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# The HST snapshot survey of the B2 sample of low luminosity radio-galaxies: a picture gallery Based on observations with the NASA/ESA Hubble Space Telescope, obtained at the Space Telescope Science Institute, which is operated by AURA, Inc., under NASA contract NAS 5-26555 and by STScI grant GO-3594.01-91A

## 1 INTRODUCTION

In the past few years, Hubble Space Telescope (HST) imaging of radiogalaxies has provided very valuable information on the optical structure of these sources. In particular, the HST/WFPC2 snapshot survey of the 3CR sample produced a large and uniform database of images essential for a statistical analysis of their host galaxies (Martel et al. martel99 (1999), De Koff et al. dekoff96 (1996)).

These studies revealed the presence of new and interesting features, some of them almost exclusively associated to low luminosity FR I radio-galaxies.

For example, HST observations have shown the presence of dust in a large fraction of radio galaxies which, however, takes the form of circum-nuclear disks (Jaffe et al. jaffe (1993); De Koff et al. dekoff96 (1996); De Juan et al. dejuan (1996), Verdoes Klein et al. verdoes (1999)) only in FR I sources. These structures have been naturally identified with the reservoir of material which will ultimately accrete into the central black hole and might provide a direct approach to measure key parameters such as the accretion rate and the black hole mass in AGNs. Although the precise relationship between the symmetry axis of these disks and that of the sub-parsec scale structure is not yet fully established, they can represent useful indicators for the orientation of the central engine (Capetti & Celotti capetti99 (1999)). Several new optical jets have also been found in the HST images (e.g. Sparks et al. sparks (1995), Baum et al. baum (1997), Martel et al. martel98 (1998)): according to Martel et al. (martel99 (1999)) they are seen in $`13`$ % of nearby ($`z<0.1`$) 3CR radio galaxies and, with the only exception of 3C 273, all are found in FR I radio-galaxies.

FR I sources also represent an essential ingredient in the Unified Schemes of radio-loud AGNs as the mis-oriented counter part of BL Lac objects (see Urry & Padovani urry95 (1995) for a review). Indeed, recent radio studies have provided strong evidence in favour of relativistic beaming in their jets (Laing et al. laing (1999)). Host galaxies of BL Lacs have been studied with the HST by Urry et al. (urry (1999)), and a similar analysis of galaxies hosting FR I sources should clarify if there is continuity in the properties of the respective nuclear regions, i.e. if any differences are due solely to orientation effects. Furthermore, Chiaberge, Capetti & Celotti (chiaberge99 (1999)) have shown that the nuclear sources commonly found in FR I might represent the optical counter part of the synchrotron radio cores. This opens the possibility of testing the unified models by directly comparing the anisotropic optical jet emission in BL Lac and FR I.

As many of the most extensively studied FR I radio galaxies are part of the B2 sample of low luminosity radio galaxies (Fanti et al. fanti87 (1987)), this prompted us to perform a complete, high resolution optical study of these $``$ 100 sources. The radio characteristics of the B2 sample are different and in some sense complementary to those of the 3CR already studied with HST and they can fill the gap between the ”radio quiet & normal” and the ”radio loud” ellipticals.

A statistical study of such a large sample of low luminosity radio galaxies will enable us to establish how frequently we can detect optical jets, optical nuclear sources, circum-nuclear dusty disks and dust lanes and what is their relationship with the radio properties. Combining the HST observations of the B2 sample with those already existing of the complementary 3CR radio galaxies and BL Lac objects it will therefore be possible to find the similarities and differences of the optical nuclear properties as a function of radio power and morphological type of the parent optical objects. Particularly relevant will be, in this respect, the comparison of the optical brightness distribution of these samples of active sources with non active galaxies.

The organization of this paper is as follows; in Sect. 2 we briefly describe the B2 sample and give some general information. In Sect. 3 the present status of the HST observations is discussed and some relevant data on the program are given. The results are presented in Sect. 4, in the form of images and notes on the individual sources. Finally, in Sect. 5 we give a brief summary and discuss future work planned for the B2 sample.

Throughout this paper we use a Hubble constant Ho= 100 km s-1 Mpc-1 and $`q_0=0.5`$.

## 2 THE SAMPLE

Here we give a short description of the properties of the B2 sample of low luminosity radio galaxies. It consists of $`100`$ elliptical galaxies111the number of galaxies constituting the sample has recently undergone some changes. The present definition of the sample will be discussed elsewhere identified with B2 radio sources (Colla et al. colla (1975); Fanti et al. fanti78 (1978)). The sample is complete down to 0.25 Jy at 408 MHz and down to a limiting magnitude $`m_v`$ = 16.5. Since the sample was selected at low radio frequency, it is largely unbiased for orientation. The sample spans the power range between 1022 and 1025 WHz-1 at 1.4 GHz with a pronounced peak around 1024 WHz-1 and therefore gives an excellent representation of the radio source types encountered below and around the break in the radio luminosity function.

The B2 sample has been extensively studied at radio wavelengths, especially since the 1980’s (see Fanti et al. fanti87 (1987), Parma et al. parma (1987), De Ruiter et al. deruiter (1990), Morganti et al. morg97 (1997)). Comparison with Einstein Satellite X-ray data was done by Morganti et al. (morg88 (1988)). A number of B2 radio galaxies were subsequently observed with ROSAT (Feretti et al. feretti (1995), Massaglia et al. massaglia (1996), Trussoni et al. trussoni (1997)). Optical work on the sample has somewhat lagged behind, but a complete broad band imaging survey of the B2 sample was carried out by Gonzalez-Serrano et al. (gonz93 (1993)) and Gonzalez-Serrano & Carballo (gonz00 (2000)), while narrow band H$`\alpha `$ images were obtained by Morganti et al. (morg92 (1992)). The IRAS properties of the sample were studied by Impey & Gregorini (impey (1993)).

## 3 OBSERVATIONS AND DATA REDUCTION

Up till the present HST imaging was done for 57 of the $`100`$ radio galaxies. In the course of our HST program observations were obtained for 41 B2 galaxies, while public archive data exist for 16 additional objects, usually because these sources are also part of the 3C catalog (see De Koff et al. dekoff96 (1996), Martel et al. martel99 (1999), Verdoes-Klein et al. verdoes (1999)). The HST observations also confirmed that the B2 radio galaxy 1441+26 is a misidentification (see Sect. 4.1) as already suggested by Gonzalez-Serrano & Carballo (gonz00 (2000)).

Our program observations were obtained between April 9th and September 1st 1999, using the Wide Field and Planetary Camera 2 (WFPC2).

The pixel size of the Planetary Camera, in which all targets are located, is 0$`\stackrel{}{.}`$0455 and the 800 $`\times `$ 800 pixels cover a field of view of $`36^{\prime \prime }\times 36^{\prime \prime }`$. Two broad band filters were used, namely F555W and F814W, which cover the spectral regions 4500-6500 Å and 7000-9500 Å respectively. Although their transmission curve does not match exactly those of standard filters we will usually refer to them as V and I filters. The data have been processed through the PODPS (Post Observation Data Processing System) pipeline for bias removal and flat fielding (Biretta et al. biretta (1996)).

One image was taken through each filter and the exposure time was always set to 300 s (with the exception of B2 2116+26, which was observed for 350 s in the V band, as I band images were already available in the archive).

In order to minimize the overhead time associated to the read-out of the camera and to improve the efficiency of the program, we preferred to obtain a single image for each color as this enables us, e.g., to study also the color distribution in the inner regions of the galaxies. Obviously, with this choice, the removal of cosmic rays cannot be performed following the standard approach.

We thus identified cosmic rays events based on the comparison between the V and I images: each pixel where the ratio of the two images differed by more than a factor of 1.5 from its average value over the target and at the same time exceeded a threshold of 10 counts, was flagged as cosmic ray. The region within an expansion radius of 1.5 pixel around each of them was replaced by interpolation of the nearest good pixels. Clearly this method is appropriate only for extended targets free of large gradients both in color and in intensity, such as are the objects studied for this project. A small number of faint cosmic rays and hot pixels are still present in the cleaned images. These were removed individually (with the IRAF task IMEDIT). The overall fraction of bad pixels is $`1`$ %: the images are not significantly affected by this process. Visual inspection of these final images indicates that the resulting images can be considered to be essentially free from strong cosmic rays that could have disturbed any further analysis (for example in the construction of brightness profiles).

The conversion from counts to the standard WFPC2 photometric system was derived using the header keyword PHOTFLAM of each filter which is accurate to within 2 % in the visible.

The archival images were reduced following the standard PODPS and cosmic rays removal procedure; the observing log for these sources is reported in Tab. 1.

The relevant data of the observed sources are given in Tab. 2: in columns 1 and 2 we give the radio source names (B2 and other), in column 3 the redshift, in columns 4 and 5 the total and core power at 1.4 Ghz respectively, in columns 6 and 7 the largest angular size in arcsec and the largest linear size in kpc, the position angle of the main radio axis (in degrees) in column 8, where a “j” indicates the direction of the radio jets; finally the Fanaroff-Riley type is given in column 9. In a few cases no FR classification is possible (because of the lack of sufficiently high resolution observations), while for some other sources the FR type is given as I-II; this classification concerns sources with a hybrid structure, i.e. in which both FR I and FR II characteristics are present.

While there is no bias in the selection of the sources of our program (they were chosen randomly as far as their radio and optical properties are concerned), a bias might have been introduced by the inclusion of the 16 archive sources. We thus compared various parameters of the observed sub-sample with those of the sources that were not observed by HST. This is illustrated in Figs. 1, 2 and 3; no significant differences emerged except for a small effect in redshift and total power. The median redshift and radio power of the two sub-samples are $`z=0.055_{0.011}^{+0.008}`$, log $`P_t=24.05_{0.03}^{+0.07}`$ and $`z=0.067_{0.007}^{+0.005}`$, log $`P_t=24.22_{0.03}^{+0.06}`$ respectively, thus only marginally different. We can then consider the sources observed with HST as well representative of the whole B2 sample.

## 4 RESULTS

In Fig. 4 we present the final broad band images of the innermost regions of all 57 B2 radio galaxies observed. In the left (right) bottom corner is indicated the size of the field of view in arcsec (kpc). Since the B2 sample contains $`100`$ objects this means that at present the HST observation are complete at the level of $`57`$ %.

