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# Stable Q–balls from extra dimensions

## 1 Introduction

In all theories of Kaluza–Klein (KK) type  one hypothesizes that the spacetime is $`4+\delta `$ dimensional, and it has already a partially compactified structure $`𝐌^4\times 𝐁^\delta `$ , instead of $`𝐌^{4+\delta }`$, where $`𝐁^\delta `$ is a compact $`\delta `$–dimensional space. The symmetries of $`𝐌^4\times 𝐁^\delta `$ are the four–dimensional Poincare symmetries acting on $`𝐌^4`$ and some internal symmetry group generated by the topological structure of $`𝐁^\delta `$. The symmetries of the internal manifold are observed as the symmetries of the four–dimensional lagrangian. For instance, $`𝐌^4\times 𝐒^1`$ generates a $`U(1)`$ symmetry in four–dimensions whereas $`𝐌^4\times 𝐒^2`$ realizes an SU(2) symmetry . Unlike the common wisdom in KK theories where one attempts to construct realistic gauge theories in four dimensions from a higher dimensional theory with an appropriate internal manifold , here we consider a bulk field theory in higher dimensions, and discuss possible effects of KK symmetries in the four–dimensional theory.

The extra dimensions could be spacelike or timelike. Compactification of the timelike coordinates cause probability and causality violation, and thus, phenomenologically they should not exceed Plackian sizes  unless there is some mechanism localizing particles in the extra time coordinate . On the other hand, within the present experimental precision , the compact spacelike dimensions could be as large as a $`mm`$ with important phenomenological implications . Given a gauge theory in the bulk of $`𝐌^4\times 𝐁^\delta `$ spacetime, the scalar sector of this theory must be such that the gauge group should be spontaneously broken down to the subgroup required by physics in four dimensions. This is because of the fact that the KK compactification cannot lead to symmetry breaking in lower dimensions. Hence, in what follows we consider a bulk scalar field theory describing a physical spinless meson.

In what follows we will show that, irrespective of the symmetries and particle spectra of the field theory in $`𝐌^4\times 𝐁^\delta `$ bulk, the continuous symmetries of the four–dimensional effective theory generated by the topological structure of $`𝐁^\delta `$ enable the formation of nontopological solitons of Q–ball type  if the scalar sector possesses necessary interactions. This particularly necessitates that the internal manifold should be compact ($`e.g.`$ there is no orbifolding), and at least the scalar fields should admit a KK expansion ($`e.g.`$ they are not strictly localized on a topological defect ).

## 2 Kaluza–Klein Q–Balls

For simplicity we consider a $`(1+4)`$–dimensional spacetime with a partially compactified structure $`𝐌^4\times 𝐒^1`$ . Although we assume a 1–sphere for the internal space, the results of the analysis will be general enough to cover higher dimensional compact spaces $`𝐁^\delta `$. As usual the metric tensor $`G_{AB}(x_\mu ,y)`$ can be decomposed in terms of graviton $`g_{\alpha \beta }(x_\mu ,y)`$, graviphoton $`A_\alpha (x_\mu ,y)`$ and graviscalar $`\sigma (x_\mu ,y)`$ all living in the bulk . However, all essential features of KK Q–balls can be understood by analyzing a self–interacting bulk scalar field theory in a flat $`𝐌^4\times 𝐒^1`$ background. Therefore, the KK excitations in the graviton sector, which are not essential for Q–ball formation, can be switched off by replacing the metric tensor with its vacuum expectation value

$`G_{AB}(x_\mu ,y)=\left(\begin{array}{cc}\eta _{\alpha \beta }& 0\\ 0& 1\end{array}\right).`$ (3)
Consequently, we consider a bulk scalar field $`\mathrm{\Phi }(x_\mu ,y)`$ with the action

$`S_5={\displaystyle d^4x𝑑y\left\{_\mu \mathrm{\Phi }^\mu \mathrm{\Phi }\left(_y\mathrm{\Phi }\right)^2\overline{m}^2\mathrm{\Phi }^2V(\mathrm{\Phi })\right\}}`$ (4)
where $`\overline{m}`$ is a bare mass parameter, and $`V(\mathrm{\Phi })`$ contains trilinear and higher order self–interaction terms.

Letting $`R`$ be the radius of $`𝐒^1`$, the periodicity of $`\mathrm{\Phi }(x_\mu ,y)`$ in $`y`$ allows for the Fourier decomposition

$`\mathrm{\Phi }(x,y)={\displaystyle \underset{n=\mathrm{}}{\overset{+\mathrm{}}{}}}\varphi _n(x){\displaystyle \frac{e^{iny/R}}{\sqrt{2\pi R}}}.`$ (5)
where $`\varphi _n(x)=\varphi _n^{}(x)`$ due to the reality of $`\mathrm{\Phi }(x_\mu ,y)`$. Hence, the theory in $`𝐌^4`$ now consists of an infinite number of complex scalars $`\left\{\varphi _n\right\}`$

$`S_4`$ $`=`$ $`{\displaystyle d^4x\underset{n}{}\left[_\mu \varphi _n^\mu \varphi _n\left(\overline{m}^2+m_n^2\right)\varphi _n\varphi _nV_n(\varphi )\right]}`$ (6)
where $`m_n=|n|/R`$, and $`V_n(\varphi )`$ follows from $`V(\mathrm{\Phi })`$ after using (5) and integrating over $`y`$. For instance, a cubic interaction in $`V(\mathrm{\Phi })`$ contributes to $`V_n(\varphi )`$ by $`_k\varphi _n\varphi _k\varphi _{(n+k)}`$. For the model under consideration, one can restrict the KK summations in (6) to $`\text{[}0,\mathrm{}\text{]}`$ interval by using the reality of $`\mathrm{\Phi }(x_\mu ,y)`$. However, when there are several scalar (not necessarily real) fields the notation of (6) is appropriate.

As is clear from (6), irrespective of what type of interactions and what kind of fields participate in $`𝐌^4\times 𝐒^1`$ theory, the lagrangian in $`𝐌^4`$ possesses a global $`U(1)`$ invariance generated by translations along $`𝐒^1`$:

$`U(1)_{KK}:\varphi _n(x)\varphi _n(x)e^{in\alpha },`$ (7)
and all bulk fields in the theory ($`e.g.`$ fermions and gauge bosons) have the same transformation property as well. In particular, both KK charge and KK mass of the zero mode $`\varphi _0`$ vanishes identically. In general, symmetry properties of $`\varphi _0`$ are identical to those of $`\mathrm{\Phi }(x,y)`$. Consequently, in the present analysis, it remains as a real scalar field.

By convention $`V_n(0)=0`$, and $`\left\{\varphi _n\right\}=0`$ represents the ground state of the theory in which $`U(1)_{KK}`$ is unbroken. In this symmetric vacuum there are infinite number of spinless mesons with masses $`\sqrt{\overline{m}^2+m_n^2}`$. However, as was shown by Coleman , extended objects appear in the spectrum if the total energy is minimized for fixed $`U(1)_{KK}`$ charge

$`Q{\displaystyle \underset{n}{}}{\displaystyle \frac{n}{i}}{\displaystyle d^3\stackrel{}{x}\varphi _n(\stackrel{}{x},t)}\underset{t}{\overset{}{}}\varphi _n(\stackrel{}{x},t).`$ (8)
It is convenient to introduce a Lagrange multiplier $`\omega `$ to incorporate the constraint $`Q0`$ to the energy functional

$`E_\omega `$ $`=`$ $`\omega Q+{\displaystyle d^3\stackrel{}{x}\underset{n}{}\left[\phi _n\phi _n+M_n^2(\omega )\phi _n\phi _n+V_n(\phi )\right]}`$ (9)
where $`M_n^2(\omega )=\overline{m}^2+\left(1\omega ^2R^2\right)m_n^2`$. This expression for energy is to be minimized with respect to $`\omega `$ and $`\phi _n`$, independently. That the energy functional is independent of time follows from the fact that the scalars $`\varphi _n`$ rotate in the internal space with velocities proportional to their $`U(1)_{KK}`$ charge

$`\varphi _n(\stackrel{}{x},t)=\phi _n(\stackrel{}{x})e^{in\omega t}.`$ (10)
From (9) it is clear that in the fixed KK charge sector the $`n`$–th KK level acquires a tachyonic mass $`m_n^2\omega ^2R^2`$, which is what enables $`\phi _n`$ to develop a nonvanishing VEV in a domain of finite charge accumulation. To minimize (9) for fixed $`\omega `$ one has to solve an infinite number of coupled nonlinear differential equations  with necessarily spherically symmetric solutions . Q–balls exist for small  (but large enough to allow for a semiclassical analysis) as well as large  $`Q`$ values. In the large $`Q`$ (thin–wall) limit the minimal energy configuration is well approximated by a sphere of radius $`R_Q`$, such that $`\phi _n=\overline{\phi }_n0`$ for $`|\stackrel{}{x}|R_Q`$, and $`\phi _n0`$ for $`|\stackrel{}{x}|>R_Q`$ . For this lump of matter to be stable with respect to decaying into a free scalar $`\varphi _n`$ its total energy ($``$ mass $`M_Q`$) must be less than the total energy $`N_nM_n`$ of $`N_n=Q/n`$ scalars having total charge $`Q`$. Then the stability condition takes the form

$`\left({\displaystyle \frac{M_Q}{Q}}\right)_{min}<\left({\displaystyle \frac{M_n(0)}{n}}\right)_{min},`$ (11)
where $`n`$ refers to that KK state for which the right–hand side is a minimum. In this equation the left hand–side is a function of the KK condensates $`\overline{\phi }_n`$

$`\left({\displaystyle \frac{M_Q}{Q}}\right)_{min}=\left({\displaystyle \frac{4\pi }{3}}R_Q^3{\displaystyle \frac{2\omega }{Q}}{\displaystyle \underset{n}{}}\left\{M_n^2(0)\overline{\phi }_n\overline{\phi }_n+V_n(\overline{\phi })\right\}\right)^{1/2},`$ (12)
and the right–hand side equals

$`\left({\displaystyle \frac{M_n(0)}{n}}\right)_{min}={\displaystyle \frac{1}{R}}`$ (13)
independent of whether $`\mathrm{\Phi }(x_\mu ,y)`$ has a finite bare mass or not. Here the discussion has been restricted to thin–wall (large $`Q`$) regime in which $`M_QQ/R`$. In the thick–wall (small $`Q`$) limit $`M_Q/Q`$ receives a smooth $`Q`$ dependence . If the potential $`V_n(\varphi )`$ is a flat one then $`M_QQ^{3/4}`$ rather than $`Q`$, and the value of the condensate inside the Q–ball can exceed the energy density by many orders of magnitude .

