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# Thermonuclear Supernova Explosions and Their Remnants: The case of Tycho

## 1 From supernova to supernova remnant

Thermonuclear supernovae play a key role in our understanding of the origin of elements, the chemical evolution of galaxies and the large scale structure of the universe. Yet, the many attempts to constrain their progenitor systems and elucidate the detailed physics of the explosion mechanism have been unsuccessful so far (see BK95 ; HN00  for reviews). In BBBD03  we established a connection between the thermal X-ray emission from shocked ejecta in the young supernova remnants originated by Type Ia explosions and a grid of 1D theoretical supernova models, including examples from all the explosion mechanisms currently under debate: pure deflagrations, delayed detonations, pulsating delayed detonations and sub-Chandrasekhar explosions. We showed that the different density and chemical composition profiles for the ejecta predicted by the explosion models have a profound impact on the dynamics of the young SNRs and result in different ionization states and electron temperatures for the shocked plasma, and therefore different emitted thermal X-ray spectra for each model. Significant conclusions about the explosion models can be drawn using this technique; in particular, the differences between 1D and 3D explosion models are large enough to have a noticeable impact on the spectrum of the shocked ejecta several hundred years after the explosion itself.

## 2 Discussion of the analysis technique

In BBBD03  an adiabatic 1D hydrodynamic code was used to follow the evolution of the SNR models. The use of an adiabatic code is justified by the absence of optical emission from radiatively cooled knots in the well known Type Ia SNRs Tycho and SN1006, in contrast to some core-collapse SNRs like Cas A, which do have such emission. We have calculated the order of magnitude of the radiative and ionization losses in the ejecta, and found that, except for a few extreme cases, their impact on the dynamics was negligible up to several thousand years after the explosion. Other factors that could compromise this simple modeling technique, like thermal conduction, would require even longer timescales, of the order of 10,000 yr, to have an impact on the overall evolution. Deviations from 1D dynamics, either produced during the formation of the remnant or already present in the ejecta or ambient medium (AM), are difficult to quantify WC01 . Type Ia SNRs seem to be more spherically symmetric than core-collapse SNRs, with significantly less turbulent dynamics, but the amount of clumping present in Type Ia SN ejecta is not known, even if observations seem to imply that it is not very large (see Bravo & García-Senz, these proceedings, and references therein). The presence of clumps in the shocked ejecta will not affect our conclusions unless their density contrast is very large. It is worth noting that analysis of some of the bright ejecta knots in Cas A seems to suggest that they have a low density contrast LH03 , but this remains an open question, and needs to be adressed with 3D models and high resolution X-ray observations.

## 3 Explosion models: 3D vs 1D

Numerical calculations of thermonuclear supernova explosions in one dimension have become a commonplace benchmark for the analysis of Type Ia SNe, but their validity is questionable because the subsonic combustion fronts (deflagrations) that play a fundamental role in all of them are subject to instabilities, and therefore cannot be simulated with 1D codes in a self-consistent way.

In recent times, the first three dimensional (3D) calculations of Type Ia explosions have begun to appear in the literature: see G03 ,R02  and the paper by Bravo & García-Senz in these proceedings. A common feature of all these calculations, and the most remarkable difference between 1D and 3D models, is the uniform mixing of unburnt C and O material with 56Ni and other elements throughout the ejecta. This mixing should have an impact on the optical spectra of the supernovae and on the thermal X-ray spectra from the shocked ejecta in the SNRs, but neither of these signatures has been confirmed so far. G03  pointed out that no evidence for low-velocity C and O was found in optical spectra of Type Ia SNe, but this assertion is being revised BLH03 . Spatially resolved spectroscopy of Type Ia SNRs also provides indirect evidence for some kind of composition stratification in the shocked ejecta HG97 ; D01 ; L03 . The absorbed UV spectrum of the Schweizer-Middleditch star, which is placed behind the remnant of SN1006, poses an alternative observational constraint for the presence of mixing in Type Ia SN ejecta. No evidence has been found for C or O absorption lines in HST observations of this star H97 , implying that these elements, if present, would have to be in ionization states very different from those of the observed Si and Fe.

## 4 Spectral signatures of C and O mixing in the ejecta of young SNRs

In Fig.1 we present the composition and density profiles of four Type Ia explosion models. DDTa is a 1D delayed detonation BBBD03 ; W7 is a 1D ’fast’ deflagration NTY84 ; DDT3DA and DEF3D30b are 1D mappings of 3D models described by Bravo & García-Senz elsewhere in these proceedings: DDT3DA is the delayed detonation with the transition where D¿2.5 and DEF3D30b is the deflagration with 30 equal size bubbles. The mixing of unburnt C and O with 56Ni (which we have represented as Fe, the product of its decay) is apparent in the two 3D models, in contrast with the layered structure of the 1D models.

One of the main conclusions of BBBD03  was that the density enhancement effect towards the contact discontinuity between ejecta and ISM, first pointed out in DC98  and confirmed by 2D simulations in D00 , dominates the integrated thermal X-ray emission from the shocked ejecta. Self-consistent calculation of electron heating reveals that this is also the hottest region. This leads to important contributions to the spectrum from elements that were not synthesized in large quantities in the explosion, but are located in hot, high density regions in the young SNR (X-ray emissivity scales as $`\rho ^2`$). The relative smoothness of the chemical composition profile for the 3D explosion models, however, tends to assuage this effect, and the relative contribution from each element to the emitted spectrum will be more closely related to the total amount of the element synthesized in the explosion.

In Fig.2 the total integrated spectrum for the four models at the age of the Tycho SNR is shown, calculated following the scheme described in BBBD03  and convolved with the instrumental response of the XMM-Newton Epic-MOS1 camera to facilitate comparison with the observed spectrum from the Tycho SNR, which is given in Fig.3. No Ar data are present in our atomic code, but there is enough information in the K$`\alpha `$ lines of Si, S, Ca and Fe, marked in Fig.2, and in the overall spectral shape, to extract significant conclusions. The large amount of Fe in the outer layers of the 3D models, which turn out to be the densest and hottest regions in the shocked ejecta throughout the evolution of the SNR (see BBBD03 ), dominates their emitted spectrum. The strength of the Fe L complex around 1 keV and the Fe K$`\alpha `$ line at 6.4 keV are incompatible with the observed spectrum of Tycho. The Fe emission is so strong, in fact, that the Fe continuum masks the contribution from Si, S and Ca, which are clearly seen in the observed spectrum. Another interesting feature of the 3D models is the presence of the Ni K$`\alpha `$ line at 7.5 keV. This line comes from stable Ni, whose parent nuclei are synthesized in small amounts together with 56Ni, and it has not been observed so far in any young Type Ia SNR. The large amount of C and O in the ejecta does not have a clear imprint on the spectrum because lines of these elements are located at low photon energies where the interstellar absorption and the poor spectral resolution of the XMM-Newton EPIC makes their detection difficult. The 1D models, on the other hand, show important contributions from Si, S and Ca, albeit the overall spectral shape is reproduced much better (but not perfectly!) by the DDTa model than by the W7 model. The absence of the Fe K$`\alpha `$ line in the W7 model is due to the fact that the Fe is at smaller radii, and therefore at a lower density and in a lower ionization state.

We conclude that the X-ray spectrum of the Tycho SNR cannot be explained with the current 3D explosion models for Type Ia SNe using the simulation scheme described in BBBD03 . The mixing of burnt and unburnt material throughout the supernova ejecta seems to contradict a number of independent observations, casting a doubt on the validity of the current 3D explosion models, at least in their present state. This is a preliminary conclusion; a final resolution of this issue should be based on more sophisticated hydrodynamical simulations of Type Ia SNRs.

## Index


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# Effect of Na content and hydration on the excitation spectrum of the cobaltite 𝐍𝐚_𝐱𝐂𝐨𝐎_𝟐⋅𝐲𝐇_𝟐𝐎

## 1 Properties of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$

The transition metal compound $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$ (x$``$1/3, 3/4 and y$``$0, 2/3, 4/3) has an appreciable, quasi-metallic conductivity and still shows aspects of strong electronic correlations. There is broader consensus that these correlations play an important role for the recently discovered superconductivity with $`\mathrm{T}_\mathrm{c}`$=4.6 K , the very large thermopower, and other anomalous transport properties .

The two-dimensional structure of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ is given by an incoherent coupling of $`\mathrm{CoO}_2`$ layers with Na layers stacked along the c axis . The resulting misfit and pronounced strain effects allow, similar to other misfit-layered oxides, for a considerable non-stoichiometry both on the cation and the oxygen sites and an inhomogeneity in charge distribution along the stacking direction of the compound . In $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$, with x$``$0.7, two partly occupied Na sites on a honeycomb lattice alternate along the c axis with a $`\mathrm{CoO}_2`$ layer of edge sharing $`\mathrm{CoO}_6`$ octahedra . Ionic conduction based on high Na mobility exists at room temperature. The octahedra in the $`\mathrm{CoO}_2`$ layers are tilted and have only two oxygen coordinates per layer along the c axis. These oxygen sites contain the single Co site. In the ab plane the Co sites form a planar triangular lattice, from geometrical point of view the perfect base for competing magnetic interactions. In Figure 1 a) and b) two projected views on the layered structure of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ are shown.

Samples of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ with a Na content 0.3$`<`$x$`<`$0.75 have been reported. This stoichiometry range corresponds to an average Co valency between $`\mathrm{Co}^{3.7+}`$ and $`\mathrm{Co}^{3.25+}`$. The $`3\mathrm{d}^5`$ and $`3\mathrm{d}^6`$ configurations of $`\mathrm{Co}^{4+}`$ and $`\mathrm{Co}^{3+}`$ occupy $`\mathrm{t}_{2\mathrm{g}}`$ levels in a low spin state with s=1/2 and s=0, respectively. Therefore, the above mentioned triangular lattice of Co sites with s=1/2 is far from half-filled, i.e. the spins are considerably diluted with s=0 states. In Figure 1 c) the corresponding CEF level schemes are shown together with the local coordination of two distorted $`\mathrm{CoO}_6`$ octahedra with the two Na sites, Na1 and Na2. Relevant states at the Fermi level are given by $`\mathrm{a}_{1\mathrm{g}}`$ states of $`3\mathrm{d}^5`$ in $`\mathrm{Co}^{4+}`$ that are split off from the other $`\mathrm{t}_{2\mathrm{g}}`$ levels . This split off is due to a combination of a trigonal distortion of the octahedra and kinetic effects .

The electronic state of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ shows some analogy to strongly doped high temperature superconductors with the additional very attractive aspect of frustration . Such a triangular lattice is expected to stabilize a resonance valence bond state better than the well-studied $`\mathrm{CuO}_2`$ square lattice. It also leads to three nesting vectors that could have important implications for the superconducting order parameter . Single band Hubbard models have been proposed as a reasonable simplification taking the split off $`\mathrm{a}_{1\mathrm{g}}`$ states as an underlying basis . From experimental point of view the role of electronic correlations and the minimal low-energy model is not clear , as the related Mott-Hubbard insulating phase of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ with 1/2 doping has never been prepared or observed and important electronic parameters could not be determined unambiguously.

