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# Morphological Evolution of Distant Galaxies from Adaptive Optics Imaging

## 1 Introduction

Observational constraints on the growth of galaxies and the role of star formation within them over time are finally within the reach of current data. Powerful new techniques, thanks to modern space-based and ground-based telescope facilities, have allowed researchers to make more precise measurements of galaxy properties. In this paper we focus on one aspect of this progress that is especially promising – resolved images of distant galaxies.

There has been a series of recent studies taking advantage of resolved data to measure the evolution of disk properties, especially B-band disk surface brightness to z$``$1 from Hubble Space Telescope (HST) imaging. These studies have provided some constraints on the amount of evolution taking place, but there have been contradictory results, mostly due to disagreements about the impact of selection effects. Schade et al. (1996) and Roche et al. (1998) found B-band disk surface brightness evolution of $``$1.6 mag to z=0.73 and $``$0.95 mag to z=0.9, respectively, but neither focused on the impact of selection effects on their results. Lilly et al. (1998) also found a high level of surface brightness evolution ($``$0.8 mag to z=0.67), but calculated that as much as 0.3 mag of this could be due to selection effects. Vogt (1999) obtained rotation curves of galaxies to z$``$1 and found relatively mild evolution in the Tully-Fischer relation ($`\mathrm{\Delta }M_B`$0.2 mag), although their selection effects were very complicated. Simard et al. (1999) concluded that almost all of the disk surface brightness evolution they detected ($``$1.3 mag to z=1) is due to the selection effects. They also reanalyzed the Schade et al. (1996) and Roche et al. (1998) studies and found that selection effects could account for most of the evolution seen there as well. Both Vogt (1999) and Simard et al. (1999), however, do detect (even after accounting for selection effects) a population of galaxies at z$`>`$0.5 that have higher surface brightness than the locus of nearby galaxies.

The progress derived from this resolved data has, moreover, been limited to observations of optical disk properties. To date the only resolved images of distant galaxies in the infrared (IR) have been those taken with NICMOS on HST. However these data mostly provided global colors and luminosities (e.g. Teplitz et al., 1998). The resolution of the camera ($`\theta =0.16\mathrm{}`$) was insufficient to get reliable morphological information and profile fitting routines failed more than 50% of the time (Corbin et al., 2000). Observing in the IR reduces problems due to morphological K corrections that can arise with optical images which sample rest-frame ultraviolet (UV) light at high redshifts (e.g. Bunker et al., 2000). IR data more directly sample the mass distributions of distant galaxies since such images are less biased towards regions of high star formation.

Although a picture of the structure and kinematics of nearby bulges is beginning to emerge (Bureau, 2002), resolved bulge observations have also been rare at high redshift. HST optical data does offer resolved images of bulges to z$``$1, but most analysis of these data has been confined to such things as bulge to disk ratios and bulge colors (e.g. Lilly et al., 1998; Ellis, Abraham, & Dickinson, 2001).

In order to study resolved structures, including bulges, we have started a campaign to exploit high-resolution, IR images of distant galaxies from the 10-m Keck Telescope’s Adaptive Optics (AO) system. These data regularly have a resolution of $``$0.05$`\mathrm{}`$ in the H band, equal to that of the HST optical data and three times higher than that of NICMOS. This resolution is sufficient to resolve bulges to arbitrary redshifts. The AO observations of the galaxies in our sample are described in §2 along with our methods of obtaining redshifts. In §3 we discuss the procedure used to extract galaxy morphological information from the AO images and in §4 we present the comparison of these data to a local sample, taking into account the selection effects for both samples. In §5 we discuss the implications of our result for galaxy evolution. Throughout this paper, we use H0=65 km s-1 Mpc-1, $`\mathrm{\Omega }_M`$=0.25, and $`\mathrm{\Omega }_\mathrm{\Lambda }`$=0.75.

## 2 Observations

### 2.1 Sample Selection Using NIRC Imaging

Our strategy for finding target galaxies appropriate for AO observations involved searching near 26 bright stars using NIRC, a wide-field, non-AO, infrared camera on the Keck telescope (Matthews & Soifer, 1994). From these fields, we selected a sample of $``$150 galaxies that were chosen to fall within $`30\mathrm{}`$ of the bright stars and to have K$`<`$21.5 mag in a $`3\mathrm{}`$ aperture. Many of the fields also contain faint, off-axis stars that are useful for calibrating the point spread function (PSF) of the AO observations. Objects found in these fields were named by the PPM designation of their guide star plus the offset (in arcseconds) from that star. Further details about these observations and the sample selection are presented by Larkin & Glassman (1999).

### 2.2 Adaptive Optics Observations and Data Reduction

From 1999 April to 2000 August, we observed 12 galaxies from this IR-selected sample with the Keck AO system (see Table 1). The observations through 1999 December were conducted with KCAM, the first-light camera on the Keck AO system, which has a field of view of $`4.5\mathrm{}`$ and a plate scale of $`0.0175\mathrm{}`$ per pixel. Observations in 2000 June and 2000 August were made with SCAM, the slit viewing camera on the NIRSPEC spectrograph (McLean et al., 1998), which has a field of view of $`4.4\mathrm{}`$ and a plate scale of $`0.0172\mathrm{}`$ per pixel in AO mode. Except for one, the galaxies were all observed in the H band (1.65 $`\mu `$m) with additional observations for many of the galaxies in the J (1.27 $`\mu `$m), K (2.2 $`\mu `$m), and K$`\mathrm{}`$ (2.15 $`\mu `$m) bands. The 2000 August observations were the only ones made under non-photometric conditions.

The observations were dithered, moving the galaxy to each quadrant of the chip, so that the median of the object frames could be used as a sky. More elaborate dither patterns could not fit in the small field of view of the cameras used. A faint, off-axis star (with a guide-star offset matched to that of the galaxy) was observed as close in time to each galaxy observation as possible. In Table 1 the PSF star used to calibrate each galaxy observation is listed. In some cases, when no PSF was a perfect match, the galaxy observation was calibrated using two PSF stars that bracket the galaxy observing conditions (e.g. one is too close to the guide star and one is too far away). The off-axis PSF stars had full-width-half-maxima (FWHM) ranging from $`0.05\mathrm{}`$ to $`0.15\mathrm{}`$ and strehl ratios of $`120`$%.

The data were reduced with standard IR procedures including sky subtraction, flat fielding, and dark subtraction. Super skys were generated from the science images by masking out the quadrant containing the galaxy or PSF star and taking the median of a stack of unaligned images. Bad pixels in the images were removed by replacing them with the average of their neighbors. In some cases, there were differences in the bias level between the four quadrants of the chip and/or the individual rows. These variations were removed by adjusting the clipped mean (calculated with the object masked out) of each quadrant/row to the average value for the entire image.

In order to combine dithered images of the same object, the separate frames had to be aligned. We found, through tests with the PSF images, that header or input offsets were only accurate to within a few pixels. Each object observed, including the galaxies, therefore had to be bright enough to centroid on in each individual 5-10 minute exposure. This is a strong limiting factor in the size and depth of the current sample. The aligned images were finally combined by averaging the frames together.

In the end, the 12 galaxies in the AO sample include all galaxies with K$`<`$18.5 mag in a $`3\mathrm{}`$ aperture that were observable during the times we were at the telescope. This is bright enough to ensure accurate centroids and the sample is 100% complete to this photometric limit in the NIRC images.

### 2.3 LRIS Spectra and Redshift Determination

In order to obtain redshifts for the galaxies in our sample, we took spectra of eight of them with the Low Resolution Imaging Spectrometer (LRIS; Oke et al., 1995) on Keck in 1999 December, 2000 August, and 2001 July. The other four objects were not accessible during these times. Exposure times were 30-50 minutes and good continuum detections were made of seven of the galaxies.

Following the approach of Cohen et al. (1999), the redshifts were calculated manually from a visual determination of the wavelengths of spectral features. This technique is justified by the very low signal-to-noise (S/N) of the spectra, which would make it difficult for more automatic techniques to work. Also, the construction of template spectra for an automatic search would be difficult and not well justified for such a small number of objects.

