities and structural parameters we aim at disentangling the effects of different interaction processes and find out about their respective actual effectiveness and importance for galaxy evolution.

In this Letter, we present the results for the first three clusters of our survey: MS 1008–12 ($`z=0.30`$), Cl 0303$`+`$17 ($`z=0.42`$), and Cl 0413–65 ($`z=0.51`$). They were observed with FORS1 in MOS mode, while the other four clusters (Cl 0016$`+`$1609, MS 0451.6–0305, ZwCl 1447.2$`+`$2619 & MS 2137.3–2353) had MXU spectroscopic observations with FORS2 requiring different reduction techniques that will be presented in future papers. While in Paper II \[Jäger et al., 2003\] we give all the data that can be deduced from each single spectrum, we analyze in this Letter only the late–type galaxies which exhibit spatially resolved emission. One setup in the MOS mode of FORS1 provides 19 individual slitlets. For each cluster two setups have been designed with different rotation angles of the instrument. Using grism 600R and slitwidths of 1″, the spectra have a dispersion of $``$1.08 Å/pixel, a spectral resolution of $`R1200`$ and typical wavelengths of $`\lambda \lambda 52007400`$Å. In standard configuration FORS has a field of view of $`6.8\mathrm{}\times 6.8\mathrm{}`$ with a spatial scale of 0.2″/pixel. To achieve our signal–to–noise requirements of $`S/N5`$ in the emission lines of an $`R23`$ galaxy, the total integration time was set to $``$2 hrs. Seeing conditions ranged between 0.7 and 1.3″ FWHM.

Spatially resolved velocity profiles $`V_{\mathrm{rot}}(r)`$ were determined from either the \[O ii\]3727, H$`\beta `$ or \[O iii\]5007 emission line. In eight cases, two lines with sufficient $`S/N`$ were visible which then were treated separately yielding consistent results. The spectral profile of an emission line was fitted by a Gaussian (in case of \[O ii\] by a double Gaussian) after applying a median filter window of typically 0.6″ to enhance the $`S/N`$ stepping along the spatial axis. Since the apparent disk sizes of spirals at intermediate redshifts are only slightly larger than the slitwidth (1″), the slit covers a substantial fraction of the two–dimensional velocity field. Therefore, the spectroscopy is an integration perpendicular to the slit’s spatial axis. Because of this effect, the maximum rotation velocity $`V_{\mathrm{max}}`$ cannot be determined “straightforward” from the observed rotation. As described in Ziegler et al.  and Böhm et al. , we overcome this problem by simulating such longslit spectroscopy of each galaxy individually. In short, a two-dimensional velocity field is created assuming a specific rotation law that is weighted by the galaxy’s luminosity profile and convolved to match the seeing at the time of our observations. Taking into account the galaxy’s inclination, position angle, and disk scalelength, a synthetic rotation curve is generated with $`V_{\mathrm{max}}`$ as the only remaining free parameter. $`V_{\mathrm{max}}`$ is then determined by matching the synthetic to the observed velocity profile. For the galaxies analyzed here, we used for the model rotation curve a simple parameterization with a linearily rising inner part that turns over into a flat outer part. But as is demonstrated by Böhm et al. , $`V_{\mathrm{max}}`$ is hardly changed when the Universal Rotation Curve by Persic et al.  is used instead. The inclinations, position angles and scalelengths were derived via 2-D $`\chi ^2`$–fits of exponential disks to the galaxies’ profiles in FORS images. The FWHM was 0.59″ (MS 1008–12), 0.77″ (Cl 0413–65) and 1.0″ (Cl 0303$`+`$17), respectively. The fits accounted for the PSF. Spirals with too low an inclination ($`i20^{}`$) have not been used for the $`V_{\mathrm{max}}`$ derivation.

Galaxy luminosities were derived from total magnitudes of FORS images in the $`V`$ (MS 1008–12) or $`I`$ (Cl 0413–65 and Cl 0303$`+`$17) band, respectively, as measured with SExtractor \[Bertin and Arnouts, 1996\]. Observed magnitudes were corrected for Galactic (from Schlegel et al. ) and intrinsic extinction (following Tully and Fouque ) and transformed to restframe Johnson $`B`$ according to their spectrophotometric type using model SEDs corresponding to Sa, Sb, Sc and Sdm, and calculated for a flat $`\mathrm{\Omega }_\lambda =0.7`$ cosmology ($`H_0=70`$ km s-1 Mpc-1). The average overall error in the photometry is estimated to be $`0.2^m`$.

## 3 Kinematics of cluster spirals

The MOS mode of FORS1, which was the only multiplex technique available for the first observations of our campaign, has some disadvantages for the spectroscopy of spiral galaxies in clusters, which are removed by the MXU mode of FORS2 that we could use for the other four clusters of our survey. Firstly, the 19 slitlets of fixed length ($`22\mathrm{}`$) have only one degree of freedom for placing a slitlet onto an object. This leads to somewhat inefficient coverage of cluster member candidates and many slitlets must be filled by strongly relaxing the ideal selection criteria. Secondly, once a certain rotation of the field is chosen, all the 19 slitlets have the same orientation on the sky. Ideally, the slit should be placed along the major axis of a galaxy to probe its rotation around the center. Although we have targeted each cluster with two different setups, the deviation $`\delta `$ between slit angle and position angle was rather large in some cases leading to geometric distortions of the observed velocity profile that could not be corrected for. These galaxies are not used in the further analysis of the internal kinematics here but are valuable ingredients for future studies of e.g. starformation rates or structural properties of cluster members.

As is specified in more detail in Paper II, our method of selecting cluster spiral candidates was different for each cluster due to the limited information of published studies. The most comprehensive source was available for MS 1008–12, for which we exploited a catalog of $`80`$ cluster members with published spectral types \[Yee et al., 1998\]. A list of candidates in Cl 0413–65 was prepared by comparing optical–nearinfrared colors by Stanford et al. 222kindly provided to us by A. Stanford well in advance of their actual publication to evolutionary stellar population models of an updated version of Bruzual and Charlot . For Cl 0303$`+`$17, we mainly utilized a spectroscopic catalog of Dressler and Gunn . MOS slitlets that could not be filled by a galaxy from our input lists were placed on objects selected according to their structural appearance and magnitudes as measured on our FORS images. If no suitable candidate for a late–type galaxy was available, the slitlet was placed on an elliptical candidate since understanding the phenomenon of galaxy transformation requires the analysis of the whole galaxy population of a cluster.

