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# Heavy Neutron Stars? A Status Report on Arecibo Timing of Four Pulsar–White Dwarf Systems

## 1. Introduction

The conventional wisdom is that all pulsars have mass close to the Chandrasekhar value, $`1.35\mathrm{M}_{}`$. This belief has arisen from high precision measurements of neutron star–neutron star binary systems; in all cases, the pulsar and the secondary neutron star have masses within a narrow range, 1.33 to 1.45 M$`_{}`$ (Stairs et al. 2002, Weisberg & Taylor 2003, Deich & Kulkarni 1996). Perhaps all neutron stars are born within this narrow mass range, or perhaps the particular evolution of double neutron star leads to this result (Brown 1995). Even if all neutron stars are born near the Chandrasekhar mass, they may achieve higher masses through accretion of matter from orbital companions. Millisecond pulsars in orbits with white dwarfs, in particular, are known to have accreted mass during their low-mass X-ray binary phases, and hence they are prime candidates to be relatively massive pulsars. There has been some observational evidence for heavy pulsars in these systems (Kaspi, Taylor, & Ryba 1994; van Straten et al. 2001), although a statistical study argued that they are no heavier than pulsars in double neutron star binaries (Thorsett & Chakrabarty 1999).

In this status report, we summarize observations of four millisecond pulsars in pulsar–white dwarf binaries made with the Arecibo telescope. This is an update of Nice, Splaver, & Stairs (2003), incorporating significant new timing data from PSR J0751+1807 and an improved timing model (including orbital-annual parallax) for PSR J1713+0747.

## 2. Observations & Data Reduction

Observations were made at Arecibo over several years at radio frequencies 430 and 1410 MHz, primarily using the Princeton Mark IV data acquisition system (Stairs et al. 2000). Details will be given elsewhere. These data were augmented by observations at Green Bank (140 Foot telescope), Jodrell Bank, and Effelsberg, as well as data collected at Arecibo using the Arecibo Berkeley Pulsar Processor and the Princeton Mark III system.

Pulse arrival times were derived using conventional methods and were fit to timing models using tempo111http://pulsar.princeton.edu/tempo. For each pulsar binary, at least one post-Keplerian orbital parameter is detectable, leading to constraints on pulsar mass, $`m_1`$, secondary star mass, $`m_2`$, and orbital inclination, $`i`$. (See Taylor, 1992, for the relations between post-Keplerian parameters, masses, and orbital inclination.) To derive confidence intervals on $`m_1`$, $`m_2`$, and $`i`$, we calculated the goodness-of-fit of timing solutions over a grid of trial values of $`\mathrm{cos}i`$ and $`m_2`$. Each pair of trial values corresponds to a particular pulsar mass, $`m_1`$, according to the mass function, $`f_1=(m_2\mathrm{sin}i)^3(m_1+m_2)^2=(2\pi /P_b)^2x^3/T_{},`$ where $`T_{}=4.925\mu `$s is the solar mass in time units, $`P_b`$ is the orbital period, $`x`$ is the semi-major axis projected into the line-of-sight in time units, and $`m_1`$ and $`m_2`$ are in solar mass units. For each trial, relativistic post-Keplerian parameters appropriate to $`\mathrm{cos}i`$ and $`m_2`$ were calculated and held constant, while all other parameters were fit.

The contours plotted in Figure 1 show the combinations of $`\mathrm{cos}i`$ and $`m_1`$ that gave acceptable fits for each source. We expect $`\mathrm{cos}i`$ to be uniformly distributed for randomly oriented binary systems. (Other than this, the intrinsic values of $`i`$ are of limited interest.) Table 1 summarizes the pulsar parameters and 95% confidence limits on pulsar masses from the timing data.

## 3. Individual Sources

PSR J0621+1002. This is an “intermediate mass” binary millisecond pulsar, presumably with a CO white dwarf secondary. Constraints on the masses come from the relativistic advance of periastron—we measure the precession rate to be $`\dot{\omega }=0.0116\pm 0.0008^{}\mathrm{yr}^1`$ ($`1\sigma `$), yielding $`m_1+m_2=2.8\pm 0.3\mathrm{M}_{}`$—and from the lack of detection of Shapiro delay, which excludes large inclinations. While the canonical pulsar mass value of 1.35 M$`_{}`$ falls within the allowed region (Fig. 1), higher values are preferred, especially when we include the constraint that the white dwarf secondary have mass less than 1.4 M$`_{}`$ (shading in Fig. 1). See Splaver et al. (2002) for more details.

PSR J0751+1807. This pulsar has a very short orbital period. By combining pre-upgrade (1993–1994) and post-upgrade (1999–2003) Arecibo observations of this source, along with data from Jodrell Bank and Effelsberg, we are able to detect the orbital decay due to emission of gravitational radiation. The rate of change of orbital period is $`\dot{P_b}=(6.2\pm 1.1)\times 10^{14}`$. This is the first detection of the decay of a pulsar–white dwarf orbit with a low mass ratio ($`m_2/m_11`$).222Note also the spectacular results from PSR J1141$``$6545, a young pulsar in an eccentric orbit with a massive white dwarf (Bailes et al. 2003.) Shapiro delay is marginally detected, constraining $`i`$ to intermediate values. If the Shapiro delay detection can be confirmed and refined it will provide independent constraints on the system masses, allowing for novel tests of relativistic gravity (Arzoumanian 2003). In any case, the allowed values of $`m_1`$ are significantly greater than 1.35 $`M_{}`$ (Fig. 1).

PSRs B1855+09 & J1713+0747. These pulsars are in wide orbits with light white dwarf companions. In both cases, the Shapiro delay is detectable, constraining $`i`$ and $`m_1`$ as shown in Figure 1. Binary evolution theory posits a narrow range of companion masses, $`m_2`$, for a given orbital period, $`P_b`$, in these systems (Podsiadlowski, Rappaport, & Pfahl 2002; Tauris & Savonije 1999; Rappaport et al. 1995). The resulting constraints on $`m_1`$ and $`i`$ are indicated in Figure 1. Once again, values of $`m_1`$ somewhat higher than 1.35 M$`_{}`$ are preferred.333 Parkes pulsar J0437-4715 gives a similar result, $`m_1=1.58\pm 0.18\mathrm{M}_{}`$ (van Straten et al. 2001).

## 4. Conclusion

The sources individually provide some evidence for pulsars substantially more massive than the Chandrasekhar value, and the collection of constraints shown in Figure 1 provides a compelling case for heavy neutron stars.

### Acknowledgments.

The Arecibo Observatory is operated by Cornell University under a cooperative agreement with the NSF. Pulsar research at Princeton University is supported by NSF grant 0206205. IHS is supported by an NSERC UFA and Discovery Grant. We thank numerous collaborators, particularly Jim Cordes, who provided crucial early data on PSR J0751+1807.

## References

Arzoumanian, Z. 2003, ASP Conf. Ser. 302, 69

Bailes, M, Ord, S. M., Knight, H. S., & Hotan, A W. 2003, ApJ, 595, 49

Brown, G. E. 1995, ApJ, 440, 270

Deich, W. T. S., & Kulkarni, S. R. 1996, Compact Stars in Binaries: IAU Symp. 165, J. van Paradijs, E. P. J. van den Heuvel, & E. Kuulkers, eds. (Dordrecht: Kluwer), 279.

Nice, D. J., Splaver, E. M., & Stairs, I. H. 2003, ASP Conf. Ser. 302, 75

Kaspi, V. M., Taylor, J. H., & Ryba, M. F. 1994, ApJ, 428, 713

Podsiadlowski, P., Rappaport, S., & Pfahl, E. D. 2002 ApJ, 565, 1107

Rappaport, S., et al. 1995, MNRAS, 273, 731

Splaver, E. M., et al. 2002, ApJ, 581, 509

Stairs, I. H., Thorsett, S. E., Taylor, J. H., & Wolszczan, A. 2002, ApJ, 581, 501

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Taylor, J. H. 1992, Phil. Trans. R. Soc. Lond. A, 341, 117

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van Straten, W., et al. 2001, Nature, 412, 158


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# Manipulating the superfluid - Mott insulator transition of a Bose - Einstein condensate in an amplitude - modulated optical lattice.

## Abstract

The superfluid - Mott insulator transition in a BEC confined in an amplitude - modulated optical lattice can be manipulated by the modulation strength. Two standing laser waves of main and sideband frequencies of an optical lattice induce a Raman transition; due to resonant Raman driving the critical value of the transition parameter depends on the modulation strength and the detuning from resonance and can be tuned to a given value. It is shown that there is an interval of the initial MI phase, in which a modulation switches the MI phase to the SF phase.

* Electronic address: gena@pluto.phys.nwu.edu.