For each spectrum analyzed, the wavelengths of all the spectral features were recorded, as well as the location of the 4000 Å break, if present. These features were then compared to the set of Hydrogen Balmer, Ca II, \[OII\], and CH lines. A redshift was determined from the best fit (lowest $`\chi ^2`$) of the wavelength of the observed features to the rest wavelength of the lines. When only a spectral break is present, the redshift was obtained from the location of the break only. One galaxy had a featureless spectrum, so no spectroscopic redshift was obtained for it.

We are also able to put limits on the redshifts of the six galaxies without spectroscopic redshifts because of the fact that the redshifts of galaxies with K$`<`$18.5 mag are quite well constrained, as demonstrated by infrared-selected redshifts surveys (e.g. Cohen et al., 1996). Due to a conspiracy of low co-moving volume for low redshifts and the rapid fading of galaxies at high redshifts, our whole sample has an expected redshift distribution of z=0.6$`\pm `$0.3, with a small percentage of galaxies expected at redshifts greater than z=1. This agrees quite well with the average of our spectroscopic redshifts (z=0.55). We used this information to assign a redshift probability distribution to the galaxies without spectroscopic redshifts. This full probability distribution was used in all of the analysis, but to simplify the plots, the galaxies without spectroscopic redshifts are shown at z=0.6.

## 3 Extraction of Morphological Components

In order to compare our sample galaxies to local populations, we need to characterize their basic morphological attributes – i.e. separate them into disks and bulges and find the properties of each. The usual method of extracting this information is to create model disks and bulges and combine them to find the model that best matches the galaxy image. The biggest difficulty in applying this method to our AO images is the low S/N per pixel; this limitation prevents us from doing a full 12-parameter, 2-dimensional analysis. In order to reduce the number of free parameters, in addition to increasing the S/N of the data, we decided to fit the models to the data in one-dimensional radial profiles. This approach has been used by many other authors and direct comparisons were made between this and other techniques in a few cases (e.g. de Jong 1996; hereafter DJ96).

We assumed that the bulges are round and that they can be characterized by exponential profiles, which eliminates three parameters (the position angle, inclination, and sersic index of the bulge). (Sersic profiles were tested for the bulges, but we found that these did not fit as well as exponentials.) We then estimated the position angles and inclinations of the disks by stretching them, while conserving flux, until they appeared, by eye, to be round (eliminating two more parameters). The central pixel of each galaxy was then determined by centroiding, followed by inspection of the radial profile to verify that it was smooth (eliminating a final pair of parameters). This left just five parameters to be determined by the formal $`\chi ^2`$ minimization routine: bulge peak surface brightness ($`\mu _{oBulge}`$), bulge scale size ($`h_{Bulge}`$), disk peak surface brightness ($`\mu _{oDisk}`$), disk scale size ($`h_{Disk}`$), and an additive sky background level. To further increase the S/N, as well as the strehl ratios, of the images in our sample, we focused on analyzing just the H-band images (except for PPM91714+18-17 which was only observed in K$`\mathrm{}`$).

The errors on the galaxy profiles were derived by taking multiple azimuthal averages of the images while varying the position angle, inclination, and central pixel within reasonable ranges (typically $`\pm `$5$`\mathrm{°}`$, $`\pm `$10%, and $`\pm `$1 pixel respectively). Four more profiles were created by taking the azimuthal average in four quadrants using the best fit position angle, inclination, and center. The standard deviation of the mean of all of these profiles was then taken as the error for each point. The final profiles were also binned into 6-7 radially averaged points (with the radial extent of the region we averaged over approximately proportional to the radius) in order to increase the S/N and to establish a smooth profile more representative of what we actually know about the galaxy and less subject to the effect of small fluctuations.

The small field of view, lack of true sky, and problems with the detectors for the AO images caused some additional difficulties. One issue was that the absolute level of the sky background in the AO images was a significant source of uncertainty. In order to put some constraint on this value for each image, we calculated the flux of each object in a $`3\mathrm{}`$ diameter aperture in both the pre-AO, NIRC image and the AO image. We then adjusted the background level of the AO image so that the magnitudes of the object in the two observations were the same. If the NIRC data was taken under non-photometric conditions or there was no NIRC data in the same band, the background level of the AO image was estimated. However, this led to much higher errors for the AO photometry.

Another issue is that the AO galaxy profiles only had reasonable S/N out to $`1\mathrm{}2\mathrm{}`$ radius. The result is that the characteristics of the outer portions of the galaxies’ disks are poorly constrained by the AO images and the disk sizes are degenerate with the background offsets. In order to better characterize the outer regions of the disks, we fit models to both the AO images and the NIRC images of the same galaxies.

Model galaxies were created by making 2-dimensional, exponential disks and bulges, convolving each one with the PSF, adding together a disk and a bulge with a given flux ratio, and taking the azimuthal average of the resulting image. The best fitting model for each data set was found by minimizing $`\chi ^2`$ between the disk/bulge combinations and the data. For each set of model parameters, the $`\chi ^2`$ values for the two data sets were then added together to form a combined $`\chi ^2`$. As expected, the NIRC images don’t provide much of a constraint on the bulge characteristics (especially their sizes) since the bulges are unresolved in these images. However, they do help constrain the disk characteristics in ways that the AO images can’t (see Figure 1). The final model for each galaxy was taken as the model with the lowest combined $`\chi ^2`$ value. One-sigma errors were found for each parameter by accepting models that produce a given range of $`\chi ^2`$ values ($`\chi _{min}^2`$+7.04 for six parameters).

### 3.1 Models and Tests

Various tests were conducted in order to confirm that our analysis methods were functioning correctly. We subtracted 2-D versions of the best-fit model from each galaxy image in order to examine the residual flux (see Figure 2). For the five galaxies for which we have tightly constrained fits, the residuals of the AO images contained less than 10% of the flux of the galaxy within a $`3\mathrm{}`$ aperture. The five with less well constrained fits still leave less than 30% residual flux in the AO images. These residuals are caused by a variety of effects. For the brighter galaxies with better constrained models, the primary cause is probably mismatches between the PSF in the galaxy image and the PSF used in the analysis. Another cause of residual flux is asymmetric structures or structures besides simple disks and bulges in the galaxies themselves. For the fainter galaxies with less well constrained models, large-scale noise fluctuations in the field are more likely to provide the dominant contribution to the residual flux. Several of the AO images of these galaxies have S/N as low as 3, which means that the 30% residuals could be simply due to noise in the images.

A small Monte-Carlo test was conducted to assess the effectiveness of the analysis routine in extracting the correct parameters. We randomly selected galaxy characteristics from a sample of local galaxies (DJ96) and model galaxies were constructed using exponential disks and bulges with these parameters and random position angles (PAs) and inclinations for the disks. A small random sky level offset was included and the center of each galaxy was shifted randomly by a few pixels. Each model galaxy was then convolved with an AO and a NIRC PSF and residual images from our data were added to each to create appropriate noise and sky irregularities. Each model galaxy was then analyzed in the same way as our real galaxy images. Because so much of the analysis routine is done by hand, especially in finding the PA and inclination of the disk, only four model galaxies were fully analyzed. Still, this is enough to estimate the accuracy of the method. For the two models with small inclinations (a/b$`<`$1.25), we found that the routine did a good job. The derived parameters for these two objects, including the inclinations, were all within 30% of their true values and 3/4 of them were within 15%. For the other two objects, which were closer to edge on (a/b=1.3 and 2.3), the routine had less success. We underestimated the inclination for both of them (by $``$20%) and all the other derived parameters were therefore farther off from their input values (3/4 of them were more than 30% off). However, the errors appear to have a random nature; each parameter is underestimated and overestimated with about the same frequency, indicating no systematic shift in the derived parameters with respect to their real values. To use what we learned from these models about the accuracy of the analysis method, we calculated extra error terms that, when added in quadrature to the statistical 1-$`\sigma `$ errors for each parameter, accounted for the difference between the input and calculated values of that parameter. This extra error term was derived for each of the four model galaxies and the mean of the four results was then added in quadrature to the 1-$`\sigma `$ errors for the real galaxies.