Redshifts and spectral types could be determined for 12/13 spiral/elliptical members of MS 1008–12 (plus 4/2 S/E field galaxies), 8/1 spiral/elliptical members of Cl 0413–65 (plus 11/6 S/E field galaxies), and 10/7 spiral/elliptical members of Cl 0303$`+`$17 (plus 15/0 S/E field galaxies). While the early–type galaxies will be discussed in a future paper, we here concentrate on the emission–line galaxies. As was pointed out by Verheijen  only galaxies with a rotation curve that rises in the inner region and then clearly turns into a flat part should be used for a Tully–Fisher diagram. In such a case, the measured $`V_{\mathrm{max}}`$ is representative for the influence of the dark matter halo on the galaxy’s kinematics and is indicative for the total dynamical mass of the galaxy. For our three clusters, we were able to determine $`V_{\mathrm{max}}`$ for 7/5/1 different member galaxies, respectively, (and 1/5/1 field spirals). The remaining cluster spirals either have too low $`S/N`$ of their emission lines to spatially analyse the internal kinematics (in 0/0/4 cases), have too low inclination $`i`$ or too large mismatch angle $`\delta `$ (in 1/3/5 cases), or exhibit intrinsic distortions (in 4/0/0 cases).

In Fig. 1 we show as an example position–velocity diagrams for all member galaxies in MS 1008–12 that have sufficient $`S/N`$. Of the 12 members, of which four were observed twice with different slit angles with respect to their major axis, seven exhibit the “classical” rotation curve shape rising in the inner part and turning over to a flat regime (labeled “TF”). Four members clearly show disturbed kinematics (panels b, j, l, & m). The distortion seen in panel m (& n) most probably arises from a bar which is readily visible in the direct image. Two “double–hits” were observed with very big mismatch angles (panels c & k) so that their velocity profiles look peculiar. In one case (panel h) the object fell onto the slitlet by chance and is too weak (small) to derive its structural parameters.

In the figure, the galaxies are ordered according to their projected distance to the cluster center (ranging from 285 kpc to 1230 kpc). There is no trend visible of the RC form as a function of clustercentric distance, i. e. distorted velocities are not uniquely tied to the central region. But since our observations cover only the region within the virial radius of the cluster ($`1880`$ kpc), this is in accordance with dynamical models in which the galaxy population of a cluster is well-mixed within that region \[Balogh et al., 2000\]. In particular, we most probably do not have any new arrivals from the field in our sample.

## 4 The Tully–Fisher relation

In Fig. 2, we present the Tully–Fisher diagram for the distant cluster galaxies. Only those galaxies for which $`V_{\mathrm{max}}`$ could be determined enter the plot. The ordinate gives the restframe absolute Johnson $`B`$-band magnitudes. We also show the position of those field galaxies that were serendipitously observed in the cluster fields and that have $`0.4<z<0.6`$ (3 spirals at $`z=0.61`$ may be members of a background cluster behind Cl 0413–65). For comparison, we include the distant field galaxies from the Fors Deep Field \[Heidt et al., 2003\] which were observed with exactly the same instrumental setup \[Ziegler et al., 2002, Böhm et al., 2003\]. The linear bisector fit to this sample is flatter than the slope fitted to the local sample of Pierce and Tully \[1992, PT92\], which is given with its $`\pm 3\sigma `$ deviations.

The distant cluster spirals are distributed very much alike the field population that covers similar cosmic epochs ($`0.1<z<1`$ with the bulk of galaxies at $`z0.3`$ and $`0.6`$). No significant deviation from the distant field TFR is visible and the cluster sample has not any increased scatter, but the low number of cluster members prohibits any quantitative statistical analysis. Nevertheless, we can conclude that the mass–to–light ratios of the observed distant cluster spirals cover the same range as the distant field population indicating that their stellar populations were not dramatically changed by possible clusterspecific interaction phenomena. In particular, we do not detect any significant overluminosities as would be expected in the $`B`$ band if strong starbursts had occured in the recent past of the examined cluster galaxies. With respect to the Tully–Fisher relation obeyed by local galaxies (e.g. PT92), our cluster sample follows the same trend as the FDF galaxies. Since mostly only the bright galaxies made it into the TF diagram, the cluster members occupy a region where no significant luminosity evolution is visible.

Fig. 2.— Tully–Fisher diagram of cluster spirals in MS 1008–12 (filled triangles), in Cl 0413–65 (filled squares), and Cl 0303$`+`$17 (filled diamond). Also shown are seven field objects (open symbols) that were serendipitously observed. In comparison to the Fors Deep Field sample of 77 field galaxies \[Ziegler et al., 2002, Böhm et al., 2003\] with $`0.1<z<1`$ (small open circles), the cluster galaxies are similarly distributed and do not deviate significantly from the linear fit to the FDF sample (solid line). The cluster members follow the same trend with respect to the local TFR (the fit $`\pm 3\sigma `$ to the Pierce and Tully  field sample is given) as the distant field galaxies with the brightest galaxies exhibiting the smallest luminosity evolution.

But we emphasize that this conclusion is true only for those objects that enter the TF diagram. Since a significant fraction of our cluster galaxies can not be used for a TF analysis due to their distorted kinematics the above conclusions are not generally valid for the whole cluster sample. The objects with intrinsically peculiar velocity curves may actually be subject to ongoing or may have experienced recent interactions. Such processes most probably also influence the stellar populations of a galaxy changing its integrated luminosity as well. Tidal interactions for example could distort the spiral arms while inducing starbursts at the same time leading to enhanced luminosities. Since we do not know where the galaxies with peculiar kinematics lie in the TF plane, it is not possible to decide whether a particular galaxy has an increased or decreased luminosity. Overall, these galaxies span a very similar range in apparent magnitudes to the TF cluster members.

Exploring the spatially resolved kinematics of disk galaxies in distant clusters has become feasible only recently. Milvang-Jensen et al. \[2003, MJ03\] studied a sample of 7 spiral galaxies in the cluster MS 1054.4–0321 at $`z=0.83`$ with FORS at the VLT in a similar configuration as our own spectroscopy. Compared to a number of field spirals at corresponding redshifts, which were observed at the same time, they find that the cluster members have brighter $`B`$ luminosities by $`0.51^m`$ ($`1.52\sigma `$ significance) for their rotational velocities. The difference to the average brightening of our cluster members is hardly significant and may be due to a combination of low-number statistics and systematic deviations. But we also can not rule out that the differences are real and may be connected to the higher redshift of MS 1054 or other characteristics of that cluster.