The results obtained here can be generalized to more complicated scalar field theories such as the supersymmetric theories with  or without  CP violation, or possible extensions of the standard Higgs sector . If the number of extra dimensions increase, say $`\delta =2`$ with a nontrivial $`𝐒^2`$ topology, then the four–dimensional theory has an SU(2) symmetry which admits Q–ball formation .

The stability condition (11) requires that the mass per unit charge inside the Q–ball is bounded by the inverse compactification radius. According to the present experimental accuracy  $`10^4\mathrm{eV}\stackrel{<}{}R^1\stackrel{<}{}M_{Pl}`$. Therefore, if the potential $`V(\mathrm{\Phi })`$ admits a stable Q–ball solution then its mass per unit charge is constrained solely by the gravity experiments.

The zero mode $`\varphi _0`$, which has neither KK mass nor KK charge, has the same Lagrangian and the same symmetries as the bulk scalar $`\mathrm{\Phi }(x_\mu ,y)`$ apart from rescalings of the couplings. However, depending on the details of the potential $`V(\mathrm{\Phi })`$ it couples to higher KK levels. For instance, a cubic interaction of the form $`\varphi _0\varphi _n\varphi _n`$ can give rise to a KK Q–ball similar to baryon or lepton balls in supersymmetry . Since the exit or entrance of $`\varphi _0`$ to Q–ball domain does not affect the total charge; it behaves as a self–interacting real scalar field for $`|\stackrel{}{x}|R_Q`$, and becomes a component of the Q–matter for $`|\stackrel{}{x}|<R_Q`$.

The discussions above have concentrated on a bulk scalar field theory, in particular, the gravity sector has been ignored by adopting the vacuum configuration (3) for the metric tensor. However, a proper analysis must take into account the full structure of the metric tensor $`G_{AB}(x_\mu ,y)`$. Once this is done the particle spectrum is widened by components of $`G_{AB}(x_\mu ,y)`$, $`i.e.`$, the graviton $`g_{\alpha \beta }(x_\mu ,y)`$, the graviphoton $`A_\alpha (x_\mu ,y)`$, and the graviscalar $`\sigma (x_\mu ,y)`$. The appearance of the graviphoton implies that the $`U(1)_{KK}`$ symmetry is now promoted to a local invariance. However, this does not invalidate the analysis above as the gauged $`U(1)_{KK}`$ also admits a Q–ball solution . The function of the graviscalar appears in the dilaton field $`\overline{\sigma }\mathrm{ln}\{\sigma /(12\sqrt{\pi G_N})\}`$, which itself is a candidate for the bulk scalar $`\mathrm{\Phi }(x_\mu ,y)`$ necessary for Q–ball formation. However, this requires the introduction self–interaction terms for $`\overline{\sigma }(x_\mu ,y)`$ not following from the decomposition of $`G_{AB}(x_\mu ,y)`$. After the compactification, like any matter field, all components of $`G_{AB}(x_\mu ,y)`$ possess a $`U(1)_{KK}`$ invariance. Since the stability bound in (11) depends only on the KK masses and charges of the bulk scalar (which could be $`\overline{\sigma }(x_\mu ,y)`$ itself) practically all the results derived above remain valid.

## 3 Electroweak Kaluza–Klein Q–balls

In this section we investigate the formation and stability of the KK Q–balls within bulk electroweak theory . Clearly the KK reduction cannot lead to symmetry breaking so that the standard model gauge symmetry must be already broken in $`𝐌^4\times 𝐒^1`$ bulk. Therefore, the bulk Higgs boson field $`h(x_\mu ,y)`$ replaces the bulk scalar $`\mathrm{\Phi }(x_\mu ,y)`$, and its self–inetraction Lagrangian provides the necessary potential

$`V(h)=\overline{m}^2h^2+\overline{\lambda }\overline{v}h^3+{\displaystyle \frac{1}{4}}\overline{\lambda }h^4`$ (14)
where $`\overline{v}^2=\overline{m}^2/\overline{\lambda }\left(246.2\mathrm{GeV}\right)^2/\left(2\pi R\right)`$. Since there exists a nonvanishing cubic coupling, there is necessarily a Q–ball solution . As the bulk Higgs scalar $`h(x_\mu ,y)`$ couples to all standard model fields so does the resulting KK Q–ball. This then raises the question of stability with respect to decaying into the standard model spectrum. However, once a stable Q–ball solution is formed for (14) it is then clear that the disassociation of the Q–matter to any field, irrespective of its bulk mass, is forbidden kinematically. This follows from the stability bound (11), which states that the mass per unit charge inside the Q–ball is less than two–particle threshold. To illustrate this point consider a bulk fermion $`\mathrm{\Psi }(x_\mu ,y)`$ which may have a mass $`m_\psi `$. If this mass is not generated via the spontaneous symmetry breaking then $`\mathrm{\Psi }(x_\mu ,y)`$ does not couple to $`h(x_\mu ,y)`$, and thus, there is no question of stability. On the other hand, if $`m_\psi `$ is proportional to $`\overline{v}`$ then Q–ball would evaporate  by emitting $`\overline{\psi _n}\psi _n`$ pairs from the surface were not it for the stability condition (11). Indeed, $`n`$–th KK level has a mass $`|n|/R`$ so that kinematically the KK Q–ball cannot decay to charged fermion pairs according to (11). This absolute stability property is exclusive to KK Q–balls in which the zero modes are devoid of KK charge, and mass per unit charge inside the Q–ball is bounded by the inverse compactification radius. For comparison, one may recall the lepton balls of supersymmetry  which necessarily evaporate by emitting neutrinos  from the surface. Irrespective of whether $`U(1)_{KK}`$ is global  or local  there is a Q–ball solution, and therefore, inclusion of gravity sector does not affect the stability of the Higgs KK Q–balls.

The discussion above would be sufficient for having stable Higgs KK Q–balls were not it for the absence of chiral fermions. Indeed, the KK reduction produces equal numbers of left– and right–handed fermions so that the effective four–dimensional theory does not possess a definite chirality. In fact, to have chiral fermions in four dimensions it is necessary to perform an orbifolding of the extra dimension, and this, however, breaks the $`U(1)_{KK}`$ symmetry down to its $`Z_2`$ subgroup, leaving no continuous symmetry to develop Q–balls.

However, orbifolding is not the only way of inducing chiral fermions in $`𝐌^4`$. Indeed, if the dynamical theory in $`𝐌^5`$ possesses multiple discrete degenerate vacua then there is always a massless chiral fermion  localized on the topological defect interpolating among different vacuum domains . To be specific, let $`\mathrm{\Theta }(x_\mu ,y)`$ be a bulk scalar field in $`𝐌^5`$ with two degerate vacua, then there arises a wall profile $`\mathrm{\Theta }_{wall}(y)`$ which interpolates between the vacua situated at $`y\pm \mathrm{}`$. In the potential induced by $`\mathrm{\Theta }_{wall}(y)`$, the zero mode fermion possesses a definite chirality and remains stuck to the wall  whereas the excited levels are all paired to have no preferred chirality .

