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# Measurements of accretion disc corona size in LMXB: consequences for Comptonization and LMXB models

## 1 Introduction

A major problem that has impeded understanding of Low Mass X-ray Binaries containing neutron stars over many years has been the controversy over the location and nature of the X-ray emission regions. Two radically different descriptions were developed in the mid-1980s, the Western model and the Eastern model. In the Western model, the dominance of Comptonization in the spectra of LMXB was acknowledged by modelling the spectra with the Generalised Thermal model having the form of a power law, cut off at high energies corresponding to the energy limit of Comptonizing electrons (White, Stella & Parmar 1988). The Eastern model assumes multi-temperature blackbody emission from the inner disc, plus emission from the neutron star providing the seed photons for the observed Comptonized emission (Mitsuda et al. 1989). Comptonization is assumed to take place either in the atmosphere of the neutron star or in a small, central region containing hot electrons. Both Western and Eastern model were generally capable of providing good fits to the spectra of LMXB, and so could not be discriminated between on this basis, although the values of model parameters obtained are sometimes not physically acceptable (see below). In the 1990s, there was increasing evidence that two emission components were present in all sources, whereas the Western model only needed a second component in bright sources. A new model (the Birmingham model) closely related to the Western model was proposed in which two continuum components exist in all LMXB, simple blackbody emission from the neutron star plus Comptonized emission from an extended accretion disc corona (ADC) above the accretion disc (Church & Bałucińska-Church 1995). The addition of the blackbody results in markedly different spectral fitting results compared with the Western model for parameters such as the cut-off energy (e.g. Church et al. 1998b). Clearly, the physical descriptions contained in the Birmingham model and the Eastern model are radically different and the failure to resolve which model is correct has been a major impediment to understanding. This includes understanding of the phenomena in LMXB, for example, the physical changes taking place during track movement in the Z-track and Atoll sources.

The Eastern model is extensively used. For example, the model has been applied in analysis of BeppoSAX data of XB 1658-298 (Oosterbroek et al. 2001a), for GX 3+1 and Ser X-1 (Oosterbroek et al. 2001b), and in studies of globular cluster sources (Sidoli et al. 2001). Done, Życki & Smith (2002) argued for the model on theoretical grounds and then applied the Eastern model to analysis of data on Cyg X-2, as was the case for 4U 1608-52 (Gierlinski & Done 2002). Barret, Olive & Oosterbroek (2003) used the Eastern model for BeppoSAX and RXTE observations of 4U 1812-12, but concluded that the blackbody emission was from the neutron star. Narita, Grindlay & Barret (2001) carried out spectral fitting of ASCA observations of GX 354-0 and KS 1731-260 and give a detailed discussion in terms of the models above. The physical description of the emitting regions can be made very specific by proponents of the Eastern model. For example, Done et al. (2002) assume that there is an intrinsic low energy cut-off in the spectrum at $``$1 keV due to lack of low energy seed photons, and that the emission of the neutron star is probably buried beneath an optically thick boundary layer, leaving the disc and the boundary layer as the emitters. Seed photons can be from the inner disc or neutron star surface. It is assumed that the disc dominates the spectrum at low energies and the Comptonized boundary layer dominates at high energies. These assumptions have a major effect on the description of the X-ray emission, and will be reviewed in the context of the results of the present work in Sect. 4.

Theoreticians have in general considered it natural that the Comptonizing region will be located close to the neutron star and so have supported the Eastern model (e.g. Kluzniak & Wilson 1991; Popham & Sunyaev 2001). Moreover, based on the similarity of the spectra of black hole binaries (BHB) and neutron star binaries that is sometimes claimed, and on similarities in their timing properties, there has been a tendency to assume a common mechanism for X-ray formation (e.g. Poutanen 2001). To be independent of the type of compact object, the mechanism must be a property of the accretion flow only. However, this makes the assumption that the X-ray emission of the neutron star does not modify substantially the geometry, properties and X-ray emission of the ADC. In the present work, we show that the evidence is against this assumption. Moreover, in neutron star systems there is strong evidence for neutron star blackbody emission, while in BHB there is disc blackbody emission.

In fact, the key to resolving the controversy of the correct emission model has lain with the dipping LMXB which provide more diagnostics of the emission regions that non-dipping sources and more strongly constrain spectral models. These sources having inclination angle between 65 and 85 exhibit orbital-related X-ray dips due to absorption in the bulge in the outer disc (White & Swank 1982; Walter et al. 1982). An acceptable description of spectral evolution in dipping in these sources requires fitting not only the non-dip spectrum but also the spectra of several levels of dipping, selected typically in intensity bands. Moreover, only absorption parameters can be allowed to vary in the fitting, and emission parameters must be held constant, so that fitting strongly constrains emission models in these sources. On the basis of such work, the Birmingham model was proposed by Church & Bałucińska-Church (1993, 1995). It was apparent from the start that one emission component was very extended, since this non-thermal component of the spectra was removed very slowly in dipping as the extended absorber overlapped an extended emission region (e.g. Church et al. 1997). It also became apparent that the ADC was thin (i.e. $`H/r`$ $`<<`$ 1) since it would be very unlikely that 100 per cent deep dipping would be observed if the extended ADC was spherical, this requiring an absorber on the outer disc extending out of the orbital plane to very large distances. Application of the new model provided substantial evidence that the blackbody component was present in all sources in varying degrees. Over a period of years it has been shown that the model provides very good fits to all of the $``$10 dipping sources (e.g. Church et al. (1997, 1998a, 1998b); Bałucińska-Church et al. (1999, 2000); Smale, Church & Bałucińska-Church (2001, 2002); Barnard, Church & Bałucińska-Church (2001). It also fits well the Atoll and Z-track sources included in an ASCA survey of LMXB (Church & Bałucińska-Church 2001) showing that the model describes well all classes of LMXB. Thus both the Eastern and the Birmingham models are two-component models, each having a thermal and a Comptonized component. However, it is difficult to decide from spectral fitting (a single spectrum) between the models. The crucial factor is, in fact, the origin of the Comptonized emission, which in the Eastern model is a small central region, i.e. of the order

of 100 km radius or less, and in the model of Church and Bałucińska-Church is very extended of radial extent typically 50000 km (Church 2001), i.e. 500 times larger. In the dipping sources, measurement of emission region sizes by the technique of dip ingress timing is possible, and this clearly holds the key to discriminating between these two models. Under conditions where the angular size of the absorber is larger than that of the extended emitter, the ingress time is determined by the size of the source. This condition will hold if dipping is 100 per cent deep at any energy, and we have applied the technique to several of the dipping LMXB (Church et al. 1998a, 1998b; Bałucińska-Church . et al. 1999, 2000; Smale et al. 2001, 2002). In the present work, we have assembled our previous measurements of ADC size and have analysed further observations providing good quality dip data, and present the results in Sect. 2. These results do not allow the Eastern model to be possible. In the second part of the paper, we deal with the consequences of this. Specifically, the correct Comptonization model for LMXB or BHB depends strongly on the size of the Comptonizing ADC. We compare the Comptonized emission for the Eastern model with a small central Comptonizing region, with that taking place in the actual extended ADC revealed by our measurements. We thus show that the description of Comptonization in the Eastern model is not correct, and that use of this model in analysis will not produce correct results.

## 2 Observations and analysis

The observations selected consist primarily of data obtained using the satellites ASCA, Rosat, BeppoSAX and Rossi-XTE previously analysed by us in detail as shown in Table 1. Apart from our proprietary observations, data are included resulting from our collaborations with ISAS, Japan, ESTEC in The Netherlands and LHEA in the USA. High quality data were used as discussed below, and we note that data from Chandra or XMM will not necessarily provide better values of ingress times, which vary between 100 and 16000 seconds, i.e. are not difficult to measure. Figure 1 shows a schematic of a LMXB (not to scale) including the accretion disc, the corona above it covering the inner 15 per cent of the disc and the bulge on the outside of the disc responsible for dipping. The technique of dip ingress timing determines the overall radial extent $`r_{\mathrm{ADC}}`$ of the corona, i.e. of the continuum emitting region. It cannot determine whether the ADC has any “inner” radius. The only way in which ingress times might not provide true values for the radial extent of the corona would be if the absorbing bulge on the outer accretion disc had a complex structure resulting in the gradual removal of intensity from a point-like corona. Attempts to model dipping in XB 1916-053 on this basis failed to reproduce the observed light curves (Życki, private communication, 2001) and it appears that this possibility can be discounted. Also shown is a schematic of dip ingress and egress with ingress time $`\mathrm{\Delta }`$t for the case that the angular size of the absorber is larger than that of the extended emitter, the ADC, so that dipping is 100 per cent deep. This was the main criterion for inclusion of data, that dipping had to be $``$100 per cent deep in any energy band covered by the instrument used. Weak dipping at the 10 per cent level cannot be used as we cannot be certain that the absorber angular size is greater than the ADC angular size. Thus, data on the sources X 1755-338 and XB 1746-371 was not used, although data were available from Exosat and ASCA. Similarly, Rossi-XTE data or XB 1323-619 had only 50 per cent deep dipping.

We also rejected data in which dip ingress was poorly defined, not allowing sensible measurement of ingress times, such as the Rosat observation of XBT 0748-676. In the observations included in Table 1, typically containing 4 or more dips per observation, ingress times were only included in analysis for which the ingress was well-defined. Frequently this was not the case if Earth occultation or SAA passage caused data gaps during dipping. In observations containing several well-defined dips, such as the BeppoSAX observation of XB 1916-0563, an error estimate was obtained from the scatter of $`\mathrm{\Delta }`$t about the mean. In XBT 0748-676, we have revised upwards our previous value for $`\mathrm{\Delta }`$t (Church et al. 1998a).

The radius of the ADC, $`r_{\mathrm{ADC}}`$ is related to the accretion disc radius $`r_{\mathrm{AD}}`$ via the equation:

$$\frac{2\pi r_{\mathrm{AD}}}{P}=\frac{2r_{ADC}}{\mathrm{\Delta }t}$$
(1)
where $`P`$ is the orbital period. In each source we used the latest values of orbital period, including a period of 3000.6508 s for XB 1916-053 (Chou, Grindlay & Bloser 2001), and 20.8778$`\pm `$0.0003 hr for X 1624-490 from our recent work on this source (Smale et al. 2001). The radius of the sphere having the same volume as the Roche lobe of the neutron star $`r_{\mathrm{L1}}`$ was calculated from the expression of Eggleton (1983) accurate to 1 per cent:

$$r_{\mathrm{L1}}=\frac{0.49a(M_1/M_2)^{2/3}}{0.6(M_1/M_2)^{2/3}+ln(1+(M_1/M_2)^{1/3})}$$
(2)
where $`a`$ is the separation of the stars in the binary system,

$`M_1`$ is the mass of the neutron star, and $`M_2`$ is the mass of the companion star.

