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# Testing the Predictions of the Universal Structured GRB Jet Model

## 1 Introduction

Since the discovery of gamma-ray burst (GRB) afterglows in early 1997, several lines of evidence have emerged in support of collimated outflows, or jets. The total energy output in $`\gamma `$-rays that is inferred from the fluence of bursts with a known redshift $`z`$, assuming spherical symmetry, $`E_{\gamma ,\mathrm{iso}}`$, in some cases approaches and in one case (GRB 990123) even exceeds $`M_{}c^2`$. This is hard to produce in any progenitor model involving a stellar-mass object. A jet can significantly reduce the total energy output for a given $`E_{\gamma ,\mathrm{iso}}`$. A more direct line of evidence in favor of jets in GRBs (and probably the best evidence so far), is from achromatic breaks in the afterglow light curves (Rhoads 1997,1999; Sari, Piran & Halpern 1999).

However, despite six years of extensive afterglow observations, the structure of the relativistic jets that produce GRBs is still unknown. The structure of GRB jets is a very fundamental and important property which effects the requirements from the source that accelerates and collimates the jets, and has direct bearing on two of the most basic properties of any astrophysical radiation source: the rate and the total amount of energy output. Within the fireball model (for review see Piran 2000, Mészáros 2002) there are two very different jet structures which are compatible with the observations: (i) the uniform (or ‘top hat’) jet model (Rhoads 1997,1999; Panaitescu & Mészáros 1999; Sari, Piran & Halpern 1999; Kumar & Panaitescu 2000; Moderski, Sikora & Bulik 2000; Granot et al. 2001,2002), where the initial energy per solid angle $`ϵ`$ and Lorentz factor $`\mathrm{\Gamma }`$ are uniform within some finite half-opening angle $`\theta _j`$ and sharply drop outside of $`\theta _j`$, and (ii) the universal structured jet (USJ) model (Postnov, Prokhorov & Lipunov 2001; Rossi, Lazzati & Rees 2002; Zhang & Mészáros 2002), with a standard jet structure for all GRBs where $`ϵ\theta ^2`$ (outside of some core angle). It is important to note that in the USJ model all GRB jets are intrinsically identical (both in their angular profile and total energy). Both jet structures can explain the observed correlation between $`E_{\gamma ,\mathrm{iso}}`$ and the jet break time $`t_j`$ in the optical afterglow light curve, $`t_jE_{\gamma ,\mathrm{iso}}^1`$ (Frail et. al. 2001; Bloom et al. 2003). In the USJ model this determines the jet structure ($`ϵ\theta ^2`$). In the ‘top hat’ model $`t_j`$ depends mainly on $`\theta _j`$ (Rhoads 1997,1999; Sari et. al. 1999), while in the USJ model it depends mainly (and in a similar way) on the viewing angle $`\theta _{\mathrm{obs}}`$ from the jet axis.

The simplicity the USJ model gives it a strong predictive power. In a recent paper Perna, Sari & Frail (2003; hereafter PSF03) used this feature of the USJ model to predict the observed distribution of viewing angles, $`n(\theta )=dn/d\theta `$ (hereafter we use $`\theta `$ instead of $`\theta _{\mathrm{obs}}`$ for brevity). They have shown that the current limited sample of $`16`$ bursts with known $`\theta `$ and redshift $`z`$ fits the predicted distribution very well. In this Letter we extend the comparison between the USJ model predictions and observations into one more dimension - the redshift $`z`$. Namely, we use here the two dimensional (2D) distribution $`n(z,\theta )=dn/dzd\theta `$ and compare it with the known $`\theta `$ and $`z`$ of the observed sample. The 1D distribution that was used by PSF03 for comparison with the data is $`n(\theta )=n(z,\theta )𝑑z`$. However, the known redshift of these GRBs is not used in the 1D analysis. Comparing the data both for $`z`$ and for $`\theta `$ with the 2D distribution, $`n(z,\theta )`$, reveals that the agreement between the data and the 1D distribution, $`n(\theta )`$, that was found by PSF03 is accidental, and arises because of the integration over the z. The 2D data shows a very poor agreement with the model, and the hypothesis that the data is drawn from the model is rejected at $`99\%`$ significance by a 2D K-S test. Thus, the agreement between the data and the 1D distribution is misleading, and does not provide support for (and certainly does not prove) the USJ model. In order to test this statistically, while trying to minimize the possible selection effects as a function of $`z`$, it is most appropriate to compare $`n(z,\theta )`$ with the data over a relatively narrow range in $`z`$. Such a comparison has another important advantage: it depends only weakly on $`R_{\mathrm{GRB}}(z)`$ \- the GRBs rate as a function of $`z`$ \- which is rather poorly known. A drawback of this test is that it requires a large number of data points at a given redshift. The narrowest range in $`z`$ that contains a reasonably large number of the current data points (10 points) is $`0.8<z<1.7`$. In this range the USJ model fails to explain the data with a significance of $`99.8\%`$.

We perform several tests in order to check the robustness of this result, and its sensitivity to various selection effects that we can quantify, and find it to be robust and significant. Thus, we find that the current data set strongly disfavors the USJ model. Nevertheless, it is still premature to draw a definite conclusion, mainly because many different detectors were involved in detecting the current sample. This situation is expected to improve in the near future with the launch of Swift. Once a homogeneous and large sample of bursts with measured $`z`$ and estimated $`\theta `$ would be available, applying the 2D test described here would result in either a definite rejection or a strong support for the USJ model. We stress that the specific test we carry here is relevant only to a universal structured jet, i.e. with a universal profile of both $`ϵ(\theta )`$ and the initial value of $`\mathrm{\Gamma }(\theta )`$.111if the initial $`\mathrm{\Gamma }`$ profile is not universal, then different jets may produce $`\gamma `$-rays within different solid angles. Finally, although in this Letter we apply the 2D test only to the USJ model, it can be easily generalized to any model that predicts a luminosity function and a luminosity-angle relation.

## 2 Theory

Below we follow PSF03, and generalize their 1D distribution $`n(\theta )`$ to the 2D distribution $`n(z,\theta )`$. Eq. 5 of PSF03 presents the photon peak luminosity in the energy range $`50300`$keV, assuming that all GRBs are identical with a differential photon spectral index, $`\alpha =1`$,

$$L_{\mathrm{ph}}(\theta ,T)=1.1\times 10^{57}\stackrel{~}{T}^1\theta ^2\mathrm{photons}\mathrm{sec}^1,$$
(1)
where $`T=\stackrel{~}{T}`$sec is an “effective” duration which is given by the ratio of the (isotropic equivalent) energy output and peak luminosity (or equivalently $`(1+z)^1`$ times the ratio of the fluence and peak flux). In practice, $`T`$ changes from one burst to another, and we will denote its probability distribution by $`P(T)`$. For a detector with a given limiting flux for detection $`F_{\mathrm{ph},\mathrm{lim}}=\stackrel{~}{F}_{\mathrm{ph},\mathrm{lim}}\mathrm{photons}\mathrm{cm}^2\mathrm{sec}^1`$ and a burst at given $`\theta `$ and $`z`$, we can derive the maximal $`T`$ for which this burst is detected, $`T_{\mathrm{max}}`$,

$$T_{\mathrm{max}}=88(1+z)^\alpha D_{28}^2(z)\stackrel{~}{F}_{\mathrm{ph},\mathrm{lim}}^1\left(\frac{\theta }{0.1}\right)^2\mathrm{sec},$$
(2)
where $`D_{28}(z)`$ is the co-moving distance in units of $`10^{28}`$cm. The total rate of bursts with an inferred viewing angle between $`\theta `$ and $`\theta +d\theta `$ and a redshift between $`z`$ and $`z+dz`$ is then

$$n(z,\theta )=\frac{dn}{dzd\theta }=\mathrm{sin}\theta \frac{R_{\mathrm{GRB}}(z)}{(1+z)}\frac{dV(z)}{dz}_0^{T_{\mathrm{max}}(\theta ,z)}P(T)𝑑T,$$
(3)
where $`R_{\mathrm{GRB}}(z)`$ is the GRB rate per unit comoving time per unit comoving volume $`V(z)`$. Eq. 3 is similar to Eq. 11 of PSF03 but without integration over $`z`$. Thus, Eq. 3 describes the 2D distribution $`n(z,\theta )`$ while Eq. 11 of PSF03 describes the 1D distribution $`n(\theta )=dn/d\theta `$.

In order to calculate $`n(z,\theta )`$ one must assume some $`R_{\mathrm{GRB}}(z)`$ and $`P(T)`$. Below we consider the $`R_{\mathrm{GRB}}(z)`$ which PSF03 used as their “standard” model222This model is the Rowan-Robinson (1999) star formation rate with a cutoff at $`z>10`$ as seen in the numerical simulation of Gnedin & Ostriker (1997) where for $`z<10`$:

$$R_{\mathrm{GRB}}(z)\{\begin{array}{c}10^{0.75z},z<z_{\mathrm{peak}}\\ 10^{0.75z_{\mathrm{peak}}},zz_{\mathrm{peak}}\end{array},$$
(4)
and $`z_{\mathrm{peak}}=2`$. At $`z>10`$ the rate declines rapidly. PSF03 first considered a delta function in $`T`$, $`P(T)=\delta (TT_0)`$, where $`T_0`$ is a free parameter which they used in order to get a good fit to the observed $`dn/d\theta `$. Using their “standard” $`R_{\mathrm{GRB}}(z)`$, they found a best fit value of $`T_0=8`$sec. However, since $`P(T)`$ can be estimated pretty well from observations, we do not take it as a free function. In order to estimate $`P(T)`$ we used the flux table of the BATSE 4B-catalog. We have used the peak fluxes (in $`\mathrm{photons}\mathrm{cm}^2\mathrm{sec}^1`$), averaged over the $`1024`$ms BATSE trigger, and the fluences from the catalog in the energy range $`50300`$keV. In order to convert the peak fluxes to $`\mathrm{erg}\mathrm{cm}^2\mathrm{sec}^1`$ we used a Band spectrum (Band et al. 1993) for the energy distribution, with $`\alpha =1.0`$, $`\beta =2.0`$ and $`E_0=100`$keV. Finally, $`T`$ is approximated by the ratio of the fluence and the peak flux.333This ratio includes the effect of cosmological time dilation, and is therefore a factor of $`(1+z)`$ larger than the actual value of $`T`$, which is measured at the cosmological frame of the GRB. Therefore, we overestimate both $`T`$ (by a factor of $`23`$) and $`\sigma _{\mathrm{ln}T}`$ (as part of the observed scatter is due to the scatter in $`(1+z)`$ between different GRBs). Both affects worsen the fit between the USJ model and the data.  According to this estimation of $`T`$, the total distribution $`P(T)`$ is consistent with a lognormal distribution,

$$\frac{dP}{d\mathrm{ln}\stackrel{~}{T}}=\stackrel{~}{T}P(\stackrel{~}{T})=\frac{1}{\sigma _{\mathrm{ln}T}\sqrt{2\pi }}\mathrm{exp}\left[\frac{(\mathrm{ln}\stackrel{~}{T}\mu )^2}{2\sigma _{\mathrm{ln}T}^2}\right],$$
(5)
with $`\mu =2.15`$ and $`\sigma _{\mathrm{ln}T}=0.87`$ ($`T=8.6\pm _5^{12}`$sec). Below we first use the delta function for $`P(T)`$ that was used by PSF03, and later we use our Eq. 5.

