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# INSTANTONS AND QUATERNIONS

## Abstract:

We relate the moduli space of Yang-Mills instantons to quaternionic manifolds. For instanton number one, the Wolf spaces play an important role. We apply these ideas to instanton calculations in $`𝒩=4`$ SYM theory.

conference: Nonperturbative Quantum Effects, 2000

Instantons in Yang-Mills theories are defined by the solutions to the self-duality equation in four-dimensional Euclidean space,

$$F_{\mu \nu }={}_{}{}^{}F_{\mu \nu }^{}=\frac{1}{2}ϵ_{\mu \nu \rho \sigma }F_{\rho \sigma },$$
(1)
and are characterized by an integer number, the topological charge,

$$k=\frac{1}{16\pi ^2}\mathrm{d}^4x\mathrm{Tr}F_{\mu \nu }{}_{}{}^{}F_{\mu \nu }^{}.$$
(2)
For $`k=1`$, one can explicitly solve these equations , and for gauge group $`SU(2)`$, the instanton gauge field one-form $`A`$ and its field strength $`F`$ can be elegantly written in terms of quaternions $`x=x_\mu \sigma _\mu `$, with $`\sigma _\mu =(\stackrel{}{\tau },i)`$, ,

$`A`$ $`=`$ $`i\mathrm{Im}{\displaystyle \frac{(\overline{x}\overline{x}_0)\mathrm{d}x}{\rho ^2+|xx_0|^2}}`$
$`F`$ $`=`$ $`{\displaystyle \frac{2\rho ^2\mathrm{d}\overline{x}\mathrm{d}x}{(\rho ^2+|xx_0|^2)^2}},`$ (3)
where the norm of quaternions is defined as $`|x^2|=\frac{1}{2}\mathrm{tr}(x\overline{x})=x_\mu x_\mu `$. This solution has five collective coordinates, four positions $`x_0^\mu `$ and a size $`\rho `$, but one can act with rigid $`SU(2)`$ gauge rotations with angles $`\stackrel{}{\theta }`$ to generate new inequivalent solutions. So in this example, there are eight collective coordinates.

The purpose of this letter is to elaborate on the geometry of the moduli space of collective coordinates, and to apply this knowledge to instanton calculations in $`𝒩=4`$ supersymmetric Yang-Mills theories.

For $`k=1`$ and gauge group $`SU(2)`$, the moduli space is simply $`𝐑^8`$ (in fact, it is $`𝐑^4\times 𝐑^4/Z_2`$ , which has an orbifold singularity corresponding to zero size instantons), with metric

$$\mathrm{d}s^2=\mathrm{d}x_0^\mu \mathrm{d}x_0^\mu +(\mathrm{d}\rho )^2+\rho ^2\mathrm{d}S^3.$$
(4)
This metric can be computed by evaluating the inner product of zero modes, which are the derivatives of the instanton field with respect to the collective coordinates, as was demonstrated in  111For a recent review on instantons, and how to determine the zero modes and metric, see e.g. .. We have dropped certain normalization factors, which are irrelevant for the present discussion. The last term in (4) comes from the gauge orientation zero modes, whose corresponding collective coordinates $`\stackrel{}{\theta }`$ parametrize $`SU(2)S^3`$.

For $`k=1`$ and gauge group $`SU(N)`$, one can construct all instanton solutions by embedding the $`SU(2)`$ instanton inside $`SU(N)`$, and acting with rigid gauge transformations on the chosen embedding,

$`A_\mu ^{SU(N)}`$ $`=`$ $`U(\varphi )\left(\begin{array}{cc}0& 0\\ 0& A_\mu ^{SU(2)}\end{array}\right)U^{}(\varphi )`$
$`U`$ $``$ $`{\displaystyle \frac{SU(N)}{SU(N2)\times U(1)}}.`$ (5)
Notice that we have divided by the stability group of the instanton embedding. The $`SU(N2)`$ factor in (INSTANTONS AND QUATERNIONS) only acts on the upper diagonal block and commutes with the $`SU(2)`$ embedding. Furthermore, there is an extra singlet, corresponding to the $`U(1)`$ factor in the stability group, commuting with $`SU(2)`$ (e.g., for $`SU(3)`$ with the standard Gell-Mann matrices, the first three determine the $`SU(2)`$ embedding, whereas the eighth generator commutes with this embedding and is the $`U(1)`$ singlet mentioned above).

The dimension of this coset space is $`4N5`$, and we denote the coordinate-angles by $`\varphi =\{\stackrel{}{\theta },q_i^M\},i=1,\mathrm{},N2`$, $`M=1,\mathrm{},4`$ so counting leads to $`4N`$ collective coordinates in total, in agreement with standard index theorems.

The metric on the moduli space of $`k=1`$ $`SU(N)`$ instantons is

$$\mathrm{d}s^2=\mathrm{d}x_0^\mu \mathrm{d}x_0^\mu +(\mathrm{d}\rho )^2+\rho ^2\mathrm{d}S^3+\rho ^2\mathrm{d}X_{N2},$$
(6)
where $`\mathrm{d}X_{N2}`$ stands for the metric element on the $`4(N2)`$-dimensional space

$$X_{N2}=\frac{SU(N)}{SU(N2)\times SU(2)\times U(1)}.$$
(7)
Actually this metric is the one obtained by working infinitesimally in the angles $`\varphi `$, for which it is known that the $`\stackrel{}{\theta }`$ zero modes are orthogonal to the $`q_i^M`$ zero modes, see for instance . For reasons to be explained below, one expects that the full metric in (6) is of the form where $`S^3`$ is fibered non-trivially over $`X_{N2}`$.

The space $`X_{N2}`$ is known as one of the Wolf spaces  and is an example of a quaternionic manifold, which we will discuss later. The angles $`q_i^M`$ can then be interpreted as $`N2`$ quaternions, which coordinatize the quaternionic manifold. Ignoring the center of mass coordinates $`x_0^\mu `$, the metric has the form of a cone, with radial parameter $`\rho `$.

For $`k=1`$ and gauge group $`SO(N)`$, there are $`4N8`$ collective coordinates. The one-instanton solution is constructed by choosing an $`SU(2)`$ inside an $`SO(4)=SU(2)\times SU(2)`$ embedding in $`SO(N)`$ . The stability group of this instanton is $`SO(N4)\times SU(2)`$, and performing a similar counting as for the $`SU(N)`$ case, one indeed obtains $`4N8`$ collective coordinates. The metric on the moduli space is now

$$\mathrm{d}s^2=\mathrm{d}x_0^\mu \mathrm{d}x_0^\mu +(\mathrm{d}\rho )^2+\rho ^2\mathrm{d}S^3+\rho ^2\mathrm{d}Y_{N4},$$
(8)
where $`\mathrm{d}Y_{N4}`$ stands for the metric element on the $`4(N4)`$-dimensional Wolf space

$$Y_{N4}=\frac{SO(N)}{SO(N4)\times SO(4)}.$$
(9)
Finally we analyze the gauge group $`Sp(N)`$. Here we can simply choose the lower diagonal $`SU(2)=Sp(1)`$ embedding inside $`Sp(N)`$. The stability group of this embedding is now $`Sp(N1)`$, and the moduli space metric is

$$\mathrm{d}s^2=\mathrm{d}x_0^\mu \mathrm{d}x_0^\mu +(\mathrm{d}\rho )^2+\rho ^2\mathrm{d}S^3+\rho ^2\mathrm{d}HP_{N1},$$
(10)
with corresponding $`4(N1)`$-dimensional quaternionic projective space

$$HP_{N1}=\frac{Sp(N)}{Sp(N1)\times Sp(1)}.$$
(11)
Counting leads to $`4(N+1)`$ collective coordinates, which agrees again with index theorems. One could do a similar analysis for the exceptional gauge groups, and obtain a corresponding quaternionic manifold. It is known that for any semisimple Lie algebra, there is a corresponding quaternionic Wolf space . In general a quaternionic manifold (in the mathematics literature called quaternionic-Kähler although they are not of the Kählerian type) is a $`4n`$-dimensional Riemannian space with holonomy group contained in $`Sp(1)\times Sp(n)`$. These spaces are always Einstein. The classification of the compact homogeneous quaternionic manifolds is precisely given by the Wolf spaces . Hence the $`k=1`$ instanton moduli spaces are characterized by the Wolf series. Quaternionic spaces also appear in the coupling of four-dimensional $`𝒩=2`$ hypermultiplets to supergravity . We will discuss its relation to instantons later.

For arbitrary instanton number $`k`$, one can not construct the instanton solution explicitly. However, using the ADHM formalism (which extensively uses a quaternionic notation), it is possible to write down the solutions in an implicit way . The moduli space, denoted by $`_k(G)`$, has dimension $`4kN,4k(N2)`$ and $`4k(N+1)`$ for gauge groups $`SU(N),SO(N)`$ and $`Sp(N)`$ respectively. It is known to be a hyper-Kähler manifold of a special kind , hence also called special hyper-Kähler manifolds , because it has the following properties:

* The metric on the moduli space, $`g`$, allows for a hyper-Kähler potential, $`\chi `$, which satisfies, in local coordinates,

$$g_{AB}=D_A_B\chi .$$
(12)
Maciocia  has shown that for Yang-Mills instantons,

$$\chi =\frac{1}{16\pi ^2}\mathrm{d}^4x|x|^2\mathrm{Tr}F_{\mu \nu }F_{\mu \nu },$$
(13)
and for $`k=1`$, one can explicitly compute this potential, $`\chi =2\rho ^2+|x_0|^2`$.
* The derivative $`\chi _A=_A\chi `$ is a homothetic Killing vector, and there is an $`SU(2)`$ isometry, generated by

$$\stackrel{}{k}^A=\stackrel{}{J}^A{}_{B}{}^{}\chi _{}^{B},$$
(14)
where $`\stackrel{}{J}`$ are the three complex structures of the hyper-Kähler manifold. This $`SU(2)`$ isometry rotates the complex structures. Four-dimensional hyper-Kähler spaces with such an $`SU(2)`$ isometry are classified. They are either flat space, Taub-Nut, or the Atiyah-Hitchin manifold. Only flat space allows for a homothetic Killing vector.
* One can factor out the center of mass coordinates of the $`k`$-instanton solution, such that

$$_k=𝐑^4\times _k^0.$$
(15)
Here $`_k^0`$ is the reduced instanton moduli space. It is again a special hyper-Kähler manifold . Spaces with a homothety can always be described as a cone. One can choose $`\chi `$ as one of the coordinates, and denote the remaining coordinates by $`x^{\widehat{A}}`$. The line element can then be written in the form ,

$$\mathrm{d}s^2=\frac{\mathrm{d}\chi ^2}{2\chi }+\chi h_{\widehat{A}\widehat{B}}(x)\mathrm{d}x^{\widehat{A}}\mathrm{d}x^{\widehat{B}},$$
(16)
where the $`x^{\widehat{A}}`$ are the coordinates associated with the hypersurface $`\chi =\mathrm{constant}`$. It is known that this hypersurface must be a 3-Sasakian space and the hyper-Kähler space is therefore a cone over the 3-Sasakian metric. For a recent review on these spaces, see .

For $`k=1`$ one can see the cone structure in the reduced moduli space metrics (6),(8) and (10). Indeed, the hyper-Kähler potential is, up to normalization, just the size of the instanton, $`\chi =\rho ^2`$. At $`\rho =0`$, there is a conical singularity, corresponding to zero size instantons.
* It turns out that 3-Sasakian spaces are $`Sp(1)`$ fibrations over quaternionic Kähler manifolds $`𝐐`$ . Hence one can write

$$_k^0=𝐑^+\times [Sp(1)\times _f𝐐_k],$$
(17)
where $`𝐑^+`$ is parametrized by the cone variable $`\chi `$, and the subscript $`f`$ denotes the non-trivial fibration. This structure is indeed present in the above discussed examples. For $`k=1`$, $`𝐐_1`$ are precisely the Wolf spaces, which are the only compact homogeneous quaternionic manifolds. For higher instanton number, $`𝐐_k`$ will in general not be homogeneous anymore, and it will contain singularities. It would be interesting to study its properties.