We also wanted to assess the effect of PSF variation on our results and the repeatability of the derived morphological parameters. The galaxy PPM114182+6+27 (which was imaged during three different runs, under a variety of conditions) provided us with an opportunity to examine these issues. The conditions in 1999 September were highly variable with the strehl ratio of the off-axis PSF star changing from $``$9% to $``$2% over a period of 45 minutes. We used only the best-quality PSF and galaxy images in order to include the most information about the galaxy structure and to use the best matching PSF possible. This meant throwing out four of the seven images of the galaxy from this night. During the entire 2000 June run, the strehl was high ($``$10%) and stable and the conditions were photometric. We have two observations of the galaxy from this run, taken on two different nights. In 2000 August the observations were not photometric and the seeing conditions, while not offering a very high strehl, were stable. There are again two images from two different nights during this run. We analyzed all five of the images for this galaxy and found that the derived morphological parameters were consistent within the 2-$`\sigma `$ error bars for all of the observations (see Figure 3) and within the 1-$`\sigma `$ error bars for all but those in 1999 September. The June observations, which were under the best conditions, had, as predicted, the smallest error bars and the best $`\chi ^2`$ values. As expected, the most discrepant point is the bulge size derived from the September image, when the conditions were most variable. This result gives us confidence that the morphology derivations are robust and that we have correctly modeled both systematic and random errors.

### 3.2 Results and Details of Individual Objects

Models that fit the data well were found for ten of the 12 galaxies, although five of the objects had large ranges of acceptable parameters. For the five best constrained galaxy fits, the average uncertainties on the four parameters were $`30\%`$. For the other five, less well constrained, fits the average uncertainties were $`80\%150\%`$ (except PPM50296-7-23 – see below). Although these uncertainties are large in a fractional sense, they actually occupy a small fraction of the available parameter space for normal galaxies. For two objects, no acceptable fit was found (see below). Table 2 lists the best fit for each successful case and Figure 4 shows the AO image of each galaxy along with the galaxy, PSF, and model profiles.

This galaxy has a good fit to the one H-band image and there is a small range of acceptable parameter space. The two galaxies we observed in this field are $`5.1\mathrm{}`$ apart and both are at z=0.46. It seems likely that they are interacting, although no significant distortion can be seen in the current images.

This galaxy has good fits to both H-band images. There is a small range of acceptable parameter space for the 2000 June image and a larger range for the 1999 December observation. The final model was obtained from a $`\chi ^2`$ weighted average of these two results. The galaxy is at a redshift of z=0.55.

The best images of this galaxy were from two separate observations in 2000 June (see above). The $`\chi ^2`$ weighted average of the results from these two observations was therefore used as the final model, providing a good fit with well-constrained parameters. The galaxy is at a redshift of z=0.48, but this was based only on the 4000Å break, so it is less certain than the other redshifts ($`\mathrm{\Delta }z=\pm 0.05`$).

This galaxy is unique in our sample in that the AO image shows a point source $`0.6\mathrm{}`$ south of the nucleus, with an apparent H-band magnitude of 22 (see Figure 4). The knot then has an absolute H-band magnitude of -20 and may be a very luminous star-forming region. Similar “super star clusters” are seen in local galaxies, but this would be among the most extreme examples and is about 2 mag brighter than the brightest knot in the interacting galaxies NGC 6090 (Dinshaw et al., 1999). It is likely that the knot in PPM114182+6+27 is composed of many such regions or that it is a second galactic nucleus, indicating an ongoing merger. It could also simply be a companion galaxy seen in projection against the disk, although the projected separation is very small for this to be the case.

The probability of the knot being a faint Galactic star seen in projection against the disk is quite small. There is $``$1% probability of a star of comparable magnitude being found within a 1$`\mathrm{}`$ radius of this galaxy (Cohen, 1994). This means that the chances of finding a star aligned with any galaxy in our sample is $``$12%.

There is a good, well-constrained fit to one of the H-band images of this galaxy (from 1999 September), but the fit to the other image (from 1999 December) is of lower quality (higher $`\chi ^2`$ and bigger errors) due to a much shorter exposure time. Therefore only the 1999 September result was used. This galaxy is at a redshift of z=0.70.

There is a good fit to the one H-band image of this galaxy, with a small range of acceptable parameter space. It was not observed with LRIS.

This is the only galaxy in our sample with a strong bar and we therefore could not analyze in the usual way. Instead, we took the azimuthal average in two 120$`\mathrm{°}`$ sections perpendicular to the bar. The disk was assumed to be face-on (i.e. no further correction for this was added) and the rest of the analysis proceeded in the normal way. The analysis resulted in a good fit with reasonable error bars on the parameters (average of 31%), however some of the light from the bar is certain to be contaminating the fit. For this reason the results are not considered to be of the best quality. This galaxy was not observed with LRIS.

There is a good fit to the only image of this galaxy, which is in the K$`\mathrm{}`$ band. There is, however, a large range of acceptable parameter space – both disk parameters are only upper limits. The two galaxies we observed in this field are $`5.1\mathrm{}`$ apart and both are at z=0.46. It seems likely that they are interacting, although no significant distortion can be seen in the current images.

This galaxy has a good fit to the one H-band image, although there is a fairly large range of acceptable parameter space. The galaxy is at a redshift of z=0.60.

This galaxy has a good fit to the one H-band image, but there are rather poor constraints on the parameters and the AO and NIRC models disagree by a larger than average amount ($``$60%). The galaxy was not observed with LRIS.

There is a good fit to the one H-band image of this galaxy. However, there is a very large range of acceptable parameter space. Both disk parameters and the bulge peak surface brightness have only upper limits and the bulge size is not constrained at all. It is the faintest galaxy in the sample at K=18.4 mag. Continuum light was detected in the LRIS spectrum of this source, but no features were seen that could be used to derive a redshift.

Because of the very short exposure time, the one AO image of this galaxy only had enough S/N to create a profile out to $`0.5\mathrm{}`$ radius, instead of the $`12\mathrm{}`$ radius typical for the AO images. Because of this, the AO profile could not be used to establish the photometry in place of the non-photometric NIRC image, nor was it useful in constraining the morphology of the galaxy. This galaxy was not included in our sample for the following evolutionary analysis. Since its exclusion is primarily based on the short exposure time, we do not consider this a significant bias to the sample. This galaxy was not detected in an LRIS spectrum.

This galaxy proved impossible to analyze successfully because a diffraction spike from the guide star passed very close to the galaxy in every image. This makes it impossible to get an uncontaminated profile of the galaxy, especially since the relative placement of galaxy and spike shifts with each image. At a separation of only $`7\mathrm{}`$, this galaxy is the closest to its guide star in the sample. It was not included in the following evolutionary analysis, but this should not bias the results. This galaxy was not observed with LRIS.

## 4 Comparing Local and Distant Galaxy Properties

The ten galaxies for which we have derived morphological parameters (all but PPM102164+9+23 and PPM115546-4+6) represent a flux limited sample with K$`<`$18.5 mag within a $`3\mathrm{}`$ aperture. We next want to compare these properties to the same values for local galaxies. We accomplish this by creating a local comparison sample based on DJ96’s observations of 86 local disk galaxies. The morphological parameters of the galaxies in this sample were measured across a wide range of wavelengths using several different techniques – including fitting exponential disks and bulges to 1-D profiles in the H and K bands. DJ96 also provided an analysis of the selection effects present in their sample and an estimate of the volume-limited, bivariate, K-band distribution function of local disk properties. The main difficulty in using the DJ96 sample is that it contains primarily Sb- to Sd-type galaxies. Our galaxies are not inconsistent with this range of Hubble types, but we cannot properly determine type and there may be early-type disk galaxies in our sample. As discussed in §5, we don’t believe this has a significant effect on IR surface brightness.

Starting with the volume-limited distribution function provided by DJ96, we used Monte-Carlo techniques to create a large, random sample of galaxy disks. We then found the highest redshift for each galaxy that would allow it to be included in our data set (based on our selection criterion of K$`<`$18.5 mag within a $`3\mathrm{}`$ aperture and taking into account the K-band K correction versus redshift; Mannucci et al. 2001) and calculated a probability for each galaxy that is proportional to the comoving volume out to this limiting redshift. This probability was used to create a smaller, selected sample which represents our data set if there is no evolution present. The rest-frame properties of these objects were then adjusted from K-band to H-band surface brightness using H-K=0.24 (Mannucci et al., 2001) in order to directly compare them to our H-band AO data. Figure 5 shows the disk properties of this Monte-Carlo, no-evolution, H-band sample compared to these same properties for our sample.