The localization mechanism above is valid for $`𝐌^5`$ where none of the dimensions is compact. For spacetimes with a compact coordinate $`e.g.`$ $`𝐌^4\times 𝐒^1`$, besides appropriate modifications in the underlying theory in order to allow for the formation of the walls, one must require $`M_{wall}>>R^1`$ where $`M_{wall}`$ is the characteristic mass scale of the wall–former, $`\mathrm{\Theta }(x_\mu ,y)`$. The postion of the wall along $`𝐒^1`$ may have a slight $`x_\mu `$ dependence; $`y_0=y_0(x_\mu )`$ . However, since the translational symmetry along $`𝐒^1`$ is spontaneously broken, this position is equivalent to the static solution $`\mathrm{\Theta }_{wall}(y)`$ as $`y_0(x_\mu )`$ will be swallowed by the graviphoton $`A_\mu (x)`$ to acquire a mass. To have a nontrivial tilting of the wall with respect to $`𝐒^1`$ the graviphoton should be projected out . For this purpose, it is convenient to impose a global $`U(1)_I`$ invariance on the system under which the wall–former transforms as $`\mathrm{\Theta }(x_\mu ,y)e^{iq_I\alpha }\mathrm{\Theta }(x_\mu ,y)`$. In addition to this, there is a local $`U(1)_{KK}`$ invariance defined in (7). These two symmetries are, however, spontaneously broken down to a global $`\stackrel{~}{U}(1)_{KK}\mathrm{sin}\alpha U(1)_I+\mathrm{cos}\alpha U(1)_{KK}`$ invariance once $`\mathrm{\Theta }_n`$ develops a VEV for a nonvanishing $`n`$ where $`|n|(0,M_{wall}R)`$ . Any $`n`$ in this interval can be chosen to be the vacuum configuration, as the mapping between the vacuum circle and $`𝐒^1`$ yields a topologically stable configuration. The remnant $`\stackrel{~}{U}(1)_{KK}`$ invariance, however, can generate a KK Q–ball if the potential of the wall–former has enough interactions. Practically, the most important change arises in the stability condition (11) where now mass per unit charge inside the Q–ball is bounded by $`|\mathrm{cos}\alpha |/R`$ intead of $`1/R`$. Therefore, the breaking direction in $`U(1)_I\times U(1)_{KK}`$ space, $`\alpha `$, enters the game. All the standard model particles, which are the zero modes of the corresponding fields in $`𝐌^4\times 𝐒^1`$, are localized on the wall staying on $`𝐒^1`$. The level splittings ($`M_{wall}`$ ) of their excited modes are much more coarser than the KK splitting ($`R^1`$). Ignoring the former (which would be exact in the limit when the wall shrinks to a $`\delta `$–function) the latter enables the formation of the KK Q–ball. In such a picture the wall–former plays two rôles: ($`i`$) it traps the massless quarks, leptons, Higgs, and gauge fields  whereby reproducing the four–dimensional world, and ($`ii`$) its KK modes with global $`\stackrel{~}{U}(1)_{KK}`$ symmetry form a Q–ball of the type studied above. Since the tilt angle $`\alpha `$ determies the $`\stackrel{~}{U}(1)_{KK}`$ charge of every field , the kinematic stability of the Q–matter with respect to decaying into other particles still persists.

## 4 Conclusion

In this work we have shown that a bulk scalar theory with sufficient interactions naturally accomodate nontopological solitons of Q–ball type after compactifying over the extra dimensions. The mass per unit charge inside the soliton is bounded by the inverse compactification radius; hence, it is absolutely stable with respect to decaying into the KK towers of all particles in the theory, including the gravity sector. A more realistic setting involving chiral fermions with the inclusion of the gravity sector arises approximately within the tilted wall scenario of .

The fact that the KK Q–balls are stable makes them a perfect candidate for the dark matter in the universe. Apart from electroweak  or GMSB  Q–balls, in general, baryon or lepton balls suffer from evaporation . In supersymmetric theories, for instance, it is necessary to produce large enough baryon or lepton balls  to have them survive up to the present epoch .

It is clear that, formation of the KK Q–balls is effectively a decompactification process. This follows from the fact that, at least for the bulk scalar sector, all excited KK modes are imprisoned into a finite spatial domain which contains a fixed KK charge. The topology of the extra dimensions determines the symmetries of the four–dimensional effective theory, and minimization of the energy for fixed conserved charge maps all KK modes into a nontopological stable soliton. The ultimate answer to the existence or absence of the Q–balls (the KK Q–balls in particular) will come from the present and future experiments .

The author is grateful to Gia Dvali for many helpful discussions and suggestions, and for a careful reading of the manuscript. Also it is a pleasure to thank E. Caceres, R. Hernandez, A. Özpineci and K. Ray for fruitful discussions.


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# Untitled Document

Localization of gravitational field energy and a procedure proposed

for its experimental verification

Miroslav Sukenika, Jozef Simaaand Julius Vankob

aSlovak Technical University, Dep. Inorg. Chem., Radlinskeho 9, 812 37 Bratislava, bComenius University, Dep. Nucl. Physics, Mlynska dolina F1,

842 48 Bratislava, Slovakia

e-mail: sima@chtf.stuba.sk; vanko@fmph.uniba.sk

Abstract

Introduction of Vaidya metrics into the Expansive Nondecelerative Universe model allows to localize the energy of gravitational field. On the assumption that there is an interaction of long-range gravitational and electromagnetic fields, the localization might be verified experimentally. In this contribution some details on such an experiment are given.

Introduction

The law of universal gravitation was formulated by I. Newton in 1666. 250 years later A. Einstein showed that his equations describing gravitation had wavelike solutions, similar to the wavelike solutions of Maxwell’s equations. Just as a time-varying charge distribution excites electromagnetic waves, so a time-varying mass distribution will excite gravitational waves. Yet, scientific community is still waiting for a direct detection of gravitational waves. Moreover, contrary to the other fundamental forces, there is neither comprehensive theory allowing to quantify, localize and measure the gravitational field nor any experimental evidence on the above mentioned characteristics of the gravitational field. One of the main sources of this marking time lies in the Schwarzschild metrics that has been generally accepted in elaborated models of the Universe and gravitation. Usage of this metrics in models of the Universe has led to a conclusion on the impossibility to localize the gravitational field outside a body. The model of Expansive Nondecelerative Universe (ENU) is virtually one of the first, if not the only, which is fully consistent with the laws of nature (the requirement which must be satisfied by any acceptable model), its predictions and conclusions are in accordance with experimental observations and, thanks to the introduction of Vaidya metrics into its mathematical tools, it provides, contrary to other models, a mode of localization and quantification of the gravitational energy.

Within the research focused on unification of all four fundamental forces several important theoretical results have emerged, no experimental data on a mutual interaction and/or interference of any of them with gravitation are, however, known. One of the principal obstacles lies in substantially different range of the forces. From this viewpoint only the gravitational and electromagnetic forces are similar since the both are far-reaching and their intensity varies inversely with the square of the distance between two bodies (masses or charges). These similarities have led us to considerations on the theoretical and experimental treatment of possibilities to verify the existence of interference of these forces. In this contribution theoretical background of the verification is given.

Theoretical Background

The density of gravitational field in the domain of weak fields is described by Tolman’s equation

$`ϵ_g=\frac{R.c^4}{8\pi .G}`$(1)

where $`R`$ is the scalar curvature. In Schwarzschild metrics

$`R`$ = 0 (2)

that is interpreted as an impossibility to localize the gravitational energy outside a body. In the Expansive Nondecelerative Universe model (further ENU) \[1 - 3\] the gauge factor a is expressed as

$`a=c.t_c=\frac{2G.M_u}{c^2}`$(3)

where $`M_U`$ is the mass of the Universe and $`t_c`$ is the cosmologic time and at present

$`a10^{26}m`$ (4)

$`t_c4.5\times 10^{17}s`$ (5)

It follows from eq. (3) that in ENU the matter creation occours. The total energy of the Universe must, however, be exactly zero . It is achieved by a simultaneous gravitational field creation, the energy of which is $`E`$ $`<`$ 0. Such a Universe may, therefore, permanently expands with the velocity of light $`c`$ and the fundamental conservation laws are still observed.

Due to the matter creation, Schwarzschild metrics may not be used and should be replaced by another kind of metrics allowing to take the matter creation phenomenon into account. Such a property exhibits Vaidya metrics . Since it holds in ENU

$`\frac{dm}{dt}=\frac{m_o}{t_c}`$ (6)

where $`m_o`$ is the rest mass of a body, using Vaidya metrics and eq. (6), relation (7) defining the scalar curvature is obtained

$`R=\frac{3R_{g(m)}}{a.r^2}`$ (7)

in which $`R_{g(m)}`$ is the gravitational radius of a body with the mass $`m`$. It follows  from (1) and (7) that

$`ϵ_g=\frac{3mc^2}{4\pi ar^2}`$(8)

where $`ϵ_g`$ is the density of gravitational field energy emitted by a body with the mass $`m`$ in the distance $`r`$. Relation (8) can be rewritten as

$`ϵ_g=\frac{3E_g}{4\pi .\lambda ^3}`$(9)

where $`E_g`$ is the energy of a gravitational quantum and $`\lambda `$ is its Compton wavelength

$`\lambda =\frac{h.c}{2\pi .E_g}`$(10)

Substituting in (9) for (10) and comparing the result with (8), the expression for an energy quantum $`E_g`$ is obtained :

$`\left|E_g\right|=\left(\frac{m.h^3.c^5}{8\pi ^3a.r^2}\right)^{1/4}`$ (11)

where $`E_g`$ is the quantum of gravitational energy created by a body with the mass $`m`$ in the distance $`r`$. Relation (11) is in conformity with the limiting values: the maximum energy is represented by the Planck energy, the minimum energy equals the energy of a photon with the wavelength identical to the Universe dimension ($`a`$ =$`\lambda `$ ) .

Gravitational output $`P_g`$ , defined as the amount of gravitational energy emitted by a body with the mass $`m`$ in a time unit is given as (12)

$`P_g=\frac{d}{dt}ϵ_g𝑑V=\frac{m.c^3}{a}=\frac{m.c^2}{t_c}`$ (12)

Experimental verification

Both the gravitational and electromagnetic forces are of long-range nature and their intensity decreases with the square of distance. Supposing an interaction of the fields and stemming from the localization of the gravitational field energy, an experiment may be proposed in which the interference of the fields might lead to a change in the mass of the tested body acting as an emitter. To perform the experiment, the following requirements must be satisfied.

