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# Gravity-Induced Wannier-Stark Ladder in an Optical Lattice

## I INTRODUCTION

Optical lattices are a cornerstone of much of atom optics. They have been successfully used to form matter-wave diffraction gratings, were at the heart of the discovery of subrecoil cooling, and were manipulated to study atomic Bloch oscillations , and dynamic instabilities and chaos. They are also used as an outcoupling mechanism in a mode-locked atom laser , and are central to several quantum computing schemes using neutral atoms. As atom optics rapidly moves toward applications, frequently listed possibilities include gravimeters and gravity gradiometers. Gravity is also an important and natural way to accelerate atoms, so as to coherently reduce their de Broglie wavelength for nanofabrication applications. Hence, there is considerable interest in studying the combined effects of an optical lattice and gravitation on the dynamics of ultracold atoms.

The study of particles in periodic potentials has of course been a major tenet of condensed matter physics, and it will therefore come as no great surprise that our analysis relies heavily on the use of its tools. In particular, delocalized Bloch states and band structure analyses are known to be ideal for the study of electrons in crystals. For deep potentials, though, the use of localized Wannier states is often preferable and indeed, has proven useful e.g. in the study of the dipole-dipole interaction in optical lattices. When a linear potential is superimposed to the underlying periodic structure, the situation is less clear: the localized Wannier states become delocalized, and there is some debate as to which representation is then most useful. One possibility is to use a so-called Wannier-Bloch states representation, with an emphasis on the delocalized character of the atomic wave functions. Alternatively, the Wannier-Stark approach emphasizes the localized aspect of the wave functions. A third alternative consists in treating the periodic potential as a perturbation on top of the gravitational field. Clearly, each approach has its pros and cons, depending upon the depth of the lattice compared to the gravitational potential. For deep lattices, though, the Wannier-Stark analysis seems preferable. In this approach, the states of the atoms form a sequence of resonances separated by equal energy intervals referred to as Wannier-Stark ladders. Such ladders were recently observed in accelerated optical lattices.

In this paper we calculate the Wannier-Stark ladders induced by gravity on atoms in optical lattices, using a theoretical approach recently developed in Ref.  and based on a Floquet representation of the Wannier states. This technique, which leads to a well-defined eigenvalue problem for the determination of the Wannier-Stark ladder, was developed for the more general situation of time-periodic potentials, but is also perfectly adapted to time-independent potentials.

Section II introduces our physical model, and briefly reviews the definitions of the Bloch and Wannier states, which are the eigenstates of the system in the absence of a gravitational field. Section III outlines the Floquet approach to the determination of the Wannier-Stark ladder, discussing the onset of a ladder of complex “resonances” associated with metastable localized states of the atoms. Selected numerical results are presented in section IV. Finally section V is a summary and outlook.

## II PHYSICAL MODEL

We consider the situation of ultracold atoms of mass $`M`$ trapped in the optical potential resulting from two far-off resonant and counterpropagating optical fields of frequency $`\omega _L`$ and wave number $`k_L=2\pi /\lambda _L`$. The atoms are assumed to be two-level atoms, and we neglect all complications resulting from the possible existence of multiple ground states and the associated optical pumping. After adiabatic elimination of their upper electronic states, the atoms are therefore described as scalar particles subject to the periodic potential

$$\widehat{V}(\widehat{z})=\frac{V_0}{2}\mathrm{cos}(2k_L\widehat{z})$$
(1)
where

$$V_0=\frac{\mathrm{}\mathrm{\Omega }^2}{4(\omega _L\omega _A)}$$
(2)
where $`\mathrm{\Omega }`$ is the Rabi frequency of the atomic transition of frequency $`\omega _A`$ under consideration. In the presence of gravity, the atomic Hamiltonian of the system is given by

$$\widehat{H}=\widehat{H}_0+Mg\widehat{z},$$
(3)
where $`Mg`$ is the force of gravity and

$$\widehat{H}_0=\frac{\widehat{p}^2}{2M}+\widehat{V}(\widehat{z}).$$
(4)
We consider a one-dimensional situation where the lasers generating the optical lattice are along the $`z`$-axis, so that $`[\widehat{z},\widehat{p}]=i\mathrm{}`$.

The band structure associated with the Hamiltonian $`\widehat{H}_0`$ is of course well-known. It is displayed in Fig. 1 for reference. It shows the energy-wave number dispersion relation $`E_n(k)`$ in the first Brillouin zone , $`n`$ being the band index. The associated energy eigenstates of $`\widehat{H}_0`$ are the familiar Bloch states

$$\widehat{H}_0\varphi _{n,k}(z)=E_n(k)\varphi _{n,k}(z).$$
(5)
They are conveniently expressed as

$$\varphi _{n,k}(z)=\mathrm{exp}(ikz)\chi _{n,k}(z),$$
(6)
where the functions $`\chi _{n,k}(z)`$ are periodic in $`z`$. They satisfy the eigenvalue equation

$$\widehat{H}_0^{(k)}\chi _{n,k}(z)=E_n(k)\chi _{n,k}(z),$$
(7)
the Hamiltonian $`\widehat{H}_0^{(k)}`$ being given by

$$\widehat{H}_0^{(k)}=\frac{(\widehat{p}+\mathrm{}k)^2}{2M}+V(z).$$
(8)
From Eq. (7), the evolution of the Bloch wave functions $`\chi _{n,k}(z)`$ is simply

$$\chi _{n,k}(z,t)=\mathrm{exp}[iE_n(k)t/\mathrm{}]\chi _{n,k}(z,0).$$
(9)
It is furthermore possible to take advantage of the periodicity of the optical potential to expand $`\chi _{n,k}(z)`$ on a lattice basis $`\{|\mathrm{}\}`$, $`\mathrm{}`$ integer, as the Fourier series

$$\chi _{n,k}(z)=\sqrt{\frac{k_L}{\pi }}\underset{\mathrm{}}{}c_{\mathrm{}}^{(n,k)}\mathrm{exp}(2i\mathrm{}k_Lz),$$
(10)
where we have used the coordinate representation of $`\{|\mathrm{}\}`$,

$$z|\mathrm{}=\sqrt{\frac{k_L}{\pi }}\mathrm{exp}(2i\mathrm{}k_Lz),$$
(11)
and we recognize the primitive reciprocal vector $`b=2k_L`$ in the exponent.

In prevision of our subsequent discussion, we introduce at this point the characteristic time

$$T_B=\frac{2\mathrm{}k_L}{Mg},$$
(12)
which will later on be identified as the “Bloch period,” as well as the associated “Bloch phase”

$$\mathrm{\Theta }_n(k)=E_n(k)T_B/\mathrm{}.$$
(13)
Since the energies $`E_n(k)`$ always appear in the form of a phase factor in the evolution of the system, it is in many cases convenient to plot them in a reduced phase interval. This representation will be useful in identifying the resonances appearing in the presence of a gravitational potential.

We conclude this section by recalling that the Bloch states are completely delocalized, with the atomic wave functions extending over the whole lattice. For deep lattices, it is oftentimes more convenient to use instead localized Wannier states. They are constructed as linear superpositions of the Bloch states $`\varphi _{n,k}(z)`$ as

$$\phi _{n,m}(z)=_{k_L}^{k_L}\mathrm{exp}(iR_mk)\varphi _{n,k}(z)𝑑k,$$
(14)
where $`R_m`$ is the position of the $`m`$-th lattice site,

$$R_m=m\pi /k_L,$$
(15)
$`m`$ is an integer, and we recognize that $`\pi /k_L`$ is just the primitive lattice period $`a`$ of the optical potential. As is well known, the Wannier function $`\phi _{n,m}(z)`$ describes an atomic wave packet localized at the $`m`$-th site of the optical lattice.

## III WANNIER-BLOCH STATES AND WANNIER-STARK STATES

We now turn to a discussion of the impact of gravity on the atomic dynamics in the lattice. We proceed by eliminating the gravitational contribution from the Hamiltonian (3) via the unitary transformation

$$\psi (z,t)=\mathrm{exp}[iMg\widehat{z}t/\mathrm{}]\stackrel{~}{\psi }(z,t).$$
(16)
The evolution of $`\stackrel{~}{\psi }(z,t)`$ is governed by the time-dependent transformed Hamiltonian

$$\stackrel{~}{}(t)=\frac{(\widehat{p}Mgt)^2}{2M}+\widehat{V}(\widehat{z}),$$
(17)
which is nothing but the Hamiltonian $`\widehat{H}_0`$ with momenta shifted by $`Mgt`$. From this observation, it follows that its time evolution is governed by the equation

$$\stackrel{~}{}(t+T)=\mathrm{exp}(iMgT\widehat{z}/\mathrm{})\stackrel{~}{}(t)\mathrm{exp}(iMgT\widehat{z}/\mathrm{}).$$
(18)
Eq. (18) provides an immediate understanding of Bloch oscillations: After a time $`T_B=2\mathrm{}k_L/Mg`$, the momentum shift appearing in the Hamiltonian (18) is precisely equal to $`2k_L`$, the primitive reciprocal lattice vector. An atom starting at the edge of the first Brillouin zone is therefore uniformly accelerated into the next Brillouin zone, or equivalently undergoes an umklapp process in the first zone. In optics terms, this means that the Bragg scattering condition is fulfilled, with scattering of the atom from the state of momentum $`k_L`$ to $`k_L`$. This justifies identifying $`T_B`$ as the Bloch period as we have done in section II.

With this intuition at hand, we introduce the Wannier-Bloch states $`\psi _{n,k}(z)`$ as those states which are stroboscopic eigenstates of the time-dependent Hamiltonian (18) at successive intervals of $`T_B`$, that is, that satisfy the eigenvalue equation

$$\widehat{𝒰}(T_B)\psi _{n,k}(z)=\mathrm{exp}\left[\frac{i}{\mathrm{}}E_n(k)T_B\right]\psi _{n,k}(z).$$
(19)
with

$$\widehat{𝒰}(T_B)=\mathrm{exp}\left(\frac{i}{\mathrm{}}_0^{T_B}\widehat{H}𝑑t\right).$$
(20)
Despite the fact that we use the same notation $`E_n(k)`$ for simplicity, it is important to realize that the quantities appearing in Eq. (19) are not the same as the band energies of section II. Indeed, due to the fact that the Hamiltonian in the presence of gravity is time-dependent, the $`E_n(k)`$ are only quasi-energies, or “resonances.” We will see shortly that they are complex, their imaginary part leading to a finite lifetime, and form a series of ladders of equidistant levels.

The eigenstates $`\psi _{n,k}(z)`$ present the considerable advantage that the only momentum involved at the end of their stroboscopic evolution is the primitive reciprocal lattice vector $`2k_L`$. That is, $`\widehat{𝒰}(T_B)`$ commutes with the momentum shift operator $`\mathrm{exp}[i\pi \widehat{p}/\mathrm{}k_L]`$, and hence it is still possible to use a Bloch-like quasi-momentum representation to stroboscopically diagonalize the problem. Rewriting then, in analogy with Eq. (6), the Wannier-Bloch functions as

$$\psi _{n,k}(z)=\mathrm{exp}(ikz)\chi _{n,k}(z),$$
(21)
where $`\chi _{n,k}(z)=\chi _{n,k}(z+\pi /k_L)`$, leads to the Bloch-like eigenvalue equation

$$\widehat{𝒰}^{(k)}\chi _{n,k}(z)=\mathrm{exp}\left[\frac{i}{\mathrm{}}E_n(k)T_B\right]\chi _{n,k}(z),$$
(22)
where the operator $`\widehat{𝒰}^{(k)}`$ is given by

$$\widehat{𝒰}^{(k)}=e^{2ik_Lz}\stackrel{~}{𝒰}^{(k)}(T_B)$$
(23)
and

$`\stackrel{~}{𝒰}^{(k)}(T_B)=`$ (24)
$`𝒯\mathrm{exp}\left[{\displaystyle \frac{i}{\mathrm{}}}{\displaystyle _0^{T_B}}\left({\displaystyle \frac{(\widehat{p}+\mathrm{}kMgt)^2}{2M}}+V(z)\right)𝑑t\right],`$ (25)
where $`𝒯`$ stands for time-ordered.