Metevier  et al. examined galaxies in the cluster Cl 0024$`+`$1654 ($`z=0.40`$) with the Keck 10m-telescope. The ten galaxies that appear in their TF diagram have a larger scatter than the local PT92 sample, but show no evidence for an evolution of the zero-point. The authors argue that processes acting on the cluster galaxies some time before the lookback time of the observations involving either starbursts or a truncation of star formation may have caused a decreased or increased mass–to–light ratio, respectively, which is manifested in the increased scatter.

In a future paper we will present our analysis for the other four clusters of our campaign. With more cluster member galaxies both in the TF diagram and those with peculiar kinematics, we may hopefully be able to quantitatively investigate the galaxy evolution in rich clusters and to give also statistical tests.

We acknowledge the thorough comments by the referee. We are very grateful to Drs. S. Wagner (Heidelberg), U. Hopp (München) and R. H. Mendez (Hawaii) for performing part of the observations and thank ESO and the Paranal staff for efficient support. We also thank the PI of the FORS project, Prof. I. Appenzeller (Heidelberg), and Prof. K. J. Fricke (Göttingen) for providing guaranteed time for our project. We also acknowledge fruitful discussions with Drs. B. Milvang–Jensen (MPE Garching) and M. Verheijen (Potsdam). This work has been supported by the Volkswagen Foundation (I/76 520) and the Deutsche Forschungsgemeinschaft (Fr 325/46–1 and SFB 439).


text:
# Comment on “Critical assessment of the Schrödinger picture of quantum mechanics”

## Abstract

Recently, Faria et al \[Phys. Lett. A 305 (2002) 322\] discussed an example in which the Heisenberg and the Schrödinger pictures of quantum mechanics gave different results. We identify the mistake in their reasoning and conclude that the example they discussed does not support the inequivalence of these two pictures.

PACS: 03.65.Ta
Keywords: Foundations of quantum mechanics

A long time ago, Dirac argued  that, in systems with an infinite number of the degrees of freedom, the Schrödinger picture of quantum mechanics may not be equivalent to the Heisenberg picture. The standard general proof of the equivalence of these two pictures may fail to be valid because, when an infinite number of the degrees of freedom is present, the formal unitary transformation between these two pictures may not exist in a rigorous sense. In , Dirac argued that it was the Heisenberg picture that was correct in the case of an infinite number of the degrees of freedom, while the Schrödinger picture was wrong. The two pictures are really equivalent only when the number of the degrees of freedom is finite.

Recently, Faria et al  considered an example in which they explicitly obtained a discrepancy between the results obtained in the two pictures. Specifically, they considered a charged harmonic oscillator in 3 dimensions (having 3, i.e. a finite number of the degrees of freedom!) interacting with the electromagnetic field (having an infinite number of the degrees of freedom). For simplicity, they studied only the $`x`$-direction of the harmonic oscillator. In the Heisenberg picture, they quantized both the harmonic oscillator and the electromagnetic field and obtained that the average square of the position operator of the harmonic oscillator in the ground state is equal to $`x^2=\mathrm{}/2m\omega _0`$ (where $`m`$ is the mass of the harmonic oscillator and $`\omega _0`$ is its frequency), the same result as if the interaction with the electromagnetic field was absent. In the Schrödinger picture, they used a semiclassical approximation, i.e. they quantized only the harmonic oscillator, while they treated the electromagnetic field as a classical field. Using such a Schrödinger picture, they obtained $`x^2=\mathrm{}/m\omega _0`$, i.e. twice the value of that in the Heisenberg picture. From this result they concluded that the result obtained in the Heisenberg picture was correct, while that obtained in the Schrödinger picture was wrong. Consequently, they concluded that the two pictures were not equivalent.

However, two objections to their conclusions seem natural. First, they used the semiclassical approximation only in one of the pictures, so in general one does not expect the results obtained in the two pictures to be identical. Therefore, the discrepancy they obtained may have nothing to do with a possible inequivalence of the two pictures. Second, in the Schrödinger picture they quantized only a finite number of the degrees of freedom, in which case the Schrödinger picture should be correct. Therefore, their results cannot be taken as an indication that the two pictures are inequivalent. In order to see more closely where they made a mistake in their reasoning, we make their reasoning more transparent by reviewing the main steps in their analysis and using a slightly different notation.

In the Heisenberg picture, the ground-state expected value of square of the position operator is

$$x^2_H(t)=\varphi _0|\widehat{x}_H^2(t)|\varphi _0,$$
(1)
where $`|\varphi _0`$ represents the ground state. The explicit value of the right-hand side of (1) is given by (14’) (where the prime denotes equations in ).

In the Schrödinger picture, they show that the ground-state wave function takes the form

$$\psi (x,t)=\varphi _0(xq_c(t))e^{i\phi (t)},$$
(2)
where $`\varphi _0(x)`$ is the normalized ground-state wave function of a “free” (i.e. without the electromagnetic interaction) harmonic oscillator and $`q_c(t)`$ is a c-number function that satisfies the classical equation of motion

$$m\ddot{q}_c(t)=m\omega _0^2q_c(t)+eE(t).$$
(3)
Here $`E(t)`$ is the classical electric field in the $`x`$-direction. It is the sum of the classical vacuum field and the classical radiation reaction field. The expected value of square of the position operator is

$$x^2_S(t)=_{\mathrm{}}^{\mathrm{}}𝑑x\psi ^{}(x,t)x^2\psi (x,t).$$
(4)
After making a shift of the integration variable $`xxq_c(t)`$ and using (2), one finds

$$x^2_S(t)=_{\mathrm{}}^{\mathrm{}}𝑑x\varphi _0^{}(x)x^2\varphi _0(x)+_{\mathrm{}}^{\mathrm{}}𝑑x\varphi _0^{}(x)q_c^2(t)\varphi _0(x).$$
(5)
This result corresponds to (30’).