(a) A body - emitter with the mass $`m_e`$ should emit photons with the energy $`E_{ph}`$ identical to the energy of Earth gravitational field quanta $`E_{g,Ea}`$ . Taking the known mass $`m_{Ea}`$ of the Earth (5.97 x 1024 kg), its mean radius $`r_{Ea}`$ (6.37 x 106 m) and the values of the other members in (11) into account, it follows

$`E_{g,Ea}=\left(\frac{m_{Ea}.h^3.c^5}{8\pi ^3a.r_{Ea}^2}\right)^{1/4}1.49eV`$ (13)

that corresponds to the wavelength

$`\lambda 834nm`$ (14)

(this is a wavelength from the near-infrared region used in telecommunications). One of the conditions, therefore, is that the emitter should emit photons of the wavelength 834 nm. Such photons might interfere with quanta of the gravitational field of the Earth.

(b) Relation (12) states that the electromagnetic output of the emitter $`P_e`$ is to be

$`P_e=\frac{m_e.c^2}{t_c}`$ (15)

Relations (14) and (15) represent the conditions of equality of the electromagnetic and gravitational output of the emitter. If, in principle, may exist an interference of the electromagnetic and gravitational fields of the emitter and the Earth, such an interference might happen and be observed.

(c) Since electronic transitions associated to excited state formation and radiation deactivation are accompanied by vibrational-rotational (i.e. thermal) relaxation, and the radiation output of the emitter is usually influenced by its temperature, within the proposed experiment it will be necessary to maintain constant temperature.

(d) After the required energy and output of the emitter $`P_e`$ are reached, the emitter should be weighted at different directions of the emission. The interference should manifest itself as a change in the emitter weight that, given a balance with a sufficient sensitivity is used, should be registered.

(e) There can be a necessity to adjust the wavelength and energy output values (the accuracy of their values depends on the accuracy of all parameters in used relations).

(f) Providing the radiation is not monochromatic (a common case) the output of that with 834 nm (or that of adjusted wavelength) must correspond to that required by relation (15).

(g) The mass $`m_e`$ of the emitter is its own mass not including peripheral parts.

Conclusions

1. The proposed experimental verification of interference of the gravitational and electromagnetic fields may lead to successful results providing three conditions are fulfiled: the ENU model describes the Universe in a correct way; there is in principle a possibility of the interference; conditions stated in paragraphs (a) to (g) are met.

2. Any changes in the mass of an emitter caused by the discussed interference would be of far-reaching scientific and technological importance.

3. The present contribution deals only with the theoretical aspects of the experiment, its realization requires solutions of many practical tasks.

References

1.J. Sima, M. Sukenik, Preprint: qr-qc/9903090

2. V. Skalsky, M. Sukenik, Astrophys. Space Sci., 178 (1991) 169

3. V. Skalsky, M. Sukenik, Astrophys. Space Sci., 181 (1991) 153

4. S. W. Hawking, A Brief History of Time, From the Big Bang to Black Holes, Bantam Books, New York, 1988, p. 129

5. P.C. Vaidya: Proc. Indian Acad. Sci., A33 (1951) 264


text:
# Answering a question on relative countable paracompactness

In , Yoshikazu Yasui formulates some results on relative countable paracompactness and poses some questions. Like it is the case with many other topological properties , countable paracompactness has several possible relativizations. Thus a subspace $`YX`$ is called countably 1-paracompact in $`X`$ provided for every countable open cover $`𝒰`$ of $`X`$ there is an open cover $`𝒱`$ of $`X`$ which refines $`𝒰`$ and is locally finite at the points of $`Y`$ (i.e. every point of $`Y`$ has a neighbourhood in $`X`$ that meets only finitely many elements of $`𝒱`$). Yasui asserts that if a countably compact space $`Y`$ is closed in a normal space $`X`$ then $`Y`$ is countably 1-paracompact in $`X`$ and asks (Problem 1 in) if normality can be omitted. The answer is negative as it is demonstrated by $`X=((\omega _1+1)\times (\omega +1))\{(\omega _1,\omega )\}`$, $`Y=\omega _1\times \{\omega \}`$ and $`𝒰=\{\omega _1\times (\omega +1)\}\{\{(\omega _1+1)\times \{n\}\}:n\omega \}`$. This well-known construction provides also the following general statement (recall that a space is Linearly Lindelöf iff every uncountable set of regular cardinality has a complete accumulation point see e.g. ).

Theorem 1 If a Tychonoff space $`Y`$ is countably 1-paracompact in every Tychonoff space $`X`$ that contains $`Y`$ as a closed subspace then $`Y`$ is linearly Lindelöf.

Proof: Suppose not. Then there is an uncountable set $`ZY`$ of regular cardinality and without complete accumulation points in $`Y`$. Enumerate $`Z`$ as $`\{z_\alpha :\alpha <\kappa \}`$ where $`\kappa =|Z|`$ and put $`Z^{}=Z\{z^{}\}`$ where $`z^{}Z`$. Further, put $`X=(Z^{}\times \omega )(Y\times \{\omega \})`$. Topologize $`X`$ as follows. The points of $`Z\times \omega `$ are isolated. A basic neighbourhood of a point $`(z^{},n)`$, where $`n\omega `$, takes the form $`\{(z_\gamma ,n):\gamma >\alpha \}\{(z^{},n)\}`$ where $`\alpha <\kappa `$. A basic neighbourhood of a point $`(y,\omega )Y\times \{\omega \}`$ takes the form $`O_{Un}=((UZ)\times \{m\omega :m>n\})(U\times \{\omega \})`$ where $`U`$ is a neighbourhood of $`y`$ in $`Y`$ and $`n\omega `$. Then $`X`$ contains a closed subspace $`\stackrel{~}{Y}=Y\times \{\omega \}`$ homeomorphic to $`Y`$.

Now we check that $`X`$ is a Tychonoff space. It is clear that the points of $`Z^{}\times \omega `$ have local bases consisting of clopen sets. So let $`x=(y,\omega )\stackrel{~}{Y}`$ and let $`O`$ be a neighbourhood of $`x`$ in $`X`$. Then there are a neighbourhood $`U`$ of $`y`$ in $`Y`$ and $`n\omega `$ such that $`xO_{Un}O`$. Further, there is a neighbourhood $`V`$ of $`y`$ in $`Y`$ such that $`yVU`$ and $`|VZ|<\kappa `$. Since $`Y`$ is Tychonoff, there is a function $`f:Y`$ such that $`f(y)=0`$ and $`f(YV)=\{1\}`$. Define a function $`\stackrel{~}{f}:X`$ as

$$\stackrel{~}{f}(u)=\{\begin{array}{cc}f(v),\hfill & \text{ if }u=(v,\omega )\hfill \\ f(z),\hfill & \text{ if }u=(z,m)\text{ and }m>n\hfill \\ 1,\hfill & \text{ otherwise.}\hfill \end{array}$$

Then $`\stackrel{~}{f}`$ is continuous; this follows from the inclusion $`\overline{\stackrel{~}{f}^1(\{1\})}(Z\times \omega )(Y\times \{\omega \})`$. Finally, $`\stackrel{~}{f}(x)=0`$ and $`\stackrel{~}{f}(XU)=\{1\}`$. So $`X`$ is Tychonoff.

It follows from the inequality $`\mathrm{cf}(\kappa )>\omega `$ that the open cover $`𝒰=\{(Z\times \omega )(Y\times \{\omega \})\}\{Z^{}\times \{n\}:n\omega \}`$ of $`X`$ does not have an open, locally finite at all points of $`\stackrel{~}{Y}`$ refinement. So $`\stackrel{~}{Y}Y`$ is not countably 1-paracompact in $`X`$. $`\mathrm{}`$

Theorem 2 A Tychonoff countably compact space $`Y`$ is countably 1-paracompact in every Tychonoff $`XY`$ iff $`Y`$ is compact.

Proof: Necessity follows from the previous theorem and the fact that every countably compact (in fact, even every countably paracompact, see ) linearly Lindelöf space is compact.

Routinous proof of sufficiency is omitted. $`\mathrm{}`$

Theorem 3 If a Lindelöf space $`Y`$ is a closed subspace of a regular space $`X`$ then $`Y`$ is countably 1-paracompact in $`X`$.

Proof: Let $`𝒰=\{U_n:n\omega \}`$ be a countable open cover of $`X`$. For every $`yY`$ fix $`n(y)\omega `$ and an open set $`W_yX`$ so that $`yW_y\overline{W_y}U_{n(y)}`$. The cover $`𝒲=\{W_y:yY\}`$ contains a countable subcover of $`Y`$, say $`\{W_{y_k}:k\omega \}`$. Then $`𝒱=\{U_{n(y_k)}\overline{\{W_{y_l}:l<k\}}:k\omega \}\{U_n\overline{\{W_{yl}:l<n\}}:n\omega \}`$ is an open refinement of $`𝒰`$ and $`𝒱`$ is locally finite at all points of $`Y`$. $`\mathrm{}`$

Remark 1 In Theorem 1 and Theorem 2 one can replace “Tychonoff” with “regular”

Remark 2 The results above are similar to some results about normailty and property (a) from , .

The paper was written when the author was visiting University of California, Davis. The author expresses his gratitude to colleagues from UC Davis for their kind hospitality.


text:
# Chemical abundances in seven red giants of NGC 2360 and NGC 2447Based on observations collected at the European Southern Observatory, La Silla, Chile (period 56), Table 3 is available only in electronic form from the Strasbourg ftp server at 130.79.128.5

## 1 Introduction

The comparison of chemical abundances observed at the surface of stars with those predicted by stellar model calculations offers a valuable tool to test our knowledge of stellar evolution. Among the most studied objects are red giants. Those objects are formed after the main sequence (MS) phase when hydrogen has been exhausted in the core. The core contracts, the outer layers expand, and the convective envelope deepens into the core. The consequent mixing of the ashes of hydrogen burning from the deep layers to the surface is called the first dredge-up process (1DUP).