The figure suggests that there is evolution between the two samples, in the sense that a larger fraction of our population than of the Monte-Carlo sample is at high surface brightness ($`<`$16.5 mag arcsec-1). To formally compare the two and quantify this evolution, we used the 2-D Komolgorov-Smirnov test (K-S; Press et al., 1996) which measures the probability of two samples being drawn from the same parent population. We used Monte-Carlo techniques, taking into account the error bars on our data, to derive a probability distribution function for the K-S value that is specific to our data set. Based on this distribution function and the K-S value between our measured data and the no-evolution sample, we found that there is $`<`$10% chance of getting our data if there is no evolution in the galaxy population.

To test what type of evolution is most consistent with the two measured populations, we shifted the size and peak surface brightness of all the galaxies in the Monte-Carlo sample created from DJ96’s distribution function. We then reapplied our selection effects to create several random samples with varying amounts of evolution and used the K-S test to compare each one to our data. This is a very simple model of galaxy evolution in that all galaxies change by the same amount, however it does provide a way to measure the shift in the average properties between the two populations. As Figure 6 shows, the best match occurs if galaxy disks at moderate redshifts were $``$0.6 mag arcsec-2 brighter than and about the same size as local disks. This amount of disk evolution is consistent with our data at the 75% level. The no-evolution case is in the middle-left edge of the plot and is strongly ruled out. There is some degeneracy seen in this plot due to the weak correlation of size with surface brightness in the galaxy population. The result is that we are more sensitive to evolution that changes the average luminosity of the galaxies than to evolution along lines of constant luminosity. If we accept all models that match our data with at least a 65% probability, we conclude that the disks of galaxies to z$``$0.5 have evolved by $`0.6_{0.1}^{+0.3}`$ mag arcsec-2 in surface brightness and by a factor of 0.8 to 1.05 in size.

We now turn to a key advantage of these AO images over previous galaxy surveys – the fact that all of the high-redshift bulges in our sample are resolved. However, comparing these bulges to those nearby is not straightforward. Since the disks are the primary drivers of the selection effects that define both distant and local samples, removing these effects from the bulge statistics is difficult. As a first attempt, we chose actual galaxies out of DJ96’s sample whose H-band disk properties are consistent with galaxies in the selected, no-evolution disk sample. We then compared the bulge properties of these galaxies to the bulge properties of our sample. In Figure 7, both disk and bulge properties of this sub-sample of DJ’s data and our objects are plotted. The amount of bulge surface-brightness evolution appears to be slightly less than that measured for the disks. There are some bulges whose surface brightness is higher than that of most local galaxies, but this is a smaller fraction than for the disks. The sizes of the bulges are within $``$5% of local sizes and therefore also show little evolution. It is important to remember, however, that this might be a biased comparison. In order to quantify these conclusions and put limits on the amount of bulge evolution consistent with our data, we need to do a full, four-parameter analysis of all the selection effects, which would require a larger sample size.

## 5 Implications for Galaxy Evolution

We have measured 0.6 mag arcsec-2 of surface brightness evolution through the use of IR, AO observations of galaxies at z$``$0.5. This result is consistent with previous B-band results, mostly from HST studies (e.g. Schade et al., 1996; Roche et al., 1998; Lilly et al., 1998; Vogt, 1999; Simard et al., 1999) although there has been controversy over whether the evolution seen in these studies is real or due to selection effects. We believe that we understand our selection effects and that any influence they had on the samples were removed. By matching the selection effects of the two samples and creating a Monte-Carlo, no-evolution sample we can directly measure what the local population looks like when subjected to our selection criterion, including removing any low-surface brightness galaxies we would have missed. Even with this taken into account, there is a shift in the average surface brightness of the disk population. We therefore believe that this evolution is real.

One caveat to this conclusion is that DJ96’s sample included only late-type spiral galaxies. Since our sample was not selected according to Hubble type, we presumably include disk galaxies of all types. This difference could lead to a bias in the comparison if the disk surface brightness of the S0 and Sa galaxies, that we include but DJ96 don’t, is much higher than for the later types. Local samples, however, show that this is not the case; there is very little change in the K-band, mean disk surface brightness between early- and late-type spirals (Graham, 2001).

Our results are also generally consistent with the models constructed by Bouwens & Silk (2002). They explore two types of models and compare their predictions to the previous, B-band observations of disk surface brightness evolution. The hierarchical models scale the galaxy disk properties with the properties of the dark matter halos in which they form. The infall models concentrate on the conversion of gas into stars, as constrained by observations of the Milky Way and other nearby galaxies. The star formation rate is taken to fall off with galactic radius and the luminosity of the galaxy at each radius is calculated versus time from spectral synthesis codes. Their models predict $``$1.5 mag of B-band surface brightness evolution to z$``$1, which they find is consistent with the level of evolution observed. However, the models all give about the same predictions for the surface brightness and size evolution, so it was not possible for them to distinguish between the various models.

The fact that our measurement of disk surface-brightness evolution was made in the IR which samples rest-frame optical light at high redshift, rather than in the optical which samples rest-frame UV at high redshift, significantly reduces the uncertainties in both the photometric and morphological K corrections. This data is less subject to the effects of a recent burst of star formation and the measured shift more likely represents a change in the underlying stellar population. Although Bouwens & Silk (2002) don’t make any predictions of galaxy evolution when observed in the IR, the level of evolution we see is generally consistent with the previous data and with these models. Pozzetti, Bruzual, & Zamorani (1996) constructed a simpler, pure luminosity evolution model from which they do make predictions in the IR. Their K-band predictions, for an $`\mathrm{\Omega }`$=0 universe, range from 0.4 mag of brightening to z=0.5 for a single-burst population to 0.3 mag of fading to z=0.5 for a constant star-formation model. The level of brightening we observe would clearly require some amount of bursting star formation under this model. Recent stellar-population models, specifically designed for intermediate-age populations and accounting in a self-consistent manner for AGB stars, have suggested that these stars could lead to 0.3-0.5 mag of brightening in the K band for populations 0.5-5 Gyr old, relative to models where these stars are neglected (Mouhcine & Lançon, 2002a, b). This could reconcile the Pozzetti et al. (1996) models with our observations.

Even if the average properties of the high-redshift sample can’t constrain specific models of galaxy formation, it is clear that there is a population of galaxies at high redshift that have higher surface brightness than almost all galaxies seen locally. From our Monte-Carlo model, based on local galaxy properties, we would expect less than 20% of the disks in our sample to have a surface brightness above 16.5 mag arcsec-2, whereas we actually observe half of our objects above this limit. There is no reason why these bright disks wouldn’t be detected in the local sample since they have normal scale lengths and high surface brightness. This observation matches that made by both Vogt (1999) and Simard et al. (1999), that there is a population of high redshift galaxies with surface brightness higher than the locus of local galaxies. The most likely explanation for these objects is that they have a younger stellar population than local galaxies and therefore their surface brightness will fade with redshift and they will become the normal galaxies seen today. Simard et al. (1999) suggest two other possibilities to explain these objects: they are a type of galaxy at high redshift that doesn’t exist today or they are members of a rare population that was therefore missed in the local sample (e.g. starburst HII galaxies). While we can’t firmly rule these out until we have better statistics, the passive evolution model is definitely the simplest.

The lack of any observed, morphological evolution in the bulge population is generally consistent with the simple picture that bulges contain a uniformly old stellar population with little growth after an initial burst. This is the first time the morphologies of bulges at high redshift have been investigated, so there are no previous observations or models to compare our results to. Moreover, since the bulge evolutionary measurements we made were only qualitative, we can’t make any strong statements about their effect on the larger picture of bulge evolution.

The data presented here are just the first part of a larger sample of resolved, IR observations of distant galaxies. Future samples will greatly increase the number of objects included and the quality of the data. These observations should provide stronger constraints on the amount of galaxy evolution taking place. Future models will hopefully be more detailed and make specific predictions tailored to these measurements. This combination should be a powerful tool in determining how galaxies form and evolve.

We thank the Keck staff for creating the Keck AO facilities, without which the observations reported here could not have been performed. We thank Dr. Ian McLean and the NIRSPEC team for a great instrument and early collaborations on this research. We also thank Dr. Robert Cousins for useful discussions. This work has been supported in part or full by the National Science Foundation Science and Technology Center for Adaptive Optics, managed by the University of California at Santa Cruz under cooperative agreement No. AST-9876783. Dr. James Larkin would also like to acknowledge the Alfred P. Sloan foundation for their support through the faculty fellowship program. Data presented herein were obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California, and the National Aeronautics and Space Administration. The Observatory was made possible by the generous financial support of the W.M. Keck Foundation. The authors wish to extend special thanks to those of Hawaiian ancestry on whose sacred mountain we are privileged to be guests. Without their generous hospitality, none of the observations presented herein would have been possible.