The magnetic susceptibility $`\chi (\mathrm{T})`$ of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ shows a Curie-Weiss behavior with a negative Curie constant $`\theta _{\mathrm{cw}}`$=-170 K for x=0.75, while $`\chi (\mathrm{T})`$ is less temperature dependent for smaller x, i.e. $`\theta _{\mathrm{cw}}`$ is decreasing with increasing $`\mathrm{Co}^{4+}/\mathrm{Co}^{3+}`$. This composition dependence might be related either to spin frustration and/or additional ferromagnetic correlations. Only in samples with highest Na content (x=0.75) long-range magnetic ordering with ferrimagnetic or commensurate SDW ground state is observed with a $`\mathrm{T}_\mathrm{c}`$=22 K . In systems with smaller x long-range ordering can only be induced by defects, as Cu substitution on the Co site . Interestingly, the flat magnetic susceptibility for x=1/3 has been compared with TiOCl, a two-dimensional quantum spin system with spin gap formation due to orbital ordering and strong spin-lattice coupled fluctuations .

$`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ has an enormous thermopower and excellent thermoelectric figure of merit  that are comparable to the best broad-band semiconductors . These effects origin from the $`\mathrm{CoO}_2`$ layers as these layers are common structural elements for other known thermoelectric cobaltites, as $`\mathrm{Ca}_3\mathrm{Co}_4\mathrm{O}_9`$ and $`\mathrm{Bi}_2\mathrm{Sr}_2\mathrm{Co}_2\mathrm{O}_\mathrm{y}`$. The thermopower strongly depends on the ratio $`\mathrm{Co}^{4+}/\mathrm{Co}^{3+}`$. It increases with increasing x, i.e. for smaller $`\mathrm{Co}^{4+}/\mathrm{Co}^{3+}`$ and closer proximity to magnetic ordering . Applying a moderate longitudinal magnetic field in the ab plane it can be strongly depressed . The large magnetic field dependence rules out its origin in Fermi surface anomalies. Instead, the combination of a large spin/electronic degeneracy and hopping on a triangular, frustrated network has been suggested to be the origin of the large thermopower . Furthermore, the linear temperature dependence of the Hall coefficient at high temperatures and the linear metallic-like conductivity conductivity at low temperatures are both proposed to be related to electronic correlations on such a triangular lattice .

If the Na content is strongly reduced to x=0.33-0.35 the resulting samples are extremely hygroscopic and loosely bind $`\mathrm{H}_2\mathrm{O}`$ into two intercalated layers between the Na and the $`\mathrm{CoO}_2`$ layers. The result is $`\mathrm{Na}_{0.35}\mathrm{CoO}_21.3\mathrm{H}_2\mathrm{O}`$ with a nearly doubled c axis parameter . This systems shows superconductivity with $`\mathrm{T}_\mathrm{c}`$=4.6 K and considerable experimental and theoretical evidence for an unconventional superconducting order parameter exist . Initial investigations show a complex defect chemistry that allows reversible changes of the hydration level even at room temperature . On the other side it can safely be assumed that strain related to incoherent coupling of $`\mathrm{CoO}_2`$ layers to the partly occupied Na square planes is partly released by hydration. Therefore it might also have an effect on the electronic properties of $`\mathrm{Na}_{0.35}\mathrm{CoO}_21.3\mathrm{H}_2\mathrm{O}`$. At this point more explicit experimental information on the local site symmetries is highly desirable.

The existence range of the superconducting phase is very narrow 0.25$`<`$x$`<`$0.33  or has proposed to even be a single point of composition (x=1/3,y=4/3) . The former interval motivated theoretical investigations about possible competing charge ordered instabilities at the phase boundaries . These phases would correspond to a honeycomb and a Kagome lattice of s=1/2, respectively. Until now no experimental evidence for such phases or the corresponding transitions exists. It should also be noted, that the electronic structure of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2`$ and the hydrated variant can be considered as Kagome-like even without charge ordering .

The superconducting properties of $`\mathrm{Na}_{0.35}\mathrm{CoO}_21.3\mathrm{H}_2\mathrm{O}`$ resemble those of high temperature superconductors. The system is a type II superconductor with the critical fields $`\mathrm{H}_{\mathrm{c1}}`$=28 Oe and $`\mathrm{H}_{\mathrm{c2}}`$=61 T. The coherence lengths are $`\xi `$=2.3 nm and $`\lambda `$=570 nm with $`\kappa `$=250 . The large critical field $`\mathrm{H}_{\mathrm{c2}}`$=61 T is exceptional if compared to the small transition temperature. The anisotropy in transport increases with hydration from $`\rho _\mathrm{c}/\rho _{\mathrm{ab}}`$=200 to 1000. The specific heat shows a maximum at the transition $`\mathrm{\Delta }\mathrm{C}/\mathrm{T}_\mathrm{c}=10.4\mathrm{mJ}/\mathrm{molK}^2`$ and an electronic term $`\gamma =12.2\mathrm{mJ}/\mathrm{molK}^2`$ leading to a reduced jump of $`[\mathrm{\Delta }\mathrm{C}/\mathrm{T}_\mathrm{c}]/\gamma =0.85`$ considerably smaller than the BCS Value (1.43) . In another specific heat study a $`\mathrm{T}^2`$ contribution to the specific heat is observed and attributed to line nodes of the superconducting order parameter . Here, the other superconducting parameters differ considerably from above: $`\mathrm{\Delta }\mathrm{C}/\mathrm{T}_\mathrm{c}=7.13\mathrm{mJ}/\mathrm{molK}^2`$, $`\gamma =5.45\mathrm{mJ}/\mathrm{molK}^2`$ and $`[\mathrm{\Delta }\mathrm{C}/\mathrm{T}_\mathrm{c}]/\gamma =1.31`$. In these data a larger non-superconducting volume fraction has been taken into account and $`\gamma `$ corrected accordingly.

Recent NMR/NQR data show a similar lack of consistency. In one study the Co-Knight is T-independent above $`\mathrm{T}_\mathrm{c}`$ and decreases moderately for smaller temperatures. Together with the coherence peak in NMR this would signal a singlet order parameter with a full superconducting gap . Another experimental study highlights the negligible temperature dependence of the Knight-shift that is taken as evidence for spin-triplet state of superconductivity in $`\mathrm{Na}_{0.35}\mathrm{CoO}_21.3\mathrm{H}_2\mathrm{O}`$ .

These and other experimental studies are strongly hampered by the easy degradation of the sample and disorder on the Na site. The resulting small superconducting volume fraction does not allow a sample assembly into a vacuum setup at RT. In the present Raman scattering study special care has been taken to avoid these problems using a setup that allows rapid cooling down in a helium contact gas or performing the experiments at Room temperature in a sample cell with humidified atmosphere. Thereby we searched for possible effects of charge ordering or other instabilities and used phonon scattering due to oxygen vibrations as a sensitive probe of the local electronic and structural configuration.

## 2 Experimental

We have performed Raman scattering experiments on powder and single crystal samples of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$ as function of Na content x and hydration y. (xx) light polarization has been investigated with the incident and scattered electric field vector x in the ab plane of the crystallographic structure. Powder samples were prepared as described elsewhere  and cold pressed into tablets. Single crystals of $`\mathrm{Na}_{0.7}\mathrm{CoO}_2`$ were prepared using a travelling solvent floating zone optical furnace. In a following preparation step Na was deintercalated using a bromine or an electrochemical preparation step . The final hydration and/or equilibration has been performed in humidified air .

## 3 Raman scattering results

### 3.1 Symmetry considerations and lattice shell model

A symmetry analysis taking into account the $`\mathrm{P6}_3/\mathrm{mmc}`$ (194) point group for $`\mathrm{Na}_{0.7}\mathrm{CoO}_2`$  and $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$  leads to the following Raman-active modes

$$\mathrm{\Gamma }_{\mathrm{Raman}}=𝐀_{\mathrm{𝟏}𝐠}+𝐄_{\mathrm{𝟏}𝐠}+3𝐄_{\mathrm{𝟐}𝐠},$$

and the infrared-active modes

$$\mathrm{\Gamma }_{\mathrm{IR}}=4𝐀_{\mathrm{𝟐}𝐮}+4𝐄_{\mathrm{𝟏}𝐮}.$$

Each of the $`\mathrm{E}_{1\mathrm{g}}`$, $`\mathrm{E}_{2\mathrm{g}}`$ or $`\mathrm{E}_{1\mathrm{u}}`$ modes are doubly degenerate. In this analysis we skipped modes due to hydration of the samples, as no experimental evidence for such modes exist. In the following we will also not discuss anymore the $`3\mathrm{E}_{2\mathrm{g}}`$ modes related to Na and oxygen. These modes would be observable in (xz) polarization . The two Na related modes are expected to be smeared out due to disorder and the small occupation of the Na sites.

For the considered modes at the $`\mathrm{\Gamma }`$-point the displacement symmetries are $`\mathrm{A}_{1\mathrm{g}}`$ for a displacement in the $`z`$ direction and $`\mathrm{E}_{1\mathrm{g}}`$ for in-plane, diagonal $`xy`$ displacements. The $`\mathrm{A}_{1\mathrm{g}}`$ and $`\mathrm{E}_{1\mathrm{g}}`$ modes involve vibrations from only oxygen atoms. Due to full point-group symmetry the Co sites do not contribute to Raman scattering.

We have performed lattice shell model calculations of the phonon frequencies in $`\mathrm{Na}_{0.74}\mathrm{CoO}_2`$ . To accommodate for the partial occupation of the two Na sites, Na1(0.24) and Na2(0.5), the phonon frequencies for either a fully occupied site Na1 (or a fully occupied Na2) site have been calculated. The frequency of the E1g and A1g modes are 458 $`\mathrm{cm}^1`$ (457 $`\mathrm{cm}^1`$) and 586 $`\mathrm{cm}^1`$ (574 $`\mathrm{cm}^1`$), respectively, i.e. the higher energy A1g mode strongly depends on the Na site occupancy. As mentioned above the E1g mode is an in-plane oxygen mode with diagonal displacements while the A1g mode is an out-of-plane mode. This explains the strong sensitivity of this excitation to the Na content in the layers that divide the oxygen octahedra in c axis direction. In the following we will show that the pronounced frequency dependence of the A1g mode can be used as a very susceptible sensor of Na distribution/ordering.

### 3.2 Raman scattering on powder samples

Raman spectra of polycrystalline samples as given in Figure 2 show two sharp modes at 480 $`\mathrm{cm}^1`$ and 598 $`\mathrm{cm}^1`$. These modes correspond to the E1g and the A1g eigenmodes, respectively. The E1g mode hardens due to anharmonicity with decreasing temperature. The linewidth of the A1g mode is substantially broadened at higher temperature. This must be related to pronounced Na diffusion and disorder. At higher energies two very broad maxima exist at 800 and 1000 $`\mathrm{cm}^1`$. These signals are understood as two-phonon scattering. It is noteworthy, that the temperature dependence of this signal is most pronounced for samples that show superconductivity.