So far so good. However, now comes their step that turns out to be wrong. From the fact that $`q_c(t)`$ and $`\varphi _0|\widehat{x}_H(t)|\varphi _0`$ obey the same equation of motion (3), they conclude that the second term in (5) is equal to the right-hand side of (1), i.e. that

$$\varphi _0|\widehat{x}_H^2(t)|\varphi _0=q_c^2(t).$$
(6)
It is clear that such a reasoning is not correct, i.e. that, in general, (6) does not have to be valid. Nevertheless, with such a reasoning, (5) becomes

$$x^2_S(t)=_{\mathrm{}}^{\mathrm{}}𝑑x\varphi _0^{}(x)x^2\varphi _0(x)+x^2_H(t),$$
(7)
which corresponds to (31’). From this, they concluded that the Schrödinger picture was not equivalent to the Heisenberg picture, i.e. that the Schrödinger picture led to the wrong result (7).

We agree that (7) is wrong, because if the two pictures are equivalent, then $`x^2_S(t)=x^2_H(t)`$. However, we do not agree that the wrong result (7) implies that the Schrödinger picture is wrong. Instead, it is their reasoning designated by italics above that is wrong.

Note that if the reasoning designated by italics was correct, then one would obtain (7) for any value of $`e`$ in (3), including the case $`e0`$. This would imply that the two pictures are not equivalent even without the electromagnetic interaction. On the other hand, it is well known that the two pictures are equivalent for such a simple harmonic oscillator. Indeed, when $`e0`$, one of the solutions of (3) is $`q_c(t)=0`$ for all $`t`$. This solution does not satisfy (6). With this solution, the second term in (5) vanishes, leading to

$$x^2_S(t)=_{\mathrm{}}^{\mathrm{}}𝑑x\varphi _0^{}(x)x^2\varphi _0(x).$$
(8)
Contrary to (7), this is a consistent result. It is shown in  that the right-hand sides of (8) and (1) are both equal to $`\mathrm{}/2m\omega _0`$.

When $`e0`$, then the solution $`q_c(t)`$ of (3) does not vanish, provided that $`E(t)`$ does not vanish. Consequently, the second term in (5) does not vanish, which contradicts the result obtained in the Heisenberg picture in . However, in , the function $`E(t)`$ has not been calculated explicitly. A correct treatment of the case $`e0`$ is given in . Since $`E(t)`$ in  does not contain an external field, (3) describes a damped harmonic oscillator , so that $`q_c(t)`$ eventually vanishes. This is also in agreement with the results of . The result $`q_c(t)=0`$ can also be understood from an approach in which the electric field is quantized, because it appears that the two contributions to the electric field (the vacuum field and the radiation reaction field) cancel in the ground state .

By reconsidering the example considered in , we have found that this example does not support the inequivalence of the Schrödinger picture with the Heisenberg picture. In this way, we have shown that the main conclusion of  is incorrect. Of course, the general arguments against the Schrödinger picture  mentioned in the introductory paragraph are not discredited by our result. However, we note that today the formal problem with the Schrödinger picture of quantum field theory is usually not considered as a serious problem because today theorists are used to use various methods of regularization that cure the pathologies emerging from theories with an infinite number of the degrees of freedom. For example, the regularization on a lattice transforms the theory with an infinite number of the degrees of freedom into a theory with a finite number of them, in which case the two pictures are equivalent.

The author is grateful to an anonymous referee for the valuable remarks. This work was supported by the Ministry of Science and Technology of the Republic of Croatia under Contract No. 0098002.


text:
# Non-Abelian Effects in Gravitation

## Abstract

Abstract: *The non-abelian symmetry of a lagrangian invalidates the principle of superposition for the field described by this lagrangian. A consequence in QCD is that non-linear effects occur, resulting in the quark-quark linear potential that explains the quark confinement, the quarkonia spectra or the Regge trajectories. Following a parallel between QCD and gravitation, we suggest that these non-linear effects should create an additional logarithmic potential in the classical newtonian description of gravity. The modified potential may account for the rotation curve of galaxies and other problems, without requiring dark matter.*

The strong interaction possesses the particular feature that it confines the particles that are subject to it, the quarks and the gluons. Quantum Chromodynamic (QCD) has been established as the quantum field theory for the strong interaction. Although gravity is in many aspects different from the strong force, we will exploit the fact that both are non-abelian gauge theories to draw conclusions on the non-linear effects in gravitation. These are not predicted by the classical theory of gravitation. Non-linear effects are expected in quantum gravity and we aim to show that they are also manifest at a macroscopic level. In this paper we will briefly review some relevant aspects of QCD. We then draw a parallel between QCD and gravitation and, under this guidance, we predict long distance effects on gravitation. Using simple heuristics, we establish for a simple case how the gravitation departs from its 1/r potential due to non-abelian effects \[REFERENCES\]. Then, we discuss the implication for dark matter. This communication is not intended to be a formal derivation of non-abelian effects in gravitation but rather to trigger more theoretical works on this matter.

QCD can be viewed as the archetype of non-abelian gauge theories: The gluons, being color charged, interact together. This causes the running coupling constant $`\alpha _s`$, to increase with large distances, resulting in quark confinement and asymptotic freedom which are the two main features of the strong force. A consequence is that, at distances greater than about one Fermi, $`\alpha _s>1`$. It is then meaningless to use perturbation calculations. Instead, effective theories (nuclear field theories \[REFERENCES\], Regge phenomenology \[REFERENCES\], constituent quarks models \[REFERENCES\]) or non perturbative techniques (Lattice QCD \[REFERENCES\]) have to be used.

The Regge phenomenology originates from the observation that the hadrons lie on “Regge trajectories”, that is to say, the square of the hadron mass $`M`$ is proportional to its spin $`J`$: $`J=\alpha _0+\alpha ^{}M^2`$ where the “Regge intercept” $`\alpha _0`$, and the slope $`\alpha ^{}`$, characterize the Regge trajectories. An interpretation of the Regge trajectories was given by Y. Nambu \[REFERENCES\]: If the quark-quark potential is created by a string attaching the two quarks, then the repulsive centrifugal term, which increases with the spin, makes the baryons of higher spin harder to bind and thus of higher mass. A string potential would not only explain the Regge trajectories but also confinement, the energy needed to break the string being larger than the pion mass, attempts to separate quarks will only result in creating pions. An explanation of the existence of QCD strings is that the color field lines between the quarks attract themselves and collapse because of the gluon self-coupling. The collapsed lines add a string-like term to the quark-quark potential \[REFERENCES\]:

$$V_0(r)=\frac{\alpha _s}{3r}+\sigma r+\iota $$
(1)
$`\sigma `$ is the string tension, $`r`$ the distance between the two quarks and $`\iota `$ a constant. The connection with the Regge trajectory is $`\alpha ^{}=(2\pi \sigma )^1`$.