In most cases, the surface abundances after 1DUP are predicted to be sensitive to stellar mass. The observation of red giants belonging to given clusters presents in this respect a unique advantage since the age of the cluster, and thus of its individual stars, is known by comparing the cluster’s distribution in the Hertzsprung-Russell diagram with predicted isochrones. The masses of the individual stars are then determined, enabling a thorough comparison of their surface abundances with predictions.

In this paper, we determine the abundances of oxygen, sodium and heavier elements in four red giants of the open clusters NGC 2360 and in three red giants of NGC 2447. All these giants belong to the clumps of their respective clusters. The initial masses of our stars are estimated to 2 and $`3\mathrm{M}_{}`$ for those in NGC 2360 and NGC 2447, respectively. These masses turn out to be in a critical range for surface sodium enhancement after the 1DUP. Oxygen, on the other hand, is an interesting element to study since it has already been observed to be slightly deficient relative to iron not only in supergiants but also in giants of globular clusters (Brown & Wallerstein B91 (1991)) and open clusters (Luck L94 (1994)). Finally, the abundances of the iron-group elements are used to directly derive the metallicity of the two clusters. This direct technique, which contrasts with the classical, but less reliable, technique based on color indices and photometric calibrations, has so far been used only in a small number of open clusters (about 20, see Strobel S91 (1991), Twarog et al. T97 (1997)). Our observations enable to enlarge that list.

The observational material is presented in Sect. 2 and the abundance determination procedure in Sect. 3. The metallicity is derived in Sect. 4, and the sodium and oxygen abundances analyzed in Sects. 5 and 6, respectively. Conclusions are drawn in Sect. 7.

## 2 Observational Material

Table 1 summarizes some parameters characterizing the two open clusters NGC 2360 and NGC 2447 studied in this paper. The distance modulus has been re-determined using Mermilliod’s database (M95 (1995), Me99 (1999)) and the age is determined with the theoretical isochrones of Schaller et al. (S92 (1992)). They lead to turn-off masses of 1.98 and $`2.75\mathrm{M}_{}`$ for NGC 2360 and NGC 2447, respectively.

The seven red giants studied in this paper have been selected on the basis of their constant radial velocity, as determined by CORAVEL observations, in order to ensure that they are single stars. This point is important since the light of a secondary component could bias the equivalent widths used to estimate the abundances of the primary.

For each star, one echelle spectrum has been obtained by DR in November 1995 using the EMMI spectrograph attached to the NTT 3.5m telescope at the European Southern Observatory in La Silla, Chile. The grism #5 and the echelle grating #10 were used, yielding spectra in the wavelength range from 4050Å to 6650Å with a resolving power of $`R=\mathrm{28\hspace{0.17em}000}`$. The detector was the ESO CCD #36, with $`2048\times 2048`$ pixels. The signal-to-noise ratio per pixel of the extracted spectra varies from 54 to 226, depending on the wavelength range and exposure time.

The journal of the observations is given in Table 2, together with the main characteristics of each stars (identification, $`V`$ magnitude, Geneva $`[BV]`$ color index, S/N ratio, Julian date, exposure time, radial velocity derived from our spectra and average RV from CORAVEL observations). The radial velocities are determined from our spectra by cross-correlation with a CORAVEL-type binary mask optimized for the K0 spectral type. They are compatible with those determined earlier from CORAVEL observations by Mermilliod & Mayor (MM89 (1989), MM90 (1990)), confirming that the red giants of our sample are very probably single.

Observations of two IAU RV standards, HD 66141 and HD 80170 (of which Udry et al. U99 (1999) give the precise RV value from CORAVEL observations), show that our results can be trusted to within $`\pm 1.0`$ km s-1. To reach this accuracy, we had to monitor the instrumental drift by taking a few short Th-Ar calibration exposures during the night and correlate them with a longer calibration exposure taken in the preceding afternoon; then we linearly interpolated the instrumental velocity shifts for the epochs of the science exposures.

## 3 Abundance determination

For the reduction of the spectra, we used the Inter-Tacos software of Geneva Observatory111The Inter-Tacos software is the same as that used for the Elodie and Coralie spectrographs.. The spectra were divided by an average of six flat-field exposures, after the background had been fitted by 2-d polynomials and subtracted. Then, they were extracted using a simple addition of the intensities along a virtual slit of 15 pixels. The wavelength calibration was performed with the same software, using Th-Ar spectra taken in the afternoon preceding the night. The rms scatter of the residuals around the fitted dispersion relation was 3.1 mÅ, which is quite good for this resolution. After rebinning to a constant wavelength step of 0.03 Å, which is over-sampled, we filtered all spectra by eliminating the high frequencies of their Fourier Transform. For that purpose, we used a FFT with a window of 65% of $`\mathrm{\Delta }\lambda `$ ($`\mathrm{\Delta }\lambda =\lambda `$/R). The 55 orders were individually normalized to the continuum, using an interactive Supermongo procedure which interpolates between the continuum points by a 3rd degree spline.

### 3.1 Abundance determination

The list of lines and oscillator strengths used for our abundance determinations is the same as that adopted by Boyarchuk et al. (B96 (1996)). The photospheric lines are chosen in wavelength zones avoiding the telluric absorption lines. The equivalent widths below 10 mÅ are rejected because they are too sensitive to noise and normalization. Table 3 (available only in electronic form) summarizes the line parameters and measured equivalent widths. For Mg i, not included in the list of Boyarchuk et al., we adopt the $`\mathrm{log}gf`$ values of Thévenin (T89 (1989), T90 (1990)).

The abundances are determined using the MOOG code (C. Sneden, Texas University) in the “abfind” mode, combined with atmospheric models of Kurucz (K96 (1996)). The Kurucz models are interpolated by cubic splines in the $`T_{\mathrm{eff}}`$ and $`\mathrm{log}g`$ plane (solar abundances are assumed as far as the atmospheric structure is concerned). For some lines for which we have reasons to suspect that blends would make the equivalent width method risky (oxygen and europium), we compute a synthetic spectrum including a large number of neighboring lines, and determine the abundance of the considered element by best fitting the synthetic spectra to the observed one (the ‘best’ fit being evaluated by eye estimate). In that case, the MOOG code is used in its “synth” mode and the lines are taken from the VALD database (Piskunov et al. P95 (1995)).

The measurement of abundance deviations as small as 0.15 dex requires good spectra with signal-to-noise (S/N) ratios above 100. Such a S/N is reached at almost all wavelengths in all our spectra, except near the \[O i\] line in three stars in NGC 2360 (star numbers 7, 50 and 62). No O abundance is presented for those stars.

### 3.2 Atmospheric parameters

The determination of the atmospheric parameters $`\mathrm{log}g`$ (gravity), $`T_{\mathrm{eff}}`$ (effective temperature) and $`V_\mathrm{t}`$ (microturbulent velocity) is crucial for a good abundance estimation. The fact that the distance to the open clusters and the masses $`M`$ of the individual stars are known provides a relation between $`\mathrm{log}g`$ and $`T_{eff}`$ given by

$$\mathrm{log}g=12.51+\mathrm{log}M+4\mathrm{log}T_{\mathrm{eff}}+0.4(M_\mathrm{V}+BC),$$
(1)
where $`M`$ is expressed in solar mass, $`M_\mathrm{V}`$ is the absolute visual magnitude in V and BC is the bolometric correction. We assume $`M_{\mathrm{bol}}=4.75`$, and take the bolometric corrections from Flower (F77 (1977)) (which are very close to the theoretically derived ones of Bessell et al. B98 (1998)).

The atmospheric parameters $`T_{\mathrm{eff}}`$ and $`V_\mathrm{t}`$ of each star are estimated from an iterative procedure based on the method used by Boyarchuk et al. (B96 (1996)), but modified to take into account the known bolometric magnitudes of the stars.

Let us consider a given star. Starting with an initial guess of $`V_\mathrm{t}=1.6`$ km s-1, we construct a diagram (Fig. 1) plotting the abundances of the iron-peak elements computed by MOOG from our observed spectrum, as a function of the effective temperature ($`\mathrm{log}g`$ is computed for each $`T_{\mathrm{eff}}`$ value through Eq. 1). If all iron-peak elements had a solar abundance distribution, then there should be a value of $`T_{\mathrm{eff}}`$ at which their abundances (normalized to solar) are identical. In practice, we choose (by visual estimate) the value of $`T_{\mathrm{eff}}`$ at which the spread of abundances is minimal. Then, for this $`T_{\mathrm{eff}}`$ value, the usual diagram showing the Fe i abundances versus equivalent widths is used to adjust the best velocity of microturbulence $`V_\mathrm{t}`$. Finally, the whole procedure is reiterated in order to get mutually consistent parameters.

The value of $`V_\mathrm{t}`$ found after the convergence of the iterative procedure differs by no more than 0.15 km s-1 with the first guess, which is consistent with the formal standard deviation of 0.11 km s-1 for that parameter, obtained from the uncertainty on the regression line of Fe i abundances versus equivalent widths.

This iterative procedure is applied to each of our stars. The resulting atmospheric parameters are summarized in Table 4. The derived effective temperatures agree to better than 100 K with the classical one based on the lack of correlation between abundance and excitation potential, the agreement improving with S/N ratio.

