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# Theorem 1

The Steinhaus tiling problem and the range of certain quadratic forms

Mihail N. Kolountzakis and Michael Papadimitrakis

September 2000

Dedicated to the memory of Tom Wolff

## Abstract

We give a short proof of the fact that there are no measurable subsets of Euclidean space (in dimension $`d3`$), which, no matter how translated and rotated, always contain exactly one integer lattice point. In dimension $`d=2`$ (the original Steinhaus problem) the question remains open.

§0. The Steinhaus problem

Steinhaus (1957) asked if there exists a subset of the plane which, no matter how translated and rotated, always contains exactly one point with integer coordinates. This question remains unanswered.

In this paper we deal only with the measurable version of the Steinhaus problem in dimension $`d2`$, in which a measurable subset $`E`$ of $`^d`$ is sought with the property that for almost every $`x^d`$ and for almost every isometry $`𝒮:^d^d`$

$$\left|(𝒮E+x)^d\right|=1.$$

The Steinhaus property may also be written as follows. For almost all isometries $`𝒮`$

$$\underset{n^d}{}\mathrm{𝟏}_{𝒮E}(xn)=1,\text{a.e.(}x\text{)}.$$

In other words, the set $`E`$ must be such that almost all of its rotations $`𝒮E`$ must tile when translated at the locations $`^d`$.

In a recent paper  Wolff showed that there are no Steinhaus sets in dimension $`d3`$. He showed much more: if $`fL^1(^d)`$, $`d3`$, is a Steinhaus function, i.e., if

$$\underset{n^d}{}f(x𝒮n)=1,\text{a.e.(}x\text{)},$$

for a dense set of isometries $`𝒮`$, then $`f`$ is almost everywhere equal to a continuous function. This, of course, implies that no Steinhaus sets exist for $`d3`$. We refer the reader to  for additional results regarding properties of Steinhaus sets in dimension $`2`$ (if they exist) and references to other work.

Suppose that $`\mathrm{\Lambda }=A^d^d`$, $`AGL(d,)`$, is a lattice and let $`\mathrm{\Lambda }^{}=A^{}^d`$ be its dual lattice. By elementary harmonic analysis one can see that, for an $`L^1`$ function $`f`$, we have

$$\underset{\lambda \mathrm{\Lambda }}{}f(x\lambda )=C,\text{a.e.(}x\text{)},$$

if and only if its Fourier Transform $`\widehat{f}`$ vanishes on $`\mathrm{\Lambda }^{}\left\{0\right\}`$. Integrating over a large region it is easy to see that the constant $`C`$ is equal to the density of the lattice $`\mathrm{\Lambda }`$ times the integral of $`f`$.

It follows that for $`E`$ to be a Steinhaus set it is necessary and sufficient that $`\left|E\right|=1`$ and that $`\widehat{\mathrm{𝟏}_E}`$ vanishes on all rotations of the (self-dual) lattice $`^d`$, except at $`0`$, i.e., it is necessary and sufficient that $`\widehat{\mathrm{𝟏}_E}`$ vanishes on all spheres with positive radius centered at the origin which go through at least one integer lattice point.

In this paper we will show that there are no Steinhaus sets in dimension $`d3`$. The method relies on some arithmetic properties of certain quadratic forms in $`d`$ variables and is overall much simpler than the method used in . There, of course, much stronger results were proved, using advanced methods of harmonic analysis, about Steinhaus functions. As mentioned above, these results have as a corollary the non-existence of Steinhaus sets for $`d3`$. Our method does not seem capable of giving any interesting results about Steinhaus functions. (These do exist: take any $`L^1`$ function whose Fourier Transform vanishes on all spheres centered at the origin that go through a lattice point.)

Our method is not applicable for the $`d=2`$, and we include a proof of this.

The case $`d4`$ is presented separately from $`d=3`$ (from which it follows) since it is much simpler.

Acknowledgment. We are indebted to Professors A. Bremner and N. Tzanakis for very valuable suggestions.

§1. The key observation

In any dimension $`d`$ write $``$ for the union of all spheres centered at the origin that go through at least one lattice point. The point $`0`$ is included in $``$.

Assume from now on that the set $`E`$ is a Steinhaus set in dimension $`d`$.

Suppose now that we can find a lattice $`\mathrm{\Lambda }^{}`$ with $`det\mathrm{\Lambda }^{}`$ not an integer. Since $`\widehat{\mathrm{𝟏}_E}`$ vanishes on $`\mathrm{\Lambda }^{}\left\{0\right\}`$ it follows that $`E+\mathrm{\Lambda }`$ is a tiling at level $`C=\left|E\right|\times \mathrm{dens}\mathrm{\Lambda }=1\times det\mathrm{\Lambda }^{}`$, which is not an integer. This is a contradiction as, obviously, any set may only tile at an integral level.

Hence, there are no Steinhaus sets in dimension $`d`$ if one can find a lattice of non-integral volume which is contained in $``$. Since a point $`x^d`$ belongs to $``$ if and only if $`\left|x\right|^2`$ is a sum of $`d`$ integer squares, we obtain the following Theorem, by looking at the quadratic form $`A^{}Ax,x`$ for each lattice $`\mathrm{\Lambda }^{}=A^d`$.

###### Theorem 1

If there exists a positive definite quadratic form $`Q(x)=Q(x_1,\mathrm{},x_d)=Bx,x`$ such that for all integral $`x_1,\mathrm{},x_d`$ its value is the sum of $`d`$ integer squares, and the determinant of $`Q`$, $`detB`$, is not the square of an integer, then there are no Steinhaus sets in dimension $`d`$.

§2. Dimension $`d4`$

Consider the $`4\times 4`$ matrix $`B`$ with $`1`$ on the diagonal and $`1/2`$ everywhere else. The matrix $`B`$ is positive definite (its eigenvalues are $`1/2`$, $`1/2`$, $`1/2`$ and $`5/2`$) and its determinant is $`5/16`$. It defines the quadratic form

$$Q(x)=Q(x_1,\mathrm{},x_4)=Bx,x=\underset{i=1}{\overset{4}{}}x_i^2+\underset{i>j}{}x_ix_j,$$

which is obviously integer valued and has non-square determinant. Furthermore, every non-negative integer may be written as a sum of four squares (Lagrange). It follows from Theorem 1 that there are no Steinhaus sets for $`d=4`$.

The same is true for dimension $`d>4`$ as one may consider the matrix which has $`B`$ in its upper left $`4\times 4`$ corner and is equal to the identity matrix elsewhere.

§3. Dimension $`d=3`$

The determinant of the form that appears in the following Theorem is $`2116`$, which is not a square, hence there are no Steinhaus sets in dimension $`3`$.

###### Theorem 2

For each $`x,y,z`$ the number

$$2x^2+11y^2+6z^2$$

is a sum of three integer squares.

Proof. Suppose this is false and that there are $`(x_0,y_0,z_0)(0,0,0)`$ and

* $`Q(x_0,y_0,z_0)`$ is not a sum of three squares, and
* $`x_0^2+y_0^2+z_0^2`$ is minimal.

From (a), and the well known characterization of those natural numbers that cannot be written as a sum of three squares, we have that

$$Q(x_0,y_0,z_0)=4^\nu (8k+7),\nu 0,k0.$$

If all $`x_0,y_0,z_0`$ are even, we have $`\nu 1`$, and, setting $`x_0=2x_1`$, $`y_0=2y_1`$ and $`z_0=2z_1`$, we obtain that $`Q(x_1,y_1,z_1)`$ is not a sum of three squares, which contradicts the minimality of the initial triple $`(x_0,y_0,z_0)`$. We conclude that at least one of $`x_0,y_0,z_0`$ is odd.

Case No 1: $`\nu =0`$.

Then $`Q(x_0,y_0,z_0)=7mod8`$. But the quadratic residues mod $`8`$ are $`0`$, $`1`$ and $`4`$, and one checks by examining all the possibilities that $`Q`$ is never $`7mod8`$.

Case No 2: $`\nu =1`$.

Then $`Q(x_0,y_0,z_0)=32k+28`$. Hence $`y_0`$ is even, say $`y_0=2y_1`$. We get

$$x_0^2+22y_1^2+3z_0^2=16k+14,$$

from which we conclude that $`x_0`$ and $`z_0`$ are odd, $`x_0=2x_1+1`$, $`z_0=2z_1+1`$. Substitution gives

$`4x_1^2+4x_1+1+22y_1^2+12z_1^2+12z_1+3`$ $`=`$ $`16k+14`$
$`2x_1(x_1+1)+11y_1^2+6z_1(z_1+1)+2`$ $`=`$ $`8k+7`$
$`2x_1(x_1+1)+11y_1^2+6z_1(z_1+1)`$ $`=`$ $`5mod8.`$
But $`\xi ^2+\xi =0`$ or $`2`$ or $`4`$ or $`6mod8`$, for all $`\xi `$, hence, by applying this to the first and last term in the above sum, and checking all possibilities we get a contradiction.

Case No 3: $`\nu 2`$.

As in Case No 2: $`y_0=2y_1`$, $`z_0=2z_1+1`$, $`x_0=2x_1+1`$. Hence

$$2x_1(x_1+1)+11y_1^2+6z_1(z_1+1)+2=4^{\nu 1}(8k+7),\nu 11.$$

So $`y_1`$ is even, $`y_1=2y_2`$, which gives

$$x_1(x_1+1)+22y_2^2+3z_1(z_1+1)+1=24^{\nu 2}(8k+7),$$

a contradiction as the left hand side is odd while the right hand side is even.
$`\mathrm{}`$

§4. Dimension $`d=2`$

Our method cannot give any results in dimension $`2`$:

###### Theorem 3

Any positive-definite binary quadratic form whose values are always sums of two integer squares must have a determinant which is the square of an integer.

Proof. Let $`Q(x,y)`$ be such a quadratic form, which we may write as

$$Q(x,y)=\left|A\left(\begin{array}{c}x\\ y\end{array}\right)\right|^2,$$

where $`A=\left(\begin{array}{cc}a& c\\ b& d\end{array}\right)`$. In this notation the determinant of $`Q`$ is $`(detA)^2`$. We now use the following theorem.

###### Theorem 4

(Davenport, Lewis and Schinzel ) Suppose that $`f[t]`$ is such that for each arithmetic progression $`S`$ there is $`tS`$ such that $`f(t)`$ is a sum of two squares. Then there are $`x,y[t]`$, such that

$$f(t)=x^2(t)+y^2(t).$$

Remarks.

1. The assumptions of Theorem 4 are much weaker than we can afford.

2. Theorem 4 was proved to answer a question raised by LeVeque, who had asked if any polynomial in $`[t]`$ whose values are always sums of two squares must be a sum of squares of two linear forms with integer coefficients.