A preliminary analysis of the HST images is presented in the notes on individual sources given below. In particular we checked for the presence of dust features, a compact optical core and an optical jet. The identification of optical cores is based on the procedure described in Chiaberge et al. (chiaberge99 (1999)), i.e. a source brightness profile which, within 5 pixels from the center, shows a FWHM consistent with the HST Point Spread Function ($`0\stackrel{}{.}08`$). As to the presence of optical jets, we just checked that after subtraction of a model galaxy, some emission was left at the location of the radio jet. We stress that a more detailed analysis will be carried out by us elsewhere. A summary of the optical data is given in Tab. 3, in which we give the names of the sources (B2 and other) in columns 1 and 2, the redshift in column 3; the presence of dust is indicated in column 4 as d (disk-like structure), l (dust lane, band or filament), p (irregular patches); if possible we measure a position angle of the disk or band and the P.A. (in degrees from north through east) is given in column 5; the presence of unresolved optical cores and jets is indicated in columns 6 and 7.

### 4.1 Notes on the individual sources

0034+25: There is a prominent dust band in the center of this galaxy, likely a highly inclined dusty disk oriented along P.A. $`160^{}`$. At larger radii, isophotes are very cuspy and oriented at the same position angle as the inner disk, which indicates the presence of a stellar disk coplanar with the inner one. The galaxy belongs to the Zw cluster 0034.4+2532.

0055+26 (NGC 326): This is a system of two galaxies, also referred to as a dumbbell galaxy. Only the galaxy hosting the radio source is shown. The two galaxies do not show any peculiarities. There is a third much fainter object in the field. The galaxy belongs to a group with extended X-ray emission (Worrall et al. worrall (1995))

0055+30 (NGC 315): A highly inclined, very regular circum-nuclear disk, is seen in absorption in this galaxy. It is oriented at P.A. $`40^{}`$ and extends to $`r350`$ pc. At its center there is an unresolved nuclear source. Irregular dust patches are also present on the South side of the galaxy. See also Verdoes Kleijn et al. (verdoes (1999)).

0104+32 (NGC 383, 3C 31): An extended circum-nuclear dusty disk is seen at low inclination, with an unresolved nuclear component at its center. The disk diameter is $`7\mathrm{}`$ (2.5 kpc) along the major axis (P.A. $`40^{}`$). The galaxy belongs to a chain of which it is the brightest member. See also Martel et al. (martel99 (1999)) and Verdoes Kleijn et al. (verdoes (1999)).

0116+31: An S-shaped dust lane bisects its nuclear region. Its inner P.A. is $`25^{}`$. Conway (conway (1996)) detected a disk of HI in absorption which fully occults one of the minilobes and partially covers the other.

0120+33 (NGC 507): Brightest galaxy of the Zw cluster 0107+3212. The galaxy appears very regular and smooth.

0149+35 (NGC 708): A low brightness galaxy whose nuclear regions are crossed by an irregular dust lane and dust patches. It is the brightest galaxy of the cluster Abell 262.

0648+27: A galaxy with an irregular morphology, enhanced by the presence of dusty features. On its northern side there is a chain of knots, probably regions of star formation, parallel to the dusty filaments.

0708+32: The host galaxy does not exhibit any obvious peculiarities.

0722+30: The only source of the B2 sample associated with a spiral galaxy. It is a highly inclined galaxy which fills the PC field of view. Strong absorption is associated with its disk and a bulge-like component is also clearly visible. The radio emission originates from two symmetric jet-like features at an angle of $`45^\mathrm{o}`$ to the disk.

0755+37 (NGC 2484): The galaxy is characterized by a central unresolved nuclear source. After subtraction of a galaxy elliptical model the presence of a one-sided optical jet is revealed, cospatial with the SE brighter radio jet.

0908+37: This galaxy shows a point-like nucleus at the center of a highly elongated absorption feature, possibly an edge-on disk (P.A. $`40^{}`$). A fainter companion galaxy (outside the image shown) is located $`3\stackrel{}{.}7`$ to the SW.

0915+32: A disk-like dust band surrounds its nuclear region.

0924+30: The host galaxy does not exhibit any obvious peculiarities.

1003+26: A very regular low brightness elliptical galaxy with no outstanding morphological features. The galaxy belongs to the cluster Abell 923.

1003+35 (3C 236): An off-centered dust lane crosses the galaxy to the SW, with $`6\mathrm{}`$ (2.5 kpc) extension. See also Martel et al. (martel99 (1999)).

1005+28: A diffuse and quite regular galaxy with no evident morphological peculiarities. A dust patch is visible.

1101+38: This source is associated with the BL Lac object Mrk 421. Not surprisingly it is dominated by its bright unresolved nucleus which produces strong diffraction spikes. Nonetheless a smooth elliptical host galaxy is clearly visible.

1113+24: A round smooth elliptical galaxy with a faint companion $`3\mathrm{}`$ to the north. The galaxy is the brightest of the Zw cluster 1113.0+2452.

1204+34: Dust patches produce a spiral structure, which is clearly visible in both bands. It extends out to at least 2″ from a fully resolved nucleus. A secondary, again resolved, nucleus is found to the NE at a distance of $`2\mathrm{}`$. Both nuclei are embedded in a common elliptical halo, centered on the brighter one.

1217+29 (NGC 4278): This source is associated with the nearby galaxy NGC 4278. It shows a regular structure only slightly modified by diffuse dust absorption to its NW side. The nucleus is unresolved. The radio source is very compact, $`1`$ pc (see, e.g., Schilizzi et al. schilizzi (1983)). The galaxy is known to have strong nuclear emission lines (Osterbrock osterbrock (1960)). It contains a large amount of neutral hydrogen (Raimond et al. raimond (1981)) rotating around an axis at $`45^{}`$.

1251+27 (Coma A, 3C 277.3): In addition to a prominent unresolved nucleus, note also the filamentary structure located $`7\mathrm{}`$ to the SW. This corresponds to the radio knot K1 in van Breugel et al. (breugel (1985)), detected also in emission lines. See also Martel et al. (martel99 (1999)).

1256+28 (NGC 4869): This galaxy presents a highly elongated absorption feature, possibly an edge on disk. It belongs to the Coma Cluster (Abell 1656).

1257+28 (NGC 4874): A very regular low brightness elliptical galaxy. It is one of the two dominant members of the Coma Cluster (Abell 1656).

1321+31 (NGC 5127): A dark lane covers the nucleus of this galaxy and extends out to a radius of $`1\mathrm{}`$, P.A. $`45^{}`$. The galaxy belongs to the Zwicky cluster 1319.6+3135. See also Verdoes Kleijn et al. (verdoes (1999)).

1322+36 (NGC 5141): There is a wide dust band in the center of this galaxy, at P.A. $`85^{}`$. See also Verdoes Kleijn et al. (verdoes (1999)).

1339+26: A small dark nuclear band (P.A. $`0^{}`$) characterizes this otherwise very regular galaxy. The galaxy is the eastern of a double system and is the dominant member of the cluster Abell 1775.

1346+26: A low brightness galaxy with an unresolved nucleus and dust in the form of an irregular lane and patches (P.A. $`0^{}`$). A sort of tail is seen to the SW towards a companion. It is the brightest galaxy (cD) of the cluster Abell 1795.

1347+28: A regular elliptical galaxy with irregular dusty features. It belongs to Abell 1800.

1350+31: A highly irregular galaxy, with two compact emission knots separated by a filamentary dust lane which extends to form a fan-like shape at larger radii. See also Martel et al. (martel99 (1999)). See Akujor et al. (akujor (1996)) for a high resolution radio map showing a flat spectrum core with a two sided jet.

1357+28: A round elliptical galaxy with a small dust lane (P.A. $`95^{}`$) bisecting the nuclear region.

1422+26: The host galaxy is very smooth with no outstanding morphological features. The bright central core is fully resolved.

1430+25: This elliptical galaxy does not exhibit any obvious peculiarities. An elongated nucleus has its major axis at P.A. $`155^{}`$. The radio-structure is head-tail type, but no obvious cluster or group is visible.

1441+26: The target is a spiral galaxy. However, comparison of the radio and optical maps shows that this is not the host of the radio source. The correct identification is with a faint elliptical galaxy located at RA = 14:41:56.35, Dec = 26:14:05.0. As the magnitude of this galaxy is well below the optical selection threshold of the B2 sample, it must be considered a misidentification.

1447+27: Two off-center linear dust lanes run 0$`\stackrel{}{.}`$6 and 1$`\stackrel{}{.}`$2 respectively north-east of the nucleus (P.A. $`145^{}`$) of this otherwise very regular galaxy.

1450+28: Elliptical galaxy with no outstanding features. In Abell 1984.

1455+28: The presence of hour-glass shaped dust absorption gives this galaxy a quite irregular appearance. The central knot is compact but completely resolved. Companion galaxy at $`10\mathrm{}`$.

1457+29: A wide dust lane (P.A. $`30^{}`$) runs perpendicularly to the galaxy projected minor axis. The redshift of the galaxy has been measured recently by Gonzalez-Serrano & Carballo (gonz00 (2000)); this value has been added in Tab. 2.

1502+26 (3C 310): A smooth elliptical galaxy with a central unresolved source. See Martel et al. (martel99 (1999)).

1511+26 (3C 315): This galaxy shows a very high nuclear ellipticity which contrasts with the typical roundness of the B2 host galaxies. The ellipticity decreases at larger radii but the central very elongated central structure clearly extends at larger radii, probably indicative of a edge-on stellar disk. The radio source has a very peculiar, two-banana shaped, radio-structure. See de Koff et al. (dekoff96 (1996)).

1512+30: The host galaxy does not show any outstanding morphological features, except for very faint elongated dust absorption at the center.

1521+28: A well defined unresolved nucleus is superposed on the smooth core of the galaxy.

1525+29: The double peaked nuclear structure is caused by dust absorption, which is extended in the direction P.A. $`25^{}`$. The galaxy is the fainter of a pair in the cluster Abell 2079.

1527+30: The faint absorption from a possibly disk-like dust band is visible on the west side of this galaxy, extending to a radius of 0$`\stackrel{}{.}`$3. Its central region is resolved. In Abell 2083.

1553+24: This galaxy exhibits a point-like nucleus and, after removal of an elliptical model for the galaxy emission, a faint one-sided optical jet, cospatial with the NW brighter radio jet.

1557+26: A smooth and regular elliptical galaxy.

1610+29 (NGC 6086): This galaxy does not exhibit any obvious peculiarities. It is the brightest galaxy of the cluster Abell 2162.

1613+27: Very faint absorption features are seen to the SW on this otherwise regular galaxy.

1615+32 (3C 332): The emission of this source is dominated by its bright unresolved nucleus. A companion is seen to SW.