Reducing the hydration to zero, drastic effects happen at lower frequency. A broadened, quasi-elastic scattering is suppressed. This continuum might be related to quasi-diffusive excitations of $`\mathrm{H}_2\mathrm{O}`$ molecules. A second possibility are local paramagnetic fluctuations of the spin system. Such paramagnon scattering has been discussed for high temperature superconductors or other low-dimensional quantum spin systems . The continuum observed in $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$ resembles to early observations in $`\mathrm{MnF}_3`$  and would correspond to an exchange coupling constant of approximately 130 K. Its highest intensity is observed for y=0.7, i.e. in the sample with one $`\mathrm{H}_2\mathrm{O}`$ layer. Other sharp modes that do not show a consistent stoichiometry dependence, e.g. at 240 and 700 $`\mathrm{cm}^1`$, are attributed to defect modes.

### 3.3 Raman scattering on single crystals

Raman scattering experiments on single crystal surfaces do in general provide a better and more consistent view on the excitation spectrum of a compound. In the case of $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$, however, due to the complex defect chemistry given by easy hydration loss, high mobility of Na and its hydroxide formation special precautions have to be taken.

To investigate such effects results of a helium gas and vacuum exposure study are shown in Figure 3. A similar study on $`\mathrm{Na}_{0.7}\mathrm{CoO}_2`$ can be found in Ref. . The initial state of our $`\mathrm{Na}_{0.35}\mathrm{CoO}_21.3\mathrm{H}_2\mathrm{O}`$ single crystal (curve a) has been prepared by a freshly cleaved surface. The sample has then been stored and investigated in humid air for two days (b) and then mounted into a cryostat with Helium contact gas. Consecutive spectra have been taken after a storage at RT in dry Helium gas (c) and later under vacuum (d and e). These steps were interrupted by a cooling down to 200 K or below with cooling rates of 2-4 K/min.

It is evident from these data that the intrinsic phonon linewidth of the fully hydrated, single crystalline $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$ is very small. However, surface properties of the crystals show a degradation even under humidified air. Therefore, the linewidth of the c-axis $`\mathrm{A}_{1\mathrm{g}}`$ mode broadens. The following reduction of hydration in dry helium gas leads to a moderate decrease of the in-plane $`\mathrm{E}_{1\mathrm{g}}`$ mode by about 3 $`\mathrm{cm}^1`$. Most drastic is the effect of a vacuum treatment. The observed shift by 9 $`\mathrm{cm}^1`$ is exceptionally large and as the related mode is an in-plane oxygen vibration can not fully be accounted by the loss of hydration. Therefore we propose a loss of oxygen as the most probable origin of the phonon frequency shift in vacuum.

To figure out the effect of hydration on the ”parent compound” (xx) polarized Raman spectra of single crystals at T=295 K are given in Figure 4. In addition to two-phonon scattering with a maximum at 1170 $`\mathrm{cm}^1`$ and modes in the anti-Stokes regime at -470 and -590 $`\mathrm{cm}^1`$ for x=0.3 and 0.7, respectively, there are remarkable changes of the phonon modes in the frequency regime from 450-650 $`\mathrm{cm}^1`$. $`\mathrm{Na}_{0.7}\mathrm{CoO}_2`$ shows a strongly broadened band-like scattering intensity that has a maximum at 588 $`\mathrm{cm}^1`$, very close to the frequency calculated in a lattice shell model with fully occupied Na1 site. In $`\mathrm{Na}_{0.3}\mathrm{CoO}_21.3\mathrm{H}_2\mathrm{O}`$, in stead, two modes are observed at 582 and 469 $`\mathrm{cm}^1`$. The inset shows a fit using Lorentzians to these intensities. Three modes with different frequencies can be fitted to the broad band of $`\mathrm{Na}_{0.7}\mathrm{CoO}_2`$.

We interpret the broad band of scattering in $`\mathrm{Na}_{0.7}\mathrm{CoO}_2`$ as due to a considerable strain and possible sublattice formation of the not fully occupied Na1 and Na2 sites. With decreasing temperature a part of this broadening is reduced, as e.g. also seen in the experiments on polycrystalline samples in Figure 2. Ordering processes have been evidenced from $`{}_{}{}^{23}\mathrm{Na}\mathrm{NMR}`$ in the temperature regime 250-300 K and attributed to a charge disproportionation of the effective $`\mathrm{Co}^{3.4+}`$ into $`\mathrm{Co}^{3+}`$ $`\mathrm{Co}^{4+}`$ . The sensitivity of the c-axis $`\mathrm{A}_{1\mathrm{g}}`$ mode frequency on Na site occupation and the high mobility of Na at room temperatures, however, do not support this interpretation.

In the superconducting, hydrated system the phonon spectrum is not broadened although the Na sublattice is even more diluted. Therefore we conclude, that the intercalated and well-ordered $`\mathrm{H}_2\mathrm{O}`$ layers  shield the related disorder. As the observed phonon frequencies correspond to in-plane and out-of-plane eigenmodes of the $`\mathrm{CoO}_6`$ octahedra and their trigonal distortion determines the above discussed Co $`\mathrm{a}_{1\mathrm{g}}`$ level energy, an effect of disorder on this level and the density of states at $`\mathrm{E}_\mathrm{F}`$  is unquestionable. The observed broadenings and frequency shifts therefore suggest that the narrow superconducting phase space as function of x  and the reduced superconducting volume observed in specific heat measurements  are rather connected with Na disorder than with the proposed charge ordering instabilities that compete with superconductivity . Further well-controlled studies as function of stoichiometry, disorder and temperature are underway.

## 4 Conclusions

Our Raman scattering investigations on the superconducting cobaltites $`\mathrm{Na}_\mathrm{x}\mathrm{CoO}_2\mathrm{yH}_2\mathrm{O}`$ as function of Na content and hydration show pronounced effects related to partial occupation and disorder on the Na site. In contrast, no evidence for charge ordering has been found. The strong sensitivity of the transition temperature on local lattice distortions is proposed to origin from a local modulation of the $`\mathrm{a}_{1\mathrm{g}}`$ split off from the remaining Co $`\mathrm{t}_{2\mathrm{g}}`$ levels. These effects support models of superconductivity based on electronic correlations.

### Acknowledgments

The authors acknowledge fruitful discussions with R. Kremer, I. Nekrasov, V.I. Anisimov, R. Zeyer, P. Horsch, and G. Khaliullin. This work was supported by DFG SPP1073, NATO PST.CLG.9777766, INTAS 01-278, CREST of JST (Japanese Science and Technology Corporation) and the MRSEC Program of the National Science Foundation under award number DMR 02-13282.

## References


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# Photonic crystal polarizers and polarizing beam splitters

## Abstract

We have experimentally demonstrated polarizers and polarizing beam splitters based on microwave-scale two-dimensional photonic crystals. Using polarized microwaves within certain frequency bands, we have observed a squared-sinusoid (Malus) transmission law when using the photonic crystal as a polarizer. The photonic crystal also functions as a polarizing beamsplitter; in this configuration it can be engineered to split incident polarizations in either order, making it more versatile than conventional, Brewster-angle beamsplitters.

Photonic crystals are periodic dielectric structures that possess a unique band structure for electromagnetic (EM) waves. Their periodic boundary conditions produce multiple Bragg reflections, preventing the propagation of radiation within certain frequency and wavevector bands. In general, the specific characteristics of the band structure of a photonic crystal depend strongly on its geometry and material composition. A diverse set of applications has been proposed for photonic crystalsreview-reference , including suppression of spontaneous emission Yablonovitch1987  and optical waveguides Cregan1999 ; Chow2000 .

Although scalar approximations are usually adequate for electronic band structure calculations in solid-state materials, the vector nature of EM radiation must be taken into account when physically modelling photonic crystals. In particular, the transmission properties of a photonic crystal depend on its orientation relative to the polarization of the incident fields. Polarization-dependent band gap characteristics have been experimentally observed for propagation in the plane of periodicity in both slab and bulk two-dimensional (2D) photonic crystals Chow2000 ; Foteinopoulou2001 ; Hickmann2002 . While both of these structures possess periodicity in two dimensions, slabs are thin in their extruded (nonperiodic) dimension compared with the lattice constant, whereas bulk crystals are much larger in their extruded dimension than the lattice spacing. In bulk crystals, the band gaps for both incident polarizations are well-formed, although the center frequency, depth, width, and shape depend on the polarization Hickmann2002 . Slab crystals have a well-defined band gap for only one polarization and show only a small, incomplete band gap for the other Joannopoulos1999 .

The polarization properties associated with the band structure of a 2D crystal can be qualitatively understood considering the anisotropy of the lattice. In particular, each polarization experiences different boundary conditions depending on whether it is parallel or perpendicular to the plane of symmetry. Thus, the Fresnel coefficients are different for the two possible polarizations at each dielectric interface, even at normal incidence. These birefrigent properties have been recently exploited in the construction of a compact new kind of photonic crystal waveplate capable of controlling the polarization of light in transparent spectral regions Solli2002b .

In this work, we report a proof of principle experiment demonstrating a polarizer and a polarizing beam splitter (PBS) based on a bulk 2D photonic crystal, using microwave radiation. We show that a 2D photonic crystal can act as a polarizer if there is sufficient separation between the band gaps for different light polarizations. For the frequency ranges in which the band gaps do not overlap, one polarization is transmitted while the other is reflected. The quality of this type of polarizer depends on the transmission contrast and absolute transmission in the frequency region in question, and its useful bandwidth is determined by the frequency width of the non-overlap region. Photonic crystal polarization splitters have been suggested before Ohtera1999 ; however, emphasis was placed on the fabrication of a specific photonic crystal structure and no new direct experimental verification of the operation of the polarizer was presented. In addition, the novelty of a Brewster-independent polarizing beamsplitter was not discussed. It is also important to note that the results presented in our work were obtained with significantly lower index contrast in the dielectric materials.

We constructed the photonic crystals used in this experiment with a method described elsewhere Hickmann2002 . In short, hollow acrylic pipes (refraction index $`1.61`$ Gray1972 ) stacked in a triangular array form a bulk hexagonal lattice whose air-filling fraction (AFF) and lattice spacing are determined by the inner and outer diameters of the pipes. The crystals used in this experiment had a lattice spacing of 1/2 inch, with an AFF of 0.60. We tested crystals ranging from two to twenty layers. The scale of these crystals allows us to build them with extremely high precision and a large number of layers.

We measured the transmission through the crystals using a method that has also been previously described Hickmann2002 . Polarization-sensitive transmitter and receiver horns were used to couple microwaves between free space and an HP 8720A vector network analyzer (VNA). The crystal was positioned inside a microwave-shielded box with an aperture 14 cm $`\times `$ 17 cm, deep in the far field (1.6 m) of the transmitter horn. The crystal is oriented so that the microwaves are incident in the $`\mathrm{\Gamma }M`$ direction Foteinopoulou2001 . The receiver horn was placed inside the box, centered directly behind the crystal in line with the transmitter and aperture. Since the crystal was far from the transmitter compared with the relevant wavelengths, the microwaves incident upon the crystal were effectively plane waves with a well-defined linear polarization. We confirmed this by measuring the transmission between crossed horns in the absence of the photonic crystal, finding a power suppression of $``$ 35 dB relative to the aligned configuration. A schematic of the experimental setup is presented in Fig. 1.

The fundamental band gap for our crystal is centered at roughly 11 GHz for transverse magnetic (TM) waves and 10.5 GHz for transverse electric (TE) waves. We label the polarizations TM and TE with respect to the plane of periodicity of the crystal; thus the electric field is perpendicular to the pipes for TM polarized waves and parallel to the pipes for TE polarized waves. The band gap depth and width also depend on polarization. There is a clear region of non-overlap around 11.4 GHz, in which TM radiation is strongly reflected and TE radiation is primarily transmitted (see Fig. 2).