Manipulating a phase transition is a subject of great interest to physicists. A physical system that crosses the boundary between two phases changes its properties in a fundamental way. Second - order phase transitions usually termed classical phase transitions, take place at a finite temperature, and they are accomplished by changing the temperature. A quantum phase transition is one that occurs at absolute zero of temperature. The quantum phase transitions have attracted much interest in recent years. These transitions are accomplished by changing not the temperature, but some parameter in the Hamiltonian of the system. This parameter is the lattice laser intensity for a Bose - Einstein condensate (BEC) in an optical lattice, which controls the superfluid - Mott insulator transition; the charging energy in Josephson - junction arrays. which controls the superconductor - insulator transition; the magnetic field in a quantum - Hall system, which controls the transition between the Hall plateaus; disorder in a conductor near its metal - insulator transition. The competition between two interactions is fundamental to quantum phase transitions and inherently different from classical phase transitions which are driven by the competition between inner energy and entropy. The quantum phase transition are driven by the interplay of the different contributions to the Hamiltonian of the system. For instance, for a BEC in an optical lattice the two terms in the Hamiltonian represent the self - interaction of the atoms in the lattice site and the hopping of the atoms between the sites, for Josephson - junction arrays they represent the charging energy of each grain and the Josephson coupling energy between grains; the competition between them determines the quantum phase transition.

The experimental observation of Bose-Einstein condensation in a dilute gas of ultracold trapped atoms \[ 1-3 \] has generated much interest in manipulating such coherent matter by external electromagnetic fields. Recently atoms have been confined in optical potentials created by standing light waves \[ 4, 5 \], with the wavelength of the optical potential much smaller than the dimensions of the trap. The unique prospects of this new class of system (the correlated bosons on a lattice \[ 6 - 9\]) became evident. A transition to a Mott insulator becomes possible when a superfluid like a BEC is placed in a periodic potential. This quantum phase transition is characterized by the competition between two interactions: the tendency of the particles to hop into adjacted wells ( kinetic energy ), and the interparticle forces that keep them in separate wells ( potential energy ). As the strength of the interaction term (the repulsive interaction energy $`U`$ between two atoms ) relative to the tunneling term (the tunneling $`J`$ between adjacent sites in the Bose - Hubbard Hamiltonian) is changed, the system reaches a quantum critical point in the ratio of $`U/J`$, for which the system will undergo a quantum phase transition from the superfluid state ( SF ) to the Mott insulator state (MI). A seminal experiment by Greiner and collaborators \[ 5 \] demonstrated a quantum phase transition in a Bose - Einstein condensate from a superfluid state into a Mott insulator state, by varying the lattice laser intensity as proposed theoretically in \[ 10 \].

The balance between two interactions, which determines a quantum phase transition can be changed by a time - dependent action, and thereby a quantum phase transition can be manipulated. In this letter, we propose this basic idea which will be used for the SF - MI transition in a BEC and for the external Josephson effect between two BEC’s.

We consider a manipulation of the SF - MI transition in a BEC in an amplitude -modulated optical lattice. The such optical lattice can be created by interfering pair of amplitude - modulated beams. In general, there are the two generic types of the manipulation. The effect of the modulation is to modulate the optical lattice potential so that it becomes a time - dependent optical lattice potential which the depth of the potential well is

$$V_0(t)=V_0(l+\epsilon \mathrm{cos}\omega _Mt),\epsilon <1,$$
$`(1)`$
where $`\epsilon `$ is the modulation strength, $`\omega _M`$ is the modulation frequency. If the period of modulation $`2\pi /\omega _M`$ is larger the nonequilibrium dynamic time $`\tau _{noneq}`$, then the time behavior of a BEC in an amplitude - modulated optical lattice is quasistatic. The nonequilibrium dynamic time $`\tau _{noneq}`$ for trapped bosonic atoms in an optical lattice potential was considered in Ref. and was shown that the characteristic time of the dynamical restoration of the phase coherence in the domain of a quantum phase transition is the integer of the order of 10 multiplied by a Josephson time $`h/J`$. One is a resonant mechanism which operates when the modulation frequency $`\omega _M`$ is close to the excited internal state of a BEC. A resonant mechanism is determined by change in the population due to a resonant driving. In a BEC in a periodic potential the characteristic energetic scale of the band structure  is the recoil energy $`E_R`$. And, usually, $`E_R`$ exceeds $`J`$, and the quasistatic behavior is not valid. However, in this case is more convenient to use a picture that an amplitude - modulated field can be presented as a set of monochromatic fields (main on frequency $`\omega `$ and sideband on frequencies $`\omega \pm \omega _M`$ ). These fields can induce a Raman transition between the two internal states of a BEC $`|a>`$ and $`|b>`$. A resonant field via a two - photon ( Raman ) transition changes the population of the ground state of a BEC. Therefore, the on - site interaction and the tunneling, which depend on the population, are also changed. However, due to this changing population the variations of the on - site interaction and the tunneling are different; therefore, the balance between kinetic and potential energies, which determines a phase transition, is changed. As a result, we have a modification of the quantum phase transition. The modificated by a resonant modulation ratio $`U_r/J_r`$ is less than this ratio without a modulation. The phase transition  occurs at $`U/J=z\times 5.8=const`$, with $`z`$ being the number of next neighbours of a lattice site. The system has the renormalized by a modulation parameters $`U_r`$ and $`J_r`$ of a Bose - Hubbard Hamiltonian and reaches a quantum critical point if $`U_r/J_r=const`$ with the same constant, then it means that the optical potential critical depth in an amplitude - modulated resonant lattice $`V_{0res}^{cr}`$ increases, because the ratio of $`U/J`$ is the growing function \[ 10, 14 \] on the optical potential depth. Second is a nonresonant mechanism for which we will use a direct time - dependent description. A nonresonant mechanism of manipulation is in operation for a quasistatic regime $`\omega _M<2\pi \tau _{noneq}^1`$, therefore, if $`V_0`$ corresponds to a quantum critical point $`V_0^{cr}`$ then as the time runs, the system goes from a superfluid to an insulator and back again with frequency $`\omega _M`$. The ratio of $`U/J`$ is a nonlinear function on the laser intensity with the leading exponential dependence on the strength of the periodic potential $`V_0`$. If we have a time - dependent lattice laser intensity, then, although $`\overline{V_0(t)}=V_0`$, due to the nonlinearity a time - averaged ratio of $`\overline{U/J}`$ will be different from a ratio of $`U/J`$ without a modulation. For a small $`\epsilon `$ we have the time - averaged $`\overline{U/J}=U/J+\mathrm{\Delta }(U/J)`$, where the bar stands for a time average and $`\mathrm{\Delta }(U/J)`$ is proportional to the time - averaged $`\epsilon ^2\overline{\mathrm{cos}^2\omega _Mt}`$ ( the time - averaged of the modulation harmonic oscillation to the lowest even order power ).

A Bose - Einstein condensate in an amplitude - modulate optical lattice.

In resonant case the system is excited by an off - resonant Raman ( two - photon ) driving with the Rabi frequency $`\mathrm{\Omega }_R`$. In an amplitude - modulated optical lattice two standing laser waves of frequencies $`\omega `$ and $`\omega \omega _M(\omega _M\omega )`$ drive an atom in a Raman scheme. The effective two - photon Rabi frequency is given in terms of the single - photon Rabi frequencies $`\mathrm{\Omega }`$ and $`\mathrm{\Omega }^{}`$ of the fields on the main $`\omega `$ and sideband $`\omega ^{}=\omega \omega _M`$ frequencies as $`\mathrm{\Omega }_R=\frac{\mathrm{\Omega }\mathrm{\Omega }^{}}{2\mathrm{\Delta }}`$. For the amplitude - modulated laser beams with the modulation strength $`\epsilon `$ we have for standing waves $`\mathrm{\Omega }_R(𝐱)=\frac{\epsilon \mathrm{\Omega }^2(𝐱)}{2\mathrm{\Delta }}=\frac{\epsilon V_0(𝐱)}{h}`$, here $`\mathrm{\Delta }`$ is the far - detuning of the laser beams from the atomic resonance (the closest neighboring optical dipole transition), and $`V_0(𝐱)=_{j=1}^3V_{jo}\mathrm{cos}^2kx_j`$ is the optical lattice potential with wave vectors $`k=\frac{2\pi }{\lambda }`$ and $`\lambda `$ the wavelength of the laser beams on the main frequency, and we are omitted the terms proportional to the small parameter $`\mathrm{\Delta }kx=\frac{\omega _M}{c}x1`$, where $`\mathrm{\Delta }kk^{}k`$, for $`x<\lambda 10^4cm,\omega _M10^7s^1`$, this parameter is about $`10^7`$ . The eigenstates of a BEC are Bloch wave functions, and an appropriate superposition of Bloch states yields a set of Wannier functions which are localized on the individual lattice sites. We will consider as the two distinct internal states $`a`$ and $`b`$ coupled via a two - photon ( Raman ) transition the two different vibrational states in the Wannier basis, where the initial state $`a`$ is the lowest vibrational state of the harmonic oscillator with $`n=0`$ and the state $`b`$ is the excited vibrational state with $`n0`$. The equations of motion of a strongly ( the Rabi regime ) driven \[ 15,16 \] BEG resemble the Bloch equations describing a driven two - level system if the external driving field $`h\mathrm{\Omega }_R`$ is much larger than the difference in the two - body interaction $`K`$ ( this energy  is proportional to $`U_a+U_b2U_{ab}`$ ). We consider a steady state driving regime, in which the solution $`\phi (𝐱)`$ of the Bloch equation of the standard Rabi problem is determined on the parameters of the field ( the Rabi frequency and the detuning from resonance $`\delta =\omega _M(\omega _b\omega _a)`$ ). Therefore, the boson field operator for atom $`\mathrm{\Psi }(𝐱)`$ can be represent by an expansion in the Wannier basis, which is a sum over the lattice $`i`$, and multiplied by the function $`\phi (𝐱)`$ , which is determined by the Raman field, $`\mathrm{\Psi }_a(𝐱)=_ia_iw_0(𝐱𝐱_i)\phi (𝐱)`$, where the operators $`a_i`$ are the operators on lattice site $`i`$. In order to avoid a sufficient population of the excited state $`b`$, we are assume $`\mathrm{\Omega }_R<\delta `$, then $`\phi ^2(𝐱)1\frac{1}{2}(\frac{\mathrm{\Omega }_R(𝐱)}{\delta })^2`$. In the tight - binding limit the Wannier states are localized and can be approximated \[ 10,14 \] by the harmonic oscillator wave function $`w_n(𝐱𝐱_i)`$ of number $`n`$. The size of the ground - state oscillator wave function $`\beta `$ in a lattice is much less than the lattice period $`\lambda /2,\beta \lambda ,`$ where the size $`\beta =\sqrt{\frac{h}{2m\nu _j}}`$ determined by the atomic mass $`m`$ and the oscillation frequency in the wells ( see, for example \[ 10 \] ) $`\nu _j=\sqrt{4E_RV_{jo}}/\mathrm{}`$, then the inequality $`h\mathrm{\Omega }_RK`$ reduces to the following $`\epsilon V_0K`$. This inequality can be easily fulfiled, because, usually, $`K/h1÷0.1s^1`$ ( for example, $`K/h0.1s^1`$ for hyperfine states of $`{}_{}{}^{87}Rb`$ ) and $`V_010E_R,E_R/h2\times 10^5s^1`$ for a blue detuning \[ 19 \] $`\lambda =514nm`$ for sodium. We find for $`(\frac{\epsilon V_0}{h\delta })^21`$ that the parameters of a Bose - Hubbard Hamiltonian modificated by a resonant modulation are