Masses of the companion stars were found using appropriate mass-period relationships, using the form for Main Sequence stars in the case of XB 1323-619, XB 1254-690, X 1624-490 and XBT 0748-676. It was assumed that the uncertainty in the mass was about 10 per cent; however, tests showed that the corresponding error in $`r_{\mathrm{L1}}`$ was reduced to 1 per cent. The accretion disc radius $`r_{\mathrm{AD}}`$ was taken to be $`0.8r_{\mathrm{L1}}`$ based on values $`0.74r_{\mathrm{L1}}`$$`0.84r_{\mathrm{L1}}`$ (Armitage & Livio 1996) and $`0.9r_{\mathrm{L1}}`$ (Frank et al. 2002). In the case of XB 1916-053, the companion star is likely to be a hydrogen-deficient star, neither He-burning nor fully degenerate (Nelson, Rappaport & Joss 1986), with mass 0.10 – 0.15 M$`_{}`$, and we calculated $`r_{\mathrm{L1}}`$ for 0.125 M$`_{}`$. This is insensitive to the mass of the companion so that if it were assumed that the companion was a low mass white dwarf as suggested by White & Swank (1982), the change would be only 10 – 25 per cent depending on composition. The main source of uncertainty in the ADC radial extent obtained is the error in the ingress times, varying between 10 and 30 per cent. Where possible, the error was obtained from the scatter of values. For observations providing only a single $`\mathrm{\Delta }`$t, the error was assumed to be 30 per cent. Results are shown in Table 1.

Spectral fitting results previously obtained by us were used to provide the source fluxes in the band 1 – 30 keV, chosen to include as much of the spectrum as possible without requiring large extrapolations for data limited to 10 keV. Total source luminosities $`L_{\mathrm{Tot}}^{130}`$ in this band are shown in Table 1. In the case of the Exosat observation of XB 1254-690, we obtained a background-subtracted spectrum from the HEASARC archive, and fitted this with the Birmingham two-component model, as the original fitting had used a one-component model. For the Exosat observation of X 1624-490, spectral fitting the original data would be limited by the 1 – 10 keV range of the ME. Because of this, we adopted our solution for the RXTE observation (Smale et al. 2001) having similar luminosity, and scaled the 1 – 30 keV luminosity by the ratio of the predicted and observed count rates in Exosat. Using recent values of source distances, mostly obtained from Christian & Swank (1997), fluxes were converted to 1 – 30 keV luminosities. In Fig. 2, we show the variation of ADC radial extent with $`L_{\mathrm{Tot}}`$.

## 3 Results

Fig. 2 displays two significant results: it confirms that the ADC is very extended as is also apparent from spectral fitting of dip spectra (Sect. 1), and secondly, there is a strong correlation between $`r_{\mathrm{ADC}}`$ and source luminosity, although this may be a direct dependence due to X-ray irradiation, or an indirect dependence on $`\dot{M}`$. The extended ADC varies between a minimum of $``$7 per cent of the accretion disc radius to a maximum of 65 per cent (in X 1624-490). In the case of XB 1916-053, our measured ingress times fall within the range of values obtained by Narita et al. (2003), who also found some evidence for a dependence of ADC size on mass accretion rate in data on this one source having limited variation in luminosity. Least squares fitting provides the power law dependence $`r_{\mathrm{ADC}}`$ = $`L_{\mathrm{Tot}}^{0.88\pm 0.16}`$ at 99 per cent confidence, suggesting a simple proportionality.

We wish, of course, to understand the formation of the ADC, which previously has been very unclear, or controversial, and this will be discussed in Sect. 5. However, one issue will be whether the increase is size with luminosity is due to increasing illumination of the disc, or whether the ADC size is limited by the fact that hydrostatic equilibrium is not possible outside a limiting radius. For a small number of sources, we have broadband spectra obtained from BeppoSAX extending to 100 keV which allowed the mean Comptonization cut-off energy to be obtained, and from this the mean electron temperature $`T_\mathrm{e}`$ of the Comptonizing ADC. Information on the ADC from observation is, of course, quite limited, and we can do no more than obtain mean quantities. However, theoretically, a strong radial variation of $`T_\mathrm{e}`$ is not expected. In a corona with $`kT`$ $``$10 keV, it is expected that at radius $`r_\mathrm{C}`$, the Compton radius, hydrostatic equilibrium will fail, since

$$kT>GMm_p/r\mathrm{and}r_\mathrm{C}GMm_p/kT$$
(3)
where $`m_p`$ is the proton mass, and outside this radius, the ADC will dissipate as a wind. In reality, hydrostatic equilibrium may begin to fail at somewhat smaller radial distances (e.g. Woods et al. 1996). In Table 2, we show values of $`r_\mathrm{C}`$ calculated for the two cases: a high optical depth ($`\tau `$) corona, in which the Comptonization cut-off energy $`E_{\mathrm{CO}}`$ = 3 $`kT_\mathrm{e}`$, and a low optical depth corona, for which $`E_{\mathrm{CO}}`$ = $`kT_\mathrm{e}`$. It can be seen that the values are substantially less than the radii of the accretion disc in these sources, the high-$`\tau `$ values being about 30 per cent of the disc radius and the low-$`\tau `$ values being about 10 per cent.

It can be seen that for the bright source X 1624-490, there is good agreement between the measured size of the ADC (Table 1) and the high-$`\tau `$ value of the limiting radius. For the other two, relatively faint, sources XB 1916-053 and XB 1323-619, the agreement is better with the low-$`\tau `$ value. It is not appropriate to give a detailed discussion based on 3 sources; however, there is clearly some evidence that the ADC size is limited to the maximum hydrostatic size. In the case of X 1624-490, the large value of $`r_\mathrm{C}`$ is a consequence of the low value of coronal electron temperature. Formation and size of the ADC is further discussed in Sect. 5.1; however the large values of $`r_{\mathrm{ADC}}`$ measured are consistent with theoretical tretments in which the ADC is formed by illumination of the disc by the central X-ray source.

There are two major consequences of the results: firstly the extended ADC size does not allow the possibility of the Eastern model in which Comptonization is assumed to take place in a central region associated with the neutron star or inner disc. The radius of such a region would be of order $`\text{ }<`$100 km, which is 500 times smaller than measured here. Secondly, it will be seen in the next section that Comptonization is strongly dependent on the size of the ADC, and the very soft nature of the seed photons generated in the disc below the extended ADC will be seen, contrasting with the 1 keV seed photons assumed in the Eastern model.

## 4 The dependence of Comptonization on ADC size

### 4.1 Seed photons and Comptonized spectra

In the following, we compare the Eastern model with the Birmingham model, i.e. a model having an extended ADC as revealed by the present work. In Figs. 3 and 4, we show the seed photon spectra (left panels) and the corresponding Comptonized spectra (right panels). The Comptonized spectra are shown for 1 – 30 keV luminosities of $`10^{36}`$, $`10^{37}`$ and $`10^{38}`$ erg s<sup>-1</sup>, for a source at 10 kpc. To allow direct comparison, we keep the ADC size constant at 50000 km; however, allowing this to increase would only affect the spectrum below 0.01 keV.

In the Eastern model, it is assumed that seed photons originate on the neutron star or inner disc and so are modelled by a simple blackbody with $`kT`$ $``$1 keV (e.g. Done et al. 2002). Typical values of $`kT`$ of 0.53, 0.94 and 1.67 keV were chosen which would produce luminosities of $`10^{36}`$, $`10^{37}`$ and $`10^{38}`$ erg s<sup>-1</sup> assuming emission from the whole neutron star. For convenience we obtain the approximate form of the Comptonized spectrum for this seed photon input using the thcompfe thermal Comptonization model (Zdziarski, Johnson & Magdziarz 1996) which is a non-standard model in Xspec which assumes a simple blackbody for the seed photons. An electron temperature $`kT_\mathrm{e}`$ of 20 keV was used, representative of values derived from broadband spectra between 5 and 100 keV, and a typical power law photon index of 1.7. The Comptonized spectrum of the Eastern model is shown in Fig. 3 (right panel) with normalizations in the model adjusted to provide the three standard luminosities above. The normalization of each seed photon spectrum was chosen such that the bolometric blackbody luminosity was one fifth of that of the Comptonized spectrum, i.e. adopting a reasonable value for the amplification factor.

For the extended ADC, we calculated the multi-temperature disc blackbody emission of the seed photons by integrating to $`r`$ = 50000 km. This was done assuming the temperature profile of a Shakura-Sunyaev thin disc (Shakura & Sunyaev 1976), making the zero torque assumption that has the effect of causing $`T(r)`$ to decrease at the inner disc (Abramowicz & Kato 1989). We again assume a value for the amplification factor, but this is not critical as we only wish to show the relation between the forms of the seed and output spectra. We assumed that the total emitted X-ray luminosity of the Comptonized emission $`L_{\mathrm{tot}}`$ = $`L_\mathrm{s}`$ \+ $`L_\mathrm{h}`$, where $`L_\mathrm{s}`$ is the luminosity of the seed photons and $`L_\mathrm{h}`$ is the heating supplied by the electrons, giving an amplification factor $`A`$ = $`L_{\mathrm{tot}}/L_\mathrm{s}`$, and we assumed $`A`$ = 5. Thus the bolometric seed photon luminosity was made one fifth of that of the Comptonized emission, and from the equivalent mass accretion rate, the temperature distribution in the disc was calculated. A non-standard Xspec model was produced allowing the disc blackbody emission with this temperature profile to be integrated between 10 km, the surface of the neutron star, and 50000 km.

To obtain the Comptonized spectrum of these seed photons, we made a dedicated Xspec model based on the thermal Comptonization model thcompds (derived from thcompfe and provided by P. Życki) which calculates the Comptonized spectrum for seed photons produced by the complete accretion disc, assuming the diskbb form for the seed photons (Mitsuda et al. 1989) in which the zero torque assumption is not embodied. Our modification involved changing the input seed photon spectrum to correspond to the inner 15 per cent of the disc, and we produced two versions: with and without the zero torque assumption. Basing our model on thcompds was done for convenience to show the approximate form of the Comptonized spectrum, but assumes low optical depth, whereas our evidence is for high optical depth in the ADC (Church 2001). However, this will not affect the major conclusions of the present work. An electron temperature $`kT_\mathrm{e}`$ of 20 keV was assumed, as before. In Fig. 4 we show the spectra of the seed photons and the Comptonized spectrum assuming zero torque for the extended ADC.