In order to verify the operation of the crystal as a linear polarizer, we fixed the crystal orientation and simultaneously rotated both horns around the axis of propagation. If the horns are kept parallel during the rotation, this is equivalent to fixing the horns and rotating the crystal. Since the horns are polarization-sensitive, this operation should give a measured transmitted field of

$$E=E_0\mathrm{sin}^2\theta \text{,}$$
(1)
where $`E_0`$ is the incident electric field amplitude and $`\theta `$ is the rotation angle defined such that at $`\theta =0`$ the radiation detected by the receiver horn corresponds to pure TM polarized waves. We also performed this experiment with the horns perpendicular (crossed), in which case simultaneous rotation gives

$$E=E_0\left|\mathrm{cos}(\theta )\mathrm{sin}(\theta )\right|=\frac{1}{2}\left|\mathrm{sin}(2\theta )\right|\text{.}$$
(2)
The results of these experiments, normalized to a maximum of unity transmission, are shown in the inset of Fig. 2. In both cases, the data agree very well with the expected polarizer relations of Eqs. 1 and 2. The intensity transmission at 0 degrees with the horns parallel was 0.0036% of the incident radiation, and the maximum to minimum transmitted power ratio was roughly 15,000:1, limited by our experimental resolution.

We note that the maximum external transmission of TE polarized radiation at 11.4 GHz was only $`80\%`$. This power loss is due in part to external reflections from the crystal faces. The remainder arises because the transmission through a photonic crystal at fixed frequencies outside the band gap displays oscillatory properties as a function of the number of layers in the structure. These effects do not represent a fundamental limit to the quality of photonic crystal linear polarizer devices, because with proper engineering and a greater number of layers these values will improve.

In addition to the fundamental band gap, we observed the next higher order or double-frequency band gap in our structure (see Fig. 3). This gap is centered at roughly twice the frequency of the fundamental and has approximately twice the width. Its average depth appears greater, which can be qualitatively understood based on the increased optical path length at this frequency.

We repeated the above experiments between 19.1 and 19.2 GHz (within this double-frequency band gap) to verify the operation of the linear polarizer at higher-order band gaps. An interesting feature in this region is that the band gaps have an appreciable non-overlap region to the red (in addition to the one to the blue) in which TM radiation is transmitted and TE radiation is reflected. Because of this inverted reflection/transmission relation, the maximum transmission with the horns aligned should occur at 0 and 180 (using the same angle convention as before) rather than 90. With the horns crossed, the angular dependence should again be given by Eq. 2. The results of these measurements (again normalized to a maximum of unity transmission) are shown in Fig. 3 along with the relevant TM and TE transmission spectra. In both cases, the data show the expected angular dependence. With the horns aligned, the intensity transmission at 90 degrees was 0.032% of the incident radiation, and the maximum to minimum power ratio was approximately 1,800:1.

It is worth noting that the photonic crystal polarizer discussed here differs from conventional linear polarizers because it reflects rather than absorbs the rejected polarization. In this sense, it is similar to a PBS. However, unlike conventional PBS devices, which operate by Brewster-angle reflections, this beam splitter can be engineered to split the polarizations in either order. As demonstrated above, by appropriately choosing a frequency region (or engineering a photonic crystal given a fixed frequency) the beam splitter can transmit either TE or TM radiation, while reflecting the other. Since this beam splitter does not rely on Brewster’s angle, the angle between the direction of propagation of the rejected polarization and the incident beam is not constrained. In fact, as demonstrated here, it works even at normal incidence. Because of the previous considerations, photonic crystal PBSs are much more versatile devices than conventional, Brewster-based beam splitters.

In designing photonic crystal polarizers and PBSs, it will be important to find or engineer structures with the correct band structure characteristics. To be useful as a polarizer, a photonic crystal should have a deep and wide band gap for at least one polarization. If the structure has band gaps for both independent polarizations, there must exist some frequency region in which they do not overlap, and the wider this region, the greater the useful bandwidth of the polarizer. Along these lines, it is also advantageous to utilize higher-order band gaps. They are generally deeper than the fundamental, and since their center frequencies occur at multiples of the fundamental frequency, their widths and relative separation for the two polarizations are greater.

In conclusion, we have demonstrated that photonic crystals can be used as linear polarizers and polarizing beam splitters by exploiting their polarization-dependent transmission and reflection properties. Since Maxwell’s equations are scale-invariant, all the microwave results presented here apply equally across the EM spectrum. We anticipate that these devices will have applications in situations requiring compact, tailored polarization control. They may be particularly useful in the optical region of the spectrum as integrated elements in photonic crystal circuits and related devices.

This work was supported by ARO grant number DAAD19-02-1-0276. We thank the UC Berkeley Astronomy Department, in particular Dr. R. Plambeck, for lending us the VNA. JMH thanks the support from Instituto do Milênio de Informação Quântica, CAPES, CNPq, FAPEAL, PRONEX-NEON, ANP-CTPETRO.


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# RADIATIVE EVENTS IN DIS OF UNPOLARIZED ELECTRON BY TENSOR POLARIZED DEUTERON. RADIATIVE CORRECTIONS.

## 1 Acknowledgements

We acknowledge numerous usful discussions with Prof. N.P.Merenkov.


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# The continuum limit of perturbative coefficients calculated with a large field cutoff

## Abstract

We report MC calculations of perturbative coefficients for lattice scalar field theory in dimensions 1, 2 and 3, where the large field contributions are cutoff. This produces converging (instead of asymptotic) perturbative series. We discuss the statistical errors and the lattice effects and show that accurate calculations are possible even in a crossover region where no approximation works. We show that the field cutoff is also a UV regulator. We point out the relevance for QCD questions discussed by Tomboulis and Trottier at this conference.

A central problem in quantum field theory is the presence of different behaviors at different scales. This is clearly the case for QCD  where the short distance behavior can be described using perturbation theory, while confinement and other non-perturbative phenomena appear at large distance. A somehow similar situation is encountered in scalar and spin models. We limit here the discussion to the symmetric phase where a trivial high-temperature (strong coupling) fixed point is present. Perturation theory generically fails to provide a proper description of the RG flows near the HT fixed point. From this point of view, the fact that the perturbative series are asymptotic is not surprising.

Asymptotic series can be a serious problem for problems where the strong interactions correction are taken into account. A good example is the hadronic width of the $`Z`$, where the third order corrections are about two-third of the second order corrections and larger than the experimental error bar for the combined LEP experiments. Perturbative methods also play an important role in the improvement methods that were used to obtain unprecedented accuracy for quantities that can be compared with experiments. Given these recent successes, the standards of accuracy are raised and it is likely that the lack of convergence of QCD series will need to be addressed in the near future.

A simple way to convert an asymptotic series into a convergent one consists in introducing a large field cutoff. It has been shown with three $`\varphi ^4`$ problems  that the modified series converge toward values which are exponentially close to the exact ones. At a fixed order, it is possible to chose the field cutoff in order to optimize the accuracy. The three examples discussed in Ref.  can be solved accurately with numerical methods . However, for generic problems, this kind of calculation can be quite difficult, especially in a crossover region (illustrated in Fig. 3) where neither semi-classical methods or HT expansion are available. This difficulty reflects the fact that, in general, the interpolation between RG fixed points is a difficult non-linear problem that has only be solved for simplified models (see  for an example).

When no other methods are available, one has to resort to the MC method to perform calculations of the modified perturbative coefficients. In the following, we consider lattice scalar models with nearest neighbor interactions and one component at each site, in 1, 2 or 3 dimensions. For a lattice with $`N_s`$ sites, we will consider the following quantities relevant for perturbation theory:

$`A_0`$ $`=`$ $`<{\displaystyle \underset{x}{}}\varphi _x^2>/N_s`$ (1)
$`A_1`$ $`=`$ $`<{\displaystyle \underset{x}{}}\varphi _x^4>/N_s`$ (2)
$`A_2`$ $`=`$ $`(<({\displaystyle \underset{x}{}}\varphi _x^4)^2><{\displaystyle \underset{x}{}}\varphi _x^2>^2)/N_s.`$ (3)
The average $`<>`$ correspond to a Gaussian model where the integration at each site goes from $`\varphi _{max}`$ to $`\varphi _{max}`$. In $`D=1`$, the continuum values for $`\varphi _{max}=\mathrm{}`$ are $`A_0=1/2`$, $`A_1=3/4`$ and $`A_2=21/8`$. For $`D`$=2 or 3, $`A_0`$ is UV divergent. Two kinds of errors that should be taken into account: the statistical errors and the errors due to the finite lattice spacing.

The statistical errors decrease as the inverse square root of the number of decorrelated configurations. The correlation times are estimated from the exponential decay of the correlations. If we denote by $`O_i`$ the value of the observable $`O`$ in a configuration $`i`$, the correlations $`C(n)`$ are subtracted averages of $`O_iO_{i+n}`$. Fig. 1 illustrates this exponential decay in an example. Alternatively, we can use Ref.  to estimate the statistical error for correlated data.

Second, we need to take into account the lattice effects. For small enough lattice spacing $`a`$, a simple power behavior $`c+a^\alpha `$ is observed, $`c`$ being the continuum value that we are trying to calculate. The power behavior can be extracted from the statistical fluctuations (which increase when $`a`$ becomes small!) for an intermediate range of lattice spacing, using a nonlinear fit. This is illustrated in Fig. 2. More detail will be provided in .

The comparison between the MC results obtained with the method described above and the accurate numerical results obtained with methods inspired by Ref.  is shown below in the case $`D=1`$ . The MC estimates for $`A_1`$ for various $`\varphi _{max}`$ are compared with accurate values in the table below

$`\varphi _{max}`$ MC Num.    3 0.738(4) 0.7333  2.5 0.646(12) 0.6482  2 0.422(9) 0.4315  1.5 0.178(2) 0.1807  1 0.03987(3) 0.03995

The results for $`A_1`$ and $`A_2`$ are shown in Fig. 3. The MC estimates for $`A_2`$ require a subtraction and are less accurate. We expect that better results can be obtained by improving the statistics and refining the nonlinear fit method.

It is possible to calculate approximately the values at the bottom (top) of the curves of Fig. 3 using a HT expansion (semi-classical methods) and reliable interpolation methods are being developed to apprach the crossover region.

$`A_0`$ diverges like Ln($`a`$) in $`D=2`$ and $`1/a`$ in $`D=3`$, when the lattice spacing $`a0`$. However, the field cut takes care of this divergence. This is illustrated in Fig. 4 for $`D=2`$. This regularization has a simple explanation: since the average (1) provides a positive measure, we can obtain a bound by replacing $`\varphi _x^2`$ by its maximal value. This yields the bound $`A_0\varphi _{max}^2`$. The field cut can be thought as produced by an interaction of the form $`(\varphi /\varphi _{max})^s`$ in the large $`s`$ limit. Consequently, this should not affect the universal features of the model and it should be possible to calculate the critical exponents using modified perturbative methods. We are planning to extend these methods to gauge theories.