The progresses in lattice QCD have shed light on the mechanism of quark confinement \[REFERENCES\], \[REFERENCES\]. In particular they have provided a theoretical ground for the Regge phenomenology, reviving the string picture in QCD by showing evidences of the existence of flux tubes between quarks. It has also been shown that the quark-quark potential follows the form of equation (1) and values of $`\sigma `$ have been computed. The existence of strings and of the potential (1) are also foreseen by the Dual Meissner Effect \[REFERENCES\], \[REFERENCES\], \[REFERENCES\] where the QCD vacuum is viewed as a supra-conductor with the Higgs mechanism responsible for the formation of the strings. To summarize, the confinement is due to the non-abelian symmetry of the QCD lagrangian. It results a quark-quark linear potential that can be interpreted in the QCD string picture.

We turn now our attention to gravity. We make here the usual assumption that massless gravitons are the bosons carrying gravity. In addition, we suppose gravitation to be conceptually close enough to the theories describing the three other forces of Nature. We note that this natural assumption is the basis for research on any type of unifying theories such as supersymmetry or superstring theories. The graviton self-coupling, due to the energy-mass equivalence, makes any theory of quantum gravity non-abelian. In term of gauge theory, the gravitational field arises from gauge invariance with respect to displacement transformation \[REFERENCES\] which is non-abelian \[REFERENCES\]. We can then expect similar effects in QCD and gravity. The gravity coupling constant $`G_N`$ being very small compared to $`\alpha _s`$, the non-abelian effects, that is a term equivalent to $`\sigma r+\iota `$ in equation (1), should become significant only for very large values of $`r`$. Qualitatively, the field lines will get denser around the straight line linking the two masses. The result will be an increase of the strength of gravity compared to the newtonian potential in $`1/r`$. If, from another point of view, we assume the classical potential in $`1/r`$, then the non-abelian effects will manifest themselves as an apparent increase of the mass of the object at large distances. The problem of dark matter in the universe could be simply a manifestation of the non-abelian character of gravity.

We will now try to estimate the modification to the newtonian potential by using the image of collapsing field lines and doing simple euristics. A non-abelian effect invalidates the classical principle of field superposition since we have, for example for two fields: Total field=Field1+Field2+Interaction of the fields. We take the case of two masses $`m_1`$ and $`m_2`$ and a newtonian potential. If the field lines are modified because of non-abelian effects, then the resulting gravitational field at a distance $`r_i`$ from the mass $`m_i`$ can be written as:

$$\stackrel{}{G}=G_N(\frac{m_1}{r_1^3}\stackrel{}{r_1}+\frac{m_2}{r_2^3}\stackrel{}{r_2})+\stackrel{}{f}_{nA}(m_1,m_2,r_1,r_2)$$
(2)
If we could separate $`\stackrel{}{f}_{nA}`$ into two independent parts: $`\stackrel{}{f}_{nA}(m_1+m_2+r_1+r_2)=\stackrel{}{f}_1(m_1,r_1)+\stackrel{}{f}_2(m_2,r_2)`$, then we could write the field created by one mass as:

$$\stackrel{}{G_1}=\frac{G_Nm_1}{r_1^3}\stackrel{}{r_1}+\stackrel{}{f}_1(m_1,r_1)$$
(3)
Apart from the fact that we may not be able to separate $`\stackrel{}{f_{nA}}`$, it may seem incorrect to add a non-abelian term to the field from one mass since these effects appear only when several fields are present: For a single mass, the field has a spherical symmetry and the field lines are not distorted by self-interaction \[REFERENCES\]. However, we assume that we can separate $`\stackrel{}{f_{nA}}`$ so we can consider equation (3), the advantage being that it restores the familiar concept of one potential associated with one source.

We will estimate now $`f_{nA}`$. We should have $`f_{nA}0`$ when $`r_n0`$ because close to the mass, the spherical symmetry is restored. In order to compute the magnitude of $`f_1`$, we use the phenomenology of the collapsed field lines. We set $`m_1=m_2=M`$ and $`2L`$ the distance between the two masses. We have $`l`$ the distance between two field lines at $`L`$, in the case of $`f_{nA}=0`$. If the field lines attract each other, $`l`$ is reduced by $`\mathrm{\Delta }l`$. $`\mathrm{\Delta }l`$ should vary as:

$$\mathrm{\Delta }lM^\alpha G_N^\beta L^\gamma c^ϵ$$
(4)
with $`c`$ the speed of light. The constants $`\alpha `$, $`\beta `$, $`\gamma `$, $`\epsilon `$ are to be determined. $`c`$ is just here to regularize the dimensions. We have no prejudice on the signs of $`\alpha `$, $`\beta `$ and $`\epsilon `$. However, we have $`\gamma >0`$ since, as we said, the effects disappear at short distance because of the restored spherical symmetry. We determine $`\alpha `$, $`\beta `$, $`\gamma `$ and $`\epsilon `$ by solving the dimensional equation (4). There is several solutions, but it appears that if $`\alpha `$, $`\beta `$ are positive then the only solution is $`\alpha `$=$`\beta `$=1, $`\epsilon =2`$ and $`\gamma `$ =0, which is not acceptable since we must have $`\gamma >0`$. If $`\beta <0`$ then the simplest solution is:

$$\mathrm{\Delta }l\frac{L^2c^2}{MG_N}$$
(5)
Now that we have estimated the field line collapse, we can deduce the modification of the potential. The force is proportional to the flux of the field through a surface $`\mathrm{\Delta }s`$. We call $`a`$ the proportionality constant. The attraction of the field lines increases the flux through $`\mathrm{\Delta }s`$. Equivalently, we can keep the flux fixed and diminish the area $`\mathrm{\Delta }s`$. If $`\theta `$ is the angle between the two field lines -without attraction- then $`\mathrm{\Delta }s=\pi [Ltan\theta ]^2`$ and the diminished area $`\mathrm{\Delta }s^{}=\pi [Ltan(\theta \mathrm{\Delta }\theta )]^2`$, where we have $`\mathrm{\Delta }\theta =\mathrm{\Delta }l/L`$. The field magnitude is then:

$$M_G=\frac{1}{a\mathrm{\Delta }s^{}}\frac{1}{a\pi L^2\theta ^2}+\frac{2c^4}{a\pi G_N^2M^2\theta ^3}$$
(6)
The first term is the classical potential. Hence we have $`a\pi \theta ^2=1/(G_NM)`$ and:

$$M_G=\frac{G_NM}{r^2}+\frac{c^2\sqrt{a\pi G_NM}}{2\sqrt{2}r}$$
(7)
where $`r`$ is the distance between the two masses. Equation (6) implies that the non-abelian effects give rise to a logarithmic potential, less dramatic than the linear potential in QCD. $`a`$ is a constant to be determined.