1626+39 (NGC 6166, 3C 338): Brightest galaxy of the cluster Abell 2199. An unresolved nucleus is superposed on the flat core of the galaxy. An arc-like dust feature extends from to nucleus to the W for $`3\mathrm{}`$. Two fainter elliptical companions are also present. (see Martel et al. martel99 (1999)).

1658+30: Smooth galaxy with a central unresolved core. The subtraction of an elliptical galaxy model reveals the presence of a faint one-sided optical jet, cospatial with the radio jet.

1726+31 (3C 357): The central knot is well resolved. A dust lane is also present on its SW side.

1827+32: Round galaxy with a possible weak nucleus.

1833+32 (3C 382): This source is associated with the broad line radio galaxy 3C382. The nuclear emission dominates the optical emission but the underlying host galaxy is clearly seen in these images. See also Martel et al. (martel99 (1999)).

2116+26 (NGC 7052): A spectacular, highly inclined disk-like structure of dust (at P.A. $`65^{}`$) surrounds the central source of this galaxy. See also Verdoes Kleijn et al. (verdoes (1999)). From the kinematics of the gas disk van der Marel & van den Bosch (marel (1998)) deduced the presence of a central black hole with a mass of $`3\times 10^8M_{}`$.

2229+39 (3C 449): A wide band of absorption is located on the West side of this source, at P.A. $`165^{}`$. See also Martel et al. (martel99 (1999)). Note also the prominent unresolved nuclear source.

2236+35: A faint nucleus, probably unresolved, is seen in this elliptical galaxy.

2335+26 (NGC 7720, 3C 465): It is the brightest galaxy in the cluster Abell 2634. An elliptical region of dust absorption is located around the bright unresolved nucleus of this galaxy. See also Martel et al. (martel99 (1999)).

### 4.2 Discussion

All B2 sources are hosted by bright elliptical galaxies, with the only exception of B2 0722+30, which is associated to a spiral galaxy. While this result might appear surprising, we must note that both the size (9 kpc) and the radio luminosity ($`\mathrm{log}P_t=22.67`$) of this source place it at the lowest end of the range covered by the B2 sample. On the other hand these values are quite typical of radio-sources associated to Seyfert galaxies (Nagar et al. nagar (1999)) which are indeed associated to spiral galaxies.

Brightness profiles of all elliptical host galaxies which are not severely affected by dust extinction can be successfully represented by a Nuker law (Lauer et al. lauer (1995)). In all cases we found evidence for a well resolved, shallow ($`\gamma 0.3`$) central cusp, as expected given their range of absolute magnitudes, $`M_V`$ from $`20`$ to $`23`$.

In 18 of the 57 ( $`32`$ %) B2 sources observed with the HST we found evidence for an unresolved nuclear source (see Tab. 3) down a magnitude level of V = 23.5. The detection rate is slightly lower than the percentage (between 43 and 54 %) found for 3C sources with $`z<0.1`$ (Martel et al. martel99 (1999)). This discrepancy can be accounted for noting that B2 sources have on average fainter radio cores than 3C sources (Giovannini et al. giovannini (1988)) and that the optical emission in FR I nuclei strongly correlate with the radio core flux (Chiaberge et al. chiaberge99 (1999)). We thus expect that B2 galaxies harbour fainter optical cores which might be more difficult to detect against the galaxy background. Indeed the B2 sources in which we detected an optical core have higher radio core fluxes and more dominant cores than average.

Dust is frequently present in B2 sources: after visual inspection of the images we found that 33/57 (58 %) of them show dust features, either in the form of bands or disk-like structures, or more irregular patches. The percentage may be slightly higher than in 3C sources with $`z<0.1`$, which have 37-48 % of sources with dust. Concerning the presence of dust features it does not appear that there is any difference between FR I and FR II objects: the FR I sources with dust are 19/35 (54 %), while the FR I-II and FR II with dust are 8/12 (66 %). Our data strengthen the findings by Martel et al. (martel99 (1999)) which found disk-like structures only associated to FR I type radio sources (see Tabs. 2 and 3). Indeed in the B2 sample, although dust is equally present in FR I and FR II sources, it is found to be ordered into disk-like structures in 9 FR Is while this behaviour is never found in FR IIs. However, the detection of dusty disks is almost exclusive of nearby (z $`\stackrel{<}{}`$ 0.03) galaxies. Within this distance there are only a handful of FR II in the 3C sample and none in the B2. This raises the question of the importance of the observational biases in our ability of finding such disks in FR II sources. Among the 18 sources with an optical core 9 also show the presence of dust, while no dust is detected in the remaining 9; a slightly higher rate of dust occurrence (24/39) is found among the sources without optical core. This suggests that extended dust structures might be hiding optical cores in a few cases. We find no connection between dust content and with largest radio linear size: the sources with dust have a median linear size of $`94\pm 35`$ kpc, against $`76\pm 30`$ for the sources without dust.

A first scrutiny of the B2 data indicates that detection of optical counter part of radio jet is not particularly rare. At present we have found three optical jets, in B2 0755+37, B2 1553+24 and B2 1658+30A (see Tab. 3), but we do not exclude that a more refined analysis will produce a few more. Therefore optical jets in HST images of these low luminosity radio galaxies might be detected in a sizeable fraction of the sample, probably comparable with the 13 % found in the low redshift 3C sources. All optical jets are associated to strongly one-sided sources, of relatively small linear sizes and with prominent radio nuclei in agreement with the results by Sparks et al. (sparks (1995)).

## 5 SUMMARY AND FUTURE WORK

We have presented HST/WFPC2 snapshot images in two bands (V and I) of 57 (out of a total of $`100`$) sources from the B2 sample of low luminosity radio-galaxies. One more object (1441+26), not shown in Fig. 4 has been found to be a mis-identification since the radio source appears to be associated with a background galaxy whose magnitude is below the optical selection threshold of the sample. Except for B2 0722+30, which is associated with a spiral galaxy, all sources are hosted by bright elliptical galaxies well fitted by Nuker laws, with shallow central cusps.

Most of the galaxies present a peculiar morphology. Almost 60 % show the presence of large scale dust structures which in 9 cases (all FR I radio sources) is distributed in well defined disks. In three sources we detected an optical synchrotron jet. The presence of central unresolved sources is revealed in 18 galaxies.

The present work is only a first presentation of the HST snapshot survey of B2 radio galaxies. While awaiting completion of the survey, more detailed studies will be presented in the near future. In particular an analysis of the brightness profiles will be given with a comparison of samples of powerful radio galaxies as well as non active galaxies, together with an exhaustive search for optical jets. Because of the relatively large number of objects it may be possible to study the orientation of optical features, such as dust-disks and -lanes, as compared to the main radio axes. Also the statistics of unresolved cores will be discussed in the framework of Unified Models, and in this respect a comparison with the sample of BL Lac objects that has already been observed with the HST will become crucial.

###### Acknowledgements.

This research has made use of the NASA/IPAC Extragalactic Database (NED) which is operated by the Jet Propulsion Laboratory, California Institute of Technology, under contract with the National Aeronautics and Space Administration.


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# Non-Dopplerian cosmological redshift parameters in a model of graviton-dusty universe

## 1 Introduction

In this paper, possible manifestations of the graviton background in a case of hypothetical super-strong gravitational quantum interaction are considered. From one side, the author brings the reasons that a quantum interaction of photons with the graviton background would lead to redshifts of remote objects too. The author considers a hypothesis about an existence of the graviton background to be independent from the standard cosmological model. One cannot affirm that such an interaction is the only cause of redshifts. It is possible, that the one gives a small contribution to an effect magnitude only. But we cannot exclude that such an interaction with the graviton background would be enough to explain the effect without an attraction of the big bang hypothesis. Comparing the own model predictions with supernova cosmology data by Riess et al , the author finds here good accordance between the redshift model and observations.

From another side, it is shown here, that every massive body, with a non-zero velocity $`v`$ relatively to the isotropic graviton background, should experience a constant acceleration. If one assumes that a full observable redshift magnitude is caused by such a quantum interaction with single gravitons, then this acceleration will have the same order of magnitude as a small additional acceleration of NASA deep-space probes (Pioneer 10/11, Galileo, and Ulysses), about which it was reported by Anderson’s team .

For more details, one can find a preprint of my full original paper  in the e-print archive .

## 2 An interaction of photons and of massive bodies with the graviton background

If the isotropic graviton background exists, then, due to photon scattering on gravitons, average energy losses of a photon with an energy $`E`$ on a way $`dr`$ will be equal to $`dE=aEdr,`$ where $`a`$ is a constant . It is shown here, that such an interaction with single gravitons should be super-strong to provide a full redshift magnitude. As it was reported by Anderson’s team , NASA deep-space probes experience a small additional constant acceleration, directed towards the Sun. It follows from an universality of gravitational interaction, that not only photons, but all other objects, moving relatively to the background, should loss their energy too due to such a quantum interaction with gravitons. If $`a=H/c,`$ massive bodies or particles must experience a deceleration $`w`$ of the same order as an additional acceleration of cosmic probes:

$$w=ac^2(1v^2/c^2).$$

The acceleration $`w`$ is directed against a body velocity in a special system of reference, in which the graviton background is isotropic. It is for small velocities:

$$wHc4.810^{10}m/s^2,$$

if Hubble’s constant $`H=1.610^{18}s^1,`$ that corresponds approximately to one half of the observed acceleration for NASA probes.

It is possible, that an annual periodic term in the residuals of the both Pioneers (see plot B in the Figure 1 ) may be caused by own additional acceleration of the Earth under its motion relatively to the graviton background.

## 3 Comparison of the redshift model with supernova cosmology data

In a case of flat non-expanding universe, a photon flux relaxation, due to non-forehead collisions of photons with gravitons, can be characterized by a factor $`b,`$ so that the luminosity distance $`D_L`$  is equal in our model to:

$$D_L=a^1\mathrm{ln}(1+z)(1+z)^{(1+b)/2}a^1f_1(z;b),$$

where $`z`$ is a redshift. The theoretical estimation for $`b`$ is:

$$b=3/2+2/\pi =2.137$$

. Thus, the redshift

$$z=\mathrm{exp}(ar)1$$

and the luminosity distance $`D_L`$ are characterized in the model by two parameters: $`H`$ and $`b`$ ($`r`$ is a geometrical distance). One can introduce an effective Hubble constant

$$H_{eff}cdz/dr=H(z+1);$$

in a language of expansion it can be interpreted as ”a current deceleration of the expansion”.