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# Equivalence of domains arising from duality of orbits on flag manifolds II

## 1. Introduction

Let $`G_{}`$ be a connected complex semisimple Lie group and $`G_{}`$ a connected real form of $`G_{}`$. Let $`K_{}`$ be the complexification in $`G_{}`$ of a maximal compact subgroup $`K`$ of $`G_{}`$. Let $`X=G_{}/P`$ be a flag manifold of $`G_{}`$ where $`P`$ is an arbitrary parabolic subgroup of $`G_{}`$. Then there exists a natural one-to-one correspondence between the set of $`K_{}`$-orbits $`S`$ and the set of $`G_{}`$-orbits $`S^{}`$ on $`X`$ given by the condition:

(1.1)
$$SS^{}SS^{}\text{ is non-empty and compact}$$

(\[M4\]). For each $`K_{}`$-orbit $`S`$ we defined in \[GM1\] a subset $`C(S)`$ of $`G_{}`$ by

$$C(S)=\{xG_{}xSS^{}\text{ is non-empty and compact}\}$$

where $`S^{}`$ is the $`G_{}`$-orbit on $`X`$ given by (1.1).

Akhiezer and Gindikin defined a domain $`D/K_{}`$ in $`G_{}/K_{}`$ as follows (\[AG\]). Let $`𝔤_{}=𝔨𝔪`$ denote the Cartan decomposition of $`𝔤_{}=\mathrm{Lie}(G_{})`$ with respect to $`K`$. Let $`𝔱`$ be a maximal abelian subspace in $`i𝔪`$. Put

$$𝔱^+=\{Y𝔱|\alpha (Y)|<\frac{\pi }{2}\text{ for all }\alpha \mathrm{\Sigma }\}$$

where $`\mathrm{\Sigma }`$ is the restricted root system of $`𝔤_{}`$ with respect to $`𝔱`$. Then $`D`$ is defined by

$$D=G_{}(\mathrm{exp}𝔱^+)K_{}.$$

We conjectured the following in \[GM1\].

###### Conjecture 1.1.

(Conjecture 1.6 in \[GM1\]) Suppose that $`X=G_{}/P`$ is not $`K_{}`$-homogeneous. Then we will have $`C(S)_0=D`$ for all $`K_{}`$-orbits $`S`$ of nonholomorphic type on $`X`$. Here $`C(S)_0`$ is the connected component of $`C(S)`$ containing the identity. $`(`$See \[GM1, M6\] for the definition of the $`K_{}`$-orbits of nonholomorphic type. When $`G_{}`$ is of non-Hermitian type, all the $`K_{}`$-orbits are defined to be of nonholomorphic type.$`)`$

Let $`S_{\mathrm{op}}`$ denote the unique open $`K_{}`$-$`B`$ double coset in $`G_{}`$ where $`B`$ is a Borel subgroup of $`G_{}`$ contained in $`P`$. It is shown in \[H\] and \[M5\] that $`DC(S_{\mathrm{op}})_0`$. (The opposite inclusion $`DC(S_{\mathrm{op}})_0`$ is proved in \[B\].) On the other hand the inclusion $`C(S_{\mathrm{op}})_0C(S)_0`$ for every $`K_{}`$-orbit $`S`$ on $`X=G_{}/P`$ is shown in \[GM1\] Proposition 8.1 and Proposition 8.3. So we have the inclusion

(1.2)
$$DC(S)_0.$$

We have only to prove the opposite inclusion.

For a simple root $`\alpha `$ with respect to $`B`$ we can define a parabolic subgroup $`P_\alpha `$ by

$$P_\alpha =BBw_\alpha B$$

where $`w_\alpha `$ is the reflection for the root $`\alpha `$. Let $`S_0`$ be a closed $`K_{}`$-$`B`$ double coset in $`G_{}`$. Let $`S_1,\mathrm{},S_{\mathrm{}}`$ ($`\mathrm{}=\text{codim}_{}S_0`$) be a sequence of $`K_{}`$-$`B`$ double cosets in $`G_{}`$ and $`\alpha _1,\mathrm{}\alpha _{\mathrm{}}`$ a sequence of simple roots such that

$$S_k^{cl}=S_0P_{\alpha _1}\mathrm{}P_{\alpha _k}$$

and that

$$dim_{}S_k=dim_{}S_0+k$$

for $`k=1,\mathrm{},\mathrm{}`$ (c.f. \[GM2\], \[M3\], \[Sp\]). Especially $`S_{\mathrm{}}=S_{\mathrm{op}}`$.

In this paper we first prove the following theorem.

###### Theorem 1.2.

Let $`x`$ be an element of $`G_{}`$. If $`I_0=xS_0S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _1}`$ is connected, then

$$I_k=xS_k^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}$$

is connected for $`k=1,\mathrm{},\mathrm{}`$. $`(`$$`S_{\mathrm{op}}^{}`$ is the unique closed $`G_{}`$-$`B`$ double coset in $`G_{}`$ which corresponds to $`S_{\mathrm{op}}`$ by $`(1.1)`$.$`)`$

###### Remark 1.3.

The sets $`I_k(k=0,\mathrm{},\mathrm{})`$ are always nonempty because $`xS_0P_{\alpha _1}\mathrm{}P_\alpha _{\mathrm{}}=xS_{\mathrm{op}}^{cl}=G_{}S_{\mathrm{op}}^{}`$.

Let $`S`$ be a $`K_{}`$-$`P`$ double coset in $`G_{}`$. Then we can write

$$S^{cl}=S_k^{cl}=S_0P_{\alpha _1}\mathrm{}P_{\alpha _k}$$

with some closed $`K_{}`$-$`B`$ double coset $`S_0`$ and a sequence $`\alpha _1,\mathrm{},\alpha _k`$ of simple roots (\[M3\], \[Sp\]). Secondly we prove the following.

###### Theorem 1.4.

(i) If $`xD^{cl}`$, then $`I_k`$ is connected.

(ii) If $`xD^{cl}C(S)`$, then $`I_k=xSS_k^{}.`$

As a corollary we solve Conjecture 1.1 for non-Hermitian cases:

###### Corollary 1.5.

Let $`G_{}`$ be simple and of non-Hermitian type. Then $`C(S)_0=D`$ for all the $`K_{}`$-orbits $`SX`$ on $`X=G_{}/P`$.

###### Proof.

When $`S`$ is open in $`G_{}`$, the equality is proved in \[M6\]. So we may assume that $`S`$ is not open. Let $`x`$ be an element of $`D^{cl}C(S)`$. Then we have only to show that $`xD`$. Since $`S_kP_{\alpha _{k+1}}\mathrm{}P_{\alpha _\mathrm{}1}S_{\mathrm{op}}=\varphi `$, we have $`S_k^{}P_{\alpha _{k+1}}\mathrm{}P_{\alpha _\mathrm{}1}S_{\mathrm{op}}^{}=\varphi `$ by the duality (\[M2\]) and therefore

$$S_{\mathrm{op}}^{}P_{\alpha _\mathrm{}1}\mathrm{}P_{\alpha _{k+1}}S_k^{}=\varphi .$$

By Theorem 1.4 (ii) we have

$`xS^{cl}S_{\mathrm{op}}^{}P_{\alpha _\mathrm{}1}\mathrm{}P_{\alpha _{k+1}}`$ $`=xS^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}S_{\mathrm{op}}^{}P_{\alpha _\mathrm{}1}\mathrm{}P_{\alpha _{k+1}}`$
$`=xSS_k^{}S_{\mathrm{op}}^{}P_{\alpha _\mathrm{}1}\mathrm{}P_{\alpha _{k+1}}=\varphi .`$
Hence

$$xS_\mathrm{}1^{cl}S_{\mathrm{op}}^{}=xS^{cl}P_{\alpha _{k+1}}\mathrm{}P_{\alpha _\mathrm{}1}S_{\mathrm{op}}^{}=\varphi .$$

For the orbit $`S_\mathrm{}1`$ we defined the following domain $`\mathrm{\Omega }`$ in \[GM2\].

$$\mathrm{\Omega }=\{xG_{}xS_\mathrm{}1^{cl}S_{\mathrm{op}}^{}=\varphi \}_0.$$

It is shown in \[FH\] Theorem 5.2.6 and \[M6\] Corollary 1.8 that

$$\mathrm{\Omega }=D$$

when $`G_{}`$ is of non-Hermitian type. Hence $`xD`$. ∎

###### Remark 1.6.

Recently \[M7\] proved Conjecture 1.1 for all non-closed $`K_{}`$-orbits in Hermitian cases using Theorem 1.4. Thus the conjecture is now completely solved affirmatively.

## 2. $`G_{}`$-orbits on the full flag manifold

The full flag manifold $``$ of $`G_{}`$ is the set of the Borel subgroups of $`G_{}`$. If we take a Borel subgroup $`B_0`$ of $`G_{}`$, then the factor space $`G_{}/B_0`$ is identified with $``$ by the map

$$G_{}/B_0gB_0gB_0g^1.$$

It is known that every $`G_{}`$-orbit ($`G_{}`$-conjugacy class) on $``$ contains a Borel subgroup of the form

$$B=B(𝔧,\mathrm{\Sigma }^+)=\mathrm{exp}\left(\underset{\alpha \mathrm{\Sigma }^+\{0\}}{}𝔤_{}(𝔧,\alpha )\right)$$

where $`𝔧`$ is a $`\theta `$-stable Cartan subalgebra of $`𝔤_{}`$, $`\mathrm{\Sigma }^+`$ is a positive system of the root system $`\mathrm{\Sigma }`$ of the pair $`(𝔤_{},𝔧_{})`$ and $`𝔤_{}(𝔧,\alpha )=\{X𝔤_{}[Y,X]=\alpha (Y)X\text{ for all }Y𝔧\}`$ (\[A\], \[M1\], \[R\]).

Roots in $`\mathrm{\Sigma }`$ are usually classified as follows.

(i) If $`\theta (\alpha )=\alpha `$ and $`𝔤_{}(𝔧,\alpha )𝔨_{}`$, then $`\alpha `$ is called a “compact root”.

(ii) If $`\theta (\alpha )=\alpha `$ and $`𝔤_{}(𝔧,\alpha )𝔪_{}`$, then $`\alpha `$ is called a “noncompact root”.

(iii) If $`\theta (\alpha )=\alpha `$, then $`\alpha `$ is called a “real root”.

(iv) If $`\theta (\alpha )\pm \alpha `$, then $`\alpha `$ is called a “complex root”.

For a simple root $`\alpha `$ of $`\mathrm{\Sigma }^+`$ define the parabolic subgroup $`P_\alpha `$ as in Section 1. By the same arguments as in \[V\] Lemma 5.1 and \[M3\] Lemma 3, we can prove the following decomposition of $`P_\alpha /BP^1()`$ into the $`P_\alpha G_{}`$-orbits.

###### Lemma 2.1.

(i) If $`\alpha `$ is compact, then $`P_\alpha =(P_\alpha G_{})B`$.