In an apparently different context, special hyper-Kähler manifolds also appear as target spaces for four-dimensional (but also in five or six dimensions 222For two-dimensional sigma models on group manifolds, with eight supercharges, one also recovers the Wolf spaces .) superconformal hypermultiplets, as was discussed in detail in , see also . There, the implications of rigid $`𝒩=2`$ superconformal invariance on sigma models were analyzed, and the constraints on the hyper-Kähler manifold are exactly the ones discussed above. The corresponding quaternionic space then appears if one would couple the hypermultiplets to supergravity via the superconformal tensor calculus . This raises the question if the instanton moduli space naturally appears as the target space of some sigma model theory. This is indeed the case, as was shown in  and also in . There, instantons are described in terms of Dp-D(p+4) brane configurations, and the instanton moduli space coincides with the vacuum moduli space of the corresponding worldvolume theory of the Dp-D(p+4) system.

To make this correspondence more clear, we should consider instantons in $`𝒩=4`$ SYM theory at the conformal point (i.e., not spontaneously broken), and for simplicity we choose gauge group $`SU(N)`$ and instanton number $`k=1`$. On top of the $`4N`$ bosonic zero modes, we have $`8N`$ fermionic zero modes, each one corresponding to a solution of the Dirac equation. The Grassmannian collective coordinates (GCC) are denoted by

$$\xi _\alpha ^M,\overline{\eta }^{M\dot{\alpha }},\mu _i^M,\overline{\mu }^{Mi},$$
(18)
see for instance , where $`M=1,\mathrm{},4`$ is the $`SU(4)_R`$ symmetry index, $`\alpha ,\dot{\alpha }=1,2`$ are two-component spinor indices, and $`i=1,\mathrm{},N2`$ is related to the color index. The first sixteen of these GCC, $`\xi ^M`$ and $`\overline{\eta }^M`$ are related to supersymmetry and superconformal supersymmetry, i.e., their zero modes can be obtained by acting with the super(conformal-) symmetry transformations on the bosonic instanton configuration. Only half of the symmetries are broken, so for $`𝒩=4`$ we get $`8+8=16`$ fermionic zero modes.

In instanton calculations, one is interested in the instanton action. This is obtained by plugging in the instanton configuration (which in $`𝒩=4`$ SYM is only an approximate solution to the field equations) into the SYM action and integrating over four-dimensional space. The resulting action only depends on the collective coordinates, and for $`k=1`$, $`SU(N)`$ SYM, it is ,

$$S_{\mathrm{inst}}=\frac{\pi ^2}{4g^2\rho ^2}ϵ_{MNPQ}\mu _i^M\overline{\mu }^{Ni}\mu _j^P\overline{\mu }^{Qj},$$
(19)
where $`g^2`$ is the YM coupling constant.

The remaining of this paper is to understand this result in terms of superconformal hypermultiplet sigma models, and to point out the relation with the quaternionic geometry described above. All the collective coordinates are organized in hypermultiplets, and we have $`N`$ of them. Two hypermultiplets are special, they comprise the eight scalars $`x_0^\mu ,\rho ,\stackrel{}{\theta }`$ and fermions $`\xi ^M,\overline{\eta }^M`$. This “universal” sector appears in every SYM theory, and is independent of the gauge group. The fermions of the universal sector will not appear in the instanton action, since they are protected by super(conformal-)symmetry. The other hypermultiplets contain the quaternionic gauge orientation zero modes $`\theta _i^M`$ and fermions $`\mu _i^M,\overline{\mu }^{Mi}`$. The latter correspond to fermionic zero modes which can not be obtained by acting with fermionic symmetry transformations on the bosonic instanton configuration. Hence one might expect them in the instanton action, as (19) indeed confirms.

The instanton moduli space as a Higgs branch was first discovered in the D5-D9 system in type I string theory . The corresponding world-volume theory on the Higgs branch is a sigma model in six dimensions with eight rigid supercharges. The general action for such a system contains kinetic terms for the scalars and fermions, and a four-fermi term coupled to the Riemann tensor of the $`4n`$-dimensional hyper-Kähler target space ,

$$S_{4\mathrm{fermi}}R_{abcd}ϵ_{MNPQ}\psi ^{Ma}\psi ^{Nb}\psi ^{Pc}\psi ^{Qd}.$$
(20)
Here $`\psi ^M`$ is a six-dimensional $`SU(4)SO(6)`$ symplectic Majorana spinor, $`ϵ_{MNPQ}`$ is the totally antisymmetric $`SU(4)`$ invariant tensor, $`a=1,\mathrm{},2n`$ is the $`Sp(n)`$ index, and $`R_{abcd}`$ is the totally symmetric $`Sp(n)`$ curvature of the hyper-Kähler target space, which has holonomy group contained in $`Sp(n)`$, see  for more details. The instanton action in (19) can be compared with the system in (20) by dimensional reduction to zero dimensions. In terms of string theory, we are then describing the D(-1)-D3 system, which is well known to represent a four-dimensional SYM instanton . After dimensional reduction, all kinetic terms have disappeared and one is left with only the Riemann tensor as in (20). Applied to the $`k=1`$ $`SU(N)`$ instanton model, we have $`n=N`$, and the $`8N`$ fermions $`\psi ^{Ma}`$ comprise $`\xi _\alpha ^M,\overline{\eta }^{M\dot{\alpha }},\mu _i^M,\overline{\mu }^{Mi}`$. Now, because the $`\xi `$ and $`\overline{\eta }`$ zero modes are protected by super(conformal-)symmetry, they cannot appear in the instanton action. So the only surviving components are the ones where the Riemann tensor has its indices in the subspace $`Sp(N2)Sp(N)`$. This is in accord with the general structure presented above. First one factors out the centre of mass coordinates, such that the reduced instanton moduli space has holonomy contained in $`Sp(N1)`$. As was shown in , the $`Sp(N1)`$ curvature of this special hyper-Kähler space has a quaternionic zero eigenvector. This corresponds to the fact that the superconformal zero modes do not appear in the instanton action. Secondly, this reduced moduli space is a cone over an $`Sp(1)`$ fibration of a $`4(N2)`$-dimensional quaternionic manifold, with holonomy group contained in $`Sp(1)Sp(N2)`$. Its coordinates are given by $`q_i^M`$ and we expect that it is precisely the $`Sp(N2)`$ curvature which couples to the four-fermi term containing the $`\mu _i^M`$’s. For $`k=1`$, one can compue the Riemann tensor of the instanton moduli space explicitly, it is essentially determined by the Riemann tensor of the corresponding Wolf space. Since these spaces are symmetric, there is a basis of coordinates in which all components of the curvature tensor (with two upper and two lower indices) are constant and determined by the structure constants of the coset space. This is consistent with (19), although the details of the computations remain to be worked out. We hope to come back to this in the future.

To conclude, we believe that the relation between instanton moduli spaces and quaternionic geometry is worth pursuing.

###### Acknowledgments.

I would like to thank the organizers, in particular Bernard Julia, for inviting me to the conference, and for the warm and pleasant atmosphere during that week. I also acknowledge discussions with Tim Hollowood, V. V. Khoze and M. Trigiante.


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# The reaction dynamics of the 16O(𝑒,𝑒'𝑝) cross section at high missing energies

## Abstract

We measured the cross section and response functions ($`R_L,R_T`$, and $`R_{LT}`$) for the 16O$`(e,e^{}p)`$ reaction in quasielastic kinematics for missing energies $`25E_{\mathrm{miss}}120`$ MeV at various missing momenta $`P_{\mathrm{miss}}340`$ MeV/$`c`$. For $`25<E_{\mathrm{miss}}<50`$ MeV and $`P_{\mathrm{miss}}60`$ MeV/$`c`$, the reaction is dominated by single-nucleon knockout from the 1$`s_{1/2}`$-state. At larger $`P_{\mathrm{miss}}`$, the single-particle aspects are increasingly masked by more complicated processes. For $`E_{\mathrm{miss}}>60`$ MeV and $`P_{\mathrm{miss}}>200`$ MeV/$`c`$, the cross section is relatively constant. Calculations which include contributions from pion exchange currents, isobar currents and short-range correlations account for the shape and the transversity but only for half of the magnitude of the measured cross section.

The $`(e,e^{}p)`$ reaction in quasielastic kinematics ($`\omega Q^2/2m_p`$)***The kinematical quantities are: the electron scattered at angle $`\theta _e`$ transfers momentum $`\stackrel{}{q}`$ and energy $`\omega `$ with $`Q^2=\stackrel{}{q}^2\omega ^2`$. The ejected proton has mass $`m_p`$, momentum $`\stackrel{}{p}_p`$, energy $`E_p`$, and kinetic energy $`T_p`$. The cross section is typically measured as a function of missing energy $`E_{\mathrm{miss}}=\omega T_pT_{\mathrm{recoil}}`$ and missing momentum $`P_{\mathrm{miss}}=|\stackrel{}{q}\stackrel{}{p}_p|`$. The polar angle between the ejected proton and virtual photon is $`\theta _{pq}`$ and the azimuthal angle is $`\varphi `$. $`\theta _{pq}>0^{}`$ corresponds to $`\varphi =180^{}`$ and $`\theta _p>\theta _q`$. $`\theta _{pq}<0^{}`$ corresponds to $`\varphi =0^{}`$. has long been a useful tool for the study of nuclear structure. $`(e,e^{}p)`$ cross section measurements have provided both a wealth of information on the wave function of protons inside the nucleus and stringent tests of nuclear theories. Response function measurements have provided detailed information about the different reaction mechanisms contributing to the cross section.

In the first Born approximation, the unpolarized $`(e,e^{}p)`$ cross section can be separated into four independent response functions, $`R_L`$ (longitudinal), $`R_T`$ (transverse), $`R_{LT}`$ (longitudinal-transverse), and $`R_{TT}`$ (transverse-transverse) . These response functions contain all the information that can be extracted from the hadronic system using the $`(e,e^{}p)`$ reaction.

Originally, the quasielastic cross section was attributed entirely to single-particle knockout from the valence states of the nucleus. However, a series of 12C$`(e,e^{}p)`$ experiments performed at MIT-Bates  measured much larger cross sections at high missing energy than were expected by single-particle knockout models. 12C$`(e,e^{}p)`$ response function data reported by Ulmer et al. show a substantial increase in the transverse-longitudinal difference, ($`S_TS_L`$),$`S_X=\frac{\sigma _{\mathrm{Mott}}V_\mathrm{X}R_\mathrm{X}}{\sigma _X^{ep}},`$ where X $`ϵ`$ {$`T,L`$}, and $`\sigma _X^{ep}`$ is calculated from the off-shell ep cross section obtained using deForest’s cc1 prescription . above the two-nucleon emission threshold. Similar $`R_T/R_L`$ enhancement has also been observed by Lanen et al. for 6Li , by van der Steenhoven et al. for 12C  and, more recently, by Dutta et al. for 12C, 56Fe, and 197Au .

There have been several theoretical attempts  to explain the continuum strength using two-body knockout models and final-state interactions, but no single model has been able to explain all the data.

In this first Jefferson Lab Hall A experiment , we studied the 16O$`(e,e^{}p)`$ reaction in the quasielastic region at $`Q^2=0.8`$ (GeV/$`c`$)2 and $`\omega =439`$ MeV ($`|\stackrel{}{q}|1`$ GeV/c). We extracted the $`R_L`$, $`R_T`$, and $`R_{LT}`$ response functions from cross sections measured at several beam energies, electron angles, and proton angles for $`P_{\mathrm{miss}}340`$ MeV/$`c`$. This paper reports the results for $`E_{\mathrm{miss}}>25`$ MeV; $`p`$-shell knock-out region ($`E_{\mathrm{miss}}<20`$ MeV) results from this experiment were reported in .