High-z Supernova Search Team data  give us a possibility to evaluate $`H`$ in our model. We can use one of the best fits of the function $`D_L(z;H_0,\mathrm{\Omega }_M,\mathrm{\Omega }_\mathrm{\Lambda })`$ from  (see Eq.2 in ) with $`\mathrm{\Omega }_M=0.5`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0,`$ which is unphysical in the original work. For $`1\mathrm{\Omega }_M>0`$ and $`1+\mathrm{\Omega }_Mz>0,`$ the function $`D_L(z;H_0,\mathrm{\Omega }_M,\mathrm{\Omega }_\mathrm{\Lambda })`$ is equal to:

$$D_L=a^1(1+z)m^1\mathrm{sinh}(\mathrm{ln}|(km)/(k+m)|\mathrm{ln}|(1m)/(1+m)|)$$

$$a^1f_2(z;H_0,\mathrm{\Omega }_M,\mathrm{\Omega }_\mathrm{\Lambda }),$$

where $`m(1\mathrm{\Omega }_M)^{1/2},k(1+\mathrm{\Omega }_Mz)^{1/2}.`$ Assuming $`b=2.137,`$ we can find $`H`$ from the connection:

$$HD_L/H_0D_L=f_1(z;b)/f_2(z;H_0,\mathrm{\Omega }_M,\mathrm{\Omega }_\mathrm{\Lambda })$$

(see Table). We see that $`H/H_0const,`$ a deviation from an average value $`<H>1.09H_0`$ is less than $`5\%.`$

If one would suggest that $`f_1(z;b)`$ describes results of observations in an expanding universe, one could conclude that it is ”an accelerating one”. But a true conclusion may be strange: our universe is not expanding, and redshifts have the non-Dopplerian nature.

## 4 Conclusion

If further investigations display that an anomalous NASA probes’ acceleration cannot be explained by some technical causes, left out of account today, it will give a big push to a further development of physics of particles. Both supernova cosmology data and the Anderson’s team discovery may change a gravity position in a hierarchy of known interactions, and, possibly, give us a new chance to unify their description.


text:
# Multi-channel phase-equivalent transformation and supersymmetry

## I Introduction

Nucleon-nucleon, nucleon-cluster and cluster-cluster potentials are an input for various microscopic calculations of nuclear structure and reactions. Unfortunately, the exact form of the potentials describing these interactions is unknown. It is conventionally supposed that the interactions are local, that is, of course, an approximation only. However, the available scattering data and bound states properties can be fitted with approximately the same accuracy by different local potentials. For example, there is a lot of so-called realistic $`NN`$ potentials on the market describing $`NN`$ scattering and deuteron properties with high accuracy. More, a description of phenomenological data can be achieved with the potentials very different in structure. In particular, meson-exchange $`NN`$ potentials like the Nijmegen one , are known to have a short-range repulsive core in a triplet $`s`$ wave. The same high-quality description of the nucleon-nucleon data is provided by latest versions of Moscow potential  that does not have a repulsive core but instead is deeply-attractive in the triplet $`s`$ wave at short distances and supports an additional forbidden state. The possibility of alternative description of various cluster-cluster and nucleon-cluster interactions by means of repulsive-core and deeply-attractive potentials with forbidden states, is also well-known (see, e.g., the discussion in  and references therein).

Principally it is possible to distinguish experimentally between alternative potentials studying their off-shell properties in interaction with an additional particle. The simplest probe is the photon, and as it was shown in , the proton-proton bremsstrahlung reaction $`pppp\gamma `$ at the energy range of 350–400 MeV can be used to discriminate between various nucleon-nucleon potentials. However the $`pppp\gamma `$ reaction has not been examined experimentally in this energy range.

Another possibility is to study properties of three and four body systems bound by two-body potentials of interest. From this point of view, it looks like that we do not have at present satisfactory nucleon-nucleon, cluster-nucleon and cluster-cluster potentials. It is well-known that none of the realistic $`NN`$ potentials provides proper binding of tritium or 3He. There are successful attempts in generating phenomenological three-nucleon interactions tuned to fit the properties of light nuclei  (see also  and references therein). However, as it was shown in a detailed study of Picklesimer et al , the effect of three-nucleon forces consistent with realistic two-body ones on the binding energy of the triton is canceled by effects of the virtual excitation of $`\mathrm{\Delta }`$ isobars, etc. Hence the trinucleon cannot be satisfactorily described using known realistic two-body potentials supplemented by three-body potentials consistent with them. All calculations within three-body cluster models also fail to reproduce the correct binding energy of three-cluster nuclear systems with known local cluster-cluster and cluster-nucleon potentials fitted to the corresponding scattering data.

To design a potential consistent with two-body phenomenological data and providing the correct binding of few-body systems, it seems promising to make use of phase-equivalent transformations depending on a continuous parameter(s). Some attempts in this direction have been performed using non-local phase-equivalent transformations. The results of these attempts are encouraging: in Ref.  an oversimplified $`NN`$ potential providing a satisfactory description of $`s`$ wave $`NN`$ scattering date was fitted to reproduce exactly the triton binding energy, while in Ref.  realistic $`n`$$`\alpha `$ potentials were tuned to reproduce various 6He properties including the binding energy within the $`\alpha +n+n`$ cluster model. The interactions suggested in Ref.  are non-local. Various applications (see, e.g., ) of local phase-equivalent transformations to few-body problems were restricted to the supersymmetry transformation  that removes one of the bound states in a two body system. The supersymmetry transformation does not contain parameters and cannot be used for fine tuning of the interaction of interest.

A local phase-equivalent transformation which preserves the number of the bound states and depends on a continuous parameter, exists and is well-known in the inverse scattering theory . Recently the effect of this transformation on the properties of three and four nucleon systems was studied in Ref.  using as an example a semi-realistic Malfliet-Tjon $`NN`$ interaction . It was shown in Ref.  that a slight phase-equivalent modification of $`NN`$ interaction is enough to reproduce the trinucleon binding energy and to improve simultaneously the description of four-nucleon binding. However the local transformation was developed for a single-channel case only and cannot be applied without some approximations to realistic $`NN`$ interactions that mix triplet $`s`$ and $`d`$ partial waves. Another drawback of the transformation is that it involves a bound state wave function and thus cannot be used to modify $`nn`$ and $`pp`$ interactions and the $`np`$ interaction in all ‘non-deuteron’ partial waves.

Recently Sparenberg and Baye  suggested a multi-channel supersymmetry transformation. We use some ideas of Ref.  to derive in what follows a multi-channel phase-equivalent transformation which depends on continuous parameters. The transformation can be treated as a generalization both of the single-channel phase-equivalent transformation  and of the multi-channel supersymmetry transformation of Ref. . Generally, the transformation does not change the number of the bound states in the system and their energies. However, with a special choice of the parameters, the transformation removes one of the bound states and becomes equivalent to the multi-channel supersymmetry transformation suggested in . If the angular momenta in all coupled channels are less than 2, a parameter-dependent family of local interactions phase-equivalent to the given initial one can be constructed by means of the transformation even in the case when the system does not have a bound state. If the angular momentum at least in one of the coupled channels $`l2`$, the transformation can be used to add a bound state to the discrete spectrum of the system at a given energy $`E<0`$. Having a bound state, one can construct a family of phase-equivalent potentials and afterwards remove the bound state by the supersymmetry version of the transformation. Thus, the suggested transformation can be used in a multi-channel case to produce phase-equivalent interactions without any restriction on the structure of the discrete spectrum of the system. In particular, the transformation can be applied to the realistic $`NN`$ interaction in all partial waves.

## II General form of local multi-channel phase-equivalent transformation

Multi-channel scattering and bound states we describe by Schrödinger equation

$$\underset{j}{}\left(H_{ij}E\delta _{ij}\right)\phi _j(E,r)=0,$$
(1)
where indexes $`i`$ and $`j`$ label channels, $`E`$ is the energy, the Hamiltonian

$$H_{ij}=\frac{\mathrm{}^2}{2m}\left[\frac{d^2}{dr^2}+\frac{l_i(l_i+1)}{r^2}\right]\delta _{ij}+V_{ij}(r),$$
(2)
$`m`$ is the reduced mass, and $`l_i`$ stands for the angular momentum in the channel $`i`$. We suppose that the potential $`V_{ij}(r)`$ (i) is Hermitian and (ii) at large distances it tends asymptotically to a diagonal constant matrix,

$$V_{ij}(r)\underset{r\mathrm{}}{}ϵ_i\delta _{ij},$$
(3)
where $`ϵ_i`$ is a threshold energy in the channel $`i`$. We suppose that $`ϵ_1=0`$ and $`ϵ_iϵ_j`$ if $`i>j`$.

Boundary conditions for the wave functions are

$`\phi _i(E,0)=0,`$ (4)
$`\phi _i(E,\mathrm{})<\mathrm{}.`$ (5)
Except for the discussion in section III C, we suppose that there is at least one bound state in the system at the energy $`E_0`$. The corresponding wave function, $`\phi _i(E_0,r)`$, is supposed to be normalized,

$$\underset{i}{}\underset{0}{\overset{\mathrm{}}{}}\phi _{i}^{}{}_{}{}^{}(E_0,s)\phi _i(E_0,s)𝑑s=1,$$
(6)
where  denotes the complex conjugation. Of course, $`\phi _i(E_0,r)`$ fits more severe boundary condition at $`r\mathrm{}`$ than (5):

$$\phi _i(E_0,\mathrm{})=0.$$
(7)
We define the transformed potential $`\stackrel{~}{V}_{ij}(r)`$ as

$$\stackrel{~}{V}_{ij}(r)=V_{ij}(r)+v_{ij}(r),$$
(8)
where

$$v_{ij}(r)=2C\frac{\mathrm{}^2}{2m}\frac{d}{dr}\frac{\phi _i(E_0,r)\phi _{j}^{}{}_{}{}^{}(E_0,r)}{A+C\underset{k}{}\underset{a}{\overset{r}{}}\left|\phi _k(E_0,s)\right|^2𝑑s},$$
(9)
and $`A`$, $`C`$ and $`a`$ are arbitrary real parameters.

The main result of this paper can be formulated as the following statement.