$$J_rJ[1+\frac{3}{2}(\frac{\epsilon V_0}{h\delta })^2],U_rU[1(\frac{\epsilon V_0}{h\delta })^2].$$
$`(2)`$
The parameters of a Bose - Hubbard Hamiltonian $`J`$ and $`U`$ depend on the optical lattice depth $`V_0`$, and they were calculated analytically in Ref. in the tight - binding limit in terms of the microscopic parameters of the atoms in the optical lattice. We find that for a resonant amplitude - modulated optical lattice the ratio $`U_r/J_r`$ is always less than without a modulation, then it means that for a resonant modulation the optical potential critical depth $`V_0^{cr}`$ increases. The corresponding tuning $`\mathrm{\Delta }V_0^{res}(\epsilon )`$ of the optical lattice critical depth is determined for $`V_0E_R`$ by

$$\mathrm{\Delta }V_0^{res}(\epsilon )\frac{V_{0res}^{cr}(\epsilon )V_0^{cr}}{V_0^{cr}}\frac{5}{2}(\frac{\epsilon V_0^{cr}}{h\delta })^2(\frac{E_R}{V_0^{cr}})^{1/2},$$
$`(3)`$
As a result, we can manipulate the superfluid - Mott insulator transition of a BEC in an amplitude - modulated optical lattice. The tuning of the optical lattice critical depth is determined by the modulation strength $`\epsilon `$. By varying the parameter $`\epsilon /\delta `$, we can tune the critical value to a given value. Therefore, in the interval of the laser intensity $`V_0`$, for which $`V_0^{cr}<V_0<V_{0res}^{cr}(\epsilon )`$, we can switch one phase to another by a modulation, and in this interval of the initial MI phase a modulation switches the MI phase to the SF phase.

For a nonresonant manipulation we will use a time - dependent potential ( Eq.(l)), and there could be a modulation frequency $`\omega _M`$ low enough for quasistatic time behavior. Therefore, it modulates the on - site two - body interaction $`U`$ and the hopping matrix element $`J`$, so that these quantities become time - dependent $`U(t),J(t)`$. Note that such potential is created by interfering pair of amplitude - modulated laser beams with the modulation strength $`\epsilon /2`$ of the electric field amplitude, and was omitted the quadratic term for the small parameter $`\epsilon ^2/4`$. Using the analytical dependencies \[ 14, 20 \], we have for a time - dependent optical lattice depth

$$U(t)=\sqrt{2\pi }(\frac{g}{h})(\frac{V_0(t)}{E_R})^{1/4},J(t)=\frac{4}{\sqrt{\pi }}E_R(\frac{V_0(t)}{E_R})^{3/4}exp[2(\frac{V_0(t)}{E_R})^{1/2}].$$
$`(4)`$
Calculating the time - average of the product of $`U(t)`$ by $`(J(t))^1`$ by expanding in a series about the small parameter $`\epsilon ^2\frac{V_0}{E_R}<1`$, we find

$$\frac{(\overline{\frac{U}{J}})_{nr}(\frac{U}{J})}{(\frac{U}{J})}\frac{\epsilon ^2}{4}[\frac{V_0}{E_R}(\frac{V_0}{E_R})^{1/2}\frac{1}{2}],$$
$`(5)`$
where $`g=2h\omega a_s,\omega `$ is the confining frequency, $`a_s`$ is the $`s`$ -wave scattering length between two atoms, $`(\overline{\frac{U}{J}})_{nr}`$ is the time - average of the ratio $`\frac{U}{J}`$ for a nonresonant modulation, and were omitted the small terms proportional to $`(\epsilon ^2\frac{V_0}{E_R})^n`$ for $`n>1`$. If $`\epsilon ^2\frac{V_0}{E_R}`$ is not small, then we may expand the expression for the time - dependent $`J(t)`$ using Bessel functions $`I_n(x)`$ and the functions $`\mathrm{cos}^n\omega _Mt`$. In this case instead the parameter $`\frac{\epsilon ^2}{4}[\frac{V_0^{cr}}{E_R}(\frac{V_0^{cr}}{E_R})^{1/2}\frac{1}{2}]`$ we have $`I_2(\epsilon \sqrt{\frac{V_0^{cr}}{E_R}})`$, because, usually, $`V_0/E_R10`$ and for $`\epsilon <0.4`$ among $`I_n(x<1.3)`$ the largest is $`I_2(x)`$.

An external Josephson effect between two BECs.

Here we consider briefly the manipulation by an amplitude - modulated laser beam an external Josephson effect between two BECs, the full presentation will be given elsewhere.

This system is a prototype system of an array of Josephson junctions. In such systems, a superconducting - insulator phase transition is driven by the competition between the Josephson coupling energy $`E_j`$, which govern the tunneling through the intrawell barriers, and the on - site interparticle interaction energy $`E_C`$. A Josephson effect between two spatially separate BECs can be realized only with small barriers. A key element of this effect is the Josephson coupling energy $`E_j`$. Based on a tunneling Hamiltonian description the dominant Josephson term of first order in the tunneling is proportional to the barrier transmission amplitude. Such approximation by a tunneling or transfer Hamiltonian is valid for high and narrow barriers, for which the barrier transmission amplitude $`t_{lr}`$ is proportional to $`exp(k_\mu d)`$, where $`k_\mu =\sqrt{2m(V_B\mu )/h^2},\mu =(\mu _a\mu _b)/2`$ is the average chemical potential, where the two BECs ( $`a`$ and $`b`$) confined in a cubic volume $`L^3`$ are separated by a square potential barrier of height $`V_B`$ and width $`d`$. A Josephson geometry for BECs may be created by splitting a single condensate in a long trap into two separate parts by a narrow light sheet produced by a strongly detuned laser beam. Because the repulsive potential due to the ac Stark shift is proportional to the laser power, thus the height of the barrier is determined by the laser intensity. Therefore, if we create the necessary for a Josephson effect two - well potential by an amplitude - modulated laser beam, then the potential barrier height $`V_B`$ will be an amplitude - modulated time - dependent one ( similarly Eq.(1)). Just as the analytical dependencies of the tunneling $`J`$ between adjacent sites of a BEC in an amplitude - modulated optical lattice and the transmission amplitude $`t_{lr}`$ are similar, so the time - average of this barrier transmission amplitude $`\overline{t}_{lr}`$ is differ from the value $`t_{lr}`$ without a modulation. As a result, the Josephson coupling energy $`E_j`$, which is proportional to the barrier transmission amplitude, is also can be manipulated by the abovementioned manner.