Let $`f(t)=Q(t,1)`$, which is a polynomial with integer coefficients. It follows that there are integers $`\alpha ,\beta ,\gamma ,\delta `$ such that, for all $`t`$,

$$(at+c)^2+(bt+d)^2=(\alpha t+\gamma )^2+(\beta t+\delta )^2.$$

Expanding, and identifying the coefficients we obtain

$$a^2+b^2=\alpha ^2+\beta ^2,ac+bd=\alpha \gamma +\beta \delta ,\text{and }c^2+d^2=\gamma ^2+\delta ^2.$$

We have for the determinant of $`Q`$:

$`detQ`$ $`=`$ $`(adbc)^2`$
$`=`$ $`\left|\begin{array}{cc}a^2+b^2& ac+bd\\ ac+bd& c^2+d^2\end{array}\right|`$
$`=`$ $`\left|\begin{array}{cc}\alpha ^2+\beta ^2& \alpha \gamma +\beta \delta \\ \alpha \gamma +\beta \delta & \gamma ^2+\delta ^2\end{array}\right|`$
$`=`$ $`(\alpha \delta \beta \gamma )^2,`$
which is the square of an integer.
$`\mathrm{}`$

Bibliography

Department of Mathematics, University of Crete, Knossos Ave., 714 09 Iraklio, Greece.
E-mail: mk@fourier.math.uoc.gr, papadim@math.uoc.gr


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# Abstract

## Abstract

A grid of composite models for the narrow line region of active galaxies, which consistently account for both the effect of a photoionizing radiation from the active center and of a shock front, is presented. Theoretical results, calculated with the SUMA code, are given for different values of shock velocities, preshock densities, geometrical thickness of the clouds, and, particularly, for the ionizing radiation intensity in a large range. The input parameters are chosen within the ranges indicated by previous fits of several observed emission-line and continuum spectra from active galaxies. Shock velocities from 100 $`\mathrm{km}\mathrm{s}^1`$ to 1500 $`\mathrm{km}\mathrm{s}^1`$ and preshock densities from 100 $`\mathrm{cm}^3`$ to 1000 $`\mathrm{cm}^3`$ are considered. The line intensities of the most important ultraviolet, optical and infrared transitions are obtained and are listed in several tables.

## 1 Introduction

The narrow line region (NLR) of active galactic nuclei (AGN) has a complex structure. The emission-line ratios also indicate that a variety of cloud densities and sizes are present in the NLR. The observed full width at half maximum (FWHM) of the emission-line profiles show that clouds with relatively high velocity coexist with those with lower velocities (by a factor $`10`$). On the other hand, the radiation intensity, coming from the active center and reaching the NLR clouds, decreases with the distance from the central source. Therefore, only in very seldom cases the spectrum emitted from the NLR can be simulated by using an unique set of parameters. Generally, the emitted spectrum can be fitted by a weighted average of single-cloud spectra showing different characteristics (Contini 1997, Contini, Prieto & Viegas 1998a,b, Contini & Viegas 1999, Contini & Viegas 2000, Contini, Viegas & Prieto 2000).

Nevertheless, a grid of model calculations can be helpful to set the first basic conditions in the different observed regions. Although photoionization is the main process powering the NLR, shocks cannot be neglected in the study of the AGN spectra (e.g. Viegas-Aldrovandi & Contini 1989). Therefore, the grid of models presented in this paper should be used to complete the informations which were obtained until now from the diagrams by Osterbrock, Tran & Veilleux (1992). In the present calculations the effect of the shock is coupled to the effects of photoionization. Usually, in the observed spectra, the line characteristics coming from the shocked and from the photoionized zones may not be easily recognizable, since the two regions may interact through the diffuse radiation. Thus, the resulting line intensities are not just a sum of the line intensities produced in each zone, but correspond to values that are obtained by self-consistent calculations which account for the interaction of the two regions when computing the cloud physical conditions.

These new theoretical data enlarge the range of the results given by Viegas-Aldrovandi & Contini (1989), which presented a smaller number of emission-lines. In this paper, the input parameters are chosen within the range inferred from the fit of different galaxy spectra (e.g. Contini, Prieto, & Viegas 1998a,b, Contini & Viegas 2000, Contini, Viegas, & Prieto 2000).

A larger number of emission-lines in the UV-optical-IR spectral ranges are presented because: (1) different lines from the same multiplet reveal the temperature and density conditions of the emitting gas; (2) lines produced by different ions of a same element are important to constrain the intensity of the active center (AC) radiation, and (3) lines from a same ion but in the different wavelength ranges give further information on the physical conditions of the emitting region.

The single-cloud simulations are obtained with the SUMA code (see, for instance, Viegas & Contini 1994). Notice that the simulations apply whether the shocks originate from an interaction of the emitting clouds with a radio jet or from a radial outflow of the clouds across a lower density gas.

## 2 The grid

In our model, the clouds are moving outwards from the galaxy center. Therefore the shock forms on the outer edge of the cloud whereas the ionizing radiation reaches the opposite edge, which faces the active center.

A plane-parallel geometry is adopted. In order to calculate the physical conditions of the emitting gas, the cloud is divided in a large number of slabs. In each slab, the fractional abundances of the ions of each chemical element are calculated by solving the ionization equilibrium equations, coupled to the energy balance equation. The ionization rates due to all the ionizing mechanisms, as well as all recombinations rates, are included in the calculations (see, for instance Osterbrock 1989). In particular, the ionization due to the primary radiation (from the central source), to the diffuse radiation, generated by the free-free and free-bound transitions of the shocked and photoionizad gas, as well as the collisional ionization, are all accounted for. Because the shock front and the ionizing radiation act on the opposite edges of the cloud, the calculations imply some iterations. The gas entering the shock front is thermalized to high temperature, which depends on the shock velocity. Then, throughout the cloud, in each slab the temperature is calculated either by the enthalpy equation in the region close to the shock or by thermal equilibrium further on, where radiation processes prevail. The cooling and heating rates, which depend strongly on the gas density, determine the temperature in each slab. The geometrical thickness of the slabs is automatically calculated in order to obtain a smooth gradient of the temperature throughout the cloud. The density within each slab is calculated by the compression equation. Thus, in order to define the density distribution across the cloud, the first run starts at the shocked edge. The next iteration starts at the inner edge of the cloud reached by the ionizing radiation from the active center, ends at the shocked zone, and the physical conditions of the gas are calculated across the cloud. As in the first iteration, the third iteration starts at the shock front. After recalculating the physical condition across the cloud, the emission-line and continuum spectra are computed. Since the density is low, we assume that gas is optically thin to the emission-lines.

Depending on the geometrical thickness of the cloud, the diffuse radiation may bridge the radiation-dominated and the shock-dominanted sides. Thus, usually the cloud models are matter-bounded, unless the geometrical thickness is very large, allowing for a neutral hydrogen column density larger than $`10^{18}`$ cm-2 both in the shocked and photoionized zones.

The input parameters for a single-cloud model are the shock velocity, $`\mathrm{V}_\mathrm{s}`$, the preshock density, $`\mathrm{n}_0`$, the preshock magnetic field, $`\mathrm{B}_0`$, the ionizing radiation spectrum, the chemical abundances, the dust-to-gas ratio by number, d/g, and the geometrical thickness of the clouds, D. A power-law, characterized by the power index $`\alpha `$ and the flux, $`\mathrm{F}_\mathrm{h}`$, at the Lyman limit, reaching the cloud (in units of cm-2 s-1 eV-1) is generally adopted. For all the models, $`\mathrm{B}_0`$ = $`10^4`$ gauss, $`\alpha _{UV}`$ = 1.5, and $`\alpha _X`$ = 0.4, and cosmic abundances (Allen 1973) are adopted. Actually, the basic models are calculated with d/g = $`10^{15}`$.

The emission-line intensities, relative to H$`\beta `$, are presented in Tables 1 to 12. Each table corresponds to a different set of input parameters $`\mathrm{V}_\mathrm{s}`$, $`\mathrm{n}_0`$, and D. The results correspond to models with increasing ionizing flux, from the shock-dominated case (SD), which is calculated assuming $`\mathrm{F}_\mathrm{h}`$=0, up to highly radiation-dominated models (RD) for which log $`\mathrm{F}_\mathrm{h}`$ can reach up to 12.48. The UV and optical emission-lines, relative to H$`\beta `$, are listed in the top part of the tables, while the near-infrared (NIR) and IR emission-line ratios appear in the bottom. The absolute H$`\beta `$ value is also listed.

Two cases of cloud geometrical thickness are presented: (a) D=$`10^{17}`$ cm, which corresponds to matter-bounded models, and (b) D=$`10^{19}`$ cm, corresponding to radiation-bounded models. Notice, however, that for models with $`\mathrm{V}_\mathrm{s}`$=500 $`\mathrm{km}\mathrm{s}^1`$ and $`\mathrm{n}_0`$=300 $`\mathrm{cm}^3`$, the results for matter-bounded models are obtained with $`10^{18}`$ cm, because for D=$`10^{17}`$ cm the cloud is fully ionized with T$`>`$ 3. 106 K, reducing the intensity of most of the emission-lines to zero.

Also for models with $`\mathrm{V}_\mathrm{s}`$=200 $`\mathrm{km}\mathrm{s}^1`$and $`\mathrm{n}_0`$=200 $`\mathrm{cm}^3`$, the lowest D is $`10^{18}`$ cm, in order to find out the critical D in the low velocity-density models. In fact, Tables 1 to 4 refer to low preshock densities and velocities ($`\mathrm{n}_0`$ = 100 - 200 $`\mathrm{cm}^3`$, $`\mathrm{V}_\mathrm{s}`$= 100 - 200 $`\mathrm{km}\mathrm{s}^1`$). Tables 5 to 10 show the results obtained for different $`\mathrm{V}_\mathrm{s}`$ and a constant $`\mathrm{n}_0`$ = 300 $`\mathrm{cm}^3`$. Notice that, besides the adiabatic jump at the shockfront, the gas is compressed downstream depending on $`\mathrm{V}_\mathrm{s}`$, reaching the densities which are generally observed in the NLR of AGN.

The results for high velocity shock-dominated clouds appear in Tables 11 and 12. For these models, the line ratios are given for different distances from the shock front, in the region where the gas temperature is rapidly decreasing, as shown by the temperature of the corresponding slab, which is also listed in the tables. Notice, however, that the line intensities listed correspond to the result of the integration across the cloud, and not only to the slab contribution. Except for model 88 (Table 11), which represents the case of a high $`\mathrm{V}_\mathrm{s}`$ (1500 $`\mathrm{km}\mathrm{s}^1`$) and low $`\mathrm{n}_0`$ (300 $`\mathrm{cm}^3`$), all the other models correspond to high $`\mathrm{V}_\mathrm{s}`$ and high $`\mathrm{n}_0`$, since we are assuming that $`\mathrm{V}_\mathrm{s}`$ and $`\mathrm{n}_0`$ dependence with the distance from the center follows the observed general trend from the BLR (high velocity and density clouds closer to the center) to the NLR (lower velocity and density farther from the center).

In Table 13 the maximum value of the downstream densities and temperatures are given for each model, which is identified by the shock velocity (first column) and by the preshock density (second column).

In Table 14 some significative line ratios for SD models are presented. When the values for small ($`10^{17}10^{18}`$ cm) and large ($`10^{19}`$ cm) D are very similar only one value is given. In the opposite case, the first value refers to small D and the second to large D.

## 3 Comments

The results from SD and RD models are very different. Particularly, the H$`\beta `$ absolute value is very low in SD models compared to RD models. Recall that photoionization is generally an efficient mechanism for ionizing the gas, while shocks are more efficient heating the gas. Thus, the shocked zone is usually at a higher temperature and has a H+ emitting zone smaller than the photoionized region. Both conditions do not favor recombination lines, so, the H lines are less intense, and the luminosity of H$`\beta `$ coming from the shocked gas is lower.

The RD models are composite, because they contain also the contribution of the shocked gas. The calculated absolute line intensity corresponds to the value at the NLR. Any average spectrum must be obtained from weighted single-cloud models. The weights correspond to the single-cloud areas. In order to compare to the observed (at Earth) absolute flux, the dilution due to the distance must be taken into account.