From the analysis so far, it would appear that we need to solve the eigenvalue problem (22) for a large number of initial times between 0 and $`T_B`$ to obtain the full system evolution. This, however, is not the case, as the quasi-energy spectrum $`E_n(k)`$ is completely degenerate for the time-independent potential considered here, $`E_n(k)=E_n`$. This can be seen by considering the evolution of a Wannier-Bloch state for a fraction $`T=T_B/s`$ of the Bloch period, where $`s`$ is an integer. In that interval the operator

$$\widehat{𝒰}_T=e^{2ik_Lz/s}\stackrel{~}{𝒰}(T),$$
(26)
with

$$\widehat{𝒰}_T^s=\widehat{𝒰},$$
(27)
transforms the Wannier-Bloch state $`\psi _{n,k}(z)`$ into another Wannier-Bloch state of quasi-momentum $`k^{}=k2k_L/s`$,

$$\widehat{𝒰}_T\psi _{n,k}(z)=\psi _{n,k^{}}(z).$$
(28)
Combining Eqs. (27) and (28) yields readily

$`\widehat{𝒰}\psi _{n,k^{}}(z)=\widehat{𝒰}\widehat{𝒰}_T\psi _{n,k}(z)=\widehat{𝒰}_T\widehat{𝒰}\psi _{n,k}(z)`$ (29)
$`=\widehat{𝒰}_T\mathrm{exp}\left[{\displaystyle \frac{i}{\mathrm{}}}E_n(k)T_B\right]\psi _{n,k}(z)`$ (30)
$`=\mathrm{exp}\left[{\displaystyle \frac{i}{\mathrm{}}}E_n(k)T_B\right]\psi _{n,k^{}}(z)`$ (31)
where we have used Eq. (27) to commute $`\widehat{𝒰}`$ and $`\widehat{𝒰}_T.`$ This completes the proof that for the time-independent potential $`\widehat{V}(z)`$ at hand, the quasi-energy spectrum is degenerate.

As a result, the continuous time evolution of the Wannier-Bloch states is simply given by

$$\psi _{n,k}(z,t)=\mathrm{exp}(iE_nt/\mathrm{})\psi _{n,kMgt/\mathrm{}}(z,0).$$
(32)
The calculation of the quasi-energies $`E_n`$ follows the procedure discussed in Ref. . It consists in finding the metastable Wannier-Bloch states by solving the eigenvalue problem (22) assuming a truncation of the momentum space. The representation of the operator $`\widehat{𝒰}^{(k)}`$ in this truncated basis is nonunitary, and for this reason the “energies” $`E_n`$ are complex,

$$E_nE_ni\mathrm{\Gamma }_n/2.$$
(33)
Their real part give the positions of the “resonances”, while their imaginary part give their widths, or lifetimes. This is to be contrasted to the gravitation-free situation, where the eigenvalue problem is tridiagonal in momentum space, and the eigenvalues are then real. Eq. (25) shows clearly how the acceleration of gravity removes the discrete, tridiagonal nature of the problem and makes it continuous in momentum space.

We have previously discussed how the Bloch functions approach puts the emphasis on delocalized states. Clearly, this same characteristic also holds for the Wannier-Bloch states discussed so far. As in the gravitation-free situation, it is sometimes useful to consider states of a localized nature instead. In complete analogy with the Wannier functions, we therefore introduce the Wannier-Stark states as

$$\mathrm{\Psi }_{n,m}(z)=_{k_L}^{k_L}\mathrm{exp}(iR_mk)\psi _{n,k}(z)𝑑k,$$
(34)
where as we recall $`R_m=m\pi /k_L`$ is the position of the $`m`$-th lattice site. Taking into account the temporal evolution (32) of the Wannier-Bloch states gives the continuous time evolution of the Wannier-Stark wave functions $`\mathrm{\Psi }_{n,m}(z,t)`$,

$$\mathrm{\Psi }_{n,m}(z,t)=\mathrm{exp}[\frac{i}{\mathrm{}}(E_n+m\pi Mg/k_L)t]\mathrm{\Psi }_{n,m}(z).$$
(35)
This shows that the Wannier-Stark states constitute a ladder of quasi-stationary functions characterized by sets of discrete levels of energies

$$E_{n,m}=E_n+m\pi Mg/k_L,$$
(36)
of equal spacings $`\pi Mg/k_L`$. These energy levels are illustrated in Fig. 2.

## IV RESONANCES

In this section, we present selected results from the numerical study of gravitationally-induced Wannier-Stark resonances for the case of shallow optical lattices. The calculations proceed by solving the eigenvalue equation

$`\widehat{𝒲}^{(k)}\chi _{n,k}(z)=`$ (37)
$`\mathrm{exp}\left({\displaystyle \frac{\mathrm{\Gamma }_n(k)}{2\mathrm{}}}T_B\right)\mathrm{exp}\left({\displaystyle \frac{i}{\mathrm{}}}E_n(k)T_B\right)\chi _{n,k}(z),`$ (38)
where $`\widehat{𝒲}^{(k)}`$ is the operator (23), truncated in momentum space as previously discussed.

To diagonalize the matrices $`\widehat{𝒲}^{(k)}(\mathrm{}^{},\mathrm{})`$, we first evaluate the operator $`\stackrel{~}{𝒰}^{(k)}(T_B)`$ using the formula

$$\stackrel{~}{𝒰}^{(k)}(T_B)=𝒯\underset{j=0}{\overset{N1}{}}\mathrm{exp}\left[\frac{i}{\mathrm{}}_{t_j}^{t_{j+1}}\stackrel{~}{}^{(k)}(t)𝑑t\right],$$
(39)
where

$$\stackrel{~}{}^{(k)}(t)=\frac{(\widehat{p}+\mathrm{}kMgt)^2}{2M}+V(z),$$
(40)
and $`t_{j+1}t_j=\mathrm{\Delta }t=T_B/N`$ ($`N>>1`$). The exponential factors in (39) are approximated by a Dyson series truncated at second order,

$`\mathrm{exp}\left[{\displaystyle \frac{i}{\mathrm{}}}{\displaystyle _{t_j}^{t_{j+1}}}\stackrel{~}{}^{(k)}(t)𝑑t\right]1+({\displaystyle \frac{i}{\mathrm{}}}){\displaystyle _{t_j}^{t_{j+1}}}\stackrel{~}{}^{(k)}(t)𝑑t`$ (41)
$`+({\displaystyle \frac{i}{\mathrm{}}})^2{\displaystyle _{t_j}^{t_{j+1}}}\stackrel{~}{}^{(k)}(t)𝑑t{\displaystyle _{t_j}^t}\stackrel{~}{}^{(k)}(t^{})𝑑t^{}.`$ (42)
The analytic evaluation of the matrix elements of the Dyson series (41) is a straightforward procedure. We just give the result of the second term:

$`\mathrm{}^{}|{\displaystyle _{t_j}^{t_{j+1}}}\stackrel{~}{}^{(k)}(t)𝑑t|\mathrm{}={\displaystyle \frac{E_RT_B}{N}}\left[2\mathrm{}+\kappa {\displaystyle \frac{2j+1}{N}}\right]^2\delta _\mathrm{}^{},\mathrm{}`$ (43)
$`+{\displaystyle \frac{E_RT_B}{3N^3}}\delta _\mathrm{}^{},\mathrm{}+{\displaystyle \frac{V_0T_B}{4N}}\left(\delta _{\mathrm{}^{},\mathrm{}+1}+\delta _{\mathrm{}^{},\mathrm{}1}\right),`$ (44)
where $`E_R=\mathrm{}^2k_L^2/2M`$ is the recoil energy, $`\kappa =k/k_L`$ and we have used the definition (12) of the Bloch period. For fixed $`\kappa `$, Eq. (41) gives the elements of a symmetric matrix whose truncation causes no problem. We proceed by first truncating it, and by an iterative process of successive time-ordered intervals we then evaluate the evolution operator $`\stackrel{~}{𝒰}^{(k)}(T_B)`$ using Eq. (39). The matrix elements of the operator $`e^{2ik_Lz}`$ are given by

$$\mathrm{}^{}|e^{2ik_Lz}|\mathrm{}=\delta _{\mathrm{}^{},\mathrm{}1},$$
(45)
whose truncation generates a nonunitary operator. Taking the dimension of the matrices to be $`2R+1`$, we have found that for sufficiently large $`R`$, typically, 20 to 40, the position of the resonances becomes independent of the dimension of the truncated momentum space.

The simulations were carried out for the case of $`{}_{}{}^{87}Rb`$ atoms  trapped in an optical lattice generated by a far-off resonance optical standing wave of wavelength $`\lambda =850nm`$. The depth of the lattice was taken to be $`V_0=2.1E_R`$, where $`E_R3.177`$ kHz is the recoil energy. This choice of parameters corresponds to a level separation of $`\mathrm{\Delta }E_{ws}=\pi Mg/k_L=0.2854485E_R`$ in the Wannier-Stark ladder, see Eq. (36).

Fig. 3 shows two resonances, folded in the interval $`\pi <\mathrm{\Theta }_n(k)<\pi `$ where $`\mathrm{\Theta }_n(k)=E_n(k)T_B/\mathrm{}`$ (modulo $`2\pi `$), see Eq. (13). They are degenerate in $`k`$, as discussed in section III. (Recall that only degenerate solutions are associated with resonances.) The real part of these quasienergies are $`E_0=0.10771571E_R`$ and $`E_1=1.024990E_R`$, respectively, corresponding to the Bloch phases $`\mathrm{\Theta }_0=2.37112`$ (solid line) and $`\mathrm{\Theta }_1=2.57103`$ (dotted line). The widths of the resonances, given by the imaginary part of the degenerate eigenvalues of Eq. (38), are shown in Fig. 4. For the relatively shallow lattice considered here, the highest resonance is probably too wide, with $`\mathrm{\Gamma }_1/2=7.182\times 10^2E_R`$ (dotted line), to be of practical use. In contrast, the width of the most stable resonance, $`\mathrm{\Gamma }_0/2=2.17378\times 10^4E_R`$ (solid line), is three orders of magnitude narrower than the Wannier-Stark ladder separation $`\mathrm{\Delta }E_{ws}`$. As further discussed in the following section, such narrow lines might be of considerable interest in the development of atom optical gravity gradiometers.

Despite the long lifetime of the metastable Wannier-Stark states, the fact that they are finite indicates that atoms initially localized in a lattice site eventually tunnel to neighboring wells. This is shown in Fig. 5, which plots on a logarithmic scale the absolute squared expansion coefficients $`|c_{\mathrm{}}^{(n,k=0)}|^2`$ of the Bloch states, see Eq. (10), for the lowest band $`n=0`$. The solid line correspond to the gravity-free situation, while the dotted line correspond to gravity. When the gravity force is applied the metastable states tunnel through the optical potential hills in the downward direction (negative $`z`$-axis), so the contribution of negative $`2\mathrm{}k_L`$ vectors increases. Indeed, there is a general shift of all the coefficients $`c_{\mathrm{}}^{(n,k)}`$ due to the action of the gravity field.

We have also evaluated the position and width of the resonances as a function of the well depth $`V_0`$ of the optical lattice. Figs. 6 and 7 show the position and width of the lowest resonance, $`E_0`$ and $`\mathrm{\Gamma }_0/2`$ respectively, in units of $`E_R`$. As we can see in these plots, the position $`E_0`$ goes up as the well depth decreases, while, the width $`\mathrm{\Gamma }_0/2`$ decreases very rapidly for highest potential depths. Finally, Figure 8 is a plot of the energy gap $`E_{gap}`$ between the lowest resonance and continuum states.

## V Summary and conclusions

For a number of potential applications of atom optics, such as e.g. nanolithography and atom holography, it is desirable to accelerate the atoms so as to produce coherent beams of shorter de Broglie wavelength. This can be achieved either via gravity, or in lattices with ramped detuning between the two counterpropagating fields, as already mentioned. Since eventually, the atoms will then escape the trap, matter-wave acceleration is also of much relevance in the study of output couplers for atom lasers, as was realized for instance the mode-locked laser of Ref. . In addition, atom optics with accelerated beams offers novel approaches to interferometry. For instance, using optical fields to hold atoms against gravity may lead to the realization of accelerometers of unprecedented sensitivity.

These new developments require a detailed understanding of the combined effects of light and gravity on the motion of ultracold atoms. Using a recently developed Floquet-type analysis  that removes many of the question marks previously attached to the computation of the Wannier-Stark ladder, we have shown that a detailed quantitative calculation of the position and width of these levels can now easily be obtained numerically. We illustrated how deep optical lattices lead to the existence of families of long-lived, equidistant quasi-energy levels that should be of much interest in gravitation gradiometers and accelerometers. As the wells become shallower, however, the number of quasi-bound levels decreases, and their lifetime shortens.