We scattered the $``$70 $`\mu `$A continuous electron beam from a waterfall target  with three foils, each $``$130 mg/cm2 thick. We detected the scattered electrons and knocked-out protons in the two High Resolution Spectrometers (HRSe and HRSh). The details of the Hall A experimental setup are given in .

We measured the 16O$`(e,e^{}p)`$ cross section at three beam energies, keeping $`|\stackrel{}{q}|`$ and $`\omega `$ fixed in order to separate response functions and understand systematic uncertainties. Table I shows the experimental kinematics.

The accuracy of a response-function separation depends on precisely matching the values of $`|\stackrel{}{q}|`$ and $`\omega `$ for different kinematic settings. In order to match $`|\stackrel{}{q}|`$, we measured 1H$`(e,ep)`$ (also using the waterfall target) with a pinhole collimator in front of the HRSe. The momentum of the detected protons was thus equal to $`\stackrel{}{q}`$. We determined the 1H$`(e,ep)`$ momentum peak to $`\frac{\delta p}{p}=1.5\times 10^4`$, allowing us to match $`\frac{\delta |\stackrel{}{q}|}{|\stackrel{}{q}|}`$ to $`1.5\times 10^4`$ between the different kinematic settings. Throughout the experiment, 1H$`(e,e)`$ data, measured simultaneously with 16O$`(e,e^{}p)`$, provided a continuous monitor of both luminosity and beam energy.

The radiative corrections to the measured cross sections were performed by two independent methods; using the code RADCOR , which unfolds the radiative tails in $`(E_{\mathrm{miss}},P_{\mathrm{miss}})`$ space, and using the code MCEEP  which simulates the radiative tail based on the prescription of Borie and Drechsel . The corrected cross sections from the two methods agreed within the statistical uncertainties of these data. The radiative correction to the continuum cross section for $`60<E_{\mathrm{miss}}<120`$ MeV was about 10% of the measured cross section.

At $`\theta _{pq}=\pm 8^{}`$, $`R_{LT}`$ extracted independently at beam energies of 1.643 GeV and 2.442 GeV agree well within statistical uncertainties. This indicates that the systematic uncertainties are smaller than the statistical uncertainties. The systematic uncertainty in cross section measurements is about 5%. This uncertainty is dominated by the uncertainty in the 1H$`(e,e)`$ cross section to which the data were normalized .

Figure 1 shows the measured cross section as a function of missing energy at $`E_{\mathrm{beam}}=2.4`$ GeV for various proton angles, $`2.5^{}\theta _{pq}20^{}`$. The average missing momentum increases with $`\theta _{pq}`$ from 50 MeV/$`c`$ to 340 MeV/$`c`$. The prominent peaks at 12 MeV and 18 MeV are due to $`1p`$-shell proton knockout and are described in , where it was shown that the $`p`$-shell cross sections can be explained up to $`P_{\mathrm{miss}}=340`$ MeV/$`c`$ by relativistic Distorted Wave Impulse Approximation (DWIA) calculations. However the spectra for $`E_{\mathrm{miss}}>20`$ MeV exhibit a very different behavior. At the lowest missing momentum, $`P_{\mathrm{miss}}50`$ MeV/$`c`$, the wide peak centered at $`E_{\mathrm{miss}}40`$ MeV is due predominantly to knockout of protons from the $`1s_{1/2}`$-state. This peak is less prominent at $`P_{\mathrm{miss}}145`$ MeV/$`c`$ and has vanished beneath a flat background for $`P_{\mathrm{miss}}200`$ MeV/$`c`$. At $`E_{\mathrm{miss}}>60`$ MeV or $`P_{\mathrm{miss}}>200`$ MeV/$`c`$, the cross section does not depend on $`E_{\mathrm{miss}}`$ and decreases only weakly with $`P_{\mathrm{miss}}`$.

We compared our results to single-particle knockout calculations by Kelly  and Ryckebusch  to determine how much of the observed continuum ($`E_{\mathrm{miss}}>20`$ MeV) cross section can be explained by 1$`s_{1/2}`$-state knockout. Kelly  performed DWIA calculations using a relativized Schrödinger equation in which the dynamical enhancement of lower components of Dirac spinors is represented by an effective current operator . These calculations accurately describe the $`1p`$-shell missing momentum distributions up to 340 MeV/$`c`$ . For the $`1s_{1/2}`$-state, Kelly used a normalization factor of 0.73 and spread the cross section and the response functions over missing energy using the Lorentzian parameterization of Mahaux . At small $`P_{\mathrm{miss}}`$, where there is a clear peak at 40 MeV, this model describes the data well. At larger $`P_{\mathrm{miss}}`$, where there is no peak at 40 MeV, the DWIA cross section is much smaller than the measured cross section (see Figure 1). Relativistic DWIA calculations by other authors  show similar results. This confirms the attribution of the large missing momentum cross section to non-single-nucleon knockout.

Figure 1 also shows calculations by Ryckebusch et al.  using a non-relativistic single-nucleon knockout Hartree-Fock (HF) model which uses the same potential for both the ejectile and bound nucleons. Unlike DWIA, this approach conserves current at the one-body level, but it also requires much smaller normalization factors because it lacks a mechanism for diversion of flux from the single-nucleon knockout channel. At small missing momentum, this model describes both the $`p`$-shell and $`s`$-shell cross sections well. As the missing momentum increases, it progressively overestimates the $`p`$-shell and $`s`$-shell cross sections. The most important difference between the DWIA and HF single-nucleon knockout models is the absorptive potential; its omission from the HF model increases the HF cross section for $`P_{\mathrm{miss}}300`$ MeV/$`c`$ by an order of magnitude for both $`p`$-shell and $`s`$-shell.

Figure 1 also shows $`(e,e^{}pn)`$ and $`(e,e^{}pp)`$ contributions to the $`(e,e^{}p)`$ cross section calculated by Ryckebusch etal. . This calculation has also been performed in a HF framework. The cross section for the two particle knock-out has been calculated in the “spectator approximation” assuming that the two knocked-out nucleons will escape from the residual $`A2`$ system without being subject to inelastic collisions with other nucleons. This calculation includes contributions mediated by pion-exchange currents, intermediate $`\mathrm{\Delta }`$ creation and central and tensor short-range correlations. According to this calculation, in our kinematics, two-body currents (pion-exchange and $`\mathrm{\Delta }`$) account for approximately 85% of the calculated $`(e,e^{}pn)`$ and $`(e,e^{}pp)`$ strength. Short-range tensor correlations contribute approximately 13% while short-range central correlations contribute only about 2%. Since the two-body current contributions are predominantly transverse, the calculated $`(e,e^{}pn)`$ and $`(e,e^{}pp)`$ cross section is mainly transverse in our kinematics. The flat cross section predicted by this calculation for $`E_{\mathrm{miss}}>50`$ MeV is consistent with the data, but it accounts for only about half the measured cross section. Hence, additional contributions to the cross section such as heavier meson exchange and processes involving more than two hadrons must be considered.

Figures 2-4 present the separated response functions for various proton angles. Due to kinematic constraints, we were only able to separate the responses for $`E_{\mathrm{miss}}<60`$ MeV. The separated response functions can be used to check the reaction mechanism. If the excess continuum strength at high $`P_{\mathrm{miss}}`$ is dominated by two body processes rather than by correlations, then it should be predominantly transverse.

Figure 2 presents the separated response functions for $`P_{\mathrm{miss}}60`$ MeV/$`c`$. The wide peak centered around $`E_{\mathrm{miss}}40`$ MeV in both $`R_L`$ and $`R_T`$ corresponds primarily to single-particle knockout from the 1$`s_{1/2}`$-state. The difference between the transverse and longitudinal spectral functions ($`S_TS_L`$), which is expected to be zero for a free nucleon, appears to increase slightly with $`E_{\mathrm{miss}}`$. The magnitude of ($`S_TS_L`$) measured here is consistent with the decrease in ($`S_TS_L`$) with $`Q^2`$ seen in the measurements of Ulmer et al.  at $`Q^2=0.14`$ (GeV/$`c`$)2 and by Dutta et al.  at $`Q^2=0.6`$ and 1.8 (GeV/$`c`$)2. This suggests that, in parallel kinematics, transverse non-single-nucleon knockout processes decrease with $`Q^2`$.

Figure 3 presents the separated response functions ($`R_{L+TT}`$$`R_{L+TT}R_L+\frac{V_{TT}}{V_L}R_{TT}`$, $`R_T`$, and $`R_{LT}`$) for $`|\theta _{pq}|=8^{}`$ ($`P_{\mathrm{miss}}145`$ MeV/$`c`$). The Mahaux parameterization does not reproduce the shape of $`R_L`$ or of $`R_T`$ as a function of missing energy. For $`E_{\mathrm{miss}}<40`$ MeV, all calculated response functions underestimate the data suggesting the excitation of states with a complex structure between the $`p`$\- and $`s`$-shells. For $`E_{\mathrm{miss}}>50`$ MeV, $`R_{L+TT}`$ (which is mainly longitudinal because $`\frac{V_{TT}}{V_L}R_{TT}`$ is estimated to be only about 7% of $`R_L`$  in these kinematics) is consistent with both zero and with the calculations. $`R_T`$, on the other hand, remains nonzero to at least 60 MeV. $`R_T`$ is also significantly larger than the DWIA calculation. $`R_{LT}`$ is about twice as large as the DWIA calculation over the entire range of $`E_{\mathrm{miss}}`$. $`R_{LT}`$ is nonzero for $`E_{\mathrm{miss}}>50`$ MeV, indicating that $`R_L`$ is also nonzero in that range.

Figure 4 presents the separated response functions for $`|\theta _{pq}|=16^{}`$ ($`P_{\mathrm{miss}}280`$ MeV/$`c`$). At this missing momentum, none of the measured response functions show a peak at $`E_{\mathrm{miss}}40`$ MeV where single-particle knockout from the 1$`s_{1/2}`$-state is expected. $`R_{L+TT}`$ is close to zero and the DWIA calculation. However, $`R_T`$ and $`R_{LT}`$ are much larger than the DWIA calculation. $`R_T`$ is also much larger than $`R_{LT}`$ indicating that the cross section is due in large part to transverse two-body currents. The fact that $`R_{LT}`$ is nonzero indicates that $`R_L`$, although too small to measure directly, is also nonzero.

To summarize, we have measured the cross section and response functions ($`R_L,R_T`$, and $`R_{LT}`$) for the 16O$`(e,e^{}p)`$ reaction in quasielastic kinematics at $`Q^2=0.8`$ (GeV/$`c`$)2 and $`\omega =439`$ MeV for missing energies $`25<E_{\mathrm{miss}}<120`$ MeV at various missing momenta $`P_{\mathrm{miss}}340`$ MeV/$`c`$. For $`25<E_{\mathrm{miss}}<50`$ MeV and $`P_{\mathrm{miss}}60`$ MeV/$`c`$ the reaction is dominated by single-nucleon knockout from the 1$`s_{1/2}`$-state and is described well by DWIA calculations. $`(S_TS_L)`$ is smaller than that measured at $`Q^2=0.14`$  and $`Q^2=0.6`$ (GeV/$`c`$)2, but larger than that measured at $`Q^2=1.8`$ (GeV/$`c`$)2 . This is consistent with the previous observation that, at low $`P_{\mathrm{miss}}`$, knockout processes due to MEC and IC decrease with $`Q^2`$ .