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# 1 Typical gluon behavior with Langevin steps. We find that fluctuations of 𝐺_{𝑥𝑥}(12) are much larger than those of 𝐺_{𝑥𝑥}(6). In order to investigate the screening effect, long-range contribution should be adopted. Consequently we need a large number of statistics.

Screening of hot gluon
$``$ Lattice study of gluon screening masses $``$

A. Nakamura, I. Pushkinaa, T. Saito and S. Sakaib

Research Institute for Information Science and Education, Hiroshima University, Higashi-Hiroshima 739-8521, Japan

aSchool of Biosphere Sciences, Hiroshima University, Higashi-Hiroshima 739-8521, Japan

bFaculty of Education, Yamagata University, Yamagata 990-8560, Japan

## Abstract

We calculate electric and magnetic masses of gluons between $`T=T_c`$ and $`6T_c`$ using lattice QCD (quantum chromodynamics) in the quench approximation for color $`SU(3)`$. We find that magnetic mass has finite values in this region, and the temperature dependence of the electric mass is consistent with that determined using the hard-thermal-loop perturbation. The hard-thermal-loop resummation improves significantly the magnitude of the electric mass comparing to the leading order perturbation. Both screening masses have little gauge parameter dependence.

We are expecting relativistic heavy-ion collisions to soon yield evidence of a quark-gluon plasma (QGP), by creating sufficiently high temperature to bring the system into the deconfining phase. This new form of matter is a prediction of QCD and will be studied for the first time in the laboratory. One of the most urgent theoretical tasks is to investigate the characteristics of gluons, the component of QGP that controls the force, at a finite temperature based on QCD. If we can calculate these features in a reliable manner, phenomenological observations, such as the jet quenching, may be analysed based on these knowledges.

There has been essential progress in the perturbative method of treating hot QCD. Using the hard-thermal-loop resummation technique, we can now handle plasma effects of gauge theories. The correct magnitude of the free energy from lattice QCD was reproduced by such a calculation.

Fundamental quantities of the hot gluon plasma have been studied perturbatively. Electric mass is given by the lowest perturbative calculation as

$$m_{e,0}=\sqrt{\frac{N_c}{3}}gT.$$
(1)
Magnetic mass, $`m_m`$, is, however, beyond the scope of the perturbative treatment. It vanishes in the lowest perturbation, but if indeed $`m_m=0`$, the gluons are essentially unscreened, even if the electric mass is finite. Also, zero magnetic mass causes serious infrared divergence and makes consistent theoretical treatment very difficult (see Chap.10.2 of Ref.).

The maximum temperature accessible at RHIC or LHC is of the order of $`1\text{GeV}`$ or $`5T_c`$ which is far below the regions where the perturbative calculation can be safely applied. Therefore nonperturbative analysis is highly desirable in order to gain a quantitative understanding of the properties of QGP. Since the pioneering work for temperature dependencies of screening masses by Heller, Karsch and Rank for SU(2) color QCD, there have been several activities, but no $`SU(3)`$ lattice simulations of finite temperature gluon propagators in the literature. Indeed, calculations of gauge-dependent observables are very time-consuming and often unstable.

In this letter, we report the electric and magnetic screening masses of gluons at finite temperature measured in lattice simulations based on the SU(3) gauge theory, i.e., QCD in the quench approximation. We calculate gluon propagators; which allows direct comparison with perturbative calculations.

We calculate gluon correlation functions with finite momentum,

$$G_{\mu \nu }(P_t,P_x,P_y,z)=\text{Tr}A_\mu (P_x,P_y,P_t,z)A_\nu (P_x,P_y,P_t,0),$$
(2)
where gauge potentials $`A_\mu `$’s are evaluated from the link variables $`U_\mu (x)`$ SU(3) as $`A_\mu (x)=(U_\mu (x)U_\mu ^{}(x))/2gi`$. The calculation of propagators with finite momenta enables us to construct transverse and longitudinal components without ambiguity; we define electric and magnetic parts of the gluon propagators as

$$\begin{array}{ccc}G_e(P,z)\hfill & =\hfill & \frac{Z}{2}\left[G_{tt}(\frac{2\pi }{N_x},0,0,z)+G_{tt}(0,\frac{2\pi }{N_y},0,z)\right],\hfill \\ G_m(P,z)\hfill & =\hfill & \frac{Z}{2}\left[G_{xx}(0,\frac{2\pi }{N_y},0,z)+G_{yy}(\frac{2\pi }{N_x},0,0,z)\right],\hfill \end{array}$$
(3)
which correspond to standard projected propagators in perturbative calculations. Here $`P_\mu `$’s are lattice momenta, and the size of the lattice is given by $`N_xN_yN_zN_t`$. At a sufficiently large distance, they are expected to behave as

$$G_{e(m)}(z)e^{E_{e(m)}z}.$$
(4)
In order to quantize the theory and to extract gauge-dependent observables, we employ stochastic quantization $`\stackrel{`}{\text{a}}`$ la Zwanziger,

$$\frac{dA_\mu ^a}{d\tau }=\frac{\delta S}{\delta A_\mu ^a}+\frac{1}{\alpha }D_\mu (A)^{ab}_\nu A_\nu ^b+\eta _\mu ^a,$$
(5)
where $`\tau `$ is the Langevin time, the second term of the r.h.s. is the gauge fixing term, and $`\eta `$ represents Gaussian random noise. The gauge parameter is given by $`\alpha `$, and $`\alpha =0`$ corresponds to the Lorentz gauge. The lattice version of the algorithm was proposed in Ref. as

$$U_\mu (x,\tau +\mathrm{\Delta }\tau )=\omega ^{}(x,\tau )e^{if_\mu ^at^a}U_\mu (x,\tau )\omega (x+\widehat{\mu },\tau ),$$
(6)
Here, $`\omega `$ means a gauge rotation matrix and $`f`$ a driving force.

$$f_\mu ^a=\frac{S}{A_\mu ^a}\mathrm{\Delta }\tau +\eta ^a\sqrt{\mathrm{\Delta }\tau },\omega =e^{i\beta \mathrm{\Delta }^a\tau ^a\mathrm{\Delta }\tau /\alpha }.$$
(7)
The gauge rotation step and Langevin step are executed alternately.

There are two reasons for using the stochastic gauge fixing method here: one is practical and the other is conceptual. Contrary to the standard Wilson-Mandula gauge fixing method, where an iterative procedure is applied and the number of iterations is unpredictable for large lattices, in algorithm (6), we repeat the steps of update and gauge rotation one after the other. There is no convergence problem of gauge fixing. Therefore we can precisely estimate CPU time. Moreover, this algorithm, which may change the gauge parameter $`\alpha `$, has an advantage in testing gauge independence. A conceptual problem is the Gribov ambiguity appearing in non-Abelian gauge theories. Although our algorithm may not eliminate copies completely, Zwanziger’s stochastic gauge fixing algorithm maintains the gauge system inside the Gribov region if we start from the trivial configuration $`\{A_\mu =0\}`$.

We perform simulations on an $`N_xN_yN_zN_t=20\times 20\times 32\times 6`$ lattice with the standard Wilson gauge action. The physical temperature is tuned by changing the lattice cut-off scale 1/$`a`$\[GeV\], i.e., gauge coupling. The relation between gauge coupling and the lattice scale is estimated using the data in Ref., which covers the range from $`\beta =6/g^2=6`$ to $`7.1`$. The confinement/deconfinement transition temperature is set to be 256 MeV. Then we study the regions of $`T/T_c=16`$. The Runge-Kutta algorithm is applied to reduce the finite Langevin step $`\mathrm{\Delta }\tau `$ dependence. We perform the simulation for a set of parameters with $`\mathrm{\Delta }\tau =0.030.05`$ and extrapolate all results linearly to $`\mathrm{\Delta }\tau =0`$. The gauge parameter $`\alpha `$ is fixed to be one, except in the gauge dependence test.