### 3.1 SD models

UV lines

For $`\mathrm{V}_\mathrm{s}`$= 200 - 300 $`\mathrm{km}\mathrm{s}^1`$, OVI/H$`\beta `$ is maximum . The temperatures downstream are 6 $`10^5`$ \- 1.4 $`10^6`$ K, whereas the postshock densities ($`10^310^4`$ $`\mathrm{cm}^3`$) are low enough and the cloud has a large high temperature zone. For the emission-lines NV, SiIV, OIV, NIV\] and CIV, and SiIII, relative to H$`\beta `$, the maximum value occurs for $`\mathrm{V}_\mathrm{s}`$=200 $`\mathrm{km}\mathrm{s}^1`$. However, in the matter-bounded case (D=$`10^{17}`$ cm), the line ratios are also high for $`\mathrm{V}_\mathrm{s}`$=100 $`\mathrm{km}\mathrm{s}^1`$, since models where a large zone of emitting gas at T$`10^4`$ K is cut out from the cloud favor the high ionization lines as compared to H$`\beta `$.

The models with those velocities are radiation-bounded for D slightly larger than D=$`10^{18}`$ cm. In fact, the results shown in Tables 3 and 4 are very similar. The values of Ly$`\alpha `$/H$`\beta `$ are very sensitive to D and have a maximum at $`\mathrm{V}_\mathrm{s}`$=200 $`\mathrm{km}\mathrm{s}^1`$. On the other hand, HeII 1640/H$`\beta `$ is rather low in SD models and reaches a maximum value of 2.7 for $`\mathrm{V}_\mathrm{s}`$=300 $`\mathrm{km}\mathrm{s}^1`$.

Optical lines

The lowest value of the \[OIII\] 5007+4959/\[OII\] 3727 line ratio is shown by SD models (see Table 14), whereas the lines from the first ionized ions (\[NII\], \[SII\], FeII, SiII, \[SiII\], etc.) are generally strong. The \[OIII\]/\[OII\] line ratio becomes larger than unit for $`\mathrm{V}_\mathrm{s}`$$``$ 300 $`\mathrm{km}\mathrm{s}^1`$.

Values of \[OIII\]5007+4959/\[OIII\]4363 line ratio are very low ($`<`$ 20), which are characteristic of LINERs (see, e.g., Contini 1997). This line ratio decreases with increasing temperature and density of the emitting gas. Table 14 shows an opposite trend, i.e. an increasing line ratio with increasing $`\mathrm{V}_\mathrm{s}`$ and $`\mathrm{n}_0`$. This is due to the fact that, at higher $`\mathrm{V}_\mathrm{s}`$, higher ionization states of O, collisionally ionized, dominate the postshock zone, which is at higher temperature, whereas the $`\mathrm{O}^{+2}`$ ion is mainly present in the gas at lower temperature, where ionization by the diffuse radiation dominates.

Neutral lines such as \[OI\] and \[NI\] lines, are relatively strong. On the other hand, high-ionization lines, relative to H$`\beta `$, as \[FeVII, \[FeX\] and \[FeXI\] peak at $`\mathrm{V}_\mathrm{s}`$=300 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{V}_\mathrm{s}`$$`>`$ 500 $`\mathrm{km}\mathrm{s}^1`$, and $`\mathrm{V}_\mathrm{s}`$ = 1500 $`\mathrm{km}\mathrm{s}^1`$, respectively.

Another important issue, particularly raised in the case of NGC 4151 (Contini, Viegas, & Prieto, 2000), refers to the \[OIII\]5007+4959/\[OII\]3727 line ratio. It is argued whether this ratio increases faster with $`\mathrm{n}_0`$ (for a fixed $`\mathrm{V}_\mathrm{s}`$= 200 $`\mathrm{km}\mathrm{s}^1`$) or with $`\mathrm{V}_\mathrm{s}`$ (for a fixed $`\mathrm{n}_0`$ = 200 $`\mathrm{cm}^3`$). In the latter case the density increases downstream because compression increases with $`\mathrm{V}_\mathrm{s}`$. It can be seen in Fig. 1 that the slope is flatter for models calculated as function of the preshock density $`\mathrm{n}_0`$. This indicates that, in the range of the corresponding downstream densities, compression due to $`\mathrm{V}_\mathrm{s}`$ prevails over the effect of a higher $`\mathrm{n}_0`$ . As shown in Table 13, a model with a higher $`\mathrm{n}_0`$ (300 $`\mathrm{cm}^3`$) and a lower $`\mathrm{V}_\mathrm{s}`$ (100 $`\mathrm{km}\mathrm{s}^1`$) leads to a lower density downstream than a model with a higher $`\mathrm{n}_0`$ (200 $`\mathrm{cm}^3`$) and lower $`\mathrm{V}_\mathrm{s}`$ (200 $`\mathrm{km}\mathrm{s}^1`$). Therefore, lower \[OIII\]/\[OII\] corresponds to a lower $`\mathrm{n}_0`$ and/or to a lower $`\mathrm{V}_\mathrm{s}`$.

IR lines

Most of the coronal lines are in the NIR range. They become observable for $`\mathrm{V}_\mathrm{s}`$$``$200 $`\mathrm{km}\mathrm{s}^1`$ and their intensities increase with $`\mathrm{V}_\mathrm{s}`$ reaching a maximum at 1500 $`\mathrm{km}\mathrm{s}^1`$. On the other hand, lower ionization lines are strong at low $`\mathrm{V}_\mathrm{s}`$. Notice that high values for \[FeII\]26/H$`\beta `$, \[SiII\]34.8/H$`\beta `$, \[NeII\]12.8/H$`\beta `$, and \[OI\]63/H$`\beta `$ are obtained with $`\mathrm{V}_\mathrm{s}`$=100 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{n}_0`$=100 $`\mathrm{cm}^3`$, and D=$`10^{19}`$ cm (Table 2). These input parameters favor the formation of a large low-ionization zone in a shocked cloud. We have chosen the infrared \[SiIX\]/\[SiVII\] and \[NeIII\]/\[NeII\] line ratios as indicative of SD models (see Table 14).

High velocity models

High velocity shocks correspond to high temperatures in the postshock region. For 1000 $`\mathrm{km}\mathrm{s}^1`$ and 1500 $`\mathrm{km}\mathrm{s}^1`$, the temperature reaches 1.5 $`10^7`$ K and 3.5 $`10^7`$ K, respectively. If present in the NLR, such high velocity clouds may contribute to the observed X-ray emission-lines and soft X-ray continuum. By cutting the cloud at different distances from the shock front, different matter-bounded models can be obtained and very different spectra can be generated, because the fractional abundances of the ions of a given element peak at different temperatures.

However, the strong compression, due to high $`\mathrm{V}_\mathrm{s}`$, coupled to high $`\mathrm{n}_0`$, leads to a high cooling rate and a drastic change in the temperature. The jump of the physical conditions can reduce the volume of gas with temperatures between $`10^4`$ and $`10^6`$ K (Tables 11-12). Thus, most of the intermediate-ionization lines can be drastically reduced. Recall that the intensity of a line depends on the volume of gas with the ideal physical conditions to emit it.

### 3.2 RD composite models

Lines from different ionization stages peak for different values of $`\mathrm{F}_\mathrm{h}`$. However, in some cases, the line intensity ratios have no simple dependence on $`\mathrm{F}_\mathrm{h}`$ because the effect of the shock, modifying the stratification of the ions downstream (see, e.g., Contini & Viegas 1991), interacts with the effect of the primary and diffuse ionizing radiation.

High ionization lines (e.g., OVI and NV in the UV, coronal lines in the NIR, etc.) can be strong only for very high $`\mathrm{F}_\mathrm{h}`$ and $`\mathrm{V}_\mathrm{s}`$$``$ 200 $`\mathrm{km}\mathrm{s}^1`$ (e.g., Table 4, model 39, and Table 9, model 76).

In the optical range, \[FeVII\]/H$`\beta `$ peaks at the highest value of $`\mathrm{F}_\mathrm{h}`$ except for the models with $`\mathrm{V}_\mathrm{s}`$=100 $`\mathrm{km}\mathrm{s}^1`$ where the maximum is reached for log($`\mathrm{F}_\mathrm{h}`$) = 10.48 and 11.48 whether D is equal to $`10^{17}`$ cm or to $`10^{19}`$ cm, respectively. Notice that \[FeX\] and \[FeXI\] follow a similar trend. As expected, the infrared low ionization \[FeII\] 26 line decreases with $`\mathrm{F}_\mathrm{h}`$ for all $`\mathrm{V}_\mathrm{s}`$.

The most significant optical line ratios are given as function of log $`\mathrm{F}_\mathrm{h}`$ for different values of $`\mathrm{V}_\mathrm{s}`$ in Figs. 2, 3, and 4. The \[OIII\]/\[OII\] ratio is basically used for modeling, as an ionization indicator, because both lines are generally observed and strong. Notice the increasing trend of this line ratio with increasing $`\mathrm{F}_\mathrm{h}`$, for all models with $`\mathrm{V}_\mathrm{s}`$$`<`$ 300 $`\mathrm{km}\mathrm{s}^1`$. The same trend appears for models with $`\mathrm{V}_\mathrm{s}`$$`300`$ $`\mathrm{km}\mathrm{s}^1`$and high D. Comparing to the results plotted in Fig. 1, which refers to SD models, we see that the \[OIII\]/\[OII\] line ratio is much more sensitive to the intensity of the flux radiation from the AC than to the shock velocities.

The \[SII\] line ratio reveals the density of the emitting gas. Because of the low critical density of the \[S II\] lines, only models with $`\mathrm{n}_0`$=100 and 200 $`\mathrm{cm}^3`$ can have \[SII\]6717/6730 $``$ 1 (Fig. 3).

The \[OIII\]5007+4959/\[OIII\]4363 line ratio is a temperature indicator and is used to distinguish between shock dominated and radiation dominated models (Fig. 4).

When the effect of photoionization and shock are both taken into account, some results may not be so obvious. For example, the behaviour of the \[O III\] line ratio, which can be higher for higher $`\mathrm{n}_0`$ and $`\mathrm{V}_\mathrm{s}`$, as shown in Fig. 4, or the behavior of the \[Fe VII\] 6087 with D.

For sake of clarity and understanding, the distributions of the electron density and temperature across the cloud are shown in Figs. 5a, 6a, and 7a for three different models (top panel), as well as the ion fractional abundances of H+1, O+2, Fe+6, Fe+9, and Fe+10 (bottom panel). Some ionization rates are plotted in Figs. 5b, 6b, and 7b.

The shockfront is on the right and the cloud edge reached by the photoionizing flux on the left.

Figs. 5a and b refer to model 69 ($`\mathrm{V}_\mathrm{s}`$=300 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{n}_0`$=300 $`\mathrm{cm}^3`$, D=$`10^{19}`$ cm, and log $`\mathrm{F}_\mathrm{h}`$=12). These figures can help to understand the rather high \[OIII\] 5007+4959/4363 line ratios found in some models. It can be seen that the \[OIII\] lines are emitted from a region where a lukewarm gas is mainly ionized by primary and diffuse radiation, while higher ionization ions, like Fe+6, Fe+9, and Fe+10, appear at the high temperature postshock zone.

Fig. 5c refers to the SD model 63 ($`\mathrm{V}_\mathrm{s}`$=300 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{n}_0`$=300 $`\mathrm{cm}^3`$). The \[OIII\] lines are emitted in the region where the high postshock temperature is rapidly dropping to lower values. In this case 5007/4363 ratio is very low ($``$ 12) reflecting the shock effect on the gas temperature. Comparison to Fig. 5a, where the bulk of O+2 is at lower temperature, can explain the behavior of the 5007/4363 ratio in RD and SD models.