* The wave function

$$\stackrel{~}{\phi _i}(E,r)=\phi _i(E,r)C\phi _i(E_0,r)\frac{\underset{k}{}\underset{a}{\overset{r}{}}\phi _{k}^{}{}_{}{}^{}(E_0,s)\phi _k(E,s)𝑑s}{A+C\underset{k}{}\underset{a}{\overset{r}{}}\left|\phi _k(E_0,s)\right|^2𝑑s}$$
(10)
fits inhomogeneous multi-channel Schrödinger equation

$$\underset{j}{}\left(\stackrel{~}{H}_{ij}E\delta _{ij}\right)\stackrel{~}{\phi }_j(E,r)=C\frac{\mathrm{}^2}{2m}\frac{\phi _i(E_0,r)}{A+C\underset{k}{}\underset{a}{\overset{r}{}}\left|\phi _k(E_0,s)\right|^2𝑑s}𝒲(E_0,E;a),$$
(11)
where the Hamiltonian

$$\stackrel{~}{H}_{ij}=\delta _{ij}\frac{\mathrm{}^2}{2m}\left[\frac{d^2}{dr^2}+\frac{l_i(l_i+1)}{r^2}\right]+\stackrel{~}{V}_{ij}(r)$$
(12)
and the quasi-Wronskian

$$𝒲(E_0,E;a)\underset{k}{}\left[\phi _{k}^{}{}_{}{}^{}(E_0,a)\phi _{k}^{}{}_{}{}^{}(E,a)\phi _{k}^{}{}_{}{}^{}{}_{}{}^{}(E_0,a)\phi _k(E,a)\right].$$
(13)

We use prime to denote derivatives: $`f^{}\frac{d}{dr}f`$.

To prove the statement, one can verify Eq. (11) by the direct calculation of $`_j\left(\stackrel{~}{H}_{ij}E\delta _{ij}\right)\stackrel{~}{\phi }_j(E,r)`$ using the definitions (8)–(10), (12) and (13) and other formulas given above as well as the fact that the interaction $`V_{ij}(r)`$ is Hermitian, $`V_{ij}^{}(r)=V_{ji}(r)`$. The calculation is lengthy but straightforward.

It is clear from (10) and (7) that the suggested transformation is phase-equivalent at any energy $`E>0`$; all the bound states supported by the initial potential $`V_{ij}`$ are preserved by the transformation since the wave functions $`\stackrel{~}{\phi _i}(E_b,r)`$ for the corresponding energies $`E_b<0`$ (including $`E_0`$) fit both boundary conditions (4) and (7). However, the denominator in the last term in (10) should be non-zero at any distance $`r`$, and therefore one should be accurate in assigning values to arbitrary parameters $`A`$, $`C`$ and $`a`$. This requirement can be easily satisfied in a wide and continuous range of parameter values.

## III Particular cases of the phase-equivalent transformation

### A Homogeneous Schrödinger equation

Of course, we are mostly interested in phase-equivalent transformations that results in homogeneous Schrödinger equation

$$\underset{j}{}\left(\stackrel{~}{H}_{ij}E\delta _{ij}\right)\stackrel{~}{\phi }_j(E,r)=0$$
(14)
instead of the inhomogeneous Schrödinger equation (11). To derive the transformation leading to Eq. (14), we can fix the parameters $`A`$, $`C`$, and $`a`$ in such a way that the r.h.s. of Eq. (11) will take zero value. The choice $`C=0`$ brings us to the equivalent (contrary to phase-equivalent) transformation that is of no interest. Thus we should search for the parameters that fit the equation

$$𝒲(E_0,E;a)=0.$$
(15)
Two obvious solutions of Eq. (15) are $`a=0`$ and $`a=\mathrm{}`$. Various other solutions of Eq. (15) can be found for particular potentials $`V_{ij}(r)`$. However, the non-zero finite solutions $`a`$ of Eq. (15) are energy-dependent. With the solutions $`a(E)`$ of Eq. (15) we can obtain energy-dependent potentials $`\stackrel{~}{V}_{ij}(E;r)`$ phase-equivalent to the initial energy-independent potential $`V_{ij}(r)`$. It may be interesting for some applications, but we shall not discuss the energy-dependent transformation and shall concentrate our attention on the solutions $`a=0`$ and $`a=\mathrm{}`$.

The case $`a=0`$ presents a generalization of the single-channel phase-equivalent transformation of Ref. . For the bound state at the energy $`E_0`$, the wave function obtained by means of the transformation is of the form:

$$\stackrel{~}{\phi }_i(E_0,r)=\frac{A\phi _i(E_0,r)}{A+C\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}.$$
(16)
The wave function (16) is not normalized. The normalization constant can be easily calculated. The normalized bound state wave function is

$$\sqrt{\frac{A+C}{A}}\stackrel{~}{\phi }_i(E_0,r)=\frac{\sqrt{A(A+C)}\phi _i(E_0,r)}{A+C\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}.$$
(17)
It is interesting that the components of the bound state wave function in all channels are modified by the transformation sinchronically: all the components $`\phi _i(E_0,r)`$ are multiplied by the same multiplier $`\sqrt{A(A+C)}\left(A+C{\displaystyle \underset{j}{}}{\displaystyle \underset{0}{\overset{r}{}}}\left|\phi _j(E_0,s)\right|^2𝑑s\right)^1`$. Nevertheless the relative weight of the components $`\phi _i(E_0,r)`$ in the norm of the total multi-channel wave function can be changed by the transformation.

Now let us discuss the case $`a=\mathrm{}`$. The transformed wave function in this case is of the form:

$$\stackrel{~}{\phi }_i(E,r)=\phi _i(E,r)\frac{C\phi _i(E_0,r)\underset{j}{}\underset{\mathrm{}}{\overset{r}{}}\phi _{j}^{}{}_{}{}^{}(E_0,s)\phi _j(E,s)𝑑s}{A+C\underset{j}{}\underset{\mathrm{}}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}.$$
(18)
If $`EE_0`$, the functions $`\phi _i(E,r)`$ and $`\phi _i(E_0,r)`$ are orthogonal:

$$\underset{0}{\overset{\mathrm{}}{}}\phi _{i}^{}{}_{}{}^{}(E_0,s)\phi _i(E,s)𝑑s=0.$$
(19)
With the help of (19) and (6), we can rewrite (18) as

$$\stackrel{~}{\phi }_i(E,r)=\phi _i(E,r)\frac{C\phi _i(E_0,r)\underset{j}{}\underset{0}{\overset{r}{}}\phi _{j}^{}{}_{}{}^{}(E_0,s)\phi _j(E,s)𝑑s}{AC+C\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}.$$
(20)
It is seen from (20) that the case $`a=\mathrm{}`$ is identical (up to the redefinition of the parameter $`AA+C`$) to the case $`a=0`$ if $`EE_0`$. It is clear, however, that after the redefinition of the parameter $`AA+C`$, the potential $`v_{ij}(r)`$ obtained with $`a=\mathrm{}`$ becomes identical to the potential $`v_{ij}(r)`$ corresponding to the case $`a=0`$. Hence the the case $`a=\mathrm{}`$ appears to be identical to the case $`a=0`$ at any energy $`E`$ including $`E=E_0`$. To demonstrate this explicitly, let us examine the wave function $`\stackrel{~}{\phi }_i(E_0,r)`$ in the case $`a=\mathrm{}`$. Substituting $`E`$ by $`E_0`$ in (18) we obtain:

$`\stackrel{~}{\phi }_i(E_0,r)`$ $`=`$ $`{\displaystyle \frac{A\phi _i(E_0,r)}{A+C\underset{j}{}\underset{\mathrm{}}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}}`$ (21)
$`=`$ $`{\displaystyle \frac{A\phi _i(E_0,r)}{AC+C\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}}.`$ (22)
Replacing $`A`$ by $`A+C`$ and normalizing the wave function (22), we obtain the expression (17).

### B Supersymmetry

Let us discuss a particular choice of parameters: $`C=1`$, $`a=\mathrm{}`$, and $`A=1`$. The wave function in this case is

$`\stackrel{~}{\phi }_i(E,r)`$ $`=`$ $`\phi _i(E,r)+{\displaystyle \frac{\phi _i(E_0,r)\underset{j}{}\underset{r}{\overset{\mathrm{}}{}}\phi _{j}^{}{}_{}{}^{}(E_0,s)\phi _j(E,s)𝑑s}{\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}}`$ (23)
$`=`$ $`\phi _i(E,r){\displaystyle \frac{\phi _i(E_0,r){\displaystyle \underset{j}{}}{\displaystyle \underset{0}{\overset{r}{}}}\phi _{j}^{}{}_{}{}^{}(E_0,s)\phi _j(E,s)𝑑s}{\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}}.`$ (24)
Equation (23) can be used at any energy $`E`$ while Eq. (24) is applicable only if $`EE_0`$. In the case $`E=E_0`$, the wave function can be rewritten in a simpler form as

$$\stackrel{~}{\phi }_i(E_0,r)=\frac{\phi _i(E_0,r)}{\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}.$$
(25)
Equation (23) is just the Eq. (4) of Ref. . In Ref. , Sparenberg and Baye suggested a multi-channel supersymmetry transformation. Thus equations (24)–(25) describe the multi-channel supersymmetry transformation, or, in other words, the multi-channel supersymmetry transformation is a particular case of the phase-equivalent multi-channel transformation discussed in this paper that corresponds to the particular choice of the parameters. Let us discuss how it works.

It is clear from Eq. (25) that $`\left|\stackrel{~}{\phi }_i(E_0,r)\right|\mathrm{}`$ as $`r0`$. Hence at the energy $`E_0`$, the wave function $`\stackrel{~}{\phi }_i(E_0,r)`$ does not match the required boundary condition (4) at $`r=0`$. At the same time, $`\stackrel{~}{\phi }_i(E_0,r)`$ fits the boundary condition (7) at $`r=\mathrm{}`$. Therefore it is impossible to construct another solution of the Schrödinger equation (14) consistent with both boundary conditions at the energy $`E=E_0`$. As a result the phase-equivalent transformation removes the bound state at $`E=E_0`$. At the same time, it is clear from (24) that for all energies $`EE_0`$, zero in the denominator arising in the limit $`r0`$ is canceled by the zero in the numerator and the wave function (24) matches the boundary conditions at the origin and at the infinity both at once. So, the transformation in this case removes the bound state at $`E=E_0`$ but not any of the other bound states, while the $`S`$-matrix at any energy $`E>0`$ is unchanged.

Of course, the supersymmetry transformation can be also formulated in the case $`a=0`$. It is interesting that the bound state in this case is removed by a different mechanism. Suppose $`A=0`$ and $`C`$ is arbitrary. The wave function at any energy $`E`$ in this case may be written as

$$\stackrel{~}{\phi }_i(E,r)=\phi _i(E,r)\frac{\phi _i(E_0,r)\underset{j}{}\underset{0}{\overset{r}{}}\phi _{j}^{}{}_{}{}^{}(E_0,s)\phi _j(E,s)𝑑s}{\underset{j}{}\underset{0}{\overset{r}{}}\left|\phi _j(E_0,s)\right|^2𝑑s}.$$
(26)
It is seen that at $`E=E_0`$ the wave function $`\stackrel{~}{\phi }_i(E_0,r)0`$.