Next we consider measurement errors or intrinsic scatter in $`ϵ\theta ^2`$. The measurement errors in $`z`$ are typically negligible. The error in $`\theta `$, however, may be as large as tens of percent, and so is the intrinsic scatter in $`ϵ\theta ^2`$. In order to account for this scatter, and since it is more reasonable to assume a Gaussian scatter in $`\mathrm{ln}\theta `$ rather than in $`\theta `$ (both for error and intrinsic scatter), we change variables from $`\theta `$ to $`\mathrm{ln}\theta `$, and convolve $`n(z,\mathrm{ln}\theta )=dn/dzd\mathrm{ln}\theta =\theta dn/dzd\theta =\theta n(z,\theta )`$ along the $`\mathrm{ln}\theta `$ coordinate with a Gaussian of standard deviation $`\sigma _{\mathrm{ln}\theta }`$,

$$\stackrel{~}{n}(z,\mathrm{ln}\theta )=\frac{d\stackrel{~}{n}}{dzd\mathrm{ln}\theta }=\frac{_0^{\mathrm{ln}(\pi /2)}n(z,\mathrm{ln}\theta ^{})\mathrm{exp}\left[(\mathrm{ln}\theta \mathrm{ln}\theta ^{})^2/2\sigma _{\mathrm{ln}\theta }^2\right]d(\mathrm{ln}\theta ^{})}{_0^{\mathrm{ln}(\pi /2)}\mathrm{exp}\left[(\mathrm{ln}\theta \mathrm{ln}\theta ^{})^2/2\sigma _{\mathrm{ln}\theta }^2\right]d(\mathrm{ln}\theta ^{})}.$$
(6)
Now $`\stackrel{~}{n}(z,\mathrm{ln}\theta )`$ is a rate function which is smoothed along the $`\mathrm{ln}\theta `$ dimension by the typical scatter due to the bursts intrinsic properties and $`\theta `$ measurement error. The total scatter cannot exceed the measured scatter in $`ϵ\theta ^2`$ that was found by Frail et al. (2001).

## 3 Results

First we repeat the 1D analysis of PSF03 in 2D for their “standard” $`R_{\mathrm{GRB}}(z)`$ model (Eq. 4), using $`P(T)=\delta (TT_0)`$ with $`T_0=8`$sec, for which they obtained the best fit to the data. We used the same parameters as PSF03: $`F_{\mathrm{ph},\mathrm{lim}}=0.424\mathrm{photons}\mathrm{cm}^2\mathrm{sec}^1`$ (The threshold for the BATSE trigger on $`1024`$ms; Mallozzi, Pendleton & Paciesas 1996), $`\alpha =1`$, and the same cosmology: $`\mathrm{\Omega }_M=0.3`$, $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$, and $`H_0=71\mathrm{km}\mathrm{sec}^1\mathrm{Mpc}^1`$.

Fig. 1a depicts the 2D distribution $`n(z,\mathrm{ln}\theta )`$, and the circles mark the $`16`$ GRBs of the Bloom et al. (2003) sample, which were used by PSF03. This figure is a 2D representation of Fig. 1 of PSF03. When integrating our Fig. 1a over the $`z`$ dimension we reproduce Fig 1 of PSF03 (model 1). Fig. 1a shows that while the 1D distribution ,$`n(\theta )`$, provides a good fit to the data, the 2D distribution, $`n(z,\theta )`$, does not agree with the data. The 2D K-S test rejects the null hypothesis that the data is drawn from the model with a confidence of $`99\%`$. The reason for the striking difference between the 2D analysis and the 1D analysis is that the data disagree with the 2D model in two ways that roughly cancel out when integrated over redshift: (i) at high $`z`$ ($`2`$) there are not enough bursts with low $`\theta `$ , and (ii) at low $`z`$ there are too many burst with low $`\theta `$ compared to the number of bursts with high $`\theta `$ ($`0.2`$rad). When integrating over the redshift these two shortcomings roughly cancel each other out. The fact that the 1D distribution of PSF03 peaks at $`\theta 0.12`$rad arises from contribution of predicted bursts at high $`z`$ and low $`\theta `$, which are not present in the observational sample, but are compensated for by the overabundance of bursts at low $`z`$ and low $`\theta `$.

This disagreement with the data, however, cannot be used to draw strong conclusions. The reason is that the current sample suffers from numerous selection effects, mainly in redshift. The selection effects in $`z`$ can be minimized by testing the $`\theta `$ distribution for a given $`z`$ (i.e $`dn/d\theta `$ for a given $`z`$). This test has another important advantage: it depends only weakly on the poorly known GRB rate $`R_{\mathrm{GRB}}(z)`$. The main disadvantage of this test is that the size of the data sample is reduced. We therefore take a slice in redshift of $`0.8<z<1.7`$, which contains $`10`$ of the $`16`$ bursts in the current sample. We use $`R_{\mathrm{GRB}}(z)`$ and $`P(T)`$ from Eqs. 4 and 5. We account for a $`20\%`$ scatter in $`\mathrm{ln}\theta `$ by using $`\stackrel{~}{n}(z,\mathrm{ln}\theta )`$ from Eq. 6 with $`\sigma _{\mathrm{ln}\theta }=0.2`$. Fig. 1b shows the expected distribution $`\stackrel{~}{n}(z,\mathrm{ln}\theta )`$ in this redshift range. Here the paucity of bursts with large $`\theta `$, and overabundance of bursts with small $`\theta `$, is clear. The concentration of bursts at $`\theta <0.1`$ while $`\theta _{\mathrm{max}}(z)0.250.4`$ in this $`z`$ range contradicts the predictions of the USJ model - $`n(\theta )\mathrm{sin}\theta `$, for $`\theta <\theta _{\mathrm{max}}`$. The 2D K-S test rejects the model with a confidence level of $`99.8\%`$.

In order to check the reliability and robustness of our results, we consider below the sensitivity of the results to our assumptions and to the values of the different parameters ($`z_{\mathrm{peak}}`$, $`F_{\mathrm{ph},\mathrm{lim}}`$, etc.). We also consider different observational selection effects and carry additional tests to estimate their influence on the results. First, we varied the value of $`z_{\mathrm{peak}}`$ (Eq. 4), and found that it has almost no influence on the results. We considered also the possibility of a larger $`\sigma _{\mathrm{ln}\theta }`$.444As discussed above it accounts for both the intrinsic scatter and measurement errors. Bloom et al. (2003) obtain a factor of $`2.2`$ scatter in $`ϵ\theta ^2`$, implying $`\sigma _{\mathrm{ln}\theta }0.4`$. Repeating our analysis with $`\sigma _{\mathrm{ln}\theta }=0.4`$, the USJ model is rejected at $`98.7\%`$ confidence.

Next we consider the dependence of our result on the value of $`F_{\mathrm{ph},\mathrm{lim}}`$. It is important to note that we consider here a stiff threshold (i.e. constant $`F_{\mathrm{ph},\mathrm{lim}}`$). In reality it is not the case (both the detection threshold of the detector and the level of the background vary). This effect may result in an underestimate of the number of weak events. One way to overcome this obstacle is by choosing a relatively bright threshold which is above the detection threshold at any time. Unfortunately, this significantly reduces the size of the observed sample, preventing us from applying this method here (it may be applied to a future larger sample, e.g. Swift). The only test we can do with the current sample is to check the effect of a larger (stiff) threshold. Lower sensitivity (larger $`F_{\mathrm{ph},\mathrm{lim}}`$) reduces $`\theta _{\mathrm{max}}(z)`$. In order for the model to accommodate the data concentration at $`\theta <0.1`$rad and $`0.8<z<1.7`$, $`F_{\mathrm{ph},\mathrm{lim}}`$ needs to be increased by a factor of $`5`$. However, this would imply $`\theta _{\mathrm{max}}(z=2)0.06`$rad, which is significantly inconsistent with the observational values of $`\theta `$ at this redshift (two bursts with $`\theta 0.12`$ and two with $`\theta 0.22`$). Another threshold related selection effect is the low sensitivity of BATSE in the X-ray. This effect is important because of the correlation $`E_pϵ^{1/2}`$ (Amati et. al 2002), which in our context implies $`E_p\theta ^1`$. Thus, BATSE is less sensitive to bursts with large $`\theta `$ (low $`E_p`$). Five bursts from our specific sample are also used by Amati et al. (2002): four with $`\theta <0.1`$rad and $`E_p400`$keV, and one (GRB 970508) with $`\theta =0.38`$rad and an intrinsic $`E_p150`$keV. This sub-sample roughly follows the relation $`E_p\theta ^1`$, and demonstrates that in the range of $`\theta `$ where there is a deficit of observed bursts, $`0.20.3`$rad, the expected intrinsic $`E_p`$ is $`200`$keV (observed $`E_p100`$keV), which is well within the range of BATSE. Therefore, although we cannot quantify this effect accurately, it should not strongly affect our sample with limited $`z`$ range.

Next we consider the selection effects in $`\theta `$. A very small $`\theta `$ implies a very early jet break time $`t_j`$, which may be before the first optical detection and thus result only in an upper limit on $`\theta `$. A large $`\theta `$, on the other hand, results in a late jet break time $`t_j`$, which occurs when the optical afterglow is too dim for detection (it can be either dimmer than the detection threshold or its host galaxy). This would result in only a lower limit on $`\theta `$. The sample of Bloom et al. (2003) shows both effects: in the redshift range $`0.8<z<1.7`$ there is one burst with an upper limit on $`\theta `$ and two with lower limits on $`\theta `$. In order to account for the above selection effects, we added the latter three bursts in the most favorable way for the USJ model. Namely, we assigned to each of the three bursts the value of $`\theta `$ within the allowed range where $`\stackrel{~}{n}(\theta ,z)`$ assumes its maximal value. Even after adding these three data points in this way, the 10+3 data set rejects the USJ model with a confidence level of $`99.8\%`$.

Another selection effect in $`\theta `$ may result from “dark” bursts. These are bursts with an observed X-ray afterglow in which an optical afterglow was not detected despite deep and rapid follow-up observations. De Pasquale et al. (2003) argue that a large fraction of the “dark” bursts are intrinsically dim, by showing that they have, on average, dimmer X-ray afterglows. In the USJ model the intrinsically dim bursts may be interpreted as bursts with very large $`\theta `$ which are barley detected in $`\gamma `$-rays and X-rays. Since about $`50\%`$ of the bursts with observed X-ray afterglows have no detected optical afterglow, we will make the extreme assumption that all of these bursts are intrinsically dim (i.e. have a large $`\theta `$). We estimate the effect of this assumption by adding 13 fictitious points (to the $`10+3`$ original data points) in the most favorable way for the model. Namely, we generated $`z`$ according to the model $`z`$ distribution, and then for each point we choose $`\theta `$ where $`\stackrel{~}{n}(\theta ,z)`$ is maximal (at the given $`z`$ of that point). Even after making these extreme assumptions, the 26 “data” points reject the model with confidence level larger than $`90\%`$. We conclude that our result, that the USJ model is incompatible with the current data, is robust and significant.

