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# On a stratification defined by real roots of polynomials

## 1 Formulation of the result

For $`n𝐍^{}`$ fixed consider the family of polynomials $`P(x,a)=x^n+a_1x^{n1}+\mathrm{}+a_n`$, $`x,a_i𝐑`$. A multiplicity vector (MV) is a vector whose components are the multiplicities of the real roots of $`P`$ (for $`a`$ fixed) listed in increasing order. E.g. for $`n=9`$ the MV $`[3,1,2,1]`$ means that for the real roots $`x_i`$ one has $`x_1=x_2=x_3<x_4<x_5=x_6<x_7`$ and there is a complex conjugate couple about whose real and imaginary part the MV gives no information.

Define the length (resp. the multiplicity surplus) of a MV $`[r_1,r_2,\mathrm{},r_q]`$ as the integer $`l=r_1+\mathrm{}+r_q`$ (resp. $`r=_{j=1}^q(r_j1)=lq`$). The number of complex conjugate couples of roots of $`P`$ (counted with the multiplicities) equals $`(nl)/2`$.

Stratify the space $`𝐑^n\{(a_1,\mathrm{},a_n)|a_i𝐑\}`$ – each MV with multiplicity surplus $`r`$ defines a stratum of codimension $`r`$.

###### Remarks 1

1) It is clear that if $`S_i`$, $`i=1,2`$, are two strata defined by the MVs $`V_i`$ and if $`S_1`$ belongs to the closure of $`S_2`$, then for the lengths $`l_i`$ of the MVs $`V_i`$ one has $`l_1l_2`$. Indeed, to pass from $`S_1`$ to $`S_2`$ one or several real roots must bifurcate. If all new roots are real, then $`l_1=l_2`$. If there is at least one complex conjugate couple, then $`l_1>l_2`$.

2) If the MVs $`V_i`$ are of the same length, then $`S_1`$ belongs to the closure of $`S_2`$ if and only if $`V_1`$ is obtained from $`V_2`$ by replacing groups of consecutive multiplicities by their sums (call this an operation of type A; it corresponds to confluence of real roots).

3) An operation of type B consists either in adding a component equal to $`2`$ at an arbitrary place of the MV (a complex conjugate couple becomes a double real root different from the other real roots of $`P`$) or in increasing of one of the components of the MV by $`2`$ (a complex conjugate couple becomes a double real root which coincides with one of the other real roots). If for the lengths $`l_i`$ of $`S_i`$ one has $`l_1=l_2+2k`$, $`k𝐍`$, then $`S_1`$ belongs to the closure of $`S_2`$ if and only if $`V_1`$ is obtained from $`V_2`$ either by an operation of type A followed by $`k`$ operations of type B or just by $`k`$ operations of type B.

4) Given a stratum $`T`$ of dimension $`d<n`$, with MV $`\stackrel{}{v}`$, one can obtain all MVs of strata of dimension $`d+1`$ adjacent to $`T`$ either by replacing some component $`m>1`$ of $`\stackrel{}{v}`$ by two consecutive components $`m^{}1,m^{\prime \prime }1`$, $`m^{}+m^{\prime \prime }=m`$ or by deleting from $`\stackrel{}{v}`$ a component equal to $`2`$ (which means that a double real root becomes a complex conjugate couple). Indeed, to pass to a stratum of next dimension adjacent to the given one a root must bifurcate into two roots. If these two roots are complex conjugate, then they cannot be multiple because the stratification does not take into account the multiplicities of the complex roots.

The first aim of the present paper is to prove the following

###### Theorem 2

A stratum of codimension $`r`$ is a smooth real contractible algebraic variety of dimension $`nr`$. It is the graph of a smooth $`r`$-dimensional vector-function defined on the projection of the stratum in $`Oa_1\mathrm{}a_{nr}`$. The field of tangent spaces to the stratum is continuously extended to the strata belonging to its closure. The extension is everywhere transversal to the space $`Oa_{nr+1}\mathrm{}a_n`$.

The theorem is proved in Section 4. It is illustrated by an example in Section 2. We discuss in Section 3 (in view of the theorem and of previous results from \[Ko1\]) the mutual disposition of adjacent strata.

###### Remarks 3

1) The theorem generalizes Theorem 1.8 from \[Ko2\]. The latter treats the case when $`P`$ is hyperbolic, i.e. all roots are real.

2) The above stratification (or a similar one) has been considered (at least in some aspects) by other authors as well, see for instance \[AVG-Z\], \[AVaGL\] and their bibliographies, \[Ka\], \[ShKh\] and \[ShW\]; the list is anything but exhaustive.

## 2 An example

On Fig. 1. we show for $`n=4`$, $`a_1=0`$, the well-known picture of the swallowtail, i.e. the surface $`\mathrm{\Sigma }=\{(a_2,a_3,a_4)𝐑^3|\mathrm{Res}(P,P^{})=0\}`$. The three strata of dimension $`3`$ and their respective MVs are the open subset of $`𝐑^3`$ “above” $`\mathrm{\Sigma }`$, with empty MV (no real roots), its open subset “below” $`\mathrm{\Sigma }`$, with MV $`[1,1]`$, and the interior of the curvilinear pyramid $`\mathrm{\Pi }=OABC`$, with MV $`[1,1,1,1]`$.

The two-dimensional stratum $`S`$ defined by the MV $`[2]`$ is the swallowtail without the boundary of $`\mathrm{\Pi }`$. The limits of the tangent spaces to $`S`$ are different on the different sides of the self-intersection curve $`AO`$ (excepting $`O`$ where the limit is unique), see Remark 4. The strata $`ABO`$ and $`ACO`$ (without the boundaries) are defined respectively by the MVs $`[2,1,1]`$ and $`[1,1,2]`$; the stratum $`BCO`$ (without the boundary) is defined by the MV $`[1,2,1]`$.

The one-dimensional strata $`BO`$ and $`CO`$ (without the point $`O`$) are defined respectively by the MVs $`[3,1]`$ and $`[1,3]`$ while $`AO`$ (without the point $`O`$) is defined by the MV $`[2,2]`$. Finally, the point $`O`$ is defined by the MV $`[4]`$.

The self-intersection curve $`AO`$ has an analytic continuation $`OD`$ (represented by a dashed line on Fig. 1) which consists of polynomials of the form $`(x^2+b^2)^2`$, $`b𝐑`$, i.e. having a conjugate complex couple of roots of multiplicity $`2`$. This curve is not a stratum of the stratification (although it belongs to $`\mathrm{\Sigma }`$) because the multiplicities of the complex roots are not taken into account, see part 4) of Remarks 1.

###### Remark 4

The following proposition is proved in \[Me\], p. 52-53.

###### Proposition 5

If $`P`$, $`P_1`$, $`\mathrm{}`$, $`P_r`$ are monic polynomials where $`P=P_1P_2\mathrm{}P_r`$ and $`P_i`$ have two by two no root in common, then there exist neighbourhoods $`U`$, $`U_1`$, $`\mathrm{}`$, $`U_r`$ of $`P`$, $`P_1`$, $`\mathrm{}`$, $`P_r`$ such that the product map $`U_1\times \mathrm{}\times U_2U`$, $`(Q_1,\mathrm{},Q_r)Q`$, is a diffeomorphism.

This result implies that at any point of the open arc $`AO`$ the swallowtail is locally diffeomorphic to two intersecting planes in $`𝐑^3`$. Indeed, on $`AO`$ the polynomial $`P`$ has two double real roots, hence, is of the form $`(xa)^2(x+a)^2`$, $`a𝐑`$. One can set $`P_1=(xa)^2`$, $`P_2=(x+a)^2`$ and $`Q_1=(xa)^2+\alpha (xa)+\beta `$, $`Q_2=(x+a)^2\alpha (x+a)+\gamma `$. The two planes are defined respectively by the variables $`(\alpha ,\beta )`$ and $`(\alpha ,\gamma )`$.