To summarize, we have discussed a mechanism that could modify the newtonian law of gravitation, namely the fact that the field superposition principle is invalidated by the non-abelian nature of gravitation. These effects being small, the superposition principle remains valid for most of the cases but for large masses or cosmological distances.

The modified potential (6) reproduces the observed galaxy rotation curves and solve their problem without the need of dark matter. To recall the problem, the radial velocity of the matter in galaxies should follow a keplerian rotation curve, i.e. it should drop as r-1/2, as soon as r is large enough, with r the distance from the galaxy center. However, all the observations of galaxies show a flat dependence with r or even a positive slope.

In this context, modifications of the newtonian laws have been already proposed by Milgrom \[REFERENCES\] and then Sanders \[REFERENCES\]. These hypothesis are grouped under the name of MOND, Modified Newtonian Dynamics, see \[REFERENCES\] for a recent review. In ref. \[REFERENCES\] the 2nd law of Newton is modified whereas in \[REFERENCES\] it is the gravitational potential. These modifications are empirical. The approaches \[REFERENCES\] and \[REFERENCES\] are equivalent in terms of solving the rotation curve problem, although non-equivalent in term of physics. Our work supports the ref. \[REFERENCES\] approach \[REFERENCES\]. MOND is characterized by the constant $`a_0`$. If we replace it by $`(c^4\pi a)/8`$, we find that the equation (6) and the one proposed in \[REFERENCES\] are identical. Taking the most recent determination, $`a_0=1.2\times 10^{10}`$ m.s-2 \[REFERENCES\], we obtain $`a=4\times 10^{44}`$ m-3s2.

Several authors have systematically studied the MOND hypothesis. We summarize here their work since they provide the experimental evidence supporting equation (6). Some other supportive comparisons with observations are discussed in \[REFERENCES\].

A) Rotation curves of the different varieties of galaxies are fit with the parameter $`a_0`$, adjusted once for all \[REFERENCES\].

B) The prediction by Milgrom of the existence of positive slopes for the rotation curves was experimentally confirmed \[REFERENCES\].

C) The origin of the Tully-Fisher relation \[REFERENCES\], linking the luminosity of a galaxy to its optical rotational velocity at the power 3 or 4, is disputed \[REFERENCES\]. However, this relation is a straightforward consequence of a gravity obeying the equation (6) \[REFERENCES\].

D) At larger scale, MOND explains the data on binary system of galaxies, small cluster and large clusters without need of introducing dark matter \[REFERENCES\].

MOND appears as a solid alternative, or at least a complement, to dark matter. However, it suffers from is lack of theoretical justification. Our work provides a possible theoretical basis for such model. However, a major difference between MOND and our work is that MOND modifies the gravitation potential in one way while in our case the modification depends upon the distribution of mass. Hence we expect MOND to fail describing data involving particular distribution of matter while calculations following our work might be able to explain them.

Before to summarize, we should point out that we used the QCD string picture as a guidance but the rightness of the reasonning is not contigent to the existance of QCD strings. Rather the important point is that non-abelian symmetry is the origin of confinement, which is an established fact. It is known, for example, that the peculiar running of $`\alpha _s`$ is due to the gluons self-coupling that create the anti-screening causing $`\alpha _s`$ to grow with the distance.

To summarize, following a parallel between QCD and gravitation, namely the fact that both theories are non-abelian, we have suggested that non-abelian effects can be described by an additional logarithmic term in the newtonian potential. As shown in the context of the purely empirical MOND model, the modified resulting potential explains cosmological problems otherwise requiring a large amount of dark matter. In the same context, it has also been pointed out that eq. (6) does not contradict general relativity nor it precludes the existence of a small amount of dark matter.


text:
# The last Gift of BeppoSAX: PDS Observations of the two Blazars 1ES 0507-040 and PKS 1229-021

## 1 Introduction

The class of blazars contains the most extreme AGNs, characterized by fast variability, high degree of polarization, bright non-thermal continuum extending from radio up to $`\gamma `$-ray energies (e.g. Urry & Padovani 1995). The study of these sources allows us to address several important issues related to the physics of relativistic jets. For these reasons it is of particular importance to obtain information on the high-energy emission of blazars. In this respect an excellent instrument has been the Italian-Dutch satellite BeppoSAX (Boella et al. 1997). In fact the unprecedentely wide band of BeppoSAX (from 0.1 to above 100 keV) is optimal to study the connection between the X-ray and the $`\gamma `$-ray continuum and to disentangle the different emission components. One can therefore constrain more effectively the physical properties of the emission regions.

In Spring 2002, the performance of BeppoSAX started to fail. In particular, the acquisition of fields too far from the celestial Equator became problematic. Therefore, our planned campaign on the BL Lac Mkn 501 had to be cancelled. Furthermore, the only NFI routinely operated (because of battery problems) was the high-energy instrument PDS (13-300 keV). We thus were solicited to investigate the opportunity of observing, in replacement of Mkn 501, blazar sources with celestial locations satisfying the limited pointing capabilities of BeppoSAX. The only 2 sources that could be pointed by the satellite at that epoch, and that appeared at the same time promising in view of a PDS detection, were: the BL Lac 1ES0507-040 and the luminous Flat Spectrum Radio Quasar (FSRQ) PKS 1229-021.

In the following we present the analysis of the data and the results of the observations (Sect 2) and the discussion (Sect 3).

## 2 Data analysis and Results

### 2.1 PDS Data Analysis

We have performed the reduction of PDS data with XAS using standard prescriptions (Chiappetti et al. 1999) inclusive of spike rejection, PSA correction, unit-by-unit subtraction of the background spectra taken with the collimator in offset position, and then summing the net spectra of the 4 units with gain equalization and contextual rebinning. In order to derive points for a SED we rebinned the data in some combinations of logarithmic bins and fitted the PDS data alone (see Figure 1) with a power law, computing the 90% confidence intervals on the spectral index, and using the correlated value of the normalization.