Figs. 6 and 7 correspond to models 28 (D=$`10^{18}`$ cm) and 37 (D=$`10^{19}`$ cm), respectively, both with $`\mathrm{V}_\mathrm{s}`$=200 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{n}_0`$=200 $`\mathrm{cm}^3`$, and log $`\mathrm{F}_\mathrm{h}`$=11.78, illustrating the differences for narrow and wide cloud models. Notice that for both models an extended zone of lurkewarm gas (T of the order of 104 K) appears in the internal region of the cloud. However, on closer inspection, comparing the temperature and O+2 distributions in Figs 6 and 7, we see that the \[OIII\] lines are emitted from a gas at a lower tamperature in a wide cloud than in a narrower cloud. Therefore, the \[OIII\] 5007/4636 line ratio is lower for small D models.

When the shock velocity is high enough, the high ionization lines come from both sides of the cloud, i.e., from the hot postshock zone and from the slabs closer to the photoionized edge. Because the high ionization zones are closer to the edges, their volumes are less affected than the volume of the low ionization zone by a decrease of the cloud geometrical thickness. We can say that the emitting volume of the low ionization lines decreases faster with the geometrical thickness of the cloud than that of the high ionization lines. On the other hand, H$`\beta `$ is produced across the whole cloud, thus the high-ionization line intensity, relative to H$`\beta `$ increases while the H$`\beta `$ absolute flux decreases. As an example, we can compare the results of \[Fe VII\] 6087 given by models 28 and 37, which differ only by the value of D, respectively, 1018 cm and 1019 cm. The \[Fe VII\]/H$`\beta `$ ratio decreases from model 28 to 37, while H$`\beta `$ absolute flux increases. The net effect is a decrease of the absolute flux of \[Fe VII\] from model 28 to 37.

Figs. 6b and 7b show that in the immediate postshock region collisional ionization prevails because of its exponential dependency on the temperature. After the rapid decrease of the temperature downstream, the primary ionization rate dominates throughout the cloud. The fractional abundance of Fe+6 is never negligible throughout the whole cloud for small D (Fig. 6a), whereas it can be low in the internal zone of a wide cloud (model 37, D=1019 cm), depending on the primary radiation rate. The temperatures reached in the radiation dominated side (left) of the cloud are lower in the wide cloud model ($``$ 1.82 $`10^4`$ K) than in the narrower one ($``$ 2.23 $`10^4`$ K). Both values are in a range which is crucial with respect to rapid variations in the interplay between ionization and recombination coefficients.

## 4 Suggestions

Let us conclude by describing the method we have used in the last few years in order to successfully modeling the NLR spectra of Seyfert galaxies.

First, we chose the $`\mathrm{V}_\mathrm{s}`$ corresponding to the FWHM of the observed line profiles. On this basis, we chose the model fitting the most important lines, which are usually those with the lowest observed uncertainty. Then, we add other models with different weights to improve the fitting of all the other observed emission-lines. Following this procedure, we obtain a picture of the physical conditions in the NLR of the galaxy. Notice, however, that each galaxy is a special case. So, this grid must be used only as a first approach to explain the observed spectrum.

In order to have a full description of the NLR, the models fitting the emission-line spectrum must also explain the observed continuum spectrum. This may force the inclusion of new components (clouds under different physical conditions), which must be tested against the observed emission-line spectrum. The process may be repeated until both the emission-line and continuum spectra are fitted. Once the fit is achieved, all the information about the clouds present in the NLR is available, including the relative importance of their contribution to the emission in each spectral range.

Acknowledgements: We are grateful to the referee for enlightening comments. This paper is partially supported by CNPq (304077/77-1), PRONEX/Finep (41.96.0908.00), and FAPESP (97/13861-4).

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Figure Caption

Fig. 1 :

Emission line ratios as a function of $`\mathrm{V}_\mathrm{s}`$ (dashed lines, labelled by $`\mathrm{n}_0`$) and $`\mathrm{n}_0`$ (solid lines, labelled by $`\mathrm{V}_\mathrm{s}`$). Thin lines correspond to \[OIII\]5007+4959/\[OII\]3727 and thick lines to \[OII\]3727/H$`\beta `$.

Fig. 2 :

The \[OIII\]5007+4959/\[OII\]3727 emission-line ratio versus log $`\mathrm{F}_\mathrm{h}`$, for models with: $`\mathrm{V}_\mathrm{s}`$=100 $`\mathrm{km}\mathrm{s}^1`$and $`\mathrm{n}_0`$=100 $`\mathrm{cm}^3`$ (solid lines), $`\mathrm{V}_\mathrm{s}`$=100 $`\mathrm{km}\mathrm{s}^1`$and $`\mathrm{n}_0`$=300 $`\mathrm{cm}^3`$ (dot-dashed lines), $`\mathrm{V}_\mathrm{s}`$=200 $`\mathrm{km}\mathrm{s}^1`$(dotted lines), $`\mathrm{V}_\mathrm{s}`$=300 $`\mathrm{km}\mathrm{s}^1`$(short-dashed lines), and $`\mathrm{V}_\mathrm{s}`$=500 $`\mathrm{km}\mathrm{s}^1`$(long-dashed lines). Thin lines refer to results for D=$`10^{17}`$-$`10^{18}`$ cm, whereas thick lines, to D=$`10^{19}`$ cm.

Fig. 3 :

The \[SII\]6717/\[SII\]6730 emission-line ratio versus log $`\mathrm{F}_\mathrm{h}`$. Same notation as in Fig. 2.

Fig. 4 :

The \[OIII\]5007+4959/\[OIII\]4363 emission-line ratio versus log $`\mathrm{F}_\mathrm{h}`$. Same notation as in Fig. 2.

Fig. 5

Results from Model 69 ($`\mathrm{V}_\mathrm{s}`$= 300 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{n}_0`$=300 cm-3, D=$`10^{19}`$ cm, log $`\mathrm{F}_\mathrm{h}`$=12). The shocked edge is on the right and the ionized edge on the left. (a) : the distribution across the cloud of the temperature (dashed line) and density (solid line) in the top panel, and of the fractional abundances of the H+1 (solid), O+2 (dot-dashed), Fe+6 (dotted), Fe+9 (short dashed), and Fe+10 (long-dashed) ions (bottom panel).

(b) : the distribution across the cloud of the collisional (dotted), diffuse from the shockfront (long-dashed), diffuse from the edge reached by the photoionizing radiation from the center (dash-dotted), and primary (short-dashed) ionization rates for the O+2 ion.

(c) : same as for (a) in the shock dominated case.

Fig. 6

Results from Model 28 ($`\mathrm{V}_\mathrm{s}`$=200 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{n}_0`$=200 cm-3, D=$`10^{18}`$ cm, log $`\mathrm{F}_\mathrm{h}`$=11.78). (a) Same notation as in Figs. 5a; (b) same notation as in Fig. 5b, but for Fe+6 ionization rates.

Fig. 7

Results from Model 37($`\mathrm{V}_\mathrm{s}`$= 200 $`\mathrm{km}\mathrm{s}^1`$, $`\mathrm{n}_0`$=200 cm-3, D=$`10^{19}`$ cm, log $`\mathrm{F}_\mathrm{h}`$=11.78). Same notation as in Figs. 6.


text:
# MiniBooNE: Status of the Booster Neutrino Experiment

## 1 INTRODUCTION

There are now three reported indications for neutrino oscillations. The most compelling evidence comes from experiments studying neutrinos produced by cosmic rays in the earth’s atmosphere, which find that muon neutrinos $`(\nu _\mu )`$ entering the detector from below (which had to travel through the earth) are depleted when compared with those incident from above (which traveled a shorter distance) . There is also evidence from solar neutrino experiments, which observe fewer electron neutrinos $`(\nu _e)`$ than would be consistent with the sun’s energy output . Finally, there is evidence from a lone accelerator experiment, LSND at Los Alamos, which observed an excess of $`\overline{\nu }_e`$ events from a predominantly $`\overline{\nu }_\mu `$ beam .

The full picture of neutrino oscillations remains incomplete. The three reported indications differ according to amplitude, frequency, and what neutrino flavors participate, and cannot be explained by oscillations involving only the three known neutrino flavors. Perhaps further study will reveal a fourth neutrino.

MiniBooNE is in a unique position to help address this possibility, because MiniBooNE is alone among upcoming experiments with sensitivity to the LSND mode of oscillations. MiniBooNE is designed to confirm or refute LSND unequivocally, and thereby either keep alive or kill evidence for a fourth neutrino. The MiniBooNE Collaboration is now building a new beam and detector at Fermilab, and we plan to start collecting data in December 2001.

## 2 EXPERIMENTAL OVERVIEW

At MiniBooNE we will search for the oscillation of muon neutrinos into electron neutrinos $`(\nu _\mu \nu _e)`$. We will produce a $`\nu _\mu `$ beam in the energy range 0.5 – 1.0 GeV with a small intrinsic $`\nu _e`$ component (less than 0.3%) and search for an excess of electron neutrino events in a detector located approximately 500 m from the neutrino source. The baseline to neutrino energy ratio will thereby be similar to that of LSND, $`L/E1`$, giving MiniBooNE sensitivity to the same mode of oscillations. However, neutrino energies will be more than an order of magnitude higher than at LSND, so that the search at MiniBooNE will be in a different environment and will employ different experimental signatures.

The MiniBooNE neutrino beam will be initiated by a primary beam of 8 GeV protons from the Fermilab Booster. The Booster is a reliable, high intensity machine, expected to run at least $`2\times 10^7`$ s per year, while delivering $`5\times 10^{12}`$ protons per 1.6 $`\mu `$s pulse at a rate of 5 Hz to MiniBooNE. One year for the experiment is expected to correspond to $`5\times 10^{20}`$ protons on target. The Booster has the capacity to provide protons for several Fermilab efforts, and when MiniBooNE starts, the Booster will supply beam to both the Tevatron collider and to MiniBooNE. Later, we anticipate that the Tevatron, NuMI, and MiniBooNE programs can be accommodated simultaneously.

A secondary beam will be produced when the 8 GeV protons strike a beryllium target positioned inside a magnetic horn. Positively charged particles (mostly pions) from the target will be focused forward by the single horn into a 50 m decay channel. Decays of these secondaries will constitute the neutrino beam. Decay lengths of 50 and 25 m will be possible through the use of two steel and concrete beam absorbers. One absorber will be permanently positioned at the end of the decay channel. The intermediate absorber is designed either to be lowered into the decay channel or to be raised out of the way. This ability to vary the decay length will provide a check of experimental systematics associated with $`\nu _e`$ contamination.

The MiniBooNE neutrino detector will consist of 800 tons of pure mineral oil contained in a 40-foot (12.2 m) diameter spherical tank. A structure in the tank will support phototubes, which will detect neutrino interactions in the oil by the Cherenkov and scintillation light that they produce. (The undoped mineral oil will scintillate modestly from the presence of intrinsic impurities.) The phototube support structure will also optically isolate the most outer 35 cm of oil from the rest, turning the outer oil into a veto region that should stay quiet while a neutrino produces light only in the inner, main region. The main region will be viewed by 1280 8-inch phototubes, providing 10% photocathode coverage of the 445 ton fiducial volume. The veto region will contain 240 8-inch phototubes mounted in pairs on the tank wall. In order to limit reflections, main volume surfaces will be black in color. Surfaces in the veto region, including the tank wall, will be white, in order to maximize light collection. A schematic of the detector is shown in Fig. 1.

The center of the detector will be positioned about 490 m from the end of the decay channel, and about 6 m below ground, corresponding to the level of the neutrino beam. The tank will be housed in a cylindrical concrete vault. A room above the vault will contain the experiment’s electronics. Approximately 3 m of soil will be placed on top of the enclosure with access through a corridor, as shown in Fig. 2.

## 3 STATUS

A few of MiniBooNE’s features have changed from those described in the proposal . Most notable is the switch from two-horn secondary beam focusing to a single horn design.

Much work is ongoing to allow MiniBooNE to start running in December 2001. The status on several fronts as of August 2000 is reported here.