Comparison of Figs. 3 and 4 reveals the strong differences between Comptonization in the Eastern model and in the Birmingham model with an extended ADC; for clarity we do not include the second thermal component also present in each model. The difference between the seed photon spectra are extreme, in the Eastern model consisting of a blackbody of $`kT`$ $``$1 keV, but for the actual extended ADC consisting of a disc blackbody peaking at 0.003 keV for the lowest luminosity and at 0.01 keV for the highest luminosity. These differences have a major effect on the Comptonized spectra such that in the Eastern model, the spectrum decreases below a peak at 1 – 3 keV depending on luminosity, reflecting a widely-held view that a Comptonized X-ray spectrum cannot continue to follow a power law at low energies because of an expected shortage of seed photons. However, the consequence of an extended ADC is that the Comptonized spectrum below 1 keV does continue to rise causing the Comptonized spectrum also to rise. Eventually there is a turn-over in the spectra at 0.01 keV, however, this is considerably below the minimum energy in X-ray telescopes. A much less pronounced change in slope takes place in the Comptonized spectrum at energies of $``$1 keV due to the corresponding break in the seed photon spectrum. This change of slope would be difficult to detect even with data extending to 0.1 keV because of low energy absorption. Finally, the high energy cut-off in Fig. 4 can be seen at $``$80 keV corresponding to the maximum energy of Comptonizing electrons.

The zero torque assumption is appropriate to a black hole binary where the accretion flow cannot interact with the stellar surface; however, it is not clear whether it is appropriate in a neutron star system. We have tested the effect of this assumption, and find it does not affect our main results. Not making the zero torque assumption is to modify the seed photon spectrum by moving the energy of the slight break in slope from 1 keV to 1.5 keV (for the central curve).

### 4.2 Fitting with the Eastern model

In the above, we compare the Comptonized spectrum expected for an extended ADC with that of the Eastern model. We now address the question of what effect this will have in spectral fitting with the Eastern model. To answer this, we have simulated 20 ks of XMM EPIC data using the Comptonized spectrum of an extended ADC (as in Fig. 4, right panel) with parameter values: $`kT_\mathrm{e}`$ = 20 keV, power law index = 1.7, peak disc temperature 0.4 keV, column density $`0.2\times 10^{22}`$ atom cm<sup>-2</sup>, an appropriate instrument response function, and fitted this using the thermal Comptonization model corresponding to the Eastern model: thcompfe. We make this comparison of Comptonized spectra without adding further emission components that exist in real data to the simulation. It was arranged that $`L^{130}`$ was 10<sup>37</sup> erg s<sup>-1</sup>.

In Fig. 5, we show the result of fitting this simulated data with the thcompfe model. Initially, we fixed the blackbody temperature at 1 keV as is typical for results from using the Eastern model, and implies that seed photons can originate on the neutron star, and so can have higher $`kT`$ than the inner disc temperature used above. The model fits very badly, particularly below 2 keV with $`\chi ^2`$/d.o.f. = 628/100 as shown in Fig. 5. With $`kT`$ free, an acceptable fit was obtained, but with a value of $`kT`$ = 0.14 keV, which is inconsistent with the seed photons assumed in the Eastern model. Thus, it was not possible to fit the data sensibly with the thcompfe model, as might be expected, since the data were simulated assuming an extended disc blackbody source of seed photons, and fitted by a localized source. The only way to obtain an acceptable fit with $`kT`$ $``$1 keV was found to be by adding a second, unreal, model component (in fact, an extra blackbody component) which was not present in simulating the data. We conclude that fitting the Eastern model is likely to produce incorrect results. Fitting real data will be complicated by the presence of a second emission component, which we associate with the neutron star.

## 5 Discussion

The present work provides strong evidence for the Birmingham model of LMXB, and against the Eastern model. In particular, we have shown that the Comptonizing region cannot be a small, central region, as in the Eastern model, but is, in fact, an extended, flat, hot region above the inner 15 per cent typically of the accretion disc, i.e. constituting a thin ADC above a thin disc. We have also shown that the size of the Comptonizing region has strong implications for the correct form of the Comptonization model to be used. The relevance to ADC formation is discussed below; however, we first address briefly two issues. The identification of blackbody emission in LMXB has been a problem: the Eastern model identifies this with disc emission whereas we, and others, identify this with emission from the neutron star. Given the large ADC, we expect all of the X-ray emitting inner disc to be covered by ADC. Moreover, there is evidence for the high optical depth of the ADC plasma (e.g. Church 2001; Narita et al. 2001), and it is likely that essentially all of the disc emission will be reprocessed in the ADC and so not observed, and that the observed thermal emission originates on the neutron star. Secondly, several authors have proposed that X-ray emission in accreting black holes and neutron stars has a common origin depending on the properties of the accretion flow only, effectively a unifying model. For example, spectral similarities between low state black holes and neutron star binaries, and similarities in timing properties suggest a common mechanism for X-ray production (Poutanen 2001). In BHB, the thermal emission component is clearly from the disc, whereas in LMXB, disc emission will be reprocessed in the ADC and so not seen. Thus the present work does not support a common emission mechanism, since this relies on the assumption that disc blackbody emission is observed from each type.

### 5.1 Formation of the ADC

The dependence of ADC size on X-ray luminosity shown in Fig. 2 has implications for understanding ADC formation. Various mechanisms for ADC production have been proposed. Liang & Price (1977) suggested that internal processes within the disc would transfer energy to a corona with low density which would not radiate and cool efficiently. Paczyński (1978) invoked gravitational instability in the disc. Galeev, Rosner & Vaiana (1979) proposed corona formation by expulsion of magnetic field loops from the disk; see also Beloborodov (1999) and Miller & Stone (2000). In addition, there is the two-phase model of a hot corona above a cool disc of Haardt & Maraschi (1993), and the hot disc model (Shapiro, Lightman & Eardley 1976; Zdziarski 1998). Shakura & Sunyaev (1973) suggested an external process in which the hot, inner disc would evaporate disc into corona. White et al. (1981) suggested that in the ADC source 4U 1822-371, X-rays from the central source were scattered in a corona evaporated by X-rays from the disc (see also White & Holt 1982). Fabian, Guilbert & Ross (1982) calculated the density and optical depth of an atmosphere above the disc. Begelman, McKee & Shields (1983) presented detailed calculations of the formation of the corona by irradiation from the central source (see also Begelman & McKee 1983). Recently, there has been further detailed modelling of this kind. Różańska & Czerny (1996) and Różańska et al. (1999) investigated the effects of illumination by the central source on the accretion disc for either a black hole as in AGN or a neutron star as in Galactic binary sources. It was found that the disc and ADC were separated by a boundary layer or heated upper region of the disc; i.e. the region above the disc became stratified with increasing temperature and decreasing density (see also Różańska et al. 2002). Jimenez-Garate, Raymond & Liedahl (2002) also calculated the vertical and radial structure of the disc, and derived the line emission for comparison with high spectral resolution data from Chandra and XMM. The modelling of Różańska, Czerny and co-workers concentrated on the vertical structure at a given radial position and did not consider the radial extent of the ADC. Similarly, Jimenez-Garate et al. calculated the vertical structure, but allowed the ADC to extend to the same radius as the accretion disc. Proga & Kallman (2002) also addressed the effects of X-ray irradiation of the disk, with the aim of explaining the UV emission of LMXB, not presently understood. They concentrated on the reprocessing of X-rays in the disc so as to boost the UV emission of the disc and the possible driving of a disc wind by UV lines. Then the UV-driven wind could be a source of the observed UV radiation. Ionization by X-rays was found to prevent this mechanism, although winds could be produced by thermal expansion and other effects. The part of the disk considered was that between $`1\times 10^9`$ and $`1\times 10^{10}`$ cm, the region typically between 0.03 and 0.3 of the accretion disc radius. Proga & Kallman considered that the Compton radius where a static corona becomes an unbound wind would be $``$ $`10^{11}`$ cm, greater than the disc size, equivalent to assuming a coronal temperature of $`1\times 10^7`$ K. However, our work has shown that the electron temperature $`kT_\mathrm{e}`$ is $``$ 5 – 30 keV, or more, giving a Compton radius typically $``$ 2 – 10$`\times 10^9`$ cm, and a reasonable explanation of our measured ADC radial extents is that they are determined by the Compton radius. Thus, we expect that a wind will exist anyway over much of that part of the disc considered by Proga & Kallman, but for a different reason: because the corona is unbound.

The present work clearly supports the modelling in which a very extended ADC is formed by illumination of the disc by the central source. The observational results indicate a strong dependence on $`L_{\mathrm{Tot}}`$, and there is some evidence (Table 2) that the size is limited to the maximum radius for hydrostatic equilibrium, suggesting that the modelling should also include this effect. If this effect is dominant, the size varies inversely with coronal temperature, and it is because brighter sources have lower Comptonization cut-off energies (e.g. Church et al. 1997; Bałucińska-Church et al. 2000) and so lower temperatures that the ADC becomes much larger.

In terms of earlier proposals for ADC formation, such as an internal mechanism in the disc, the process would have to form an ADC of size varying substantially with mass accretion rate (and thus $`L_{\mathrm{Tot}}`$), and also predict an extended ADC. In general, the processes proposed do not predict an extended ADC. For example, the magnetic loop process (Galeev et al. 1979) is concentrated in the inner disc. One difficulty in making this comparison is that the theoretical treatments are often ‘local’, i.e. do not consider the radial dependence. However, it appears that internal processes would not produce an ADC of the radial extent found in the present work. Thus we conclude that ADC formation by direct X-ray irradiation is more likely, in which case both the inner disc and the neutron star probably contribute to ADC formation.

### 5.2 The correct form of the Comptonization term in spectral fitting

We have shown that the present results imply a particular form for the Comptonized emission in LMXB. In our previous work on LMXB, the Birmingham model with spectral form bb + cpl consisting of a simple blackbody identified with emission from the neutron star, plus a cut-off power law to represent Comptonization provided good fits to all spectra. It may not appear that a cut-off power law is a sufficiently complex form to describe Comptonization. The forms of Xspec models such as thcompds, thcompfe and comptt differ from a cut-off power law in the shape of the knee. We have carried out simulations that show that unless data of the highest quality are available, i.e. with very small Poisson errors, which are broadband, i.e. extending well above the knee, there is little error in using a cut-off power law. The knee occurs between 10 – 100 keV in all but the brightest sources, so broadband data normally means in the energy range 1 – 100 keV. For such high quality broadband data, use of the cpl model would give somewhat inaccurate values of the power law index, and the thermal Comptonization model suggested by the present work should be used. In our previous work, we have not had available data of sufficient quality that using a cut-off power law has caused significant errors.

In Sect. 4, we addressed the correct form for Comptonization models, and showed that we expect the spectrum to continue to rise below 1 keV. It was recently claimed that the Birmingham model was not a correct description of Comptonization (Done et al. 2002), since we do not include the marked turnover at low energies inherent in the Eastern model (Fig. 3, right panel). If we neglect the turn-over, we overestimate the Comptonized emission and so underestimate blackbody emission. This might explain the unphysically small values of inner disc radius, in many cases less than 0.5 km, we obtained in applying the Eastern model (in the form disc blackbody plus cut-off power law) in a survey of LMXB with ASCA. The present work demonstrates that with an extended ADC, there will not be a low energy cut-off in the spectrum and so the above argument that the blackbody term is underestimated does not appear valid.