We used the boundary condition (4) to construct the supersymmetry transformation: the bound state is removed because for some particular parameter values the wave function $`\stackrel{~}{\phi }_i(E_0,r)`$ diverges at the origin and appears to be inconsistent with (4). One can suppose that it is also possible to use the boundary condition at $`r=\mathrm{}`$ to remove the bound state and to construct another supersymmetry transformation. It is not so. Let us discuss the case of $`a=\mathrm{}`$, $`A=0`$ and arbitrary $`C`$. As is seen from (18), $`\stackrel{~}{\phi }_i(E_0,r)0`$ in this case, thus the bound state is removed. However the transformation is no more phase-equivalent. Really, at energies $`E>E_0`$ the last term in (18) does not vanish at $`r\mathrm{}`$ and provides an additional phase shift, or, in other words, it modifies the $`S`$-matrix.

An example of an application of the multi-channel supersymmetry transformation to the Moscow $`NN`$ potential can be found in Ref. .

### C Inverse supersymmetry

A transformation that adds a bound state to the discrete spectrum of the system and leaves unchanged the $`S`$-matrix and the energies of all bound states supported by the initial Hamiltonian, we shall refer to as inverse supersymmetry transformation.

Let us suppose that there is no bound state at the energy $`E_0<0`$. By $`\phi _i(E_0,r)`$ we now denote the wave function at energy $`E_0`$ that matches the boundary condition (7) at infinity but diverges at the origin as $`r^{l_i}`$ (see, e.g.***The $`r^l`$ divergence of the wave functions at the origin is derived in Ref.  for the single-channel case only. However the derivation of the $`r^l`$ rule of Ref.  can be easily generalized to the multi-channel case, at least for the potentials that do not diverge in the origin., ) where $`l_i`$ is the angular momentum in the channel $`i`$.

Having $`\phi _i(E_0,r)`$, we can use our transformation to obtain the homogeneous Schrödinger equation (14) in the case $`a=\mathrm{}`$. The transformed wave function $`\stackrel{~}{\phi }_i(E,r)`$ is given by (18). It is seen from (18) that $`\stackrel{~}{\phi }_i(E,r)`$ does not diverge in the origin and matches the boundary conditions both at the origin and at infinity, at any energy $`EE_0`$. For $`E=E_0`$, the transformed wave function $`\stackrel{~}{\phi }_i(E_0,r)`$ is given by (21). It is clear that $`\stackrel{~}{\phi }_i(E_0,r)`$ at the origin is proportional to $`r^{2Ll_i1}`$ where $`L=\mathrm{max}\{l_i\}`$. Hence, $`\stackrel{~}{\phi }_i(E_0,r)`$ matches the boundary condition (4) if $`L2`$ and is not consistent with (4) if $`L1`$. Therefore our transformation with $`\phi _i(E_0,r)`$ irregular at the origin, is the inverse supersymmetry transformation in the case $`L2`$. In the case $`L1`$ the transformation appears to be a phase-equivalent transformation that does not make use of the bound state and can be applied to the system that does not support a bound state. If the transformation is applied to the free Hamiltonian with $`V_{ij}(r)0`$ in the $`s`$ or $`p`$ partial wave, it produces a non-zero ‘transparent’ potential $`\stackrel{~}{V}_{ij}(r)`$ that provides phase shift $`\delta =0`$ at any energy $`E`$. The multi-channel version of the transformation couples $`s`$ and $`p`$ partial waves to produce a two-channel ‘transparent’ interaction that provides the $`S`$-matrix of the form $`S_{ij}=\delta _{ij}`$.

It is interesting that the inverse supersymmetry transformation is not unique: we have three parameters $`E_0`$, $`A`$ and $`C`$ that provide a family of inverse supersymmetry partner potentials. Contrary to it, the supersymmetry transformation is unique; however, it can be used in combination with the phase-equivalent transformation to construct a family of potentials phase-equivalent to the initial one but not supporting one of the bound state.

The multi-channel inverse supersymmetry transformation is discussed in more detail in a very recent paper of Leeb et al . One can find in this paper examples of the applications of the transformation to realistic $`NN`$ potentials. This transformation is discussed in Ref. , too; in particular the authors of Ref.  also conclude that it is possible to create a new bound state by means of the phase-equivalent transformation only in the case $`L2`$.

## IV Conclusions

We derived a multi-channel phase-equivalent transformation that can be used without restrictions on the structure of the discrete spectrum of the system in various scattering problems like $`NN`$ scattering, nucleon-cluster or cluster-cluster scattering. The multi-channel supersymmetry and inverse supersymmetry transformations appear to be particular cases of the suggested general phase-equivalent transformation corresponding to particular choices of the parameter values. The inverse supersymmetry transformation is possible if only the orbital angular momentum $`l_i2`$ at least in one of the coupled channels. It is interesting to note that from the point of view of the $`NN`$ system, this means that a deep attractive $`NN`$ potential supporting an additional forbidden state like Moscow $`NN`$ potential, can be constructed by the inverse supersymmetry transformation of the realistic meson-exchange potential with repulsive core only due to the $`d`$ wave admixture in the deuteron wave function.

With the help of the suggested transformation, one can construct a family of phase-equivalent potentials depending on continuous parameters. Such families may be very useful for fine tuning of the interaction aimed to fit not only two-body observables but also three- and few-body ones. If the system has at least one bound state, the phase-equivalent potential family is constructed using directly formulas (8) and (9). One can construct phase-equivalent single- or multi-channel potential families also in the case when there are no bound states in the system: if all channel orbital angular momenta $`l_i1`$, one can apply directly the transformation with the irregular function $`\phi _i(E_0,r)`$; if at least one of the channel orbital angular momenta $`l_i2`$, one can produce a bound state using inverse supersymmetry at the first stage and remove the bound state at the last stage with the help of supersymmetry version of the transformation. So, one can, for example, construct a family of phase-equivalent potentials for any combination of coupled partial waves in the $`NN`$ system.

We hope that the suggested transformation will be useful in various few-body applications.

Acknowledgements. We are thankful to A. I. Mazur, A. Mondragon, V. N. Pomerantsev, D. L. Pursey, Yu. F. Smirnov, J. P. Vary, T. A. Weber, and B. N. Zakhar’ev for stimulating discussions. The work was supported in part by the State Program “Universities of Russia”, project No 992306 and by the Competitive Center at St. Petersburg State University.


text:
# Psychophysical quantum–stringWeltdrama

## I. Quantum string field theory and interactive phenomena

### 1.1. Experimental detection of interactive phenomena

Let us consider a natural, behavioral, social or economical system $`𝒮`$. It will be described by a set $`\{\phi \}`$ of quntities, which characterize it at any moment of time $`t`$ (so that $`\phi =\phi _t`$). One may suppose that the evolution of the system is described by a differential equation

$$\dot{\phi }=\mathrm{\Phi }(\phi )$$

and look for the explicit form of the function $`\mathrm{\Phi }`$ from the experimental data on the system $`𝒮`$. However, the function $`\mathrm{\Phi }`$ may depend on time, it means that there are some hidden parameters, which control the system $`𝒮`$ and its evolution is of the form

$$\dot{\phi }=\mathrm{\Phi }(\phi ,u),$$

where $`u`$ are such parameters of unknown nature. One may suspect that such parameters are chosen in a way to minimize some goal function $`K`$, which may be an integrodifferential functional of $`\phi _t`$:

$$K=K(\left[\phi _\tau \right]_{\tau t})$$

(such integrodifferential dependence will be briefly notated as $`K=K([\phi ])`$ below). More generally, the parameters $`u`$ may be divided on parts $`u=(u_1,\mathrm{},u_n)`$ and each part $`u_i`$ has its own goal function $`K_i`$. However, this hypothesis may be confirmed by the experiment very rarely. In the most cases the choice of parameters $`u`$ will seem accidental or even random. Nevertheless, one may suspect that the controls $`u_i`$ are interactive, it means that they are the couplings of the pure controls $`u_i^{}`$ with the unknown or incompletely known feedbacks:

$$u_i=u_i(u_i^{},[\phi ])$$

and each pure control has its own goal function $`K_i`$. Thus, it is suspected that the system $`𝒮`$ realizes an interactive game. There are several ways to define the pure controls $`u_i^{}`$. One of them is the integrodifferential filtration of the controls $`u_i`$:

$$u_i^{}=F_i([u_i],[\phi ]).$$

To verify the formulated hypothesis and to find the explicit form of the convenient filtrations $`F_i`$ and goal functions $`K_i`$ one should use the theory of interactive games, which supplies us by the predictions of the game, and compare the predictions with the real history of the game for any considered $`F_i`$ and $`K_i`$ and choose such filtrations and goal functions, which describe the reality better. One may suspect that the dependence of $`u_i`$ on $`\phi `$ is purely differential for simplicity or to introduce the so-called intention fields, which allow to consider any interactive game as differential. Moreover, one may suppose that

$$u_i=u_i(u_i^{},\phi )$$

and apply the elaborated procedures of a posteriori analysis and predictions to the system.

In many cases this simple algorithm effectively unravels the hidden interactivity of a complex system. However, more sophisticated psychophysical procedures exist.

Below we shall consider the complex systems $`𝒮`$, which have been yet represented as the $`n`$-person interactive games by the procedure described above.

### 1.2. Functional analysis of interactive phenomena

To perform an analysis of the interactive control let us note that often for the $`n`$-person interactive game the interactive controls $`u_i=u_i(u_i^{},[\phi ])`$ may be represented in the form

$$u_i=u_i(u_i^{},[\phi ];\epsilon _i),$$

where the dependence of the interactive controls on the arguments $`u_i^{}`$, $`[\phi ]`$ and $`\epsilon _i`$ is known but the $`\epsilon `$-parameters $`\epsilon _i`$ are the unknown or incompletely known functions of $`u_i^{}`$, $`[\epsilon ]`$. Such representation is very useful in the theory of interactive games and is called the $`\epsilon `$-representation.

One may regard $`\epsilon `$-parameters as new magnitudes, which characterize the system, and apply the algorithm of the unraveling of interactivity to them. Note that $`\epsilon `$-parameters are of an existential nature depending as on the states $`\phi `$ of the system $`𝒮`$ as on the controls.

The $`\epsilon `$-parameters are useful for the functional analysis of the interactive controls described below.