(ii) If $`\alpha `$ is noncompact or real, then $`P_\alpha /BP^1()=\{\mathrm{}\}`$ is decomposed into the three $`(P_\alpha G_{})_0`$-orbits $`H_+,H_{}`$ and $`H_0`$ which are diffeomorphic to the upper half plane, the lower half plane and $`P^1()=\{\mathrm{}\}`$, respectively. $`(`$Sometimes $`H_+`$ and $`H_{}`$ are in the same $`P_\alpha G_{}`$-orbit.$`)`$

(iii) If $`\alpha `$ is complex, then $`P_\alpha /B`$ is decomposed into the two $`P_\alpha G_{}`$-orbits consisting of a point $`yB`$ and the complement $`(P_\alpha yB)/B`$.

###### Remark 2.2.

Concerning the $`K_{}`$-action on $`G_{}/B`$, it is shown in \[V\] Lemma 5.1 (c.f. \[M3\] Lemma 3, \[GM1\] Lemma 9.1) that:

(i) If $`\alpha `$ is compact, then $`P_\alpha =(P_\alpha K_{})B`$.

(ii) If $`\alpha `$ is noncompact or real, then $`P_\alpha /B`$ is decomposed into three $`(P_\alpha K_{})_0`$-orbits consisting of two points and the complement.

(iii) If $`\alpha `$ is complex, then $`P_\alpha /B`$ is decomposed into two $`P_\alpha K_{}`$-orbits consisting of a point and the complement.

As a corollary of Lemma 2.1 we have:

###### Corollary 2.3.

Let $`g`$ be an arbitrary element of $`G_{}`$. Then every $`(gP_\alpha g^1G_{})_0`$-invariant closed subset of $`gP_\alpha /B`$ is connected.

###### Remark 2.4.

On the contrary a $`gP_\alpha g^1K_{}`$-invariant closed subset of $`gP_\alpha /B`$ may not be connected in view of Remark 2.2 (ii).

## 3. Proof of the theorems

Proof of Theorem 1.2. We will prove the theorem by induction on $`k`$. Suppose that $`I_{k1}`$ is connected. Then

$`I_{k1}P_{\alpha _k}`$ $`=(xS_{k1}^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _k})P_{\alpha _k}`$
$`=xS_k^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _k}`$
$`=(xS_k^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}})P_{\alpha _k}`$
$`=I_kP_{\alpha _k}`$
is connected. Suppose that $`I_k=A_1A_2`$ with some nonempty closed subsets $`A_1`$ and $`A_2`$ of $`I_k`$. Then we will get a contradiction. Since the Borel subgroup $`B`$ is connected, $`A_1`$ and $`A_2`$ are right $`B`$-invariant. Since $`A_1P_{\alpha _k}`$ and $`A_2P_{\alpha _k}`$ are closed and

$$A_1P_{\alpha _k}A_2P_{\alpha _k}=I_kP_{\alpha _k}$$

is connected, we have $`A_1P_{\alpha _k}A_2P_{\alpha _k}\varphi `$. Take an element $`g`$ of $`A_1P_{\alpha _k}A_2P_{\alpha _k}`$. Then $`gP_{\alpha _k}I_k`$ is decomposed as

$$gP_{\alpha _k}I_k=(gP_{\alpha _k}A_1)(gP_{\alpha _k}A_2)$$

with two nonempty closed subsets $`gP_{\alpha _k}A_1`$ and $`gP_{\alpha _k}A_1`$. But this contradicts Corollary 2.3 because $`gP_{\alpha _k}I_k=gP_{\alpha _k}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}`$ is $`gP_{\alpha _k}g^1G_{}`$-invariant.

$`\mathrm{}`$

###### Lemma 3.1.

(i) $`S_k`$ is relatively closed in $`S_{\mathrm{op}}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}`$.

(ii) $`S_k^{}`$ is relatively open in $`S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}`$.

###### Proof.

By the duality for the closure relation (\[M3\]) we have only to show (i). Let $`\stackrel{~}{S}`$ be a $`K_{}`$-$`B`$ double coset contained in the boundary of $`S_k`$. Then

$$\text{codim}_{}\stackrel{~}{S}>\text{codim}_{}S_k=\mathrm{}k.$$

Hence $`\stackrel{~}{S}`$ cannot be contained in $`S_{\mathrm{op}}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}`$ by \[V\] Lemma 5.1 (c.f. \[GM1\] Lemma 9.1). ∎

Proof of Theorem 1.4. (i) Since $`S_0/B`$ is compact and $`S_0^{}/B`$ is open, we see that

$`C(S_0)`$ $`=\{xG_{}xS_0S_0^{}\text{ is nonempty and closed in }G_{}\}`$
$`=\{xG_{}xS_0S_0^{}\}.`$
Hence $`C(S_0)_0`$ is the cycle space for $`S_0^{}`$ defined in \[WW\]. Since $`DC(S_0)_0`$ by (1.2), it follows that

$$xDxS_0S_0^{}.$$

Suppose that $`xD^{cl}`$. Then we have

$$xS_0S_{0}^{}{}_{}{}^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _1}$$

and hence $`I_0=xS_0`$ is connected. By Theorem 1.2 the intersection

$$I_k=xS^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}$$

is connected.

(ii) By Lemma 3.1 $`S_k^{}`$ is relatively open in $`S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}`$. On the other hand $`S`$ is also relatively open in $`S^{cl}`$. Hence

(3.1) $`xSS_k^{}`$ is relatively open in $`I_k=xS^{cl}S_{\mathrm{op}}^{}P_\alpha _{\mathrm{}}\mathrm{}P_{\alpha _{k+1}}`$.
Suppose that $`xC(S)`$. Then $`xSS^{}`$ is nonempty and closed in $`G_{}`$ by definition. Since $`S_k^{}`$ is relatively closed in $`S^{}`$, it follows that

(3.2)
$$xSS_k^{}\text{ is closed in }G_{}.$$

Since $`xSS^{}=(xSS_k^{})P`$, it also follows that

(3.3)
$$xSS_k^{}\text{ is nonempty}.$$

Suppose moreover that $`xD^{cl}`$. Then $`I_k`$ is connected by (i). Hence it follows from (3.1), (3.2) and (3.3) that

$$I_k=xSS_k^{}.\mathrm{}$$


text:
# Why a ring of stars at 𝑟=20 kpc?

## 1 A Giant Stellar Ring in the Milky Way Plane

Recently the discovery was announced of what appears to be a ring of stars, with radius of order 20 kpc, circling the Galaxy yan ; iba ; maj . I will not discuss the evidence for the alleged ring of stars, but merely assume that it exists. The existence of such a ring is puzzling. In ref. yan , the ring is interpreted as the tidal stream from an accreted satellite galaxy. However, in this interpretation it is hard to account for the fact that the star population is confined to a nearly circular region iba . Also, it would be an accident that the tidal stream lies in the Galactic plane. Ibata et al. iba  propose instead that the ring of stars is a perturbation of the Galactic disk population. They do not however explain what causes the perturbation. I would like to propose that the perturbation that causes the ring of stars at $`r=20`$ kpc is the gravitational field of a caustic ring of dark matter.

Several years ago caustic rings of dark matter were predicted in the Galactic plane at radii $`a_n40\mathrm{kpc}/n`$ where $`n=1,2,3,..`$ cr . The ring of stars at $`r=20`$ kpc may be baryonic matter accreted onto the $`n=2`$ caustic ring of dark matter. This interpretation would account for both its radius and its location in the Galactic plane.

The existence of dark matter caustics in the halos of galaxies is a corollary of the observation ips  that cold dark matter particles lie on a three-dimensional sheet in six-dimensional phase-space. There are compelling reasons to believe that the dark matter of the universe is constituted in large part of non-baryonic collisionless particles with very small primordial velocity dispersion, such as axions and/or weakly interacting massive particles (WIMPs). Generically, such particles are called cold dark matter (CDM). The primordial velocity dispersion of the leading cold dark matter candidates is extremely small, of order $`10^{12}c`$ for WIMPs and $`310^{17}c`$ (at most) for axions. This means that, before the onset of structure formation, all the particles at a given location $`\stackrel{}{x}`$ have the same velocity $`\stackrel{}{v}(\stackrel{}{x})`$, i.e. the particles lie on a 3-dim. sheet in 6-dim. phase space. The thickness of the sheet is the velocity dispersion. Because the number of particles is huge (of order $`10^{84}`$ axions and/or $`10^{68}`$ WIMPs per galactic halo), the sheet is effectively continuous. It cannot break and hence its evolution is constrained by topology.

## 2 The Phase-Space Structure of Galactic Halos

Where a galaxy forms, the sheet wraps up in phase-space, turning clockwise in any two dimensional cut $`(x,\dot{x})`$ of that space. $`x`$ is the physical space coordinate in an arbitrary direction and $`\dot{x}`$ its associated velocity. The outcome of this process is a discrete set of flows at any physical point in a galactic halo ips . Two flows are associated with particles falling through the galaxy for the first time ($`n=1`$), two other flows are associated with particles falling through the galaxy for the second time ($`n=2`$), and so on. Scattering in the gravitational wells of inhomogeneities in the galaxy (e.g. molecular clouds and globular clusters) are ineffective in thermalizing the flows with low values of $`n`$. Recently, Stiff and Widrow widr  have put these discrete flows, also called ’velocity peaks’, into evidence in $`N`$-body simulations using a new technique which increases the resolution of the simulations in the relevant regions of phase-space.

A commonly raised objection to the above picture is that before the dark matter falls onto a large galaxy, such as our own, it has already clustered on smaller scales, making dwarf halos and other types of clumps, in a process called ”hierarchical clustering”. However, this is not a valid objection. The effect of hierarchical clustering is only to produce an effective velocity dispersion for the infalling dark matter, i.e. a thickening of the phase space sheet. This effective velocity dispersion is at most equal to the velocity dispersion, of order 10 km/s, of dwarf halos and on average should be much less than that. Because the effective velocity dispersion of the infalling dark matter is much less than the 300 km/s velocity dispersion of the Galaxy as a whole, the phase space sheet folds in qualitatively the same way as in the zero velocity dispersion case. The flows and caustics remain.

Caustics appear wherever the projection of the phase-space sheet onto physical space has a fold cr ; sing ; lens ; Tre . Generically, caustics are surfaces in physical space. On one side of the caustic surface there are two more flows than on the other. At the surface, the dark matter density is very large. It diverges there in the limit of zero velocity dispersion. There are two types of caustics in the halos of galaxies, inner and outer. The outer caustics are simple fold $`(A_2)`$ catastrophes located on topological spheres surrounding the galaxy. They occur near where a given outflow reaches its furthest distance from the galactic center before falling back in. The inner caustics are rings cr . They occur near where the particles with the most angular momentum in a given inflow reach their distance of closest approach to the galactic center before going back out. A caustic ring is a closed tube whose cross-section is an elliptic umbilic ($`D_4`$) catastrophe sing . The existence of these caustics and their topological properties are independent of any assumptions of symmetry.

Primordial peculiar velocities are expected to be the same for baryonic and dark matter particles because they are caused by gravitational forces. Later the velocities of baryons and CDM differ because baryons collide with each other whereas CDM is collisionless. However, because angular momentum is conserved, the net angular momenta of the dark matter and baryonic components of a galaxy are aligned. Since the caustic rings are located near where the particles with the most angular momentum in a given infall are at their closest approach to the galactic center, they lie close to the galactic plane.