## 4 Discussion

We have shown that the strong predictive power of the universal structured jet (USJ) model enables a determination of the expected distribution of observed GRB rate as a function of both redshift $`z`$ and viewing angle $`\theta `$. We have compared this predicted 2D distribution to current observations, and found a very poor agreement. This is in contrast with the result of PSF03 which compared only the observed distribution of $`\theta `$ to the 1D prediction of the USJ model (that is obtained from the 2D prediction by integrating over $`z`$) and found a good agreement. Our analysis shows that this agreement is accidental (resulting from the integration over $`z`$) and does not support the USJ model in any way.

However, the poor agreement between the data and the 2D distribution should be taken with care, and may not be used to draw definite conclusions. This is since the current GRB sample is highly non-homogeneous. It involves many different instruments, and is likely effected by various selection effects, which are hard to quantify very accurately. A larger and much more homogeneous sample of GRBs with known $`z`$ and $`\theta `$ is expected with the upcoming launch of Swift, which would enable much stronger and clearer conclusions to be drawn from a similar statistical analysis as was done in this work.555Note that the effect of the variable detection threshold and the $`E_pϵ`$ correlation, should be considered carefully in the analysis of Swift results as well. This would either clearly rule out or strongly support the USJ model. Nevertheless, we point out that at least some of the selection effects may be overcome by restricting the analysis to a relatively narrow range in $`z`$. This significantly reduces the redshift selection effects and the uncertainty that is introduced by the assumption that has to be made about the poorly known GRB rate $`R_{\mathrm{GRB}}(z)`$. The main drawback of this second method is that in order to obtain a statistically significant sample in a very narrow range in $`z`$, many GRBs (many more than in the current sample) are required. Again, such a sample is expected to become available with Swift.

In the current sample, the narrowest redshift range which still contains enough data points for the purpose of statistical analysis is $`0.8<z<1.7`$ (it contains $`10`$ out of the $`16`$ points). In this range, the current data is in complete disagreement with the predictions of the USJ model, with a significance of $`99.8\%`$ according to the 2D K-S test. We checked the robustness of this result by varying our assumptions and by examining a few possible selection effects in the viewing angle $`\theta `$, and found it to be robust. Thus, although the relatively small size and the inhomogeneity of the current sample prevent us from drawing a definite conclusion at this stage, we find that the current data disfavor the USJ model.

We are grateful to Rosalba Perna for her comments about the selection effects related to the viewing angle, which greatly improved the paper. We thank Tsvi Piran for illuminating discussions and helpful remarks. EN is supported by the Horowitz foundation and through the generosity of the Dan David Prize Scholarship 2003. EN thanks the Institute for Advanced Study for its warm hospitality and great working atmosphere during the course of this work. JG is supported by the W.M. Keck foundation, and by NSF grant PHY-0070928. DG acknowledges the RTN “Gamma-Ray Bursts: An Enigma and a Tool”and NSF grant AST-0307502 for supporting this work.


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# Chiral symmetry and strangeness at SIS energies

## 1 Introduction

The foundation of all theoretical attempts to describe and possibly predict hadron properties in a dense nuclear environment should be Quantum Chromo Dynamics (QCD), the fundamental theory of strong interactions. The QCD Lagrangian predicts all hadron interactions in terms of quark and gluon degrees of freedom. At large momentum transfers QCD is extremely successful and predictive, because observable quantities can be evaluated perturbatively in a straightforward manner. At small momentum transfers, in contrast, QCD is less predictive so far due to its non-perturbative character. It is still an outstanding problem to systematically unravel the properties of QCD in its low-energy phase where the effective degrees of freedom are hadrons rather than quarks and gluons. That is a challenge since many of the most exciting phenomena of QCD, like the zoo of meson and baryon resonances, manifest themselves at low-energies. Also the fundamental question addressed in this talk ’how do hadrons change their properties in dense nuclear matter’ requires a solid understanding of QCD at small momentum transfer.

There are two promising paths along which one achieved and expects further significant progress. A direct evaluation of many observable quantities is possible by large scale numerical simulations where QCD is put on a finite lattice . Though many static properties, like hadron ground-state properties, have been successfully reproduced by lattice calculations, the description of the wealth of hadronic scattering data is still outside the scope of that approach . Also the determination of hadron properties at finite and cold nuclear densities is still not feasible on the lattice . Here a complementary approach, effective field theory, is more promising at present. Rather than solving low-energy QCD in terms of quark and gluon degrees of freedom, inefficient at low energies, one aims at constructing an effective quantum field theory in terms of hadrons directly. The idea is to constrain that theory by as many properties of QCD as possible and establish a systematic approximation strategy. This leads to a significant parameter reduction and a predictive power of the effective field theory approach.

An effective field theory, which meets the above criteria, is the so called Chiral Perturbation Theory ($`\chi `$PT) applicable in the flavor $`SU(2)`$ sector of low-energy QCD . This effective field theory is based on a simple observation, namely that QCD is chirally symmetric in the limiting case where the up and down current quark masses vanish $`m_{u,d}=0`$. This implies in particular that the handedness of quarks is a conserved property in that limit. There is mounting empirical evidence that the QCD ground state breaks the chiral $`SU(2)`$ symmetry spontaneously in the limit $`m_{u,d}=0`$. For instance the observation that hadrons do not occur in parity doublet states directly reflects that phenomenon. Also the smallness of the pion masses with $`m_\pi `$ 140 MeV much smaller than the nucleon mass $`m_N`$ 940 MeV, naturally fits into this picture once the pions are identified to be the Goldstone bosons of that spontaneously broken chiral symmetry. The merit of standard $`\chi `$PT is first, that it is based on an effective Lagrangian density constructed in accordance with all chiral constraints of QCD and second, that it permits a systematic evaluation applying formal power counting rules . In $`\chi `$PT the finite but small values of the up and down quark masses $`m_{u,d}`$ 10 MeV are taken into account as a small perturbation defining the finite masses of the Goldstone bosons. The smallness of the current quark masses on the typical chiral scale of $`1`$ GeV explains the success of standard $`\chi `$PT.

It is of course tempting to generalize the chiral $`SU(2)`$ scheme to the $`SU(3)`$ flavor group which includes the strangeness sector, the main theme of this talk. To construct the appropriate chiral $`SU(3)`$ Lagrangian is mathematically straightforward and has been done long ago (see e.g. ). The mass $`m_s(1020)m_{u,d}`$ of the strange quark, though much larger than the up and down quark masses, is still small on the typical chiral scale of 1 GeV . The required approximate Goldstone boson octet is readily found with the pions, kaons and the eta-meson. Nevertheless, important predictions of standard $`\chi `$PT as applied to the $`SU(3)`$ flavor group are in stunning conflict with empirical observations. Most spectacular is the failure of the Weinberg-Tomozawa theorem  which predicts an attractive $`K^{}`$-proton scattering length, rather than the observed large and repulsive value. Progress can be made upon accepting a crucial observation that the power counting rules must not be applied to a certain subset of Feynman diagrams. Whereas for irreducible diagrams the chiral power counting rules are well justified, this is no longer necessarily the case for the irreducible diagrams . The latter diagrams are enhanced as compared to irreducible diagrams and therefore require a systematic resummation scheme in particular in the strangeness sectors. The $`\chi `$-BS(3) approach, which is based on the coupled-channel Bethe-Salpeter scattering equation, was developed in great detail over the last years . It constitutes a rigorous effective field theory based on the above ideas. All results presented and discussed in this talk are based on computations within the $`\chi `$-BS(3) approach.

Once the microscopic interaction of the Goldstone bosons with the constituents of nuclear matter is understood one may study the properties of Goldstone bosons in nuclear matter. Not only from an experimental but also from a theoretical point of view the pions and kaons, the lightest excitation of the QCD vacuum with masses of $`140`$ MeV and $`495`$ MeV respectively, are outstanding probes for exciting many-body dynamics. The Goldstone bosons are of particular interest since their in-medium properties reflect the structure of the nuclear many-body ground state. For example at high baryon densities one expects the chiral symmetry to be restored. One therefore anticipates that the Goldstone bosons change their properties substantially as one compresses nuclear matter.

Even though in the $`SU(3)`$ limit of QCD with degenerate current quark masses $`m_u=m_d=m_s`$ the pions and kaons have identical properties with respect to the strong interactions, they provide very different means to explore the nuclear many-body system. This is because the $`SU(3)`$ symmetry is explicitly broken by a nuclear matter state with strangeness density zero, a typical property of matter produced in the laboratory. A pion, if inserted into isospin degenerate nuclear matter, probes rather directly the spontaneously broken or possibly restored chiral $`SU(2)`$ symmetry. A kaon, propagating in strangeness free nuclear matter, looses its Goldstone boson character since the matter by itself explicitly breaks the $`SU(3)`$ symmetry. It is subject to three different phenomena: the spontaneously broken chiral $`SU(3)`$ symmetry, the explicit symmetry breaking of the small current quark masses and the explicit symmetry breaking of the nuclear matter bulk. The various effects are illustrated by recalling the effective pion and kaon masses in a dilute isospin symmetric nuclear matter gas. The low-density theorem  predicts mass changes $`\mathrm{\Delta }m_\mathrm{\Phi }^2`$ for any meson $`\mathrm{\Phi }`$ in terms of its isospin averaged s-wave meson-nucleon scattering length $`a_{\mathrm{\Phi }N}`$

$`\mathrm{\Delta }m_\mathrm{\Phi }^2=4\pi \left(1+{\displaystyle \frac{m_\mathrm{\Phi }}{m_N}}\right)a_{\mathrm{\Phi }N}\rho +𝒪\left(\rho ^{4/3}\right)`$ (1)
where $`\rho `$ denotes the nuclear density. According to the above arguments one expects that the pion-nucleon scattering length $`a_{\pi N}m_\pi ^2`$ must vanish in the chiral $`SU(2)`$ limit since isospin symmetric nuclear matter conserves the Goldstone boson character of the pions at least at small densities. On the other hand, kaons loose their Goldstone boson properties and therefore one expects $`a_{KN}m_K`$ and in particular $`a_{K^{}N}a_{K^+N}`$. This is demonstrated by the Weinberg-Tomozawa theorem which predicts the s-wave scattering length in terms of the chiral order parameter $`f_\pi 93`$ MeV :

$`a_{\pi N}=0+𝒪\left(m_\pi ^2\right),a_{K^\pm N}={\displaystyle \frac{m_K}{4\pi f_\pi ^2}}+𝒪\left(m_K^2\right).`$ (2)
In the pion sector the Weinberg-Tomozawa theorem (2) is beautifully confirmed by the smallness of the empirical isospin averaged pion-nucleon scattering length $`a_{\pi N}0.01`$ fm. In the kaon sector the Weinberg-Tomozawa theorem misses the empirical scattering $`K^+`$ nucleon scattering length $`a_{K^+N}0.3`$ fm by about a factor of three. Even more spectacular is the disagreement of Weinberg-Tomozawa term in the $`K^{}`$ case where (2) predicts $`a_{K^{}N}+0.9`$ fm while the empirical $`K^{}`$ nucleon scattering length is about $`a_{K^{}N}(0.6+i\mathrm{\hspace{0.17em}1.1})`$ fm. Whereas in conjunction with the low-density theorem the Weinberg-Tomozawa theorem predicts a decreased effective $`K^{}`$ mass, the empirical scattering length unambiguously states that there must be repulsion in the $`K^{}`$ channel at least at very small nuclear densities. The antikaon-nucleon scattering process is complicated due to the open inelastic $`\pi \mathrm{\Sigma }`$ and $`\pi \mathrm{\Lambda }`$ channels. This is reflected in the large imaginary part of the empirical $`K^{}`$ nucleon scattering length. A quite rich variety of phenomena arises from the presence of both the s-wave $`\mathrm{\Lambda }(1405)`$ and p-wave $`\mathrm{\Sigma }(1385)`$ resonances just below, and the d-wave $`\mathrm{\Lambda }(1520)`$ resonance not too far above the antikaon-nucleon threshold.