First of all, let us consider new integrodifferential filtrations $`V_\alpha `$:

$$v_\alpha ^{}=V_\alpha ([\epsilon ],[\phi ]),$$

where $`\epsilon =(\epsilon _1,\mathrm{},\epsilon _n)`$. Second, we shall suppose that the $`\epsilon `$-parameters are expressed via the new controls $`v_\alpha ^{}`$, which will be called desires:

$$\epsilon _i=\epsilon _i(v_1^{},\mathrm{},v_m^{},[\phi ])$$

and the least have the goal functions $`L_\alpha `$. The procedure of unraveling of interactivity specifies as the filtrations $`V_\alpha `$ as the goal functions $`L_\alpha `$.

### 1.3. SD-transform and SD-pairs

The interesting feature of the proposed description (which will be called the S-picture) of an interactive system $`𝒮`$ is that it contains as the real (usually personal) subjects with the pure controls $`u_i`$ as the impersonal desires $`v_\alpha `$. The least are interpreted as certain perturbations of the first so the subjects act in the system by the interactive controls $`u_i`$ whereas the desires are hidden in their actions.

One is able to construct the dual picture (the D-picture), where the desires act in the system $`𝒮`$ interactively and the pure controls of the real subjects are hidden in their actions. Precisely, the evolution of the system is governed by the equations

$$\dot{\phi }=\stackrel{~}{\mathrm{\Phi }}(\phi ,v),$$

where $`v=(v_1,\mathrm{},v_m)`$ are the $`\epsilon `$-represented interactive desires:

$$v_\alpha =v_\alpha (v_\alpha ^{},[\phi ];\stackrel{~}{\epsilon }_\alpha )$$

and the $`\epsilon `$-parameters $`\stackrel{~}{\epsilon }`$ are the unknown or incompletely known functions of the states $`[\phi ]`$ and the pure controls $`u_i^{}`$.

D-picture is convenient for a description of systems $`𝒮`$ with a variable number of acting persons. Addition of a new person does not make any influence on the evolution equations, a subsidiary term to the $`\epsilon `$-parameters should be added only.

The transition from the S-picture to the D-picture is called the SD-transform. The SD-pair is defined by the evolution equations in the system $`𝒮`$ of the form

$$\dot{\phi }=\mathrm{\Phi }(\phi ,u)=\stackrel{~}{\mathrm{\Phi }}(\phi ,v),$$

where $`u=(u_1,\mathrm{},u_n)`$, $`v=(v_1,\mathrm{},v_m)`$,

$`u_i=`$ $`u_i(u_i^{},[\phi ];\epsilon _i)`$
$`v_\alpha =`$ $`v_\alpha (v_\alpha ^{},[\phi ];\stackrel{~}{\epsilon }_\alpha )`$
and the $`\epsilon `$-parameters $`\epsilon =(\epsilon _1,\mathrm{},\epsilon _n)`$ and $`\stackrel{~}{\epsilon }=(\stackrel{~}{\epsilon }_1,\mathrm{},\stackrel{~}{\epsilon }_m)`$ are the unknown or incompletely known functions of $`[\phi ]`$ and $`v^{}=(v_1^{},\mathrm{},v_m^{})`$ or $`u^{}=(u_1^{},\mathrm{},u_n^{})`$, respectively.

Note that the S-picture and the D-picture may be regarded as complementary in the N.Bohr sense. Both descriptions of the system $`𝒮`$ can not be applied to it simultaneously during its analysis, however, they are compatible and the structure of SD-pair is a manifestation of their compatibility.

### 1.4. The second quantization of desires

Intuitively it is reasonable to consider systems with a variable number of desires. It can be done via the second quantization.

To perform the second quantization of desires let us mention that they are defined as the integrodifferential functionals of $`\phi `$ and $`\epsilon `$ via the integrodifferential filtrations. So one is able to define the linear space $`H`$ of all filtrations (regarded as classical fields) and a submanifold $`M`$ of the dual $`H^{}`$ so that $`H`$ is naturally identified with a subspace of the linear space $`𝒪(M)`$ of smooth functions on $`M`$. The quantized fields of desires are certain operators in the space $`𝒪(M)`$ (one is able to regard them as unbounded operators in its certain Hilbert completion). The creation/annihilation operators are constructed from the operators of multiplication on an element of $`H𝒪(M)`$ and their conjugates.

To define the quantum dynamics one should separate the quick and slow time. Quick time is used to make a filtration and the dynamics is realized in slow time. Such dynamics may have a Hamiltonian form being governed by a quantum Hamiltonian, which is usually differential operator in $`𝒪(M)`$.

If $`M`$ coincides with the whole $`H^{}`$ then the quadratic part of a Hamiltonian describes a propagator of the quantum desire whereas the highest terms correspond to the vertex structure of self-interaction of the quantum field. If the submanifold $`M`$ is nonlinear, the extraction of propagators and interaction vertices is not straightforward.

### 1.5. Quantum string field theoretic structure of the second quantization of desires

First of all, let us mark that the functions $`\phi (\tau )`$ and $`\epsilon (\tau )`$ may be regarded formally as an open string. The target space is a product of the spaces of states and $`\epsilon `$-parameters.

Second, let us consider a classical counterpart of the evolution of the integrodifferential filtration. It is natural to suspect that such evolution is local in time, i.e. filtrations do not enlarge their support (as a time interval) during their evolution. For instance, if the integrodifferential filtration depends on the values of $`\phi (\tau )`$, $`\epsilon (\tau )`$ for $`\tau [t_0t_1,t_0t_2]`$ at the fixed moment $`t_0`$, it will depend on the same values for $`\tau [tt_1,tt_2]`$ at other moments $`t>t_0`$. This supposition provides the reparametrization invariance of the classical evolution. Hence, it is reasonable to think that the quantum evolution is also reparametrization invariant.

Reparametrization invariance allows to apply the quantum string field theoretic models to the second quantization of desires. For instance, one may use the string field actions constructed from the closed string vertices (note that the phase space for an open string coincides with the configuration space of a closed string) or string field theoretic nonperturbative actions. In the least case the theoretic presence of additional “vacua” (minimums of the string field action) as well as their structure is very interesting.

## II. Psychophysical quantum–string Weltdrama

### 2.1. Psychophysical quantum string fields as quantized intention fields

Note that one may assume that $`\epsilon `$-parameters are history-independent functions of states $`\phi `$ and desires $`v`$ after an introduction of an explicitely time-dependent classical string field $`\mathrm{\Xi }`$:

$$\epsilon =\epsilon (\phi ,v^{};\mathrm{\Xi }).$$

If it is so, the classical string field is just an intention field and the obtained quantum string field may be regarded as a quantized intention field. The formalism of intention fields and their second quantization was described in .

An interpretation of quantum string fields as quantized intention fields allows to avoid an introduction of a new additional concept and clarifies the relation between desires and intentions.

It should be marked that an effective way to manipulate the intention fields is to visualize them. Concrete procedures of visualization of intention fields by use of the so-called overcolors were discussed by the author many times. Such visualizations, which identify intention fields with “latent lights”, preserve the algebraic structure of the intention fields. Some practical applications of this scheme were described in .

### 2.2. Hypothesis of the universal psychophysical quantum string field

In the article  it was supposed that all intention fields have the common dynamical nature and some discussion of this nature was performed.

Therefore, it is reasonable to believe that all quantum string fields, which appear in interactive phenomena, can be derived from one universal quantum string field, which will be called the universal psychophysical quantum string field. Precisely it may mean that the string field algebras of concrete quantum string fields are certain subalgebras of the string field algebra of this universal psychophysical quantum string field.

If the tactical aspects  are also taken into account, the universal psychophysical quantum string field would describe the dramatic structure of the Universe and would represent the least as psychophysical quantum–string Weltdrama.

Its existence and explication of its nature will allow to use the simple and more than inexpensive experimental data, obtained from analysis of interactive computer games (especially, various perception games), to more sophisticated, less accessible and more important interactive phenomena.


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# Vertical transmission of culture and the distribution of family names

## 1 Introduction

The fascinating complexity of social phenomena is increasingly attracting the attention of physicists. We find in the techniques of Statistical Physics an ideal tool for the study of models of such phenomena, where complex “macroscopic” behaviour emerges spontaneously as the consequence of relatively simple “microscopic” dynamical rules. During the last decade, in fact, much work along those lines has been devoted to the study of statistical properties of dynamical processes in economics . Other key social processes—such as the dynamics of cultural features—have received relatively less attention, in spite of the fact that empirical data call for the kind of approach already employed with economical systems. Consider, for instance, the size distribution of large religious groups, shown in Fig. 1. A well defined power-law decay, spanning more that two orders of magnitude, is apparent. These power-law distributions are indeed a main clue to complexity in real and model systems .

The spatiotemporal dynamics of culture is driven by geographical dissemination of cultural features and by their transmission from old to new generations. Axelrod  has proposed a simple model of culture dissemination that captures its basic mechanisms. Cultural features can spread by interaction between individuals, but some preexistent cultural agreement is necessary for such interaction to take place. These mechanisms are able to explain the maintenance of a certain level of cultural diversity. Meanwhile, vertical culture transmission—along the genealogical line, from ancestors to their descendents—is governed by the influence of cultural features in the formation of couples, and by the influence of each parent’s features in determining those of the offspring . Cavalli-Sforza and coworkers have modeled and studied different situations of vertical culture transmission, with special emphasis on the effect of stochastic external agents .

An extreme case of vertical transmission of a “cultural” feature, which can be used as a benchmark for models of culture dynamics, is that of family names. An individual’s family name is (in most cases, at least) inherited from the father and, therefore, its possible influence in the formation of the parents’ couple is irrelevant to its transmission. Moreover, creation and mutation of family names are strongly restricted to specific historical periods and places. Most of the time, such changes are extremely rare. The history of family names is, in fact, quite complex . In Europe, for instance, different groups of family names (patronymic-like, toponymic-like, etc.) originated at different times—typically, during the Middle Ages—and mutations became important particularly during the large migration waves within Europe and towards the Americas. New family names appeared also as a consequence of immigration. In spite of this eventful history, current distributions of family names exhibit striking regularities. Figure 2 shows family-name frequencies as a function of the family size—i.e., of the number of individuals bearing a given family name—for the United States and a part of Berlin, in recent times. Both data show a well defined power-law dependence, with an exponent close to $`2`$. Analogous data have recently been reported for Japanese family names , which exhibit power-law distributions with smaller exponents ($`1.75`$).