At increasing missing momenta, the importance of the single-particle aspects is diminished. The cross section and the response functions no longer peak at the maximum of the $`s`$-shell (40 MeV). They no longer have the expected Lorentzian shape for $`s`$-shell knockout. DWIA calculations underestimate the cross section and response functions at $`P_{\mathrm{miss}}>200`$ MeV/$`c`$ by more than a factor of 10. Hence, we conclude that the single-particle aspect of the 1$`s_{1/2}`$-state contributes less than 10% to the cross section at $`P_{\mathrm{miss}}>200`$ MeV/$`c`$. This is in contrast to the $`p`$-shell case, where DWIA calculations describe the data well up to $`P_{\mathrm{miss}}=340`$ MeV/$`c`$.

At $`25<E_{\mathrm{miss}}<120`$ and $`P_{\mathrm{miss}}>200`$ MeV/$`c`$ the cross section is almost constant in missing energy and missing momentum. For $`E_{\mathrm{miss}}>60`$ MeV this feature is well reproduced by two-nucleon knockout calculations, $`(e,e^{}pp)`$ plus $`(e,e^{}pn)`$. These calculations also account for the predominantly transverse nature of the cross section, due to the large contribution from the two-body (pion exchange and isobar) currents. This indicates that the excess continuum strength at high $`P_{\mathrm{miss}}`$ is dominated by two body processes rather than by correlations. To our knowledge, this is the only model which can account for the shape, transversity and about the half of the magnitude of the measured continuum cross section. The unaccounted for strength suggests that additional currents and processes play an important role.

We acknowledge the outstanding support of the staff of the Accelerator and Physics Divisions at Jefferson Laboratory that made this experiment successful. We thank Dr. J. Ryckebusch for providing theoretical calculations. We also thank Dr. J.M. Udias for providing us with the NLSH bound-state wave functions. This work was supported in part by the U.S. Department of Energy contract DE-AC05-84ER40150 under which the Southeastern Universities Research Association (SURA) operates the Thomas Jefferson National Accelerator Facility, other Department of Energy contracts, the National Science Foundation, the Italian Istituto Nazionale di Fisica Nucleare (INFN), the French Atomic Energy Commission and National Center of Scientific Research, and the Natural Sciences and Engineering Research Council of Canada.


text:
# 1 Introduction

## 1 Introduction

It is well known that cluster galaxies are systematically different from galaxies in the field, but when and why such environmental differences were established is still a matter of intense investigation. Observations of distant clusters have proven that important changes in cluster galaxies have taken place at a relatively recent cosmological epoch between z$`0.2`$ and z=0. In this contribution I present the observational evidence for the recent evolution of the morphological types of galaxies in clusters. What follows is a partial summary of two collaborations: with the MORPHS group (H. Butcher, A. Dressler, W. Couch, R. Ellis, A. Oemler, I. Smail) we have studied 10 clusters at $`0.37<z<0.56`$ obtaining HST images and ground based spectra, and with G. Fasano and collaborators (W. Couch, D. Bettoni, P. Kjærgaard, M. Moles) we have analyzed the morphologies of galaxies in 9 clusters at $`0.1<z<0.25`$. This second work has made use of ground-based images taken under conditions of very good seeing and covers a redshift range previously unexplored. In both of these studies we are considering galaxies down to the same absolute magnitude ($`M_V`$=-20) within the central $`\mathrm{Mpc}^2`$ of the cluster. After carefully testing the accuracy of the morphologies and the consistency of the classification schemes in the two studies, we are confident we are able to broadly classify galaxies into three main morphological types (ellipticals, S0s and spirals) and that the two datasets can be compared to study morphological evolution.

## 2 Evolution of the fractions of morphological types

The frequency of the various Hubble types in clusters evolve with redshift. The different proportions of the galaxy types at z=0.4-0.5 (Dressler et al. 1997, D97) and at z=0 (Dressler 1980, D80) can be schematically summarized as follows:

|  | z=0 | z=0.5 |
| --- | --- | --- |
|  | (D80) | (D97) |
| Sp | 1 | 2 |
| S0 | 2 | 1 |
| E | 1 | 1($`>`$) |

Thus, spirals are a factor of 2 more abundant at $`z0.5`$ than in the nearby universe and S0 galaxies are proportionally less abundant, while the fraction of ellipticals is already as large or larger at higher redshift. Figure 1 presents the E, S0 and spiral fraction for clusters at low, moderate and intermediate redshift and shows a clear evolutionary trend, with the S0 population growing towards lower redshifts at the expense of the spiral population. A large number of the S0s in clusters seem to be produced from the morphological conversion of the spirals.

Let us now consider the relative frequency of S0s and ellipticals, i.e. the number ratio of these two types, which again shows a trend with redshift (Fig. 2). In this figure we observe a dichotomy in the range $`0.1<z<0.25`$, with a group of 5 clusters having an S0/E ratio $`1.5`$ and another group of 6 clusters with a ratio $`0.8`$. Searching for correlations between the S0/E ratio and the global cluster properties, we found that the only structural difference between the low-S0/E and the high-S0/E clusters is (respectively) the presence/absence of a high concentration of elliptical galaxies toward the cluster centre. Hence, besides and on top of the evolutionary effects (which seem to be driving the gross differences over the observed redshift range), the S0/E ratio appears to depend also on the cluster “type” (its central concentration). A correlation between the galactic morphological content and the cluster concentration is known to exist at lower z, as discussed in Oemler (1974) (see Figs. 1 and 2). We now found that the dependence of the morphological mix on the cluster type is significant at least up to z=0.25, but we note that such a dependence appears to be smaller than the evolutionary effects between z=0.5 and now.

## 3 The morphology-density relation

In low-z clusters, Dressler (1980) found that the frequency of each morphological type is a function of the local projected galaxy density: ellipticals and spirals are more abundant in the highest and lowest density regions, respectively. While this relation is observed in all types of clusters at low-z, both at z=0.5 (Dressler et al. 1997) and at z=0.1-0.2 (Fasano et al. 2000) such a relation is found only in centrally concentrated clusters. If confirmed by a systematic and homogeneous study of larger galaxy samples, these results would imply that the morphology-density relation in low-concentration clusters was established only during the last 1-2 Gyr.


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# Principle of equivalence and wave-paticle duality in quantum gravity

## Abstract

This talk presents: (a) A quantum-mechanically induced violation of the principle of equivalence, and (b) Gravitationally-induced modification to the wave particle duality. In this context I note that the agreement between the predictions of general relativity and observations of the energy loss due to gravitational waves emitted by binary pulsars is just as impressive as the agreement between prediction of quantum electrodynamics and the measured value of Lamb shift in atoms. However, general relativity has not yet yielded to a successful quantised theory. There is a widespread belief that the two thories are incompatible at some deep level. The question is : where? Here, I show that the conceptual foundations of the theory of general relativity and quantum mechanics are so rich that they suggest concrete modifications into each other in the interface region. Specifically, I consider quantum states that have no classical counterpart and show that such states must carry an inherent violation of the principle of equivalence. On the other hand, I show that when gravitational effects are incorporated into the quantum measurement process one must induce a gravitationally induced modification to the de Broglie’s wave-particle duality. The reported changes into the foundations of the two theories are far from in-principle modifications. These are endowed with serious implications for the understanding of the early universe and, in certain instances, can be explored in terrestrial laboratories.

Institute for the Studies of the Glass Bead Game (ISGBG)

Ap. Pos. C-600, Zacatecas 98068, Mexico

Escuela de Fisica, Univ. Aut. de Zacatecas

Av. Preparatoria 301, Fracc. Progreso, Zacatecas 98060, Mexico

Published in: Memorias del III Taller de la DGFM-SMF, 2000. “Aspectos de Gravitación y Física-Matemática”, Editadas por N. Bretón, O. Pimentel y J. Socorro.

Post-publication Comments: The factor of $`8`$ in Eq. (23) should be replaced by $`4`$. This talk is based on: G. Z. Adunas, E.Rodriguez-Milla, D. V. Ahluwalia, Phys. Lett. B. 485 (2000) 215-223, and D. V. Ahluwalia, Phys. Lett. A (in press), gr-qc/0002005. The post-talk evolution of these ideas is contained in those two publications, and in G. Z. Adunas, E.Rodriguez-Milla, D. V. Ahluwalia, Gen. Rel. Grav. (in press), gr-qc/0006022.

To establish the thesis outlined in the abstract, first consider a flavor eigenstate of a neutrino as a standard linear superposition of different mass eigenstates:

$`|\nu _{\mathrm{}}={\displaystyle \underset{ȷ}{}}_\mathrm{}ȷ|m_ȷ`$ (1)
where the flavor index $`\mathrm{}`$ carries the values $`e,\mu ,\tau `$. The mass eigenstates are labeled by $`ȷ`$ which takes on the values $`1,2,3`$. Finally, the $`_\mathrm{}ȷ`$ are elements of a $`3\times 3`$ unitary mixing matrix, a rough form of which may be deciphered from the neutrino-oscillation data (see, e.g., ref. ).

Equation (1) makes the non-commutativity of the flavor and mass measurements for neutrinos manifest and thus warns for exercising conceptual caution. Phenomenologically, the theory of mass and flavor eigenstates can be incorporated into the standard model in a generally covariant manner, i.e., in strict accordance with the equivalence principle. However, measurement theory does not necessarily respect general covariance for quantum states with no classical analog. Below, I argue how the interplay between measurement and the extended standard model phenomenology of equation (1) yields a subtle violation of the equivalence principle.

Now, for simplicity, I confine to a two flavor space. Let the “flavor” states $`|\nu _a`$ and $`|\nu _b`$ be the following linear superposition of mass eigenstates $`|m_1`$ and $`|m_2`$:

$`|\nu _\alpha =c_\theta |m_1+s_\theta |m_2`$ (2)
$`|\nu _\beta =s_\theta |m_1+c_\theta |m_2`$ (3)
where $`s_\theta =\mathrm{sin}(\theta )`$, and $`c_\theta =\mathrm{cos}(\theta )`$. Without any loss of generality, I assume $`m_2>m_1`$. I will first restrict myself to the non-relativistic realm, and then immediately proceed to the relativistic case.

In contrast to classical systems, the very quantum construct that defines the flavor eigenstates does not allow them to carry a definite mass. Therefore, within the orthodox interpretational structure of the theory of quantum measurements, the equality of inertial and gravitational masses looses any operational meaning beyond a flavor-dependent fractional accuracy of the order of:

$`f_\eta :={\displaystyle \frac{\sqrt{\nu _\eta |\widehat{m}^2|\nu _\eta \nu _\eta |\widehat{m}|\nu _\eta ^2}}{\nu _\eta |\widehat{m}|\nu _\eta }}`$ (4)
Here, $`\eta =\alpha ,\beta `$, and $`\widehat{m}|m_ȷ=m_j|m_ȷ`$, with $`\widehat{m}`$, the mass operator. On evaluating $`f_\eta `$, I find:

$`f_\alpha ={\displaystyle \frac{s_{2\theta }\delta m}{2\left(m_1+s_\theta ^2\delta m\right)}}`$ (5)
$`f_\beta ={\displaystyle \frac{s_{2\theta }\delta m}{2\left(m_1+c_\theta ^2\delta m\right)}}`$ (6)
where $`\delta m=m_2m_1`$.