Proposition 5 can be applied in the general case as well (i.e. when $`P`$ has any MV) to understand what the set $`\{(a_1,\mathrm{},a_n)𝐑^n|\mathrm{Res}(P,P^{})=0\}`$ is locally like up to a diffeomorphism.

## 3 On the mutual disposition of strata

Consider a point $`A`$ of a stratum $`U`$ of dimension $`sn2`$. Intersect $`U`$ by the affine space $``$ of dimension $`2`$ containing $`A`$ and parallel to $`Oa_{s+1}a_{s+2}`$. By Theorem 2 the intersection is the point $`A`$. The intersections with $``$ of the strata of dimension $`s+1`$ are curves containing $`A`$ in their closures and having non-vertical limits at $`A`$ of their tangent lines (Theorem 2). Each such curve (considered locally, at $`A`$) projects only “to the left” or “to the right” of $`A`$ on $`Oa_{s+1}`$. The intersections with $``$ of the strata of dimension $`s+2`$ are sectors delimited by these curves.

It is explained in \[Ko1\], Subsection 1.2, how the above curves are situated near $`A`$ in the case when $`U`$ is a stratum of hyperbolic polynomials. We generalize here these results for the case of arbitrary stratum $`U`$.

Denote by $`\stackrel{}{v}=[r_1,\mathrm{},r_q]`$ the MV of the stratum $`U`$. Denote by $`U_{i,j}`$ the stratum with MV obtained from $`\stackrel{}{v}`$ by replacing the component $`r_i`$ by two components – $`j`$, $`r_ij`$ – where $`j=1,\mathrm{},r_i1`$. If $`r_i=2`$, denote by $`V_i`$ the stratum whose MV is obtained from $`\stackrel{}{v}`$ by deleting the component $`r_i`$. By part 4) of Remarks 1, these are all strata of dimension $`s+1`$ adjacent to $`U`$. We use the notation $`U_{i,j}`$, $`V_i`$ also for the intersections of these strata with $``$. In what follows we assume that the equations of the limits at $`A`$ of the tangent lines to the curves $`U_{i,j}`$ are given in the form $`a_{s+2}=k_ia_{s+1}+\theta _i`$.

###### Lemma 6

The slopes of the limits at $`A`$ of the tangent lines to the curves $`U_{i_1,j_1}`$, $`U_{i_2,j_2}`$, are the same for $`i_1=i_2`$ and different for $`i_1i_2`$.

The lemma is proved by full analogy with Lemma 16 from \[Ko1\] (using Proposition 5). In what follows we assume that the equations of the limits at $`A`$ of the tangent lines to the curves $`U_{i,j}`$ are given in the form $`a_{s+2}=k_ia_{s+1}+\theta _i`$. Here $`k_i`$ is the slope of the limit of the tangent line.

###### Lemma 7

If $`r_i=2`$, then the tangent lines to $`U_{i,1}`$ and $`V_i`$ are the same. The curves $`U_{i,1}`$, $`V_i`$ and the point $`A`$ are parts of one and the same curve smooth at $`A`$.

Proof:

In the particular case when $`P=x^2+\lambda `$ the strata $`U_{i,1}`$ and $`V_i`$ are the half-lines $`\{\lambda <0\}`$ and $`\{\lambda >0\}`$. In the general case the lemma is proved by analogy with Lemma 16 from \[Ko1\] (using Proposition 5). $`\mathrm{}`$

###### Lemma 8

For the slopes $`k_i`$ of the limits at $`A`$ of the tangent lines to the curves $`U_{i,j}`$ one has $`k_1>\mathrm{}>k_q`$.

Proof:

$`1^0`$. In the case when the stratum $`U`$ consists of hyperbolic polynomials the lemma is proved in \[Ko1\], see Lemma 22 there. Suppose that $`U`$ does not consist of hyperbolic polynomials. Denote by $`U^{}`$ the stratum whose MV is obtained from $`\stackrel{}{v}`$ by adding to the right $`nl`$ components equal to $`1`$. Hence, $`U^{}`$ consists of hyperbolic polynomials.

$`2^0`$. Choose a point $`BU^{}`$. Connect it with $`A`$ by a continuous curve (parametrized by $`\sigma [0,1]`$) passing only through strata with MVs whose first $`q`$ components are the same as the ones of $`\stackrel{}{v}`$ and such that for $`(nl)/2`$ distinct values $`\sigma _\nu `$ of $`\sigma `$ the greatest two of the real roots become equal after what they form a complex conjugate couple. The slopes $`k_i`$ can be defined for any $`\sigma [0,1]`$. For different $`i`$ they remain different throughout the deformation (even for $`\sigma =\sigma _\nu `$ which can be proved like Lemma 6). For all $`\sigma `$ they are finite. Hence, their order is the same at $`A`$ and at $`B`$. $`\mathrm{}`$

###### Lemma 9

If $`i`$ is even, then the projection on $`Oa_{s+1}`$ of $`U_{i,j}`$ is “to the right” of the one of $`A`$; if $`i`$ is odd, then “it is on its left”.

Proof:

In the case when $`U`$ consists of hyperbolic polynomials this is Lemma 18 from \[Ko1\]. In the general case the lemma is proved like the previous one – being “to the left or to the right” does not change throughout the deformation, because it depends continuously on $`\sigma `$, i.e. in fact it does not depend on $`\sigma `$. $`\mathrm{}`$

###### Remark 10

It follows from Lemmas 7 and 9 that if $`r_i=2`$ and if the projection of $`U_{i,1}`$ on $`Oa_{s+1}`$ is “to the right” (resp. “to the left”) of the one of $`A`$, then the projection of $`V_i`$ on $`Oa_{s+1}`$ is “to the left” (resp. “to the right”) of the one of $`A`$.

###### Lemma 11

For $`i`$ fixed the curve $`U_{i,j_1}`$ is “above” the curve $`U_{i,j_2}`$ if and only if either $`i`$ is odd and $`j_1>j_2`$ or $`i`$ is even and $`j_1<j_2`$.

Proof:

If the stratum $`U`$ consists of hyperbolic polynomials, then this is Lemma 20 from \[Ko1\]. If not, then use the same deformation as in the proof of Lemma 8. For any value of $`\sigma `$ and for any $`i`$ fixed the curves $`U_{i,j}`$ have the same mutual disposition. Indeed, one can apply Proposition 5 – the curves $`U_{i,j}`$ with one and the same $`i`$ correspond to one and the same neighbourhood $`U_i`$ and to the respective curves constructed after the polynomial $`(xa)^{r_i}`$. The latter’s mutual disposition does not depend on $`\sigma `$ or on $`a`$. $`\mathrm{}`$

###### Remark 12

On Fig. 2 we show the curves $`U_{i,j}`$ and $`V_i`$ in the case when $`l=10`$, $`n=10+2h`$, $`h𝐍`$. The reader can check the above lemmas on this example.

###### Remark 13

If for some $`i`$ one has $`r_i=r_{i+1}=2`$, then the MVs of the strata $`V_i`$ and $`V_{i+1}`$ are the same. Hence, this is one and the same stratum but it gives rise to two (or more) different curves $`V_i`$ at $`A`$, with different slopes of their tangent lines at $`A`$ Lemma 6). The simplest example of such a situation is the one of the previous section (the stratum defined by the MV $`[2]`$ admitting two different limits of the tangent space along the curve $`AO`$).

## 4 Proof of Theorem 2

$`1^0`$. Contractibility follows from the contractibility of the parameter space (the roots play the role of parameters and define the coefficients $`a_i`$ via the Vieta formulas; these formulas define a homeomorphism).