In nuclear matter there exist multiple modes with quantum numbers of the $`K^{}`$ resulting from the coupling of the various hyperon states to a nucleon-hole state . As a consequence the $`K^{}`$ spectral function shows a rather complex structure as a function of baryon density, kaon energy and momentum. This is illustrated by recalling the low-density theorem as applied for the energy dependence of the kaon self energy $`\mathrm{\Pi }_{\overline{K}}(\omega ,\rho )`$. At zero antikaon momentum the latter,

$`\mathrm{\Pi }_{\overline{K}}(\omega ,\rho )=4\pi \left(1+{\displaystyle \frac{\omega }{m_N}}\right)f_{\overline{K}N}^{\mathrm{s}\mathrm{wave}}(m_N+\omega )\rho +𝒪\left(\rho ^{4/3}\right),`$ (3)
is determined by the s-wave kaon-nucleon scattering amplitude $`f_{\overline{K}N}^{\mathrm{s}\mathrm{wave}}(\sqrt{s})`$. A pole contribution to $`\mathrm{\Pi }_{\overline{K}}(\omega ,\rho )`$ from a hyperon state with mass $`m_H`$, if sufficiently strong, may lead to a $`K^{}`$ like state of approximate energy $`m_Hm_N`$. Most important are the $`\mathrm{\Lambda }(1405)`$ s-wave resonance and the $`\mathrm{\Sigma }(1385)`$ p-wave resonance. An attractive modification of the antikaon spectral function was already anticipated in the 70’s by the many K-matrix analyses of antikaon-nucleon scattering (see e.g. ) which predicted considerable attraction in the subthreshold s-wave $`K^{}`$ nucleon scattering amplitudes. In conjunction with the low-density theorem (3) this leads to an attractive antikaon spectral function in nuclear matter. As was pointed out first in  the realistic evaluation of the antikaon self energy in nuclear matter requires a self-consistent scheme. In particular the feedback effect of an attractive antikaon spectral function on the antikaon-nucleon scattering process was found to be important for the $`\mathrm{\Lambda }(1405)`$ resonance structure in nuclear matter.

## 2 Antikaons and hyperon resonances at SIS energies

The quantitative evaluation of the antikaon spectral function in nuclear matter is a challenging problem. It should be based on a solid understanding of the antikaon-nucleon scattering process in free space. Based on a description of the data set one obtains a set of antikaon-nucleon scattering amplitudes. The present data set for antikaon-nucleon scattering leaves much room for different theoretical extrapolations to subthreshold energies . As a consequence the subthreshold $`\overline{K}N`$ scattering amplitudes of different analyses may differ by as much as a factor of two  in the region of the $`\mathrm{\Lambda }(1405)`$ resonance. Thus it is of crucial importance to apply effective field theory methods in order to control the uncertainties. In particular constraints from crossing symmetry and chiral symmetry should be taken into account. In Fig. 1 the antikaon spectral function at momenta $`q=0`$ MeV and $`q=500`$ MeV evaluated at several nuclear densities is shown . The results are based on antikaon-nucleon scattering amplitudes obtained within the chiral coupled-channel effective field theory , where s-, p- and d-wave contributions were considered. The many-body computation  was performed in a self-consistent manner respecting in addition constraints arising from covariance. Fig. 1 illustrates that at zero momentum the spectral function acquires a rather broad distribution as the nuclear density increases, with support significantly below the free-space kaon mass. This reflects the opening of many inelastic channels. In nuclear matter the antikaon couples strongly to hyperon-resonance nucleon-hole states. Most important are the $`\mathrm{\Lambda }(1405)`$ and $`\mathrm{\Sigma }(1385)`$ resonances. At moderate momenta $`q=500`$ MeV the spectral function looks significantly different as compared to the one at $`q=0`$ MeV. It is characterized by a peak close to $`\omega =\sqrt{m_K^2+q^2}`$ and a pronounced low-energy tail. As the density increases the strength in the peak diminishes shifting more and more strength into the low-energy tail.

Of interest are the implications of results for antikaon and hyperon-resonance spectral distributions in cold nuclear matter for subthreshold antikaon production in heavy-ion reaction at SIS energies. Strictly speaking such results do not apply for the conditions present inside a fireball created after the collision of two heavy nuclei. The quantitative description of such a process requires a transport theoretical description capable to model physics of finite systems off equilibrium. The latter requires as input hadronic cross sections, or more precisely hadronic transition rates, that are taken from experiment or theory. Calculations performed in the idealized world of infinite but hot and dense nuclear matter are nevertheless a useful tool to discuss and understand effects on a qualitative level. In certain channels transition rates that are typically derived from free-space cross sections may be significantly changed in a hot and dense nuclear environment.

One may argue that if the antikaon spectral function evaluated for infinite hot nuclear matter shows considerable strength at energies smaller than the free kaon mass, it is energetically easier to produce antikaons in a fireball than if the effective antikaon mass distribution was not reduced. In this case one may expect to see some type of enhancement of antikaon production rates. It is a challenge to verify the above simple but physical interpretation of the observed kaon and antikaon yields in terms of transport model simulations. In  results of the KaoS collaboration for the kaon and antikaon transverse spectra for Au+Au at $`E_{\mathrm{beam}}`$=1.5 AGeV are shown. The spectra shown are typical for most observed particle multiplicities. They are fitted well by a simple Boltzmann distribution

$`\mathrm{exp}\left((E_{cm}m_K)/T\right),`$ (4)
in terms of an effective temperature parameter $`T`$. The effective temperatures of the $`K^+`$ are about 20 MeV larger than the ones for the $`K^{}`$ . It is important to realize that the Boltzmann type behavior of the spectra does not imply that the kaons and antikaons are necessarily equilibrated. Estimates for the kaon mean free path, which are based on the empirical kaon-nucleon cross section, suggest that the kaons do not have a chance to reach equilibrium conditions in a typical heavy-ion collision at SIS energies. That may be different for antikaons as will be discussed in some detail below.

Since at subthreshold energies the mean energy available by one nucleon is not sufficient to produce an antikaon in an elementary nucleon-nucleon collision by definition, one visualizes the production process to occur in a series of successive reactions ,

$`NNN\mathrm{\Delta }NN\pi ,NNNYK,\pi Y\overline{K}N,`$ (5)
where $`Y=\mathrm{\Lambda }(1115),\mathrm{\Sigma }(1185)`$. Here we do not intend to provide a complete listing of reactions included in transport model simulations rather we would like to discuss the main effects qualitatively. A heavy-ion reaction produces, besides photons and leptons, dominantly pions, the lightest hadronic degrees of freedom available. For SIS energies at GSI this production is thought to be driven by the isobar production process $`NNN\mathrm{\Delta }NN\pi `$. The kaon production is determined by the primary $`NNNYK`$ reaction far above threshold but by the secondary reaction $`\pi NKY`$ at subthreshold energies. Because of strangeness conservation the antikaon production threshold in nucleon-nucleon collisions is much larger than the threshold of kaon production. The former is determined by the $`NNNNK\overline{K}`$ reaction leading to

$`\sqrt{s}_{\mathrm{thres}}^{(\overline{K})}\sqrt{s}_{\mathrm{thres}}^{(K)}=m_K+m_Nm_\mathrm{\Lambda }320\mathrm{M}\mathrm{e}\mathrm{V}.`$ (6)
It is therefore plausible that antikaons are dominantly produced in the secondary $`\pi Y\overline{K}N`$ reaction in particular at subthreshold energies. Consequently these reactions received considerable attention in the study of subthreshold antikaon production . A clear hint that the antikaon production in nucleus-nucleus collisions is indeed driven by the secondary $`\pi Y\overline{K}N`$ reaction follows from the centrality dependence of the measured ratio $`K^{}/K^+`$ . The number of nucleons, $`A_{\mathrm{part}}`$ that participate in a Ni on Ni or Au on Au collision is a measure for the inverse size of the impact parameter. Since both, the kaon and antikaon yields depend strongly on the impact parameter  the empirical observation that the ratio of the yields is almost insensitive to it signals that the production mechanisms of the kaons and antikaons must be strongly related.

So far most transport model simulations of antikaon production rely on rough approximations. For instance the complicated antikaon spectral function is substituted by a quasi-particle ansatz parameterized in terms of an effective antikaon mass that drops basically linearly with the nuclear density . Technically this is implemented by incorporating an appropriate mean field modifying the trajectories of the antikaon between collisions in the fireball. The width of the quasi particle is then modelled by including the inelastic cross sections like $`\overline{K}N\pi Y`$. For cross sections involving antikaons in initial or final states simple substitution rules like e.g. $`\sqrt{s}\sqrt{s}\mathrm{\Delta }m_{\overline{K}}`$ are applied. Such computations confirm the expectation that the antikaon yield is quite sensitive to an attractive mean field of the antikaon . Runs where an attractive mean field and the absorption cross sections are both switched off or on are reported to be fairly close to the measured multiplicities . Neglecting, however the attractive mean field but including the antikaon absorption cross sections underestimates the antikaon yield up to a factor 5 .

A more sophisticated simulation was performed by Schaffner, Effenberger and Koch  in which the consequences of two effects were studied. First, the effect of in-medium modifications of the $`\pi Y\overline{K}N`$ reactions was studied. And second, a momentum dependence of the antikaon potential was considered. The momentum dependence was chosen such that at moderate antikaon momenta of about 300-400 MeV the attractive mean field was basically switched off. This was motivated by microscopic many-body evaluations of the antikaon self energy which predicted that type of behavior . The in-medium modification of the production cross sections $`\pi Y\overline{K}N`$ were assumed to be dominated by the Pauli blocking effect  that shifts the $`\mathrm{\Lambda }(1405)`$ resonance from $`\sqrt{s}=1405`$ MeV to larger energies, about $`\sqrt{s}1490`$ MeV at nuclear saturation density. As a consequence the authors report an enhancement factor for the $`\pi \mathrm{\Sigma }\overline{K}N`$ reaction of about 20 close to $`\sqrt{s}=1490`$ MeV. Both effects, the attractive mean field and the increased $`\pi Y\overline{K}N`$ cross section gave rise to a similar effects in the antikaon yield. Together the two mechanism predict an enhancement factor of about 4 as compared to a computation that applies the empirical cross sections and discards any mean-field effects. However, as was pointed out by Schaffner, Effenberger and Koch , once the momentum dependence of the attractive mean field was incorporated together with the fact that in their model the enhancement of the cross section disappears already at moderate temperatures $`T80`$ MeV, the results are quite close to the reference calculation with no medium effects. All together the empirical antikaon yields are not described, they are underestimated by about a factor 3-4.