In summary, the superfluid - Mott insulator transition in a BEC in an optical lattice can be manipulated by an amplitude - modulated manner. This manipulating is caused by the change of the balance two interactions, which determines a quantum phase transition, by a time - dependent action. There are two mechanisms of the manipulation. One, resonant mechanism is in operation for the modulation frequency closed to the excited internal state of a BEC, and two standing laser waves of main and sideband frequencies of an amplitude - modulated optical lattice induce a Raman transition. Due to resonant Raman driving the population of the ground state of a BEC changes. Therefore, the on - site interaction and the atomic tunneling are also changed, and their ratio is different from the ratio without a resonant modulation. As a result, the optical lattice critical depth is other than without a modulation, this tuning is determined by the square of the modulation strength. The optical lattice critical depth with a resonant modulation is higher than without a modulation, and, therefore, there is an interval of the initial MI phase, in which a modulation switches the MI phase to the SF phase. Second, nonresonant mechanism is determined by the nonlinear dependence of the ratio of the repulsive interaction to the tunneling on the optical lattice depth. Due to this nonlinearity for the harmonic modulation of the optical lattice depth the time - averaged ratio is different from the ratio without a modulation. The proposed mechanism of manipulating and controlling Bose - Einstein condensates makes it possible to tune the critical value of parameter of the quantum phase transition to a given value.

In conclusion, tuning and conducting, in general, the superfluid - Mott insulator transition in a BEC in an optical lattice by a time - dependent action ( in particular, in an amplitude - modulated optical lattice ) can be a path to the solution of the general problem of controlling a quantum phase transition.

I thank A.J.Freeman for encouragement, A. Patashinski for discussions.


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# DESY 04–196 ISSN 0418–9833 MZ–TH/03–18 hep–ph/0311062 revised: October 2004 Inclusive Photoproduction of 𝐷^∗ Mesons with Massive Charm Quarks

## 1 Introduction

$`D^{}`$ production in high-energy $`ep`$ collisions at HERA is dominated by photoproduction where the electron (positron) is scattered by a small angle producing photons of almost zero virtuality ($`Q^20`$). At leading order (LO) of perturbative QCD, the main process for $`\gamma +pD^{}+X`$ is photon-gluon fusion. Here the photon interacts directly with the gluon ($`g`$) from the proton producing a charm-anticharm quark pair in the final state ($`\gamma +gc+\overline{c}`$), from which the $`c`$ or $`\overline{c}`$ fragment into $`D^+`$ or $`D^{}`$ mesons, respectively. Besides the direct photoproduction channel, $`D^{}`$ production at HERA can proceed also via the resolved photoproduction process. In this case, the photon acts as a source of partons which interact with the partons in the proton, as for example in the process $`\gamma +pg+gc+\overline{c}`$.

It is well-known that LO QCD predictions are not reliable and next-to-leading order (NLO) calculations are needed. Two distinct approaches for NLO calculations have been used to obtain predictions for charm-quark production. In the so-called massive charm approach, also called fixed flavor-number scheme (FFN) , one assumes that the gluon and light quarks ($`u,d,s`$) are the only active partons within the proton and the photon (in the case of the resolved contribution). The charm quark appears only in the final state of the direct and resolved processes via the hard scattering of light partons including the photon into $`c\overline{c}`$ pairs. In this case, the $`c`$ quark is always treated as a heavy particle and never as a parton. The charm mass $`m`$ is explicitly taken into account along with the transverse momentum $`p_T`$ of the produced $`D^{}`$ as if they were of the same order, irrespective of their true relative magnitudes. In this scheme, the charm mass acts as a cutoff for the initial- and final-state collinear singularities and sets the scale for the perturbative calculations. However, at NLO, terms $`\alpha _s\mathrm{ln}(p_T^2/m^2)`$ arise from collinear emissions of a gluon by the charmed quark at large transverse momenta or from almost collinear branchings of photons or gluons into $`c\overline{c}`$ pairs. These terms are of order $`O(1)`$ for large $`p_T`$ and with the choice $`\mu _Rp_T`$ for the renormalization scale they spoil the convergence of the perturbation series. The FFN approach with $`n_f=3`$ should thus be limited to a rather small range of $`p_Tm`$. Nevertheless, predictions in this approach have been compared to experimental data up to $`p_T=20`$ GeV .

The other calculational scheme which has been applied to the process $`\gamma +pD^{}+X`$ is the so-called massless scheme (ZM scheme) , which is the conventional parton model approach. In this scheme, the zero-mass parton approximation is applied also to the charm quark, although its mass $`m`$ is certainly much larger than $`\mathrm{\Lambda }_{QCD}`$. Here the charm quark is also an ingoing parton originating from the proton or the photon, leading to additional direct and resolved contributions (besides those from incoming $`u`$, $`d`$, $`s`$ quarks and the gluon $`g`$). The charm quark fragments into the $`D^{}`$ meson similarly as the light quarks and the gluon with a fragmentation function (FF) known from other processes. The well-known factorization theorem then provides a straightforward procedure for incorporating this FF into the order-by-order perturbative calculation. Although this approach can be used as soon as the factorization scales of initial and final state are above the starting scale of the parton distribution functions (PDF) of the photon and the proton and of the FF of the $`D^{}`$, the predictions are expected to be reliable only in the region of large transverse momenta $`p_Tm`$, since terms of the order of $`m^2/p_T^2`$ are neglected.

At many places in the literature, mostly in the context of charm production in deep inelastic $`ep`$ scattering (for a recent review see ), it has been explained that the correct approach for $`p_Tm`$ is to absorb the potentially large logarithms that occur in the FFN approach, into the charm PDFs of the proton and the photon and into the FF of the $`c`$ into $`D^{}`$. Then, large logarithms $`\mathrm{ln}(M^2/m^2)`$, defined with the factorization scale $`M`$, determine the evolution to higher scales and can be resummed with the help of the DGLAP evolution equations for the PDFs and FFs. The unsubtracted terms $`\mathrm{ln}(p_T^2/M^2)`$ are of order $`O(1)`$ for the appropriate choice $`M`$ of order $`p_T`$. The remaining dependence on $`m`$, i.e. the terms proportional to $`m^2/p_T^2`$, can be kept in the hard cross section to achieve a better accuracy in the intermediate region $`p_T\stackrel{>}{}m`$. The factorization of the logarithmic terms in $`m^2`$ can be extended consistently to higher orders in $`\alpha _s`$, as has been shown by Collins in the context of heavy quark production in high-$`Q^2`$ $`ep`$ collisions . Keeping all terms proportional to $`m^2/p_T^2`$ in the hard scattering cross section allows one to use massless coefficient functions to obtain the transition from the factorization scale $`m^2`$ in the original FFN cross section to the factorization scale $`M^2`$.

The subtraction of the collinearly, i.e. mass, singular terms does not define a unique factorization scheme. Also the finite terms must be specified. In the ZM calculations the mass $`m`$ is set to zero from the beginning and the collinearly divergent terms are defined with dimensional regularization and $`\overline{\mathrm{MS}}`$ subtraction by convention. The chosen regularization and subtraction procedure also fixes the finite terms. If, on the other hand, one starts with $`m0`$ and performs the limit $`m0`$ afterwards, the finite terms can be different. These finite terms must be removed by subtraction together with the $`\mathrm{ln}m^2`$ terms so that in the limit $`p_T\mathrm{}`$ the known massless $`\overline{\mathrm{MS}}`$ expressions are recovered. This requirement is mandatory since the existing PDFs and FFs, including those for heavy quarks, are defined in this particular scheme. The subtraction scheme defined in this way is the appropriate extension of the conventional ZM scheme to include charm mass effects in a consistent way. Actually, just recently PDFs of the proton with heavy quark mass effects included have been constructed by the CTEQ group . If these would be used in a calculation of charm production in $`\gamma p`$ collisions, the factorization procedure of the corresponding hard scattering cross section must be adjusted to these heavy quark PDFs. At present this would be premature as long as similar constructions for the charm PDF of the photon at NLO and similarly for the FF for $`cD^{}`$ do not exist.

In a recent work we applied this finite charm mass scheme with $`\overline{\mathrm{MS}}`$ subtraction, as outlined above, to the calculation of the cross section for $`\gamma +\gamma D^{}+X`$ . The single-resolved cross section for this process, where one of the photons is resolved and the other is direct, is, except for the replacement of the photon PDF by the proton PDF, the same as for the direct contribution of the reaction $`\gamma +pD^{}+X`$. Therefore the subtraction terms needed for the evaluation in the $`\overline{\mathrm{MS}}`$ ZM scheme, established in our previous work, can be directly taken over to the calculation of the direct photoproduction cross section. This direct cross section plays an important role due to the partonic subprocesses $`\gamma +gc+\overline{c}`$ at LO and $`\gamma +qc+\overline{c}+q`$ at NLO, where $`q`$ is one of the light (massless) quarks. These contributions, and the NLO corrections to the photon-gluon fusion process, are calculated with massive $`c`$ quarks.

In addition we have the contributions due to $`\gamma +cc+g`$ and its NLO corrections as part of the direct cross section with $`n_f=4`$ flavors. These contributions are evaluated with $`m=0`$ in the hard scattering cross section to be consistent with the chosen PDF of the proton as mentioned above. The particular prescription for the treatment of the incoming charm quark in the direct and also in the resolved contribution as a massless parton is in fact unavoidable. Since the charm PDFs we are going to use are determined with $`m=0`$ in the hard scattering cross sections, this is the only consistent choice. The finite charm mass appears only in the starting scale $`\mu _0=2m`$ with the effect that the charm PDF vanishes below the scale $`\mu _0`$. Actually this prescription is also applied in the treatment of heavy quark effects in deeply inelastic scattering as in the recent work  and was suggested earlier .