## Acknowledgments

We thank Dr. Piotr Życki for providing the thcompds model. This work was supported in part by the Polish KBN grants PBZ-KBN-054/P03/2001 and KBN-2P03D-01525/2003.


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# Light GUT Triplets and Yukawa Splitting

## I Introduction.

One of the main challenges of supersymmetric Grand Unified Theories (GUTs), is the rate of proton decay mediated by the GUT partners of the Standard-Model Higgs doublets. These color-triplet partners couple to Standard Model fermions violating both baryon and lepton number, through

$$W=y_{ij}^{Tqq}Tq_iq_j+y_{ij}^{T\overline{u}\overline{e}}T\overline{u}_i\overline{e}_j+y_{ij}^{\overline{T}ql}\overline{T}q_il_j+y_{ij}^{\overline{T}\overline{u}\overline{d}}\overline{T}\overline{u}_i\overline{d}_j.$$
(1)
Here $`T`$ and $`\overline{T}`$ are the color-triplets, barred fields are SU(2) singlets and unbarred fields are SU(2) doublets, and $`i,j`$ are generation indices. Typically, the triplet couplings of (1) and the Yukawa couplings $`y_{ij}^UH_Uq_i\overline{u}_j+y_{ij}^DH_Dq_i\overline{u}_j`$, originate from the same GUT superpotential terms, so that $`y^{Tqq}=y^{T\overline{u}\overline{e}}=y^U`$ and $`y^{\overline{T}ql}=y^{\overline{T}\overline{u}\overline{d}}=y^D`$. These couplings mediate proton decay at the level of dimension-five operators. To suppress this contribution, one typically tries to arrange a GUT-scale triplet mass, while keeping the Standard Model Higgses at the weak scale. In fact, even models with triplets at the GUT scale are in conflict with current experimental bounds on the proton lifetime. For example, in minimal SU(5), the lower bound on the triplet mass is about 1017GeV goto ; hisano ; murayama ; ecw .

Here we explore instead the possibility that triplet couplings to matter are smaller than the Yukawas, namely, $`y^{Tqq},y^{T\overline{u}\overline{e}}y^U`$ and $`y^{\overline{T}ql},y^{\overline{T}\overline{u}\overline{d}}y^D`$. This relaxes the proton decay bound on the triplet mass, allowing the triplets to be lighter than the GUT scale.

Thinking about triplets below the GUT scale is motivated by two reasons. The observation of proton decay, taken together with coupling unification, would be a strong indication for GUTs but still far from conclusive evidence. It is therefore intriguing to see whether the triplets can be sufficiently light that they can give a more direct experimental signature of the GUT. We will exhibit a model in which all triplet couplings to matter are tiny, so that the triplets can be around the weak scale. To allow for coupling unification, we will need to arrange an extra pair of light doublets. Thus, at low energies, there would be new fields in complete $`SU(5)`$ representations, providing additional evidence for grand unification.

An even more spectacular GUT signature would potentially come from models in which triplet couplings to first and second generation fields are suppressed, so that the proton does not decay too fast, but some triplet couplings to third generation fields are order one. This is naturally the case in many of our models. However, we will show that just the presence of the couplings $`y_{33}^{Tqq}`$ and $`y_{33}^{T\overline{u}\overline{e}}`$ requires the triplets to be heavier than at least 106GeV, in order to satisfy the bounds on proton decay.

As mentioned above, current bounds on the proton lifetime imply a lower bound of 1017GeV on the triplet mass in minimal SU(5) murayama . On the other hand, for coupling unification to occur in minimal SU(5), the triplet mass should be close to 1014GeV murayama . This mismatch is the second motivation for triplets below the unification scale senj . We will present a simple model with triplets at 1014GeV. In this model, all $`\overline{T}`$ couplings to matter are very small, so that the dimension-five contribution to proton decay is suppressed, and the dominant contribution is from $`X`$ and $`Y`$ gauge boson exchange. Many more variants with these properties can be constructed.

The possibility that triplet couplings to matter are small was also discussed in ramond -haba . In ramond , fermion masses were assumed to originate from two different Higgs fields, such that the two triplet contributions to proton decay cancel. Ref. dvali  considered an $`SO(10)`$ GUT, and argued that the triplet couplings are forbidden by a symmetry. It is therefore closest in spirit to our current work. It was assumed, however, that the top Yukawa originates from a higher dimension operator suppressed by $`M_{\mathrm{GUT}}`$ only, and not by a higher scale. Thus, there is no energy region in which there exists a sensible effective theory with all couplings being of the same order of magnitude. The mechanism of Ref. haba  involves an extra dimension.

Our models are all based on a “triplet symmetry”, $`U_T`$, that distinguishes between the triplets and the doublets witten . We take $`U_T`$ to be either a $`U(1)`$ or a $`Z_N`$. Since it does not commute with the GUT group, $`U_T`$ must arise from the combination of some global symmetry and a subgroup of the GUT. Moreover, in order for some coupling involving the triplet to have a different $`U_T`$ charge from the corresponding doublet coupling, the GUT group must be semi-simple witten . For concreteness, we will take the GUT to be $`SU(5)\times SU(5)`$. Such a setup was used in Barbieri:1994jq ; Barr:1996kp ; witten ; dns  to generate a doublet-triplet mass hierarchy. As was pointed out in witten , the symmetry may also lead to a suppression of dimension-five operators contributing to proton decay, through the suppression of triplet coupling to fermions. In dns , explicit models that have these properties were constructed. However, the possibility of exploiting “Yukawa splitting” in order to lower the triplet mass was not explored111In the models of babubarr , the Dirac mass for the triplets was suppressed, resulting in smaller dimension-five operators..

As we will see, a triplet-matter coupling can be different from the corresponding Yukawa coupling whenever the relevant Higgs field and matter fields transform under different $`SU(5)`$ factors. Then, the Yukawa coupling must arise from a non-renormalizable term in the GUT superpotential, which involves some combination of GUT-breaking fields. The key point is that this operator does not lead to a triplet coupling: the triplet coupling can only come from a different GUT term, involving a different combination of GUT-breaking fields. If some Yukawa coupling has its origin in a non-renormalizable GUT term, it involves some power of $`M_{\mathrm{GUT}}/M_{\mathrm{Planck}}`$. Thus, if the Planck scale is 1018GeV, the top Yukawa must arise from a renormalizable GUT term, and $`y_{33}^{Tqq}y_{33}^{T\overline{u}\overline{e}}1`$. We therefore distinguish between two classes of models. a. The top Yukawa coupling is renormalizable at the GUT scale. Then, $`y_{33}^{Tqq}y_{33}^{T\overline{u}\overline{e}}1`$. b. The top Yukawa originates from a non-renormalizable term at the GUT scale. In this case, all triplet couplings to matter can be small. This is only possible if the Planck scale is around 1017GeV, as would be the case with a small extra dimension. Then, the top Yukawa can be of the order of $`𝒪(10^1)`$ at the GUT scale, with running effects driving it to order one at the weak scale.

## II Models: basic structure.

We now turn to the basic structure of our models, following dns . The models have the symmetry $`SU(5)_1\times SU(5)_2\times U_T^0`$, where $`U_T^0`$ is a global symmetry which we will take to be either a $`U(1)`$ or a $`Z_N`$. The symmetry is broken by two sets of bifundamental fields $`\mathrm{\Phi }_3(5,\overline{5},1)`$, $`\overline{\mathrm{\Phi }}_3(\overline{5},5,1)`$, $`\mathrm{\Phi }_2(5,\overline{5},q)`$, and $`\overline{\mathrm{\Phi }}_2(\overline{5},5,q)`$, where the third entry corresponds to the $`U_T^0`$ charge. For $`U_T^0=Z_N`$ ($`U_T^0=U(1)`$) we take $`q=\frac{N3}{2}`$ ($`q=\frac{3}{2}`$).

For the VEVs

$$\begin{array}{c}\mathrm{\Phi }_3=\overline{\mathrm{\Phi }}_3=\mathrm{diag}(v_3,v_3,v_3,0,0),\hfill \\ \mathrm{\Phi }_2=\overline{\mathrm{\Phi }}_2=\mathrm{diag}(0,0,0,v_2,v_2),\hfill \end{array}$$
(2)
with $`v_2v_310^{16}`$GeV, the symmetry is broken to $`[SU(3)\times SU(2)\times U(1)]_{\mathrm{SM}}\times U_T`$, where $`U_T`$ is a combination of $`U_T^0`$ and a discrete hypercharge subgroup of $`SU(5)_1`$. The standard-model gauge group lies in the diagonal $`SU(5)`$, so that the standard-model gauge couplings all start from the diagonal $`SU(5)`$ coupling, and hypercharge is quantized as in minimal $`SU(5)`$.

As was shown in dns , one can add three $`SU(5)_1`$ adjoints and a singlet such that the direction (2) is flat, all uneaten GUT-breaking fields get heavy, and the ratio $`v_3/v_2`$ is naturally of order one.

There are now different possible choices for the MSSM matter fields, since they can transform under either of the two $`SU(5)`$ gauge groups. This, and the charge assignments under the triplet symmetry, will define the different models we consider.

## III Non-renormalizable top Yukawa.

As mentioned above, if the Planck scale is near 1017GeV, the top Yukawa may originate from a non-renormalizable term at the GUT scale. It is then easy to construct models in which the triplets can be as light as the weak scale. Take the Standard Model Higgs fields to come from $`h(5,1,q)`$ and $`\overline{h}(\overline{5},1,0)`$ under $`SU(5)_1\times SU(5)_2\times U_T^0`$, and the matter fields to be three copies of $`(1,10,0)`$ and $`(1,\overline{5},q)`$. We also add the fields $`N(5,1,2)`$, $`\overline{N}(1,\overline{5},1)`$, $`\overline{M}(\overline{5},1,1)`$, $`M(1,5,2)`$. $`N`$ and $`\overline{N}`$ are needed to restore coupling unification, and $`M`$ and $`\overline{M}`$ are required for anomaly cancellation.

The Yukawa couplings now come from

$$\frac{1}{M_{\mathrm{Planck}}}\overline{\mathrm{\Phi }}_2h(1,10)(1,10)+\frac{1}{M_{\mathrm{Planck}}}\mathrm{\Phi }_2\overline{h}(1,10)(1,\overline{5}),$$
(3)
where we suppress generation indices. All Yukawa couplings are suppressed by $`M_{\mathrm{GUT}}/M_{\mathrm{Planck}}10^1`$ at the GUT scale. Since running to the weak scale enhances the top Yukawa coupling by roughly 3, these models are viable if the order-one coefficient multiplying the top coupling at the GUT scale is around 3.