In a more recent work by Aichelin, Hartnack and Oeschler  a further interesting aspect was emphasized. Since the antikaon production is driven by the $`\pi Y\overline{K}N`$ reaction the total antikaon yield should be sensitive to the kaon production mechanism. This follows since the number of kaons and hyperons available are comparable due to the typical production reaction (5). A repulsive mass shift for the kaon can therefore compensate for the effect implied by an attractive mean field for the antikaon. We would argue, however, that the computation by Aichelin and Hartnack  most likely overemphasizes this effect due to a too large mass shift for the kaon (about 70 MeV at 2 $`\rho _0`$). This objection is based on a recent calculation based on the kaon-nucleon s- and p-wave phase shifts  demonstrating that a kaon produced with momenta of about 400 MeV at 2 $`\rho _0`$ the repulsive mass shift is only about 45 MeV, much smaller than the value of 70 MeV used in . The conclusions of Aichelin, Hartnack and Oeschler  depend also sensitively on the magnitude of the attractive mean fields for the nucleons and hyperons as well as on the poorly known $`N\mathrm{\Delta }NYK`$ reaction rates. In order to reduce such uncertainties it would be useful to describe not only total yields of kaons, antikaons and hyperons but at the same time achieve quantitative agreement with the azimuthal emission pattern . Aichelin, Hartnack and Oeschler  affirm that the $`K^{}/K^+`$ ratio is rather insensitive to the details of the kaon production and therefore should be considered as a superior observable to test the antikaon dynamics. However, their claim, that including an attractive mean field for the antikaon into the simulation does not affect the total antikaon yield, remains puzzling. This contradicts the typical enhancement factors 2-4 as were obtained in previous simulations . In their work  the possible importance of in-medium modified cross sections is studied. Within their scenario, which does not consider a momentum dependence of the antikaon mean field, they observe an enhancement of the $`K^{}/K^+`$ ratio by a factor 2 if the $`\pi Y\overline{K}N`$ cross sections are enlarged uniformly by a factor three. However, the impact parameter dependence of that ratio is affected strongly by this ad-hoc procedure leading to a dependence that appears incompatible with the behavior shown in . It is argued that the antikaons are produced at a late stage of the collision even though the difference of absorption and production rates shows a clear maximum in the high density ($`\rho >1\rho _0`$) initial phase. Increasing the $`\pi Y\overline{K}N`$ cross sections only affects the antikaon absorption process at the late stage of the fireball expansion since the typical pions and hyperons do not have sufficient kinetic energy to produce antikaons anymore. This would lead to a drop of the $`K^{}/K^+`$ ratio with increasing impact parameter.

The above discussion implies that it is important to obtain an improved understanding of the $`\pi Y\overline{K}N`$ cross sections as they may change in a nuclear environment . To the extend that the latter reaction is of crucial importance for the subthreshold antikaon production at SIS energies, chiral symmetry plays a decisive role in the understanding of the antikaon yield in heavy-ion reactions. In Fig. 2 the result of a computation based on the self-consistent scheme introduced in  are presented. In the upper panel we show the isospin averaged $`\pi \mathrm{\Sigma }\overline{K}N`$ and $`\pi \mathrm{\Lambda }\overline{K}N`$ cross sections where the in-medium scattering amplitudes are used together with the antikaon spectral function defining the final-state phase space. The latter ones are taken from . Comparing the solid with the dashed and dotted lines one realizes a dramatic enhancement for the $`\pi \mathrm{\Lambda }`$ reaction but a much more moderate enhancement for the $`\pi \mathrm{\Sigma }`$ reaction. The dashed and dotted lines correspond to the situation where the sum of initial three-momenta is 0 MeV and 600 MeV respectively. To explain the source of this effect the figure shows in its lower panel the same cross sections evaluated in two different schematic ways. The dotted lines give the result obtained according to the prescription $`\sqrt{s}\sqrt{s}\mathrm{\Delta }m_{\overline{K}}`$ as commonly applied in transport model simulations. It is used $`\mathrm{\Delta }m_{\overline{K}}=100`$ MeV typically for the amount of attraction found for the antikaon at saturation density. The cross sections remain as small as they are in free-space. A striking enhancement is shown by the dashed lines in the lower panel. Here we use the free-space scattering amplitude and evaluate the cross section with the final state phase space determined by a reduced kaon mass of 394 MeV. As a result this cross section probes the scattering amplitudes at subthreshold energies a kinematical region where they are not directly constrained by the scattering data. Since the $`\chi `$BS(3) scheme predicts considerable strength in the subthreshold amplitudes from the s-wave $`\mathrm{\Lambda }(1405)`$ and p-wave $`\mathrm{\Sigma }(1385)`$ resonances the former cross sections are dramatically enhanced as compared to the free-space cross sections Comparing the lower with the upper panel demonstrates that the latter cross section, though providing a simple physical interpretation of the enhancement, do not adequately reproduce the full computation as it arises in a self-consistent framework. In particular the large cross section of the $`\pi \mathrm{\Sigma }\overline{K}N`$ reaction predicted by the free-space amplitudes is significantly reduced in the self-consistent scheme. Here one should note that the s-wave and p-wave final-state phase space factors probe the antikaon spectral function in different ways. Thus, the net result is a combined effect depending on the in-medium amplitude and a projection of the antikaon spectral function that depends on the angular momentum.

The moderate enhancement for the $`\pi \mathrm{\Sigma }\overline{K}N`$ reaction confirms the results of our previous work , in which it was pointed out that a self-consistent antikaon dynamics does not generate the large enhancement factor predicted by a scheme that considers Pauli blocking only . Since an enhancement factor that is driven by the Pauli blocking effect will eventually disappear once a finite temperature is allowed for, it can not explain enlarged cross sections to be used in heavy-ion reactions in any case. The striking effect induced by the $`\mathrm{\Sigma }(1385)`$ resonance in the $`\pi \mathrm{\Lambda }\overline{K}N`$ reaction is novel. It is the result of our detailed analysis of the kaon and antikaon scattering data which predicts that there is a strong coupling of the $`\mathrm{\Sigma }(1385)`$ resonance to the $`\pi \mathrm{\Lambda }`$ and $`\overline{K}N`$ channels at subthreshold energies. The self-consistent many-body computation presented here suggests that this strong coupling persists in the nuclear medium giving rise to the large enhancement factor found for the in-medium $`\pi \mathrm{\Lambda }\overline{K}N`$ reaction. This effect should have important consequences for the antikaon yield in nucleus-nucleus collisions at SIS energies.

As demonstrated in  the ad-hoc increase of the $`\pi Y\overline{K}N`$ cross section away from its free-space limit does increase the total antikaon yield. This demonstrates that transport model simulations of the antikaon yield that are based on free-space cross sections do not reach equilibrium conditions. Of course beyond some critical enhancement factor one would expect the yield to saturate implying that phase space is populated statistically. To put it in another way an enhancement factor 40 will not increase the yield by a factor of 40. However, we argue that a strong enhancement factor is rather welcome since that implies that the enhancement should be strong enough exceeding the critical value required for driving the antikaons towards equilibrium conditions even at smaller density or equivalently larger impact parameter. Therefore we would expect that the impact parameter dependence of the $`K^{}/K^+`$ yield should be weak as seen  and predicted by the statistical model of Cleymans, Oeschler and Redlich . Here we would deviate from the line of arguments put forward by Aichelin, Hartnack and Oeschler who argued that with their ad-hoc enhancement the impact parameter dependence of the $`K^{}/K^+`$ yield decreases with increasing impact parameter. Since the unscaled cross sections predict a flat behavior in their simulation, more consistent with , one may favor the free-space cross sections. This conclusion would be based, however, on a simple energy independent enhancement factor of the $`\pi Y\overline{K}N`$ transition rate. In contrast Fig. 2 suggests that even at a rather late stage of the fireball expansion the pions and hyperons need very little kinetic energy to produce a virtual antikaon. That should lead to a flattening of the number of antikaons with increasing reaction time contradicting the results shown by Aichelin, Hartnack and Oeschler .

It would be very useful to incorporate the dynamics of the $`\mathrm{\Sigma }(1385)`$ into transport model simulations. For a first attempt see . If it can be confirmed that that the description of the antikaon yield requires an in-medium enhancement of the $`\pi Y\overline{K}N`$ rates we would interpret this as a clear signal for an attractive shift in the antikaon mass distribution. Only if the in-medium $`\overline{K}N`$ phase space has significant overlap with the $`\mathrm{\Sigma }(1385)`$ resonance the $`\pi \mathrm{\Lambda }\overline{K}N`$ rate can be enhanced significantly.

## 3 Conclusion

We reviewed the relevance of the chiral SU(3) symmetry for subthreshold antikaon production in heavy-ion collisions . It is argued that chiral symmetry plays a decisive role since it helps to control the complicated interaction of antikaons with the constituents of matter. Results, that are based on the chiral coupled-channel effective field theory, have interesting consequences for antikaon propagation in dense nuclear matter. For the antikaon spectral function a pronounced dependence on the three-momentum of the antikaon is predicted. The spectral function shows typically a rather wide structure invalidating a simple quasi-particle description. For instance at $`\rho =0.17`$ fm<sup>-3</sup> the strength starts at the quite small energy, $`\omega `$ 200 MeV. Furthermore, at nuclear saturation density attractive mass shifts for the $`\mathrm{\Lambda }(1405)`$, $`\mathrm{\Sigma }(1385)`$ and $`\mathrm{\Lambda }(1520)`$ are foreseen. The hyperon states are found to show at the same time moderately increased decay widths.

The importance of the p-wave $`\mathrm{\Sigma }(1385)`$ resonance for the antikaon production in heavy ion collisions as studied at GSI was pointed out. The presence of the latter resonance implies a substantially enhanced $`\pi \mathrm{\Lambda }\overline{K}N`$ reaction rate in nuclear matter. Contrary to naive expectations only a small enhancement of the $`\pi \mathrm{\Sigma }\overline{K}N`$ reaction was derived even though it couples to the s-wave $`\mathrm{\Lambda }(1405)`$ resonance. It was emphasized that the incorporation of the $`\mathrm{\Sigma }(1385)`$ resonance into transport model simulations of nucleus-nucleus collisions at SIS energies should help to obtain a quantitative and microscopic understanding of the empirical antikaon yields. To help understanding this dynamics it is desirable to measure the $`\mathrm{\Sigma }(1385)`$ yield at SIS energies.


text:
# Gravity-Sensitive Quantum Dynamics in Cold Atoms

## Abstract

We subject a falling cloud of cold cesium atoms to periodic kicks from a sinusoidal potential created by a vertical standing wave of off-resonant laser light. By controllably accelerating the potential, we show quantum accelerator mode dynamics to be highly sensitive to the effective gravitational acceleration when this is close to specific, resonant values. This quantum sensitivity to a control parameter is reminiscent of that associated with classical chaos, and promises techniques for precision measurement.

The identification and observation of signatures of chaos in quantum dynamics is the goal of considerable current effort. Much of this work centers on the theoretical definition and characterization of energy spectra Haake2001 , or such quantities as the Loschmidt echo Cucchietti2002  and fidelity Cerruti2002 , which essentially develop the idea that sensitivity of a wavefunction’s evolution to small variations in a system’s Hamiltonian be used as a definition of quantum instability Cucchietti2002 ; Cerruti2002 ; Haake2001 ; Peres1993 . Such quantities could be observed experimentally but require some interpretation to highlight the way in which their nature betokens stability or chaos. An attractive alternative would be the observation of different motional regimes. This is more in sympathy with the techniques and philosophy used to identify classical chaos, and is the approach used here.