Further we prove some statements of the theorem not for the stratification of $`𝐑^n`$, the space of the coefficients $`a_i=(1)^i\sigma _i`$ (where $`\sigma _i`$ is the $`i`$-th symmetric function of the roots of $`P`$ counted with the multiplicities), but for the space of the Newton functions $`b_i`$ which are the sums of the $`i`$-th powers of the roots. The statements formulated for the two spaces (of the quantities $`a_i`$ or $`b_i`$) are equivalent because there exist polynomials $`q_j`$, $`q_j^{}`$ such that

$$ja_j=nb_j+q_j(b_1,\mathrm{},b_{j1}),nb_j=ja_j+q_j^{}(a_1,\mathrm{},a_{j1}).$$

$`2^0`$. Denote by $`(x_1,\mathrm{},x_{nr})`$ the roots of $`P`$ where the real roots are distinct while the complex ones might not be all distinct. The Jacobian matrix corresponding to the mapping $`(x_1,\mathrm{},x_{nr})(b_1,\mathrm{},b_{nr})`$ is obtained from the Vandermonde matrix $`W(x_1,\mathrm{},x_{nr})`$ by multiplying the columns of the real roots by their respective multiplicities. Hence, if all complex roots are distinct, then the determinant $`J`$ of the matrix $`W`$ is nonzero and at such a point the mapping is a local diffeomorphism which means that the stratum is locally of dimension $`nr`$. At such a point one can express the roots $`x_i`$ as smooth functions of $`(b_1,\mathrm{},b_{nr})`$, and then express $`(b_{nr+1},\mathrm{},b_n)`$ as smooth functions of $`x_i`$; hence, as smooth functions of $`(b_1,\mathrm{},b_{nr})`$.

$`3^0`$. Prove the smoothness of the stratum regardless of whether the complex roots are all distinct or not. (We use the same ideas here as in \[Me\], p. 52-53.) To this end set $`P=QR`$, $`Q=x^{2k}+c_1x^{2k1}+\mathrm{}+c_{2k}`$, $`R=x^{n2k}+d_1x^{n2k1}+\mathrm{}+d_{n2k}`$ where all roots of $`Q`$ are complex and all roots of $`R`$ are real. The mapping

$$(c_1,\mathrm{},c_{2k},d_1,\mathrm{},d_{n2k})(a_1,\mathrm{},a_n)$$

(where $`c_i`$, $`d_j`$ are regarded as free parameters) is a local diffeomorphism. Indeed, its Jacobian matrix is the Sylvester matrix of $`Q`$ and $`R`$; the latter’s determinant equals Res$`(Q,R)`$ which is nonzero because $`Q`$ and $`R`$ have no root in common.

$`4^0`$. The field of tangent spaces to the given stratum is continuously extended to the strata of lower dimension belonging to its closure and to the points where some complex roots coincide. The extension is everywhere transversal to the space $`Oa_{nr+1}\mathrm{}a_n`$.

The rest of the theorem follows from the statement. The latter implies in particular that even in a neighbourhood of a point of the stratum where some complex roots coincide, the stratum is locally the graph of a smooth $`r`$-dimensional function defined on the projection of the stratum in $`Oa_1\mathrm{}a_{nr}`$, see $`2^03^0`$.

$`5^0`$. To prove the statement from $`4^0`$ compute the partial derivatives $`b_k/b_u`$, $`knr+1`$, $`unr`$ bearing in mind that $`b_j`$ is the $`j`$-th Newton function of the roots $`x_i`$. (We follow here the same ideas as the ones used in the proof of Theorem 1.8 from \[Ko2\].) Denote by $`m_i`$ the quantity equal to the multiplicity of $`x_i`$ if $`x_i`$ is a real root and to $`1`$ if it is a complex one. One has

$$b_k/b_u=\underset{i=1}{\overset{nr}{}}(b_k/x_i)(x_i/b_u)=k\underset{i=1}{\overset{nr}{}}(m_ix_i^{k1})(x_i/b_u)=k\underset{i=1}{\overset{nr}{}}(m_ix_i^{k1}A_{u,i})/w$$
(1)
where $`w=`$det$`b_j/x_\nu =g_{q<v}(x_qx_v)`$, $`g0`$, and $`A_{u,i}`$ is the cofactor of the element $`b_u/x_i`$ in the matrix $`b_j/x_\nu `$.

$`6^0`$. Put $`x_\mu =x_\nu `$ in (1). Then for $`i\mu ,\nu `$ one has $`A_{u,i}=0`$ (two proportional columns). Suppose first that the roots $`x_\mu `$, $`x_\nu `$ are complex. Then one has $`m_\mu =m_\nu =1`$ and $`m_\mu A_{u,\mu }+m_\nu A_{u,\nu }=A_{u,\mu }+A_{u,\nu }=0`$ (to be checked directly). This means that the numerator of the right hand-side of (1) is $`0`$ when $`x_\mu =x_\nu `$, i.e. it is representable in the form $`wh(x_1,\mathrm{},x_{nr})`$ for some polynomial $`h`$. Hence,

$$b_k/b_u=h$$
(2)
If the roots $`x_\mu `$, $`x_\nu `$ are real, then one again checks directly that $`m_\mu A_{u,\mu }+m_\nu A_{u,\nu }=0`$ and again one has (2).

$`7^0`$. The closure of the stratum can be defined by a continuous parametrization of the roots $`x_i`$ by some parameters $`z`$ (one can choose as such parameters part of the variables $`b_j`$; in general, these variables are more than the parameters needed). By (2), the partial derivatives $`b_k/b_u`$ are bounded continuous functions of the parameters $`z`$. Hence, the limits of these partial derivatives exist on the closure of the stratum. This proves the statement.

The theorem is proved. $`\mathrm{}`$


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# 1 Introduction

## 1 Introduction

It is ten years ago that an alternative solution to the initial value problems of cosmology based on a variable speed of light (VSL) was published . The model was based on the idea that in the very early universe at a time $`tt_P10^{43}`$ sec., where $`t_P`$ denotes the Planck time, the local Lorentz invariance of the ground state of the universe was spontaneously broken by means of a non-zero vacuum expectation value (vev) of a vector field, $`\varphi ^a_00`$, where $`a`$ labels the flat tangent space coordinates of four-dimensional spacetime. At a temperature $`T<T_c`$, the local Lorentz symmetry of the vacuum was restored corresponding to an “anti-restoration” of the symmetry group $`SO(3,1)`$. Above $`T_c`$ the symmetry of the ground state of the universe was broken from $`SO(3,1)`$ down to $`O(3)`$, and the domain formed by the direction of $`\varphi ^a_0`$ produced an arrow of time pointing in the direction of increasing entropy and the expansion of the universe.

The notion that as the temperature of the universe increases, a larger symmetry group $`SO(3,1)`$ can spontaneously break to a smaller group $`O(3)`$ seems counter-intuitive. Heating a superconductor restores gauge invariance, and heating a ferromagnet restores rotational invariance. Anti-restoration would appear to violate the second law of thermodynamics. This, however, is not the case, for certain ferroelectric crystals such as Rochelle or Seignette salt, possess a smaller invariance group above a critical temperature, $`T=T_c`$, than below it 222Rochelle salt possesses a lower Curie point at $`18^oC`$, below which the Rochelle crystal is orthorhombic and above which it is monoclinic. Explicit models of 4-D field theories have been constructed in which the symmetry non-restoration of symmetries occurs at high temperatures 333Temperature dependent models of spontaneous symmetry breaking of $`SO(3,1)O(3)`$ with increasing temperature will be investigated in a separate article.

Recently, Hollands and Wald  investigated the issue of whether an alternative to inflation theory could exist and predict a scale invariant fluctuation spectrum in the early universe. They also considered the issue of fine-tuning in inflationary cosmology, and argued that the present models of inflation do not avoid fine-tuning of the initial conditions of the universe, although they do improve considerably the extreme fine-tuning that occurs in the standard Friedmann, Robertson and Walker (FRW) big bang model. They stressed that an important issue in the initial value problem in cosmology is to explain how the second law of thermodynamics came into being.