As long as the triplet symmetry is unbroken, the analogous terms with $`\mathrm{\Phi }_3`$ and $`\overline{\mathrm{\Phi }}_3`$ are forbidden, and the triplets have no couplings to matter. In addition, the triplet symmetry forbids both a triplet mass and a $`\mu `$ term. Thus, it should ultimately be broken in order to generate a $`\mu `$ term. The most attractive possibility is that this breaking is related to supersymmetry breaking. Then some triplet-matter couplings would typically be generated, suppressed by powers of the weak scale over the Planck scale.

Since the triplet Higgses are light, coupling unification is lost and we must split another GUT multiplet to restore it. It is easy to do so by allowing the superpotential term $`N\overline{\mathrm{\Phi }}_3\overline{N}`$. The triplets in $`N`$ and $`\overline{N}`$ get a $`M_{\mathrm{GUT}}`$ mass, but their doublet partners remain light.

As mentioned above, the fields $`M`$ and $`\overline{M}`$ are only needed for anomaly cancellation. The triplets and doublets of these fields cannot both get mass at the GUT scale because of the triplet symmetry. The simplest possibility is then to forbid their masses altogether in the limit of unbroken supersymmetry. Indeed, with the $`U_T`$ charges specified above, no masses are allowed for $`M`$ and $`\overline{M}`$. Once the triplet symmetry is broken, the triplets and doublets in $`M`$ and $`\overline{M}`$, as well as the doublets in $`N`$ and $`\overline{N}`$, will get mass around the supersymmetry-breaking scale.222We have only shown here one possible choice of $`U_T^0`$ charges. Moreover, there are other possibilities for forbidding mass terms for $`M`$ and $`\overline{M}`$ apart from using the triplet symmetry. For example, we can impose an R-symmetry symmetry instead. Then again, the triplets and doublets in $`M`$ and $`\overline{M}`$ will get mass near the supersymmetry breaking scale.

At low energies, we then have two extra $`5`$’s and two extra $`\overline{5}`$’s: One pair coming from Higgs triplets and the doublets of $`N`$ and $`\overline{N}`$, and the other from $`M`$ and $`\overline{M}`$. This would provide an additional hint for a grand-unified structure. However, because the light triplets have no couplings to the matter fields, it is impossible to tell that they are actually the GUT-partners of the Higgs doublets.

## IV Renormalizable top Yukawa.

We now turn to models in which the top Yukawa comes from a renormalizable term at the GUT scale, so that $`y_{33}^{Tqq}y_{33}^{T\overline{u}\overline{e}}=𝒪(1)`$. Below the triplet mass scale, the theory contains four-fermion operators involving the top quark, which might be probed by future experiments if the triplet mass $`M_T`$ were low enough. We will first derive a model-independent bound on the the triplet mass in this case. In order to do that we will consider the “most favorable” scenario, that is, we will assume that all other $`T`$ and $`\overline{T}`$ couplings vanish at the tree-level. We emphasize that such an assumption is unnatural. Terms that vanish at tree level would appear at one loop as we demonstrate shortly. Moreover, it is probably impossible to forbid all $`T`$ couplings in (1) for $`i,j3`$, while generating acceptable fermion masses, and in particular, non-zero mixing of the third generation with the first two. Still, this unnatural scenario will allow us to obtain a useful bound for phenomenological purposes, because even in this most favorable case, the resulting bound is very strong.

We assume then that the only nonzero $`T`$ couplings are $`y_{33}^{Tqq}`$ and $`y_{33}^{T\overline{u}\overline{e}}`$. Upon rotating to the mass basis, tree level $`T`$ couplings to first generation fields will typically be generated. These are however model dependent. For example, if the up mass matrix is diagonal, such terms do not appear.

One can still obtain a model-independent bound from loop diagrams, such as the two-loop diagram of Fig.1.

Assuming that, in a basis with well-defined $`U_T`$ charges, the up matrix is diagonal333Otherwise, proton decay may be generated already at tree level., the $`W`$-loop is proportional to

$$\frac{\alpha _w}{4\pi }V_{td}^{}\underset{i}{}V_{ti}^{}V_{ui}\frac{m_{d_i}^2}{m_t^2m_W^2}\mathrm{ln}\left(\frac{m_t^2}{m_W^2}\right)10^{10},$$
(4)
where $`V`$ is the CKM matrix. The charged Higgs loop scales as

$$\frac{\alpha _w}{4\pi }V_{td}^{}\frac{m_l}{m_W}\{\begin{array}{cc}10^6\hfill & l=\tau \hfill \\ 10^{10}\hfill & l=e\hfill \end{array}.$$
(5)
Thus we see that single $`T`$ exchange, even in the presence of triplet couplings to third-generation quarks only, implies a lower bound on the triplet mass between 106 and 108GeV, depending on whether the lepton belonging to the same 10 as the top is the electron or the tau. It is therefore unlikely that the triplets can be detected in any foreseeable experiment.

In fact, as was mentioned above, in any natural model one would expect to have some other nonzero triplet couplings besides the ones we considered here, so that proton decay would occur already at tree level. If the model is based on a symmetry which is broken by some small parameter, it is reasonable to expect the tree contribution and the loop contribution to involve the same parametric suppression. Thus, in any natural model, the bound on the triplet mass would be about one loop factor, or two orders of magnitude, stronger than what we found above.

Indeed, the most promising models from the point of view of getting small triplet couplings to the first generations, are models with the Higgses in the first SU(5), one 10 in the first SU(5) (so that the top Yukawa is renormalizable), and all other matter fields in the second SU(5), but we have been unable to find any model of this type for which proton decay would allow triplets below, roughly, 1011GeV.

## V Triplets at 1014GeV.

We will now use “Yukawa splitting” to obtain a model which reconciles the conflicting requirements from proton decay and coupling unification on the triplet mass. Many models of this type can be constructed, but we will present one simple example.

We take the Higgses to be $`h=(5,1,0)`$ and $`\overline{h}=(1,\overline{5},0)`$, and the matter fields to be three copies of $`(10,1,0)`$ and $`(\overline{5},1,q)`$ with $`q=\frac{N3}{2}`$ ($`3/2`$) for $`Z_N`$ ($`U(1)`$)444This choice was also mentioned in witten . There however, the triplets got mass at the GUT scale. . To cancel anomalies, we also add the fields $`\overline{M}(\overline{5},1,1)`$ and $`M(1,5,1)`$.

As in the usual case, the up-type Yukawas originate from the superpotential terms $`h(10,1)(10,1)`$, so that $`y^{Tqq}=y^{T\overline{u}\overline{e}}=y^U`$. On the other hand, down-type Yukawas must come from non-renormalizable terms involving a bifundamental,

$$y_{ij}^D\frac{1}{M_{\mathrm{Planck}}}\overline{\mathrm{\Phi }}_2\overline{h}(10,1)_i(\overline{5},1)_j,$$
(6)
so that all down Yukawas are uniformly suppressed by $`\overline{\mathrm{\Phi }}_2/M_{\mathrm{Planck}}10^2`$. The superpotential (6) does not give rise to a $`\overline{T}`$-matter coupling, since that requires a $`\overline{\mathrm{\Phi }}_3`$ instead of $`\overline{\mathrm{\Phi }}_2`$ in eqn. (6).

The dominant triplet contribution to proton decay now comes from single $`T`$ exchange. This is very similar to the usual $`X`$ and $`Y`$ gauge-boson mediated decay, but is much smaller, since the couplings involved are the Yukawas rather than gauge couplings. We then find that the bound on the triplet mass implied by proton decay is roughly $`10^{12}`$GeV.

The triplet symmetry so far forbids a triplet mass as well as a $`\mu `$ term. In order to generate an acceptable triplet mass, we assume that the symmetry is broken by some small parameter $`\eta `$ (which arises, say, as $`\frac{S}{M_{\mathrm{Planck}}}`$ with $`S`$ a fundamental or composite gauge singlet). For $`\eta `$ of charge $`+1`$, with $`\eta 10^2`$, the superpotential term

$$\eta h\overline{\mathrm{\Phi }}_3\overline{h},$$
(7)
is allowed and gives a 1014GeV triplet mass. Coupling unification is then recovered, while proton decay is below experimental bounds.

The remaining aspect of “doublet-triplet” splitting, the $`\mu `$ problem, is readily solved as well. Suppose first that the triplet symmetry is a $`U(1)`$. Then, once we allow the coupling (7), the $`\mu `$ term is automatically forbidden by the triplet symmetry and holomorphy nir . One can alternatively generate an acceptable $`\mu `$ term by taking the triplet symmetry to be discrete lns . For example, with $`U_T=Z_{17}`$ we have $`M_T10^{14}`$ GeV as before and $`\mu \eta ^7M_{\mathrm{GUT}}10^2`$ GeV.

Since the triplet symmetry is now broken, $`\overline{T}`$ couplings to matter may in principle be generated from terms such as $`\eta ^p\overline{\mathrm{\Phi }}_3\overline{h}(10,1)(\overline{5},1)`$. One can check that, in the examples we consider, these terms are either forbidden, or are very suppressed, so that the dominant triplet contribution to proton decay is still from single $`T`$ exchange as described above.

One could also worry that, once the triplet symmetry is broken, the pattern of VEVs (2) is no longer protected, and some triplet couplings are re-introduced from terms already present in the superpotential, such as (6). However, the pattern (2) can be guaranteed using additional symmetries. One possibility is an $`R`$ symmetry under which the bifundamentals and $`\eta `$ have zero charges, and so cannot appear alone in the superpotential. This $`R`$ symmetry was present anyway in the models of dns  in order to ensure a flat potential for the bifundamentals.

Finally we comment on the fields $`M`$ and $`\overline{M}`$. Just as the analogous fields $`M`$ and $`\overline{M}`$ of the model of section III, their mass is protected by the triplet symmetry and supersymmetry. Alternatively, their masses can be forbidden by the $`R`$-symmetry discussed above. In any case, once supersymmetry is broken, these fields will get mass near the supersymmetry-breaking scale.

To summarize, this model avoids the mismatch of coupling unification by having the triplets near 1014 GeV, and gives proton decay below current experimental bounds. At low energies, there are new fields in complete $`SU(5)`$ representations, giving additional evidence for grand unification.

## VI Concluding Remarks.

In the examples we discussed, all matter fields transform under a single SU(5). More generally, if either the 10s or the $`\overline{5}`$s are split between the different SU(5) factors, the triplet symmetry will necessarily behave as a horizontal symmetry: Some matter fields will have generation-dependent $`U_T`$ charges. Clearly, these models give interesting patterns of fermion masses, which can significantly differ from the usual GUT relations.

We have assumed that there are no flavor-violating contributions from the superpartner sector. This holds for example for universal scalar masses.