We note that the applications we have in mind are likely to eventually require the use of atomic samples, most likely Bose-Einstein condensates, for which atom-atom interactions and the associated nonlinear phase shifts can no longer be ignored. This is likely to influence the Wannier-Stark spectra in interesting ways, that we plan on studying in the future.

###### Acknowledgements.

This work is supported in part by Office of Naval Research Contract No. 14-91-J1205, National Science Foundation Grant PHY-9801099, the Army Research Office and the Joint Services Optics Program. JZ thanks COLCIENCIAS, Universidad del Atlántico and Universidad del Norte for financial support. Discussions with J. Heurich and E. M. Wright are greatfully acknowledged.

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# Do mergers make (normal) ellipticals?

## 1. Properties of Merger Remnants - Evolution or Prevolution?

Tests of the merger hypothesis have typically taken the form of a comparison between the properties of merger remnants and normal ellipticals. Such studies have pointed towards two possible discrepancies related to the hydrodynamic evolution (and subsequent aftereffects) of merging galaxies. First, X-ray observations have shown that the hot gas halos surrounding young merger remnants are quite modest – the $`L_x/L_B`$ ratios for remnants are more typical of those of spiral galaxies than of ellipticals (Read & Ponman 1998; Sansom et al 2000). Second, recent studies of globular cluster populations in mergers hint that young merger-spawned ellipticals may be deficient in globular clusters when compared to elliptical galaxies (Grillmair et al 1999; Brown et al 2000). Subsequent evolution of the remnants will bring these properties more in line with normal ellipticals: the fading of stellar populations will increase the globular cluster specific frequency, while mass loss from evolving stars may subsequently form a hot gaseous halo. However, the evolution must be significant and rapid to make these objects look like normal ellipticals in less than a Hubble time.

Here I argue that in addition to evolution, adding a bit of “prevolution” to the scenario may help explain these apparent discrepancies. Much of our understanding of the detailed evolution of merging galaxies comes from low redshift. Even dynamical simulations have largely focussed on models with merging progenitors similar to those of nearby disk galaxies. When we compare the models to nearby mergers such as the Antennae or NGC 7252, the comparison is well-founded. However, if normal ellipticals were made from mergers at higher redshift, the progenitors may have well been different from galaxies in the local universe. One of the simplest expectations is that mergers at higher redshift may have involved galaxies with a high gas fraction. As an example, in an $`\mathrm{\Omega }_M=0.3,\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$ cosmology, a spiral galaxy formed at $`z_f=3`$ with an exponentially decaying star formation rate with decay timescale $`\tau =5`$ Gyr has a gas fraction of $`f_g=0.1`$ at $`z=0`$ and $`f_g=0.5`$ at $`z=1`$. The fact that the gas fraction of galaxies is changing with time may lead to systematic differences between the properties of merger-spawned ellipticals of different ages.

Ideally, we would be able to model the complete evolution of the gaseous phase of galaxies to ask how hot halos and young globular clusters form. Such a task has proved exceptionally difficult, due to a combination of physical and computational limitations. Qualitatively, however, it seems that the evolving gas fraction might explain both the low $`S_N`$ and low $`L_x/L_b`$ of morphologically young ellipticals. In both cases, if the “processing efficiency” (i.e., the fraction of gas processed into globular clusters or into hot gas through starburst winds or shock heating) is fixed, a falling gas fraction would necessarily result in the formation of low $`S_N`$, low $`L_x/L_b`$ over the course of cosmic history. Of course, subsequent evolution likely will move these quantities back towards those of “normal” (i.e., older) ellipticals, but there is no need to demand that they match those older ellipticals. In this sense, rather than being an indictment of the merger hypothesis, discrepancies between the properties of young merger-spawned ellipticals and older normal ellipticals may actually tell us about the effects of galaxy “prevolution” on the merging process.

## 2. The Central Parameter Relationship for Merger Remnants

Theoretical arguments indicate that it is in the nuclei of remnants where the merger hypothesis may face its most stringent test, as a wide variety of physical processes may act to shape their nuclei. Dynamical heating, gas dissipation and star formation, black holes (and black hole binaries), and low mass accretion can all act to alter the central densities of galaxies in different ways. Yet studies of elliptical galaxy nuclei reveal very well-behaved relationships between their nuclear and global properties. In particular, the so-called “central parameter relationship” shows that elliptical galaxies show a strong anticorrelation between their central densities and their total luminosities ((Lauer et al 1995; Faber et al 1997 (F97)). It is a non-trivial question whether or not such a correlation is consistent with a scenario where mergers drive the formation of elliptical galaxies. For example, two of the most discrepant points on the central parameter relationship of F97 are NGC 1316, the central galaxy in the Fornax cluster and a clear merger remnant, and NGC 4486B, a close companion to M87 possessing a double nucleus. If merger remnants in general show marked deviations from the central parameter relationships, the status of the merger hypothesis as a mechanism for forming the majority of normal elliptical galaxies would be in serious doubt. As such, the robustness of the central parameter relationship may provide a strong test of the merger hypothesis.

We (van der Marel et al, in preparation) have used NICMOS to investigate the central parameter relationship in a sample of young ellipticals with significant tidal debris. Our sample is chosen morphologically from the Arp (1966), Vorontsov-Velyaminov (1977), and UV-bright Markarian (Mazzarella & Boroson 1993) catalogs. Our sample is chosen to have galaxies with tidal features indicative of a recent merger – tails, shells, plumes, or otherwise strongly distorted isophotes, and includes the well-known merger remnants NGC 7252 and NGC 3921. The sample is also restricted to $`z<10,000`$ km/s, which translates to a spatial resolution of $`\genfrac{}{}{0pt}{}{_<}{^{}}`$ 25 pc (for $`H_0=80`$) using the NIC1 camera.

Each system was imaged using the NIC2 camera using the F110W, F160W, and F205W filters, and again in F110W using the NIC1 camera for maximum resolution. The images were Lucy deconvolved using the appropriate PSF, after which azimuthal surface brightness profiles were extracted. The surface brightness profiles were then fit by a “nuker law” (Lauer et al 1995) and deprojected to obtain the three dimensional luminosity density. Figure 1 shows the H-band luminosity density at $`r=50`$ pc for our sample, plotted as a function of galaxy luminosity. The majority of the objects in our sample lie on the same density-luminosity relationship defined by normal ellipticals. Three of the objects, however, show significantly higher central luminosity densities than would be expected from the normal elliptical density-luminosity relationship: NGC 34, NGC 3921, and NGC 7252. The scatter in central luminosity density in our sample is significantly larger than that seen in normal elliptical samples.

This large scatter is likely the result of a number of effects. First, our sample is morphologically diverse, comprised of galaxies which have suffered a variety of interactions. It is interesting that the three galaxies which show the central luminosity excess have the most prominent tidal debris, suggesting that major mergers are the most likely to affect the central luminosity density of galaxies. However, there is no one-to-one correlation between tidal morphology and nuclear properties: a fourth object in our sample, NGC 7727, also possess a long, prominent tidal tail, yet shows no excess nuclear light. A second effect also likely plays a major role: that of merger age. Their blue nuclear colors suggests that the high luminosity densities observed in NGC 34, 3921 and 7252 are probably a direct consequence of recent star formation triggered by a merger. Stellar populations fade with time, and these galaxies will therefore evolve towards the locus of normal elliptical galaxies as time passes. Tidal debris becomes less prominent with age as well, as the tidal tails expand away or fall back and mix into the remnant (Mihos 1995; Hibbard & Mihos 1995). Unfortunately, it is very difficult to disentangle the effects age and encounter type; both effects are almost certainly at work in our morphologically selected sample.

At face value, the large scatter in the nuclear properties of our sample of merge remnants might seem a blow against the merger hypothesis for the formation of ellipticals. However, the morphological selection criteria biases us towards specific types of mergers: major, prograde encounters, which are the most effective at triggering strong nuclear inflows. Mergers in general will sample a wider range of encounter parameters which may not be as efficient at altering the nuclear properties. Furthermore, as noted above, evolution of the stellar populations will likely drive the discrepant objects to lower luminosity and central luminosity density, moving them back towards the mean relationship with time. But this evolution is slow; it will take several Gyr for the starburst population to fade sufficiently. An object like NGC 7727, whose prominent tidal debris argues for a young age, cannot have started with a central luminosity spike as strong as that observed in NGC 3921 and have evolved so quickly onto the central parameter relationship.

Peculiar ellipticals with strong central density spikes may be the natural evolutionary outcome of the ultraluminous IRAS galaxies. These luminous merger induced starbursts possess very strong central concentrations of gas, and if that gas is converted efficiently into stars the resulting central density will be quite high (Hibbard & Yun 1999). Because it can take a Hubble time to evolve back onto the central parameter relationship, our results suggest either that most ellipticals do not go through this ultraluminous central starburst phase, or that the merger ages of most ellipticals must be very large. Our results are inconsistent with the notion that ULIRGs at moderate redshifts formed a significant fraction of the local elliptical galaxy population.

## References

Arp, H.C. 1966, Atlas of Peculiar Galaxies, ApJS, 123, 1

Brown, R.J.N. et al. 2000, astro-ph 0004019

Carollo, C. et al. 1997, ApJ, 481, 710

Faber, S.M. et al. 1997, AJ, 114, 1771

Grillmair, C.J. et al. 1999, AJ, 117, 167

Hibbard, J., & Mihos, J.C. 1995, AJ, 110, 140

Hibbard, J., & Yun, M.S.. 1999, ApJ, 522, L93

Lauer, T. R., et al. 1995, AJ, 110, 2622

Mazzarella, J.M., & Boroson, T.A. 1993, ApJS, 85, 27

Mihos, J.C. 1995, ApJ, 438, L75

Peletier, R.F., Valentijn, E.A., & Jameson, R.F. 1990, A&A, 233, 62

Read, A.M. & Ponman, T.J. 1998, MNRAS, 297, 143

Sansom, A.E., Hibbard, J.E., & Schweizer, F. 2000, astro-ph/0007188

Silva, D.R., & Bothun, G.D. 1998, ApJ, 522, L93

Vorontsov-Velyaminov, B.A. 1977, Atlas of Interacting Galaxies, A&AS, 28, 1


text:
# A space with only Borel subsets

The research was partially supported by the Israel Science Foundation, founded by the Israeli Academy of Sciences and Humanities. Publication 730

Miklós Laczkovich (Budapest) asked if there exists a Haussdorff (or even normal) space in which every subset is Borel yet it is not meager. The motivation of the last condition is that under $`\mathrm{MA}_\kappa `$ every subspace of the reals of cardinality $`\kappa `$ has the property that all subsets are $`\mathrm{F}_\sigma `$ however Martin’s axiom also implies that these subsets are meager. Here we answer Laczkovich’ question. I thank Peter Komjath – the existence of this paper owes much to him.

Theorem. The following are equiconsistent.

1. There exists a measurable cardinal.
2. There is a non-meager $`T_1`$ space with no isolated points in which every subset is Borel.
3. There is a non-meager $`T_4`$ space with no isolated points in which every subset is the union of an open and a closed set.

Proof. Assume first that $`\kappa `$ is measurable in the model $`V`$. Add $`\kappa `$ Cohen reals, that is, force with the partial ordering $`\mathrm{Add}(\omega ,\kappa )`$. Our model will be $`V[G]`$ where $`G\mathrm{Add}(\omega ,\kappa )`$ is generic. We first observe that in $`V[G]`$ there is a $`\kappa `$-complete ideal on $`\kappa `$ such that the complete Boolean algebra $`P(\kappa )/I`$ is isomorphic to the Boolean algebra of the complete closure of $`\mathrm{Add}(\omega ,j(\kappa ))`$ where $`j:VM`$ is the corresponding elementary embedding. Indeed we let $`XI`$ if and only if $`1\kappa j(\tau )`$ for some $`\tau `$ satisfying $`X=\tau ^G`$, that is, $`\tau `$ is a name for $`X\kappa `$. Moreover, the mapping $`X[[\kappa j(\tau )]]`$ is an isomorphism between $`P(\kappa )/I`$ and the regular Boolean algebra of $`\mathrm{Add}(\omega ,j(\kappa )\kappa )`$ (where $`\tau `$ is a name for $`X`$). Notice that $`|j(\kappa )|=2^\kappa `$.