The resolved cross section for $`\gamma +pD^{}+X`$ is dominated by the part in which the photon resolves into a $`c`$ quark (or $`\overline{c}`$ antiquark). This part is calculated with $`m=0`$, in the same way as in the contribution where the proton resolves into $`c`$ ($`\overline{c}`$). The resolved parts with $`c`$ ($`\overline{c}`$) only in the final state coming from $`q+\overline{q}c+\overline{c}`$ and $`g+gc+\overline{c}`$ and the corresponding NLO corrections together with $`g+qc+\overline{c}+q`$ are very small, in particular for larger $`p_T`$’s. As we shall see, for $`p_T3`$ GeV it amounts to only a few percent of the complete cross section. Due to the smallness of this contribution, it will be considered in the ZM four-flavor approach.

It is the purpose of this work to incorporate the non-zero charm mass effects into the predictions for $`\gamma +pD^{}+X`$, following very closely our previous work  on inclusive $`D^{}`$ production in $`\gamma \gamma `$ collisions, in order to discover those kinematic regions in which the charm mass is important. A different approach to correct the usual ZM approximation by non-zero charm mass effects is the so-called FONLL (fixed order plus NLO logarithms) approach .

The outline of the paper is as follows. In Sect. 2 we study the difference between the four-flavor massive and the massless approach more closely by presenting numerical results for cross sections in different kinematic regions. In this section we also discuss the relative contributions of the direct and the various resolved channels. Finally we compare our results with preliminary data of the ZEUS collaboration in Sect. 3. A summary and conclusions are given in Sect. 4.

## 2 Comparing Massive and Massless Calculations

In this section we compare the cross sections for $`\gamma +pD^{}+X`$ in the massless approximation with results from the massive calculation in various kinematical regions which are relevant for the comparison with recent experimental data. We have chosen to implement the conditions of the ZEUS analysis  which are the following: In the HERA ring the energy of the ingoing protons is $`E_p=920`$ GeV and that of the ingoing electrons (positrons) $`E_e=27.5`$ GeV. The total $`\gamma p`$ cms-energy $`W`$ varies in the range 130 GeV $`<W<`$ 285 GeV. We denote the proton four-momentum by $`P`$, the four-momentum of the $`D^{}`$ by $`p`$ and the four-momentum of the virtual photon by $`q`$ with $`q^2=Q^2`$. The maximal $`Q^2`$ in the anti-tagging condition is $`Q^2<1`$ GeV2. The transverse momentum distributions are calculated in varying rapidity ($`y`$) intervals in ten bins of $`p_T`$ with the limits as in the ZEUS experiment: 1.9, 2.5, 3.25, 4.0, 5.0, 6.0, 8.0, 10.0, 12.0, 16.0 and 20 GeV. The rapidity intervals are limited by $`1.6`$, $`0.8`$, 0.0, 0.8, and 1.6 with the total $`y`$ range $`|y|<1.6`$. In the following, we identify the rapidity $`y`$ of the inclusively produced $`c`$ quark with the pseudo-rapidity $`\eta `$ of the $`D^{}`$ in the experimental analysis.

Further input for the calculations are the CTEQ6M PDF of the proton  and the GRV92 PDF of the photon  transformed to the $`\overline{\mathrm{MS}}`$ scheme. The fragmentation $`cD^{}`$ is described by the purely non-perturbative FF  (second reference, OPAL set at NLO). The renormalization scale $`\mu _R`$ and the factorization scales in the initial and final state, $`\mu _I`$ and $`\mu _F`$, are chosen throughout this work as $`2\mu _R=\mu _I=\mu _F=2\xi m_T=2\xi \sqrt{p_T^2+m^2}`$ with $`\xi =1`$ except in a study of the scale dependence, where $`\xi `$ is varied in the range $`0.5<\xi <2`$. $`\alpha _s`$ is calculated from the two-loop formula with $`n_f=4`$ and $`\mathrm{\Lambda }_{\overline{\mathrm{MS}}}^{(n_f=4)}=328`$ MeV corresponding to $`\alpha _s(m_Z)=0.118`$ and the charm mass is assumed as $`m=1.5`$ GeV. The scale choice for $`\mu _F`$ allows us to calculate $`d\sigma /dp_T`$ down to small $`p_T`$. For a smaller scale we would come below the starting scale of the FF , which is approximately equal to $`2m`$.

We start with a discussion of results for the direct contribution to the cross section for $`\gamma +pD^{}+X`$ where mass terms proportional to $`m^2/p_T^2`$ enter. The mass dependence is located in the cross sections for processes with charm in the final state. These are the parton subprocesses $`\gamma +gc+\overline{c}`$ at LO where the gluon originates from the proton; virtual corrections to this process combined with gluon bremsstrahlung $`\gamma +gc+\overline{c}+g`$; and finally the subprocess $`\gamma +q(\overline{q})c+\overline{c}+q(\overline{q})`$, where $`q`$ denotes a light quark. In addition, the process $`\gamma +cc+g`$ including its NLO corrections must be considered. This latter part, however, is calculated with massless charm quarks, as explained above. Explicit expressions for the cross sections and the subtraction terms can be found in our previous work .

To study the size of corrections from the mass terms proportional to $`m^2/p_T^2`$, we first look at the direct contribution to $`d\sigma /dp_T`$ where we have integrated over the full rapidity range, $`1.6y1.6`$. The result for this differential cross section as a function of $`p_T`$ varied between 2.0 and 20 GeV, is shown in Fig. 1a. The curve for $`m0`$ (dashed line) is below the curve for massless $`c`$ quarks (full line). On this logarithmic plot, the influence of the non-zero charm mass is visible only for very small $`p_T`$. At $`p_T=2`$ GeV the ratio of the massive to the massless cross section is 0.90 and it approaches 1 very rapidly with increasing $`p_T`$. Actually, the cross section $`d\sigma /dp_T`$, as plotted in Fig. 1a, presents the full direct cross section with $`n_f=4`$ flavors, i.e. it contains also the component originating from the $`c`$ $`(\overline{c})`$ in the proton. This component evolves from the factorization of mass singularities at the proton vertex and therefore is evaluated in the massless approximation. However, this contribution is small: at $`p_T=2`$ GeV it amounts to $`7.5\%`$ in the massless calculation and to $`8.4\%`$ in the massive case. Without this contribution, the ratio of the massive to the massless cross section would be 0.89. So we conclude that in the direct cross section alone the effect of the charm mass is not negligible at small $`p_T`$. Its effect is strongest for the low-$`y`$ range. In the four $`y`$ regions, \[$`1.6`$, $`0.8`$\], \[$`0.8`$, 0.0\], \[0.0, 0.8\] and \[0.8, 1.6\], the ratio of the massive to the massless direct cross section at $`p_T=2`$ GeV (full $`n_f=4`$) takes the following values: 0.81, 0.86, 0.99, 1.20, as compared to 0.90 over the full $`y`$ range. So, depending on the $`y`$ range, the non-zero charm mass leads to a change of the direct contribution of approximately $`20\%`$ at $`p_T=2`$ GeV, in both directions.

The direct cross section $`d\sigma /dp_T`$, integrated over the first $`y`$-interval $`[1.6,0.8]`$, is particularly interesting and shown separately in Fig. 1b. As can be seen, the reduction of the massive as compared to the massless cross section is larger than in Fig. 1a. With increasing $`p_T`$ the massive cross section does not approach the massless cross section. This is hardly visible in this logarithmic plot, but will be more clearly seen below in a plot for the ratio of the two cross sections. Although interesting from a theoretical point of view, the reduction of the cross section by mass effects at larger $`p_T`$ will not become relevant for the comparison with data, since in this region the cross section is too small to be measured: it decreases by 8 orders of magnitude between $`p_T2`$ GeV and $`p_T17`$ GeV.

In general, the reduction of the direct cross section due to finite mass effects is significant for $`p_T\stackrel{<}{}\mathrm{\hspace{0.25em}2}`$ GeV. It decreases with increasing $`y`$. More details will be shown below when we present the ratios of the massive to the massless cross section as a function of $`p_T`$ for the five $`y`$ regions. It turns out, however, that in the small $`p_T`$ range the resolved contribution is always larger than the direct contribution. This can be seen in Fig. 2a, where we show the direct cross section (dashed lines) for the massless and massive case, the resolved cross section (dotted line), and the sum of both (full line) as a function of $`p_T`$, integrated over the full $`y`$ range ($`|y|1.6`$). Near $`p_T=10`$ GeV the direct and the resolved contributions cross each other and the direct cross section becomes larger than the resolved one at larger $`p_T`$. One should keep in mind, however, that the direct and resolved parts taken separately are unphysical and scheme dependent; only the sum of both is relevant and can be compared to experimental data. For comparison, the recent preliminary ZEUS data  are included in Fig. 2a. As is seen, due to the addition of the resolved contribution, the relative difference between the massless and the massive cross section is very much reduced in the sum, even at small $`p_T`$.