Assuming now that both the mass eigenstates carry the same three momentum, $`\stackrel{}{p}`$, and within the standard framework of the neutrino oscillation phenomenology, I obtain in the relativistic limit:

$`f_\alpha ^{}{\displaystyle \frac{\mathrm{\Delta }m^2c^3s_{2\theta }}{2\left(2p^2c+\mathrm{\Delta }m^2c^3s_\theta ^2\right)}}`$ (7)
$`f_\beta ^{}{\displaystyle \frac{\mathrm{\Delta }m^2c^3s_{2\theta }}{2\left(2p^2c+\mathrm{\Delta }m^2c^3c_\theta ^2\right)}}`$ (8)
Here, $`\mathrm{\Delta }m^2=m_2^2m_1^2`$ is the parameter that enters in the kinematic oscillation length:

$`\lambda _0^{osc}=\left[{\displaystyle \frac{2\pi \text{m}}{1.27}}\right]\left[{\displaystyle \frac{E}{\text{MeV}}}\right]\left[{\displaystyle \frac{\text{eV}^2}{\mathrm{\Delta }m^2}}\right]`$ (9)
while $`f_\eta ^{}`$ is defined as the ratio $`\mathrm{\Delta }E_\eta /E_\eta `$ paralleling the definition (4). A non-vanishing

$`\mathrm{\Delta }f_{\alpha \beta }^{}`$ $`:=`$ $`f_\alpha ^{}f_\beta ^{}{\displaystyle \frac{\left(\mathrm{\Delta }m^2\right)^2c^8}{16E^4}}s_{4\theta }`$ (10)
$`=`$ $`6.25\times 10^{26}\left[{\displaystyle \frac{\left(\mathrm{\Delta }m^2\right)^2}{\text{eV}^4}}\right]\left[{\displaystyle \frac{\text{MeV}^4}{E^4}}\right]s_{4\theta }`$ (11)
introduces an additional length scale into the neutrino-oscillation phenomenology:

$`\lambda _{qVEP}^{osc}=\left[{\displaystyle \frac{\pi \text{km}}{5.07}}\right]\left[{\displaystyle \frac{10^{15}}{|\mathrm{\Delta }f_{\alpha \beta }^{}\mathrm{\Phi }|}}\right]\left[{\displaystyle \frac{\text{MeV}}{E}}\right]`$ (12)
In equation (11) I approximate $`E`$ by $`pc`$. This does not introduce any error to the indicated order in the mass squared difference. In equation (12), $`\mathrm{\Phi }`$ is an essentially constant gravitational potential due to the rest of the universe in our immediate vicinity. To distinguish better the classical violation of the equivalence principle (VEP), from the quantum mechanically induced one, I here use the abbreviation qVEP for the latter. The planetary orbits are not changed by $`\mathrm{\Phi }`$ because it is essentially gradient-less over the entire solar system. However, a constant $`\mathrm{\Phi }`$ gives rise to significant effects in neutrino physics. This is because neutrino oscillations form a flavor oscillation clock, and their evolution is sensitive to $`\mathrm{\Phi }`$. It is precisely this sensitivity that endows them with the gravitational red shift dictated by general relativity  (also see ). The local cluster of galaxies, referred to as the Great attractor (GA), embeds the solar system in a few parts in $`10^{11}`$ constant contribution to $`\mathrm{\Phi }`$. Its value was estimated by Kenyon :

$`\mathrm{\Phi }_{GA}3\times 10^5`$ (13)
For comparison, the terrestrial and solar gravitational potentials on their respective surfaces are:

$`\mathrm{\Phi }_E=6.95\times 10^{10},\mathrm{\Phi }_S=2.12\times 10^6`$ (14)
The conceptual problems associated with estimating $`\mathrm{\Phi }`$ have tempted several authors in the neutrino physics community to identify $`\mathrm{\Phi }_{GA}`$ with $`\mathrm{\Phi }`$ itself. However, there are no á priorí reasons to arbitrarily ignore contributions to $`\mathrm{\Phi }`$ from the sources beyond the local cluster of galaxies and to not allow a $`\mathrm{\Phi }1`$, or even larger.

To explore a possible observability of the qVEP for the long-standing solar neutrino anomaly I combine equations (11) and (12) to obtain:

$`\lambda _{qVEP}^{osc}=3.16\times 10^9\pi {\displaystyle \frac{E^3}{\left(\mathrm{\Delta }m^2\right)^2|s_{4\theta }\mathrm{\Phi }|}}\text{km}`$ (15)
where it is now implicit that $`\mathrm{\Delta }m^2`$ is measured in eV2, and $`E`$ is expressed in MeV. ¿From this one readily obtains the ratio:

$`{\displaystyle \frac{\lambda _{qVEP}^{osc}}{\lambda _{}}}=0.66\times 10^2{\displaystyle \frac{E^3}{\left(\mathrm{\Delta }m^2\right)^2|s_{4\theta }\mathrm{\Phi }|}}`$ (16)
where $`\lambda _{}1.5\times 10^8\text{km}`$ is the mean Earth-Sun distance relevant for the neutrino detectors on the Earth.

We now study the result (16) for the solar neutrinos where $`0.2E20\text{MeV}`$. The existing and planned non-solar neutrino oscillations experiments explore $`\alpha \mathrm{\Delta }m^210^4`$, where $`\alpha `$ is of the order of a few eV2. The neutrino-oscillation parameter space, when firmly investigated, can be combined with result (16), to check the $`E^3`$ dependence of qVEP, and to infer $`\mathrm{\Phi }`$. The presently controversial higher end of the parameter $`\mathrm{\Delta }m^2`$ will soon be scrutinized by an experiment under construction at Fermi Lab. in Chicago. The lower end of that parameter space is already under intense investigation at Japan’s Super-Kamiokande experiment. The conditions for the observability of qVEP in the solar neutrino oscillation data requires, (a) that the parameters $`\{\mathrm{\Delta }m^2,\theta ,\mathrm{\Phi }\}`$ are such that the ratio $`\lambda _{qVEP}^{osc}/\lambda _{}`$ is of the order of unity, and that (b) the data quality and analysis be such that they allow for the separation of the slow and fast degrees of freedom. The fast degree of freedom comes from the usual kinematically induced oscillation length, $`\lambda _0^{osc}`$, while the slow one is induced by qVEP. Further, qVEP’s $`E^3`$ dependence can be used to distinguish it from the well-known conjecture on VEP due to Gasperini .

The qVEP is not restricted to neutrino physics. The Stanford techniques pioneered by Steven Chu  can be exploited to study qVEP by means of atomic states modeled after equation (1). At present, these techniques allow for the relevant gravitationally induced phases to be measured with the remarkable precision of a few parts in $`10^9`$.

Having established the phenomena of qVEP, I now present arguments on the gravitationally modified de Broglie wave particle duality for the interface region under study.

Some years ago I formulated an argument  that at the Planck scale quantum measurements alter the local space-time metric in a manner that destroys the commutativity of the position measurements. One consequence of that argument was that non-locality must be an essential part of any attempt to merge the theory of general relativity with quantum mechanics. The non-locality derived in that argument easily extends to measurements of different components of the position vector of a single particle, and modifies the fundamental commutators of the Heisenberg algebra. Efforts in string theories come to the same conclusion in an independent manner. In that context an early reference is the work of Veneziano  while a recent one is . Without invoking extended objects, and entirely within the framework of quantum mechanics and the theory of general relativity, Adler and Santiago  have found at the same modifications to the uncertainty principle as that obtained by works on extended objects (for directly related works see ). A somewhat different argument, based on the existence of an upper bound for acceleration, also results in a similar modification to the uncertainty principle . The mathematical expression of the above results that leads to a gravitationally modified expression for the de Broglie wave particle duality is given by the following modification to the fundamental commutator :

$`[𝐱,𝐩]=i\mathrm{}\left[\mathrm{𝟏}+ϵ{\displaystyle \frac{\lambda _P^2𝐩^2}{\mathrm{}^2}}\right]`$ (17)
where $`\lambda _P=\sqrt{\mathrm{}G/c^3}`$, is the Planck length, and $`ϵ`$ is some dimensionless number of the order of unity. In what follows, for convenience, I set $`ϵ`$ equal to unity. This commutator reproduces the gravitationally modified uncertainty relations. Specifically, one has the new position-momentum uncertainty relation:

$`\mathrm{\Delta }x\mathrm{\Delta }p_x{\displaystyle \frac{\mathrm{}}{2}}\left[1+\left({\displaystyle \frac{\lambda _P\mathrm{\Delta }p_x}{\mathrm{}}}\right)^2+\left({\displaystyle \frac{\lambda _P𝐩}{\mathrm{}}}\right)^2\right]`$ (18)
which carries with it the Kempf-Mangano-Mann (KMM, ref.) lower bound on the position uncertainty:

$`\mathrm{\Delta }x__K=\lambda _P\left(1+{\displaystyle \frac{\lambda _P𝐩}{\mathrm{}}}\right)^{1/2}`$ (19)
Notice that $`\mathrm{\Delta }x_K`$ has a state dependence via $`𝐩`$. For a state of a vanishing $`𝐩`$, one obtains the absolute minimal distance that can be probed quantum mechanically. Since this lowest bound does not depend on the particle species, it is likely that this points towards some new intrinsic property of the space-time itself.

An important implication of the KMM lower bound, $`\mathrm{\Delta }x__K`$, is that the de Broglie plane waves can no longer represent the physical wave functions, even in principle. Thus the de Broglie wave particle duality must undergo a fundamental conceptual and quantitative change.

In their pioneering work KMM have presented a modification to the de Broglie relation, but they have confined only to the non-relativistic particles (a situation likely to be of little interest in the Planck regime). Here I present the gravitationally modified de Broglie relation without restrictions on the particle’s momentum. It is readily seen that the momentum space wave function consistent with the gravitationally modified uncertainty relations (18) reads :

$`\psi (p)`$ $`=`$ $`N\left(1+\beta p^2\right)^{\left[\kappa (𝐩)/4\beta (\mathrm{\Delta }p)^2\right]}`$ (20)
$`\times \mathrm{exp}\left[i{\displaystyle \frac{𝐱}{\lambda _P}}\mathrm{tan}^1\left(\sqrt{\beta }p\right){\displaystyle \frac{\kappa (𝐩)𝐩}{2(\mathrm{\Delta }p)^2\sqrt{\beta }}}\mathrm{tan}^1\left(\sqrt{\beta }p\right)\right]`$
where $`\kappa (𝐩):=1+\beta (\mathrm{\Delta }p)^2+\beta 𝐩^2`$, and $`\beta :=\lambda _P^2/\mathrm{}^2`$. $`N`$ is a normalization factor. This represents an oscillatory function damped by a momentum-dependent exponential. I identify the oscillation length with the gravitationally modified de Broglie wave length:

$`\lambda =2\pi {\displaystyle \frac{\lambda _P}{\mathrm{tan}^1\left(\sqrt{\beta }p\right)}}`$ (21)
Introducing $`\overline{\lambda }_P:=2\pi \lambda _P`$ as the Planck circumference; and $`\lambda _{dB}`$ as the gravitationally unmodified de Broglie wave length, $`\lambda _{dB}=h/p`$, the above expression takes the form:

$`\lambda ={\displaystyle \frac{\overline{\lambda }_P}{\mathrm{tan}^1\left(\overline{\lambda }_P/\lambda _{dB}\right)}}\{\begin{array}{cc}\lambda _{dB}\hfill & \text{for low energy regime}\hfill \\ 4\lambda _P\hfill & \text{for Planck regime}\hfill \end{array}`$ (22)
In addition, for the specific non-relativistic regime considered by Kempf et al. , $`\lambda `$ reproduces their equation (44). This justifies the interpretation of the oscillatory length associated with KMM’s $`\psi (p)`$ as the gravitationally modified de Broglie wavelength.

It is worth repeating that in the Planck realm, the wavelength $`\lambda `$ asymptotically approaches the constant value $`4\lambda _P`$ that is now universal for all particle species. As a consequence of this universality, a new type of coherence is likely to emerge in the early universe whose significance for the large-scale uniformity of the universe has already been mentioned.

As an illustrative example, to the lowest order in $`\lambda _P`$, the effect of the modification (18) on the ground state level of the hydrogen atom results in the following modified uncertainty principle estimate for the ground state of an electron in an H-atom:

$`\left(E_0\right)_g{\displaystyle \frac{me^4}{2\mathrm{}^2}}\left[1{\displaystyle \frac{8m\lambda _P^2}{\mathrm{}^2}}\left({\displaystyle \frac{me^4}{2\mathrm{}^2}}\right)\right]`$ (23)
Identifying:

$`E_0={\displaystyle \frac{me^4}{2\mathrm{}^2}}`$ (24)
with the ground state level of the hydrogen atom without incorporating the gravitationally-induced correction to the uncertainty relation, one immediately notices that the effect of the gravitationally induced modification is to reduce the magnitude of the ionization energy by $`5\times 10^{48}\text{eV}`$. This suggests that a space-time endowed with the KMM bound is in some sense a heat bath as it decreases the energy required to disassociate the H-atom.