We observe that this Boolean algebra has the following properties. There are $`2^\kappa `$ subsets $`\{A_\alpha :\alpha <2^\kappa \}`$ which are independent mod $`I`$, that is, if $`s`$ is a function from a finite subset of $`\kappa `$ into $`\{0,1\}`$ then the intersection

$$B_s\stackrel{\mathrm{def}}{=}\underset{\alpha \mathrm{Dom}(s)}{}A_\alpha ^{s(\alpha )}$$

is not in $`I`$ (here $`A^1=A`$ and $`A^0=\kappa A`$). Moreover, if $`A\kappa `$ then there are countably many pairwise contradictory functions $`s_0,s_1,\mathrm{}`$ as above, such that

$$A/I=B_{s_0}/IB_{s_1}/I\mathrm{},$$

that is, $`A`$ can be written as $`B_{s_0}B_{s_1}\mathrm{}`$ add-and-take-away a set in $`I`$.

By cardinality assumptions we can assume that for every pair $`(X,Y)`$ of disjoint members of $`I`$ there is some $`\alpha <2^\kappa `$ with $`XA_\alpha `$, $`Y\kappa A_\alpha `$.

We define a topology on $`\kappa `$ by declaring the system

$$\{A_\alpha Z,A^1Z:\alpha <2^\kappa ,ZI\}$$

a subbasis, or, what is the same, the collection of all sets of the form $`B_sZ`$ (where $`ZI`$) a basis.

We prove the following statements on the space.

Claim. The space has the following properties.

1. Every set of the form $`B_s`$ is clopen, every set in $`I`$ is closed.
2. Every meager set is in $`I`$.
3. Every set is the union of an open and a closed set.
4. The closure of $`B_sZ`$ is $`B_s`$.
5. The space is $`T_4`$.

Proof. 1. Straightforward.

2. Every set not in $`I`$ contains a subset of the form $`B_sZ`$ (by one of the properties of the Boolean algebra mentioned above), which is open, so every nowhere dense, therefore every meager set is in $`I`$.

3. If $`A\kappa `$ then $`A/I`$ can be written as $`A/I=B_{s_0}/IB_{s_1}/I\mathrm{}`$ and then clearly

$$A=\left(\left(B_{s_0}Z_0\right)\left(B_{s_1}Z_1\right)\mathrm{}\right)Z$$

for some sets $`Z_0,Z_1,\mathrm{},Z`$ in $`I`$. But this is a decomposition into the union of an open and a closed set.

4. Clear.

5. Assume we are given the disjoint closed sets $`F`$ and $`F^{}`$. They can be written as

$$F=\left(B_{s_0}Z_0\right)\left(B_{s_1}Z_1\right)\mathrm{}Z$$

and

$$F^{}=\left(B_{s_0^{}}Z_0^{}\right)\left(B_{s_1^{}}Z_1^{}\right)\mathrm{}Z^{}.$$

As $`F`$ and $`F^{}`$ are closed, using 4., we can assume that

$$Z_0=Z_1=\mathrm{}=Z_0^{}=Z_1^{}=\mathrm{}=\mathrm{}.$$

Set $`G=B_{s_0}B_{s_1}\mathrm{}`$, $`G^{}=B_{s_0^{}}B_{s_1^{}}\mathrm{}`$, then $`F=GZ`$, $`F^{}=G^{}Z^{}`$ and these four sets are pairwise disjoint. It suffices to separate each of the pairs $`(G,G^{})`$, $`(G,Z^{})`$, $`(G^{},Z)`$, and $`(Z,Z^{})`$. There is no problem with the first case, as $`G`$, $`G^{}`$ are open. For the last case we use our assumption that some $`A_\alpha `$ separates $`Z`$ and $`Z^{}`$. For the second, we can assume that $`G`$ is non empty hence $`B_{s_0}`$ is well defined and disjoint to $`Z^{}`$, now choose $`\alpha <\kappa `$ such that $`Z^{}`$ is a subset of $`A_\alpha `$, and so $`G`$, $`A_\alpha B_{s_0}`$ is a pair of disjoint open sets as required. Lastly the third case is similar to the second.

We have proved $`(1)(3)`$, and $`(3)(2)`$ is trivial; lastly for $`(2)(1)`$ assume that $`(X,𝒯)`$ is a non-meager $`T_1`$ space with no isolated points in which every subset is Borel. Let $`\{G_\alpha :\alpha <\tau \}`$ be a maximal system of disjoint, nonempty, meager open sets. Such a system exists by Zorn’s lemma. Set $`Y=\{G_\alpha :\alpha <\tau \}`$. Clearly, $`Y`$ is meager. As the boundary of the open $`Y`$ is nowhere dense, we get that even the closure of $`Y`$ is meager. Then the nonempty subspace $`Z=X\overline{Y}`$ has the property that no nonempty open set is meager and every subset is Borel. If $`I`$ is the meager ideal on $`Z`$ then every subset is equal to some open set mod $`I`$. We claim that $`I`$ is precipitous on $`Z`$ which implies that in some inner model there is a measurable cardinal (see , ).

For this, assume that $`𝒲^0,𝒲^1,\mathrm{}`$ is a refining sequence of mod $`I`$ partitions. That is, every $`𝒲^n`$ is a maximal system of $`I`$-almost disjoint open sets, and if $`A`$ is a member of some $`𝒲^{n+1}`$ then there is some member of $`𝒲^n`$ which includes $`A`$ mod $`I`$. We try to find a member $`A_n𝒲^n`$ such that $`\{A_n:n<\omega \}`$ is nonempty. To this, observe that the intersection of two members in $`𝒲^n`$ is a meagre open set, hence is the empty set. Therefore, $`𝒲^n`$ is actually a decomposition of $`ZZ_n`$ into the union of disjoint open sets where $`Z_n`$ is a meager set. Pick an element in $`Z\{Z_n:n<\omega \}`$ then it is in some member of $`𝒲^n`$ for every $`n`$ and we are done.


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# On the √2 puzzle in AdS2/CFT1

## Abstract

In this letter we analyze the Hamiltonian formulation of the Jackiw-Teitelboim model of 2D gravity and calculate the central charge associated with the asymptotic symmetries, taking care of boundary terms. For black hole solutions, we show that there is no $`\sqrt{2}`$ discrepancy between the thermodynamical entropy and the statistical one obtained via Cardy’s formula.

PACS numbers: 04.20.-q, 04.70.-s, 04.70.Dy

Two-dimensional dilatonic models of gravity received recently much attention. Their importance relays on their role in the conjectured AdS/CFT correspondence  and in describing some properties of higher-dimensional black-holes (see e.g. ). Two distinct realizations of the AdS2/CFT correspondence are known . The simplest one is known as AdS2/CFT1 and can be understood in terms of boundary fields , but is believed to be plagued by a value of the central charge that leads to a mismatch between statistical and thermodynamical entropy of black hole solutions of the Jackiw-Teitelboim model. In a previous paper  we have shown that if the $`U(1)`$ timelike symmetry of a stationary solutions has fixed points, then the hamiltonian for gravity has a boundary term coming from the fixed point set, and moreover that this term can be interpreted in a CFT language. This gave a statistical entropy matching correctly to the usual thermodynamics of black holes. It was clear from  that this horizon boundary term is a general feature of gravity in any dimension.
Take for example the BTZ black hole, with metric

$$ds^2=\left(8mG_3+\frac{r^2}{\mathrm{}^2}\right)dt^2+\left(8mG_3+\frac{r^2}{\mathrm{}^2}\right)^1dr^2+r^2d\varphi ^2$$
(1)
We normalize the surface gravity to one, so $`\sqrt{8mG_3}=\mathrm{}`$ and the euclidean metric describes a disk times a circle, both with periodicity $`2\pi `$. The mass, i.e. the boundary term at infinity, is then $`m=\mathrm{}^2/8G_3`$ and the boundary term at the horizon is evaluated as $`\mathrm{}^2/4G_3`$. As explained in , this would give a central charge $`c=3\mathrm{}^2/G_3`$, $`L_0=m`$ and the entropy takes the value

$$S=2\pi \sqrt{\frac{cL_0}{6}}=\frac{\pi \mathrm{}^2}{2G_3}=\frac{A}{4}$$
(2)
matching the Bekenstein-Hawking’s entropy. On the other hand, Strominger had already found the correct entropy by using the central charge associated with the asymptotic symmetries in $`AdS_3`$ at infinity, as given by Brown-Henneaux years ago. Note however that Brown-Henneaux’s central charge is different from our $`c=3r_+/G_3`$, which depends from the mass of the black hole. This would mean that the central charge actually depends on the states on which the Virasoro operators act. The coincidence of the present calculation with that of Strominger suggest that the boundary CFT has enough information to describe the black holes in the bulk , certainly an aspect of the $`AdS_3/CFT_2`$ correspondence.
The aim of this paper is to show that the same happens to the central charge associated with the asymptotic symmetries of AdS2, that has indeed the value needed to account for black hole entropy.
As a starting point let’s consider the JT action111see  for references, definitions and notation. We try to summarize the points needed to make our discussion self-contained

$$S=\frac{1}{2}d^2x\sqrt{g}\eta [R+2\lambda ^2]$$
(3)
The general stationary solution to the equations of motion are given by

$$ds^2=(\lambda ^2x^2a^2)dt^2+(\lambda ^2x^2a^2)^1dx^2$$
(4)
for the metric and

$$\eta =\eta _0\lambda x$$
(5)
for the dilaton. For positive $`a^2`$, these solutions can be interpreted as black holes of mass

$$M=\frac{1}{2}\eta _0\lambda a^2$$
(6)
and entropy

$$S=2\pi \eta _0a$$
(7)
The metric is defined to be asymptotically AdS2 if, for $`x\mathrm{}`$

$`g_{tt}`$ $`=`$ $`\lambda ^2x^2+\gamma _{tt}(t)+O\left({\displaystyle \frac{1}{x^2}}\right)`$
$`g_{tx}`$ $`=`$ $`{\displaystyle \frac{\gamma _{tx}(t)}{\lambda ^3x^3}}+O\left({\displaystyle \frac{1}{x^5}}\right)`$
$`g_{xx}`$ $`=`$ $`{\displaystyle \frac{1}{\lambda ^2x^2}}+{\displaystyle \frac{\gamma _{xx}(t)}{\lambda ^4x^4}}+O\left({\displaystyle \frac{1}{x^6}}\right)`$
while the asymptotic behaviour of the dilaton is taken to be

$$\eta =\eta _0\left(\lambda \rho (t)x+\frac{\gamma _{\varphi \varphi }}{2\lambda x}\right)+O\left(\frac{1}{x^3}\right)$$

The boundary fields are then $`\gamma _{tt},\gamma _{tx},\gamma _{xx},\gamma _{\varphi \varphi },\rho `$ and they transform as conformal fields under the action of the asymptotic symmetries. The task is to calculate the charge J associated with these symmetries and this can be easily done in the Hamiltonian formalism.
Hamiltonian formulation of 2D dilatonic gravity theories has been already carried out, e.g. in , and other authors usually refer to that analysis. The starting point is the ADM decomposition of the metric

$$ds^2=N^2dt^2+\sigma ^2(dx+N^xdt)^2$$

which leads to an Hamiltonian of the following form

$$H_{bulk}=𝑑x(N+N^x_x)$$
(8)
As explicitly stated in , in this expression some boundary terms have been dropped. We already noticed in  that the full Hamiltonian must include this boundary terms and hence it reads

$$H_{tot}=H_{bulk}+\underset{x\mathrm{}}{lim}\left[\left(\frac{\eta N^{}}{\sigma }\eta \mathrm{\Pi }_\eta N^x\right)+\left(\sigma \mathrm{\Pi }_\sigma N^x\frac{\eta ^{}N}{\sigma }\right)\right]$$
(9)
where a prime denotes differentiation w.r.t. x and the two $`\mathrm{\Pi }`$’s are the canonically conjugate momenta to the fields in the subscript.
The two boundary terms have different origins. The first one comes from an integration by parts performed in the action integral to get rid of second order derivatives; the second one arises as a consequence of a second integration by parts performed after the Legendre transformation in order to write the Hamiltonian in the form shown above, with $`N`$ and $`N^x`$ acting as Lagrange multipliers.
It is usually believed that there’s no need to keep track of these boundary terms, since we should be able to recover them by requiring the final Hamiltonian to be differentiable. Using this approach, the boundary term that has to be added to the variation of (8) is

$$\delta J=\underset{x\mathrm{}}{lim}[N(\sigma ^1\delta \eta ^{}\sigma ^2\eta ^{}\delta \sigma )N^{}(\sigma ^1\delta \eta )+N^x(\mathrm{\Pi }_\eta \delta \eta \sigma \delta \mathrm{\Pi }_\sigma )]$$

or using the boundary fields

$$\delta J[ϵ]=\eta _0\left[\lambda ϵ(\gamma _{tt}\delta \rho +\frac{\rho }{2}\delta \gamma _{xx}+\delta \gamma _{\varphi \varphi })+\frac{\dot{ϵ}\delta \dot{\rho }}{\lambda }\frac{\ddot{ϵ}\delta \rho }{\lambda }\right]$$
(10)
where $`ϵ(t)`$ is the function of time which enters into the definition of the asymptotic symmetries and a dot denotes differentiation w.r.t. time. Moreover in  it’s claimed that the equation of motion of the dilaton (the 00 and 01 component respectively) gives the constraints