Kofman, Linde and Mukhanov  argued that inflation theory is not as fine-tuned in the initial universe as claimed by Hollands and Wald, although the avoidance of such a fine-tuning relies to some extent on the use of the “anthropic principle”, in that chaotic inflation postulates enough initial patches of potential inflation such that one of them can develop enough e-folds of inflation to solve the horizon and flatness problems in our universe . They also stressed that without a scenario such as inflation in the early universe, it would not be possible to dilute the initial density of radiation and matter to allow a sensible semi-classical quantum field theory calculation of quantum fluctuations. Indeed, the fluctuation calculation of Hollands and Wald would have to be performed at a density, $`\rho 10^{95}\rho _P`$, where $`\rho _P=c^5/\mathrm{}G^2`$ is the Planck density, a density so large that it would not allow any standard quantum field theory calculations to be carried out. Inflation models do significantly dilute the radiation and matter density of the early universe and they also exponentially reduce the entropy of the universe, leading to a resolution of the flatness problem. However, the matter density and entropy have to be re-instated by a period of re-heating in which the inflaton field and the large vacuum energy undergo decay.

This then leads us inevitably to the question: Does there exist an alternative to inflation, which can successfully allow a quantum field theory calculation of a scale invariant primordial spectrum? In spite of the successes of inflation theory, it is important to seek alternatives to it to see whether a different scenario could overcome some of the shortcomings of inflation, such as the problem of vacuum energy, the fine-tuning of the coupling constant to give the correct density profile in the present universe, and the unnaturally flat potentials needed to solve the initial value problems. In the following, we shall consider anew the VSL cosmology associated with a spontaneous symmetry breaking of Lorentz invariance and a phase transition in the speed of light in the very early universe.

Alternative VSL models, such as those considered by Albrecht and Maguiejo, and Barrow  were based on a “hard” breaking of Lorentz invariance. We, instead, attempt to emulate the successes of the standard model of particle physics , in which “soft”, spontaneous breaking of the internal symmetries by a Higgs mechanism plays a crucial role. In our scenario, local Lorentz symmetry is simply an accident of nature, i.e. the ground state of our current universe happens to be found in a particular false vacuum, and transitions away from this ground state may well have happened in the early universe.

Another alternative model of VSL theory has been based on a bimetric theory of gravity . In this model there are two metrics in which the light cones are associated, respectively, with the speed of light and the speed of gravitational waves, and they are linked by the gradient of a scalar field. These models maintain local relativistic invariance and diffeomorphism invariance, and do resolve the early universe initial value problems. The basic parameter in these models is the dimensionless ratio of the speed of gravitational waves (graviton) to the speed of light (photon). However, a calculation of the primordial scale invariant fluctuation spectrum has, so far, only been performed by using a “slow roll” approximation for the potential of the scalar field that links both metrics . Such a scheme falls into the category of inflationary cosmology. Magueijo  has also published a version of a relativistic VSL model, but this model has not yet succeeded in producing a viable scale invariant fluctuation spectrum, which must play a crucial role in confirming models of the early universe.

A vierbein $`e_{\mu }^{}{}_{}{}^{a}`$ is used to convert $`\varphi ^a`$ into a 4-vector in coordinate space: $`\varphi ^\mu =e_{a}^{}{}_{}{}^{\mu }\varphi ^a`$ and it satisfies444The indices $`\mu ,\nu \mathrm{}`$ and $`a,b\mathrm{}`$ run from $`0,\mathrm{},3`$ and the Minkowski metric signature is $`\eta _{\mu \nu }=\mathrm{diag}(1,1,1,1).`$

$$e_\mu ^ae_b^\mu =\delta _b^a,e_a^\mu e_\nu ^a=\delta _\nu ^\mu .$$
(1)
The vierbein obeys the Lorentz transformation rule

$$e_\mu ^a(x)=L_b^a(x)e_\mu ^b(x).$$
(2)
The metric tensor is obtained from the vierbeins by the formula

$$g_{\mu \nu }=\eta _{ab}e_\mu ^ae_\nu ^b.$$
(3)
The covariant derivative operator acting on $`\varphi ^a`$ is defined by

$$D_\mu \varphi ^a=[_\mu \delta _b^a+(\mathrm{\Omega }_\mu )_b^a]\varphi ^b,$$
(4)
where $`(\mathrm{\Omega }_\mu )_b^a`$ denotes the spin, gauge connection:

$$\mathrm{\Omega }_\mu =\frac{1}{2}\sigma ^{ab}e_a^\nu _\mu e_{b\nu },$$
(5)
and $`_\mu `$ denotes covariant differentiation with respect to the Christoffel symbol $`\mathrm{\Gamma }_{\mu \nu }^\lambda `$:

$$\mathrm{\Gamma }_{\mu \nu }^\lambda =g^{\lambda \rho }\eta _{ab}(D_\mu e_\nu ^a)e_\rho ^b.$$
(6)
Moreover, the $`\sigma _{ab}`$ are the six generators of the Lorentz group.

We shall describe the dynamical behavior of the speed of light $`c(x)`$ by a scalar field: $`c(x)=\overline{c}\chi (x)`$ where $`\overline{c}`$ is a constant with the dimensions of velocity. The total action of the theory is

$$S=S_G+S_M+S_\varphi +S_\chi ,$$
(7)
where

$$S_G=\frac{c^4}{16\pi G}d^4xe(R+2\mathrm{\Lambda }),$$
(8)
and $`e=\sqrt{g}=\mathrm{det}(e_\mu ^ae_{a\nu })`$, $`\mathrm{\Lambda }`$ is the cosmological constant and $`S_M`$ is the matter action. Moreover,

$$S_\varphi =d^4x\sqrt{g}\left[\frac{1}{2}D_\mu \varphi _aD^\mu \varphi ^aV(\varphi )\right].$$
(9)
We demand that $`\varphi ^a`$ (or $`\varphi ^\mu `$) be a timelike vector, which ensures that the kinetic energy term $`D_\mu \varphi _aD^\mu \varphi ^a>0`$ for all events in the past and future light cones of the flat tangent space, which avoids the occurrence of negative energy modes in the Hamiltonian. We could add a Lagrange multiplier term to the action to guarantee the timelike nature of the vector $`\varphi ^a`$ 555An alternative proposal would replace the kinetic energy term $`\frac{1}{2}D_\mu \varphi _aD^\mu \varphi ^a`$ by $`\frac{1}{2}(D_\mu \varphi ^\mu )^2`$, which would avoid any negative energy ghost states . This proposal will be investigated in a future publication. We also have

$$S_\chi =d^4x\sqrt{g}\left[\frac{1}{2}D_\mu \chi D^\mu \chi V(\chi )V(\chi \varphi )\right],$$
(10)
where $`V(\varphi \chi )`$ denotes a potential energy contribution coupling the fields $`\varphi ^\mu `$ and $`\chi `$ (e.g. a Yukawa coupling contribution $`_\mu \varphi ^\mu \chi `$).

We choose the potential $`V(\varphi )`$ to be of the form

$$V(\varphi )=\frac{1}{2}\mu ^2\varphi _a\varphi ^a+\lambda (\varphi _a\varphi ^a)^2,$$
(11)
where $`\varphi _a\varphi ^a>0`$ and the coupling constant $`\lambda >0`$, so that the potential is bounded from below. If $`V`$ has a minimum at $`\varphi _a=v_a`$, then the spontaneously broken solution is given by $`v_a^2=\mu /4\lambda `$. We can choose $`\varphi _a`$ to be

$$\varphi _a=\delta _{a0}v=\delta _{a0}(\mu ^2/4\lambda )^{1/2}.$$
(12)
All the other solutions of $`\varphi _a`$ are related to this one by a Lorentz transformation. Then, the homogeneous Lorentz group $`SO(3,1)`$ is broken down to the spatial rotation group $`O(3)`$. The three rotation generators $`J_i(i=1,2,3)`$ leave the vacuum invariant, $`J_iv_i=0`$, while the three Lorentz-boost generators $`K_i`$ break the vacuum symmetry, $`K_iv_i0`$.