In certain systems the decay of the overlap of two initially identical wavefunctions evolving under slightly differing Hamiltonians can be expressed in the long time limit as the sum of two decay predictions, governed by Fermi’s Golden Rule and the classical Lyapunov exponent Cucchietti2002 . The decay rate serves as a quantum signature of instability, which can be compared with that of the corresponding classical system. Such sensitivity can be probed by interferometric techniques Gardiner1997 ; Schlunk2003a . In the quantum-mechanical system presented here, the classical limit of which is chaotic, extreme sensitivity of the qualitative nature of the motional dynamics to a control parameter is directly observable. It is manifested by the effect on quantum accelerator mode (QAM) dynamics Schlunk2003a ; dArcy2001a ; Oberthaler1999 ; Godun2000 ; Schlunk2003b  of small variations in the effective value of gravity in the $`\delta `$-kicked accelerator dArcy2001a , an extension of the paradigmatic $`\delta `$-kicked rotor Fishman1993 . The QAM observed in this atom optical realization Schlunk2003a ; dArcy2001a ; Oberthaler1999 ; Godun2000 ; Schlunk2003b , are characterized by a momentum transfer, linear with kick number, to a substantial fraction (up to $`20`$%) of the initial cloud of atoms. This is due to a resonant rephasing effect, dependent on the time-interval between kicks, for certain initial wavefunctions Godun2000 ; Fishman2002 . The sensitivity in the dynamics we observe also promises the capability of precisely calibrating a relationship between the local gravitational acceleration and $`h/m`$, where $`m`$ is the atomic mass, and we describe how our observations constitute a preliminary feasibility-demonstration of such a measurement.

The Hamiltonian of the $`\delta `$-kicked accelerator, realized using a magneto-optic trap (MOT) of laser-cooled atoms that are then released and subjected to pulses from a standing wave of off-resonant light, is

$$\widehat{H}=\frac{\widehat{p}^2}{2m}+mg\widehat{z}\mathrm{}\varphi _d[1+\mathrm{cos}(G\widehat{z})]\underset{n=\mathrm{}}{\overset{+\mathrm{}}{}}\delta (tnT),$$
(1)
where $`\widehat{z}`$ is the position, $`\widehat{p}`$ the momentum, $`m`$ the particle mass, $`t`$ the time, $`T`$ the pulse period, $`\mathrm{}\varphi _d`$ quantifies the strength of the kicking potential, $`G=2\pi /\lambda _{\text{spat}}`$, and $`\lambda _{\text{spat}}`$ is the spatial period of the standing wave applied to the atoms. The quantity $`g`$ is normally the gravitational acceleration. However, by ‘accelerating’ the standing wave, it is possible to effectively modify $`g`$. We have previously used this technique to counteract gravity and regain kicked rotor dynamics dArcy2001a ; dArcy2001b .

In an innovative analysis by Fishman, Guarneri, and Rebuzzini (FGR) Fishman2002 , the fact that QAM are observed only when $`T`$ approaches $`\mathrm{}T_{1/2}=\mathrm{}2\pi m/\mathrm{}G^2`$, where $`\mathrm{}^+`$ and $`T_{1/2}`$ is the half-Talbot time Godun2000 , is exploited to yield a dramatically simplified picture of QAM dynamics. In a frame accelerating with $`g`$, the linear potential is removed to leave a spatially periodic Hamiltonian. The quasimomentum $`\beta `$ is then conserved, i.e., if a momentum state $`|p=|(k+\beta )\mathrm{}G`$, where $`k`$ and $`\beta [0,1)`$, ‘ladders’ of momentum states of different $`\beta `$ evolve independently. The resulting $`n`$-dependent and $`\beta `$-specific kick-to-kick time evolution operator is

$$\begin{array}{cc}\hfill \widehat{F}_n(\beta )=& \mathrm{exp}(i\{\widehat{\rho }+\text{sgn}(ϵ)[\pi \mathrm{}+\text{ }k\beta \gamma (n1/2)]\}^2/2ϵ)\hfill \\ & \times \mathrm{exp}(i\stackrel{~}{k}\mathrm{cos}\widehat{\chi }/|ϵ|),\hfill \end{array}$$
(2)
where $`\stackrel{~}{k}=|ϵ|\varphi _d`$, $`\text{ }k=2\pi T/T_{1/2}`$, and $`\gamma =gGT^2`$. We have introduced a smallness parameter, $`ϵ=2\pi (T/T_{1/2}\mathrm{})`$, to quantify the closeness of $`T`$ to $`\mathrm{}T_{1/2}`$ and the dynamical variables are now an angle $`\widehat{\chi }=G\widehat{z}`$ and a discrete conjugate momentum $`\widehat{\rho }=\widehat{p}|ϵ|/\mathrm{}G`$, such that $`[\widehat{\chi },\widehat{\rho }]=i|ϵ|`$. If one constructs a kick-to-kick Heisenberg map corresponding to Eq. (2) for the dynamical variables, then in the limit $`ϵ0`$, the commutator vanishes along with the uncertainty principle, and the operators can be replaced by their mean values. Thus

$$\stackrel{~}{\rho }_{n+1}=\stackrel{~}{\rho }_n\stackrel{~}{k}\mathrm{sin}(\chi _n)\text{sgn}(ϵ)\gamma ,$$
(3a)
$$\chi _{n+1}=\chi _n+\text{sgn}(ϵ)\stackrel{~}{\rho }_{n+1},$$
(3b)
where $`\theta _n=\widehat{\theta }_n`$ and $`\stackrel{~}{\rho }_n=\widehat{\rho }_n+\text{sgn}[\pi \mathrm{}+\text{ }k\beta \gamma (n1/2)]`$. Quantum accelerator modes are one-to-one related to stable periodic orbits of this map Fishman2002 ; Schlunk2003a ; Schlunk2003b . It is very important to note that $`ϵ0`$ coincides with $`\mathrm{}0`$ only if $`\mathrm{}=0`$. Otherwise, as in the experiments here, the classical-particle-like behavior of QAM is due to a quantum resonance effect.

The stable periodic orbits yielded by Eq. (3) (and hence QAM) are classified by their order $`𝔭`$ and jumping index $`𝔧`$ (the number of momentum units, in terms of the size of the phase-space cell, traversed after $`𝔭`$ iterations). The sign of $`𝔧`$ is determined by whether this is in the positive or negative momentum direction. A necessary condition Fishman2002  for the existence of a periodic orbit is $`|𝔧/𝔭+\text{sgn}(ϵ)\gamma /2\pi |\stackrel{~}{k}/2\pi `$, which can be rewritten (for small $`ϵ`$) as

$$|ϵ|\left(\frac{\varphi _d}{2\pi }+\frac{2\mathrm{}\gamma }{\text{ }k^2}\right)\frac{𝔧}{𝔭}+\text{sgn}(ϵ)2\pi \mathrm{}^2\frac{\gamma }{\text{ }k^2}|ϵ|\left(\frac{\varphi _d}{2\pi }\frac{2\mathrm{}\gamma }{\text{ }k^2}\right).$$
(4)
Both $`\varphi _d`$ and $`\gamma /\text{ }k^2=gm^2/\mathrm{}^2G^3`$ are independent of $`T`$, and therefore of $`ϵ`$. Equation (4) is convenient when $`T`$ is varied from just below to just above $`\mathrm{}T_{1/2}`$, i.e., scanning $`ϵ`$ from negative to positive, as in the experiments described here. As $`ϵ0`$, the QAM that occur must be characterized by $`𝔧`$ and $`𝔭`$ such that $`𝔧/𝔭\text{sgn}(ϵ)2\pi \mathrm{}^2\gamma /\text{ }k^2`$. In general $`2\pi \mathrm{}^2\gamma /\text{ }k^2`$ is an irrational value, and one usually observes a succession of increasingly high-order QAM as $`T\mathrm{}T_{1/2}`$ Schlunk2003b . If we tune $`g`$ so that $`2\pi \mathrm{}^2\gamma /\text{ }k^2=r/s`$, where $`r`$ and $`s`$ are integers, then $`𝔧/𝔭+\text{sgn}(ϵ)2\pi \mathrm{}^2\gamma /\text{ }k^2=0`$ for $`𝔧/𝔭=\text{sgn}(ϵ)r/s`$. Once the $`(𝔭,𝔧)`$ QAM satisfying this condition appears, shifting $`T`$ closer to $`\mathrm{}T_{1/2}`$ does not result in higher-order QAM.

In a frame accelerating with $`g`$, the momentum after $`N`$ kicks, for an initial condition near a ($`𝔭,𝔧`$) stable periodic orbit Fishman2002 , in ‘grating recoils’ $`\mathrm{}G`$ Godun2000  is

$$q_Nq_0+N\frac{2\pi }{|ϵ|}\left[\frac{𝔧}{𝔭}+\text{sgn}(ϵ)\frac{\gamma }{2\pi }\right],$$
(5)
where $`q_0`$ is the initial momentum. For $`N`$ a multiple of $`𝔧`$, this result is exact for $`ϵ`$-classical initial conditions located on $`(𝔭,𝔧)`$ periodic orbits. We now consider the momentum of orbits specified by $`𝔧/𝔭=r/s`$ (for $`ϵ<0`$) and $`𝔧/𝔭=r/s`$ (for $`ϵ>0`$) as a single function of $`N`$ and $`ϵ`$, in the case where $`2\pi \mathrm{}^2\gamma /\text{ }k^2`$ approaches rational values. Letting $`2\pi \mathrm{}^2\gamma /\text{ }k^2=r/s+w\mathrm{}^2`$ note1 , we find:

$$q_Nq_0+N\frac{r}{s}\left(\frac{2}{\mathrm{}}+\frac{ϵ}{2\pi \mathrm{}^2}\right)+Nw\left(\frac{2\pi \mathrm{}^2}{ϵ}+2\mathrm{}+\frac{ϵ}{2\pi }\right).$$
(6)
Scanning through $`ϵ`$ from negative to positive values, one does not generally observe two QAM of the same $`𝔭`$ and magnitude of $`𝔧`$ (with positive sign for negative $`ϵ`$, and negative sign for positive $`ϵ`$) Schlunk2003b ; Note:Confusion . However, in the gravity-resonant cases we consider, when $`2\pi \mathrm{}^2\gamma /\text{ }k^2`$ is close to $`r/s`$, we always observe an $`r/s`$ and then a $`r/s`$ QAM as we scan $`ϵ`$ in this way. This is shown in Fig. 1, where we plot Poincaré sections produced by Eq. (3) for $`\gamma =\text{ }k^2/2\pi =(2\pi +ϵ)^2/2\pi `$ (i.e., $`r/s=1`$) and $`\stackrel{~}{k}=|ϵ|\varphi _d=|ϵ|0.8\pi `$ (the approximate experimental mean value dArcy2001a ). The islands around the $`(𝔭,𝔧)=(1,\text{sgn}(ϵ)1)`$ periodic orbits remain large over a wide range of $`ϵ`$ and, in dramatic contrast to Ref. Schlunk2003b , no higher-order island structures appear as $`ϵ0`$. In Fig. 2(a) the corresponding QAM are similarly robust and uninterrupted by higher-order QAM as $`TT_{1/2}`$.