Finally, we stress that, even in minimal GUT models, the triplet contribution to proton decay is highly sensitive to the details of the Yukawa couplings. For example, if the up-quark mass vanishes, so that, in the up-mass basis, $`y_{11}^u=0`$, there is no dimension-five triplet contribution to proton decay.

To summarize, we have shown that triplets below the GUT scale can be compatible with proton stability. If all triplet-matter couplings are suppressed, the triplets can be near the weak scale, and thus directly detectable. This would provide additional evidence for grand unification, which would otherwise be very hard to establish conclusively, even if proton decay is observed one day.

If the triplets only have large couplings to the top, their mass must be at least 106GeV. It would therefore be impossible to detect them. However, it is still interesting to consider triplets near 1014GeV, since then they supply just the right contributions to the running so that MSSM gauge couplings do unify. We present simple models that realize this possibility, with no other thresholds below the GUT scale.

###### Acknowledgements.

We thank Yuval Grossman, Yossi Nir, Yuri Shirman, and Pierre Ramond for useful discussions. We also thank Pierre Ramond for pointing out ref. ramond , and David E. Kaplan for pointing out ref. dvali  to us. S. Rakshit thanks Fermilab and SLAC, and Y.S. thanks LANL, The Aspen Center for Physics, SLAC and UCSC-SCIPP for hospitality while this work was being completed. The research of S. Roy was supported by a Lady Davis grant. The research of Y.S. is supported in part by the Israel Science Foundation (ISF) under grant 29/03, and by the United States-Israel Binational Science Foundation (BSF) under grant 2002020.


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# Closed-loop Quantum Parameter Estimation: Spins in a Magnetic Field

## Abstract

We present an experimental demonstration of closed-loop quantum parameter estimation in which real-time feedback is used to achieve robustness to modeling uncertainty. By performing broadband estimation of a magnetic field acting on hyperfine spins in a cold atom ensemble, we show that accuracy is not compromised by fluctuations in total atom number even though the measured signal in our canonical configuration depends only on the product of the field and atom number. This methodology could be essential for efforts to utilize conditional squeezing in spin-resonance measurements.

Optimal design of experimental procedures and data analysis strategies can often be accomplished using techniques from parameter estimation theory. Such an approach can be essential for obtaining acceptable performance in scenarios where modeling is subject to some degree of uncertainty, and has seen widespread use in fields that lie near the interface of physics and information science. Prominent current examples of such fields include metrology, optical communication, and computation with novel substrates. As micro- and nano-scale systems with manifestly non-classical behavior have gained importance in these areas, researchers have devoted increasing attention to the extension of parameter estimation methodologies to problems involving quantum mechanical inference and dynamics. Our aim in this article is to establish that real-time feedback plays a central role in the quantum regime— as it does in classical scenarios— enabling robust parameter estimation in the presence of significant modeling uncertainty.

In quantum parameter estimation the central objective is to extract information about a static or time-dependent parameter in a Hamiltonian, via direct or indirect measurements performed on a system that evolves according to this Hamiltonian Holevo (2001); Gambetta and Wiseman (2001); Verstraete et al. (2001). An elementary example of such a process is estimating the amplitude of a magnetic field, $`𝐛(t)`$, by observing short-time Larmor precession of a spin ensemble Dupont-Roc et al. (1969) (here we will consider an ensemble consisting of hyperfine spins in a cloud of laser-cooled atoms). The field-spin interaction is described by a magnetic dipole Hamiltonian,

$$\widehat{H}[t;𝐛(t)]=\mathrm{}\gamma 𝐛(t)\widehat{𝐅}$$
(1)
where $`\gamma `$ is the gyromagnetic ratio and $`\widehat{𝐅}`$ is the total angular momentum operator for the ensemble.

A canonical estimation procedure is depicted in Fig. 1(A). An atomic spin ensemble is prepared such that its net magnetization, or Bloch vector, $`\widehat{𝐅}`$, achieves a coherent spin state along the $`x`$-axis. In the presence of an external magnetic field, $`𝐛(t)`$, the bulk magnetization precesses around $`𝐛`$ with instantaneous frequency, $`\omega _\mathrm{L}(t)=\gamma |𝐛(t)|`$. Generally, it is arranged such that $`𝐛(t)=b(t)\widehat{𝐲}`$ lies along the $`y`$-axis so that the spin state can be resolved from a continuous measurement of $`\widehat{F}_\mathrm{z}`$ Smith et al. (2003); Silberfarb and Deutsch (2003). An estimate, $`\stackrel{~}{𝐛}`$, of the external magnetic field is then obtained (by regression or filtering) from the small-angle relation

$$\stackrel{~}{𝐛}=\frac{\widehat{F}_\mathrm{z}(t)}{\gamma |\widehat{𝐅}(t)|t}\widehat{𝐲},t\omega _\mathrm{L}^1.$$
(2)
This procedure can achieve Heisenberg limited sensitivity Geremia et al. (2003) by exploiting conditional spin-squeezing Kitagawa and Ueda (1993); Kuzmich et al. (2000). The problem with this approach is that it requires accurate knowledge of the net magnetization, $`|\widehat{𝐅}(t)|`$, a quantity that unfortunately varies due to decoherence and shot-to-shot fluctuations in the atom number. Uncertainty in $`|\widehat{𝐅}(t)|`$ directly translates into uncertainty in $`\stackrel{~}{𝐛}(t)`$.

Fig. 1(B) depicts an alternative estimation procedure that is robust to fluctuations in $`|\widehat{𝐅}(t)|`$ Thomsen et al. (2002). The spin ensemble and $`\widehat{F}_\mathrm{z}`$ measurement are situated within a feedback control loop that attempts to stabilize $`\widehat{F}_\mathrm{z}`$ to a reference value, $`r(t)=0`$. In the presence of a time-varying magnetic field signal, $`𝐛(t)=b(t)\widehat{𝐲}`$, the controller imposes a compensating field, $`𝐛_\mathrm{c}(t)b(t)\widehat{𝐲}`$, to try to suppress the atomic Larmor precession. The closed-loop estimate is then given by $`\stackrel{~}{𝐛}(t)=𝐛_\mathrm{c}`$, and its accuracy is determined by the controller’s ability to respond promptly and accurately to changes in $`𝐛(t)`$. In this work we demonstrate that standard design techniques enable the implementation of feedback controllers with excellent tracking and high robustness to fluctuations in $`|\widehat{𝐅}(t)|`$. This illustrates new utility for real-time feedback in cold atom physics, as previous investigations have focused on active control of atomic motion Morrow et al. (2002); Fischer et al. (2002).

Fig. 2 provides a schematic of our experimental apparatus implemented according to the design in Fig. 1(B). It consists of a cold atom ensemble, a Faraday polarimeter for continuously probing the atomic Bloch vector, and a high-speed Helmholtz coil along the $`y`$-axis for applying feedback. The spin system is provided by the 62S1/2(F=4) ground state hyperfine manifold in Cs, which contains $`(2F+1)=9`$ energetically degenerate Zeeman sublevels in zero field. Therefore, the net angular momentum of the polarized spin state is given by, $`N\mathrm{}\sqrt{F(F+1)}4N\mathrm{}`$, for an ensemble of $`N`$ atoms.

Cold atom samples were obtained by loading $`N10^9`$ neutral 133Cs atoms into a magneto-optical trap (MOT) from a $`1\times 10^8`$ Torr background vapor, using optical trapping beams (30 mW each, 2.5 cm diameter) derived from an injection-locked diode laser. The atoms were cooled to 1 $`\mu `$K via a 5 ms $`\sigma _+`$/$`\sigma _{}`$ polarization gradient cooling phase, and a coherent spin state was produced by optical pumping with $`\sigma _+`$ polarized light (100 $`\mu `$W with a 6.2 mm Gaussian waist) tuned to the 62S1/2(F=4) $``$62P3/2(F=4) hyperfine transition. A 45 mW, 2.5 cm diameter re-pumping beam was used.

Continuous weak measurement of $`\widehat{F}_\mathrm{z}`$ was implemented using a free-running diode laser, blue-detuned from the (F=4)$``$(F=5) transition by $`\mathrm{\Delta }`$=2 GHz. The 65 $`\mu `$W probe beam was linearly polarized by a high extinction ($`>`$106) Glan-Thompson prism polarizer and mode-matched to the Gaussian waist of the atomic spatial distribution. Relaxation of the coherent spin state due to the probe light was measured to be $`T_2`$ = 11.2 ms.

Faraday rotation of the probe light was detected using a balanced polarimeter (1 MHz detector bandwidth) constructed from a high extinction Glan-Thompson polarizing beam splitter. This configuration produces a photocurrent, $`y(t)`$, proportional to the $`z`$-component of the spin angular momentum Thomsen et al. (2002); Silberfarb and Deutsch (2003); Smith et al. (2003),

$$y(t)=2\sqrt{M}\widehat{F}_\mathrm{z}(t)+\zeta (t)$$
(3)
where $`M`$ is the measurement strength and $`\zeta (t)`$ reflects measurement noise. Background magnetic fields were nulled to $`<`$100 $`\mu `$G with large (d = 1 m) external three-axis Helmholtz coils by Larmor precession measurements.

The feedback system in Fig. 2 utilizes the photocurrent, $`y(t)`$, to control the strength of a Hamiltonian,

$$\widehat{H}_\mathrm{c}(t)=\mathrm{}\gamma b_\mathrm{c}[y(t)]\widehat{F}_y$$
(4)
that rotates the Bloch vector around the $`y`$-axis. It is the job of the controller to determine the appropriate feedback strength, $`b_\mathrm{c}(t)=\beta u(t)`$, based on the observation $`y(t)`$. For a linear controller,

$$u(t)=_0^tC(t\tau )y(\tau )𝑑\tau ,$$
(5)
where $`C(t)`$ must be designed to satisfy tracking and robustness objectives. The controller output, $`u(t)`$, is used to program a current supply that drives a $`y`$-axis Helmholtz coil surrounding the atomic sample. This requires accurate calibration (obtained in our case from Larmor frequency measurements) of the gain, $`\beta `$, from current supply programming voltage, $`u(t)`$, to the feedback field, $`b_\mathrm{c}(t)`$.

In control theory, it is customary to design $`C(t)`$ in the frequency rather than time domain by taking Laplace transforms of the functions, $`C(t)C(s)`$, $`y(t)y(s)`$, etc., where $`s=j\omega `$ and $`j=\sqrt{1}`$. This results in the closed-loop frequency response of the control system,

$$T(s)=\frac{y(s)}{r(s)}=\frac{C(s)P(s)}{1+C(s)P(s)}$$
(6)
where $`P(s)=y(s)/u(s)`$ is the transfer function from the feedback coil programming voltage to the photocurrent. The tracking objective is to adjust the gain and phase of $`C(s)`$ such that $`T(s)1`$ over as large a frequency range as possible. Standard results from robust loop-shaping theory Doyle et al. (1990); Zhou and Doyle (1997) lead to a controller design,

$$C(s)=\frac{Q(s)}{1+P(s)Q(s)},Q=\frac{W(s)}{P_{\mathrm{mp}}(s)}$$
(7)
where $`W(s)`$ is a stable, strictly proper \[$`W(s\mathrm{})=0`$\] function that adjusts the bandwidth of $`C(s)`$ and $`P_{\mathrm{mp}}(s)`$ is the minimum phase contribution to $`P(s)`$.