The resolved contributions are due to subprocesses with incoming gluons, light quarks and charm quarks originating from the photon and the proton, including its NLO corrections. Our calculation of the resolved part is based on the work in . The charm quark is treated as a massless particle for these contributions. This is justified since the resolved cross section is dominated by the contribution where the photon resolves into a $`c`$ or $`\overline{c}`$ and the subprocess cross sections have to be folded with the corresponding charm PDFs. We show the results in detail in Fig. 2b, where different parts of the resolved contribution are plotted separately: $`\alpha `$, the contributions with only light quarks and gluons in the initial state, i.e. processes where $`c`$ and $`\overline{c}`$ appear in the final state only (dashed line); $`\beta `$, the contribution with charm from the proton added to $`\alpha `$ (dashed-dotted line); and the complete resolved cross section with charm from the photon added to $`\beta `$ (full line). Here only in the contribution $`\alpha `$ the effect of a non-zero charm mass would come into play and $`m^2/p_T^2`$ terms are expected to change it for small $`p_T`$. For large $`p_T`$ this contribution is extremely small as compared to the complete resolved cross section (more than 2 orders of magnitude smaller for $`p_T>11`$ GeV). For $`p_T11`$ GeV, the contribution $`\alpha `$ is negative. In absolute value it is below $`7\%`$ of the sum if $`p_T3`$ GeV and even in the low-$`p_T`$ range, $`2<p_T<3`$ GeV, its absolute value amounts to less than $`19\%`$. These features are very similar to the results found for the double-resolved cross section for $`\gamma +\gamma D^{}+X`$ . The dominance of the $`c/\gamma `$ contribution in the resolved cross section has been found also in  some time ago and is also in accordance with experimental results from ZEUS . There, photoproduction of a $`D^\pm `$ in association with one of two energetic jets was measured and clear evidence for the existence of charm coming from the photon was found by measuring the differential cross sections as a function of $`x_\gamma ^{obs}`$ and as a function of the angle between the charm-jet and the proton beam direction. We remark, that the $`c/p`$ contribution (i.e. the difference of parts $`\beta `$ and $`\alpha `$), although small as well, has a stronger fall-off with increasing $`p_T`$ than the complete resolved cross section, as to be expected.

To obtain an overview of the non-zero mass effects as a function of $`p_T`$ and $`y`$, we present in Fig. 3a-e the ratio of the massive to the massless cross sections integrated over the total $`y`$ range, $`|y|<1.6`$, and for the four separate $`y`$ bins, $`y[1.6,0.8]`$, $`[0.8,0.0]`$, $`[0.0,0.8]`$, $`[0.8,1.6]`$. First, we show this ratio for the direct contribution originating from light quarks and gluons only (dashed-dotted lines); secondly, we consider the full direct contribution, i.e. with the $`c/p`$ part added (dotted lines), which changes this ratio very little; finally, we display the ratio for the complete cross section (full lines), i.e. including the resolved contribution, which, as expected, brings this ratio closer to 1 also for small values of $`p_T`$. For comparison, Fig. 3 shows as well results for the ratio of the LO cross section (sum of direct and resolved parts, dashed lines). These LO results were obtained using the same PDFs, FF and $`\alpha _s`$ as in the NLO calculation. Only the NLO corrections in the hard scattering cross sections are left out. Therefore these results are not genuine LO cross sections, where one would use also LO versions of the PDFs, FF and $`\alpha _s`$. In the small $`p_T`$ region the ratio for the LO direct part deviates from 1 by less than $`10\%`$, whereas the ratio of the full NLO cross sections differs by less than $`5\%`$ from 1. The fact that at small $`p_T`$ this ratio is closer to 1 at NLO than it is at LO, is due to the large NLO corrections in the resolved part. In the last $`y`$ bin, it approaches 1 very rapidly with increasing $`p_T`$. For the direct contribution the deviation of the ratio from 1 in the small $`p_T`$ region can be compared with the same ratio for the single-resolved contribution for the $`\gamma \gamma `$ process . Here the deviation from 1 is somewhat larger. We assume that this is caused by the much harder $`x`$ behavior of the gluon PDF of the photon as compared to the very soft small $`x`$ behavior of the gluon PDF of the proton.

In the negative $`y`$ region the behavior at large $`p_T`$ is somewhat different (see Fig. 3b). The strong suppression of the ratio at large $`p_T`$ is essentially a phase space effect due to the fact that the lower kinematic limit of $`y`$, $`y_{\mathrm{min}}`$, increases with increasing $`p_T`$. For fixed $`p_T`$ we have

$$y_{\mathrm{max},\mathrm{min}}=\mathrm{ln}\left(a\pm \sqrt{a^21}\right)+y_{\mathrm{cms}}$$
(1)
with

$$a=\frac{1}{2}\sqrt{\frac{s}{p_T^2+m^2}},y_{\mathrm{cms}}=\frac{1}{2}\mathrm{ln}\frac{E_p}{E_e}.$$
(2)
This makes $`y_{\mathrm{min}}`$ slightly larger for $`m0`$ than for $`m=0`$. Therefore, the cross section at fixed $`y`$, above but close to $`y_{\mathrm{min}}`$, is smaller for $`m0`$ than for $`m=0`$. At large $`p_T`$, only part of the small-$`y`$ bin is kinematically allowed. For example, at $`p_T=19`$ GeV, $`y_{\mathrm{min}}1.06`$. As a consequence, the ratio of massive over massless cross sections decreases at large $`p_T>10`$ GeV (see Fig. 3b). We repeat that this peculiar mass effect will not be relevant for the comparison with experimental data, since the cross section in this $`y`$ bin is very small at large $`p_T`$. However, even for $`p_T<10`$ GeV the ratio stays constant with a value $`0.95`$ so that phase space limitation effects reduce the resulting cross section in the massive theory for all $`p_T`$ and for $`1.6<y<0.8`$ by at least $`5\%`$.

A trace of this effect is visible even for the $`y`$ bin $`[0.8,0.0]`$ shown in Fig. 3c. Here the ratio stays below 1 over the whole $`p_T`$ range. It deviates from 1 still at the largest $`p_T`$ by $`3\%`$. The behavior of the ratio in the $`y`$ bin $`[0.0,0.8]`$ is similar (see Fig. 3d).

It is well-known that for photoproduction processes it is very important to perform the calculations at least up to NLO. NLO contributions reduce the overall scale dependence, but also have a strong influence on the absolute normalization of the cross sections. The effect of NLO corrections on the hard scattering cross sections is different for the direct and the resolved components and depends on the kinematic variables like $`y`$ and $`p_T`$. To study this dependence we have calculated the ratio $`K=d\sigma /dp_T(\mathrm{NLO})/d\sigma /dp_T(\mathrm{LO})`$, where the LO cross section is defined in the same way as described above. The $`K`$ factors for the five $`y`$-bins and in the full region $`|y|<1.6`$ are exhibited in Fig. 4a-e. The $`K`$ factors are smaller for the direct than for the resolved parts. For the complete cross section, $`K`$ is in general below 2. In the first $`y`$ bin ($`y[1.6,0.8]`$), however, $`K`$ increases strongly with increasing $`p_T`$ for $`p_T>10`$ GeV. Here the NLO corrections are so large that one may have doubts concerning the perturbative stability. Again, this is mainly a kinematic effect, since in the first $`y`$-bin $`y_{\mathrm{min}}`$ increases with $`p_T`$ and cuts out most of the $`y`$ region in this bin.

To obtain an estimate of the theoretical error we varied the common value of the renormalization scale and the factorization scales for initial and final state singularities. We have chosen to vary $`\xi `$ as defined above between 0.5 and 2. The result for $`d\sigma /dp_T`$ integrated over the full $`y`$ range, $`|y|<1.6`$, is plotted in Fig. 5. $`\xi =0.5`$ $`(2)`$ is for the upper (lower) and $`\xi =1`$ for the middle curves. The scale variation of the direct contribution in the massive version is shown separately (dashed lines). By adding the resolved cross section the scale variation is reduced, in particular for small $`p_T`$. This results mainly from a compensation between the scale dependence of the photon PDF entering the resolved LO contribution and the scale dependence of NLO corrections to the direct cross section111This estimate differs from the one in  where scale variations were chosen independently for $`\mu _R`$, $`\mu _I`$ and $`\mu _F`$ over the range $`0.5<\xi <2`$ and the maximal positive/negative changes for all possible combinations of scales was used to estimate a theoretical error. Consequently, the error turned out to be largest at small $`p_T`$. We note that at very small $`p_T`$ the scale with $`\xi =0.5`$ is below the starting scale of the $`D^{}`$ FF so that the FF does not vary anymore with the scale..

## 3 Comparison with Preliminary ZEUS Data

In this section we compare our results with preliminary experimental data from the ZEUS collaboration at HERA . There exist similar data from the H1 collaboration  with somewhat different kinematical constraints which we have not used in this work.