### 3.1 Civil construction

Construction of the detector enclosure is nearing completion. Pieces of the steel tank arrived at Fermilab in early April and were assembled inside the detector vault. In June, the completed tank was successfully hydrotested, that is, it was filled with water, subjected to a slight overpressure, and found not to leak. Since then, the electronics room has been completed and the earth berm up to the roof of the enclosure has been constructed. The tank is being painted and the enclosure is being outfitted with utilities. We experimenters expect to take occupancy of the space in October.

Construction of the 8 GeV beam, the target hall, and the decay channel began in July. Concrete at the foundation of the target hall is in place. The target hall walls are to go up next, and an opening in one wall will lead to the decay channel. The decay channel will be enclosed in a waterproof liner, to prevent migration of radioactivity from the soil near the channel. The liner material remains pliable down to a few degrees Celsius, so it cannot be installed during the cold of winter. Therefore, an important item on the beam construction project schedule is liner installation by late October, which appears feasible.

### 3.2 Detector components

MiniBooNE will reuse the phototubes from LSND together with 330 new tubes acquired from Hamamatsu. LSND’s 1220 phototubes are now at Fermilab, and shipments of the new tubes have been arriving over the summer. Both new and old tubes are being tested to characterize charge and time resolutions and to determine operating voltages. Results for the LSND tubes correspond nicely with old measurements, indicating that these old tubes remain stable after their journey from New Mexico to Illinois. Tests also verify the better performance of the new tubes, which have a greater number of dynode stages and narrower time resolution.

A prototype of the phototube support structure has been assembled and final components are being fabricated. The bulk of this aluminum structure is being painted, black on one side (to face the main volume) and white on the other (to face the veto). Aircraft paints have been chosen. The white offers high albedo over most of the visible spectrum, whereas the black is quite non-reflective, even at large angles of incidence. These paints offer good adhesion to aluminum and our tests indicate that they will not contaminate the mineral oil. Some smaller aluminum pieces used to mount phototubes in the main region will be sandblasted and black anodized, a process that also meets our low-albedo and low-contamination requirements.

Preparation of the cables that will connect the phototubes to pre-amplifier cards outside the tank has started. Each phototube will be attached to one cable that will both supply the high voltage and carry out the signal. Cables will be routed along the wall of the tank, and they will penetrate individually into the main volume as needed. Because these cables will run through the veto region, they will be jacketed in white, and teflon jacket material has been chosen because it is non-contaminating (our tests indicate that standard PVC cable jackets contaminate mineral oil). Each phototube will have a short “pigtail” of black cable to which the white cable will be spliced. Thus black cable will be in the main volume and white cable will be in the veto region.

Work is ongoing on other parts of the data acquisition system. Along with the phototubes, the charge and time readout electronics from LSND, the so-called QT cards and crates, will be reused. New high voltage power supplies are being acquired, and new event building hardware and software are being developed. Progress is also being made on calibration systems. A laser calibration system will provide short pulses of light from a tunable dye laser to four light-diffusing flasks at various locations in the detector. This system is similar to one used successfully in LSND to determine phototube time offsets and time slewing corrections. In addition, a cosmic ray calibration system is being built. This system will consist of a muon tracker (scintillator hodoscope) above the detector with scintillator cubes (5 cm on a side) located under the tracker inside the detector. The system will provide the entering position and direction of cosmic ray muons that stop in the detector, including the fraction that stop in a cube. These events will be used to calibrate the position, energy, and direction determination of the reconstruction algorithm.

A scaffold will be constructed inside the tank for installation of the phototubes and the other detector internals. Phototube installation is expected to take four to five months and should begin in January 2001. Filling the tank with mineral oil is planned for fall 2001.

### 3.3 Beam components

An array of components — magnets, power supplies, vacuum systems, water cooling systems, beam monitors, collimators, etc. — is being prepared to transport the 8 GeV protons from the Booster to the target hall and form the neutrino beam. The most challenging element to construct is the magnetic horn that will focus the secondary beam.

The MiniBooNE horn is designed to operate with 170 kA pulses at a rate of 5 Hz, with the goal that it withstand 200 Mpulses (two years of operation). This is a higher repetition rate and more pulses than any previous horn. The horn is designed to tolerate the stresses that each pulse will bring as the current heats the conductors and generates magnetic forces. The heat will be managed with water cooling, and the horn body is designed to contain the radioactive water that will circulate inside. Numerous stress calculations have been performed, with concern over such issues as metal fatigue, structural resonances, and water erosion. In the end, however, tests on a prototype will settle the design.

Several horn and target pre-prototype tests have been completed. For example, cooling tests for the 65 cm air-cooled beryllium target were completed, and target construction is on track. Various elements of the horn and its power supply have been tested, such as the water cooling system, the welding procedures, and the possibility of excessive corona currents in the design of high potential difference areas. Parts for a prototype horn are being procured, and a proto-horn will be assembled over the winter, with tests scheduled for spring 2001. The plan is to test the proto-horn for at least 10 Mpulses, which will mark an important milestone in the beamline construction. Ultimately, we plan to have an installed horn and a spare, in addition to the proto-horn.

The target and horn will be contained under a pile of steel and concrete shielding in the target hall. “Hot horn handling” procedures are being planned to limit exposures to radioactivity should horn replacement be necessary. These involve putting the radioactive target and horn assembly into a “coffin” for safe removal from the target hall.

## 4 OUTLINE OF FUTURE ANALYSIS

We will reconstruct quasielastic $`\nu _e`$ interactions by identifying electrons via their characteristic Cherenkov and scintillation light signatures. Besides the $`\nu _ee^{}`$ signal, several backgrounds will contribute. The analysis will come down to accounting for the backgrounds and determining whether or not there is an excess. The background sources will be due to $`\nu _e`$ contamination in the beam and to the misidentification as electrons of muons and $`\pi ^0`$’s produced in the detector. Because the neutrinos are at higher energies than at LSND, neutrons will not play a role in the signal and will not contribute background.

The detector will record the time of the initial hit and total charge for each phototube. From this information, the track position and direction will be determined. Muon tracks will be distinguished from electron tracks by their Cherenkov rings and scintillation light. Electrons will tend to produce “fuzzy” rings due to multiple scattering and bremsstrahlung, while muon rings will tend to have sharp outer boundaries. Electrons also tend to have a high fraction of prompt (Cherenkov) light compared to late (scintillation) light, whereas muons produce relatively more late light.

MiniBooNE’s secondary beam will be dominated by pions $`(\pi ^+)`$ with energies around 2 GeV. Pions decay to a $`\nu _\mu `$ and a muon 99.988% of the time. Most of the muons $`(\mu ^+)`$, because of their relatively long lifetime, will travel to the end of the decay channel and stop in the absorber or the dirt. Any muon that decays, however, will yield a $`\nu _e`$. So, pions are an almost pure source of $`\nu _\mu `$’s, but the muons that are produced along with them contribute some $`\nu _e`$ contamination. This situation is not as bad as it might seem, because both the muon and the $`\nu _\mu `$ emerge from the same two-body pion decay, which allows the measurement of one of the decay particles to constrain the other. In one year of running, the MiniBooNE detector will measure about 0.5 million $`\nu _\mu `$ events. These $`\nu _\mu `$ events will act as excellent monitors of the pions that produced them, because the two-body kinematics, relatively low beam energy, and the small angle subtended by the detector conspire to produce a very tight correlation between $`\pi ^+`$ and $`\nu _\mu `$ energies. Thus, the pion secondary beam will be well constrained, and then so too will be the $`\pi ^+\mu ^+\nu _e`$ chain. In this way, we expect to reduce the uncertainty in the muon component of the $`\nu _e`$ background to less than 5%.

While pions will comprise most of the secondary beam, some kaons will also be produced at the target. Charged kaons decay via $`K^+\pi ^0e^+\nu _e`$ 4.8% of the time, and neutral kaons decay via $`K_L\pi ^\pm e^{}\nu _e`$ 38.8% of the time. With many fewer kaons than pions produced, the overall kaon contribution to $`\nu _e`$ contamination is expected to be about one third of that due to the muons. Because the $`K^+`$’s are focused by the horn and the $`K_L`$’s are not, the $`K^+`$ $`\nu _e`$ component will be about twice that of the $`K_L`$. We plan to use Monte Carlo simulation constrained by production data to limit the systematic uncertainty in the kaon component of the $`\nu _e`$ background to about 10%. We continue to explore ways to directly measure the kaon content of our secondary beam.

The number of muons that will be misidentified as electrons by the reconstruction algorithm can be estimated using the data. Ninety two percent of the muons contained in the detector will decay, and they will be relatively easily identified by the presence of a second track (the decay electron). However, the 8% of muons that get captured have a greater chance to be misidentified. The misidentification of muon captures will be estimated by studying the large sample of muons that decay and determining the particle identification algorithm performance while ignoring the decay track. Using this technique, which does not rely on Monte Carlo simulation, the muon misidentification uncertainty is expected to be below 5%.

Most neutral pions will be identified by their two electromagnetic decay tracks. A small fraction (1%) of asymmetric $`\pi ^0`$ decays will not yield two resolvable tracks and will therefore be more likely to be misidentified. The misidentification contribution of these decays will be studied with Monte Carlo simulation, which will be constrained by the large sample of measured $`\pi ^0`$’s in the experiment. The pion misidentification uncertainty is expected to be 5%.

## 5 PROSPECTS

If oscillations occur as indicated by LSND, MiniBooNE will observe an excess of several hundred electron events in one year of running. The significance of this excess would be on the order of 8 to 10 $`\sigma `$ above background expectations.

In addition to a count of excess events, we will be able to measure their energy distribution, and thereby enhance the experimental sensitivity. The expected energy spectra for excess events in two oscillation scenarios are shown in Fig. 3. Backgrounds are expected to have different energy distributions from the oscillation events, so an underestimate of the background will not necessarily be interpreted as a fictitious oscillation signal.

Fig. 4 shows MiniBooNE’s expected exclusion contours.


text:
# The Multiplicative Inverse Eigenvalue Problem over an Algebraically Closed Field

## 1 Introduction

Inverse eigenvalue problems involving partially specified matrices have drawn the attention of many researchers. The problems are of significance both from a theoretical point of view and from an applications point of view. For background material we refer to the monograph by Gohberg, Kaashoek and van Schagen , the recent one by Xu  and the survey article by Chu .

The multiplicative eigenvalue problem asks for conditions which guarantee that the spectrum of a certain matrix $`M`$ can be made arbitrarily through pre-multiplication by a matrix from a certain set. To be precise let $`𝔽`$ be an arbitrary field. Let $`Mat_{n\times n}`$ be the space of all $`n\times n`$ matrices defined over the field $`𝔽`$. We will identify $`Mat_{n\times n}`$ with the vector space $`𝔽^{n^2}`$. Let $`𝒵Mat_{n\times n}`$ be an arbitrary subset and let $`MMat_{n\times n}`$ be a fixed matrix. Then the (right) multiplicative inverse eigenvalue problem in its general form asks:

###### Problem 1.1.

Given a monic polynomial $`p(\lambda )`$ of degree $`n`$. Is there a $`n\times n`$ matrix $`Z𝒵`$ such that $`MZ`$ has characteristic polynomial

$$det(\lambda IMZ)=p(\lambda ).$$

The formulation of the left multiplicative inverse eigenvalue problem is analogous, seeking a matrix $`Z𝒵`$ such that $`ZM`$ has characteristic polynomial $`p(\lambda )`$. The left and the right multiplicative inverse eigenvalue problem are equivalent to each other because of the identity:

$$det(\lambda IZA)=det(\lambda IA^tZ^t).$$

In its general form Problem 1.1 is an ‘open end problem’ and until this point only very particular situations are well understood. E.g. we would like to mention the well known result by Friedland  who considered the set $`𝒵=𝒟`$ of diagonal matrices. Friedland did show in this case by topological methods that Problem 1.1 has an affirmative answer if the base field $`𝔽`$ consists of the complex numbers $``$. This diagonal perturbation result was later generalized by Dias da Silva  to situations where the base field can be any algebraically closed field.