In this paper, we consider a model for a growing population where each individual can inherit cultural features from its parents. In particular, we analyze the case of transmission of the family name, and study its distribution as a function of the family size. The parameters relevant to the model are the relative birth rate and the mortality, which control the population growth, and the creation rate of family names. Our preliminary results show that the model satisfactorily reproduces the power laws observed in real data, for wide ranges of the parameters.

## 2 The model

We introduce in the following a variation of the mechanism proposed by Simon  to explain the occurrence of power laws in the frequency distribution of words and city sizes (Zipf’s law ), among other instances. In our model, evolution proceeds by discrete steps. At a given step $`s`$, the $`P(s)`$ individuals in the population are divided into groups—the families. Within each group, all the individuals share the same family name. At each step, two mechanisms act. (i) A new individual is introduced in the population, representing a birth event. With probability $`\alpha `$ the newborn is assigned a new family name, not previously present in the population. With the complementary probability, $`1\alpha `$, a preexistent individual is chosen at random to become the newborn’s father, and its family name is given to the newborn. Thus, a specific family name is assigned with a probability proportional to the corresponding family size. (ii) An individual is chosen at random from the whole population and, with probability $`\mu `$, it is eliminated. This represents a death event. Note that if the dead was the only individual with its family name, this specific family name disappears from the population.

The evolution of the population is controled by the parameter $`\mu `$ which, as we show below, is a direct measure of the mortality rate. The distribution of family names varies due to the effect of family-name creation and mutation, measured by $`\alpha `$, and of mortality. Since during the evolution the total population $`P(s)`$ changes, the time interval $`\delta t(s)`$ to be associated with each evolution step should also change, as $`\delta t(s)=1/\nu P(s)`$. The frequency $`\nu `$, whose value is in principle arbitrary, fixes time units. The variation of the population at each step is, on average, $`\delta P(s)=1\mu `$. Consequently, the “macrosopic” equation for the time evolution of the population reads

$$\frac{dP}{dt}\frac{\delta P}{\delta t}=\nu (1\mu )P.$$
(1)
Identifying $`\nu `$ with the birth rate per individual and unit time, the product $`\nu \mu `$ is the corresponding mortality rate. In average, thus, the population grows exponentially in time.

Note that, since an individual’s family name is here supposed to be inherited from the father, the model describes the evolution of the male population only. However, the same mechanism can be reinterpreted assuming that the family name is transmitted with the same probability by either parent. In this case, the model encompasses the whole population and no sex distinction occurs. The real situation is in fact intermediate between these two limiting cases. We also stress that in the present model individuals are ageless, in the sense that neither the probability of becoming father of a newborn nor the death probability depend on the individual’s age. As a consequence, the probability $`p(m)`$ that an individual has $`m`$ children during its whole life is exponential, $`p(m)=\mu (1+\mu )^{m1}`$. This is to be compared with the Poissonian probability of real, age-structured populations .

Below, we consider a class of initial conditions where the population is divided into $`N_0`$ families, with $`i_0`$ individuals in each family. We denote such an initial condition as $`(N_0,i_0)`$. The corresponding initial population is $`P(0)=N_0i_0`$.

### 2.1 Simon’s model: $`\mu =0`$

Neglecting mortality (that is with $`\mu =0`$), our system reduces to the model introduced by Simon to explain Zipf’s law . In this case, the evolution of the population is deterministic, $`P(s)=P(0)+s`$, since exactly one individual is added to the population at each step. Under these conditions, it is possible to write an evolution equation for the average number of families $`n_i(s)`$ with exactly $`i`$ individuals at step $`s`$. We have

$$n_i(s+1)=n_i(s)+\frac{1\alpha }{P(s)}\left[(i1)n_{i1}(s)in_i(s)\right],$$
(2)
for $`i>1`$, and

$$n_1(s+1)=n_1(s)+\alpha \frac{1\alpha }{P(s)}n_1(s).$$
(3)
Simon has shown that, under fairly general conditions, these equations predict a long-time distribution with a power-law decay

$$n_ii^{11/(1\alpha )}$$
(4)
for moderately large values of $`i`$ ($`1iN_0+s`$). This power-law distribution is to be ascribed to the stochastic multiplicative nature of family growth, which involves a growth probability proportional to the family size. In the limit $`\alpha 0`$ the exponent in Eq. (4) equals $`2`$. Note that this limit is relevant to our problem, since the probability of creation or mutation of a family name per individual is expected to be very small. The exponent, in fact, agrees with the empirical data presented in Fig. 2.

We point out that transient effects strongly depend on initial conditions. Figure 3 shows the (normalized) distribution $`n_i(s)`$ calculated from Eqs. (2) and (3) at several evolution stages, for different initial conditions and $`\alpha =10^3`$. For intermediate values of $`i`$ the development of the power-law decay with exponent close to $`2`$ is apparent in all cases. However, the behaviour of the distribution for larger values of $`i`$ varies noticeably with the initial condition.

Equations (2) and (3) imply that the total number of family names in the population, given by $`N(s)=_in_i(s)`$, grows in average as $`N(s)=N_0+\alpha s`$. As a function of time, thus, the number of family names increases exponentially, as $`N(t)=N_0\mathrm{exp}(\alpha t)`$, as expected for a population without mortality where family names are created at rate $`\alpha `$. In contrast, in real populations at present times, the number of family names is known to decrease .

### 2.2 Effects of mortality: $`\mu 0`$

With $`\mu 0`$, the growth of the total population $`P(s)`$ fluctuates stochastically, depending on the occurrence of death events at each evolution step. Consequently, a formulation for the average evolution of $`n_i(s)`$ in terms of a deterministic equation of the form of Eqs. (2) and (3) turns out to be inconsistent. These equation can however be adapted in a way suitable for numerical calculation to the case where the population growth is not deterministic, in the following form. First, for a given value of $`P(s)`$ at step $`s`$, the functions in the right-hand side of Eqs. (2) and (3) are applied to $`n_i(s)`$ to obtain intermediate values $`n_i^{}(s)`$. Then, with probability $`\mu `$, we calculate

$$n_i(s+1)=\frac{1}{P(s)+1}\left[(i+1)n_{i+1}^{}(s)in_i^{}(s)\right]$$
(5)
for all $`i=1,2,\mathrm{}`$. Since in this case both birth and death events have taken place, $`P(s+1)=P(s)`$. With the complementary probability, $`1\mu `$, we put $`n_i(s+1)=n_i^{}(s)`$ for all $`i`$, and $`P(s+1)=P(s)+1`$.

Heuristic arguments—not reproduced here—indicate that, under the conditions used to derive Eq. (4), the above algorithm should give rise to distributions with a well defined power-law decay for moderately large family sizes, of the form

$$n_ii^{1(1+\mu )/(1+\mu \alpha )}.$$
(6)
Quite remarkably, in the relevant limit $`\alpha 0`$ the exponent becomes independent of $`\mu `$, and reduces again to $`2`$. For sufficiently low $`\alpha `$, thus, mortality is not expected to affect the power-law exponent which, as we have seen, is in agreement with empirical data. This has been verified through numerical calculation of $`n_i(s)`$ with the above algorithm, as illustrated in Fig. 4 for the initial condition $`(1,1)`$ and three values of $`\mu `$.

The algorithm combining Eqs. (2), (3), and (5) mixes the deterministic average evolution of $`n_i(s)`$ with the stochastic variation of the population, due to random death events. This combination involves, thus, a statistical approximation which must be tested by means of numerical simulations of the fully stochastic model. Results of such simulations, averaged over $`10^4`$ realizations for each value of $`\mu `$, are shown as dots in Fig. 4. We find very good agreement between both methods.

As for the number of different family names, $`N(t)`$, we have found that, for moderate values of $`\mu `$ and at sufficiently long times, it increases exponentially. As expected, the growth rate depends on both $`\alpha `$ and $`\mu `$. There is however an initial transient during which the evolution is not exponential and, in fact, $`N(t)`$ can temporarily decrease. Decay of the number of family names for long times seems to be restricted to very high death probability, $`\mu 1`$. Note that these are precisely the values expected for $`\mu `$ in modern developed societies, where birth and death rates are practically identical.

## 3 Discussion

The present variant of Simon’s model provides a plausible description of a growing population, as far as the assumption of age-independent fertility and mortality is admitted. The numerical resolution of averaged evolution equations and numerical simulations show that our model successfully reproduces the exponent of power-law distributions observed in the frequency of family names as a function of the family size. Specifically, the exponent close to $`2`$ found in empirical data for family names from the United States and Berlin is reproduced in the limit of very small creation and mutation rates and a wide variety of mortality rates.

For other creation and mutation rates, the predicted exponents are, in absolute value, larger than above \[cf. Eqs. (4) and (6)\]. This contrasts with the exponents found for modern Japanese family names, close to $`1.75`$ . We argue that this is an effect of transients which, in this case, are still acting. In fact, most Japanese family names are relatively recent, as they appeared some 120 years ago . Curve (c) in Fig. 4, for instance, shows clearly that transient distributions could be assigned smaller spurious power-law exponents. Note however that a detailed evaluation of transient effects requires a careful identification of initial conditions which, as a result of the complex history of family names, could be a hard task in any real situation.

A quantitative comparison of the predictions of the present model with real data—not presented at this preliminary level—will require considering populations of several million individuals (cf. Fig. 2). Since extensive numerical simulations of systems of such sizes could become computationally too expensive, it will be useful to analyze in detail the scaling properties of our model. In particular, the attention will focus on the dependence of the duration of transients, both in the frequency and in the total number of family names, on the initial population and its distribution in families, as well as on the probabilities $`\alpha `$ and $`\mu `$. Considering long-term variations of these probabilities is also in close connection with the comparison of our results with empirical data. In fact, for a modern developed population, in Europe for instance, we can distinguish at least two well differentiated stages. When most European family names appeared, some centuries ago, the total population was increasing more or less steadily. This stage, thus, corresponds to relatively large values of $`\alpha `$ and moderate values of $`\mu `$. In modern times, on the contrary, new family names appear at an extremely low rate—in fact, their total number decreases —and the total European population is practically constant, so that $`\alpha 0`$ and $`\mu 1`$.

The adaptation of the present model to the study of the evolution of other cultural features requires the addition of two main new ingredients. First, a new parameter must be introduced to define the probability that a given cultural feature is inherited from either parent . Second, it is necessary to specify the effect of that feature in the formation of the parents’ couple, and the mechanism by which couples are effectively formed. This latter process has been classically proposed as an optimization problem . In the frame of our system, it would require a much more realistic approach if any connection with actual populations is to be established.

## Acknowledgement

We thank G. Abramson for his critical reading of the manuscript.