When comparing predictions for the $`p_T`$-distributions with the experimental results, we show both the differential cross section $`d\sigma /dp_T`$ as a function of $`p_T`$, as well as the values averaged over the $`p_T`$-bins as used by ZEUS. The comparison for the $`p_T`$-distributions in the five $`y`$ bins, $`y[1.6,1.6]`$, $`[1.6,0.8]`$, $`[0.8,0.0]`$, $`[0.0,0.8]`$, $`[0.8,1.6]`$ is shown in Fig. 6a-e. In all five figures, the three continuous curves are for the massive direct (dashed lines), the resolved (dotted lines) and the complete (full lines) cross sections. The agreement between data and theory is quite good if one takes into account the theoretical error due to the scale variation shown above in Fig. 5. Only in the first $`p_T`$ bin and for negative $`y`$, the data points are lower than the predictions (Fig. 6b, c). Also for the full $`y`$ range, $`|y|<1.6`$, the prediction at the smallest $`p_T`$ is too high (Fig. 6a). It is conceivable that in this low-$`p_T`$-region the massive theory with $`n_f=4`$ looses its validity and one must switch to the FFN theory with $`n_f=3`$. In the two bins with positive $`y`$, where the cross section is smaller, we find good agreement also for low $`p_T`$.

Comparing Figs. 3b, c with Figs. 6b, c, it is clear that mass effects can not be made responsible for the differences between data and theoretical predictions. In the two bins with negative $`y`$ the massive theory resulted in cross sections smaller than the massless theory by $`5\%`$. But this is not sufficient to bring the prediction into agreement with the data. At intermediate values of $`p_T`$, the data tend to be above the calculation. These deviations are more important at large $`y`$ and do not appear as prominent after averaging over the full $`y`$-range.

Non-zero charm mass corrections are expected to be relevant only for small $`p_T`$ values. Corresponding differences may become visible only in the lowest $`p_T`$-bin. On the other hand, the total cross section, as well as distributions with respect to other kinematic variables, are dominated by low $`p_T`$. Therefore we consider in the following the differential cross sections $`d\sigma /dy`$, $`d\sigma /dW`$ and $`d\sigma /dz`$, where $`z`$ is the inelasticity $`z=Pp/Pq`$, only for the case with $`p_T`$ integrated over the full range $`1.9<p_T<20`$ GeV. Equivalent results with different $`p_T`$ ranges (like $`3.255.0`$, $`5.08.0`$ or $`8.020`$ GeV as measured in ) are expected to show good agreement with predictions of the massless theory. Corresponding comparisons are shown in . Our results for the massive and the purely massless theory are presented in Figs. 8, 8 and 9 together with the preliminary data points from ZEUS . In all figures, full lines are used to display the sum of the direct (dashed lines) and resolved (dotted lines) parts; upper and lower lines correspond to the massless and massive calculations. We have chosen bins in $`y`$, $`W`$ and $`z`$ in the same way as in the experimental analysis. $`d\sigma /dy`$ agrees approximately with the data for $`y>0`$, but not for $`y<0`$. Therefore, the latter region is responsible for the disagreement with the data in the first $`p_T`$ bin in Figs. 6b and c and also in Fig. 6a. In the region $`y>0`$, the corrections due to the non-zero charm mass are negligibly small. For $`y<0`$ these corrections are larger, but not large enough to account for the difference with the data. In the plot for $`d\sigma /dW`$ the corrections compared to the massless version are below $`5\%`$ in all $`W`$ bins. The agreement with the data is better for larger $`W`$. For $`d\sigma /dz`$ (Fig. 9), the mass corrections are very small, since the resolved part is equally dominating in all $`z`$-bins.

## 4 Summary and Conclusions

In this paper we have compared two approaches for the calculation of inclusive $`D^{}`$ photoproduction. One approach uses massless charm quarks and the usual $`\overline{\mathrm{MS}}`$ factorization, the second is based on a calculation with massive charm quarks and subsequent absorption of the logarithmic mass dependence into the charm parton distribution and fragmentation functions.

In the direct part of the cross section the non-zero mass corrections were fully taken into account. For this purpose subtraction terms, established already previously in connection with a study of $`\gamma \gamma D^{}X`$, have been applied. They allowed us to combine the massive calculation in a consistent way with the parton distributions of the photon and the proton and with fragmentation functions of the $`c`$ quark into $`D^{}`$ defined in the $`\overline{\mathrm{MS}}`$ factorization scheme. In this modified massive theory the cross sections converge in general rapidly to their massless limits with increasing $`p_T`$. Only at rather small $`p_T`$, terms proportional to $`m^2/p_T^2`$ are important and produce deviations from the massless theory of up to $`20\%`$ at the smallest $`p_T`$ considered. In the negative rapidity region the convergence of the massive to the massless theory is disturbed at large $`p_T`$ by finite charm mass corrections in the value of the kinematic boundary for the rapidity. This has the effect that over the full range of $`p_T`$ the non-zero mass corrections are larger than $`10\%`$. The contribution with the charm quark coming from the proton is very small.

The resolved contribution has two parts. One part originates from light quarks and gluons in the initial state, the other comes from an initial charm quark in the photon and/or the proton. The contribution with charm coming from the photon overwhelms the resolved cross section by far and for consistency is calculated with massless quarks. Since the part with charm quarks only in the final state is negligible, except possibly for very small $`p_T`$, the total resolved cross section is also evaluated with massless charm quarks222The results of a recent work  could be used to include mass effects in the resolved contribution with incoming gluons and light quarks.. Consequently, finite charm mass effects are found in the direct part only. The studies with zero and non-zero charm mass have been done for kinematic ranges as in a recent ZEUS analysis of $`D^{}`$ photoproduction measurements.

For the comparison with these recent ZEUS data we added the direct and resolved cross sections. The agreement of our predictions with the data is quite good, in particular for the $`p_T`$ distributions down to $`p_T3`$ GeV. Non-zero charm mass effects are not essential even at small $`p_T`$, since in this region the cross section is dominated by the resolved cross section. To improve the theory at very small $`p_T`$ it seems necessary to switch from the four-flavor to the three-flavor theory. The agreement with the experimental distributions with respect to the rapidity, $`W`$, and $`z`$, is not so good. Here the theoretical predictions might improve by trying other PDFs of the photon, in particular for the charm part, which dominates the cross section in the low-$`p_T`$ range.

## Acknowledgement

We thank B. A. Kniehl and M. Spira for providing us with programs for the calculation of the resolved contributions. We also thank L. Gladilin for helpful discussions about the preliminary data of the ZEUS collaboration.


text:
# Mass Outflows from Accretion Disks: Old and New Challenges

## 1. Introduction

Mass outflows in active galactic nuclei (AGN) are fairly common. Broad absorption lines (BALs) in QSOs are perhaps the most compelling evidence for such outflows. The BALs are always blueshifted relative to the emission-line rest frame,111A few SDSS BAL quasars have a redshifted and a blueshifted component; see Hall et al. 2002. indicating the presence of outflows from the active nucleus, with velocities in the ultraviolet as large as $`66,000\mathrm{km}\mathrm{s}^1`$. Other evidence for AGN outflows include narrow absorption lines (NALs). NALs observed in ultraviolet (UV) observations of some QSOs can be blueshifted by as much as $`50,000\mathrm{km}\mathrm{s}^1`$ (Hamann et al. 1997). NALs observed in UV observations of many Seyfert galaxies are blueshifted by several $`100\mathrm{km}\mathrm{s}^1`$ (Crenshaw et al. 1999). NALs can also be due to highly ionized species such as those observed in a high-resolution X-ray observation of the Seyfert galaxy NGC 5548 obtained by Chandra (Kaastra et al. 2000). We refer a reader to Arav, Shlosman, & Weymann (1999); Crenshaw, Kraemer, & George (2002); and these proceedings for more details on observations of AGN outflows.

One of most plausible scenarios for AGN outflows is a wind from an accretion disk around a black hole. However, even if we agree that AGN outflows are indeed disk outflows, there are still many key questions that await answers. Here we mention just five: (i) From what radius on the disk do the outflows come? (ii) Do the outflows need shielding from X-rays to avoid overionization? (iii) What is the mechanism responsible for launching the outflows from the disk? (iv) What is the mechanism responsible for accelerating the outflows to their terminal velocities? (v) All AGN are believed to have accretion disks, why then do not all AGN exhibit outflows?

Our goal here is to review various theoretical results and try to identify a physical disk wind model which is most promising in answering as many questions as possible concerning AGN flows with as few assumptions as possible.

Before we proceed, let us consider a specific question: is the terminal velocity of an outflow, $`v_{\mathrm{}}`$, a good indicator of the radius, $`r_l`$, from which the outflow was launched? One can argue that the answer to this question is positive if the terminal velocity is correlated with the escape velocity, $`v_{esc}`$, from the location where the flow was launched. Such a correlation between $`v_{\mathrm{}}`$ and $`v_{esc}`$ is one of the predictions of the radiation-driven wind theory (i.e., $`v_{\mathrm{}}\mathrm{a}\mathrm{few}v_{esc}`$, see Proga 1999 and references therein).

## 2. Hydrodynamical Models

Radiation pressure on spectral lines (line force) driving a wind from an accretion disk is the most promising hydrodynamical (HD) scenario for AGN outflows. Within the framework proposed by Murray et al. (1995) all five questions mentioned above can be addressed in one rather simple way: a wind is launched from the disk by the local disk radiation at radii where the disk radiation is mostly in the UV. Such a wind is continuous and requires shielding. The UV radiation emitted inside the wind launching region accelerates (radially) the wind. Consequently, the wind is equatorial and produces spectral features only for certain (high) inclination angles.