The result which we are going to derive in this paper can be viewed as a large generalization of Friedland’s result. Specifically we will deal with the situation where $`𝒵Mat_{n\times n}`$ represents an arbitrary affine variety over an arbitrary algebraically closed field $`𝔽`$. Under these assumptions we will derive necessary and sufficient conditions (Theorem 3.1) which will guarantee that Problem 1.1 has a positive answer for a ‘generic set’ of matrices $`M`$ and a ‘generic set’ of monic polynomials $`p(\lambda )`$ of degree $`n`$.

The techniques which we use in this paper have been developed by the authors in the context of the additive inverse eigenvalue problem  and in the context of the pole placement problem .

The major tool from algebraic geometry which we will use is the ‘Dominant Morphism Theorem’ (see Theorem 2.1). This powerful theorem necessitates that the base field is algebraically closed. The situation over a non-algebraically closed field seems to be much more complicated. Some new techniques applicable over the real numbers have been recently reported by Drew, Johnson, Olesky and van den Driessche .

## 2 Preliminaries

For the convenience of the reader we provide a summary of results which will be needed to establish the new results of this paper.

Denote by $`\sigma _i(M)`$ the $`i`$-th elementary symmetric function in the eigenvalues of $`M`$, i.e. $`\sigma _i(M)`$ denotes up to sign the $`i`$-th coefficient of the characteristic polynomial of $`M`$. Crucial for our purposes will be the eigenvalue assignment map

$$\psi :𝒵𝔽^n,Z(\sigma _1(MZ),\mathrm{},(1)^n\sigma _n(MZ)).$$
(2.1)
$`\psi `$ is a morphism in the sense of algebraic geometry. By identifying a monic polynomial $`\lambda ^n+b_1\lambda ^{n1}+\mathrm{}+b_n`$ with the point $`(b_1,\mathrm{}b_n)𝔽^n`$ we can also write

$$\psi (Z)=det(\lambda IMZ).$$
(2.2)
Crucial for the proof of the main result (Theorem 3.1) will be the Dominant Morphism Theorem. The following version can be immediately deduced from \[1, Chapter AG, §17, Theorem 17.3\].

###### Proposition 2.1.

Let $`f:𝒵𝒴`$ be a morphism of affine varieties over an algebraically closed field. Then the image of $`f`$ contains a nonempty Zariski open set of $`𝒴`$ if and only if the Jacobian $`df__Z:T_{_{Z,𝒵}}T_{_{f(Z),𝒴}}`$ is onto at some smooth point $`Z`$ of $`𝒵`$, where $`T_{_{X,𝒳}}`$ is the tangent space of $`𝒳`$ at the point $`X`$.

There are classical formulas, sometimes referred to as Newton formulas, which express the elementary symmetric functions $`\sigma _i(M)`$ uniquely as a polynomial in the power sum symmetric functions

$$p_i:=\lambda _1^i+\mathrm{}+\lambda _n^i=\mathrm{tr}(M)^i.$$

To be precise one has the formula (see e.g. )

$$\sigma _i(M)=\frac{1}{n!}\left(\begin{array}{ccccc}p_1& 1& 0& \mathrm{}& 0\\ p_2& p_1& 2& & \mathrm{}\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ \mathrm{}& & \mathrm{}& p_1& n1\\ p_n& \mathrm{}& \mathrm{}& p_2& p_1\end{array}\right),$$

which induces an isomorphism $`𝔽^n𝔽^n,(p_1,\mathrm{},p_n)(\sigma _1,\mathrm{},\sigma _n)`$. Based on this we equally well can study the map

$$\varphi :𝒵𝔽^n,M(\mathrm{tr}(MZ),\mathrm{},\mathrm{tr}((MZ)^n)).$$
(2.3)
We will use the following result from :

###### Proposition 2.2.

Let $`Mat_{n\times n}`$ be a linear sub-space of dimension $`n`$, $`sl_n`$ (i.e. $``$ contains an element with nonzero trace). Define

$$\pi (M)=(m_{11},m_{22},\mathrm{},m_{nn})$$

the projection onto the diagonal entries. Then there exists a $`SGl_n`$ such that

$$\pi (SS^1)=𝔽^n.$$

It is possible to ‘compactify’ the problem. For this consider the identity

$$det(\lambda IMZ)=det\left[\begin{array}{cc}I& Z\\ M& \lambda I\end{array}\right].$$
(2.4)
Denote by $`\mathrm{Grass}(k,n)`$ the Grassmann manifold consisting of all $`k`$-dimensional linear subspaces of $`𝔽^n`$. Algebraically $`\mathrm{Grass}(k,n)`$ has the structure of a smooth projective variety. In the sequel we will identify $`\mathrm{rowsp}[IZ]`$ with a point in the Grassmannian $`\mathrm{Grass}(n,2n)`$. By identifying $`\mathrm{rowsp}[IZ]`$ with $`ZMat_{n\times n}`$, we can say that $`𝒵\mathrm{Grass}(n,2n)`$. Let $`\overline{𝒵}`$ be the projective closure of $`𝒵`$ in $`\mathrm{Grass}(n,2n)`$. Every element in $`\overline{𝒵}`$ can be simply represented by a subspace of the form $`\mathrm{rowsp}[Z_1Z_2]`$, where the $`n\times n`$ matrix $`Z_1`$ is not necessarily invertible. $`\mathrm{rowsp}[Z_1Z_2]`$ describes an element of $`𝒵`$ if and only if $`Z_1`$ is invertible. For any element $`\mathrm{rowsp}[Z_1Z_2]\overline{𝒵}`$, define $`\overline{\psi }:\overline{𝒵}^n`$

$$\overline{\psi }([Z_1Z_2])=det\left[\begin{array}{cc}Z_1& Z_2\\ M& \lambda I\end{array}\right].$$
(2.5)
where a polynomial $`b_0\lambda ^n+b_1\lambda ^{n1}+\mathrm{}+b_n`$ is identified with the point $`(b_0,b_1,\mathrm{},b_n)^n`$. Recall that the Plücker coordinates of $`\mathrm{rowsp}[Z_1Z_2]\mathrm{Grass}(n,2n)`$ are given by the full size minors $`[Z_1Z_2]`$, and by considering the Plücker coordinates as the homogeneous coordinates of points in $`^N`$, $`N=\left(\genfrac{}{}{0pt}{}{2n}{n}\right)1`$, one has an embedding $`\mathrm{Grass}(n,2n)^N`$ which is called Plücker embedding. Under the Plücker coordinates, (2.5) becomes

$$\overline{\psi }([Z_1Z_2])=det\left[\begin{array}{cc}Z_1& Z_2\\ M& \lambda I\end{array}\right]=\underset{i=0}{\overset{N}{}}z_im_i(\lambda )$$
(2.6)
where $`\{z_i\}`$ are $`n\times n`$ minors of $`[Z_1Z_2]`$ and $`m_i(\lambda )`$ is the cofactor of the $`z_i`$ in the determinate of $`(`$2.5$`)`$. $`\overline{\psi }`$ is undefined on the elements where

$$det\left[\begin{array}{cc}Z_1& Z_2\\ M& \lambda I\end{array}\right]=0.$$

So $`\overline{\psi }`$ is a rational map.

## 3 New Results

The next theorem constitutes the main result of this paper. As stated in the introduction we will identify the set $`Mat_{n\times n}`$ with the vector space $`𝔽^{n^2}`$ and we will identify the set of monic polynomials of degree $`n`$

$$\lambda ^n+b_1\lambda ^{n1}+\mathrm{}+b_n$$

with the vector space $`𝔽^n`$. If $`V`$ is an arbitrary $`𝔽`$-vector space one says that $`UV`$ forms a generic set if $`U`$ contains a non-empty Zariski open subset. Over the complex or real numbers a generic set is necessarily dense with respect to the natural topology. The Dominant Morphism Theorem 2.1 states that the image of an algebraic morphism forms a generic set as soon as the linearization around a smooth point is surjective and if the field is algebraically closed.

If Problem 1.1 has a positive answer for a generic set of matrices inside $`Mat_{n\times n}`$ and a generic set of monic polynomials then we will say that Problem 1.1 is generically solvable. With this preliminary we have the main result of this paper:

###### Theorem 3.1.

Let $`𝒵Mat_{n\times n}`$ be an affine variety over an algebraically closed field $`𝔽`$. Then Problem 1.1 is generically solvable if and only if $`dim𝒵n`$ and $`det(Z)`$ is not a constant function on $`𝒵`$.

###### Proof.

The conditions are obviously necessary. So we only need to prove the sufficiency. Assume that $`dim𝒵n`$ and $`det(Z)`$ is not a constant on $`𝒵`$. Then there exists a curve $`Z(t)𝒵`$ such that

$$\frac{d}{dt}detZ(t)|_{t=0}0,$$

$`Z(0)=Z_0`$ is a smooth point of $`𝒵`$, and $`detZ_00`$.

Let $`Z(t)=Z_0+tL+O(t^2)`$ where $`LT_{_{Z_0,𝒵}}`$. Then

$$detZ(t)=detZ_0det(I+tZ_0^1L+O(t^2))=detZ_0(1+t\mathrm{tr}Z_0^1L+O(t^2))$$

and

$$\frac{d}{dt}detZ(t)|_{t=0}=detZ_0\mathrm{tr}Z_0^1L0,$$

i.e.

$$Z_0^1T_{_{Z_0,𝒵}}sl_n.$$

By Proposition 2.2, there exists a $`SGl_n`$ such that

$$\pi (SZ_0^1T_{_{Z_0,𝒵}}S^1)=𝔽^n.$$

Let

$$D:=\left[\begin{array}{cccc}1& & & \\ & 2& & \\ & & \mathrm{}& \\ & & & n\end{array}\right]$$
(3.1)
and

$$M:=S^1DSZ_0^1.$$

Then for any curve through $`Z_0`$

$$Z(t)=Z_0+tL+O(t^2)𝒵,LT_{_{Z_0,𝒵}},$$

we have

$`\underset{t0}{lim}{\displaystyle \frac{\mathrm{tr}(MZ(t))^i\mathrm{tr}(MZ_0)^i}{t}}`$ $`=`$ $`\underset{t0}{lim}{\displaystyle \frac{\mathrm{tr}(MZ_0+tML+O(t^2))^i\mathrm{tr}(MZ_0)^i}{t}}`$
$`=`$ $`i\mathrm{tr}((MZ_0)^{i1}ML)`$
$`=`$ $`i\mathrm{tr}(D^iSZ_0^1LS^1).`$
Let

$$V=D\left[\begin{array}{cccc}1& 1& \mathrm{}& 1\\ 1& 2& \mathrm{}& 2^{n1}\\ \mathrm{}& \mathrm{}& & \mathrm{}\\ 1& n& \mathrm{}& n^{n1}\end{array}\right]D.$$
(3.2)
Then $`V`$ is invertible and the Jacobian $`d\varphi _{_{Z_0}}:T_{_{Z_0,𝒵}}𝔽^n`$

$`d\varphi _{_{Z_0}}(L)`$ $`=`$ $`(\mathrm{tr}(DSZ_0^1LS^1),2\mathrm{t}\mathrm{r}(D^2SZ_0^1LS^1),\mathrm{},n\mathrm{tr}(D^nSZ_0^1LS^1))`$
$`=`$ $`\pi (SZ_0^1LS^1)V`$
is onto. By the Dominant Morphism Theorem 2.1, $`\varphi (𝒵)`$ contains a nonempty Zariski open set of $`𝔽^n`$, so does $`\psi (𝒵)`$.