We observe a large fluctuation of gauge propagators, particularly at large distances. We show in Fig.1 a typical behavior of gluon propagators $`G(z)`$ as a function of the Langevin step. In order to estimate the necessary number of Langevin update steps, we wait until $`<G_{xx}(z)>`$ and $`<G_{yy}(z)>`$ calculated in Eq.3 becomes equal to each other. A typical number of simulations is $`0.20.4`$ million steps.

The dynamics of a gluon propagator is completely different in confinement and deconfinement regions. In Fig.2, the gluon behavior is massive and we see that as distance $`z`$ increases, the mass of the propagator in confinement regions seems to become infinite; the gluon is completely screened in the confinement phase. Consequently, we cannot employ the assumption, Eq.(4). On the contrary, the propagator decreases exponentially at a long distance with a finite damping rate in the deconfinement region.

To extract screening masses from the propagators we use the following fitting functions under the lattice periodic condition:

$$G_{e(m)}\mathrm{cosh}(E_{e(m)}(p)(zN_z/2)).$$
(8)
We employ values for $`z>1/T(=N_ta)`$, because a screening effect occurs in a sufficiently long range. Then, we obtain static mass from $`E(p)`$.

To get the final result at $`\mathrm{\Delta }\tau =0`$, we must extrapolate with respect to Langevin step width. Fig.3 represents $`E(p)`$ measured here versus $`\mathrm{\Delta }\tau `$. The slight dependences of $`\mathrm{\Delta }\tau `$ cause us to use a linear function when fitting data.

Screening masses are physical and expected to be gauge independent. However, since the definition of the gluon propagator, Eq.(2) itself, is generally gauge dependent, it is nontrivial whether the screening masses are gauge invariant or not. In addition, since we fail to define the magnetic mass by a perturbative analysis, it is particularly important to check its gauge invariance. In Fig.4, we show the gauge parameter $`\alpha `$ dependence of electric and magnetic masses. The result strongly suggests that they are gauge independent and physical observables.

We study the temperature dependence of screening masses at $`T/T_c=16`$ which would be expected to be realized in high-energy heavy ion collision experiments such as RHIC or LHC. Fig.3 shows the behavior of electric and magnetic masses as a function of temperature. The magnetic part definitely has nonzero mass in this temperature region. As $`T`$ increases, both masses decrease monotonically, and at almost all temperatures, magnetic mass is less than electric mass, except very near $`T_c`$ where the electric mass decreases very quickly as $`T`$ approaches $`T_c`$.

We fit the data above $`T1.5T_c`$ by

$$\begin{array}{cc}\frac{m_e}{T}\hfill & =C_eg(T),\hfill \\ \frac{m_m}{T}\hfill & =C_mg^2(T),\hfill \end{array}$$
(9)
which are predicted through the perturbative and 3-D reduction analysis. Here, we use running couplings as

$$g^2(\mu )=\frac{1}{2b_0\mathrm{log}(\mu /\mathrm{\Lambda })}\left(1\frac{b_1}{2b_0}\frac{\mathrm{log}(2\mathrm{log}\mu /\mathrm{\Lambda })}{\mathrm{log}(\mu /\mathrm{\Lambda })}\right),$$
(10)
and we set $`\mu =2\pi T`$ which is a Matsubara frequency, as the renormalization point and $`\mathrm{\Lambda }=1.03T_c`$ as the QCD mass scale. $`b_0=11N_c/48\pi ^2`$ and $`b_1=(34/3)(N_c/(16\pi ^2))^2`$ are the first two universal coefficients of the renormalization group. We obtain $`C_e=1.63(3)`$, $`\chi ^2/\text{NDF}=0.715`$ and $`C_m=0.482(31)`$, $`\chi ^2/\text{NDF}=0.979`$. The scaling expected in Eq.(9) works well for the electric mass although the magnitude $`C_e`$ is larger than the leading order perturbation Eq.(1).

The hard-thermal-loop resummation technique applying the free energy of hot gluon plasma has been successful, i.e., it gives the correct sign and roughly the correct magnitude for $`T>2T_c`$. Rebhan gave a formula for the electric mass in the one-loop resummed perturbation theory,

$$m_e^2=m_{e,0}^2\left[1+\frac{3g}{2\pi }\frac{m_e}{m_{e,0}}\left(\mathrm{log}\frac{2m_e}{m_m}\frac{1}{2}\right)+O(g^2)\right]$$
(11)
Here, we assume the magnetic mass to be of the order of $`g^2`$. Substituting our fitted value for $`m_m`$, we can solve the above equation iteratively. In Fig.3, we show this hard-thermal-loop resummation result together with the lowest order calculation. The hard-thermal-loop result gives a better description than naive perturbation, upon comparing our numerical experiment.

In Ref., the magnetic mass was estimated as $`m_g=2.38N_cg^2T/4\pi =0.568g^2T`$ using a self-consistent inclusion technique. This is very close to our fitted result $`C_m=0.515(35)`$.

The electric mass was obtained also from Polyakov line correlation functions at finite temperature  and those contradict our results. 3-D reduction argument has shown that $`m_e/gT`$ goes down when $`T`$ increases, but even at $`T1000\mathrm{\Lambda }_{\overline{MS}}`$ the electric mass is still about $`3m_{e,0}`$.

In conclusion, we have measured gluon propagators and obtained the electric and magnetic masses by lattice QCD simulations in the quench approximation for SU(3) between $`T=T_c`$ and $`6T_c`$. Features of QGP in this temperature region will be extensively studied theoretically and experimentally in near future. We observed that the magnetic mass does not vanish there; To our knowledge, this is the first reliable measurement in SU(3). It can be approximately fitted by $`C_mg^2T`$, and that the electric mass is consistent with the hard-thermal-loop resummation calculation. We also confirmed that both electric and magnetic masses are gauge independent. The calculational technique presented here can be applied to the study of quark screening effects at finite temperature.

We would like to thank A. Ni$`\stackrel{´}{\text{e}}`$gawa, S. Muroya and T. Inagaki for many helpful discussions. Numerical calculations were carried out on SX5 at RCNP, Osaka Univ., VPP5000 at SIPC, Tsukuba Univ. and HPC computer at INSAM, Hiroshima Univ.. This work is supported by Grants-in-Aid for Scientific Research from Ministry of Education, Culture, Sports, Science and Technology, Japan (No.11694085, No.11740159, and No. 12554008).


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# Phonon Cavity Models for Quantum Dot Based Qubits

## 1 Introduction

Coupled quantum dots exhibit a variety of quantum coherent phenomena  that are expected to be crucial for controlling quantum superpositions and entanglement. In a semiconductor environment, these effects depend very sensitively on dephasing by environmental bosonic degrees of freedom . The importance of electron-phonon coupling for transport spectroscopy in double quantum dots is well-established by now , and suggestions have been made  to explore ‘semiconductor phonon cavity QED’ in nanostructures where phonons and thereby electron-phonon interactions become experimentally controllable.

In phonon cavities, sample geometry becomes an important parameter since it determines boundary conditions for vibration modes, very often in a highly non-trivial way  and different from standard semiconductor cavity QED . The control of mechanical properties, shape and boundary conditions opens the possibility to artificially tune the phonon spectrum of a sample. In particular, the interaction with phonons of a given energy can be suppressed which turns out to be important for certain realizations of quantum dot based qubits operations .

In this paper, we investigate two different ways of modifying the phonon modes of nanostructures based on ideas by Kouwenhoven and van der Wiel . We discuss the electronic current through two coupled quantum dots embedded into phonon cavities. Double dots act as emitters of phonons  and can be used as a measurement device for phonon modes , where the modifications in the phonon spectrum can be detected in the inelastic current.

In the first model, a double dot is placed between two arms of a surface acoustic wave (SAW) inter-digitated transducer, the latter changing the electric boundary conditions for piezo-electric SAWs in an infinite half-space. We find that this system forms a resonator for surface waves leading to a gap in the phonon spectral density, which should be clearly observable in the current through a double quantum dot.

Our second model is an idealized version of a free-standing slab (thin plate model), where some confined phonon modes evolve van Hove singularities while others do not develop any electron-phonon interaction potential . In a non-perturbative calculation, we find that a van Hove singularity leads to additional side peaks in the current.

An important prediction of both models is the possibility to completely suppress phonon induced dephasing at phonon frequencies corresponding to certain (tunable) energy differences between the dots.