Let us consider small oscillations about the true minimum and define a shifted field $`\varphi _a^{}=\varphi _av_a.`$ By performing a Lorentz transformation, we obtain

$$\varphi ^0=\psi ,\varphi ^1=\varphi ^2=\varphi ^3=0.$$
(13)
In this special coordinate frame, the remaining component $`\psi `$ is the scalar physical particle that survives after the three Goldstone modes have been removed. This corresponds to the “unitary gauge” in the standard electroweak theory. In the broken phase, the Einstein tensor $`G^{\mu \nu }=R^{\mu \nu }\frac{1}{2}g^{\mu \nu }R`$ still satisfies the Bianchi identities: $`_\nu G^{\mu \nu }0`$, but the conservation law for the energy momentum tensor is modified to be :

$$_\nu T^{\mu \nu }=_\nu (K^{\mu \nu }+H^{\mu \nu }),$$
(14)
where $`K^{\mu \nu }`$ and $`H^{\mu \nu }`$ are non-vanishing contributions that arise in the spontaneously broken phase due to the “Higgs mechanism” for the spin gauge field $`\mathrm{\Omega }_\mu `$, and the energy momentum tensor for the physical fields $`\psi `$ and $`\chi `$, respectively. In the unbroken phase, we regain the standard energy momentum conservation law $`_\nu (T^{\mu \nu }+H^{\mu \nu })=0`$, since $`K^{\mu \nu }=0`$ and the spin connection becomes that of a massless graviton gauge field.

## 2 Variable Speed of Light and Solutions to the Horizon and Flatness Problems

In the spontaneously broken phase of the evolution of the universe, the spacetime manifold has been broken down to $`R\times O(3)`$. The three-dimensional space with $`O(3)`$ symmetry is assumed to be the homogeneous and isotropic FRW solution:

$$d\sigma ^2=R^2(t)\left[\frac{dr^2}{1kr^2}+r^2(d\theta ^2+\mathrm{sin}^2\theta d\varphi ^2)\right],$$
(15)
where $`k=0,+1,1`$ corresponding to a flat, closed and open universe, respectively, and $`t`$ is the external time variable. This describes the space of our ordered ground state in the symmetry broken phase and it has the correct subspace structure for our FRW universe with the metric

$$ds^2g_{\mu \nu }dx^\mu dx^\nu =dt^2c^2(t)R^2(t)\left[\frac{dr^2}{1kr^2}+r^2(d\theta ^2+\mathrm{sin}^2\theta d\varphi ^2)\right].$$
(16)
The Newtonian “time” $`t`$ is the absolute time measured by standard clocks.

In the spontaneously broken Lorentz symmetry phase, we can now have the speed of light $`c`$ undergo a phase transition, since we are no longer required to satisfy Einstein’s second postulate of special relativity: The speed of light $`c`$ is the same constant with respect to all observers irrespective of their motion and the motion of the source.

Close to the phase transition at the time $`tt_c`$, we assume that

$$c(t)=c_0\theta (t_ct)+c_m\theta (tt_c),$$
(17)
where $`\theta (t)`$ is the Heaviside step function which satisfies $`\theta (t)=1`$ for $`t>0`$ and $`\theta =0`$ for $`t<0`$. Moreover, $`c_0`$ and $`c_m`$ denote the values of $`c`$ before and after the phase transition, respectively, where $`c_m=299792458ms^1`$ is the presently measured value of $`c`$ and $`c_0c_m`$.

The metric $`g_{\mu \nu }`$ now has the bimetric form:

$$g_{\mu \nu }=g_{0\mu \nu }+g_{m\mu \nu },$$
(18)
where

$$ds_0^2g_{0\mu \nu }dx^\mu dx^\nu =dt^2c_0^2\theta (t_ct)R^2\left[\frac{dr^2}{1kr^2}+r^2(d\theta ^2+\mathrm{sin}^2\theta d\varphi ^2)\right],$$
(19)
and

$$ds_m^2g_{m\mu \nu }dx^\mu dx^\nu =dt^2c_m^2\theta (tt_c)R^2\left[\frac{dr^2}{1kr^2}+r^2(d\theta ^2+\mathrm{sin}^2\theta d\varphi ^2)\right].$$
(20)
The phase transition in $`c`$ produces two light cones: $`ds_0^2=0`$ and $`ds_m^2=0`$ and their relative sizes are determined by the dimensionless ratio $`\gamma =c_0/c_m`$. When $`\gamma =1`$ and there is no phase transition the model becomes the same as local special relativity with one light cone. When $`\gamma `$ becomes very large in the spontaneously broken phase, the Minkowski light cone, determined by the metric (20), is contained within the much larger light cone determined by the metric (19). As in alternative bimetric theories, a diffeomorphism transformation in time cannot remove the speed of light dependence from both metrics $`g_{0\mu \nu }`$ and $`g_{m\mu \nu }`$ simultaneously. Only when $`\gamma =1`$ can a diffeomorphism time transformation $`dt^{}=dtc(t)`$ remove $`c(t)`$ completely, for then we have only one light cone and one speed of light corresponding to local special relativity.

The proper horizon scale is given by

$$d_H(t)=R(t)_0^t\frac{dt^{}c(t^{})}{R(t^{})}.$$
(21)
We obtain for $`t>t_c`$ the usual result, $`d_H2c_mt`$, since for a radiation dominated universe $`R(t)t^{1/2}`$ and $`c=c_m`$. On the other hand, we have for a radiation dominated universe in the spontaneously broken phase before the phase transition in $`c(t)`$, $`d_H2c_0t`$, and for $`\gamma \mathrm{}`$ the proper horizon size is stretched and this means that all observers in the spontaneously broken phase were in causal contact. The forward light cone beginning at the time of the big bang is considerably expanded for $`\gamma \mathrm{}`$ and is made larger than the region from which microwave photons are reaching us today and this solves the isotropy problem.

To see how the flatness problem is resolved, we write the Friedmann equation in the spontaneously broken phase:

$$H^2+\frac{c^2k}{R^2}=\frac{8\pi G\rho }{3}+\frac{c^2\mathrm{\Lambda }}{3},$$
(22)
where $`H=\dot{R}/R`$. We set the cosmological constant $`\mathrm{\Lambda }=0`$, and obtain

$$ϵ|\mathrm{\Omega }1|=\frac{c^2|k|}{\dot{R}^2},$$
(23)
where $`\mathrm{\Omega }=8\pi G\rho /3H^2`$. We now find that

$$\dot{ϵ}=\frac{2c^2|k|\ddot{R}}{\dot{R}^3}+2\left(\frac{\dot{c}}{c}\right)\left(\frac{c^2|k|}{\dot{R}^2}\right).$$
(24)
For a radiation dominated universe $`\ddot{R}<0`$ and for a speed of light $`c`$ that decreases in a phase transition to the small value $`c_m`$, we have $`\dot{c}/c<0`$ and $`\dot{ϵ}<0`$ corresponding to an attractor solution with $`ϵ0`$ and an approximately spatially flat universe.