Finally, the sensitivity of our abundance determinations to the adopted atmosphere models is tested by recomputing some abundances with the models of Bell et al. (BEG76 (1976)). They lead to similar results, in the sense that abundances given by individual lines are the same within $`\pm 0.07`$ dex after allowance for a slight systematic offset: the models of Bell et al. systematically lead to a 0.04 dex underabundance compared to Kurucz’s models (for lines with an equivalent width $`W_\lambda <100`$ mÅ; the offset is larger for stronger lines). In view of the relatively good agreement between both sets of models, we chose the Kurucz ones because they are more recent and easier to use.

The surface abundance of a given element is determined by adjusting the equivalent width(s) of its line(s) predicted by synthetic spectra to those measured in the observed spectra. Actually the MOOG program computes an abundance for each line of a given element, and derives a mean abundance value by averaging the abundances associated to each of those lines. In computing the synthetic spectra, the formation of a dozen molecules (among them C2, CH, CN, CO, MgH, TiO) is considered.

In the case of Eu, the only usable line is blended. We therefore determine its abundance by a visual match on a synthetic spectrum which includes all possible blends. This element is marked with an asterisk in Table 3. The same technique is used for oxygen, discussed in Sect. 6. The $`\lambda 6645.1`$ Eu ii line does not seem to be significantly affected by hyperfine structure, since its equivalent width in the Sun provides an abundance perfectly consistent with the meteoritic one, using precise experimental oscillator strengths (Biémont et al. BK82 (1982)). Our $`\mathrm{log}gf`$ value adopted for this line is only 0.03 dex below the one used by Biémont et al., so it would lead to a solar Eu abundance of 0.53 instead of 0.50 dex, while the meteoritic abundance is $`0.54\pm 0.01`$ dex (Grevesse & Noels GN93 (1993)).

The elemental abundances found in this work are listed in Table 4.

### 3.3 $`V_\mathrm{t}`$ versus $`\mathrm{log}g`$

For information, we plot in Fig. 2 (filled circles and triangles) the microturbulence velocity deduced for our stars as a function of the surface gravity, together with the measurements of Boyarchuk et al. (B96 (1996)) for five G7-K0 field giants (open circles, their sixth star is not considered because it is much cooler, of M0 type) and those of Luck (L94 (1994)) for clusters’ supergiants and giants with $`4500T_{\mathrm{eff}}5500`$ K (open triangles). The combined data reveals a positive correlation between $`V_\mathrm{t}`$ and $`\mathrm{log}g`$.

Considering only our seven points, the usual correlation coefficient $`\rho =0.697`$ gives a $`t`$-test value of only $`2.17`$, implying a significance level of about 90 percent, while the Spearman rank correlation coefficient $`\rho _{\mathrm{Spearman}}=0.786`$ gives a slightly better $`t`$-test of $`2.84`$ and a significance level of 96 percent. For the usual LSQ fit assuming no error on the abscissa and a constant error on the ordinate, we find

$$V_\mathrm{t}=(0.63\pm 0.29)\mathrm{log}g+(3.37\pm 0.80)$$
(2)
with an rms scatter of the residuals of 0.083 km s-1. For a fit where errors are assumed to be the same on both axes, the relation would be

$$V_\mathrm{t}=0.86\mathrm{log}g+4.01$$
(3)
with an rms scatter of the residuals of 0.088 km s-1. The scatter of the residuals is entirely compatible with the internal standard deviation of $`V_\mathrm{t}`$ given above. It is smaller than that of the data from Luck (L94 (1994)) and from Boyarchuk et al. (B96 (1996)), partly due to the better homogeneity in metallicity and effective temperature.

## 4 Metallicity

It is difficult to derive an error estimate on the abundances. If we assume that each star has a solar distribution of heavy elements, then an error estimate is given by the dispersion of the heavy element abundances around the mean abundance (relative to solar). The abundances of all measured elements are shown in Fig. 3 for each of our stars, with the mean iron-peak element abundance indicated by a dashed line in each panel. From visual inspection (and excluding Ni which seems underabundant in some of our stars, probably only because of some systematic error in the oscillator strengths), we estimate the error on the abundance of a given element to be $`\pm 0.1`$ dex. Table 4 summarizes the abundances derived in all our stars together with the number of lines used for their determination.

The metallicity of each star is defined as a weighted average of the abundances of the iron-group elements, the weight being the number of lines. Since these weights are roughly the same for all stars, each cluster’s metallicity is defined as the arithmetic mean of the metallicities of its stars. The values found are \[$`M`$/H\]=0.10 for NGC 2360 and \[$`M`$/H\]=0.05 for NGC 2447. The iron abundances are slightly smaller: \[Fe/H\]=0.07 for NGC 2360 and \[$`M`$/H\]=0.03 for NGC 2447. Those are reported in Table 4.

## 5 Sodium

### 5.1 Abundances

The sodium overabundances \[Na/Fe\] derived from our spectra are summarized in Table 4 for our seven stars. They are small in NGC 2360, the oldest of the two clusters, with \[Na/Fe\]= 0.07 – 0.13 dex, and amount to 0.15 – 0.22 dex in NGC 2447.

The error in the Na overabundance \[Na/Fe\] due to the uncertainties on $`T_{\mathrm{eff}}`$, $`\mathrm{log}g`$ and $`V_\mathrm{t}`$ are not large because Na i and Fe i have similar behaviors with respect to those parameters (e.g. Table 9 of Luck L94 (1994)) such that their effect on the \[Na/Fe\] ratio cancels out. The errors on the \[Na/Fe\] ratio due to the continuum placement, on the one hand, and to the photon noise, on the other hand, are estimated in the following way. For each star, the equivalent widths of the two Na i lines are measured five times, each time after having renormalized the spectrum of the relevant region. The standard deviations of the equivalent widths are then computed from these data and propagated into standard deviations of abundances using the MOOG code. The resulting dispersion on the Na abundance amounts to 0.02–0.05 dex, depending on the S/N ratio. A synthetic spectrum of a typical red giant (with $`T_{\mathrm{eff}}=5200`$ K, $`\mathrm{log}g=2.77`$, \[$`M`$/H\]=0.0 but \[Na/Fe\]=+0.15) is then produced, and a Gaussian noise added to it for four representative S/N values, five spectra being produced independently with the same S/N ratio. The equivalent widths of both Na lines are measured (by a Gaussian fit) for these 20 spectra and their standard deviation computed for each S/N ratio. The deviations are found to lie between 2 and 3.3 percent for S/N ratios between 230 and 90. They are translated into abundance errors (after dividing them by $`\sqrt{2}`$ since there are two lines) and added quadratically to the errors due to the continuum position. Finally, we assume that the error on the continuum position for Fe i is similar to that for Na i and, admitting that they are independent of each other, add them quadratically to the total error on the Na abundance222the error on the Fe abundance due to photon noise is neglected because of the large number of lines of this element (in fact there is probably a correlation between the continuum placement for the Fe lines and that for the Na lines, but neglecting it only results in an overestimate of the error, so that we stay on the safe side). The resulting estimated errors amount to about 0.03–0.07 dex, the lowest ones pertaining to NGC 2447.

Among the systematic errors which may affect the Na and Fe abundances, some are negligible for the \[Na/Fe\] abundance ratio because of their mutual cancelation, as mentioned above. This is not the case, however, for the oscillator strengths adopted in the synthetic spectra. If the $`\mathrm{log}gf`$ values of the two Na i lines are slightly in error while those of Fe i are statistically correct, for instance, then the absolute values of \[Na/Fe\] would be wrong, though their relative values (i.e. their differences) would remain valid.

Finally, let us consider the systematic errors due to the assumption of local thermodynamic equilibrium (LTE) in the MOOG program. Non-LTE (NLTE) calculations performed by Gratton et al. (GC99 (1999)) in atmospheric conditions relevant to red giants show that the NLTE effect on the Na i $`\lambda 6154.22`$ line (one of the two lines used in this paper) strongly depends on surface gravity and slightly on effective temperature. This is illustrated in Fig. 4, which reveals that the NLTE correction should be small in the $`2.5<\mathrm{log}g<3`$ range characterizing our stars. Indeed, the average NLTE corrections are found to amount to 0.006–0.035 dex for the stars in NGC 2360 and of 0.032–0.048 dex for NGC 2447 using Table 11 of Gratton et al. (quadratically interpolated in $`\mathrm{log}g`$ and linearly in $`T_{\mathrm{eff}}`$, and assuming similar corrections for both $`\lambda 6154.22`$ and $`\lambda 6160.75`$ lines of Na i). A similar calculation for iron333We take the theoretical Fe i high excitation line ($`EP=4.1`$ eV) with $`W_\lambda =60`$ mÅ (Gratton et al. GC99 (1999)) as representative of our data. Taking the low excitation line ($`EP=0.0`$ eV) or $`W_\lambda =90`$ mÅ would not change the results for the NLTE corrections. leads to NLTE corrections for Fe of 0.015–0.021 dex for NGC 2360 and 0.027–0.028 dex for NGC 2447. The resulting NLTE effects on \[Na/Fe\] thus ranges between -0.013 and 0.014 dex for NGC 2360 and between 0.005 and 0.020 for NGC 2447. Of course, these values are only approximate since they are derived from only one iron line assumed to be representative of the 55 lines observed for that element, but they do suggest that the errors brought by our LTE approximation are much smaller than the above mentioned random error bars.