## 2 Surface Acoustic Wave Cavity

We consider the surface of a semiconductor heterostructure on which thin metallic stripes are attached with a constant spacing $`l_0`$ between each other. In an ideal case both the number of stripes and their length is assumed to be infinite. Similar structures are used to generate surface waves by applying an oscillating voltage at resonance frequency between adjacent stripes. In this work, no voltage between the stripes is taken into account. Two coupled quantum dots are located a small distance $`z_0`$ beneath the surface at the interface of the heterostructure. Leads are attached to the quantum dots in order to enable transport experiments. In principle, all kinds of geometries are feasible as the positions of the quantum dots as well as the directions of the crystal axes relative to the stripes can be chosen at will. However, we restrict our calculation to one certain geometry where the dots are located symmetrically on both sides of one stripe exactly in the middle between two stripes as depicted in Fig. 1. The angle between the stripes and the crystal axes is chosen to be 45 degrees. The generalization to most other geometries follows directly from that case.

### 2.1 Influence on Surface Waves

Surface acoustic waves propagate along the surface of a medium while their typical penetration depth into the medium is of the order of one wavelength. The prediction of their existence dates back to the nineteenth century and nowadays SAW are used in a wide range of experiments . In piezoelectric media like GaAs the displacement field of the wave generates an electric potential that dominates the interaction with electrons. Interaction via the deformation potential is also present but some orders of magnitude smaller and is neglected in the following. As the piezoelectric potential of the wave has to meet the electric boundary conditions at the interface between the medium and the air, the electron-phonon interaction strongly depends on the electric properties of the surface.

In our model any mechanical influence of the metallic stripes on the elastic properties of the medium is neglected. Instead, we expect an additional boundary condition due to the metallic stripes, as they are all connected to each other and form an equipotential line on the surface,

$$\phi (x=nl_0,y)=\text{const.},n.$$
(1)
The $`x`$ and $`y`$ coordinates are chosen such that the stripes are parallel to the $`y`$-axis and located at positions $`x=nl_0`$ while the width of the stripes is neglected. We assume that all surface modes, whose piezoelectric potential does not fulfill the boundary condition (1) are suppressed and consequently need not to be considered any further. Thus, the remaining task is to find all surface waves compatible with (1).

Without additional boundary conditions as (1), surface waves propagate as plane waves with wave vector $`𝐪=(q_x,q_y)`$ along the surface. As the wave equation for the displacement field is linear, any linear combination of plane surface waves again gives a solution of the wave equation. Hence, we consider the antisymmetric combination $`𝐰_𝐪`$ of surface plane waves with wave vectors $`(q_x,q_y)`$ and $`(q_x,q_y)`$ whose displacement field is given by

$$𝐰_𝐪(𝐫,t)=Ce^{i(q_yy\omega t)}\left(\begin{array}{c}a(q,z)\mathrm{cos}(\alpha )\mathrm{cos}(q_xx)\\ ia(q,z)\mathrm{sin}(\alpha )\mathrm{sin}(q_xx)\\ b(q,z)\mathrm{sin}(q_xx)\end{array}\right).$$
(2)
In an isotropic model of the crystal, the functions $`a(q,z)`$ and $`b(q,z)`$ describe the decay of the SAW amplitude in the depth $`z`$ of the medium and $`\alpha `$ is the angle between the $`x`$-axis and the wave vector $`𝐪`$. This combination corresponds to a standing wave in $`x`$-direction and a plane wave in $`y`$-direction. For the piezoelectric potential created by this mode we find

$$\phi (𝐫,t)=C\frac{e_{14}}{\epsilon _0\epsilon }(\mathrm{cos}^2(\alpha )\mathrm{sin}^2(\alpha ))f(qz)\mathrm{sin}(q_xx)e^{i(q_yy\omega t)},$$
(3)
with $`e_{14}`$ the piezoelectric stress constant, $`\epsilon _0`$ the dielectric constant, $`\epsilon `$ the relative permitivity of the medium. The function $`f(qz)`$ describes the decay in $`z`$-direction  and follows from the boundary condition for the electric field on the surface. Here, we assume a free surface, i.e. a non-conducting surface, apart from condition (1). Due to the special form of the mode $`𝐰_𝐪`$ as a standing wave in $`x`$-direction, the corresponding piezoelectric potential (3) vanishes at the lines $`x=m\pi /q_x`$. Thus, the additional boundary condition (1) is met by the modes $`𝐰_𝐪`$ if and only if

$$q_x=m\frac{\pi }{l_0},m.$$
(4)
Apart from the plane surface waves with $`q_x=m2\pi /l_0`$ and $`q_y=0`$, no other modes are compatible with condition (1).

### 2.2 Electron-SAW Interaction

We consider interactions between electrons and surface waves due to the piezoelectric potential (3). For the calculation of the inelastic current between two quantum dots, it is necessary to find the quantized form of the surface modes $`𝐰_𝐪`$ and the corresponding piezoelectric potential. This can be achieved by calculating the Lagrange function for these modes in a quantization volume of area $`LL`$ and infinite depth. Displacement and momentum can be replaced by operators obeying the canonical commutation relations. Finally the Hamiltonian of the surface waves can be written as a sum of harmonic oscillators, i.e. surface phonons. This specifies the normalization constant $`C`$ in (2) and (3) as

$$C=\frac{1}{L}\sqrt{\frac{\mathrm{}}{\rho \lambda v}},$$
(5)
where $`\rho `$ is the density of the medium, $`\lambda `$ a material parameter and $`v`$ the velocity of the SAW. Note, that $`C`$ does not depend on the wave vector $`𝐪`$ but on the quantization area $`L^2`$. Thus, the electron-phonon interaction Hamiltonian writes

$$H_{\mathrm{𝗂𝗇𝗍}}=\underset{𝐪}{}\gamma _𝐪(𝐫)\left(b_{q_x,q_y}+b_{q_x,q_y}^{}\right).$$
(6)
The boson operator $`b_𝐪^{}`$ creates a surface phonon with the displacement field $`𝐰_𝐪(𝐫,t)`$ as given in (2). The interaction coefficient $`\gamma _𝐪`$ is defined as

$$\gamma _𝐪(𝐫)=C\frac{ee_{14}}{\epsilon _0\epsilon }(\mathrm{cos}^2(\alpha )\mathrm{sin}^2(\alpha ))f(qz)\mathrm{sin}(q_xx)e^{iq_yy}.$$
(7)
### 2.3 Inelastic Current through a Double Quantum Dot

We calculate an approximation for the inelastic current through a double quantum dot for the geometry described above, when only interactions with phonons $`𝐰_𝐪`$ (2) with (4) are considered. A source-drain voltage between the leads on both sides of the double quantum dot gives a current through the double quantum dot, as electrons tunnel step by step from one lead to one dot, then to the other dot and finally to the other lead. In the Coulomb blockade regime, only one additional electron is on either of the dots at the same time. If, however, a bias voltage is applied between the two quantum dots, the mismatch of the energy levels of the additional electron in the two dots results in a suppression of the current due to energy conservation. In that case, only inelastic processes like emission or absorption of phonons allow a finite current . At zero temperature this inelastic current can be approximated by

$$I_{\mathrm{𝗂𝗇𝖾𝗅}}=2\pi T_c^2\rho (\epsilon ),$$
(8)
where $`\epsilon `$ is the energy difference of the additional electron between the two quantum dots . The tunneling rate between the dots is given by $`T_c`$ and the effective spectral density is defined as

$$\rho (\omega )=\underset{𝐪}{}\frac{|\alpha _𝐪\beta _𝐪|^2}{\mathrm{}^2\omega ^2}\delta (\omega \omega _𝐪).$$
(9)
Here, $`\alpha _𝐪`$ and $`\beta _𝐪`$ are the matrix elements of the interaction operator (6) with the electron wave function in the left or the right quantum dot, respectively. The size of the quantum dot is assumed to be negligible against the phonon wavelength and hence the electron density is approximated by a $`\delta `$ function at the center of the corresponding quantum dot. Taking into account only wave numbers with $`q_x`$ as given in (4) we find

$$|\alpha _𝐪\beta _𝐪|^2=\{\begin{array}{cc}4\gamma _𝐪^2(z_0)\hfill & m\text{ odd}\hfill \\ 0\hfill & m\text{ even}\hfill \end{array}$$
(10)
The modes with even $`m`$ do not contribute to the current because the corresponding piezoelectric potential has zeros at the positions of the quantum dots and therefore these modes do not interact with the dots.