Since the set of $`M`$’s such that $`\psi `$ is almost onto is a Zariski open set, and we just showed that it is nonempty, $`\psi `$ is almost onto for a generic set of matrices $`M`$. ∎

Next we consider the number of solutions of Problem 1.1 when $`dim𝒵=n`$. For this we introduce an important technical concept.

###### Definition 3.2.

A matrix $`M`$ is called $`𝒵`$-nondegenerate for the right multiplicative inverse eigenvalue problem if

$$det\left[\begin{array}{cc}Z_1& Z_2\\ M& \lambda I\end{array}\right]0$$
(3.3)
for any $`\mathrm{rowsp}[Z_1,Z_2]\overline{𝒵}\mathrm{Grass}(n,2n)`$.

So if $`M`$ is $`𝒵`$-nondegenerate, then the map $`\overline{\psi }`$ defined by $`(`$2.5$`)`$ becomes a morphism. In this situation we can say even quite a bit more:

###### Theorem 3.3.

If $`M`$ is $`𝒵`$-nondegenerate, and $`dim𝒵=n`$, then Problem 1.1 is solvable for any monic polynomial $`p(\lambda )`$ of degree $`n`$. Moreover, when counted with multiplicities, the number of matrices inside $`𝒵`$ which results in a characteristic polynomial $`p(\lambda )`$ is exactly equal to the degree of the projective variety $`\overline{𝒵}\mathrm{Grass}(n,2n)`$ when viewed under the Plücker embedding $`\mathrm{Grass}(n,2n)^N`$.

###### Proof.

We will repeatedly use the projective dimension theorem \[9, Charter I, Theorem 7.2\] which says that if $`X`$ and $`Y`$ are $`r`$-dimensional and $`s`$-codimensional projective varieties, respectively, then $`dimXYrs`$. In particular, $`XY`$ is not empty if $`rs`$.

Let

$$K=\{(z_0,\mathrm{},z__N)^N|\underset{i=0}{\overset{N}{}}z_im_i(\lambda )=0\}.$$

Then $`K`$ must have co-dimension $`n+1`$ because of the condition $`K𝒵=\mathrm{}`$. Therefore the linear equation

$$\underset{i=0}{\overset{N}{}}z_im_i(\lambda )=p(\lambda ).$$
(3.4)
has solutions in $`^N`$ for any $`p(\lambda )^n`$, and the set of all solutions for each $`p(\lambda )`$ is in the form of $`z_p+K`$ where $`z_p`$ is a particular solution; i.e. the solution set is given by $`K_pK`$ where $`K_p`$ is the unique $`n`$-codimensional projective subspace through $`z_p`$ and $`K`$. Since $`K\overline{𝒵}=\mathrm{}`$, we must have

$$dimK_p\overline{𝒵}=0$$

and by Bézout’s Theorem , there are $`\mathrm{deg}\overline{𝒵}`$ many points in $`K_p\overline{𝒵}`$ counted with multiplicities. If $`p(\lambda )`$ is a monic polynomial of degree $`n`$, then from $`(`$2.5$`)`$ one can see that all the solutions are in $`𝒵`$. ∎

An immediate application of Theorem 3.3 is a result of Friedland : Let $`𝒵`$ be the set of all diagonal matrices. Then closure $`\overline{𝒵}`$ of $`𝒵`$ inside the Grassmann variety $`\mathrm{Grass}(n,2n)`$ is isomorphic to the product of $`n`$ projective lines:

$$^1\times \mathrm{}\times ^1$$

As shown in  the degree of $`\overline{𝒵}`$ is then equal to $`n!`$. Moreover all points of $`\overline{𝒵}`$ are of the form $`\mathrm{rowsp}[Z_1Z_2]`$ where $`Z_1`$ and $`Z_2`$ are given by

$$Z_1=\left[\begin{array}{cccc}z_{11}& 0& \mathrm{}& 0\\ 0& z_{12}& \mathrm{}& 0\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ 0& 0& \mathrm{}& z_{1n}\end{array}\right],Z_2=\left[\begin{array}{cccc}z_{21}& 0& \mathrm{}& 0\\ 0& z_{22}& \mathrm{}& 0\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ 0& 0& \mathrm{}& z_{2n}\end{array}\right].$$

In these matrices, $`(z_{1i},z_{2i})`$ represent the homogeneous coordinates of the $`i`$th projective line $`^1`$.

In order to apply Theorem 3.3 we have to find the algebraic conditions which guarantee that a particular matrix $`M`$ is $`𝒵`$-nondegenerate, i.e. condition $`(`$3.3$`)`$ has to be satisfied for every element $`[Z_1Z_2]\overline{𝒵}`$. For this let $`I`$ be a subset of $`\{1,2,\mathrm{},n\}`$, $`J`$ be the complement of $`I`$, and $`|J|`$ be the number of elements in $`J`$. For any point $`[Z_1Z_2]\overline{𝒵}`$, assume

$$\begin{array}{cc}z_{1i}=0\hfill & \text{for }iI,\hfill \\ z_{1j}0\hfill & \text{for }jJ.\hfill \end{array}$$

Without loss of generality we can take

$$\begin{array}{cc}z_{2i}=1\hfill & \text{for }iI,\hfill \\ z_{1j}=1\hfill & \text{for }jJ,\hfill \end{array}$$

and $`(`$2.5$`)`$ becomes

$$\overline{\psi }([Z_1Z_2])=\pm M__I\lambda ^{|J|}+\text{lower power terms},$$

where $`M__I`$ is the principal minor of $`M`$ consisting of the $`i`$th rows and columns, $`iI`$. Furthermore if we take

$$z_{2j}=0\text{ for }jJ$$

then

$$\overline{\psi }([Z_1Z_2])=\pm M__I\lambda ^{|J|}.$$

Therefore $`M`$ is $`𝒵`$-nondegenerate if and only if all the principal minors of $`M`$ are nonzero. So we have Friedland’s result \[7, Theorem 2.3\] formulated for an algebraically closed field: If all the principal minors of $`M`$ are nonzero, then the multiplicative inverse eigenvalue problem with perturbation from the set of diagonal matrices is solvable for any monic polynomial $`p(\lambda )`$ of degree $`n`$, and there are $`n!`$ solutions, when counted with multiplicities.


text:
# References

September 2000 hep-ph/0009323

LC-TH-2000-050

Precision of electro-weak couplings of

scalar leptoquarks at TESLA 111Contribution to the TESLA TDR.

Johannes Blümlein
Deutsches Elektronen-Synchrotron, DESY
Platanenallee 6, D-15738 Zeuthen, Germany

## Abstract

We investigate the potential to measure the electro-weak couplings of scalar leptoquarks $`\mathrm{\Phi }_s`$ at TESLA for energies in the range of $`\sqrt{s}1\mathrm{T}\mathrm{e}\mathrm{V}`$ using the pair production process $`e^+e^{}\mathrm{\Phi }_s\overline{\mathrm{\Phi }}_s`$.

Precision of electro-weak couplings of scalar leptoquarks at TESLA
Johannes Blümlein

Deutsches Elektronen-Synchrotron DESY, Platanenallee 6, D-15738 Zeuthen, Germany

> Abstract: We investigate the potential to measure the electro-weak couplings of scalar leptoquarks $`\mathrm{\Phi }_s`$ at TESLA for energies in the range of $`\sqrt{s}1\mathrm{T}\mathrm{e}\mathrm{V}`$ using the pair production process $`e^+e^{}\mathrm{\Phi }_s\overline{\mathrm{\Phi }}_s`$.

Leptoquarks are hypothetical particles which combine quantum numbers of the fundamental fermions of the Standard Model and emerge as bosonic (scalar and vector) states in various extensions of the Standard Model such as unified theories and sub-structure models. In most of the scenarios the mass spectrum of these states is not predicted. In a series of models, however, one expects states in the range of several hundred GeV to a few TeV. As being colour (anti)triplets these particles are likely to be found first at TEVATRON or LHC in strong interaction processes . There the corresponding cross sections are widely independent of the $`SU(2)_LU(1)_Y`$ gauge charges of these particles which, on the other hand, can ideally be determined via the pair production process $`e^+e^{}\mathrm{\Phi }\overline{\mathrm{\Phi }}`$  at high energy linear colliders. Since the fermionic couplings $`\lambda _{lq}`$ of leptoquarks are found to be rather small  the production process is completely determined by the electroweak couplings of these particles for scalar leptoquarks  and additional anomalous couplings for vector leptoquarks (cf.  for details). Currently the mass range of $`M_\mathrm{\Phi }\text{ }<250\mathrm{G}\mathrm{e}\mathrm{V}`$ is excluded for the 1st family leptoquark states , and the mass limits for 2nd and 3rd family leptoquarks are 200 and 100 GeV, respectively, . Searches at TESLA will concentrate on the mass range up to $`M_\mathrm{\Phi }\text{ }<500\mathrm{G}\mathrm{e}\mathrm{V}`$ at cms energies $`\sqrt{s}\text{ }<1\mathrm{T}\mathrm{e}\mathrm{V}`$ assuming an integrated luminosity of $`=1\mathrm{ab}^1`$. The production cross section for scalar leptoquarks is given by

$$\sigma _s=\frac{\pi \alpha ^2\beta ^3}{2s}\underset{a=L,R}{}\left|\underset{V=\gamma ,Z}{}Q_a^V(e)\frac{s}{sM_V^2+iM_V\mathrm{\Gamma }_V}Q_\mathrm{\Phi }^V\right|^2$$
(1)
with $`Q_{L,R}^\gamma =1,Q_L^Z=(1/2+\mathrm{sin}^2(\theta _w))/\mathrm{cos}(\theta _w)\mathrm{sin}(\theta _w),Q_R^Z=\mathrm{tan}(\theta _w),Q_\mathrm{\Phi }^\gamma =Q_{em},Q_\mathrm{\Phi }^Z=(T_3Q_{em}\mathrm{sin}^2(\theta _w))/\mathrm{cos}(\theta _w)\mathrm{sin}(\theta _w)`$, where $`\theta _w`$ is the weak mixing angle, $`T_3`$ is $`z`$-component of the weak isospin of the leptoquark, $`Q_{em}`$ its electric charge and $`\beta =\sqrt{14M_\mathrm{\Phi }^2/s}`$. $`M_V`$ and $`\mathrm{\Gamma }_V`$ denote mass and width of the gauge bosons $`\gamma `$ and $`Z`$. The Beamstrahlung and QED initial state radiation contribution to $`O(\alpha ^2)`$ do widely cancel against the QED and QCD final state radiation contributions, see. Ref. . Therefore the Born cross section yields already a reasonable first estimate for the production cross section. Following the notation for the leptoquarks  the statistical precisions of the electro-weak charges $`\delta Q_\mathrm{\Phi }^{\gamma ,Z}`$ are summarized in table 1 considering the examples of leptoquark pair production at $`\sqrt{s}=800\mathrm{T}\mathrm{e}\mathrm{V}`$, $`M_\mathrm{\Phi }=320\mathrm{G}\mathrm{e}\mathrm{V}`$ and $`=500\mathrm{fb}^1`$ (1st line) and $`\sqrt{s}=1\mathrm{T}\mathrm{e}\mathrm{V}`$, $`M_\mathrm{\Phi }=400\mathrm{G}\mathrm{e}\mathrm{V}`$ and $`=1\mathrm{ab}^1`$ (2nd line). The statistical accuracies to be obtained are similar in both cases and range between $`\pm 0.004`$ and $`\pm 0.009`$ for $`Q_\mathrm{\Phi }^\gamma `$ and between $`\pm 0.008`$ and $`\pm 0.04`$ for $`Q_\mathrm{\Phi }^Z`$.