### 2.2 Results

1ES0507-040: this BL Lac object was discovered by EINSTEIN and was the target of a previous BeppoSAX observation in a program aimed at studying the spectral properties of a sample of X-ray selected BL Lacs (Beckmann et al. 2002). It had been detected also in the ROSAT All-Sky Survey (RASS).

Since the PDS count rate of the 2002 observation is consistent with that measured in 1999 ($`0.047\pm 0.019`$ vs $`0.044\pm 0.020`$ cts/s; see Figure 1(Top) for the April 2002 spectrum), it is appropriate to fit both observations together, exploiting the larger range observed in 1999 due to the LECS and MECS instruments. The best fit spectral index for a power law in the range 0.1-50 keV with $`N_H=9.15\times 10^{20}`$ cm-2 (frozen at the Galactic value) is $`\mathrm{\Gamma }=2.03`$ (1.95-2.13). The PDS normalization has been fixed at the canonical value of 0.8$`\times `$MECS normalization. The PDS spectral slope is consistent with that at lower energies at 90% confidence, while the flux is about a factor 3 higher. The global fit is formally acceptable ($`\chi ^2=1.06`$ with 76 d.o.f.) due to the low statistical weight of the PDS points. However the PDS flux is clearly in excess of the fit prediction (see Figure 2).

A plausible reason for this excess is that PDS data of 1ES0507-040 are contaminated by the emission from another source present in the large PDS Field of View (about 1 deg). An inspection of catalogs shows that three possible contaminant sources are located within 1 deg from 1ES0507-040:

The radio source S3 0503-04, located at $``$1 deg from 1ES0507-040, had been identified with a BL Lac of unknown redshift, and later shown to have strong emission lines at $`z=1.481`$ (Veron 1994). The radio morphology is compact (Stanghellini et al 1990). The radio spectrum is flat, thus implying a blazar nature. In the X-rays the situation is less clear: there is a 3$`\sigma `$ detection with HEAO A-2 (Della Ceca et al. 1990) at fluxes $`10^{11}`$erg cm-2 s-1, but this is not confirmed by the RASS data ($`F_{0.22.4}<`$ few $`10^{13}`$ erg cm-2 s-1 ). A possibility to account for the large difference between the optical/soft X-ray luminosity and the hard X-ray luminosity is to admit that low frequency radiation is heavily absorbed. The possible SED is reported in Fig. 3. Further X-ray observations are needed to investigate this interesting possibility.

The other two bright RASS sources in the vicinity of 1ES0507-040 are identified with G stars (HD 293857 at 25 and HD 32704 at 70). They are unlikely to contribute to the PDS unless very peculiar (indeed HD 293857 is a lithium star, with $`L_X10^{30}`$ erg/s) or binaries.

PKS 1229-021: this is a bright quasar (z=1.045), detected by EGRET in the $`\gamma `$-ray and with a steep spectrum ($`\mathrm{\Gamma }=2.85`$) (Hartman et al. 1999). The optical spectrum shows luminous emission lines (eg Fig. 4).

We have retrieved from the HST FOS archive 2 spectra taken on Dec 31, 1994 with the G190H grating (1500-2300 Å) and one taken on 01 Jan, 1995 with the G270H grating (2200-3300 Å). The spectrum, reported in Fig. 4, has been corrected for the Galactic extinction (EB-V = 0.032, Schlegel et al. 1998). Strong emission lines are detected, corresponding to Ly$`\alpha `$, Ly$`\beta `$, Si IV, C IV. After removal of the emission lines, a power-law fit of the combined spectra over the 1500-3300 Å range yields an index $`\alpha _\nu =1.12\pm 0.08`$ ($`f_\nu \nu ^{\alpha _\nu }`$).

In the X-rays the source has been studied with ROSAT (RASS). We have constructed the overall SED, shown in Figure 5, using data from the literature and our PDS data (see Figure 1 Bottom). We have reproduced the SEDs with the synchrotron-IC model of Ghisellini, Celotti & Costamante (2002). We refer to that paper for a full description of the model. The values of the basic physical parameters are reported in the figure caption.

## 3 Discussion and Conclusions

The last BeppoSAX observations of blazars confirm the importance of exploring the hard X-ray band in the study of blazars, as initiated by BeppoSAX.

In PKS1229-021 the PDS spectrum allows us to constrain the position of the high energy peak and to infer the basic physical parameters of the relativistic jet.

The case of 1ES 0507-040 is more complex, due to a possible contamination in the PDS spectrum by another source in the field of view. The identification of the contaminant is difficult: based on the soft X-ray emission the possible candidates are two active stars and a peculiar radio-loud AGN. Future study with INTEGRAL and/or new X-ray data are required to clarify the issue.


text:
# Theory of the Optical Properties of a DNA-Modified Gold Nanoparticle System

## 1 Introduction

Recently, so-called functional metallic nanoparticles have started to be developed, which may lead to new materials with improved optical and mechanical properties . Among these, there is a particular interest in gold nanoparticles to which noncomplementary oligonucleotides capped with thiol groups are attached (DNA modified gold nanoparticle system), because in addition to a strategy using self-assembly of nanoparticles , biological detection is possible using the optical and electrical sensitivity of their aggregates .

In this paper, we present a model for this “melting” transition, which accounts for most experimentally observed features.

## 2 Structural Modeling

To calculate the $`T`$-dependent optical properties, we have considered two slightly different structural models. In the simplest version of our model, the low-$`T`$ aggregate is taken simply as a collection of identical gold nanospheres (each of radius $`a`$) which form a cube of edge $`L`$ and fill the sites of a simple cubic lattice of lattice constant $`d`$ ($`d>2a`$), containing $`N_{\mathrm{par}}=(L/d)^3`$ gold nanoparticles. We have also investigated the melting and the optical properties assuming that the low-$`T`$ cluster is a fractal aggregate. In both cases, we assume that all bonds are occupied by the same number ($`N_s/z`$) of DNA links at low temperature, where $`N_s`$ is the number of single DNA strands attached to one particle and $`z`$ is the number of nearest neighbors ($`z=6`$ for a simple cubic lattice).