An alternative way of seeing how the flatness problem is resolved is to write

$$\mathrm{\Omega }(t)=1+x(t),$$
(25)
where

$$x(t)=\frac{c^2k}{R^2H^2}\frac{c^2k/R^2}{8\pi G\rho _r/3},$$
(26)
where $`\rho _r`$ is the radiation density, $`\rho _r=\rho _{0r}\left(R_0/R\right)^4`$ with $`\rho _{0r}`$ and $`R_0`$ denoting the present values of the radiation density and $`R`$, respectively. Then, we have $`xc^2kR^2/R^{}`$ where $`R^{}=8\pi G\rho _{0r}R_0^4/3`$. This yields close to the phase transition with $`\gamma =c_0/c_m`$:

$$|\mathrm{\Omega }(10^{43}\mathrm{sec})1|𝒪(\gamma ^210^{60}).$$
(27)
Thus, in the time the universe is in the broken phase before the phase transition in the speed of light, we obtain for $`\gamma 5\times 10^{29}`$:

$$|\mathrm{\Omega }(10^{43}\mathrm{sec})1|𝒪(1),$$
(28)
which implies much less fine-tuning than the standard FRW model.

## 3 The Entropy Problem and the Arrow of Time

A calculation of the energy density of photons gives

$$_\gamma =\sigma _BT^4,$$
(29)
where $`\sigma _B`$ is the Stefan-Boltzmann constant, $`\sigma _B=\pi ^2k_B^4/15c_m^3\mathrm{}^3=7.5641\times 10^{15}\mathrm{erg}\mathrm{cm}^3K^4`$ ($`k_B`$ is Boltzmann’s constant). For $`\mathrm{log}_{10}\gamma 30`$, we see that the Stefan-Boltzmann constant is significantly reduced to: $`\sigma _B=\pi ^2k_B^4/15c_0^3\mathrm{}^37.56\times 10^{104}\mathrm{erg}\mathrm{cm}^3K^4`$. Thus, in the early universe in the symmetry restored phase for a temperature $`T10^{12}K`$, we have $`_\gamma 7.6\times 10^{33}\mathrm{erg}\mathrm{cm}^3`$ whereas in the spontaneously broken phase the energy density of photons is significantly diluted, $`_\gamma 400\mathrm{erg}\mathrm{cm}^3`$.

The entropy of relativistic particles is given by :

$$S=\frac{R^3}{T}(\rho c^2+p)=\frac{4\sigma _B}{3}(RT)^3f,$$
(30)
where $`f`$ is a numerical factor of order unity. For $`\gamma =1`$, $`T10^{12}K`$ and $`R10^{28}\mathrm{cm}`$ we get $`S10^{118}\mathrm{erg}K^1`$. In the broken symmetry phase, near the phase transition in $`c`$, and for $`\mathrm{log}_{10}\gamma 30`$ this will be reduced to the small entropy, $`300\mathrm{erg}K^1`$. The phase transition in the speed of light with $`\gamma 1`$, results in an enormous increase in the entropy of the universe.

A similar stuation occurs in inflationary models in which the exponential expansion of the universe decreases considerably the entropy and results in a re-heating phase when inflation ceases.

In our VSL scenario, the large increase in entropy at the phase transition time $`tt_c`$ is in the direction of the spontaneous symmetry breaking domain $`\varphi ^a_00`$, which corresponds to the direction of the arrow of time in the expanding universe. To solve the problem of the arrow of time and the second law of thermodynamics, we should expect that the entropy of the universe at or near the big bang should be small . The sudden large increase in entropy in our VSL scenario also leads to a solution of the flatness problem, as in the case of inflationary models.

In the spontaneously broken phase near the phase transition $`c_0\mathrm{}`$, the Planck length $`L_P=\sqrt{\mathrm{}G/c_0^3}0`$, and the Planck density $`\rho _P=c_0^5/\mathrm{}G^2\mathrm{}`$. Thus, the super-Planck density is far removed from the region in the spontaneously broken phase, in which the radiation energy $`_\gamma `$ and the entropy $`S`$ are diluted as $`c_0\mathrm{}`$, and we do not have to concern ourselves with ultra-Planck energy corrections to the primordial fluctuation spectrum, which is calculated in the spontaneously broken phase.

## 4 Calculation of Scale Invariant Fluctuation Spectrum

Inflationary models provide a simple and successful answer to how the departures from inhomogeneity arise from quantum fluctuations in the early universe. This prediction of a scale invariant spectrum has been confirmed during the past two years by high precision measurements of the cosmic microwave background (CMB) . We shall now show how our VSL model can predict equally well a scalar, adiabatic Gaussian scale-free perturbation spectrum. We shall use a simple method for calculating the spectrum, avoiding many of the technical details, so that we can see how the mechanism works at an intuitive level .

We shall consider a simple model of a free, minimally coupled scalar field $`\psi `$, which we identify with our physical field $`\psi `$ in the “unitary gauge” after the three Goldstone modes have been removed in our model of spontaneous symmetry breaking of Lorentz invariance. We choose for simplicity the flat spacetime with $`k=0`$. The scalar field $`\psi `$ is pictured as a plane wave mode with coordinate wave vector $`\stackrel{}{k}`$:

$$\psi (\stackrel{}{x},t)=\psi _k(t)\mathrm{exp}(i\stackrel{}{k}\stackrel{}{x}),$$
(31)
which satisfies

$$\ddot{\psi }_k+3H\dot{\psi }_k+\frac{c^2k^2}{R^2}\psi _k=0,$$
(32)
and we have defined

$$\psi _k=\frac{1}{(2\pi )^{3/2}}d^3x\psi (\stackrel{}{x})\mathrm{exp}(i\stackrel{}{k}\stackrel{}{x}).$$
(33)
Here, we consider that the quantum fluctuation modes are created in the spontaneously broken ground state and that their proper wavelength $`\lambda _p`$ is tiny compared to the Hubble radius, $`R_H=c/H`$. The equation of motion for the dynamical field $`\chi (t)`$ in the preferred frame gauge, $`\varphi ^0=\psi `$, is of the form:

$$\ddot{\chi }+3H\dot{\chi }+\frac{dV(\chi )}{d\chi }+\frac{dV(\chi \psi )}{d\chi }+I(\chi ,g)=0,$$
(34)
where $`I(\chi ,g)`$ denotes the contribution coming from the variation of $`\chi `$ in the Einstein-Hilbert action $`S_G`$ in (8). A possible solution for $`c(t)=\overline{c}\chi (t)`$ given the potentials $`V(\chi )`$, $`V(\varphi \chi )`$ and $`I(\chi ,g)`$ is

$$c(t)=\frac{a}{t^b}+c_0\theta (t_ct)+c_m\theta (tt_c),$$
(35)
where $`c(t)c_0`$ from above as $`tt_c`$.

Eq.(32) has the same form as the harmonic oscillator equation with a unit mass, a variable spring constant $`c^2k^2/R^2`$, and a variable friction damping coefficient $`3H`$. The Lagrangian for our harmonic oscillator has the form

$$L_k=\frac{R^3}{2}\left(\dot{\psi }_k^2\frac{c^2k^2}{R^2}\psi _k^2\right).$$
(36)
The ground state of the oscillator at some fixed time $`t`$ has the form of a Gaussian wave function, with a spread given by

$$(\mathrm{\Delta }\psi _k)^2=\frac{1}{2R^2ck}.$$
(37)
In the case of generic inflationary models, we have $`R(t)\mathrm{exp}(Ht)`$ and $`H`$ is constant in time. When the proper wavelength, $`\lambda _p=R/k`$, of the normal mode is much smaller than the Hubble radius $`R_H=c_m/H`$, the mode oscillates like an ordinary harmonic oscillator with small damping, and the adiabatic vacuum corresponds to that of a flat Minkowski spacetime. However, when $`\lambda _p`$ is much greater than $`R_H`$ the mode enters an overdamped phase with $`\dot{\psi }_k0`$ and the mode “freezes”. Indeed, we have that $`\lambda _p=R/k\mathrm{exp}(Ht)`$, while the Hubble radius $`R_H`$ remains constant during the inflationary period, so that the proper wavelengths of the normal modes quickly overtake the horizon and make a frozen imprint on the spacetime metric. On the other hand, in the standard FRW model for the radiation equation of state, $`p=\frac{1}{3}\rho `$, we obtain $`\lambda _pt^{1/2}`$ while $`R_H2c_mt`$, so that the proper wavelengths of the initial tiny wave modes never catch up to the Hubble horizon and cross it to produce a scale-free fluctuation spectrum.