| $`\mathrm{\Phi }_s`$ | $`Q_\mathrm{\Phi }^\gamma `$ | $`T_3`$ | $`Q_\mathrm{\Phi }^Z`$ | # | $`\delta Q_\mathrm{\Phi }^\gamma `$ | $`\delta Q_\mathrm{\Phi }^Z`$ |
| --- | --- | --- | --- | --- | --- | --- |
| $`S_1`$ | 1/3 | 0 | –0.182 | 1419 | $`\pm 0.005`$ | $`+0.0350.028`$ |
|  |  |  |  | 1815 | $`\pm 0.004`$ | $`+0.0310.025`$ |
| $`\stackrel{~}{S}_1`$ | 4/3 | 0 | –0.729 | 22706 | $`\pm 0.005`$ | $`\pm 0.032`$ |
|  |  | 0 |  | 29042 | $`\pm 0.004`$ | $`\pm 0.028`$ |
| $`S_3^u`$ | 4/3 | 1 | 1.648 | 36020 | $`\pm 0.006`$ | $`\pm 0.012`$ |
|  |  |  |  | 45946 | $`\pm 0.005`$ | $`\pm 0.010`$ |
| $`S_3^0`$ | 1/3 | 0 | –0.182 | 1419 | $`\pm 0.005`$ | $`+0.0350.028`$ |
|  |  |  |  | 1815 | $`\pm 0.004`$ | $`+0.0310.025`$ |
| $`S_3^d`$ | –2/3 | –1 | –2.012 | 24779 | $`\pm 0.009`$ | $`\pm 0.009`$ |
|  |  |  |  | 31493 | $`\pm 0.008`$ | $`\pm 0.008`$ |
| $`R_2^u`$ | 5/3 | 1/2 | 0.277 | 34465 | $`\pm 0.005`$ | $`0.044+0.041`$ |
|  |  |  |  | 44107 | $`\pm 0.004`$ | $`0.039+0.036`$ |
| $`R_2^d`$ | 2/3 | –1/2 | –1.552 | 14793 | $`\pm 0.009`$ | $`\pm 0.009`$ |
|  |  |  |  | 18815 | $`\pm 0.008`$ | $`\pm 0.008`$ |
| $`\stackrel{~}{R}_2^u`$ | 2/3 | 1/2 | 0.824 | 34465 | $`\pm 0.005`$ | $`\pm 0.042`$ |
|  |  |  |  | 44107 | $`\pm 0.004`$ | $`\pm 0.038`$ |
| $`\stackrel{~}{R}_2^d`$ | –1/3 | –1/2 | –1.006 | 9005 | $`\pm 0.006`$ | $`\pm 0.012`$ |
|  |  |  |  | 11486 | $`\pm 0.005`$ | $`\pm 0.010`$ |

Table 1: Statistical precision to which the electro-weak couplings $`Q_\mathrm{\Phi }^\gamma `$ and $`Q_\mathrm{\Phi }^Z`$ of scalar leptoquarks can be measured at TESLA. First lines: $`\sqrt{s}=800\mathrm{G}\mathrm{e}\mathrm{V},M_\mathrm{\Phi }=320\mathrm{G}\mathrm{e}\mathrm{V},=500\mathrm{f}\mathrm{b}^1`$; Second lines: $`\sqrt{s}=1\mathrm{T}\mathrm{e}\mathrm{V},M_\mathrm{\Phi }=400\mathrm{G}\mathrm{e}\mathrm{V},=1\mathrm{a}\mathrm{b}^1`$.


text:
# The Symmetries of Fermion Fluids at Low Dimensions

Abstract

We point out that the quasiparticle spectrum of the Landau Fermi liquid theory has an extra $`Z_2`$ symmetry, local in momentum space, which is not generic to the Hamiltonian with interactions. Thus the Fermi liquid is in this sense a (quantum) zero-temperature critical point.

For many decades it has been accepted that the “natural” low-temperature state of a fermion fluid in the absence of a magnetic field is the Fermi Liquid described by Landau.(1) Landau’s fundamental assumption was that the states of an interacting electron gas (we shall hereafter call the fermions electrons) could be put into a one-to-one correspondence via adiabatic continuation with those of the free electron gas, an assumption which appears at first sight very plausible and is the basis of several derivations of the Fermi liquid theory.

Parenthetically, we note that it is accepted that in fact this is never actually the case at very low temperature, where a logarithmic divergence appears in one or another “Cooper channel” $`k\sigma ,k\sigma k^{}\sigma ^{},k^{}\sigma ^{}`$ and deforms the state into a BCS state for $`D2`$. But repulsive interactions are weakened by the Cooper channel divergence, while the most important attractive interactions, those due to phonons, are effective only at low energies, so that often the Fermi liquid has a wide range of validity.

We remark here that the Fermi liquid is, from a symmetry point of view, surprising, in that the Fermi liquid has an extra symmetry which is generically broken by the interactions. Only if the interaction term renormalizes to zero at low temperature is the Fermi liquid in principle the correct solution.

The symmetry of the kinetic energy terms for a free Fermi gas embodies the fact that there are separately conserved currents of both signs of the spin at every point in space–or, if we wish, separately conserved currents at each momentum. Landau’s famous argument, following Weisskopf and others, is that scattering terms leave this conservation intact at the Fermi momentum due to exclusion principle prohibitions on final states. There are thus conserved currents of “up” and “down” spins where the quantization direction defining “up” is arbitrary at each momentum. There are thus two degenerate conserved complex fermions at each $`k_F`$, which we may describe in terms of four real (Majorana) fermions if we like.

Thus the fundamental symmetry is the group of real rotations among four objects, i.e. $`O(4)`$. $`O(4)`$ is isomorphous with the direct product of two SU(2)’s and the discrete group $`Z_2`$. $`Z_2`$ occurs because the rotations of $`O(4)`$ may be divided into two classes, proper and improper rotations, depending on whether the determinant of the rotation is $`+1`$ or $`1`$. The simplest improper rotation just reverses the sign of one real fermion, which is equivalent to an electron–hole transformation for one spin. Thus $`O(4)`$ may be divided by $`Z_2`$, and the resulting group of proper rotations is

$$O(4)÷Z_2=SU(2)\times SU(2)$$

The two separate $`SU(2)`$ symmetries thus revealed are those of conserved charge current and conserved spin current. The idea of charge as an $`SU(2)`$ is a little unfamiliar but is behind the Anderson-Nambu Pauli operators $`\tau _1,\tau _2,\tau _3`$ used in the BCS theory to describe the charge degrees of freedom of singlet pairs.(2) The kinetic energy, for particles not at $`E_F`$, multiplies $`\tau _3`$ and reduces the charge symmetry to $`U(1)`$.

The short-range repulsive interaction $`Un_{}n_{}`$ maximally violates the extra $`Z_2`$ symmetry of the Landau theory: it obviously changes sign under improper rotations, i.e. under hole-particle transformations for one spin only. This is an operation which interchanges charge and spin. But since charge and spin are conserved at every collision, the separate $`SU(2)`$ symmetries should be retained in the interacting fluid.

It has been assumed that $`U`$ doesn’t break the $`Z_2`$ symmetry of the Fermi liquid, since, as we said above, at the Fermi level the quasiparticle currents are perfectly conserved because of the exclusion principle, and apparently the effects of $`U`$ have become irrelevant. But this is not the whole story: $`U`$ modifies the density of states and the response coefficients, and in fact we know that the Landau interaction coefficients are not the same for charge and spin: the compressibility and spin susceptibility are not related as they are for free particles because they contain Landau mean field corrections, and zero sound has a different velocity from spinwaves.

The assumption is, however, that at the level of single elementary excitations we still have the $`O(4)`$ or $`U(2)`$ symmetry with the extra $`Z_2`$. In $`1D`$ it is known that this assumption fails: the Landau Fermi liquid gives way to the Luttinger liquid,(3) which has only the separated charge and spin symmetries and has two separate velocities of elementary excitations. Analysis of the reason for this shows us that there is an interaction term which fails to renormalize to irrelevance in this case, namely the forward scattering phase shift for opposite–spin particles of zero relative momentum. This term effectively causes a chiral anomaly: the two currents of up and down spins are no longer separately conserved, rather there is a mixing of up-spin hole current with down-spin particles and vice versa.

In the conventional theory of the Fermi liquid in 3D this term in fact does renormalize to irrelevance because of the large phase space for recoil momenta: it is possible to renormalize the simple Born approximation by a simple partical wave analysis to make the scattering phase shift vanish proportionally to the relative momentum Q.(4)

$$\eta _0=Qa$$

in 3 dimensions, where $`a`$ is the effective scattering length used, especially, in the low density calculations of Huang and coworkers.(5)

2D is the critical dimensionality for this renormalization. This case was examined by Bloom(6) and he showed that in the low-density limit $`a`$ diverges as $`1/Q|\mathrm{}nQ|`$, which gives a barely convergent theory. But as we have shown before, at any finite density the effective length theory does not renormalize the phase shift to zero and $`U`$ can remain marginally relevant at the level of quasiparticle energies.

Thus in one and two dimensions the Fermi liquid can be thought of as a quantum critical point with an extra $`Z_2`$ symmetry, which is exact only at the singular point $`U=0`$ (or $`n=0`$). In general, no phase transition is required into the charge-spin separated state. In higher dimensionality, the Fermi liquid acquires the $`Z_2`$ symmetry continuously as $`T0`$, which again is a kind of quantum critical point.

It is suggestive to think of the localized spin(7) as a model for the above process. At $`T>>U`$, the electron gas is effectively free and there is no local spin. As we go into the region $`U>T>>T_K`$, this renormalizes into the Kondo model, which has a free electron gas interacting with a local spin (i.e. the interacting part of the gas has now separate charge and spin dynamics.)

Finally, as $`T<T_K`$ this renormalizes continuously away and we return to a quasiparticle resonance with no separate spin dynamics. The analogy is not perfect but it is suggestive. As Zlatic has shown,(8) the low-temperature fixed point is analytically continuable from the high-temperature non-interacting state, yet the intermediate $`\tau `$ states have no resemblance to either.

In conclusion, we have shown that the generic symmetry of the electron fluid involves separately conserved charge and spin currents. The quasiparticle concept implies a larger symmetry which in $`>2`$ dimensions manifests itself in the Fermi liquid, which is a $`T=0`$ quantum critical point. For 1D and perhaps 2 the $`T=0`$ state need not have this extra symmetry.

It is a pleasure, especially for the first author, to submit this paper to a volume in honor of Quin Luttinger, who was an old and valued friend and a superb physicist.

REFERENCES:

(1) L.D. Landau, Soviet Physics JETP 3, 920 (1956).

(2) P.W. Anderson, Phys. Rev. 112, 1900 (1958),

Y. Nambu, Phys. Rev. 117, 648 (1960).

(3) F.D.M. Haldane, J. Phys. C14, 2585 (1981).

E. Lieb and F.Y. Wu, Phys. Rev. Lett. 20, 1447 (1967).

(4) K. Huang and C.N.Yang, Phys. Rev. 105, 767 (1958).

(5) V.M. Galitskii, Soviet Physics JETP 7, 104 (1958).

(6) P. Bloom, Phys. Rev. B12, 125 (1975).

(7) F.D.M. Haldane, Phys. Rev. Lett. 40, 416 (1978),

P.W. Anderson, Phys. Rev. 124, 1 (1959).

(8) V. Zlatic and B. Horvatic, Phys. Rev. B28, 6904 (1983).