As a conclusion, the main abundance errors, besides the possible systematic errors due to the oscillator strengths444The $`\mathrm{log}gf`$ values of the Na i lines given by Boyarchuk et al. (B96 (1996)) are 0.05 dex higher than those of Thévenin (T90 (1990)), but 0.04 dex lower than those of Wiese et al. (W69 (1969)); this suggests that the systematic error on the $`\mathrm{log}gf`$ values – hence on the abundances – cannot be much larger than 0.05 dex. This is consistent with the error estimate of Thévenin., are due to the equivalent width and continuum measurements, which amount up to 0.07 dex. The error bars on the masses of each star, on the other hand, are estimated by considering a 0.05 dex error on the age $`\mathrm{log}t`$ of the clusters. The surface sodium overabundances as a function of stellar mass are shown in Fig. 5 by rectangles taking into account the above mentioned uncertainties.

### 5.2 Predictions

Sodium production during H-burning results from the transformation of $`{}_{}{}^{22}\mathrm{Ne}`$ into $`{}_{}{}^{23}\mathrm{Na}`$ by proton capture. This reaction occurs very efficiently at the temperatures characterizing the core of MS stars (see Appendix A of Mowlavi Mo99 (1999)). First dredge-up then mixes some of the synthesized Na from the deep layers to the surface. This scenario is confirmed by the observation of sodium overabundances at the surface of many giants and supergiants (e.g. Luck L94 (1994), Boyarchuk et al. B96 (1996), Takeda & Takada-Hidai TT94 (1994)).

The surface Na overabundance predicted by stellar model calculations (without core overshooting) as a function of stellar mass is shown in Fig. 5 by filled circles connected with solid line. The models have a metallicity 0.05 dex above solar (which is the metallicity of NGC 2447) and are followed from the pre-MS up to the completion of the 1DUP. The stellar evolution code is the same as in Mowlavi (Mo99 (1999)), except that the NACRE reaction rates (Arnould et al. AGJ99 (1999)) are used to follow the nucleosynthesis and that the formalism of Canuto, Goldman & Mazzitelli (CGM96 (1996)) is used to describe the energy transport in convective zones. The surface sodium abundance is seen to be very sensitive to stellar mass in the $`1.53\mathrm{M}_{}`$ range. It increases from no Na enhancement below $`1.5\mathrm{M}_{}`$ to an overabundance of 0.15 dex at $`3\mathrm{M}_{}`$, and keeps this value for stellar masses up to $`6\mathrm{M}_{}`$ before increasing again with stellar mass (see, e.g., Mowlavi Mo98 (1998)).

The sensitivity of those predictions to core overshooting, convection prescription and stellar metallicity is explored by computing extra models from the pre-MS to the 1DUP. None of those parameters, however, turns out to have a significant impact on the surface Na abundance. Models with core overshooting (with an extra-mixing extent of 0.20 times the pressure scale at the core boundary) predict a 0.02 dex enhancement (open circles connected with solid line in Fig. 5) compared to predictions without core overshooting. Increasing the metallicity by 0.17 dex does not change the surface \[Na/Fe\] prediction after 1DUP by more than 0.01 dex. And using the mixing length theory (with a mixing length of 1.5 times the pressure scale height) instead of the Canuto, Goldmann & Mazzitelli formalism does not change the surface abundance predictions within 0.001 dex.

Let us now explore the uncertainties linked to nuclear reaction rates. Both the $`{}_{}{}^{22}\mathrm{Ne}(\mathrm{p},\gamma ){}_{}{}^{23}\mathrm{Na}`$ and p-capture reactions on $`{}_{}{}^{23}\mathrm{Na}`$ are still subject to large uncertainties (Arnould et al. AGJ99 (1999)). In order to assess their impact on our surface Na abundance predictions, several models are recomputed from the pre-MS up to the 1DUP with the upper/lower limits for the rates provided by the NACRE compilation (cf. Arnould et al.), as appropriate to minimize/maximize $`{}_{}{}^{23}\mathrm{Na}`$ production. The results in the ‘minimal’ and ‘maximal’ $`{}_{}{}^{23}\mathrm{Na}`$ production cases are shown in filled circles connected with dotted lines in Fig. 5. They reveal a variation in the surface Na abundance predictions of up to 0.08 dex relative to the ‘nominal’ case where the recommended NACRE rates are used. Nuclear reaction rate uncertainties thus dominate the uncertainties associated with stellar metallicity and convection prescriptions for sodium predictions in red giants.

### 5.3 Discussion

Figure 5 shows a very good agreement between our Na abundance predictions in $`2\mathrm{M}_{}`$ model stars and those observed in NGC 2360. The nominal predictions of the $`3\mathrm{M}_{}`$ model star, on the other hand, seem a little too low compared to the abundances observed in NGC 2447. The predictions in the maximal case of $`{}_{}{}^{23}\mathrm{Na}`$ production would fit the highest Na abundance measured among the three stars observed in NGC 2447. Those predictions, however, would not be compatible with the Na abundances measured in the $`2\mathrm{M}_{}`$ red giants of NGC 2360. Figure 5 thus suggests that the nominal Ne–Na reaction rates should not be too much altered, if at all. The solution to the discrepancy between our observed Na abundance observations in NGC2447 and predictions should be found in other(s) mechanism(s) such as, possibly, meridional mixing induced by stellar rotation. Further theoretical and observational investigations should be performed before being able to draw a firm conclusion.

Finally, let us mention that the positive sodium abundance – stellar mass correlation translates, at a given effective temperature into a sodium abundance – surface gravity anti-correlation (or sodium abundance – luminosity correlation). This is well known in the literature, and shown in Fig. 6 where our data are displayed together with those of Luck (L94 (1994)) and Boyarchuck et al. (B96 (1996)). The dependence on effective temperature is small (Luck L94 (1994)). The computation of our 2.2 to $`2.8\mathrm{M}_{}`$ models with core overshooting is carried on up to the clump in the core helium burning phase. The clump is defined as the point where the stellar luminosity (gravity) reaches its minimum (maximum) value after core helium ignition. The sodium abundance (which is not altered between the 1DUP and the clump) predictions for those clump models are shown by a solid line in Fig. 6.

## 6 Oxygen

### 6.1 Abundances

The O abundance is determined from the 6300.31Å line of O i, which is available in our spectra with a S/N ratio above 100 only for the stars of NGC 2447 and for one of the stars in NGC 2360. This line is slightly blended with a line of Sc ii at 6300.68Å, but both lines are fairly well separated in our spectra (see Fig. 8). Fortunately, no significant telluric line is spoiling the O and Sc lines, though some are present 1 Å away or more. Using the equivalent width of the 6300.31Å line, the O abundance is found to be slightly deficient with respect to iron, with \[O/Fe\]$`=0.1`$ to $`0.3`$ dex (see Table 4).

The O i line at 6300.31Å, however, may be blended with another line at 6300.33Å from Ni i. The $`\mathrm{log}gf`$ of the Ni i line is still poorly known. If we take the only data available in the recent literature, i.e. $`\mathrm{log}gf=1.737`$ and $`EP=4.266`$ eV proposed by Kurucz (K94 (1994)), and if we assume \[Ni/Fe\]=0.00, then the oxygen abundance predicted by synthetic spectra reaches -0.6 dex on average (cf. \[O/Fe\] in Table 4). A smaller value of $`\mathrm{log}gf`$ is however suggested from the analysis of the solar spectrum. Lambert (L78 (1978)) estimates the width $`W_\lambda `$ of the Ni i $`\lambda 6300.33`$ Å line in the solar spectrum to be below 0.1 – 0.5 mÅ. The oscillator strength derived from the solar Ni abundance would be ten times smaller than Kurucz’s even with $`W_\lambda =0.5`$ mÅ. The true $`\mathrm{log}gf`$ of this Ni i line is thus very probably smaller than -2.74 dex. Therefore, the blend cannot affect the oxygen abundance determination by more than a few hundredths of dex.

### 6.2 Predictions

The surface O underabundance predictions after the first dredge-up are shown in Fig. 7 as a function of stellar mass. Models with (open circles) and without (filled circles) core overshooting during MS both predict very little variation of the surface O abundance in red giants (depletion by less than 0.04 dex). This results from the fact that only the deepest stellar layers are affected by the N–O cycle of H-burning. As a result, the dilution factor of the envelope’s oxygen is rather small when the envelope extends down to the inner regions.

### 6.3 Discussion

The predicted surface O underabundances fall much below the observed ones (by 0.1 – 0.3 dex if Ni is not taken into account and by more than 0.5 dex with Ni). This discrepancy is unexplained so far.

Such a deficiency of O in red giants has already been reported in the literature (e.g. Luck L94 (1994)). Interestingly, Venn (V99 (1999)) argues that the Sun presents an overabundance of oxygen of about 0.3 dex relative to the galactic A supergiants, to B stars in the solar neighborhood and in Orion, and to nebular abundances in the Orion nebula. The conclusion that the solar oxygen abundance is higher than what should be expected by galactic chemical evolution is also reached, at least qualitatively, from the sample of G dwarfs of Edvardsson et al. (E93 (1993)), which show an average oxygen abundance of \[O/Fe\]$``$-0.1 at \[Fe/H\]$`>`$-0.1. If this empirical fact is confirmed, it would explain in a simple way the oxygen underabundances found in our giants, at least if we neglect the contribution of the Ni i line in the synthetic spectra.

## 7 Conclusions

The abundances of about fifteen elements in seven red giants of NGC 2360 and NGC 2447 are derived with a global uncertainty of about $`\pm 0.1`$ dex (essentially due to photon noise, normalization of the spectra and uncertainties related to atomic line parameters). From those abundances, the following conclusions are drawn.

The metallicity \[$`M`$/H\] of the two open clusters is directly derived from their iron-group elements. It amounts to 0.10 for NGC 2360 and 0.05 for NGC 2447.