From Eq. (6) we thus see that for a given $`N`$, $`q`$ is a linear function of $`ϵ`$ whenever $`w=0`$. If $`w0`$ this changes to a hyperbolic function of $`ϵ`$, where the arms of the hyperbolae point in opposite directions for oppositely signed $`w`$. Deviation from straight line behavior in a QAM accelerated to a given momentum will be greater for a gravity-resonant mode corresponding to a smaller value of $`𝔧/𝔭=r/s`$. This is because the acceleration of the mode is $`𝔧/𝔭`$, but the deviation is $`N`$. We consider only QAM where $`𝔧=r=1`$, so high-order modes exhibit, for a given momentum transfer, greater sensitivity to variations in $`g`$ than low-order modes.

In our realization of the quantum $`\delta `$-kicked accelerator, $`10^7`$ cesium atoms are trapped and cooled in a MOT to a temperature of $`5\mu `$K, yielding a Gaussian momentum distribution with FWHM $`6\mathrm{}`$G. The atoms are then released and exposed to a sequence of equally spaced pulses from a standing wave of higher intensity light $`15`$ GHz red-detuned from the $`6^2S_{1/2}6^2P_{1/2}`$, ($`F=4F^{}=3`$) D1 transition. Hence the spatial period of the standing wave is $`\lambda _{\text{spat}}=447`$ nm, and $`T_{1/2}=66.7`$$`\mu `$s. The peak intensity in the standing wave is $`5\times 10^4`$ mW/cm2, and the pulse duration is $`t_p=500`$ ns. This is sufficiently short that the atoms are in the Raman-Nath regime and hence each pulse is a good approximation to a $`\delta `$-function kick. The potential depth is quantified by $`\varphi _d=\mathrm{\Omega }^2t_p/8\delta _L`$, where $`\mathrm{\Omega }`$ is the Rabi frequency and $`\delta _L`$ the detuning from the D1 transition. During the pulse sequence,

a voltage-controlled crystal phase modulator is used to stroboscopically accelerate the standing wave profile. The atoms therefore effectively experience a non-standard, and controllable, value of gravity. After the pulsing sequence, the atoms fall through a sheet of laser light resonant with the $`6^2S_{1/2}6^2P_{3/2}`$, $`(F=4F^{\prime \prime }=5)`$ D2 transition, $`0.5`$ m below the MOT. By monitoring the absorption, the atoms’ momentum distribution is then measured by a time-of-flight method, with resolution $`\mathrm{}G`$. For further details see Refs. dArcy2001a ; Godun2000 .

In Fig. 2 we show momentum distributions for experiments in which the value of $`T`$ was scanned around $`T_{1/2}`$ ($`\mathrm{}=1`$) from $`60.5\mu `$s to $`74.5\mu `$s, with $`2\pi \gamma /\text{ }k^2`$ varied in the vicinity of $`r/s`$ equal to (a) $`1/1`$, (b) $`1/2`$, (c) $`1/3`$, and (d) $`1/4`$. To maintain the ideal ($`w=0`$) total momentum transfer, $`15`$, $`30`$, $`45`$ and $`60`$ kicks were applied, respectively, fixing $`Nr/s`$. For each of Figs. 2(a), 2(b), 2(c), and 2(d) the data displayed are: in subplot (ii), from experiments in which $`2\pi \gamma /\text{ }k^2=r/s`$ is fulfilled as exactly as feasible, yielding linear variation of the QAM momentum with $`T`$; and in subplots (i) and (iii), for equal positive and negative deviations, respectively, from this near-ideality, yielding hyperbolic variation of the QAM momentum. Typically $``$ 10–20 % of the atoms are accelerated away from the cloud centered at $`p=0`$.

In each subplot (ii) of Fig. 2, the QAM momentum predicted by Eq. (6), shown as an overlaid line, is identical. The expected linear dependence on $`T`$ appears to be well confirmed by the data, although the separation of the QAM from the main, non-accelerated cloud, centered at zero momentum, is clearer for smaller $`s=𝔭`$ (there is less momentum diffusion of the main cloud due to the smaller number of kicks). The effect of imperfectly resonant gravity, shown in subplots (i) and (iii) in Fig. 2, is much more dramatic for larger $`s=𝔭`$, for which more kicks are applied. In Fig. 2(a), subplots (i) and (iii) are barely distinguishable from subplot (ii), whereas in Fig. 2(d), the momentum distributions in subplots (i) and (iii) are highly asymmetric compared with subplot (ii), with, close to $`T_{1/2}`$, noticeable population at up to $`50\mathrm{}G`$. The asymmetry inverts as one changes from below \[subplot (i)\] to above \[subplot (iii)\] the resonant value of gravity. We therefore observe a clear qualitative change in the QAM dynamics, highly sensitive to a control parameter. The displayed predictions of Eq. (6) show that deviations from linear behavior only occur when very close to $`T_{1/2}`$ in Figs. 2(a.i) and 2(a.iii), but are much more significant in Figs. 2(d.i) and 2(d.iii). This is due to the larger number of kicks necessary for large $`s=𝔭`$ to achieve the same QAM momentum.

The procedure of determining the ‘standing wave acceleration’ at which straight-line behavior of a given $`(𝔭,𝔧)`$ QAM momentum is observed as a function of $`T`$ could, in principle, be used as a sensitive atom-optical means of relating $`h/m`$ Gupta2002  to the local gravitational acceleration Peters1999 . This is because $`2\pi \gamma /\text{ }k^2=r/s`$ can be rephrased as $`g=(h/m)^2(r/s)/\lambda _{\text{spat}}^3`$ and would be determined by noting when the total acceleration (sinusoidal potential plus gravitational) causes these equalities to be fulfilled for a known $`r/s`$, and then subtracting the imposed acceleration of the potential. In our setup, where the sinusoidal potential is ‘accelerated’ by using a crystal phase modulator to phase-shift the retroreflected laser beam dArcy2001a ; Godun2000 , the value of the phase shift due to a particular applied voltage is difficult to calibrate more precisely than $`1`$ %. This accordingly limits our measured precision of the relationship between the local gravitational acceleration and $`h/m`$ to $`1`$ %. Accurate prediction of the QAM momenta for imperfectly resonant values of the effective gravity, as displayed in Fig. 2, is also hampered. This could be improved by a configuration in which a moving sinusoidal potential is formed by two counterpropagating beams with a controllable frequency difference Denschlag2002 , where calibration of the phase shift to between $`1`$ppm and $`1`$ppb is possible. Calibration of $`\lambda _{\text{spat}}`$ to less than $`1`$ppb is also feasible Peters1999 , allowing for the possible sensitive determination of either the local gravitational acceleration Peters1999  or $`h/m`$ Gupta2002 , depending on which is known more precisely at the outset. The feasibility of any such scheme will ultimately depend on how precisely the atomic ensemble’s dynamics permit the determination of the acceleration of the sinusoidal potential for which the resonant, linear with $`T`$, behavior of the QAM occurs. Ascertaining this will require substantial theoretical and experimental investigation.

In conclusion, we have observed qualitative changes in the motional quantum dynamics of cold cesium atoms, which are highly sensitive to the precise value of an externally adjustable parameter, the effective gravity. This is distinct from conceptually related proposals that consider slightly differing Hamiltonians to study the Loschmidt echo or fidelity, and demonstrates an attractive link to the concepts of highly sensitive dynamics in classically chaotic systems. Furthermore, we have described a feasible experimental scheme taking advantage of this sensitivity to determine a relationship between the local gravitational acceleration and $`h/m`$.

We thank K. Burnett, S. Fishman, I. Guarneri, L. Rebuzzini, G.S. Summy, and particularly R.M. Godun, for very helpful discussions. We acknowledge support from the Clarendon Bursary, the UK EPSRC, the Royal Society, the EU through the TMR ‘Cold Quantum Gases’ Network, the Lindemann Trust, and NASA.


text:
# Effect of Hydrostatic Pressure on the Kondo Effect in the Heavy Fermion System Yb2Fe3Si5

## I Introduction

Compounds of the series R2Fe3Si5 are known to show unusual superconducting and magnetic properties . Both Tm2Fe3Si5 and Lu2Fe3Si5 of this series undergo superconducting transitions at low temperatures. While Lu2Fe3Si5 has the highest TC ( = 6 K) for an Fe containing compound, Tm2Fe3Si5 is the first reentrant superconductor where the superconductivity at about 1.6 K is destroyed by the onset of antiferromagnetic order at 1 K.
Given that both the Tm and Lu samples of the series show superconductivity at low temperatures, the absence of superconductivity in Yb2Fe3Si5 is puzzling. Our recent work  on high quality single-phase polycrystalline samples of Yb2Fe3Si5 revealed the presence of strong hybridization ($`\gamma `$= 500 mJ/Yb mol K2 ) and Kondo effect below 25 K in this sample. It is known that Kondo interactions can strongly suppress superconductivity. For Ce compounds, pressure is known to enhance the Kondo temperature TK. Yb being the hole analog of Ce (Ce has one 4f electron while Yb has one 4f hole), the TK for Yb systems can be expected to go down on the application of pressure. Thus, we have studied the effect of the application of hydrostatic pressure on the Kondo effect. Our aim is to understand the absence and possibility of inducing superconductivity in this compound by the application of pressure.

## II EXPERIMENTAL DETAILS

Polycrystalline samples of Yb2Fe3Si5 were prepared by the closed crucible method described in our earlier work . Powder X-ray diffraction measurements confirmed the structure and the absence of impurity phases.
The dc resistivity measurements were performed on a bar shaped sample of Yb2Fe3Si5 using contacts made with silver paste. The sample is placed inside a teflon tube filled with a hydrostatic pressure medium (Daphne oil). This teflon tude is kept inside a Cu-Be cell of the piston-clamp type which can be pressurised upto 14 Kbar. The resistivity was measured using an ac resistance bridge (Linear Research Inc., USA) from 2 to 300 K.

## III RESULTS AND DISCUSSION

In fig 1 we show the ambient pressure resistivity $`\rho `$(T) for Yb2Fe3Si5 in the temperature range 2-300 K. The resistance decreases slowly as we cool down from 300 K untill about 150 K after which it starts to drop more rapidly indicative of crystal field effects. The inset (a) shows the resitivity between 0.4 and 2.5 K. A distinct change of slope at 1.7 K marks the onset of the anti-ferromagnetic order in the sample. This is consistent with the resistivity, susceptibility and heat capacity data on our earlier sample .
The inset (b) in fig. 1 shows the data between 2-50 K on an expanded scale to emphasize the presence of the Kondo effect with a minimum in resistivity at 22.5 K after which the resistance starts to increase again until it reaches a maximum at around 6 K after which it sharply decreases again due to coherent scattering. We will call the maximum in the resistivity as the coherence peak and the temperature at which it occurs as the coherence temperature Tcoh to make it easy to compare the data for different pressures.
The fig. 2 shows the resistivity of Yb2Fe3Si5 for various pressures. We have plotted R(T)/R(300 K) to be able to make qualitative comparisons between the data for different pressures. The panel I shows the normalized resistance between 2-300 K for applied pressure values P = 0, 3.5, 5, 8.5 and 10 Kbar. P= 0 Kbar actually means the ambient pressure data. At present the values of the pressures are taken at room temperature. It must be noted that the actual pressure at low temperatures will be slightly reduced. From panel I it is evident that the data for all pressures fall on top of each other between 100- 300 K. It can be safely said that the pressure has no appreciable effect on the lattice contribution to the transport properties. The data for different pressures begin to deviate only below 50 K where the Kondo effect is dominant.