For our spontaneously broken VSL model, we have from (32) and (35) for times $`t<t_c`$ and for a radiation dominated background universe with $`RAt^{1/2}`$ and $`H1/2t`$:

$$\ddot{\psi }_k+\frac{3}{4t^2}\psi _k+\left(\frac{a}{A}\right)^2\frac{k^2}{t^{2b+1}}\psi _k=0,$$
(38)
where we have chosen $`\dot{\psi }_kH\psi _k(1/2t)\psi _k`$. We observe that as $`t0`$ for $`b1`$, there will be a period in the spontaneously broken phase in which (38) produces oscillating modes, for the wavelengths $`\lambda _pt^{1/2}`$ are much smaller than the Hubble radius, $`R_Hc/Ha/t^{b1}`$. At this time, the universe evolves adiabatically in a Minkowski flat spacetime vacuum and the ground state remains more or less as in (37). However, as the universe expands and $`t`$ increases, the wavelengths $`\lambda _pt^{1/2}`$ will overtake the Hubble radius $`R_Ha/t^{b1}`$ and cross it as $`t`$ approaches the phase transition time $`t_c`$. The overdamped modes cease to oscillate and $`\mathrm{\Delta }\psi _k`$ will become constant at the fixed time $`t=t_h`$ when the wavelengths cross the horizon.

After the comoving wavelengths pass through the horizon, they freeze and the spectrum spread is given by

$$(\mathrm{\Delta }\psi _k)_h^2=\frac{1}{2R_h^2c_hk},$$
(39)
where $`c_h`$ and $`R_h`$ are the values of $`c`$ and $`R`$ at the time the modes cross the Hubble radius, $`R_h=c_h/H_h`$, i.e. when

$$\frac{R_h}{k}=\frac{c_h}{H_h}.$$
(40)
Therefore, the fluctuation modes at later times have the spectrum

$$(\mathrm{\Delta }\psi _k)_h^2\frac{H_h^2}{c_h^3k^3}.$$
(41)
The horizon radius $`R_h`$ can be made to coincide with the phase transition with $`R_hc_{\mathrm{ph}}/H_{\mathrm{ph}}`$ when $`H_{\mathrm{ph}}`$ is expected to be approximately constant.

This constitutes the prediction of a scale invariant spectrum with

$$k^3|\delta _k|\mathrm{constant},$$
(42)
where $`\delta _k`$ is the fractional energy density fluctuation in momentum space. We observe that the difference between (37) and (39) at later times is given by

$$\left(\frac{R}{R_h}\right)^2\left(\frac{c_0}{c_h}\right)(\mathrm{\Delta }\psi _k)^2=(\mathrm{\Delta }\psi _k)_h^2.$$
(43)
We see that for $`c_h=c_m`$ the spread $`(\mathrm{\Delta }\psi _k)^2`$ is magnified by the huge factor $`\mathrm{log}_{10}\gamma 30`$, so that the late time quantum fluctuations have macroscopically relevant cosmological interest. In inflation theory, it is the factor $`(R/R_h)^2`$ that is exponentially enhanced and also produces macroscopically large fluctuation effects.

## 5 Comparison of VSL and Inflationary Cosmologies

Let us compare the VSL and inflationary models. Regarding the problem of fine-tuning of the initial conditions after the big bang, the argument given by Hollands and Wald  that the initial conditions in inflation cannot be natural, depends on whether inflation models can be considered time reversible, so that the probability that a universe would get large by undergoing an era of inflation is equal to the probability that a universe will undergo an era of “deflation” when it recollapses. It is argued that the probability that a universe dominated by ordinary matter will deflate is very small, so that by time invariance the probability of inflation must be small too.

It is argued by Kofman, Linde and Mukhanov  that the dynamical evolution of the universe does not preserve the measure of probability, or the number of degrees of freedom. This is mainly due to the circumstance that in inflationary models the total energy of the scalar inflaton field and the particles created by its decay is not conserved. Since all the $`10^{88}`$ particles we see now within our horizon were created by the scalar inflaton, then inflation had removed them at the beginning of the universe and thereby guaranteed the absence of adiabaticity. Thus, inflationary evolution can never produce the same initial conditions at the universe’s beginning. This circumstance should be considered in contrast to the fact that the equations of Einstein’s general relativity are time reversible invariant, so that there is an equal number of decreasing and growing entropy universes.

What can we say about the likelihood of a spontaneous symmetry breaking of Lorentz invariance of the ground state occurring in the early universe, and a sudden phase transition happening in the speed of light? The Lorentz symmetry of the ground state of the universe is just an accident, for the symmetry occurs in a false vacuum state and could occur at any time. It is, of course, difficult to measure the probability of such an event, as it would be for the spontaneous breaking of the internal symmetries of the standard model.

A fundamental difference between VSL cosmology and inflation is that we can choose the cosmological constant $`\mathrm{\Lambda }`$ to be small or zero from the beginning of the universe. If the data supporting an accelerating expansion of the universe continues to be affirmed by more observations , then we can have a small positive cosmological constant in the present universe. In inflationary models, the initial vacuum energy coming from the inflaton potential is huge, so that enough e-folds of inflation can be sustained. How do we know that the long-sought mechanism for the explanation of the smallness of the effective cosmological constant will not cancel out the large vacuum energy needed in the inflationary era? . Moreover, the decaying vacuum energy has to be fine-tuned to fit the present observational data supporting a small positive cosmological constant.

In our VSL model, the vacuum energy does not play a crucial role in solving the initial value problems. The pressure in our perfect fluid model can always be positive, i.e. for the equation of state for radiation and matter, $`p=w\rho `$, we can have $`0w1/3`$ in the early universe. Therefore, for dark matter and radiation there is no violation of the positive energy conditions. However, if there is dark energy causing an acceleration of the present universe, then the equation of state for dark energy would be $`p_{\mathrm{DE}}=w_{\mathrm{DE}}\rho _{\mathrm{DE}}`$ and $`1w_{\mathrm{DE}}<2/3`$.

Another feature associated with generic inflationary models is the extreme flatness of the inflaton potential required to permit sufficient inflation to occur. Apart from the necessary “Mexican hat” potential required to allow for the spontaneous symmetry breaking of local Lorentz invariance of the vacuum, the VSL model does not require a fine-tuning of potentials of the kind needed by inflationary models. Of course, we do not yet possess a microscopic model of the phase transition in the speed of light, but we do possess an effective theory that can be modelled in analogy with a semi-classical description of phase transitions in critical phenomena.

## 6 Conclusions

We have investigated anew and modified a model of VSL cosmology, first published a decade ago, and compared it with standard inflationary cosmology. A new calculation of the scale invariant fluctuation spectrum agrees well with the data , in the same way as the equivalent calculation of the spectrum in inflation models. However, a more technical calculation of the spectrum, including a derivation of the tensor component needs to be performed . It is expected that the tensor and gravitational wave component of the fluctuation spectrum will not necessarily agree with that predicted by inflation, providing a new competitive prediction to be tested by observations.

We cannot, of course, go back to the beginning of the universe to observe whether it actually went through an era of exponential or power law inflation, or an epoch in which the Lorentz invariance of the ground state of the universe was spontaneously broken, accompanied by a phase transition in the speed of light. Therefore, we must rely on the self-consistent results of calculations of the primordial power spectrum and observations of CMB anisotropies to guide us in our understanding of early universe cosmology.