If the effects of the gravitationally induced modification to the de Broglie wave particle duality are negligible for low energy, their relevance can hardly be overestimated at the Planck-scale induced phenomena. Apart from the coherence that is predicted to be present in the early universe, there are already speculations that anomalous events around $`10^{20}`$ eV cosmic rays may be pointing towards a violation of the Lorentz symmetry . This violation is also independently expected from the present study and can be systematically studied as new cosmic ray experiments yield data at still higher energies approaching the Planck scale. In this context it is important to note that the argument that Planck energy cosmic rays are forbidden by the Greisen-Zatsepin-Kuzmin (GZK) cutoff is no longer valid as the recent cosmic ray experiments have amply demonstrated.

The above discussion makes it clear that the conceptual foundations of the theory of general relativity and quantum mechanics are so rich that they suggest concrete modifications into each other in the interface region.

Acknowledgements. This was my first invited talk in Mexico after I moved to Mexico as a faculty member at Zacatecas. I extend my thanks for the invitation, and for the opportunity to meet a vibrant community full of new ideas and hopes. My particular thanks go to the leadership of Mexican Physics for making my coming to Mexico possible, and so rewarding. My editorial responsibilities, and efforts involved in settling (not to mention applying for the CONACyT project and for the SNI membership), proved to be so overwhelming for me that so far my Spanish classes have taken a back seat. For that my apologies. I hope in some small way I compensate that failing in other ways. This work was supported by CONACyT (Mexico) and good cheer of the desert mountain. Gracias!


text:
# Lessons from Hadron Phenomenology

## 1 Introduction

The main effort of our light-front community has been in the past ten years to develop new techniques for solving QCD, be it DLCQ- or renormalisation-group- based methods (for review see ). In practice the usefulness of any procedure (which includes the question of convergence) is often determined by how well its first approximation captures the essential features of the system under consideration. This is why phenomenology can be helpful in tailoring the approximation schemes by giving us some hints of what is important for the spectra.

## 2 Regge Trajectories and Spectroscopy

One phenomenological way of describing the spectra is via Regge trajectories $`\alpha (s)`$, which can be, for the purpose of my presentation, thought of as “lines” connecting the bound states plotted in the angular momentum $`J`$ vs. mass squared $`M^2`$ plane, $`\alpha (s)J(M^2).`$ Table I illustrates the grouping into trajectories of the light $`I=1`$ mesons. The trajectories differing by parity (such as the vector and tensor, the first line of the Table I) would be degenerate in a non-relativistic theory; in the full theory, they are near-degenerate in the bound-state region.

| $`q\overline{q}`$ spin |  | S | P | D | F | wave |
| --- | --- | --- | --- | --- | --- | --- |
| S=1 | vector | $`\rho (1^{})`$ |  | $`\rho _3(3^{})`$ |  |  |
|  | tensor |  | $`a_2(2^{++})`$ |  | $`a_4(4^{++})`$ |  |
|  | axial vector |  | $`a_1(1^{++})`$ |  | $`a_3(3^{++})`$ |  |
|  | axial tensor |  |  | $`\rho _2(2^{})`$ |  |  |
|  | scalar |  | $`a_0(0^{++})`$ |  | $`a_2(2^{++})`$ |  |
|  | vector |  |  | $`\rho (1^{})`$ |  |  |
| S=0 | pseudoscalar | $`\pi (0^+)`$ |  | $`\pi _2(2^+)`$ |  |  |
|  | pseudovector |  | $`b_1(1^+)`$ |  | $`b_3(3^+)`$ |  |

Table I. Regge trajectories for the light $`I=1`$ mesons. $`J^{PC}`$ of the given meson is shown in parentheses.

In the Veneziano model for scattering amplitudes  there are infinitely many excitations populating linear Regge trajectories. The Veneziano amplitude ($`s,`$ $`t`$ are the usual Mandelstam variables),

$$V(s,t)=\frac{\mathrm{\Gamma }(1\alpha (s))\mathrm{\Gamma }(1\alpha (t))}{\mathrm{\Gamma }(2\alpha (s)\alpha (t))}=_0^1𝑑xx^{\alpha (s)}(1x)^{\alpha (t)},$$
(1)
only allows for a linear (or at most a polynomial ) trajectory, $`\alpha (s)=\alpha (0)+\alpha ^{}s`$, if the spins are finite . The same picture of linear trajectories arises from a linear confining potential and the string model of hadrons (see  for references).

However, the realistic Regge trajectories extracted from data are nonlinear. For example, the straight line which crosses the $`K_2^{}`$ and $`K_4^{}`$ squared masses corresponds to an intercept $`\alpha _{K_2^{}}(0)0.1,`$ whereas the physical intercept is located at $`0.4.`$ In addition to being disfavored by this and other experiments, linear trajectories also lead to problems in theory. (For details on both experimental and theoretical aspects, and references, see .)

We have argued that the nonlinearity of hadronic Regge trajectories is due to pair production which screens the confining QCD potential at large distances . Because of pair production, there cannot be infinitely many bound states, and the real part of Regge trajectories will terminate in angular momentum. Once the nonlinearity of Regge trajectories is an accepted fact, the question of what specific form should be used for phenomenology arises.

We have considered a whole class of nonlinear trajectories allowed by dual amplitudes with Mandelstam analyticity (DAMA) ( and references therein). DAMA are a generalization of Veneziano amplitudes (1),

$`D(s,t)`$ $`=`$ $`{\displaystyle _0^1}𝑑x\left({\displaystyle \frac{x}{g}}\right)^{\alpha (s^{})}\left({\displaystyle \frac{1x}{g}}\right)^{\alpha (t^{})}`$ (2)
where $`g>1`$ is a constant, and $`s^{}=s(1x),`$ $`t^{}=tx`$, and they allow for Regge trajectories of a form

$`\alpha _{j\overline{i}}(t)`$ $`=`$ $`\alpha _{j\overline{i}}(0)+\gamma \left[T_{j\overline{i}}^\nu (T_{j\overline{i}}t)^\nu \right]`$ (3)
where $`\nu `$ is a constant restricted to $`0\nu \frac{1}{2}`$; $`\gamma `$ is a universal constant; $`T_{j\overline{i}}`$ is a trajectory threshold, $`\alpha _{j\overline{i}}(0)`$ is its intercept, and $`i,j`$ refer to flavor. We have argued that both limiting cases ($`\nu =1/2`$ and $`\nu =0`$) can be expected to work comparably well for lowest lying states, but the $`\nu =1/2`$, so-called square-root, form is likely to be more realistic. Therefore, we use the square-root form for phenomenological purposes.

Assuming that mesonic Regge trajectories are of the form (3) with $`\nu =1/2`$, we determine thresholds and intercepts of trajectories by using various experimental information. Typically, we use masses of a few known lowest lying states, and in the case of the $`\rho `$ trajectory we also use the value of the intercept (which is known and well-established) found from exchange processes. The value of $`\gamma `$ (the universal asymptotic slope) is fit to the $`\rho `$ trajectory, and then taken as universal for all other trajectories.

The approach has more predictive power than one would naively expect. This is because the parameters for trajectories with different flavors within a multiplet are related by additivity of intercepts and additivity of inverse slopes near the origin, two requirements that are independent of which specific form is assumed for the trajectories . This means in practice, that out of 20 parameters for each 5-flavor meson multiplet, only 8 are independent. We further reduce the number of parameters by requiring that the thresholds of parity-partner trajectories (such as vector and tensor in Table I) are the same. This further reduces the number of parameters for the two related multiplets from 16 to 12. We tested this assumption where there were data available, and it is well satisfied .

Once the parameters of the trajectories are known, masses of excited states lying on each of the trajectories under consideration can be calculated, and compared with experimental data. Where there are no data available, our results are predictions. Recall, that one of the parameters of a trajectory, in particular, its intercept, is also an observable, so the result of our fit to bound state data can be independently checked with what is known from scattering processes.

We studied vector and tensor meson trajectories, and pseudoscalar and axial-vector meson trajectories. In all of these cases, our results are in excellent agreement with both scattering and bound state data, as well as results of different methods, such as lattice QCD or sum rules.

The approach can also be applied to glueballs. We extracted parameters of the Pomeron trajectory, assuming that it, too, is of the square-root form, from the data collected by ZEUS collaboration . We found a threshold of 10 GeV, much higher that that of, but consistent with what can be expected from, light mesons. The parameters yield plausible values for glueball masses .

Experimental consequences of the termination of Regge trajectories are intriguing. For example, we believe that $`a_6`$ is likely to be the last state on the $`a_2`$ trajectory. We also believe that any state above roughly 3.2 GeV that does not fit into charmonium spectra is likely to be an exotic, since according to our study light quarkonium states terminate at about 3 GeV. This leaves a large window for glueballs, since they terminate at a much higher mass. Of no less interest is the main lesson for the theory: Linear confinement is likely neither sufficient nor the most important factor determining the position of poles, not even for states as low as second or third on a trajectory. This means that if our light-cone attempts to solve QCD are to be successful beyond the ground states, they need to take into account the effect of pair production or, in other words, mixing with higher Fock states.

M.B. would like to thank Antonio Bassetto for discussions. This research is supported in part by the U.S.D.O.E. under contract W-7405-ENG-36, and grant DE-FG02-97ER-41029.


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# Light hadronic physics using domain wall fermions in quenched lattice QCDWork done in collaboration with T. Blum, P. Chen, N. Christ, C. Cristian, C. Dawson, G. Fleming, A. Kaehler, X. Liao, G. Liu, C. Malureanu, R. Mawhinney, S. Ohta, G. Siegert, A. Soni, C. Sui, P. Vranas, L. Wu, and Y. Zhestkov (RIKEN/BNL/CU Collaboration)

## 1 INTRODUCTION

The RBC Collaboration has recently reported results based on quenched QCD simulations with domain wall fermions on lattices of various volumes and spacings . This talk summarizes our understanding of the behavior of the pseudoscalar meson mass as a function of input quark mass, scaling of the nucleon–rho mass ratio, and strange quark mass. Another set of quenched simulation results with domain wall fermions have been reported by the CP-PACS Collaboration .

## 2 CHIRAL CONDENSATE

A Dirac operator $`D`$ which has a well-defined index should lead to a chiral condensate which satisfies the following Banks–Casher relation (for finite volume)

$$\overline{q}q=\frac{1}{12V}\frac{|\nu |}{m}+\frac{m}{12V}\underset{i,\lambda _i0}{}\frac{1}{\lambda _i^2+m^2}$$
(1)
where $`\lambda _i`$ are eigenvalues of the massless Dirac operator and $`\nu `$ is the index of $`D`$. Note that these zero modes are chiral and correspond to units of topological charge in the continuum. In full QCD simulations configurations which support eigenvalues equal to zero are suppressed during Monte Carlo updating due to the fermion determinant in the Boltzmann weight. This suppression is absent in the quenched approximation. Consequently, a prominent $`1/m`$ divergence should appear in $`\overline{q}q`$ for quenched simulations in finite volumes. Only when one uses a fermion discretization which admits a non-zero index can one observe this divergence, so the first signal was seen with domain wall fermions .

Fig. 1 shows $`\overline{q}q`$ vs. the input quark mass $`m_f`$ on two volumes at $`\beta =5.7`$ (plaquette gauge action). As expected from Eq. 1 the divergence is much more severe for the smaller volume, approximately (1.6 fm)3, than for the larger volume, $`(3.2\mathrm{fm})^3`$. The lines are fits to the form

$$\overline{q}q=\frac{a_1}{m_f+\delta m_{\overline{q}q}}+a_0+a_1m_f.$$
(2)
$`\overline{q}q`$ has a similar divergence on a (1.6 fm)3 box at $`\beta =6.0`$ .