In panel II we show the data between 2-50 K on an expanded scale to highlight the effect of pressure on the Kondo effect. It can be seen that the Kondo minimum shifts to lower temperatures on the application of pressure and the depth of the Kondo minimum also progressively decreases with increasing pressure.
To make a quantitative comparison we have listed in table 1 the values of the applied pressure P, TMIN at which the Kondo minimum occurs, TCOH at which the coherence peak occurs and RTCOH/RTMIN as a measure of the depth of the Kondo minimum.
It can be seen from the second column listing the values of TMIN that as we increase the applied pressure, the Kondo minimum shifts to lower temperatures. Also, from the fourth column in which we list values of RTCOH/RTMIN as an estimate of the depth of the Kondo bowl, it is evident that the Kondo bowl becomes progressively shallower on increasing pressure. There is no appreciable change in the temperature TCOH of the onset of the coherence peak.

## IV CONCLUSION

We have studied the pressure dependence of the resistivity of the heavy fermion Kondo lattice compound Yb2Fe3Si5 to look at the effect of hydrostatic pressure on the Kondo interactions in this compound and in Yb compounds in general.
We find that the temperature TMIN at which the Kondo minimum occurs, reduces from about 22.5 K at ambient pressure to 19.2 K at a pressure of 10 Kbar. We have also seen a monotonic reduction of the depth of the Kondo minimum with increasing pressure. Taken together we can safely say that the application of pressure has the effect of weakening the Kondo effect in the compound Yb2Fe3Si5. Further studies are in progress to see whether we can induce superconductivity in this compound via the suppression of the Kondo effect with the application of pressure.


text:
# 1 Theoretically predicted RPD yield is shown by the solid curve. The dashed curve presents the effect of the new tensor interactions () with 𝑓_𝑇=0.01.

On the CVC problem in $`\tau `$-decay

M. V. Chizhov

Center of Space Research and Technologies, Faculty of Physics, University of Sofia, 1164 Sofia, Bulgaria

## Abstract

The preliminary results of PIBETA experiment strongly suggest the presence of non $`VA`$ anomalous interactions in the radiative pion decay. We assume that they arise as a result of the exchange of new intermediate chiral spin-1 bosons which interact anomalously with matter. Their contribution into the $`\tau `$-decay leads to violation of the CVC hypothesis at the same level as detected experimentally.

The $`\tau `$ lepton weak decay into the $`\rho `$ meson $`\tau ^{}\nu \rho ^{}`$ is a pure vector process. On the other hand the $`\rho `$ meson can be produced in $`e^+e^{}`$ annihilation through a virtual photon $`e^+e^{}\gamma ^{}\rho ^0`$. According to the Standard Model (SM) the $`W`$-boson and the photon originate from the same multiplet of $`SU_W(2)`$ group and they have the same form of vector coupling with matter. Therefore, these two processes of the $`\rho `$ meson production should be related by the CVC hypothesis .

In order to estimate hadronic contribution $`a_\mu ^{\mathrm{had}}`$ into the muon anomalous magnetic moment a comprehensive analysis of $`e^+e^{}`$ and $`\tau `$ data has been fulfilled . Since the main contribution in $`a_\mu ^{\mathrm{had}}`$ comes from the $`\rho `$-resonance region the $`\pi ^+\pi ^{}`$ channel has been thoroughly investigated. After taking into account all known isospin breaking corrections it was found that the $`\tau `$-data lead to a bigger value of $`a_\mu ^{\mathrm{had}}`$. The reason of that is discrepancy (up to 10%), mainly above the $`\rho `$-resonance region, in spectral functions $`v_0(s)`$ and $`v_{}(s)`$ extracted from $`e^+e^{}`$  and $`\tau `$  data. Despite of larger errors this discrepancy is even more pronounced in comparison with the older $`e^+e^{}`$ experiments  data which show systematically lower values of the spectral function $`v_0(s)`$ than $`v_{}(s)`$.

To find solution of this problem the authors  have assumed that the problem is mainly due to additional isospin breaking effects and not to experimental ones. The solution suggested in this letter is more radical and is based on present experimental data. The anomalous results  on the radiative pion decay $`\pi e\nu \gamma `$ (RPD), which also have problem with CVC hypothesis, definitely lead to prediction of the discussed effect in the $`\tau `$-decay. In other words the destructive interference in RPD and excess of the $`\rho `$ meson production in the $`\tau `$-decay are due to the presence of new centi-weak tensor interactions.

The idea of possible presence of such interactions is very simple and natural . They could be induced by an exchange of new chiral spin-1 particles, which are different from the gauge ones. The introduction of an additional new type of spin-1 particles follows from the fact, that in the relativistic theory there are two inequivalent representations of the Lorentz group with spin 1. All known spin-1 particles, the photon, $`Z`$, $`W`$, and the gluons, are described by the gauge fields $`A_\mu `$, which are transformed under the vector representation (1/2,1/2). Obviously, the antisymmetric tensor fields $`T_{\mu \nu }`$ transforming under the other inequivalent representation $`(1,0)+(0,1)`$ can describe unknown yet spin-1 particles. They just lead to effective tensor interactions.

Such type of chiral spin-1 bosons can be identified among the hadron resonances . Owing to the unique quantum numbers $`1^+`$ ($`J^{PC}`$) $`b_1(1235)`$ meson just represents a pure state of the chiral axial-vector particle interacting anomalously with the tensor quark current $`_\nu (\overline{q}\sigma _{\mu \nu }\gamma ^5q)`$. It was shown also that the $`\rho (770)`$ and $`\rho ^{}(1450)`$ mesons are two orthogonal states consisting of mixture of pure gauge-like and chiral vector particles with near maximal mixing. This leads to a number of predictions, namely the mass formula

$$3m_{b_1}^2=2m_\rho ^{}^2m_\rho ^{}m_\rho +2m_\rho ^2,$$
(1)
which is fairly satisfied also for the spin-1 isosinglets $`I=0`$ $`\omega (782)`$, $`\omega ^{}(1420)`$, $`h_1(1170)`$ and $`\varphi (1020)`$, $`\varphi ^{}(1680)`$, $`h_1(1380)`$; the ratio

$$\frac{f_\rho ^T}{f_\rho }\frac{1}{\sqrt{2}}$$
(2)
of the $`\rho `$ meson couplings to vector and tensor currents defined as

$`\rho ^{}(q)|\overline{d}\gamma _\mu u|0`$ $`=`$ $`m_\rho f_\rho \epsilon _\mu ^{},`$
$`\rho ^{}(q)|\overline{d}\sigma _{\mu \nu }u|0`$ $`=`$ $`if_\rho ^T\left(q_\mu \epsilon _\nu ^{}q_\nu \epsilon _\mu ^{}\right),`$ (3)
which is in good accordance with the QCD sum rules  and the lattice calculations .

Now it is natural to assume that the same phenomenon may take place on more fundamental level. One of the possibilities to incorporate the chiral spin-1 particles into SM, has been presented in . Then the effective Lagrangian of quark-lepton tensor interactions reads

$$_T=f_T\frac{G}{\sqrt{2}}\overline{u}\sigma _{\lambda \alpha }d\frac{4q_\alpha q_\beta }{q^2}\overline{e}\sigma _{\lambda \beta }(1\gamma ^5)\nu _e+\mathrm{h}.\mathrm{c}.,$$
(4)
where $`q_\mu `$ is the momentum transfer between quark and lepton currents. The dimensionless constant $`f_T`$ determines the relative strength of the new tensor interactions with respect to the ordinary weak interactions and it is predicted to be positive. Using the result of ISTRA experiment on RPD  and applying the QCD sum rules method with PCAC technique  one estimates the tensor coupling constant as $`f_T0.02`$ .

To explain the result of high statistics and high precision PIBETA experiment  on RPD two times smaller value of the tensor coupling constant $`f_T0.01`$ is necessary.

In the Fig. 1 the qualitative agreement for the deficit in PRD yield with  is shown. In other words the new tensor interactions are two orders of magnitude weaker than ordinary weak interactions and present new class of centi-weak interactions.

Although the chiral fields are transformed as doublets under $`SU_W(2)`$ and the gauge fields, corresponding to $`W`$-bosons, are transformed as triplets, they can mix after the symmetry breaking like the $`\rho \rho ^{}`$ mixing in hadron physics. If the chiral bosons are very heavy then it is a unique possibility for them to manifest themselves through a mixing with $`W`$-bosons. This case was considered in . It seems that the case of pure mixing, neglecting the interactions (4), is disfavored by the present data. However, a combined case may be revealed by a precise fit of PIBETA data.

To estimate an effect of the new tensor interactions on $`\tau `$-decay the Lagrangian (4) will be used. The matrix element of $`\tau `$-decay into $`\rho `$ meson can be obtained using definitions (3)

$$=\frac{G}{\sqrt{2}}m_\rho f_\rho \epsilon _\mu ^{}(q)\overline{\nu }_\tau (1+\gamma ^5)\gamma _\mu \tau 4if_T\frac{G}{\sqrt{2}}f_\rho ^Tq_\mu \epsilon _\nu ^{}(q)\overline{\nu }_\tau (1+\gamma ^5)\sigma _{\mu \nu }\tau .$$
(5)
Then the ratio of the spectral functions $`v_{}(s)`$ and $`v_0(s)`$ at the $`\rho `$-resonance region

$$\frac{v_{}(s)}{v_0(s)}=1+F_T\frac{6s}{m_\tau ^2+2s}+F_T^2\frac{s(2m_\tau ^2+s)}{m_\tau ^2(m_\tau ^2+2s)},$$
(6)
where

$$F_T=4f_T\frac{m_\tau }{m_\rho }\frac{f_\rho ^T}{f_\rho }>0,$$
(7)
should be greater than one even in the limit of exact isospin invariance.

Since the $`\rho `$ and $`\rho ^{}`$ mesons are the mixture of gauge-like and chiral vector states the coupling constants $`f_\rho `$ and $`f_\rho ^T`$ are not constants anymore and they depend on $`s=q^2`$ in a specific way . Explicit forms of these dependencies can help, probably, to specify more accurately resonance fitting parameters. For a simple evaluation of the effect of the new tensor interactions one can use the coupling constants ratio (2) at $`s=m_\rho ^2`$. It leads to 5.5% excess in the $`\rho `$ production in $`\tau `$-decay with respect to CVC prediction. This value is in good agreement with the ratio

$$\frac{B^{\mathrm{exp}}(\tau ^{}\nu _\tau \pi ^{}\pi ^0)B^{\mathrm{CVC}}(\tau ^{}\nu _\tau \pi ^{}\pi ^0)}{B^{\mathrm{CVC}}(\tau ^{}\nu _\tau \pi ^{}\pi ^0)}=6.2\pm 1.4\%$$
(8)
derived from the older data  and does not contradict $`3.8\pm 1.4\%`$ when the new data  are used.

Therefore, the introduction of the new tensor interactions (4) allows to explain both the significant deficit in RPD yield and the excess of the $`\rho `$ mesons in $`\tau `$-decay with respect to CVC predictions. These effects are noteworthy now because they are statistically significant and based on several experiments and many experimental data.