$`\lambda ^2\ddot{\rho }=\rho (\gamma _{tt}\gamma _{xx})\gamma _{\varphi \varphi }`$ (11)
$`\dot{\rho }\gamma _{tt}+{\displaystyle \frac{\rho }{2}}\dot{\gamma }_{xx}+\dot{\gamma }_{\varphi \varphi }=0`$ (12)
Using these equations and expanding near the classical solution $`\rho =1+\overline{\rho }`$, their value for the charge for on-shell field configurations, up to a constant which equals the mass (6) and up to a total time derivative (which plays no role, since the actual charge is obtained by integrating the above expression over time ), is

$$J[ϵ]=2\eta _0/\lambda ϵ\ddot{\rho }+ϵM$$
(13)
In the spirit of AdS/CFT correspondence, this charge (once we drop the mass term) is interpreted as a conformal stress-tensor, whose anomaly in the conformal transformation gives the central charge of the associated Virasoro algebra. The value of the central charge obtained from (13) is claimed to be $`C=24\eta _0`$. This calculation has two shortcomings. First, in obtaining (10) the boundary terms have been discarded. Second, the use of (12) is controversial: equation (11) must definitively hold, since it’s obtained by requiring the vanishing of the $`O(x)`$ term in the $`00`$ component of the dilaton equation of motion; equation (12), on the other hand, comes from the leading term of $`O(1/x^2)`$ in the $`01`$ component, which therefore becomes a null identity as $`x`$ goes to infinity. Third, to obtain a Virasoro’s algebra the mass term has to be dropped, but setting $`M=0`$ (i.e. $`L_0=0`$) Cardy’s formula cannot be used, since it holds if $`L_0C`$.
The boundary term in (the phase space functional) $`H_{tot}`$ (9) can be rewritten as

$$\eta _0[\lambda ϵ(\gamma _{tt}\rho +\gamma _{\varphi \varphi })+\dot{ϵ}\dot{\rho }/\lambda \rho \ddot{ϵ}/\lambda ]$$

Including this term in the variation leads to a modified expression for $`\delta J`$

$$\delta J_{tot}[ϵ]=\eta _0\lambda ϵ\rho [\delta \gamma _{tt}\delta \gamma _{xx}/2]$$

This can be rewritten in the more useful form

$$\delta J_{tot}[ϵ]=\eta _0\lambda ϵ\{\delta [\rho (\gamma _{tt}\gamma _{xx})]+\delta \gamma _{xx}/2\delta \rho (\gamma _{tt}\gamma _{xx})\}$$
(14)
In this form, we can immediately insert (11). Considering as above configurations near the classical one it’s easy to get

$$J_{tot}=\eta _0/\lambda ϵ\ddot{\overline{\rho }}+ϵM$$
(15)
This gives a conformal stress-tensor exactly 1/2 of the previous result (13), modulo a sign, and we expect the central charge also to get a 1/2 factor: $`𝒞=12\eta _0`$.
To verify this, we calculate the variation of the stress-tensor (keeping the mass term!); using $`(14)`$, $`(11)`$ and the transformation laws for the fields given in , we get near the classical solutions:

$$ϵ\delta _\omega \mathrm{\Theta }=ϵ\left(\omega \dot{\mathrm{\Theta }}+2\dot{\omega }\mathrm{\Theta }\right)\frac{\eta _0}{\lambda }ϵ\stackrel{\mathrm{}}{\omega }$$

and this equals the Dirac bracket between the charges. Using the Fourier expansions:

$$ϵ=\frac{1}{\lambda }\underset{m}{}a_me^{i\lambda mt},\omega =\frac{1}{\lambda }\underset{n}{}a_ne^{i\lambda nt},\mathrm{\Theta }=\lambda \underset{k}{}L_ke^{i\lambda kt}$$

we get a (classical) Virasoro algebra

$$[L_m,L_n]=i\{(mn)L_{m+n}+\eta _0m^3\delta _{m+n}\}$$

Hence it’s shown that the (quantum) central charge is $`𝒞=12\eta _0`$. With one qualification, this is the same result as obtained in . The qualification to be added is that the authors of  refer to a non scalar dilaton, here we improve upon the scalar dilaton theory studied in .
Turning to the issue of the statistical entropy, it is given by Cardy’s formula, provided that $`a^224`$,

$$S_{stat}=2\pi \sqrt{𝒞L_0/6}$$

where $`L_0=M/\lambda `$. Substituting for the value of the central charge

$$S_{stat}=2\pi \eta _0a$$

which agrees with the thermodynamical expression (7). This demonstrates also that, at least for 2D systems, discarding boundary terms leads to wrong conclusions. This is probably related to the topological nature of 2D gravity. As a remark, for higher dimensional AdS black holes111These are described in ., the horizon central charge (calculated a là Carlip) matches the Bekenstein-Hawking entropy provided the mass of the black hole, but not the mass as measured from infinity, be directly related to the Virasoro’s generator $`L_0`$. On the other hand, the AdSd+1/CFTd correspondence shows that the entropy scales with the area of the event horizon, so the CFT at infinity with a black hole in the bulk must count correctly the number of degrees of freedom of the horizon (see  for a discussion of density of states in CFT), in agreement with Witten’s argument .
Our result removes one of the problems in the AdS2/CFT1 scenario but also introduces new questions. Here we show that asymptotic symmetries correctly account for the entropy of the two dimensional black holes; on the other hand we recently showed that regularity at the horizon also do the job . As for $`AdS_3`$, this seems to suggest that there is some correspondence between states at infinity and on the horizon in 2D systems. But unlike from $`AdS_3`$, the central charge here is equal to the one calculated using near horizon symmetries, and in fact the $`AdS_2`$ black hole simply is a foliation of $`AdS_2`$ by a different choice of time coordinate.


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# Chemical analysis of 8 recently discovered extra-solar planet host starsBased on observations collected at the La Silla Observatory, ESO (Chile), with the echelle spectrograph CORALIE at the 1.2-m Euler Swiss telescope

## 1 Introduction

Before the discovery of the first extra-solar planet (Mayor & Queloz May95 (1995)), the constraints on the planetary formation models were confined to the Solar System example. Today more than 40 extra-solar planetary systems are known. These discoveries immediately opened new horizons to this field, but also brought a bunch of new questions and problems. In fact, the extra-solar planets found to date don’t have much in common with our own solar system. Their physical characteristics were completely unexpected. Some of them, like the extreme proximity of some of the new planets to their “mother” stars are surprising and still defy current formation models. A review of the subject can be found in Marcy, Cochran & Mayor (Mar99 (1999)).

One particular fact became evident soon after the first extra-solar planets were discovered. The metallicity of the stars with planets proved to be distinctively different from the one found in field single dwarfs, being very metal-rich (Gonzalez Gon97 (1997), Gon98a (1998)). As the number of extra-solar planets is increasing, this fact is becoming more and more sharp.

Recent work showed that the high metallicity of the stars with giant planets cannot be the result of stellar population effects (Gonzalez Gon99 (1999)). Furthermore, Gonzalez & Laws (Gon00 (2000)) add more evidence for chemical anomalies in stars with planetary companions. Their study suggests that the anomalies not only involve the \[Fe/H\] index, but possibly also the ratios \[Li/H\], \[C/H\] and \[N/H\]. The observed correlations between the presence of planets and the existence of chemical anomalies represent the only known physical connection between their presence and a stellar photospheric parameter, and their study is thus of major importance.

In addition to the discovery of a planet around HD 1237 (Naef et al. Nae00 (2000)), the Geneva extra-solar planet search group recently announced the discovery of 8 new low-mass companions to solar type stars (all with masses below $``$15 $`M_{\mathrm{Jup}}`$111www.eso.org/outreach/press–rel/pr–2000/pr–13–00.html). These new planets and brown-dwarfs are included in a volume-limited sample of dwarfs (Udry et al. Udr00 (2000)). In this paper we present and discuss the abundance analysis of the elements C, O, S, Ca, Ti, Fe, and Si in the new candidates, HD 1237, HD 52265, HD 82943, HD 83443, HD 169830, and HD 202206. Planets have also been discovered during the CORALIE survey around HD 13445 (Queloz et al. Que00 (2000)) and HD 75289 (Udry et al. Udr00 (2000)). We also present a spectroscopic analysis of these two stars, already studied by Flynn & Morell (Fly97 (1997)), and Gonzalez & Laws (Gon00 (2000)), respectively. The other three recently announced candidates (HD 108147, HD 162020 and HD 168746) will be the subject of a future publication.

## 2 Observations and data reduction

The spectra were obtained during three separate runs, between January and April 2000, using the new 1.2-m Euler Swiss telescope at La Silla (ESO), Chile, equipped with the CORALIE echelle spectrograph. The resolving power ($`\lambda /\mathrm{\Delta }\lambda `$) of the spectrograph is about 50 000, and the spectra cover the visible spectrum between 3800 and 6800 Å without gaps. The spectra have S/N ratios between about 150 and 350 (for the faintest objects we doubled the exposures). In Fig. 1 we present two sample spectra of HD 13445 and HD 169830.

The reduction of the spectra was carried out using standard tasks in the echelle package of IRAF222IRAF is distributed by National Optical Astronomy Observatories, operated by the Association of Universities for Research in Astronomy, Inc., under contract with the National Science Foundation, U.S.A.. The wavelength calibration was done using the spectrum of a Thorium-Argon lamp that was taken in the beginning of the night.

After wavelength calibrated, the spectra were corrected for the radial-velocity Doppler shift using the velocity computed in the context of the planet search programme, and normalized using the CONTINUUM task in IRAF. In this step we divided the spectra into 350 Å wide intervals, that were normalized separately using 3rd order spline functions, and added together at the end. A visual inspection of the resulting spectra showed that the results were quite satisfactory.

## 3 Analysis

### 3.1 Spectrum Synthesis: Method

Abundance determination was done using a standard Local Thermodynamic Equilibrium (LTE) analysis with a revised version of the line abundance code MOOG (Sneden Sne73 (1973)), and a grid of Kurucz et al. (Kur93 (1993)) ATLAS9 atmospheres.

Atomic data for iron lines was taken from the list of Gonzalez & Laws (Gon00 (2000)). This choice was done so that our results would be in the same scale with theirs. Since we could not obtain a Solar spectrum, we also used the gf-values listed by these authors.

The line-lists for other elements were compiled from different authors, and semi-empirical gf-values were computed using equivalent widths obtained in the High Resolution Solar Atlas (Kurucz et al. Kur84 (1984)), and a solar model with $`T_{\mathrm{eff}}`$ = 5777 K, $`\mathrm{log}g`$ = 4.438 and $`\xi _t`$ = 1 km s-1. We decided to adopt a value of $`\mathrm{log}ϵ_{\mathrm{}}(Fe)`$ = 7.47 (the same used by Gonzalez & Laws Gon00 (2000)). For other elements, the values were taken from Anders & Grevesse (And89 (1989)).

Measured equivalent widths for the lines in the observed stars were determined by Gaussian fitting using the SPLOT task in IRAF. In Tables 1 and 2 we present the results, as well as the line parameters used ($`\mathrm{log}gf`$ and $`\chi _l`$).

### 3.2 Stellar parameters and Abundances

Stellar atmospheric parameters were computed using the standard technique based on the Fe ionization balance. We first adopted initial atmospheric parameters computed from ubvy-photometry of Hauck & Mermilliod (Hau97 (1997)) using the calibrations of Olsen (Ols84 (1984)) for $`T_{\mathrm{eff}}`$ and $`\mathrm{log}g`$, Schuster & Nissen (Sch89 (1989)) for \[Fe/H\] and Edvardsson et al. (Edv93 (1993)) for $`\xi _t`$. Then, using the set of Fe i and Fe ii lines presented in Table 1, we iterated until the correlation coefficients between $`\mathrm{log}ϵ`$(Fe i) and $`\chi _l`$, and between $`\mathrm{log}ϵ`$(Fe i) and $`\mathrm{log}(\mathrm{W}_\lambda /\lambda )`$ were zero (Fig. 2). The abundances derived from the Fe ii lines were forced to be equal to those obtained from Fe i. The final atmospheric parameters, as well as the resulting iron abundances, are summarized in Table 3.