## 3 PSEUDOSCALAR MESON

Given that the chiral condensate in finite volume is sensitive to topological zero modes when using domain wall fermions, we turn to correlators which couple to the pseudoscalar meson, viz $`A_0^a(x)A_0^a(0)`$ and $`\pi ^a(x)\pi ^a(0)`$. Looking at the spectral decomposition of these correlators  leads one to expect the leading zero mode effects to be $`A_0^a(x)A_0^a(0)1/m`$ and $`\pi ^a(x)\pi ^a(0)1/m^2`$. Indeed time histories of these correlators (Fig. 2) show the latter correlator to be much more singular than the former. Also plotted in Fig. 2 is the connected scalar–scalar correlator which has the same leading zero mode effects as $`\pi ^a(x)\pi ^a(0)`$, both according to the spectral decomposition and as seen in the data.

The singular behavior of $`\pi ^a(x)\pi ^a(0)`$ for small mass leads to a contamination in the extraction of the meson mass. The mass computed from this correlator is significantly larger at small $`m_f`$ than the mass computed from $`A_0^a(x)A_0^a(0)`$, both at $`\beta =6.0`$ (Fig. 3) and at $`\beta =5.7`$ (Fig. 4). An attempt can be made to subtract the zero mode effects by extracting a mass from $`\pi ^a(x)\pi ^a(0)+\sigma (x)\sigma (0)_\mathrm{c}`$. At small $`m_f`$ the fact that the mass from $`A_0^a(x)A_0^a(0)`$ is larger than from the “subtracted” correlator could be due to $`1/m`$ zero mode contributions in $`A_0^a(x)A_0^a(0)`$. The subtracted correlator receives increasing contribution from the isovector scalar meson as $`m_f`$ increases, explaining the deviation of the diamonds for larger values of $`m_f`$ in Fig. 3.

The zero mode effects disappear within the statistical resolution when the volume is increased. Fig. 5 shows the pseudoscalar meson mass extracted from all three propagators on a lattice with $`(3.2\mathrm{fm})^3`$ spatial volume at $`\beta =5.7`$. The asterisk in that figure denotes the residual mass, $`m_{\mathrm{res}}=0.0072(9)`$, computed from the ratio of the mid-point pseudoscalar density to the surface pseudoscalar density . Although it is not clear on the scale of the plot, the linear extrapolation of $`(am_\pi )^2`$ to zero in $`m_f`$ misses $`m_{\mathrm{res}}`$ by over $`2\sigma `$. Quenched chiral perturbation theory suggests that for vanishing quark mass $`m`$, $`m_\pi ^2m^{1/(1+\delta )}`$ . In order to simplify the fit in the region of $`m_f`$ where the data points are, one uses

$$(am_\pi )^2=a_0(m_f+a_1)(1\delta \mathrm{ln}(m_f+a_1)).$$
(3)
The solid line in Fig. 5 gives $`a_1=0.0073(10)`$, in good agreement with $`m_{\mathrm{res}}`$, and $`\delta =0.07(4)`$. Although the $`\chi ^2`$/dof (with errors estimated from jackknifing) decreases from $`4.3\pm 2.6`$ to $`3.6\pm 2.4`$ between the linear and logarithmic fits, it is not compelling enough to conclude firmly that the latter is preferable. On the other hand, our theoretical prejudice is for a fit which extrapolates to $`(am_\pi )^2=0`$ at $`m_f=m_{\mathrm{res}}`$.

The important conclusion from this study is that topological zero modes can contaminate quantities used to compute observables in small volume simulations. This interesting effect is a consequence of the index of the domain wall Dirac operator and, and it vanishes for increasing volume.

## 4 SCALING OF $`m_N/m_\rho `$

Vector meson and nucleon masses have been computed as functions of $`m_f`$ on lattices at $`\beta =5.7`$, 5.85, and 6.0 on approximately equal spatial volumes. Fig. 6a shows $`m_N/m_\rho `$ vs. $`a^2`$ where the nucleon and rho masses have been extrapolated linearly to the chiral point $`m_f=m_{\mathrm{res}}`$. Although the scatter of the data points is only at the $`1\sigma `$ level, it is hard to draw a firm conclusion regarding their scaling behavior. The fit to $`c_0+c_2a^2`$ has a $`\chi ^2`$/dof of 2.4.

Given that the data for the pseudoscalar data hint at nonlinearities in the chiral extrapolations, one might wonder what role these would play in Fig. 6a. The smallest $`m_f`$ in the $`\beta =5.7`$, 5.85, and 6.0 simulations correspond to $`m_\pi /m_\rho =0.38`$, 0.57, and 0.46, respectively. Therefore the different simulations would have different sensitivities to any deviation from linearity in the chiral limit. One way to test scaling while avoiding chiral extrapolation is to compare $`m_N/m_\rho `$ at a value of $`m_\pi /m_\rho `$ where simulations have been done. In Fig. 6b we plot $`m_N/m_\rho `$ interpolating the data to $`m_\pi /m_\rho =0.61`$. These data fit $`c_0+c_2a^2`$ with a $`\chi ^2`$/dof of 0.88.

## 5 STRANGE QUARK MASS

The calculation of the strange quark mass using this data was presented at DPF 2000 . Using masses and matrix elements from  the strange quark mass is computed defined through both the vector and axial Ward-Takahashi identities (VWTI/AWTI). The renormalization factors are computed in the RI/MOM scheme . We find at $`\beta =6.0`$

$$m_s^{\overline{\mathrm{MS}}}(2\mathrm{GeV})=\{\begin{array}{cc}110(2)(22)\mathrm{MeV}& \mathrm{VWTI}\\ 105(6)(21)\mathrm{MeV}& \mathrm{AWTI}\end{array}$$
(4)
using the $`K`$ mass to fix $`m_f`$ for the strange sector. The first error is statistical, and the second is the systematic error due to using perturbation theory at 2 GeV to match to the $`\overline{\mathrm{MS}}`$ scheme. At $`\beta =5.85`$ we quote $`m_s^{\overline{\mathrm{MS}}}(2\mathrm{GeV})=100(5)(20)`$ MeV from the AWTI. Using the $`K^{}`$ instead to set $`m_f^{(s)}`$ increases $`m_s^{\overline{\mathrm{MS}}}(2\mathrm{GeV})`$ by $`20\%`$ at $`\beta =6.0`$ and by $`35\%`$ at $`\beta =5.85`$.

## ACKNOWLEDGMENTS

Simulations performed with the RBRC and Columbia QCDSP’s and the NERSC Cray T3E.


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# Collapsed and adsorbed states of a directed polymer chain in two-dimensions.

## I Introduction

The subject of adsorption of a long flexible polymer chain immersed in a poor solvent on an impenetrable surface with an attractive short-range attraction has received considerable attention in recent years . This is because an attractive surface may lead to adsorption-desorption transition from the state when the chain is mostly attached to the surface to the state of detachment when the temperature is increased. This behaviour finds applications in lubrication, adhesion, surface protection, etc.

It is known that when a chain interacts with a surface its conformational properties get modified in comparison with its bulk properties . This is because of a subtle competition between the gain of internal energy and the corresponding loss of entropy due to the constraint imposed on the chain by the impenetrable surface. This competition leads to the possibility of co-existence of different regimes and multicritical behaviour.

The essential physics associated with the behaviour of a surface interacting polymer chain in a good solvent is derived from a model of self-avoiding walk (SAW) on a semi-infinite lattice. If the surface is attractive, it contributes an energy $`ϵ_s`$ ($`<0`$) for each step of the walk on the surface. This leads to an increased probability characterized by the Boltzmann factor $`\omega =\mathrm{exp}(ϵ_s/k_\beta T)`$ of making a step along the surface, since for $`ϵ_s<0`$, $`\omega >1`$ for any finite temperature $`T`$ ($`k_\beta `$ is the Boltzmann constant). Because of this the polymer chain get adsorbed at low temperatures on the surface while at high temperatures all polymer conformations have almost same weight and non adsorbed (or desorbed) behaviour prevails. The transition between these two regimes is marked by a critical adsorption temperature $`T_a`$, with a desorbed phase for $`T>T_a`$ and adsorbed phase for $`T<T_a`$ as shown in Fig. $`1`$. At $`T<T_a`$ the chain acquires a conformation such that a fraction of monomers get attached to the surface and others form a layer of finite thickness parallel to the surface. The thickness of the layer diverges at $`T=T_a`$. One may define the crossover exponent $`\varphi `$, at $`T=T_a`$ as $`N_sN^\varphi `$ where $`N`$ is the total number of monomers and $`N_s`$ the number of monomers on the surface. The transition point $`T_a`$ is a tricritical point . Both the surface and the bulk critical exponents have been calculated using renormalization group methods , transfer matrix methods , exact enumeration method  and Monte Carlo methods . For a two dimensional system exact values of the exponents have been found by using conformal invariance .

Fig. 1; Schematic representation of polymer conformations in (a) desorbed and (b) adsorbed states.

The situation is, however, different when the surface interacting polymer is a in compact globule state. In the vicinity of an impenetrable attracting surface the monomer-monomer attraction which is responsible for the collapsed state of the chain and the surface-monomer attraction responsible for the adsorption will compete. This competition may give rise new features in the conformational behaviour of the chain. For instance, a globule can get attached to the surface at some value of monomer-surface attraction without any significant modification in its structure as shown in Fig. $`2`$. Such a phase has been shown to exist in between the bulk collapsed and adsorbed phases in both two and three dimensions for isotropic $`i.e.`$ non-directed) polymer chain and is called surface attached globule (SAG) phase . In an adsorbed phase the number of monomers on the surface are proportional to $`N`$ and the thickness of the layer formed by the chain parallel to the surface proportional to $`N^0`$. On the other hand the bulk globule has one correlation length (the radius of gyration) which scales with $`N`$ as $`RN^{1/d}`$ where d is the dimensionality of the space. In the SAG phase we have two correlation lengths, one parallel and another perpendicular to the surface. They may scale with $`N`$ as $`R_{}N^x_{}`$ and $`R_{}N^x_{}`$ where $`\frac{1}{d}x_{}\frac{1}{d1}`$ and $`0<x_{}\frac{1}{d}`$.

Fig. 2; Schematic representation of adsorption of a compact globule; (a) shows a desorbed globule, (b) and (c) surface attached globule and (d) the adsorbed state.

In this article we investigate the surface adsorption and collapsed of a directed polymer chain on a square lattice. Since for two dimensional system surface is a line, it can have only one adsorbed phase which we refer to as adsorbed expanded (AE) phase. The problem of adsorption and collapse of directed polymer has been studied using transfer matrix technique . The phase boundary of the collapsed phase separating it from the adsorbed expanded and the bulk expanded has been obtained exactly  as well as numerically . These calculations show that there are three phases, viz. desorbed expanded (DE), desorbed collapsed (DC) and adsorbed expanded (AE). These three phases meet at a multicritical point. In these calculations a condition $`xu=1`$ (where $`x`$ is the step fugacity and $`u`$ the Boltzmann factor for the monomer-monomer attraction) is used. This condition is valid only at the collapsed phase boundary. Therefore only the phase boundaries separating the DC phase from the AE and DE phases were obtained by these calculations. The phase boundary separating the DE phase from the AE phase has been obtained numerically by Veal $`\mathrm{𝑒𝑡}\mathrm{𝑎𝑙}`$ . Since the transition from the DC phase to the SAG phase takes place in the region where $`xu>1`$ the calculations based on the transfer matrix could not show this transition.