A specific proposal was made for the radii $`a_n`$ of caustic rings cr :

$$\{a_n:n=1,2,\mathrm{}\}(39,19.5,13,10,8,\mathrm{})\mathrm{kpc}\times \left(\frac{j_{\mathrm{max}}}{0.25}\right)\left(\frac{v_{\mathrm{rot}}}{220\frac{\mathrm{km}}{\mathrm{s}}}\right)$$
(1)
where $`v_{\mathrm{rot}}`$ is the rotation velocity of the galaxy and $`j_{\mathrm{max}}`$ is a parameter with a specific value for each halo. For large $`n`$, $`a_n1/n`$. Eq. 1 is predicted by the self-similar infall model ss ; sty  of galactic halo formation. $`j_{\mathrm{max}}`$ is then the maximum of the dimensionless angular momentum $`j`$-distribution sty . The self-similar model depends upon a parameter $`ϵ`$ ss . In CDM theories of large scale structure formation, $`ϵ`$ is expected to be in the range 0.2 to 0.35 sty . Eq. 1 is for $`ϵ=0.3`$. However, in the range $`0.2<ϵ<0.35`$, the ratios $`a_n/a_1`$ are almost independent of $`ϵ`$. When $`j_{\mathrm{max}}`$ values are quoted below, $`ϵ=0.3`$ and $`h=0.7`$ will be assumed.

It was pointed out in ref. sty  that including angular momentum in the self-similar infall model results in a depletion of the inner halo and hence an effective core radius. The average amount of angular momentum of the Milky Way halo was estimated sty  by requiring that approximately half of the rotation velocity squared at our location is due to dark matter, the other half being due to ordinary matter. This yields $`\overline{j}0.2`$ where $`\overline{j}`$ is the average of the $`j`$-distribution for our halo. $`\overline{j}`$ and $`j_{\mathrm{max}}`$ are related if some assumption is made about the shape of the $`j`$-distribution. For example, if the $`j`$-distribution is taken to be that of a rigidly rotating sphere, one has $`j_{\mathrm{max}}=\frac{4}{\pi }\overline{j}`$. Hence $`j_{\mathrm{max}}0.25`$ for our halo.

Since caustic rings lie close to the galactic plane, they cause bumps in the rotation curve, at the locations of the rings. In ref. kinn  a set of 32 extended well-measured rotation curves was analyzed and statistical evidence was found for the $`n=1`$ and $`n=2`$ caustic rings, distributed according to Eq. 1. In this analysis, each of the 32 individual galactic rotation curves was rescaled according to

$$r\stackrel{~}{r}=r\left(\frac{220\mathrm{km}/\mathrm{s}}{v_{\mathrm{rot}}}\right)$$
(2)
where $`v_{\mathrm{rot}}`$ is the measured rotation velocity. To isolate the outer halo-dominated portion of the rotation curves, all data with rescaled radii $`\stackrel{~}{r}<10`$ kpc were removed. Each rotation curve was then fitted to a line or a quadratic polynomial. The residual deviations were normalized to the rms deviation in each fit and then binned together. The result is the composite rotation shown in Fig. 1 for the case where the individual rotation curves were fitted to quadratic polynomials. The composite rotation curve has two peaks, near 20 kpc and 40 kpc, with statistical significance of $`3\sigma `$ and $`2.6\sigma `$ respectively. It implies that the $`j_{\mathrm{max}}`$ distribution is peaked near 0.27. The rotation curve of NGC3198, one of the best measured, by itself shows three faint bumps which are consistent with Eq. 1 and $`j_{\mathrm{max}}=0.28`$ cr . Also our earlier estimate of $`j_{\mathrm{max}}`$ for the Milky Way halo is close to the peak value of 0.27.

## 3 Evidence for Ring Caustics in the Milky Way

Eq. 1 with $`j_{\mathrm{max}}=0.25`$ implies that our halo has caustic rings with radii near 40 kpc/$`n`$, where $`n`$ is an integer. Here we point to evidence in support of this extraordinary claim.

It was already mentioned that the recently discovered ring of stars at $`r=20`$ kpc may be interpreted as baryonic matter accreted onto the $`n=2`$ caustic ring of dark matter. This interpretation accounts for the 20 kpc radius of the ring as well as for its location in the galactic plane. The spatial coincidence of the 20 kpc ring of stars with the predicted $`n=2`$ caustic ring may, of course, be fortuitous. So it is natural to ask whether there is similar evidence for any of the other caustic rings. The answer is yes for the $`n=3`$ ring. Binney and Dehnen studied bin  the outer rotation curve of the Milky Way and concluded that its anomalous behavior can be explained if most of the tracers of the rotation are concentrated in a ring of radius $`1.6r_{}`$ where $`r_{}`$ is our distance to the galactic center. Throughout this paper we use the standard value $`r_{}=8.5`$ kpc. That value is assumed in Eq. 1, and also in refs. yan ; iba . The Binney and Dehnen ring is therefore at 13.6 kpc, which is very close to the predicted radius of the $`n=3`$ caustic ring. Moreover, there is independent evidence for the existence of the Binney and Dehnen ring.

Olling and Merrifield have recently published olli  a rotation curve for the Milky Way. It is reproduced in Fig. 2. It shows a significant rise between 12.7 and 13.7 kpc. The increase in rotation velocity is 27%, from 220 to 280 km/s. A ring of matter in the Galactic plane produces a rise the rotation curve. The rise expected from the $`n=3`$ caustic ring of dark matter, by itself, is only of order 3%. However, the effect of a caustic ring of dark matter is amplified by the ordinary matter (stars, gas, dust ..) which it attracts gravitationally. The amplification would have to be by a factor of order nine in the case of the $`n=3`$ ring. One may think, at first, that such as a large amplification is implausible because the back reaction of the ring of ordinary matter upon the caustic ring of dark matter would determine the position of the latter, instead of the latter determining the position of the former. However this is not so because the dark matter caustic is not an overdensity of particles which are at rest with respect to the caustic ring. The particles which at a given time make up the caustic ring are moving with great speed, of order 360 km/s for $`n=3`$, and are continually replaced by new particles. As a result, the position of the caustic ring is insensitive to the gravitational field of the matter it attracts.

The existence of rings of ordinary matter precisely where the $`n=2`$ and $`n=3`$ rings of dark matter are predicted may yet be fortuitous. Fig. 1 does not show a significant rise near the predicted location (10 kpc) of the $`n=4`$ caustic ring. Note however that the error bars in Fig. 1 are very large for $`r>r_{}`$. The rise near 10 kpc, if indeed there is one, may be too small to show up in the data. On the other hand, the inner ($`r<r_{}`$) part of the rotation curve is far better measured, and we may go look for rises there.

Galactic rotation curves are obtained from HI and CO surveys of the Galactic plane. A list of surveys performed to date is given in ref. merr . Everything else being equal, CO surveys have far better angular resolution than HI surveys because their wavelength is nearly two orders of magnitude smaller (0.26 cm vs. 21 cm). The most detailed inner Galactic rotation curve appears to be that obtained clem  from the Massachusetts-Stony Brook North Galactic Plane CO survey CO . It is reproduced in Fig. 3. It shows highly significant rises between 3 and 8.5 kpc. Eq. 1 predicts ten caustic rings between 3 and 8.5 kpc. Allowing for ambiguities in identifying rises, the number of rises in the rotation curve between 3 and 8.5 kpc is in fact approximately ten. Below 3 kpc the predicted rises are so closely spaced that they are unlikely to be resolved in the data.

Table I lists ten rises, identified by the radius $`r_1`$ where they start, the radius $`r_2`$ where they end, and the increase $`\mathrm{\Delta }v`$ in rotation velocity. The rises are marked as slanted line segments in Fig. 3. The evidence for the rise between 7.30 and 7.42 kpc is relatively weak, so the corresponding numbers are in parenthesis in the Table.

The effect of a caustic ring in the plane of a galaxy upon its rotation curve was analyzed in ref. sing . The caustic ring produces a rise in the rotation curve which starts at $`r_1=a_n`$, where $`a_n`$ is the caustic ring radius, and which ends a $`r_2=a_n+p_n`$, where $`p_n`$ is the caustic ring width. The ring widths depend in a complicated way on the velocity distribution of the infalling dark matter at last turnaround sing  and are not predicted by the model. They also need not be constant along the ring.

In the past, rises (or bumps) in galactic rotation curves have been interpreted as due to the presence of spiral arms spam . Spiral arms may in fact cause some of the rises in rotation curves. This does not, however, exclude the possibility of other valid explanations. Two properties of the high resolution rotation curve of Fig. 3 favor the interpretation that its rises are caused by caustic rings of dark matter. First, there are of order ten rises in the range of radii covered (3 to 8.5 kpc). This agrees qualitatively with the predicted number of caustic rings, whereas only three spiral arms are known in that range: Scutum, Sagittarius and Local. Second, the rises are sharp transitions in the rotation curve, both where they start $`(r_1)`$ and where they end $`(r_2)`$. Sharp transitions are consistent with caustic rings because the latter have divergent density at $`r_1=a`$ and $`r_2=a+p`$ in the limit of vanishing velocity dispersion. Finally, there are bumps and rises in rotation curves measured at galactocentric distances much larger than the disk radius, where no spiral arms are seen. In particular, the features found in the composite rotation curve of Fig. 1 are at distances 20 kpc and 40 kpc when scaled to our own galaxy.

The self-similar infall model prediction for the caustic ring radii, Eq. 1, was fitted to the eight rises between 3 and 7 kpc by minimizing $`rmsd[\frac{1}{8}{\displaystyle \underset{n=7}{\overset{14}{}}}(1\frac{a_n}{r_{1n}})^2]^{\frac{1}{2}}`$ with respect to $`j_{\mathrm{max}}`$, for $`ϵ=0.30`$. The fit yields $`j_{\mathrm{max}}=0.263`$ and $`rmsd=3.1\%`$. The fourth column of Table I shows the corresponding caustic ring radii $`a_n`$. In Fig. 3 the latter are indicated by short vertical line segments.

The velocity increase due to a caustic ring is given by

$$\mathrm{\Delta }v_n=v_{\mathrm{rot}}f_n\frac{\mathrm{\Delta }I(\zeta _n)}{\mathrm{cos}\delta _n(0)+\varphi _n^{}(0)\mathrm{sin}\delta _n(0)}.$$
(3)
The $`f_n`$, defined in ref. cr , are predicted by the self-similar infall model, but $`\mathrm{\Delta }I(\zeta _n),\delta _n(0)`$ and $`\varphi _n^{}(0)`$, defined in ref. sing , are not. Like the $`p_n`$, the latter parameters depend in a complicated way on the velocity distribution of the dark matter at last turnaround. On the basis of the discussion in ref. sing , the ratio on the RHS of Eq. 3 is expected to be of order one, but to vary from one caustic ring to the next. The size of these fluctuations is easily a factor two, up or down. The fifth column of Table I shows $`\mathrm{\Delta }v_n`$ with the fluctuating ratio set equal to one, i.e. $`\overline{\mathrm{\Delta }}v_nf_nv_{\mathrm{rot}}`$.

For the reasons just stated, the fact that the observed $`\mathrm{\Delta }v`$ fluctuate by a factor of order 2 from one rise to the next is consistent with the interpretation that the rises are due to caustic rings. However the observed $`\mathrm{\Delta }v`$ (column 3) are typically a factor 5 larger than the velocity increases expected from the caustic rings acting alone (column 5). This is similar to what we found for the $`n=3`$ caustic ring, and suggests that the effects of the $`n=5\mathrm{}14`$ caustic rings are also amplified by baryonic matter they have accreted. I’ll argue that the gas in the disk has sufficiently high density and low velocity dispersion to produce such large amplification factors. I’ll also give observational evidence in support of the hypothesis.