The sodium abundance reveals a positive correlation with stellar mass in the $`23\mathrm{M}_{}`$ range, as expected from model predictions. Quantitatively, the surface $`{}_{}{}^{23}\mathrm{Na}`$ abundances are in good agreement with those predicted after 1DUP for $`2\mathrm{M}_{}`$ stars (i.e. for stars in NGC 2360), but not at $`3\mathrm{M}_{}`$ (NGC 2447). The disagreement in NGC 2447 reaches 0.08 dex, which we consider marginally significant given our estimated uncertainties on the Na abundances. The excess of Na observed in two of our stars of NGC 2447, if confirmed, cannot be explained by current stellar models. Other physical mechanisms, such as stellar rotation, should be investigated in the future. More observations in open clusters of various ages (and thus turn-off masses) are also required to increase the small number statistic of this study.

The oxygen abundance is very deficient (by 0.2 to 0.5 dex depending on the true $`gf`$ value of the Ni i $`\lambda 6300.34`$ line) relative to iron in all our four red giants for which the oxygen abundance could be measured. This is not compatible with stellar model calculations which predict an oxygen deficiency by at most 0.03 dex after the first dredge-up. The high deficiencies can be partly explained if we assume that the Sun is slightly oxygen-rich relative to most stars in its neighborhood, as suggested by several authors. If not, then a new mechanism in stellar models should be thought of to account for this discrepancy.

###### Acknowledgements.

We thank Dr. Pierre Dubath for his help with the INTER-TACOS software used for the reduction of echelle spectra, and Dr. Laura Fullton for providing us with Dr. Sneden’s ftp address from which we downloaded the MOOG code. PN thanks Dr. Georges Meynet for a fruitful discussion. This work was supported in part by the Swiss National Science Foundation.


text:
# References

On the compatibility of causality and symmetry
(Comments on ”Analysis of causality in time-dependent density functional theory”)

M. Ya. Amusiaa,b and V. R. Shaginyanc, 111E–mail: vrshag@thd.pnpi.spb.ru

aThe Racah Institute of Physics, The Hebrew University, Jerusalem 91904, Israel;

bA.F. Ioffe Physical-Technical Institute, St.Petersburg 194021, Russia;

cPetersburg Nuclear Physics Institute, Gatchina 188350, Russia

## Abstract

It is argued that there exists the only one inverse of the linear response function $`\chi `$, i.e. $`\chi ^1`$, which depends symmetrically of its spatial-times variables . Some brief comments on this consideration are presented. We show instead, that it is possible to construct the causal inverse also. At the same time we confirm the main statement of  that in fact there is no contradiction between the symmetry and causality.

PACS number(s): 31.15.Ew; 31.50.+w

In a recent paper M. K. Harbola and A. Banerjee  considered a paradox, which is connected to the symmetry properties of the linear response function $`\chi `$ and the causality (see, e.g. ). This paradox comes from an observation, that the inverse of the linear response function of a many-body system $`\chi `$, i.e. $`\chi ^1(𝐫,t;𝐫^{},t^{})`$ being the second functional derivative,

$$\chi ^1(𝐫,t;𝐫^{},t^{})=\frac{\delta v_{ext}(𝐫,t)}{\delta \rho (𝐫^{},t^{})}=\frac{\delta ^2A[\rho ]}{\delta \rho (𝐫,t)\delta \rho (𝐫^{},t^{})},$$
(1)
is a symmetrical function of their time and space variables. In eq. (1) $`\rho (𝐫,t)`$ is the particle density of the system under consideration, characterized by its action functional $`A[\rho ]`$, and $`v_{ext}`$ is an external field. On the other hand, one may believe that this function must be a causal function, just as the linear response function $`\chi (𝐫,t;𝐫^{},t^{})`$ itself, which defines the variation of the density $`\delta \rho (𝐫,t)`$ in the response to a weak time-dependent external perturbation $`v_{ext}(𝐫,t)`$,

$$\delta \rho (𝐫,t)=_{t_0}^t\chi (𝐫,t;𝐫^{},t^{})v_{ext}(𝐫^{},t^{})𝑑𝐫^{}𝑑t^{}.$$
(2)
As a consequence of eq. (2), $`\chi `$ have to satisfy the causality condition:

$$\chi (𝐫,t;𝐫^{},t^{})=0ift^{}>t.$$
(3)
Therefore, one can assume, that the following equality,

$$\chi ^1(𝐫,t;𝐫^{},t^{})=0ift^{}>t,$$
(4)
is also always correct. By comparing eq. (4) and eq. (1) a conclusion can be made that there exists a paradox, since the causality and symmetry contradict each other. In their paper, Harbola and Banerjee gave arguments that eq. (4) is not valid and the inverse linear response function $`\chi ^1`$ can be only a symmetric function of its time variables. Thus, they conclude that there is no conflict between the symmetry requirement and the causality in time-dependent density functional theory .

In this Comment we show that the statement, that the inverse of the linear response function $`\chi ^1`$ has to be only a symmetric function of its time variables, is incorrect. In fact, the eq. (1) has a solution which preserves the causality. It means that an external field $`v_{ext}`$ can be defined by the density $`\rho `$ in the form being similar to eq. (2). Then, we will briefly discuss the interplay between the causality and response functions.

For the sake of simplicity and in order to concentrate on the time variables, we choose external field of the form $`v_{ext}(𝐫,t)=\widehat{q}(𝐫)v_{ext}(t)`$, with $`\widehat{q}(𝐫)`$ being the operator of a physical quantity. The transition to the general case is straightforward. Inserting this expression for the external field into eq. (2) and omitting for simplicity the spatial variables, one gets,

$$\delta \rho (t)=_{t_0}^t\chi _\tau (t,t^{})v_{ext}(t^{})𝑑t^{},$$
(5)
where $`\chi _\tau (t,t^{})`$ is the time-dependent part of the function $`\chi `$. It is seen that eq. (5) is the Volterra integral equation of the first kind, which can be reduced to the equation of the second kind by differentiation with respect to $`t`$. This leads  to the following equation:

$$\frac{1}{K(t)}\frac{^2\delta \rho (t)}{t^2}=v_{ext}(t)+_{t_0}^t\frac{1}{K(t)}\frac{^2\chi _\tau (t,t^{})}{t^2}v_{ext}(t^{})𝑑t^{},$$
(6)
where $`K(t)`$ is given by the following expression:

$$K(t)=\frac{\chi _\tau (t,t^{})}{t^{}}|_{t=t^{}}.$$
(7)
Eq. (6) always has a solution ,

$$v_{ext}(t)=\frac{1}{K(t)}\frac{^2\delta \rho (t)}{t^2}+_{t_0}^tR(t,t^{})\frac{1}{K(t^{})}\frac{^2\delta \rho (t^{})}{t^2}𝑑t^{},$$
(8)
with $`R(t,t^{})`$ being the resolvent, which meets the condition,

$$R(t,t^{})=0ift^{}>t.$$
(9)
As it is seen from eqs. (8) and (9) the dependence of the potential $`v_{ext}(𝐫,t)`$ upon the density $`\rho (𝐫^{},t^{})`$ may be restricted to the times $`t^{}<t`$. We remark, that the derivative on the right of eq. (8) may be written as,

$$\frac{f(t^{})}{t^{}}=\frac{f(t^{}+h)f(t^{})}{h}|_{h0},$$
(10)
with $`f(t^{})`$ presenting $`\delta \rho (t^{})`$ or $`\delta \rho (t^{})/t^{}`$. It is seen from eq. (10) that the derivative can be calculated sampling $`t^{}t`$. Thus, the solution of eq. (5) can be presented in the form,

$$v_{ext}(t)=_{t_0}^t\chi _\tau ^1(t,t^{})\delta \rho (t^{})𝑑t^{},$$
(11)
with $`\chi ^1`$ satisfying eq. (4). This result is contradictory to the conclusion of  that $`\chi ^1`$ has to be only a symmetric function of its time variables. The contradiction results from the incorrect assumption of  that the inverse $`\chi ^1`$ may be proportional to $`\delta (tt^{})`$ at most, while, as it is seen from eqs. (8,11), the inverse is proportional to the second derivative of $`\delta `$-function with respect to the time variable. On the other hand, in special situations, our result very likely lends support to the main result of , showing that the causal inverse incorporates differential operator (10). Our consideration was restricted to the case of weak external perturbation $`v_{ext}(𝐫,t)`$. In the event of strong external fields, changing, for instance, suddenly at time $`t`$, the derivative on the right of eq. (8) cannot be defined by eq. (10), and it is probably impossible to construct the causal inverse.

Thus, we would like to emphasize, that at least in the case of weak external fields, there exist both the causal inverse of linear response function $`\chi `$, and the symmetric (noncausal) inverse $`\chi ^1`$ , that is equality (4) is not always correct. Moreover, one can show that it is also possible to construct the advanced inverse. All these functions can be used to construct the causal response function $`\chi `$ satisfying eq. (3). But eq. (1) defines the symmetric inverse $`\chi ^1`$, which is to be used without any violations of the causality . As a result, it is the existence of noncausal $`\chi ^1`$ that leaves no room for the paradox. This result has been obtained  in fact long before the paradox was invented , and the conclusions of  were confirmed in . It is worth to mention, that a close examination of the relations between the action integral, response functions, effective interaction (or exchange-correlation kernel), single-particle Kohn-Sham time-dependent potential, and causality in the time-dependent density functional theory has been carried out recently in .

This research was funded in part by INTAS under Grant No. INTAS-OPEN 97-603. We also wish to thank M.K. Harbola for useful discussions.