In Proga, Stone, & Kallman (2000, hereafter PSK), we attempted to model line-driven winds in AGNs within this framework. We applied line-driven stellar wind models (Castor, Abbott, & Klein 1975, hereafter CAK) to winds driven from accretion disks. We also took into account some of the effects of photoionization. In particular, we calculated the gas temperature assuming that the gas is optically thin to its own cooling radiation. In PSK, we took also into account the effects of photoionization on the line force by computing the parameters of the line force using a current value of the photoionization parameter, $`\xi `$, adopting results of Stevens & Kallman (1990, hereafter SK). SK’s results show that the line force decreases sharply with increasing photoionization parameter.

In PSK, we found that a disk accreting onto a $`10^8\mathrm{M}_{}`$ black hole at the rate of $`1.8\mathrm{M}_{}\mathrm{yr}^1`$ can launch a wind at $`r_l10^{16}`$ cm from the central engine. The X-rays from the central object are significantly attenuated by the disk atmosphere so they cannot prevent the local disk radiation from pushing matter away from the disk. However, in the supersonic portion of the flow high above the disk, the X-rays can overionize the gas and decrease the wind terminal velocity. For a reasonable X-ray opacity, e.g., $`\kappa _\mathrm{X}=40\mathrm{g}^1\mathrm{cm}^2`$, the disk wind can be accelerated by the central UV radiation to velocities of up to 15,000 $`\mathrm{km}\mathrm{s}^1`$ at a distance of $`10^{17}`$ cm from the central engine. We note that this velocity agrees very well with the prediction of the standard CAK model for the wind terminal velocity (see e.g., Proga 1999). The covering factor of the disk wind is $`0.2`$. The wind is unsteady and consists of an opaque, slow vertical flow near the disk that is bounded on the polar side by a high-velocity stream. A typical column density radially through the fast stream is a few $`10^{23}\mathrm{cm}^2`$ so the stream is optically thin to the UV radiation. This low column density is precisely why gas can be accelerated to high velocities. The fast stream contributes nearly 100% to the total wind mass loss rate of $`0.5\mathrm{M}_{}\mathrm{yr}^1`$.

In PSK, we took into account the attenuation of the X-ray radiation by computing the X-ray optical depth in the radial direction and assuming a simple formula for the $`\kappa _\mathrm{X}`$ dependence on the photoionization parameter. It remains to be seen whether fully self-consistent, multidimensional photoionization and dynamical calculations will confirm that a wind launched from a disk by the local UV disk radiation can shield itself from the X-rays in order to achieve velocities as high as those observed in AGN winds. Such photoionization calculations in connection with two-dimensional, time-dependent HD calculations are just starting to become feasible.

We emphasize that, within the framework of line driving, X-ray shielding is necessary for an observer to see AGN outflows in UV absorption lines and for the outflows to be accelerated. Assuming a steady state radial outflow and imposing total momentum conservation, one can show that unshielded gas outflowing with high velocities has too high a photoionization parameter to produce UV lines and to be driven by the line force. This result holds for an outflow consisting of a continuous wind as well as for an outflow consisting of dense clouds. The latter needs shielding from X-rays if the filling factor decreases with increasing radius — a requirement we do not know how to satisfy from first principles. A need for some shielding of clouds has been already hinted at in the literature (e.g., dKB).

To avoid overionization without shielding, the wind which is launched by a force other than the line force must be denser than the wind predicted by the line-driven wind models by several orders of magnitude. Thus if AGN outflows are unshielded and launched from an accretion disk at relatively large distances from the central object (where the local line force due to the disk is negligible) then we have to figure out not only what mechanism launches this dense outflow but also what mechanism accelerates the outflow to velocities much higher than the escape velocity from the location of the launch. Our conclusion that shielding of the wind from the X-rays is required regardless of the filling factor of the line-driven outflow is consistent with the observed anti-correlation for QSOs between the relative strength of the soft X-ray flux and the CIV absorption equivalent width (e.g., Brandt, Laor, & Wills 2000).

The above conclusions are based on assumptions more simplified than those adopted in our previous work (e.g., PSK, Proga & Kallman 2002). Nevertheless they are consistent with numerous simulations. Finally, we note that the wind terminal velocity sets an upper limit for the radius from which the wind is launched, provided the wind is line driven. The line-driven wind is more likely to achieve lower rather than much higher velocity compared to the escape velocity from the launching radius. The wind velocity can be lowered if the wind is overionized downstream as in PSK’s simulations \[see Proga (1999) for a discussion of when the wind terminal velocity can be lowered\]. However, to accelerate radiatively a wind to velocities higher than $`v_{esc}`$, the wind density would have to be significantly lower than the density of the line-driven wind, but this makes the wind very likely to be overionized and unable to be accelerated at all.

One of most appealing aspects of line-driven disk wind models is the fact that they predict from first principles outflows that are consistent with observations. Moreover, it is very encouraging that line-driven models, when applied to disk winds from cataclysmic variables, are not only consistent with observations but also are capable of reproducing them (e.g., Proga 2003b).

## 3. Magnetohydrodynamical Models

Magnetically driven winds from disks are the favored explanation for the outflows in many astrophysical environments (e.g., Blandford & Payne 1982; Uchida & Shibata 1985). Such winds do not require radiation pressure and thus can be important in low luminosity systems such as young stellar objects and systems where gas can be overionized by very strong radiation as in AGN. In the context of AGN outflows, magnetically driven wind models usually rely on the effects of magnetic fields as well as on line driving. For example, within the framework proposed by de Kool & Begelman (1995; see also Everett 2004, this volume) the five questions mentioned in Section 1 can be addressed in the following way: a wind is launched from an outer cold disk. Such a wind is made of dense clouds and does not require shielding. The wind is accelerated by the UV radiation emitted from the inner disk. The wind may be but does not have to be equatorial and can produce spectral features for all inclination angles provided there is at least one cloud in the line of sight.

At the moment it is still unclear whether a purely line-driven disk wind model or whether a hybrid model with magnetic and line-driving better explains observations. One may prefer the former simply because it does not invoke processes that cannot be modeled from first principles. In the latter case, one has to postulate a mechanism responsible for launching the clouds from the outer cold disks and a mechanism to confine the clouds so they will not be destroyed or overionized. However, this situation may change soon as new studies bring new insights into the physics of accretion disks and highly inhomogeneous magnetized flows.

For example, in Proga (2003a) we reported on numerical simulations of the two-dimensional, time-dependent magnetohydrodynamics (MHD) of line-driven winds from luminous accretion disks initially threaded by a purely axial magnetic field. We focused on a generic disk wind problem and did not include strong ionizing radiation. Such studies can help to understand AGN outflows because they address, for example, the problem of a wind produced outside a shielding, inner outflow.

In Proga (2003a) we used ideal MHD to compute the evolution of Keplerian disks, varying the magnetic field strength and the luminosity of the disk, the central accreting object, or both. We found that the magnetic field very quickly starts deviating from purely axial due to the magnetorotational instability. This leads to fast growth of the toroidal magnetic field as field lines wind up due to the disk rotation. As a result the toroidal field dominates over the poloidal field above the disk and the gradient of the former drives a slow and dense disk outflow, which conserves the specific angular momentum of the fluid. Depending on the strength of the magnetic field relative to the system luminosity the disk wind can be radiation- or MHD-driven. The pure line-driven wind consists of a dense, slow outflow that is bounded on the polar side by a high-velocity stream. The mass-loss rate is mostly due to the fast stream. As the magnetic field strength increases first the slow part of the flow is affected, namely it becomes denser and slightly faster and begins to dominate the mass-loss rate. In very strong magnetic field or pure MHD cases, the wind consists of only a dense, slow outflow without the presence of the distinctive fast stream so typical of pure line-driven winds. Our simulations indicate that winds launched by the magnetic fields are likely to remain dominated by the fields downstream because of their relatively high densities. Line driving may not be able to change a dense MHD wind because the line force strongly decreases with increasing density.

## 4. Final Remarks

Recent numerical simulations in the HD limit as well as in the MHD limit reveal many important features of disk outflows. For example, no shielding is needed to radiatively launch a wind from the inner disk. Shielding is needed to accelerate the wind to high velocities. Disk winds launched magnetically seem to be too dense to be accelerated by line driving. It appears then that we have an all or nothing situation for line-driving: line driving has to be responsible for both launching and accelerating the wind; otherwise we require a rather fine tuning of the wind density so that some other mechanism produces an outflow with velocities as measured in BALQSOs. All of this is because the ionization balance is a key constraint on AGN outflows.

There are two groups modeling in great detail the ionization structure of AGN outflows: (i) Everett (2004, this volume) explores self-similar MHD disk wind models where an assumed steady state enables a detailed treatment of the photoionization and radiative transfer in one-dimensional approximation. (ii) Chelouche (2001; 2003) considered purely radiation-driven one-dimensional steady outflows. It is just a matter of time before multidimensional time-dependent simulations with sophisticated photoionization calculations will be applied to AGN outflows and we shall understand AGN outflows as well as winds in OB stars.

### Acknowledgments.

We acknowledge support from NASA under LTSA grants NAG5-11736 and NAG5-12867.

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