Errors in the parameters were estimated in the same way as in Gonzalez & Vanture (Gon98b (1998)). The values were rounded to 25 K in $`T_{\mathrm{eff}}`$, 0.05 dex in $`\mathrm{log}g`$, and 0.05 km s-1 in $`\xi _t`$.

Uncertainties in the abundances of all elements were then determined adding the errors due to the sensitivities of the resulting abundances to changes of the atmospheric parameters (see Table 4 for two examples), and the dispersion of the abundances for the individual lines of each element. For elements with only one line measured, the errors only take into account the sensitivities to the atmospheric parameters. The dependence on $`\xi _t`$ is always very small, and has no important implications in the final errors. The final abundance determinations and errors for C, O, S, Ca, Ti i, Ti ii, and Si are presented in Table 5.

### 3.3 Comparison with former results

Previous spectroscopic analysis have been reported by different authors only for three stars from the present sample.

A value of \[Fe/H\] = $`0.24`$ was determined by Flynn & Morell (Fly97 (1997)) for HD 13445. Our value of $``$0.21, as well as all the atmospheric parameters are in good agreement with those proposed by these authors. The small differences can be understood if we note that these authors used different models of atmospheres and a small number of Fe lines.

The comparison of our atmospheric parameters with those of Gonzalez & Laws (Gon00 (2000)) for HD 75289 shows that they are remarkably similar. This similarity comes probably from the fact that we used the same line-list, models of atmospheres and the spectrum synthesis tool (MOOG). It is also apparent that the use of a different spectrograph/configuration does not have a significant influence on the final results (e.g. \[Fe/H\] and other abundance ratios). The difference is large only for Ca (more than 0.05 dex). In this paper we add the results for oxygen, not determined by these authors.

HD 169830 was included in the large survey of Edvardsson et al. (Edv93 (1993)). They obtained $`T_{\mathrm{eff}}`$ = 6382 K, $`\mathrm{log}g`$ = 4.15 and \[Fe/H\] = $`+`$0.13. These values are perfectly compatible with our results, even though they used a rather different iron line list and a different model atmosphere. The value for \[Fe/H\] is slightly lower than ours, which may be partially explained by the fact that they adopted the meteoritic value of $`\mathrm{log}ϵ_{\mathrm{}}`$(Fe) of 7.51.

Gustafsson et al. (Gus99 (1999)) provided carbon abundance for this star using the \[C i\] line at 8727.14 Å. Taking the stellar parameters determined by Edvardsson et al. (Edv93 (1993)), they find \[C/H\] = +0.19, 0.09 dex higher than our estimate. Below we will discuss carbon abundances in more detail.

## 4 Discussion

### 4.1 Metallicity-giant planet connection

As we can see from tables 3 and 5, the planetary host star candidates studied in this work have abundances above Solar for almost all elements, the only exception being HD 13445.

It is interesting to notice that 3 of the objects are Super Metal Rich (SMR) candidates (defined has having \[Fe/H\]$`>`$0.2 with 95% confidence, Taylor Tay96 (1996)), namely HD 82943, HD 83443 and HD 202206. HD 83443 has the planet in the closest orbit detected to date (only 0.028 A.U.), and one of the least massive companions (1.17 times the mass of Saturn). This seems to confirm that even the lowest mass companions orbit metal-rich stars.

In Fig. 3 we compare the distribution of the \[Fe/H\] values for stars with planets with the \[Fe/H\] distribution of a volume-limited sample of field stars (here we used the original distribution of Favata et al. (Fav97 (1997)), not corrected for scale galactic height effects). This kind of plot was first done by Gonzalez et al. (Gon98a (1998)) and later revisited by Butler et al. (But00 (2000)). However, the addition of 6 new planets and 2 brown dwarfs clearly deserves a revision.

The values of \[Fe/H\] for stars with planets were taken from Table 3 and, for the stars not included in this paper, from different authors and compiled in Table 4 of Butler et al. (But00 (2000)). We did not include the known Brown Dwarf candidates (HD 114762, HD162020, and HD 202206) in the histogram, but their position in the diagram is represented by the vertical lines. For HD 108147, HD 162020, and HD 168746 we found no spectroscopic values of \[Fe/H\] in the literature, and we thus determined \[Fe/H\] from the ubvy-photometry of Hauck & Mermilliod (Hau97 (1997)), and using the calibration of Schuster & Nissen (Sch89 (1989)); we obtained \[Fe/H\] = $``$0.02, 0.11, and $``$0.09, respectively. For HD 114762 we took the spectroscopic value of \[Fe/H\] = $``$0.60 obtained by Gonzalez (Gon98a (1998)).

As we can see from Fig. 3, the addition of the 6 new planets to the histogram further supports the former ideas that stars with planets are particularly metal rich when compared with field solar-type dwarfs. This result cannot be related to a selection bias, since the most important planet search programmes make use of volume limited samples of stars (Udry et al. Udr00 (2000); Marcy et al. Mar00 (2000)). The only exception is BD$-$10 3166 (Butler et al. But00 (2000)), chosen for its high metallicity. The simple fact that of the 6 new planets announced by the Geneva group, 5 were discovered around metal-rich dwarfs, clearly shows that the trend is certainly real.

The position of the three Brown Dwarf candidates (HD 114762, HD162020, and HD 202206), is intriguing and interesting. Two of the candidates have metallicities that place them perfectly inside the “planetary” metallicity distribution. This is particularly evident for HD 202206 for which we find \[Fe/H\] = +0.36. If the metallicity of the stars with planets is in fact related to their formation process, this fact suggests that the frontier between brown dwarfs and extra-solar giant planets is not very well defined, and there may be some overlapping. But this can also probably be explained if we consider that HD 202206 is in the metal-rich tail of the field distribution. The inclusion of more brown dwarfs into this plot is essential to better clarify this situation.

It is important to refer, however, that we are comparing two distributions whose chemical analysis were performed using two different methods. In the present article, effective temperatures were derived from Fe lines formed in LTE, while Favata et al. (Fav97 (1997)) derived them from colours. We do not think that this may account for the observed differences in the \[Fe/H\] distributions. However, we cannot exclude that the use of an uniform analysis may lead to somewhat different results.

### 4.2 Elements other than Fe

Gonzalez & Laws (Gon00 (2000)) suggested that stars with planetary companions might be carbon deficient when compared with field dwarfs. In Fig. 4 we compare the distribution of \[C/Fe\] for stars with planets (filled circles) to the results obtained in the survey of 80 late-F and early-G dwarfs of Gustafsson et al. (Gus99 (1999)), and of the work of Tomkin et al. (Tom97 (1997)).

Although we have the impression that stars with planets are located below the trend for field stars, we believe that statistically we cannot make any serious conclusion. If we take only the distribution of Gustafsson et al., we would have the impression that stars with planets are positioned below the main trend. However, the addition of the study of Tomkin et al. adds a few points to the region where stars with planets are located.

It is important to mention that all “three” studies were done using different sets of lines. Gustafsson et al. used the 8727Å line, while the study of Tomkin et al. made use of 6 different carbon lines. Furthermore, the values for the stars with planets are a compilation of the results of this paper and of Gonzalez & Laws (Gon00 (2000)), Gonzalez (Gon98b (1998)), and Sadakane et al. (Sad99 (1999)). The slight trend that we see, favoring the position of stars with planets in the low part of the mean trend line may thus be the result of systematics in the determination of carbon abundances, connected with the use of different lines and maybe of different atmosphere models (MARCS vs. ATLAS). Given that all stars with planets are positioned at the right limit of the plot (\[Fe/H\] rich stars), we cannot completely exclude the existence of a change in the slope of the relation \[C/Fe\] vs. \[Fe/H\] for very metal-rich dwarfs, connected or not with the presence of planets.

Given all these points, we prefer to be cautious concerning this result. The resolution of this problem may need a consistent and uniform study of carbon abundances in metal rich dwarfs, using the same set of lines and atmosphere models.

Oxygen and other $`\alpha `$-elements are produced in massive stars exploding as Type II supernovae. Many studies of the Galactic disk stars support a view that \[O/Fe\] declines from \[O/Fe\] $``$ 0.5 at \[Fe/H\] = $``$1 to about 0 at \[Fe/H\] = 0 (Chen et al. Che00 (2000); Edvardsson et al. Edv93 (1993); Feltzing & Gustafsson Fel98 (1998)). It is commonly accepted that this decline is due to the enhanced contribution of iron from Type Ia supernovae at about \[Fe/H\] = $``$1. Similar trends (but not as steep as for oxygen) were found for other $`\alpha `$-elements. It was also found that the differences in \[$`\alpha `$/Fe\] in the metallicity range $``$0.8 $`<`$ \[Fe/H\] $`<`$ $``$0.4 are correlated with the mean orbital galactocentric distance. Namely, stars with large Galactic orbits (exceeding 9 kpc), have \[$`\alpha `$/Fe\] smaller than stars in the inner orbits.

The situation is more complicated at metallicities \[Fe/H\] $`>`$ $``$0.1. Galactic viscous disk models of Tsujimoto et al. (Tsu95 (1995)) predict \[O/Fe\] vs. \[Fe/H\] to flatten out at solar metallicities. However, observations of Feltzing & Gustafsson (Fel98 (1998)) show that the \[O/Fe\] decline continues even at \[Fe/H\] $`>`$ 0. It is interesting to plot stars with planets on the same \[O/Fe\] vs \[Fe/H\] graph together with the field metal rich stars in order to find out whether or not our targets follow the Galactic trend discussed by Feltzing & Gustafsson. Combining the \[O/Fe\] ratios reported in this paper together with the values presented in the literature we found a large scatter on the \[O/Fe\] vs \[Fe/H\] diagram (Fig. 5) for stars with \[Fe/H\] $`>`$ 0. It is interesting that HD 75289 and HD 82943 have very similar abundances of all elements except oxygen which provides \[O/Fe\] = $``$0.30 and $``$0.07, respectively. Another interesting case was observed in HD 217107 where $`\alpha `$-elements Mg, Si and S are enhanced with respect to \[Fe/H\] by about 0.2 dex while oxygen is again under-abundant (Sadakane et al. Sad99 (1999)). Note that for HD 83443 we derived \[O/Fe\] = 0.12. The small number of observations and a use of only one oxygen line prevents us making from any firm conclusions. It would help to study different oxygen lines (IR triplets at 7775 and 8446 Å, OH bands in the near-UV and IR) in order to obtain consistent abundances from the lines formed in different atmospheric layers.

In Fig. 6 we present the plots for \[X/Fe\] as a function of \[Fe/H\] for X = Ca, Ti i, and Si, as compared with the values obtained by Feltzing & Gustafsson (Fel98 (1998)) in their survey of 47 G and K dwarfs. The values of \[X/H\] for the stars with planets were taken from this paper and from Gonzalez & Laws (Gon00 (2000)), Gonzalez (Gon98b (1998)), and Sadakane et al. (Sad99 (1999)).

An analysis of the figure shows that there are no apparent trends distinguishing stars with planets from single stars. This result does not exclude that stars with planets may have a different “behavior” in such plots, but it definitely shows that if they exist, then they must be of the order of 0.1 dex or lower (considering the errors in the determinations of the abundances).

Moreover, comparison of Ca and Ti abundances in the stars with planets with those from the field (Edvardsson et al. Edv93 (1993); Feltzing & Gustafsson Fel98 (1998)) confirms previous findings that \[Ca/Fe\] and \[Ti/Fe\] flattens out towards higher metallicities. We confirm a small scatter in \[Ca/Fe\] and \[Ti/Fe\] found by these authors. Our data for Si does not show a large scatter as found by Feltzing & Gustafsson (Fel98 (1998)). Observations of Chen et al. (Che00 (2000)) support he small scatter found for Si in our study.

### 4.3 Primordial abundance vs. Enrichment

Various formation models try to take into account the observed anomalies to explain how and why the observed systems were formed and evolved. In the continuation of the conventional picture where an “ice” core is needed to accrete gas and give origin to a giant planet, the “new” theories include inward migration of the formed planet due to gravitational interaction with the disk (Goldreich & Tremaine Gol80 (1980); Lin & Papaloizou Lin86 (1986); Lissauer Lis95 (1995)), gravitational interactions between multiple giant planets (Weidenshilling & Marzari Wei96 (1996); Rasio & Ford Ras96 (1996)) or even in-situ formation (e.g., Wuchterl Wuc96 (1996); Bodenheimer et al. Bod99 (1999)), which was not compatible with former theories of giant gaseous planet formation. In these scenarios, the explanation of the higher metallicity found in giant extra-solar planet mother stars may involve mechanisms like the transfer of material from the disk to the star as the result of the migration processes (Lin & Papaloizou Lin86 (1986)), or the fall of one or more planets into the star. On the other hand, these anomalies can also be “explained” if we invoke that the formation of giant planets is dependent on the metallicity of the original molecular cloud.