Ideally, the Helmholtz coil current supply would introduce no additional frequency dependence to $`P(s)`$, so that $`P(s)`$ would be determined solely by atomic dynamics. In the limit, $`\widehat{F}_\mathrm{z}|\widehat{𝐅}|`$, which is maintained in closed-loop, this would be \[using $`\widehat{F}_\mathrm{z}(t)=\mathrm{exp}(t/T_2)\mathrm{sin}(\omega _Lt)`$\],

$$P(s)2\gamma \sqrt{M}|\widehat{𝐅}|\frac{1}{s}$$
(8)
and proportional feedback \[constant $`C(s)`$\] would provide good tracking. However, it is not always possible to construct a current supply with sufficient bandwidth. Finite available supply power places an upper bound on the closed-loop bandwidth for driving an inductive load, and a more intelligent $`C(s)`$ design is necessary. Our Helmholtz coil supplies were constructed using high-power (500 W) operational amplifiers and displayed 73 degrees of phase delay at 100 kHz. With proportional control, this would be insufficient phase margin.

Fig. 3 shows the measured transfer function, $`P(s)`$, for the combined atomic ensemble, Faraday polarimeter and feedback coil system. It was generated by utilizing a network analyzer to perform a swept sine analysis of $`P(s)`$. For each data point, the analyzer was triggered following preparation of a coherent spin state according to the cooling and optical pumping procedure described above. Although $`P(s)`$ is approximately an integrator, it displays substantially larger phase delay at higher frequency; a fit of the transfer function yields the model,

$$P(s)=\frac{1.6\times 10^4(8.0\times 10^5s)}{s^2+4.1\times 10^5s+4.0\times 10^9}.$$
(9)
By factoring this transfer function into its minimum-phase and all-pass components, $`P(s)=P_{\mathrm{mp}}(s)P_{\mathrm{ap}}(s)`$, a stabilizing feedback controller was obtained using Eq. (7). $`W(s)`$ was chosen to be a single-pole (Butterworth) low-pass filter with $`f_\mathrm{c}=1`$ MHz which yielded the transfer function, $`C(s)`$, in Fig. 3(A). The feedback controller was implemented using high bandwidth analog electronics and resulted in the closed-loop transfer function, $`T(s)`$, depicted in Fig. 3(B). The significance of $`T(s)`$ is that $`1T(s)`$ provides a measure of the tracking error, and thus the error in the parameter estimation.

Fig. 4 shows a demonstration of the closed-loop parameter estimation procedure for both stationary and time-dependent magnetic fields generated by an auxiliary $`y`$-axis Helmholtz coil (refer to Fig. 2). Plot (A) indicates the effect of real-time feedback on the polarimetry photocurrent, $`y(t)`$. At time, $`t`$ = 0.5 ms, a field of $`B_\mathrm{y}`$ = 50 mG was turned on, with feedback disabled, resulting in atomic Larmor precession. However, when the feedback loop was closed at $`t`$ = 1 ms, it acted to null out the applied field and lock the Bloch vector into the $`xy`$-plane. This simultaneously provided an estimation of the applied field, $`\stackrel{~}{𝐛}=𝐛_\mathrm{c}=\beta u(t)\widehat{𝐲}`$. Plot (B) demonstrates our capability to track time-varying fields within the feedback bandwidth of 100 kHz; here, feedback was enabled the entire time during a 5 kHz bandwidth applied field.

To demonstrate robustness, the parameter estimation error was measured as a function of atom number, $`N`$, by varying the MOT loading time, $`t_\mathrm{L}`$, according to a calibration of $`N`$ versus $`t_\mathrm{L}`$, (accurate to 40%) obtained from resonant fluorescence imaging. The estimation error, $`\mathrm{\Delta }\stackrel{~}{𝐛}`$, was computed from ensemble averages, $`E[𝐛(t)\stackrel{~}{𝐛}(t)_2]`$, over 100 replicate measurements for each sampled value of $`N`$ according to the semi-norm,

$$𝐛(t)_2=\frac{1}{T}_0^T|𝐛(t)|^2𝑑t.$$
(10)
As seen in Fig. 5, $`\mathrm{\Delta }\stackrel{~}{𝐛}`$ was essentially unaffected by fluctuations in $`N`$ spanning three orders of magnitude. The residual estimation uncertainty of approximately 713 $`\mu `$G is the result of tracking error due to finite controller gain which provides motivation for higher bandwidth feedback systems. A closed-loop estimator with a 1 MHz unity-gain point is expected to provide $``$10 nG field resolution similar to current magnetometers Kominis et al. (2003).

Although the current experiment did not produce an appreciable degree of spin-squeezing, it has demonstrated a connection between feedback and robustness (to inevitable atom-number fluctuations) that will apply equally well in future experiments with improved sensitivity Thomsen et al. (2002). Hence the closed-loop methodology we advocate should enable— and may even be essential for— the implementation of proposals to utilize conditional spin-squeezing for sensitivity beyond the Standard Quantum Limit in various applications of spin resonance with cold atoms, such as magnetometry Stockton et al. (2003), atomic frequency standards, and matter-wave gravimetry.

This work was supported by the NSF (PHY-9987541, EIA-0086038), the ONR (N00014-00-1-0479), and the Caltech MURI Center for Quantum Networks (DAAD19-00- 1-0374). JKS acknowledges a Hertz fellowship. We thank Andrew Berglund and Michael Armen for experimental assistance and Andrew Doherty and Poul Jessen for helpful discussions. Additional information is available at http://minty.caltech.edu/Ensemble.


text:
# Matrix Model and Ginsparg-Wilson Relation

## 1 Introduction

Various matrix models have been proposed toward the nonperturbative formulations of the superstring theory. IKKT matrix model is one of the proposals, and its several properties have been investigated. In the matrix model space-time is described in matrices, so noncommutative (NC) geometry naturally appears in itself. The realization of chiral fermion is one of the interesting issues from the standpoint of the unification of space-time and matter since the chiral structure of fermions may play important roles in quantization of space-time.

One way to realize the $`4`$ dimensional chiral fermions in the matrix model is the Kaluza-Klein compactification with the non-trivial index. The construction of the non-trivial index in finite NC geometry or matrix model is thus an important subject. Topologically nontrivial configurations in finite NC geometries have been constructed based on algebraic K-theory and projective modules in much literature, but it would be better if we could find other prescriptions which are more natural in physical point of view. One of the possibilities is the utilization of the admissibility condition and the Ginsparg-Wilson relation in lattice gauge theory (LGT).

In LGT there occurred much development recently in the construction of chiral gauge theory. The first important observation was that, in the presence of the mass defect which is introduced as a scalar background in higher $`4+x`$ dimensions, a chiral fermion appears at the defect. So far a domain wall fermion ($`x=1`$ and a vortex fermion ($`x=2`$ are constructed on the lattice. From the former model a practical solution to the GW relation, the overlap Dirac operator, is obtained . The index theorem and the modified chiral symmetry are also realized, and eventually, an anomaly free abelian chiral gauge theory is constructed on the lattice.

On the other hand in Connes’ NC geometry the formulation is evolved from the spectral triple ($`𝒜`$,$``$,$`𝒟`$), where a chirality operator and a Dirac operator which anti-commute are introduced. In ref., we proposed to generalize the algebraic relation to GW relation so that we can define chiral structures in a finite noncommutative geometry. We will discuss these topics briefly in the following.

## 2 GW fermion on finite NC geometry

First we overview the relevant works shortly.

The first literature related to this context is found in ref., where overlap formula is applied to the unitary IIB matrix model. At this time, however, the real importance of the GW relation and the relation between them were not known yet. Next in ref. GW relation on fuzzy 2-sphere was discussed for free fermions in connection to the fermion doubling problems. On NC torus the lattice structure is visible, so the usual overlap Dirac operator can be put naively on NC torus as it is. The authors in ref. discussed the chiral gauge theory on NC torus using the overlap Dirac operator. In the paper the gauge field was introduced to the Dirac operator in ref., but the modified chiral symmetry was not maintained since the gauge field was introduced linearly in the Dirac operator. Dirac operator which has the exact chiral symmetry and no doubling species for general gauge fields has not been realized until the appearance of the paper.

The prescription proposed in ref. is as follows. First we introduce two hermitian chirality operators, $`\mathrm{\Gamma }`$ and $`\widehat{\mathrm{\Gamma }}=\frac{H}{\sqrt{H^2}}`$, which satisfy $`\mathrm{\Gamma }^2=\widehat{\mathrm{\Gamma }}^2=1`$. $`H`$ includes the differential operator and the gauge field. The Dirac operator $`D_{GW}`$ is defined by $`1\mathrm{\Gamma }\widehat{\mathrm{\Gamma }}=f(a,\mathrm{\Gamma })D_{GW}`$, where $`a`$ is a small parameter. $`H`$ and the function $`f`$ must be defined so that the $`D_{GW}`$ has no doublers and the correct behavior in the commutative limit ($`a0`$). $`D_{GW}`$ satisfies GW relation, $`\mathrm{\Gamma }D_{GW}+D_{GW}\widehat{\mathrm{\Gamma }}=0`$, and we have the index theorem: $`\mathrm{index}D_{GW}(n_+n_{})=\frac{1}{2}𝒯r(\mathrm{\Gamma }+\widehat{\mathrm{\Gamma }})`$. Under the modified chiral transformation $`\delta \mathrm{\Psi }=i\lambda \widehat{\mathrm{\Gamma }}\mathrm{\Psi }`$, $`\delta \overline{\mathrm{\Psi }}=i\overline{\mathrm{\Psi }}\lambda \mathrm{\Gamma }`$, the fermionic action $`S_F=\mathrm{tr}(\overline{\mathrm{\Psi }}D_{GW}\mathrm{\Psi })`$ is invariant, while the Jacobian produces $`q(\lambda )=\frac{1}{2}𝒯r(\lambda \widehat{\mathrm{\Gamma }}+\lambda \mathrm{\Gamma })`$, which is expected to provide the topological charge density and the index for $`\lambda =1`$.