## II  Calculational details

We consider partially directed self-attracting self-avoiding walks (PDSASAWs) on a square lattice restricted to quarter space. Walk starts from the corner of the surface. Let $`C_{N,N_s,N_p}`$ be the number of PDSAWs with $`N`$ steps, having $`N_s`$ $`(N)`$ steps on the surface and $`N_p`$ nearest neighbours. We have obtained $`C_{N,N_s,N_p}`$ for $`N30`$ for square lattice by exact enumeration method. We prefer this technique because in this case the scaling corrections are correctly taken into account by a suitable extrapolation scheme .

We associate energy $`ϵ_s`$ with each monomer on the surface and $`ϵ_p`$ for the monomer-monomer interaction. Partition function of the attached chain is

$$Z_N(\omega ,u)=\underset{N_s,N_p}{}C_{N,N_s,N_p}\omega ^{N_s}u^{N_p}$$
(1)
where $`\omega =e^{ϵ_s/kT}`$ and $`u=e^{ϵ_p/kT}`$. $`\omega >1`$ and $`u>1`$ for attractive force. Reduced free energy for the chain can be written as

$$G(\omega ,u)=\underset{N\mathrm{}}{lim}\frac{1}{N}\mathrm{log}Z_N(\omega ,u)$$
(2)
In general it is appropriate to assume that as $`N\mathrm{}`$

$$Z_N(\omega ,u)N^{\gamma 1}\mu (\omega ,u)^N$$
(3)
where $`\mu (\omega ,u)`$ is the effective coordination number and $`\gamma `$ is the universal configurational exponents for walks with one end attached to the surface. The value of $`\mu (\omega ,u)`$ can be estimated using ratio method  with associated Neville table or any other method such as Pade analysis  or differential approximants .

From equations (2.2) and (2.3) we can write

$$\mathrm{log}\mu (\omega ,u)=\underset{N\mathrm{}}{lim}\frac{1}{N}\mathrm{log}Z_N(\omega ,u)=G(\omega ,u)$$
(4)
$`Z_N(\omega ,u)`$ is calculated from the data of $`C_{N,N_s,N_p}`$ using equation (2.1) for a given $`\omega `$ and $`u`$. From this we construct linear and quadratic extrapolants of the ratio of $`Z_N(\omega ,u)`$ for the adjacent values of $`N`$ as well as the alternate one. Results for alternate $`N`$ give better convergence. When $`u=1`$ and $`\omega =1`$ the value of $`\mu `$ is found to be 2.39.

The surface critical exponent $`\gamma _1`$ can be calculated using the relation

$$\gamma ^0\gamma _1=\frac{\mathrm{log}(Z_N^0Z_{N2}/Z_{N2}^0Z_N)}{\mathrm{log}(N/N2)}$$
(5)
and the end-to-end distance exponent $`\nu `$ using the relation

$$\nu =\frac{1}{2}\frac{\mathrm{log}(R_N^2/R_{N2}^2)}{\mathrm{log}(N/N2)}$$
(6)
where the superscript “0” indicates that the quantities correspond to the bulk without the surface and $`R_N`$ is the end-to-end distance of a chain of $`N`$ monomers.

The value of $`\omega _c(u)`$ at which polymer gets adsorbed/attached to the surface for a given value of $`u`$ is found from the $`(i)`$ plot of $`G_s(\omega ,u)=G(\omega ,u)G(u,\omega =1)`$ which remains equal to zero until $`\omega =\omega _c`$ and increases consistently as a function of $`\omega `$ for $`\omega \omega _c,`$ $`(ii)`$ from the plot of $`^2G_s(\omega ,u)/ϵ_{s}^{}{}_{}{}^{2}`$ at constant $`u`$ and $`(iii)`$ from the plot of $`\gamma ^0\gamma _1`$ as a function of $`\omega `$ for different $`N`$. The value of $`\omega _c`$ found from the plot of $`G_s(\omega ,u)`$ is slightly lower than the peak value of $`^2G_s/ϵ_{s}^{}{}_{}{}^{2}`$. It is, however, observed that as $`N`$ is increased from $`22`$ to $`30`$ the peak value shifts to smaller $`\omega `$ and appears to converge on the value of $`\omega `$ found from $`G_s(\omega ,u)`$ plot. We therefore choose the value of $`\omega _c`$ found from the plot of $`G_s(\omega ,u)`$ and determine lines $`\omega _c(u)`$ and $`\omega _{c1}(u)`$ (see Fig. 3) by this method. For $`u=1`$, the value of $`\omega _c`$ is = $`1.70`$ which is in very good agreement with the value $`1.707`$ reported in ref. . In another approach equation (2.5) is used to calculate $`\gamma ^0\gamma _1`$ for different $`N`$ and the values are plotted as a function of $`\omega `$. The value of $`\omega _c`$ is found from the intersection of successive approximation to $`\gamma ^0\gamma _1`$ in the limit $`N\mathrm{}`$. This method, however, fails for $`u`$ values above the $`\theta `$-point, i. e. where the desorbed phase is in a collapsed globule state. Below the $`\theta `$-point both the methods yield same values of $`\omega _c`$ which are in very good agreement.

The phase boundary separating the expanded and collapsed phases is calculated from the plot of $`G_b(\omega ,u)=G(\omega ,u)G(\omega ,u=1)`$ as a function of $`u`$ for a given $`\omega `$. Here $`G_b`$ measures the energy arising due to monomer-monomer attractions. This is however, not zero in the expanded phase and, therefore, cannot be used as an order parameter for the expanded and collapsed transition. We, however, find that the value of $`G_b(\omega ,u)`$ as a function of $`u`$ shows sudden rise at certain value of $`u`$. We locate this point from the peak of $`^2G_b/ϵ_p^2`$ which corresponds to a specific heat peak and shows divergence as $`N\mathrm{}`$. For $`\omega =1`$, the value of $`u_c`$ is 3.30 which is in good agreement with the value 3.38 found by exact calculation. The method is found to work for all values of $`\omega `$ i.e in both the bulk and the adsorbed regimes. However, as $`\omega `$ is increased the values of $`G_b(\omega ,u)`$ do not remain as smooth as at lower values of $`\omega `$, therefore introducing some inaccuracy in the values of $`u_c`$. The values of $`(\omega _c,u_c)`$ at the multicritical point found by us are $`(2.16,3.30)`$ which are in good agreement with exactly known values $`(2.19,3.38)`$. As $`\omega `$ and $`u`$ becomes larger, higher order terms in equation (2.1) become significant and therefore to have proper convergence more terms must be considered. This explains the difference in $`\omega _{c2}`$ line found by exact calculation  and the present calculation (see fig. 3).

## III Results

The phase diagram shown in Fig. 3 has four phase boundaries instead of three as reported in earlier work . The line $`u_c`$ separates the expanded and collapsed phases.

Fig. 3; Phase digram of a directed linear polymer chain in 2-D space. The $`\omega `$ and $`u`$ axes represents, the Boltzmann factor of surface attraction and monomer-monomer attraction respectively. Solid line curve corresponds to present calculation and the dotted line to ref. .

The special adsorption line $`\omega _c`$ separates adsorbed expanded (AE) phase from that of desorbed expanded (DE). Beyond $`\theta `$-point we have two boundaries $`\omega _{c1}`$ and $`\omega _{c2}`$. The line $`\omega _{c1}`$ separates the desorbed collapsed (DC) bulk phase from that of a surface attached globule (SAG) state, whereas the boundary $`\omega _{c2}`$ separates the SAG phase from the AE phase. The point where $`u_c`$ line meets the special adsorption line $`\omega _c`$, all four phases AE, DE, DC and SAG coexist. The SAG phase which exists between the boundaries $`\omega _{c1}`$ and $`\omega _{c2}`$ for $`u>u_c`$ is essentially a two-dimensional globule sticking to the surface in the same way as a liquid droplet may lie on a partially wet surface. These features are in agreement with those of isotropic (non directed) polymer chain. The average fraction of monomer on the surface and the average number of pairs are calculated using the relations.

$$<n_s>=\underset{N\mathrm{}}{lim}w\frac{G}{\omega }_u,and<n_p>=\underset{N\mathrm{}}{lim}u\frac{G}{u}_\omega $$

The results are shown in Figs. $`4`$ and $`5`$. The transition points on each curve is marked by dots. The dot on a curve of $`<n_s>`$ (in Fig. 4) indicates adsorption or polymer chain getting attached to the surface (i.e $`\omega _c`$ and $`\omega _{c1}`$ lines depending on the values of $`u`$), the dot on a curve $`<n_p>`$ (in Fig. 5) indicates the collapsed-expanded states transition (i. e. point on line $`u_c`$ and $`\omega _{c2}`$ depending on the values of $`\omega `$). We may note that the value of $`<n_p>`$ for SAG phase is comparable to that in the DC phase.

Fig.4; Average fraction of monomers on the surface $`<n_s>`$ as a function of $`\omega `$. Dot on the curve represents transition point.

We have found that along the line $`\omega _c`$ and $`\omega _{c1}`$, $`<n_s>=0.04\pm 0.01`$ and along the line $`u_c`$ and $`\omega _{c2}`$, $`<n_p>=0.54\pm 0.06`$.

Fig.5; Average number of pairs $`<n_p>`$ as a function of $`u`$. Dot on the curve represents the transition point.

## IV Conclusions

It is obvious from these results that when the chain gets adsorbed from the expanded bulk state (i.e for $`u<u_c`$), it acquires a conformation at $`\omega \omega _c(u)`$ such that a small fraction of monomers get attached to the surface and others forms a layer parallel to the surface. This affects the free energy of the system. At the transition point the polymer chain fluctuates between adsorbed and desorbed conformations. Therefore one may get peak in $`<N_s^2><N_s>^2`$ at $`\omega =\omega _c`$ which shows divergence as $`N\mathrm{}`$. As $`\omega `$ is increased for the same value of $`u`$, the fluctuations along the normal to the surface get suppressed and at large $`\omega (>>\omega _c)`$ the chain lies on the surface with very little fluctuations. On the other hand, when the adsorbing chain was in collapsed bulk state, then at $`\omega =\omega _{c1}`$ the collapsed chain gets attached to the surface. Here again the number of monomers getting attached to the surface are small. Since for $`\omega \omega _{c1}`$ the globule may be any where in the available space and get attached to the surface at $`\omega =\omega _{c1}`$, there is a breaking of translational invariance at $`\omega =\omega _{c1}`$ For $`\omega _{c1}\omega \omega _{c2}(u)`$ the chain remains in the form of a globule attached to the surface. In this range the monomer-monomer attraction remains effective in holding the monomers in the neighbourhood of each other than the surface-monomer attraction whose tendency is to spread the chain on the surface. Since at $`\omega =\omega _{c1}`$ the globule retains its shape there is no change in the bulk free energy. Only the surface contribution to the free energy which was zero for $`\omega \omega _{c1}`$ starts contributing. Therefore, in this case we may therefore not see divergence in the bulk specific heat peak in the $`N\mathrm{}`$ limit. For $`\omega >\omega _{c2}(u)`$ the globule conformation becomes unstable as surface-monomer attraction becomes more effective than the monomer-monomer attraction and therefore the chain spreads over the surface (just like a liquid droplet spreads over a wetting surface).

Summarizing we studied a polymer chain immersed in a poor solvent in the presence of an attracting impenetrable wall and obtained the phase boundaries separating different phases of the polymer chain from data obtained by exact enumerations. We report a state in between the desorbed collapsed and adsorbed phases which has conformation of a compact globule sticking to a surface in same way as a droplet may lie on a partially wet surface. A similar phase also been found in case of isotropic (non directed) polymer chain in both two and three dimensions . The number of monomers on the surface and the number of nearest neighbors in different regimes of the phase diagram are obtained.

## V  Acknowledgements

We are thankful to Dr. S. Kumar and Dr. D. Giri for many fruitful discussions. The work was supported by the Department of Science and Technology (India) through project grant.