As temperature is increased, the bonds start to break. We define the probability that a link forms between a given gold particle pair at temperature $`T`$ as $`p_{\mathrm{eff}}(T)`$. To generate a specific sample at temperature $`T`$, we randomly remove links with probability $`1p_{\mathrm{eff}}(T)`$, then identify the separate clusters, using a simple computer algorithm . If the aggregate is separated into two or more clusters, we simply place these clusters in random positions and orientations within a larger bounding box (usually of edge 100$`d`$), taking care that the individual clusters do not overlap. The resulting geometry is shown schematically in Fig. 1. As a second structural model, we have carried out the same procedure to simulate the melting of a sample formed by reaction-limited cluster-cluster aggregation (RLCA) . A typical RLCA cluster is shown in Fig. 1 (d), and represents a possible fractal aggregate which might be produced by certain random growth processes at low temperature . Here we implicitly assume that the specific bonds which are occupied at temperature $`T`$ are time-independent.

## 3 Melting Theory for DNA Links

The two-state model can describe melting well for short DNA strands (12-14 base pairs) , and is given by the relation

$$S+SD.$$
(1)
The chemical equilibrium condition corresponding to (1) is

$$\frac{[1p(T)]^2}{p(T)}=\frac{K(T)}{C_T},$$
(2)
where $`p(T)`$ is a (temperature-dependent) fraction of the double DNA strands, $`K(T)`$ is a suitable chemical equilibrium constant, and $`C_T`$ is the molar concentration of single DNA strands in the sample. We have also assumed the simple van’t Hoff behavior $`K(T)=\mathrm{exp}[\mathrm{\Delta }G/k_BT]`$, with a Gibbs free energy of formation $`\mathrm{\Delta }G(T)=c_1(TT_M)+c_2(TT_M)^3`$, choosing the values of $`c_1`$, $`c_2`$, and $`T_M`$ to be consistent with experiments on these DNA molecules.

In order to calculate the fraction $`p_{\mathrm{eff}}(T)`$ of bonds which contain at least one double strand, we adopt the following very simplified model. First, we assume that exactly $`N_s/z`$ of the single strands on a given nanoparticle are available to bond with any one of its $`z`$ nearest neighbors. Thus, we assume that the maximum number of links that could be formed between any two particles is $`N_s/z`$. The probability that no link is formed is then taken to be

$$1p_{\mathrm{eff}}(T)=[1p(T)]^{N_s/z}.$$
(3)
In Fig. 2, we plot peff(T) for several radius $`a`$. We assume $`N_sa^2`$, set $`z=6`$ and use the experimental result that $`N_s=160`$ when $`a=8`$ nm .

In actuality, there is a linker molecule which emerges from solution to connect two DNA single strands on different nanoparticles. But in fact, we can avoid considering the linker molecule explicitly, as shown in the inset of Fig. 2. In this inset, the dotted and dashed lines represent $`p(T)`$ for two melting curves, one for each single strand connected to a linker molecule with slightly different constants $`c_1`$ and $`c_2`$ but the same melting temperature. (This is the case where the linker molecule is expected to have the most effect.) The solid line is the resulting melting curve for the two single strands plus linker. The squares are the melting probability $`p^{}(T)`$ calculated assuming two effective strands and no linker strand with slightly different $`c_1`$, $`c_2`$, and $`T_M`$.

## 4 Optical Properties

We calculate the optical properties of this sample using the Discrete Dipole Approximation (DDA) . The sample is modeled as a collection of separate aggregates, whose extinction coefficients are computed individually, then added. Each aggregate consists of many identical nanoparticles, which have complex frequency-dependent dielectric constant $`ϵ(\omega )`$, and polarizability $`\alpha (\omega )`$ related to $`ϵ(\omega )`$ by the Clausius-Mossotti equation with radiative reaction correction term . The resulting expressions for the induced dipole moment $`𝐩_i`$ of the $`i^{th}`$ sphere, and the corresponding expression for the extinction coefficient $`C_{\mathrm{ext}}(k)`$ at wave number $`k`$, are given in Ref. .

In our case, each cluster consists of a number of DNA-linked individual gold nanoparticles. In our calculations, we do not include the optical properties of the DNA molecules, since these absorb primarily in the ultraviolet . We use tabulated values of the gold complex index of refraction , then calculate $`C_{\mathrm{ext}}`$ for each cluster using the DDA. To improve the statistics, we average $`C_{\mathrm{ext}}`$ for each cluster over possible orientations. We then sum the averaged extinction coefficients of all the individual clusters to get the total extinction coefficient of the suspension. This method is justified when the suspension is dilute.

In Fig. 3, we show $`C_{\mathrm{ext}}(\lambda ,T)`$ at fixed $`\lambda =520`$ nm, close to the isolated-particle surface-plasmon resonance (SPR), versus $`T`$, for several particle sizes, assuming that the low-T aggregate is a simple cubic cluster with $`N=1000`$ particles, which is illustrated in Fig. 1 (a). As can be seen in Fig. 3, for each radius $`a`$, the extinction increases sharply at a characteristic temperature, corresponding to the melting of the aggregate for that size; at this temperature, the absorption due to the SPR increases sharply.

In the inset of Fig. 3, we compare $`C_{\mathrm{ext}}(\lambda ,T)`$ for a regular and an RLCA cluster of particles of $`20`$ nm radius at $`\lambda `$ = 520 nm, both for $`N=1000`$ particles. Although the RLCA cluster has a slightly broader melting transition, as manifested in $`C_{\mathrm{ext}}(\lambda ,T)`$, than does the regular lattice, both sets of data show a much sharper melting transition than that of a single DNA link. Also, although our normalized $`C_{\mathrm{ext}}(\lambda ,T)`$ is calculated for the aggregates at 520 nm, we expect similar behavior at $`260`$ nm. (We have not carried out calculations at this $`\lambda `$ mainly because we have not included the DNA absorption properties.) In any case, the experimental melting curves at 260 and 520 nm are very similar .

## 5 Discussion

We have briefly described a model for structural development of DNA/gold nanoparticle clusters, and have calculated the resulting cluster optical properties using the DDA.

Our calculated extinction coefficients are good agreement with recent experimental results . In particular, both experiment and calculation give a sharp increase in $`C_{\mathrm{ext}}(\lambda ,T)`$ at fixed $`\lambda `$, as $`T`$ increases past a critical temperature. We also find, in agreement with experiment, that melting occurs over a much narrower range of $`T`$ in the aggregate than for a single bond, and that the melting occurs at higher $`T`$ for larger particles.

## 6 Acknowledgments.

This work has been supported by NSF Grant DMR01-04987, by the U.-S./Israel Binational Science Foundation, and by an Ohio State University Postdoctoral Fellowship. Calculations were carried out using the facilities of the Ohio Supercomputer Center.