### 2.1 Example on fuzzy 2-sphere

We give the concrete example of $`H`$ and $`f`$ for fuzzy 2-sphere case setting the NC coordinates as $`x_i=\alpha L_i`$, where $`L_i`$’s are $`2L+1`$ dimensional irreducible representation matrices of $`SU(2)`$ algebra. The radius of the sphere is then given by $`\rho =\alpha \sqrt{L(L+1)}`$. One example set of $`H`$ and $`f`$ are $`H=\mathrm{\Gamma }^R+aD_w`$ and $`f=a\mathrm{\Gamma }^R`$, where $`a=1/(L+1/2)`$ and $`R`$ means that the operator acts from the right on the matrices. $`D_w`$ and $`\mathrm{\Gamma }^R`$ are given by $`D_w=\sigma _i(_i+\rho a_i)+1`$ and $`\mathrm{\Gamma }^R=\frac{1}{2L+1}(2\sigma _iL_i^R1)`$, where $`i`$ runs from $`1`$ to $`3`$. $`a_i`$’s are gauge fields and $`_i`$’s are Killing vectors satisfying $`_iM=[L_i,M]`$ for any hermitian matrix $`M`$. We denote here the Dirac operator constructed from these $`H`$ and $`f`$ as $`D_{AIN}`$.

We can show that the Chern-character is correctly produced from the Jacobian in the commutative limit; $`q(\lambda )=2\rho \frac{d\mathrm{\Omega }}{4\pi }\lambda ϵ_{ijk}x_i_ja_k^{}`$ where $`a_i^{}`$ is a tangential component of $`a_i`$: $`a_i^{}=ϵ_{ijk}x_ja_k/\rho `$.

The properties of $`D_{AIN}`$ and other types $`D_{WW}`$ and $`D_{GKP}`$ are summarized in Table 1. $`D_{WW}`$, $`D_{GKP}`$ and their properties related to doublers are seen in refs., and , respectively. Here we note that $`D_w`$ is equal to $`D_{GKP}`$ and that $`D_{WW}`$ has no chiral anomaly. The source of the chiral anomaly in $`D_{GKP}`$ is the breaking in a cut-off scale of the action under the chiral transformation, while that in $`D_{AIN}`$ is the Jacobian. These facts suggest that some kind of Nielsen-Ninomiya’s theorem exists in matrix model and NC geometry.

#### Non-trivial index on fuzzy 2-sphere

Based on the construction in ref., a concrete example of the non-trivial index is constructed with the projective module method in ref.. Using the same method we can construct the TP monopole on fuzzy 2-sphere. However, the index operator is modified and the original interpretation is lost. This is an open problem.

### 2.2 Example on NC torus

GW fermion on NC torus is defined with the overlap Dirac operator in LGT as it is. In addition to the usual chirality operator $`\gamma _{d+1}`$, the other one $`\widehat{\gamma }=\frac{H}{\sqrt{H^2}}`$ is introduced. Here $`H=\gamma _{d+1}(m_0aD_\mathrm{w})`$ with the Wilson-Dirac operator, $`D_\mathrm{w}=\frac{1}{2}\left[\gamma _\mu (_\mu ^{}+_\mu )ar_\mu ^{}_\mu \right]`$, where $`m_0`$ and $`r`$ are free parameters. Using the above chirality operators, the GW Dirac operator is expressed as $`D_{GW}=\frac{1}{a}\left[1\gamma _{d+1}\widehat{\gamma }\right]`$, which is free of species doubling if $`0<\frac{m_0}{r}<2`$.

The Jacobian is shown to produce the correct chiral anomaly in arbitrary dimensions ($`d=2n`$) using the result in ref.. The final expression is written as $`q(\lambda )=\frac{(1)^n}{(4\pi )^nn!}ϵ_{\nu _n\mu _n\mathrm{}\nu _1\mu _1}d^dx\lambda (x)F_{\nu _n\mu _n}(x)\mathrm{}F_{\nu _1\mu _1}(x)`$.

#### Non-trivial index on NC torus

In LGT the non-trivial topological structure in gauge field space is realized by the admissibility condition, which requires that the fluctuation of the gauge field strength is sufficiently small. On NC torus GW fermion includes the gauge field in the compact form, so it is expected that the non-trivial topology may be realized with the condition not appealing to projective modules. The index can be studied by the spectral flow method. The gauge field configurations which satisfy the admissibility condition and produce non-trivial indices are indeed found numerically on NC torus. This result shows that the non-trivial topological structure is naturally realized in the gauge field space on NC torus.

## 3 Discussion

GW relation has important roles in matrix model as well as in LGT. It is desirable to construct many examples of GW fermions on various higher-dimensional NC geometries. We hope that not only the topology of gauge field space but also that of space-time can be classified with the index operator or its generalization.


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# SNUTP-03-018 Comparison of (Fat7)̄ and HYP fat links

## 1 INTRODUCTION

Despite its prominent role in the non-perturbative study of QCD, lattice field theory has long struggled with the discretization errors inherent in its formulation, with the consequent development of many improvement schemes. One popular method of improvement has been the use of “fat links”, in which each ordinary or “thin” link of the lattice, $`U_\mu (x)`$, is replaced by a linear combinaton of the thin link and links adjacent to it. Two fattening algorithms which will be of interest to us in this report are HYP or hypercubic blocking , and SU(3)-projected Fat7 blocking  ($`\overline{\mathrm{Fat7}}`$). These two algorithms have been shown to be perturbatively equivalent at one-loop level . Here we present the results of a preliminary numerical study to determine if HYP and $`\overline{\mathrm{Fat7}}`$ significantly differ non-perturbatively.

## 2 HYPERCUBIC BLOCKING

The HYP algorithm is a modification of standard APE smearing . The APE-smeared link $`V_\mu (x)`$ is formed by adding the sum of staples, weighted by some factor $`\alpha `$, to the thin link,

$$V_\mu (x)=(1\alpha )U_\mu (x)+\frac{\alpha }{6}\underset{\nu =0}{\overset{3}{}}W_\nu (x)$$
(1)
followed by projection back to SU(3) ($`W_\nu (x)`$ refers to the sum of three-link staples in the positive and negative $`\nu `$ directions, with central link parallel to $`U_\mu (x)`$, and $`\nu \mu `$,). To localize the smearing within the smallest possible volume, HYP blocking was defined as being equivalent to three iterations of APE smearing with the caveat that the staples at each stage could not be constructed from links which are fattened in the same plane as the staple itself. Due to space constraints in this report, we direct the reader to reference  for a more detailed description.

Since its introduction, HYP blocking has shown itself to be extremely effective at reducing taste-symmetry breaking effects, and has gained widespread attention and use.

## 3 FAT7 AND $`\overline{\mathrm{FAT7}}`$ BLOCKING

Fat7 blocking  incorporates not only three-link staples but also five-link and seven-link staples, making it possible to traverse all three directions orthogonal to the original thin link, as in HYP blocking. Unlike HYP, the original proposal for Fat7 blocking did not incorporate SU(3) projection. $`\overline{\mathrm{Fat7}}`$ is a modification of Fat7 which incorporates SU(3) projection after fattening .

We can use the second covariant derivative  operator to define a fattened link

$$L_\nu (\alpha )U_\mu (x)=(12\alpha )U_\mu (x)+\alpha W_\nu (x).$$
(2)
($`W_\nu (x)`$ defined as in Eq. (1)). With the parameter $`\alpha `$ taking the value one-quarter this operator can be interpreted as suppressing flavour-changing gluon interactions by vanishing in the limit as gluon momentum approaches the lattice cut-off. The Fat7 link can easily be constructed by repeated application of this operator as

$$V_\mu =\frac{1}{6}\underset{\mathrm{perm}(\nu ,\rho ,\lambda )}{}L_\nu (\alpha )\left(L_\rho (\alpha )\left(L_\lambda (\alpha )U_\mu \right)\right)$$
(3)
where we note explicitly that the sum over permutations of the directions is taken.

This repeated use of the same operator means we use a single weighting parameter $`\alpha `$ at each stage, whereas HYP uses three parameters $`\alpha _1`$, $`\alpha _2`$, $`\alpha _3`$. For $`\overline{\mathrm{Fat7}}`$ we may construct four different combinations of SU(3) projection options (i.e. projection at the final, initial+final, middle+final, and initial+middle+final stages).

## 4 COMPARISON OF FATTENING APPROACHES

The process of fattening tends to spread the minimum plaquette values of an ensemble of configurations over quite a wide range (compare Figs. 1 and 3-3). In , minimum plaquette values were used as a probe of the most severe short-range link fluctuations, which can lead to taste-symmetry violating effects and other problems. We expect that for certain types of measurements it will be desirable to reduce link fluctuations by increasing minimum plaquette values, while maintaining a narrow spread of minimum plaquette values across our ensemble to reduce statistical uncertainty. However it is worth noting that this is a speculative point. In this study we wish to determine whether the $`\overline{\mathrm{Fat7}}`$ blocking algorithm is capable of producing a narrower spread of minimum plaquette

values than HYP, making it worthy of a more detailed investigation.

## 5 RESULTS

We present the minimum plaquette values for an ensemble of 194 quenched configurations generated on an $`8^3\times 32`$ lattice at $`\beta =5.7`$. We also present the minimum plaquette values for the ensembles obtained after blocking each configuration with the HYP algorithm (Fig. 3-3), and $`\overline{\mathrm{Fat7}}`$ with $`\alpha =0.25`$ (Figs. 6-6). For HYP we are interested in two choices of parameters, those found non-perturbatively in , namely $`\alpha _1=0.75`$, $`\alpha _2=0.6`$, $`\alpha _3=0.3`$ (HYP-I), and those found perturbatively in , namely $`\alpha _1=7/8`$, $`\alpha _2=4/7`$, $`\alpha _3=1/4`$ (HYP-II), although we note the caveat that choices of $`\alpha _1`$ larger than 0.75 may tend to destabilize the smearing algorithm . For the $`\overline{\mathrm{Fat7}}`$-blocked configurations we have analysed the four different SU(3) projection options described in section 3. The $`\overline{\mathrm{Fat7}}`$ configurations show less spread than HYP. $`\overline{\mathrm{Fat7}}`$ with projection at the final stage, and at all three stages are interesting from an analytical basis . Although the number of configurations used in this study is small, the narrow, well-defined peak obtained after blocking with initial+final stage SU(3) projection seems significant enough to also warrant further investigation.

## 6 CONCLUSIONS

In this preliminary work $`\overline{\mathrm{Fat7}}`$ shows signs of producing results which are as good as HYP, and possibly better for some calculations. Both HYP and $`\overline{\mathrm{Fat7}}`$ can be constructed very efficiently by pre-calculating and storing the staples across the entire lattice, and using these to make the links at the next level of fattening. Using this approach $`\overline{\mathrm{Fat7}}`$ requires less memory than HYP. In future work we hope to determine whether $`\overline{\mathrm{Fat7}}`$-blocked ensembles can produce results which are superior to HYP for certain calculations.

## 7 ACKNOWLEDGEMENTS

We wish to thank Anna Hasenfratz for discussing the relation of this work to her own, and Derek Leinweber for bringing refence  to our attention.