Since the mass of the convective envelope of a solar type dwarf increases with increasing spectral type, if the enrichment scenario is the key of the observed chemical anomalies, we might expect that the value of \[Fe/H\] would be anti-correlated with the mass of the convective envelope at the time of planetary formation. This is particularly true for stars with planets in close orbits, since the migration process is expected to induce the fall of H and He poor disk material that was inside the orbit of the planet (Lin et al. Lin96 (1996)).

To test this hypothesis we plot in Fig. 7 the values of the \[Fe/H\] excess for the extra-solar planet harboring stars listed in Table 6, against the mass of the convection zone ($`M_{\mathrm{conv}}`$). The \[Fe/H\] excess is defined here as being the difference between the observed value and the one expected according to the relation obtained by Gonzalez (Gon99 (1999)):

$`[\mathrm{Fe}/\mathrm{H}]`$ $`=`$ $`0.035\mathrm{Age}(\mathrm{Gyr})0.01`$ (1)
This correction is done in order to take into account the galactic age gradient; it did not, however, change particularly the distribution of the stars in the diagram. We do not make any correction for galactocentric distance. This does not, in principle, introduce any systematic errors.

The ages were taken from different authors (see Table 6), and when no values were available, they were computed from the Ca ii emission measure $`R_{\mathrm{HK}}^{}`$ using the relation of Donahue (Don93 (1993)), also quoted in Henry et al. (Hen96 (1996)). For three of the objects we have no value for the age: because of their position in the H-R diagram the errors computed using evolutionary tracks are very high; no $`R_{\mathrm{HK}}^{}`$ was available for these objects.

The masses for the convective envelopes ($`M_{\mathrm{conv}}`$) were derived from Table 1 of D’Antona & Mazzitelli (Dan94 (1994)), considering an age of 107 yr, and the stellar masses published by Butler et al. (But00 (2000)). For the stars not listed by these authors, stellar masses were derived from the position of the star in the evolutionary tracks of Schaller et al. (Sch92 (1992)). The age of 107 Gyr was taken to be the life time of a proto-planetary disk (Zuckerman et al. Zuc95 (1995)), and thus a probable value for disk contamination to occur.

One interesting feature to note in the plot is that the region with $`M_{\mathrm{conv}}0.3`$ M (shaded region) has a very low number of stars. But rather than having a physical origin, we believe that the reason for this effect has to do with sampling effects. The stars in this region are late-F and early-G dwarfs. Dwarfs of these spectral types are usually fast rotators, consequently having higher intrinsic radial-velocity “jitter” (Mayor et al. May98 (1998); Saar et al. Saa98 (1998); Santos et al. San00 (2000)), and thus more difficult targets for high-precision radial-velocity searches for planets. Also, given their masses, a random sample of F dwarfs must be in general younger and thus more metal-rich than an equivalent sample of G dwarfs. This may explain the fact that stars in this region are slightly above the mean \[Fe/H\] in the plot. Given these biases, we will concentrate on the right side of the diagram, plotted in more detail in Fig 8.

This plot gives the impression that some trend exists in the sense of an anti-correlation. This is due to the presence of a very few stars in the lower-right corner of the diagram. However, a linear fit to the points shows no significant correlation (we obtain a Spearman correlation coefficient of $``$0.3).

It is important at this point to discuss the sources of uncertainties in the diagram. First of all, the mass of the convection zone changes very fast with age in those evolutionary ages. For a 1 M star, if instead of 107 we take 3 107 yr, the difference in the mass of the convection zone increases by about 0.3 M. It is possible that disk contamination can happen in slightly different time scales for different stars, and thus the final result would be completely different. Furthermore, the contamination scenario itself is not simple. If instead of disk contamination we imagine that one or more planets fell into the star (by dynamical interactions in a multiple system), this would not necessarily take place at the same time in a star’s life. And of course, why should one expect that all stars would be “polluted” by the same amount of material? These facts may probably explain, or at least contribute, to the observed dispersion.

Adding to these errors, the precision of eqn. 1 is difficult to establish, but errors of the order of 0.2 to 0.3 dex are expected. The errors in the age are also not measurable, but might amount to some Gyr. To these we must add the uncertainties in the stellar models.

On the other hand, the analysis of the plot of Fig. 8 poses another problem: how can we explain that “contamination” effects may have increased the \[Fe/H\] by more than 0.6 dex in stars with convection envelopes having masses around 0.35 $`M_{\mathrm{}}`$? For example, the fall of 10 earth masses of iron into a star with a convective envelope having solar metallicity and a mass of 0.3 $`M_{\mathrm{}}`$ would increase the \[Fe/H\] by an insignificant amount. If the abundances are really due to some enrichment process, then they must probably have taken place much after 107 yr. If the disk time-scales are correct, this would imply that the process did not involve the fall of disk material, but the addition of formed planets.

In Fig. 9 we have thus made a plot of the same variables, but this time $`M_{\mathrm{conv}}`$ was computed for an age of 108 yr. Still no correlation is evident. Although the size of the convection envelope has dropped, it seems unlikely that the high values observed for the \[Fe/H\] excess can be explained in an enrichment scenario (due to the fall of one or multiple planets). The convective outer envelope of the Sun at an age of 108 yr represents about 3% of the total mass, and the fall of the same quantity of iron would change the abundance by about $``$0.15 dex. This value would drop if we take a giant gaseous planet, containing a certain amount of H and He. To have an excess of \[Fe/H\] of the order of 0.6 dex we have to imagine that a star like the Sun had to swallow about 30 earth masses of iron. Considering the composition of C1 chondrites, this would mean $``$5 times more in silicate material, a value that seems excessively high. Unless multiple silicate-rich giant planets fell into the star, this result clearly supports the idea that the cause of the excess of iron is probably “primordial”. Since the high \[Fe/H\] vs. existence of planet relation is not in cause, these arguments favor a scenario where the formation of giant planets is dependent on the metallicity of the parent cloud.

## 5 Concluding remarks

We have presented an abundance analysis of 7 stars known to harbor giant planets and one with a brown dwarf candidate. The results obtained further support the idea that stars with planets are metal rich when compared with field dwarfs.

We discuss two possible scenarios that could explain the observed anomalies. The results are still not conclusive, but support the idea that a star needs to be formed out of a metal-rich cloud to form giant planets.

One other important conclusion comes out of the present work: to be able to search and study hypothetical chemical anomalies in elements other than iron one must lower the errors in the abundance determination to at least 0.1 dex. This should be possible in the context of a high resolution and S/N spectroscopic study, using for all objects the same spectral lines, atmosphere models, and if possible making use of a comparison set of stars without planetary companions and with similar atmospheric parameters.

###### Acknowledgements.

We wish to thank the Swiss National Science Foundation (FNSRS) for the continuous support to this project. We would also like to thank Claudio Melo, Daniel Ersparmer, Pierre North, André Maeder and Bernard Pernier for useful discussions. Support from Fundação para a Ciência e Tecnologia, Portugal, to N.C.S. in the form of a scholarship is gratefully acknowledged.


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# Untitled Document

A note on holomorphic extensions

R. Pérez-Marco** UCLA, Dept. of Mathematics, 405, Hilgard Ave., Los Angeles, CA-90095-1555, USA, e-mail: ricardo@math.ucla.edu; CNRS UMR 8628, Université Paris-Sud, Mathematiques, 91405-Orsay, France.

Abstract. We give a criterium of holomorphy for some type formal power series. This gives a stronger form of a Rothstein’s type extension theorem for a particular ring of holomorphic functions.

Mathematics Subject Classification 2000 : 32D15, 31A15.

Key Words : Holomorphic extension, capacity, Bernstein lemma, Rothstein theorem.

We consider the set $`R𝐂[[z_1,z_2]]`$, $`z_1,z_2𝐂^k\times 𝐂^m`$ of formal power series of the form

$$f(z)=f(z_1,z_2)=\underset{n}{}P_n(z_2)z_1^n$$

where $`P_n`$ is a polynomial in $`m`$ variables of total degree $`\text{d}^0P_nC_0+C_1n`$, for some constants $`C_0,C_1>0`$. One easily checks that $`R`$ is a local sub-ring of $`𝐂[[z_1,z_2]]`$. For the notion of $`\mathrm{\Gamma }`$-capacity, that generalizes the notion of capacity in one complex variable, we refer to \[Ro\].

Theorem. Let

$$f(z_1,z_2)=\underset{n}{}P_n(z_2)z_1^n$$

be a formal power series of the two complex variables $`(z_1,z_2)𝐂^k\times 𝐂^m`$. We assume that $`(P_n)`$ is a sequence of polynomials in $`m`$ variables of total degree

$$\text{deg}P_nC_0+C_1n.$$

We assume that for a set $`K𝐂^m`$ of positive $`\mathrm{\Gamma }`$-capacity, $`z_2K`$ being fixed, the formal power series $`f(z_1,z_2)`$ converges.

Then for some $`C_2>0`$, the formal power series $`f`$ defines a holomorphic function in a neighborhood of the axes $`\{z_1=0\}`$ of the form,

$$U=\{(z_1,z_2)𝐂^k\times 𝐂^m;z_1\frac{C_2}{1+z_2}\}.$$

Compare with Rothstein’s theorem (see \[Siu\] p.25). Our theorem is motivated and has applications in problems of holomorphic dynamics and small divisors (\[PM\]) where power series in the ring $`A`$ appear naturally.

$`\mathrm{\Gamma }`$-capacity.

We refer to \[Ro\]. Let $`K𝐂^m`$. The $`\mathrm{\Gamma }`$-projection of $`K`$ on $`𝐂^{m1}`$ is the set $`\mathrm{\Gamma }_m^{m1}(K)`$ of $`z=(z_1,\mathrm{},z_{m1})𝐂^{m1}`$ such that

$$K\{(z,w)𝐂^m\}$$

has positive capacity in the complex plane $`𝐂_z=\{(z,w)𝐂^m\}`$. We define

$$\mathrm{\Gamma }_m^1(K)=\mathrm{\Gamma }_2^1\mathrm{\Gamma }_3^2\mathrm{}\mathrm{\Gamma }_m^{m1}(K).$$

Finally, the $`\mathrm{\Gamma }`$-capacity is defined as

$$\mathrm{\Gamma }\text{-Cap}(K)=\underset{AU(m,𝐂)}{sup}\text{Cap}\mathrm{\Gamma }_m^1(A(K)).$$

where $`A`$ runs over all unitary transformations of $`𝐂^m`$.

We have the following lemma (\[Ro\] Lemma 2.2.8 p.92)

Lemma. Let $`K𝐂^m`$, $`K𝐂^m`$ and assume that the intersection of $`K`$ with any complex line which is not a subset of $`K`$ has inner capacity zero. Then the $`\mathrm{\Gamma }`$-capacity of $`K`$ is zero.

Thus we are reduced to prove the theorem for $`m=1`$

Bernstein lemma.

We recall (see \[Ra\] p.156):

Lemma (Bernstein). Let $`K𝐂`$ be a non-polar set, and $`\mathrm{\Omega }`$ be the component of $`\overline{𝐂}K`$ containing $`\mathrm{}`$.

If $`P`$ is a polynomial of degree $`n`$, then for $`z𝐂`$

$$|P(z)|P_{C^0(K)}e^{ng_\mathrm{\Omega }(z,\mathrm{})}$$

where $`g_\mathrm{\Omega }`$ is the Green function of $`\mathrm{\Omega }`$.

Proof of the theorem.