The equilibrium distribution of gas is:

$$d_{\mathrm{gas}}(\stackrel{}{r})=d_{\mathrm{gas}}(\stackrel{}{r}_0)\mathrm{exp}[\frac{3}{<v_{\mathrm{gas}}^2>}(\varphi (\stackrel{}{r})\varphi (\stackrel{}{r}_0))],$$
(4)
where $`d`$ is density and $`\varphi `$ gravitational potential. In the solar neighborhood, $`d_{\mathrm{gas}}310^{24}\frac{\mathrm{gr}}{\mathrm{cm}^3}`$ BT , which is comparable to the density of dark matter inside the tubes of caustic rings near us. From the scale height of the gas BT  and the assumption that it is in equilibrium with itself and the other disk components, I estimate $`v_{\mathrm{gas}}^2^{\frac{1}{2}}8`$ km/s. The variation in the gravitational potential due to a caustic ring over the size of the tube is of order $`\mathrm{\Delta }\varphi _{\mathrm{CR}}2fv_{\mathrm{rot}}^2p/a(5\frac{\mathrm{km}}{\mathrm{s}})^2`$. Because $`\frac{3}{<v_{\mathrm{gas}}^2>}\mathrm{\Delta }\varphi _{\mathrm{CR}}`$ is of order one, the caustic rings have a large effect on the distribution of gas in the disk. The accreted gas amplifies and can dominate the effect of the caustic rings on the rotation curve. To check whether this hypothesis is consistent with the shape of the rises would require detailed modeling, as well as detailed knowledge on how the rotation curve is measured. However, there is observational evidence in support of the hypothesis.

The accreted gas may reveal the location of caustic rings in maps of the sky. Looking tangentially to a ring caustic from a vantage point in the plane of the ring, one may recognize the tricusp sing  shape of the $`D_4`$ catastrophe. I searched for such features. The IRAS map of the galactic disk in the direction of galactic coordinates $`(l,b)=(80^{},0^{})`$ shows a triangular shape which is strikingly reminiscent of the cross-section of a ring caustic. The relevant IRAS maps are posted at http://www.phys.ufl.edu/$``$sikivie/triangle/ . They were downloaded from the Skyview Virtual Observatory (http://skyview.gsfc.nasa.gov/). The vertices of the triangle are at $`(l,b)=(83.5^{},0.4^{}),(77.8^{},3.4^{})`$ and $`(77.8^{},2.6^{})`$. The shape is correctly oriented with respect to the galactic plane and the galactic center. To an extraordinary degree of accuracy it is an isosceles triangle with axis of symmetry parallel to the galactic plane, as is expected for a caustic ring whose transverse dimensions are small compared to its radius. Moreover its position is consistent with the position of a rise in the rotation curve, the one between 8.28 and 8.43 kpc ($`n=5`$). The caustic ring radius implied by the image is 8.31 kpc and its dimensions are $`p130`$ pc and $`q200`$ pc, in the directions parallel and perpendicular to the galactic plane respectively. It therefore predicts a rise which starts at 8.31 kpc and ends at 8.44 kpc, just where a rise is observed. The probability that the coincidence in position of the triangular shape with a rise in the rotation curve is fortuitous is less than $`10^3`$.

In principle, the feature at $`(80^{},0^{})`$ should be matched by another in the opposite tangent direction to the nearby ring caustic, at approximately $`(80^{},0^{})`$. Although there is a plausible feature there, it is much less compelling than the one in the $`(+80^{},0^{})`$ direction. There are several reasons why it may not appear as strongly. One is that the $`(+80^{},0^{})`$ feature is in the middle of the Local spiral arm, whose stellar activity enhances the local gas and dust emissivity, whereas the $`(80^{},0^{})`$ feature is not so favorably located. Another is that the ring caustic in the $`(+80^{},0^{})`$ direction has unusually small dimensions. This may make it more visible by increasing its contrast with the background. In the $`(80^{},0^{})`$ direction, the nearby ring caustic may have larger transverse dimensions.

## 4 The Big Flow

Our proximity to a caustic ring means that the corresponding flows, i.e. the flows in which the caustic occurs, contribute very importantly to the local dark matter density. Using the results of refs. cr ; sing ; sty , we can estimate their densities and velocity vectors. Let us assume, for illustrative purposes, that we are in the plane of the nearby caustic and that its outward cusp is 55 pc away from us, i.e. $`a_5+p_5=8.445`$ kpc. The densities and velocity vectors on Earth of the $`n=5`$ flows are then:

$$d^+=1.710^{24}\frac{\mathrm{gr}}{\mathrm{cm}^3},d^{}=1.510^{25}\frac{\mathrm{gr}}{\mathrm{cm}^3},\stackrel{}{v}^\pm =(470\widehat{\varphi }\pm 100\widehat{r})\frac{\mathrm{km}}{\mathrm{s}},$$
(5)
where $`\widehat{r},\widehat{\varphi }`$ and $`\widehat{z}`$ are the local unit vectors in galactocentric cylindrical coordinates. $`\widehat{\varphi }`$ is in the direction of galactic rotation. The velocities are given in the (non-rotating) rest frame of the Galaxy. Because of an ambiguity, it is not presently possible to say whether $`d^\pm `$ are the densities of the flows with velocity $`\stackrel{}{v}^\pm `$ or $`\stackrel{}{v}^{}`$. The large size of $`d^+`$ is due to our proximity to the outward cusp of the nearby caustic. Its exact value is sensitive to our distance to the cusp. We do not know that distance well enough to estimate $`d^+`$ with accuracy. However we can say that $`d^+`$ is very large, of order the value given in Eq. 5, perhaps even larger. If we are inside the tube of the nearby caustic, there are two additional flows on Earth, aside from those given in Eq. 5. A list of local densities and velocity vectors for the $`n5`$ flows can be found in ref. bux . An updated list is in preparation.

Eq. 5 has dramatic implications for dark matter searches. Previous estimates of the local dark matter density, based on isothermal halo profiles, range from 5 to 7.5 $`10^{25}\frac{\mathrm{gr}}{\mathrm{cm}^3}`$. The present analysis implies that a single flow ($`d^+`$) has of order three times (or more) that much local density.

The sharpness of the rises in the rotation curve and of the triangular feature in the IRAS map implies an upper limit on the velocity dispersion $`\delta v_{\mathrm{DM}}`$ of the infalling dark matter. Caustic ring singularities are spread over a distance of order $`\delta a\frac{R\delta v_{\mathrm{DM}}}{v}`$ where $`v`$ is the velocity of the particles in the caustic, $`\delta v_{\mathrm{DM}}`$ is their velocity dispersion, and $`R`$ is their turnaround radius. The sharpness of the IRAS feature implies that its edges are spread over $`\delta a<\text{ }20`$ pc. Assuming that the feature is due to the $`n=5`$ ring caustic, $`R`$ 180 kpc and $`v480`$ km/s. Therefore $`\delta v_{\mathrm{DM}}<\text{ }53`$ m/s. This bound is strongly at odds with the often quoted claim that structure formation on small scales causes all, or nearly all, late infalling dark matter to be in dwarf galaxy type clumps, with velocity dispersion of order 10 km/s.

The caustic ring model may explain the puzzling persistence of galactic disk warps war . These may be due to outer caustic rings lying somewhat outside the galactic plane and attracting visible matter. The resulting disk warps would not damp away, as is the case in more conventional explanations of the origin of the warps, but would persist on cosmological time scales.

The caustic ring model, and more specifically the prediction Eq. 5 of the locally dominant flow associated with the nearby ring, has important consequences for axion dark matter searches adm , the annual modulation bux ; ann ; stiff ; SW  and signal anisotropy anis ; stiff  in WIMP searches, the search for $`\gamma `$-rays from dark matter annihilation gam , and the search for gravitational lensing by dark matter caustics lens ; mou . The model makes predictions for each of these approaches to the dark matter problem.

I thank the Aspen Center for Physics for its hospitality while this paper was written. This work is supported in part by U.S. DOE grant DEFG05-86ER-40272.


text:
# Searches for Leptoquarks with the DØ Detector at the TeVatron

(October 15, 2002)

Poster Presentation & Short Communication in Plenary Session of
Frontier Science, Frascati, Italy, Oct. 6-11, 2002

The existence of leptoquarks (LQ), color-triplets of bosons with lepton and quark quantum numbers, is predicted by different theories beyond the Standard Model. This article summarizes the DØ Run-I searches for the three different LQ generations in $`p\overline{p}`$ collisions at $`\sqrt{s}=1.8`$ TeV and presents ongoing studies at Run II.

Limits on proton decays, on lepton flavor violation and on flavor-changing neutral currents lead to the assumption that there would be three different generations of leptoquarks, each one of them only interacting within one lepton and quark family. Figure 1 shows Feynman graphs of the dominant production processes in $`p\overline{p}`$ collisions.

Using about 100 pb-1 of $`p\overline{p}`$ collision data with a center-of-mass energy of $`\sqrt{s}=1.8`$ GeV recorded during Run I with the DØ detector, no evidence for the existence of leptoquarks was found. The results on the leptoquark searches were combined to 95% confidence limits on the LQ-pair production cross section as a function of the mass $`m_{LQ}`$ for the different models and leptoquark generations. The lower limits for masses of 1st-generation scalar leptoquarks are 225 GeV, 204 GeV and 79 GeV, assuming a branching fraction to charged leptons of $`\beta =BF(LQl^\pm q)`$ = 1, 1/2 and 0, respectively. The corresponding limits for the 2nd-generation scalar LQ masses are determined to 200 GeV, 180 GeV and 79 GeV. For 3rd-generation LQ masses comparable to $`m_{top}`$, the decay $`LQ_3t+l`$ is suppressed or even forbidden. Studies of the $`\nu b\overline{\nu }\overline{b}`$ channel yield a lower mass limit of $`94`$ GeV for scalar 3rd-generation leptoquarks and $`\beta =0`$.

If both leptoquarks decay into an electron and a quark, two electrons and two jets can be reconstructed. The left diagram in figure 2 shows the di-electron mass of $`eejj`$ Run-II candidates collected between November 2001 and May 2002 with $`\sqrt{s}2`$ GeV. These 18 events, equivalent to an integrated luminosity of about $`8.8`$ pb-1, are compatible with background ($`15\pm 5`$ events expected) which is dominated by Drell-Yan $`Z`$ production. Comparing the limits on the cross section for different masses $`m_{LQ}`$ to NLO calculations for scalar leptoquarks, the lower limit on the mass of 1st-generation leptoquarks is 113 GeV. This is compatible with earlier results from Run I and reflects the lower integrated luminosity.

Taking advantage of the increased collision energy and luminosity of the TeVatron for Run II, DØ will be able to extend its searches for leptoquarks to so far inaccessible leptoquark masses. Especially for the second generation, the search for leptoquark pair production will greatly benefit from the upgraded muon spectrometer, the central tracking system with the newly installed magnetic solenoid and the new trigger system.