In the thermodynamic limit of a macroscopic sample, the $`y`$-component of the SAW wavenumber becomes quasi continuous and the sum over $`q_y`$ can be replaced by an integral. Thereby the system-length $`L`$ cancels and the effective spectral density writes

$$\rho (\omega )=\frac{2}{\pi \mathrm{}\omega ^2\rho \lambda v^2}\left(\frac{ee_{14}}{\epsilon _0\epsilon }\right)^2\frac{1}{L}\underset{q_x}{}𝑑q_y\delta \left(\frac{\omega }{v}q\right)(\mathrm{cos}^2(\alpha )\mathrm{sin}^2(\alpha ))^2f^2(qz_0).$$
(11)
The same procedure does not apply for the sum over $`q_x`$ since these modes do not depend on the system-length $`L`$ but obey condition (4). Hence, the inelastic current through the double quantum dots still depends on the system-length $`L`$ and will vanish in the thermodynamic limit of $`L\mathrm{}`$. The reason is that the energy $`\mathrm{}\omega _q`$ of one phonon is distributed over the whole sample. By increasing the system-size $`L`$, the amplitude of the displacement and the piezoelectric potential, and therewith the interaction strength is decreased and finally vanishes. Normally, this effect is canceled by an increasing number of modes within each interval of energy. Here, however, the modes are independent of the system-size due to the additional boundary condition made by the stripes. Thus, the inelastic current through the double quantum dots due to emission of surface waves is completely suppressed by the metallic stripes in the ideal case.

In a real sample with disorder and impurities, the phonon is not extended over the whole sample size but concentrated on a finite area, leading to a non-vanishing inelastic current. Moreover, the suppression of phonon modes with wavenumber $`q_x`$ close to condition (4) is not perfect. These modes are damped but still interact with the quantum dots and hence ensure a finite inelastic current. The width of the interval $`\mathrm{\Delta }q_x`$ around $`q_x=m\pi /l_0`$ in which the suppression of phonon modes is not complete depends on the quality of the SAW cavity formed by the stripes on top of the sample. We include both effects in a finite system-length $`L`$ and find

$$\rho (\omega )N\omega _0=\frac{4}{\pi ^2\mathrm{}\rho \lambda v^3}\left(\frac{ee_{14}}{\epsilon _0\epsilon }\right)^2\left(\frac{\omega _0}{\omega }\right)^2f^2(\omega z_0/v)\underset{m=1,3,\mathrm{}}{\overset{m<\omega /\omega _0}{}}\left[2m^2\left(\frac{\omega _0}{\omega }\right)^21\right]^2,$$
(12)
where the system-length is given in units of the spacing of the stripes, $`L=Nl_0`$ and a typical frequency for the system is introduced, $`\omega _0=\pi v/l_0`$. This approximation for the inelastic current is shown for typical experimental values in Fig. 2.

Summarizing one can say that the metallic stripes on top of the sample form a cavity for surface acoustic waves since the additional boundary condition require a standing wave in one direction. As a consequence, the inelastic current caused by emission of surface waves differs extremely from the case without stripes . In the ideal case, the inelastic current is completely suppressed. However, taking into account a non-perfect cavity due to a finite length, a finite width, and a finite number of stripes we find a non-vanishing inelastic current as given in Eq. (12).

For energies smaller than $`\mathrm{}\omega _0`$ the lowest standing wave mode can not be excited and consequently the inelastic current exhibits a gap in that energy region. The excitation of higher modes manifests itself in a step in the inelastic current, as can be seen in Fig. 2 for $`\omega /\omega _0=1,3,5,\mathrm{}`$ . Furthermore, at $`\omega /\omega _0=\sqrt{2}`$ the inelastic current vanishes, because the SAW would be emitted along the crystal axes in this case, but there is no piezoelectric interaction in that direction. It seems promising to investigate the influence of a SAW cavity also for other geometries. If the quantum dots are realized right beneath the metallic stripes, the inelastic current will be further suppressed. Moreover, the angle between the stripes and the dots or between the stripes and the crystal axes can be changed.

## 3 Phonon Cavities

Another possibility to change the phonon spectrum of a sample is to use geometrical confinement and thereby changing the mechanical boundary conditions of the system.

Recently, considerable progress has been made in the fabrication of nano-structures (‘phonon cavities’) that are only partly suspended or even free-standing . They considerably differ in their mechanical properties from the bulk material. For example, phonon modes are split into several subbands, and quantization effects become important for the thermal conductivity .

Moreover, we have recently predicted that phonon subband quantization can also be detected in the non-linear electron current through double quantum dots embedded into nano-size semiconductor slabs acting as phonon cavities . Like in the previous section, the phonons act as a source of dissipation for the electrons by spontaneous emission even at zero temperature. These inelastic processes lead to fingerprints of the phonon density of states in the electron current (see Eqs. (8) and (9)) showing quantitatively the possibility to use double quantum dots as phonon detectors . On the other hand, double dots can be used as tunable energy selective phonon emitter  with well defined emission characteristics because the transport is mediated by spontaneous emission.

This fact together with some peculiar properties of phonons confined to nanosize planar cavities open the path to new and interesting effects. For instance, at a certain energy $`\mathrm{}\omega _0`$ the cavity phonon corresponding to the frequency $`\omega _0`$ evolves a displacement field $`𝐰(𝐫,t)`$ of the cavity that does not induce any interaction potential (piezoelectric or deformation potential) acting on the electrons . This corresponds to a complete decoupling of dot electrons and cavity phonons leading to the possibility to suppress phonon induced dephasing in double quantum dot qubits. A further peculiarity of cavity phonons is that certain subbands lead to the existence of van Hove singularities in the density of states. These correspond to minima in the dispersion at finite wavevectors with preceeding negative phonon group velocity, see Fig. 3. A van Hove singularity leads to strong inelastic transitions in the double quantum dot corresponding to a large emission rate of phonons of energy $`\mathrm{}\omega _𝗏`$.

In the following we investigate the influence of such van Hove singularities on the electron transport through coupled quantum dots in a non-perturbative way. Led by previous numerical results  we decompose the phonon spectral density (9) to find an analytical model

$$\rho (\omega )=\rho _{\mathrm{𝖮𝗁𝗆}}+\rho _0\delta (\omega \omega _𝗏)$$
(13)
consisting of a van Hove singularity at energy $`\mathrm{}\omega _𝗏`$ and a background of lower order subbands that form an ohmic bath. We follow previous calculations  using a combination of a master equation approach and a unitary transformation. Neglecting the ohmic bath, the stationary inelastic current at zero temperature can be written as

$$I_{\mathrm{𝗂𝗇𝖾𝗅}}2\pi T_c^2\underset{n}{}\gamma _n\delta (\omega n\omega _𝗏).$$
(14)
Thus, besides the main peak at $`\mathrm{}\omega _𝗏`$, the van Hove singularity leads to non-perturbative satellite peaks at harmonics of the frequency $`\omega _𝗏`$ with oscillator strength $`\gamma _n`$ similar to double dot systems under monochromatic microwave irradiation . The influence of the ohmic bath background manifests in a power law divergence  instead of the former deltalike singularities at energies $`n\mathrm{}\omega _𝗏`$.

## 4 Conclusions

Designing the geometry of nanostructures allows to create phonon cavities with tailored phonon spectra and electron-phonon interaction. The latter can be completely suppressed at certain energies (or even energy windows) which is expected to be crucial for the realization of semiconductor quantum dot based quantum information processing. We have shown that emission of surface acoustic phonons can be completely suppressed in coupled quantum dots embedded between an infinite inter-digitated transducer. Moreover, in a free-standing slab, double quantum dots can be brought into resonance with zeros of the phonon spectral density (leading to a vanishing dephasing in lowest order), or with van Hove singularities of the phonon spectrum which lead to additional side peaks in the inelastic current.

This work was supported by the EU via TMR and RTN projects FMRX-CT98-0180 and HPRN-CT2000-0144, DFG projects Kr 627/9-1, Br 1528/4-1, the UK project EPSRC R44690/01, and the UK Quantum Circuits Network. Discussions with R. H. Blick, T. Fujisawa, W. G. van der Wiel, and L. P. Kouwenhoven are gratefully acknowledged.

## References