We are reduced to prove the theorem for $`m=1`$. For $`z_2K`$, let $`R(z_2)`$ be the radius of convergence in $`z_1`$ of $`f(z_1,z_2)`$. Let $`K_i=\{z_2K;R(z_2)1/i\}`$. Since a countable union of polar sets is polar, there is $`K_i`$ non-polar. We can take a non-polar sub-compact $`LK_i`$ so that there exists $`\rho _0>0`$ such that for all $`z_2L`$

$$\underset{n+\mathrm{}}{lim\; sup}|P_n(z_2)|\rho _0^n<+\mathrm{}.$$

Define

$$\phi (z_2)=\underset{n+\mathrm{}}{lim\; sup}|P_n(z_2)|\rho _0^n.$$

The function $`\phi `$ is lower semi-continuous, and

$$L=\underset{p1}{}L_p$$

where $`L_p=\{zL;\phi (z_2)p\}`$ is closed. By Baire theorem for some $`p`$, $`L_p`$ has non-empty interior (with respect to $`L`$), thus some $`L_p`$ has positive capacity. Finally we found a compact set $`C=L_p`$ of positive capacity such that there exists $`\rho _1>0`$ such that for any $`z_2C`$ and $`n`$,

$$|P_n(z_2)|\rho _1^n.$$

Now using Bernstein lemma we conclude that for any $`z_2𝐂`$, for all $`n`$,

$$|P_n(z_2)|\rho _1^ne^{(C_0+C_1n)g_\mathrm{\Omega }(z_2,\mathrm{})}.$$

Finally using the asymptotic

$$g_\mathrm{\Omega }(z_2,\mathrm{})=\mathrm{log}|z_2|+𝒪(1)$$

we obtain the extension to the desired domain.

Remark.

1. We can improve on the domain of extension if we control the growth of the degrees of the polynomials $`(P_n)`$. For instance, the same proof shows that if

$$\underset{n}{lim\; sup}\frac{1}{n}\text{deg}P_n=0$$

we have a holomorphic extension to a domain

$$U=\{(z_1,z_2)𝐂^k\times 𝐂^m;z_1C\}$$

for some $`C>0`$.

2. As N. Sibony has pointed out recently to me, the condition positive $`\mathrm{\Gamma }`$-capacity in the theorem can be replaced by non-pluri-polar set (which is stronger and more natural) using the definition of capacity in higher dimension and the techniques of \[Al\] and \[Si\]. Essentially one writes down a general Bernstein lemma in higher dimension (similar to lemma 6.5 in \[Al\]) and use it as we do in dimension 1. The main dynamical applications, where we seek for generic conditions, work as well with the version with $`\mathrm{\Gamma }`$-capacity. For this first version we content ourselves with the above statement.

Acknowledgments.

I am grateful to N. Sibony who told me about the notion of $`\mathrm{\Gamma }`$-capacity and the reference \[Ro\], and also explained to me how to improve the condition in the theorem as pointed out above.

BIBLIOGRAPHY

\[Al\] H. ALEXANDER, Projective capacity, ”Recent developments in several complex variables”, J.E. Fornaess editor, Princeton Univ. Press, 1981, p. 3-27.

\[PM\] R. PÉREZ MARCO, Total convergence or general divergence in Small Divisors, Preprint, 2000.

\[Ra\] T. RANSFORD, Potential theory in the complex plane, London Mathematical Society, Student Texts 28, Cambridge University Press, 1995.

\[Ro\] L.I. RONKIN, Introduction to the theory of entire functions of several variables, Translations of Mathematical monographs, American Mathematical Society, 44, 1974.

\[Si\] N. SIBONY, Sur la frontière de Sylow des domaines de $`𝐂^n`$, Math. Ann., 273, 1985, p. 115-121.

\[Siu\] Y.-T. SIU, Techniques of extension of analytic objects, Lecture notes in pure and applied mathematics, 8, Dekker, 1974.


text:
# NONEQUILIBRIUM FIELDS: EXACT AND TRUNCATED DYNAMICSaafootnote aTalk presented at Strong and Electroweak Matter (SEWM2000), Marseille, France, 14-17 June, 2000. Based on ref. [1], done in collaboration with Gian Franco Bonini and Christof Wetterich.

## 1 Testing truncations?

An understanding of the nonperturbative evolution of quantum fields away from equilibrium is needed in many physical situations. Canonical examples are the universe at the end of inflation and the early stages of a heavy-ion collision. In both cases one would like to calculate how the energy initially contained in the inflaton or heavy ions is redistributed over the available degrees of freedom, leading to a hot universe and a thermal quark-gluon plasma respectively.

Because of the inherent real-time nature and the nonequilibrium setting, standard euclidean lattice methods are not applicable and approximations have to be introduced. In the last ten years or so a lot of attention has been given to mean-field approximations, in which the dynamics of a mean field coupled to Gaussian (quadratic) fluctuations is solved self-consistently. Well-known examples are the Hartree and leading-order large $`N_f`$ approximations, with $`N_f`$ the number of scalar or fermion fields. Several paths going beyond homogeneous mean fields have been explored recently as well. For a list of references, see . It goes without saying that the use of approximations will introduce deviations from the true evolution in quantum field theory. In order to gain trust in a particular method, it would be helpful to compare the approximate dynamics with the exact one. Unfortunately, in QFT such tests are not easy since the exact nonperturbative evolution is not known. Therefore we decided to use classical fields, regularized on a lattice, instead. In many aspects classical fields are similar to quantum fields, e.g. scattering is present and the role of the thermodynamic limit at fixed lattice spacing can be investigated. Furthermore, most approximation methods can be implemented as well, as they do not involve $`\mathrm{}`$ directly. Last but not least, the ‘exact’ evolution can be calculated numerically which allows for a direct comparison.

## 2 Classical Hartree and beyond

We consider classical $`\varphi ^4`$ theory in $`1+1`$ dimensions. The dynamics is determined by the equation of motion $`_t^2\varphi (x,t)=(_x^2m^2)\varphi (x,t)\lambda \varphi ^3(x,t)/2`$, given initial conditions $`\varphi (x,0)`$ and $`\pi (x,0)=_t\varphi (x,0)`$ that are taken from a probability distribution $`\rho [\pi ,\varphi ]`$. Ensemble averages are denoted with $``$. The exact nonlinear evolution can be calculated by sampling initial conditions from $`\rho `$ and solving the e.o.m. numerically for each of them.

A classical Hartree-type of approximation can be implemented by replacing $`\lambda \varphi ^3`$ with $`3\lambda \varphi \varphi ^2`$ in the equation above. For translationally invariant systems $`\varphi ^2\varphi ^2(x,t)`$ is independent of $`x`$ and the Hartree e.o.m. can be written conveniently in momentum space as $`_t^2\varphi (q,t)=\overline{\omega }_q^2\varphi (q,t)`$. The effective frequency squared is $`\overline{\omega }_q^2=\omega _q^2+\frac{3}{2}\lambda \varphi ^2`$, with $`\omega _q^2=q^2+m^2`$. The unequal-time two-point function $`S(xy;t,t^{})=\varphi (x,t)\varphi (y,t^{})`$ obeys in this approximation the usual mean-field equation of motion $`(_t^2+\overline{\omega }_q^2)S(q;t,t^{})=0`$. For the Hartree approximation with inhomogeneous mean fields in the quantized version of this model, see .

Beyond the Hartree approximation unequal-time formulations typically become nonlocal in time. This is a disadvantage when numerical solutions are required. Therefore we reformulate the Hartree dynamics in terms of three basic equal-time two-point functions: $`G_{\psi \psi ^{}}(xy,t)=\psi (x,t)\psi ^{}(y,t)`$, with $`\psi =\{\pi ,\varphi \}`$. In terms of these the Hartree evolution equations read

$`_tG_{\varphi \varphi }(q,t)=2G_{\pi \varphi }(q,t),`$
$`_tG_{\pi \varphi }(q,t)=\overline{\omega }_q^2G_{\varphi \varphi }(q,t)+G_{\pi \pi }(q,t),`$ (1)
$`_tG_{\pi \pi }(q,t)=2\overline{\omega }_q^2G_{\pi \varphi }(q,t).`$
These equations conserve $`\alpha ^2(q)=G_{\varphi \varphi }(q,t)G_{\pi \pi }(q,t)G_{\pi \varphi }^2(q,t)`$ for each $`q`$.

The evolution equations beyond Hartree include dynamical equal-time four-point functions. In the case of an $`O(N_f)`$ theory they contain all $`1/N_f`$ corrections. Details can be found in . It remains to specify the initial probability distribution. We take a Gaussian ensemble with $`\psi (q,0)\psi ^{}(q^{},0)=G_{\psi \psi ^{}}(q,0)2\pi \delta (q+q^{})\delta _{\psi \psi ^{}}`$, and

$$G_{\varphi \varphi }(q,0)=T_0/(q^2+m^2),G_{\pi \pi }(q,0)=T_0.$$
(2)
Note that this corresponds to the equilibrium ensemble when $`\lambda =0`$.

## 3 Early time, fixed points, and thermalization

Typical behaviour at early times is shown in Fig. 1 for two observables. We see that the LO evolution is in qualitative agreement with MC result. At NLO the agreement is impressive. For numerical details I refer again to . Note that primes indicate dimensionless quantities and $`T_0^{}3\lambda T_0/m^3`$.

An important issue in nonequilibrium field theory is the approach to equilibrium. One of the crucial tests for a truncated evolution is whether it is able to describe the thermalization regime or if the approximation breaks down before. In a classical field theory, a convenient two-point function to investigate is $`G_{\pi \pi }(q,t)T(q,t)`$. Using the equilibrium partition function as a guide, we see that this correlator can be interpreted as the effective temperature for a momentum mode $`q`$. In equilibrium, $`T(q)=T`$ for all $`q`$. In Fig. 2 (left) we show the time evolution of $`T(q,t)`$ for three momentum modes (NLO, MC only). It is clear that the modes have a different effective temperature. The system seems to be quasi-stationary but is not thermal.

A remarkable feature is that this behaviour can be understood completely in terms of fixed points in the truncated evolution equations. The stationary points in the Hartree approximation are easily found from Eq. (1), and obey

$$G_{\pi \pi }^{}(q)=\overline{\omega }_q^2G_{\varphi \varphi }^{}(q),G_{\pi \varphi }^{}(q)=0,$$
(3)
with $`\overline{\omega }_q^2=\omega _q^2+\frac{3}{2}\lambda \varphi ^2^{}`$. These relations can be completed with the expression for the conserved combination at the fixed point

$$\alpha ^2(q)=T_0^2/\omega _q^2=G_{\pi \pi }^{}(q)G_{\varphi \varphi }^{}(q).$$
(4)
The first equality follows from the initial ensemble (2). Eqs. (3) and (4) specify the fixed point completely. We find

$$G_{\varphi \varphi }^{}(q)=\frac{T_0}{\overline{\omega }_q^{}\omega _q},\varphi ^2^{}=\frac{dq}{2\pi }\frac{T_0}{\overline{\omega }_q^{}\omega _q},$$
(5)
(the second expression is a gap equation for $`\varphi ^2^{}`$ and can be written in terms of elliptic functions) and

$$G_{\pi \pi }^{}(q)=T_0\frac{\overline{\omega }_q^{}}{\omega _q}=T_0\left[1+\frac{3}{2}\frac{\lambda \varphi ^2^{}}{\omega _q^2}\right]^{1/2},$$
(6)
i.e., a nonthermal profile of $`G_{\pi \pi }^{}(q)`$ at the fixed point. In order to see whether this fixed-point profile is realized in the dynamical evolution, we show the time average of $`G_{\pi \pi }(q,t)`$ for the Hartree, NLO, and full evolution in Fig. 2 (right). It is clear that the analytic expression not only describes the Hartree result, but also the profile from the NLO and in particular the full nonlinear evolution surprisingly well. This can be interpreted as a justification for the use of a Hartree approximation in this time interval.

The fate of the fixed point can be determined by being patient. In Fig. 3 (left) we show the evolution of $`T(q=0,t)`$, for a higher initial temperature $`T_0`$ as before. Also shown are the average temperatures $`T(t)=N^1_qT(q,t)`$. The Hartree evolution remains to be controlled by its fixed point. In the full nonlinear evolution on the other hand, all momentum modes obtain the same temperature. The change from a fixed-point profile to a thermal profile is shown in Fig. 3 (right) for the full evolution only. Due to instabilities, it was not possible to reach such late times using the NLO evolution .

## 4 Summary

In order to gain insight in how well truncated dynamics reproduces the full evolution in nonequilibrium quantum field theory, we studied the corresponding classical problem. We stress that the aim was not to use classical fields to approximate the quantum theory, but rather to study truncated dynamics in a field theory where the exact evolution is available. Our findings are that while at early times the truncated evolution works remarkably well and the outcome can be characterized nicely in terms of fixed points of the associated Hartree equations, it breaks down before the thermalization regime is reached.

## Acknowledgments

I would like to thank Jan Smit and Jeroen Vink for discussions. This work is supported by the TMR network FMRX-CT97-0122.

## References