We believe that the VSL cosmology considered here is a viable alternative to standard inflationary models, and that it may overcome certain shortcomings in the latter models, and produce new predictions that could be tested and compared with inflationary scenarios.

Acknowledgments

This work was supported by the Natural Sciences and Engineering Research Council of Canada. I thank Michael Clayton for helpful discussions.


text:
# COMPTEL upper limits for the 56Co 𝛾-ray emission from SN1998bu

## 1 Introduction

Despite their widespread use as ’standard candles’, the physical nature of supernovae of type Ia is still not understood in terms of physical processes; therefore corrections of evolutionary aspects remain empirical (Branch, 1998; Niemeyer & Truran, 2000). Type Ia supernovae are believed to be caused by thermonuclear explosions of CO white dwarfs (Livio, 2000; Höflich & Khoklov, 1996; Nomoto et al., 1997). Radioactive energy of $``$0.5 M of 56Ni synthesized in such explosions is considered the driver of all types of observed light from these objects. The nearby SN1998bu supernova was a unique opportunity to directly measure gamma-rays from the 56Ni decay chain with the Compton Observatory.

The dynamics of a white dwarf explosion are difficult to model due to the range of scales involved in flame ignition and propagation (Iwamoto et al., 1999). Theories which are most successful in describing observations of type Ia supernovae include empirical components for key aspects. Observationally type Ia supernovae are a fairly homogeneous phenomenon (Branch, 1998), suggesting a narror range of synthesized 56Ni masses. Constraints from models of the bolometric light curve of type Ia supernovae imply that typically 0.3–0.5 M of radioactive 56Ni energy are needed(Höflich & Khoklov, 1996). Observations of the supernova light curve’s peak magnitude or of NIR lines of Fe\[II\] and Co\[II\] have mostly been used to derive 56Ni masses; the rather wide range of inferred 56Ni (0.1 – 1.14 M)(Contardo et al., 2001) is difficult to understand if a single well-tuned process is held responsible for the supernovae of type Ia and in particular their ”standard candle” characteristics. Among different types of models, a rather wide range of 56Ni masses of 0.1 up to 0.8 M is discussed (see ‘Discussion’ section below).

Critical parameters of the explosion models are the ignition density of the white dwarf at its core, and the transition from the early deflagration stage (sub-sonic flame propagation) into a detonation (super-sonic flame propagation)(e.g. Leibundgut, 2000; Livio, 2000). The former is estimated from evolutionary models of the (uncertain) progenitor and the effective binary accretion rate, involving uncertain issues such as steady or flash-like nuclear burning of the accreted H and He material, or modulation of the accretion flow from the companion through the wind of the white dwarf (at the higher accretion rates required by the lower ignition densities preferred from otherwise excessive production of neutron-rich Fe group isotopes(Nomoto et al., 1997)). The acceleration of the flame speed can only be treated as a purely empirical parameter of models at present, but critically determines the final 56Ni mass and the Fe group to lighter element ratio (Iwamoto et al., 1999). Three-dimensional model treatments of this flame “micro-physics” is promising, but still a challenging problem (Reinecke et al., 1999).

The fact that type Ia supernovae are rather homogeneous (Branch, 1998) suggests a clear evolutionary path towards a well-definied presupernova star and a robust ignition condition. This led to the model of binary accretion of H and He rich matter onto a CO white dwarf at a well-tuned accretion rate such that H and especially He nuclear burning proceeds non-catastrophically and the white dwarf C mantle grows in mass until the Chandrasekhar mass limit is reached; the thermonuclear runaway explosion ensues from fast nuclear burning of Carbon ignited at the core due to heating from gravitational pressure and H and He shell-burning heat conduction (Nomoto, 1982). Sub-Chandrasekhar mass white dwarfs could also explode as type Ia supernovae (Livne, 1990): The merging of two white dwarfs would disrupt the lighter of the two into a C-O envelope accreting onto the more massive white dwarf (”double-degenerate” model). As the accretion proceeds to exceed the Chandrasekhar limit, the white dwarf ignites C centrally as above (Iben & Tutukov, 1984). There are some doubts if the merging process will avoid core collapse of the merged object and produce a thermonuclear supernova; e.g. transport of rotational energy is critical (Livio, 2000). Alternatively, a single-degenerate sub-Chandrasekhar model has been proposed: A He layer built up from accretion and steady hydrogen burning as above may ignite in a flash and thus send a shock wave into the white dwarf core, adding to the gravitational heat and thus also igniting carbon in the center for a lower-mass white dwarf (Nomoto, 1982; Livne, 1995). In this scenario much of the radioactive material would be produced towards the outside, resulting in different evolution of radioactivity-derived supernova light. Recent constraints on early spectra and the absence of intermediate-mass elements in the outer fast ejecta disfavor this scenario somewhat (Livio, 2000).

A deflagration model was recently favored for SN1998bu on purely spectroscopic arguments (Vinko et al., 2001). And the occurrence near or in a spiral arm and the observation of a light-echo (Cappellaro et al., 2001) may suggest that the progenitor system could be younger than those of the average type Ia supernovae, therefore anomalous and igniting at a particularly low density.

With such diversity of models and the difficulties of detailed physics modeling, observations of a variety of aspects of type Ia supernovae are a key to clarify the true nature of these events.

Observations of a large sample of supernovae in UV, optical and infrared bands have been made and discussed widely. But this radiation originates from driving processes deep inside the object, the bolometric light curve and its evolution reflect the supernova envelope structure, with much less information on the core. Spectral information tells us about material mixing and the total kinetic energy. However optical photons are created long after the initial explosion; most information from the early stage of the supernova event is lost. This makes it difficult to discriminate between different explosion models or model parameters.

Observations of $`\gamma `$-rays promise more direct information from the core of the supernova and the explosion mechanism. The radioactivity produced in the initial event decays and produces gamma-ray lines, which can be observed directly once the supernova is transparent to gamma-rays (after about 30-100 days). Even in the early stages, $`\gamma `$-rays from radioactivity will escape from outer layers, their intensity depending on ejecta mixing. Differences in the predicted $`\gamma `$-ray spectra have been suggested as the key observation to discriminate between models and the extent of mixing (Höflich et al., 1998; Pinto et al., 2001). This is best observed at early times; at times later than 30 days, differences in total 56Ni masses can mimic differences between sub- and Chandrasekhar models (Pinto et al., 2001).

The sensitivity of the $`\gamma `$-ray instruments on-board CGRO (OSSE and COMPTEL) limits the observations of type Ia supernovae to events within about 15 Mpc. To date, only one event, SN1991T, was marginally detected with COMPTEL (Morris et al., 1997). SN1998bu provides a second opportunity for line searches in type Ia supernovae. Some theoretical models predict $`\gamma `$-ray line fluxes well above the sensitivity limits of COMPTEL and OSSE for an assumed distance of 11 Mpc. Although COMPTEL lacks the spectral resolution to provide unique and decisive $`\gamma `$-ray line shape diagnostics, an independent proof of the radioactive 56Ni mass origin through detection of the corresponding $`\gamma `$-ray line fluxes was attempted, and is important given the complexity and unknowns of conversion of radioactive energy in a supernova envelope.

On May 9.9 UT in 1998 supernova SN1998bu was discovered in the galaxy M96 (NGC 3368) (Villi, 1998). From wide-band spectrograms it was classified as type Ia (Ayani et al., 1998; Meikle et al., 1998). From an earlier observation (Faranda & Skiff, 1998) and an estimate of the maximum blue light at $`t_{\mathrm{Bmax}}=`$ 10952.7 $`\pm `$ 0.5 TJD (i.e. May 19), Meikle et al. (1998) inferred the date of the explosion to be May 2.0 $`\pm `$ 1.0 UT (i.e. TJD 10935 $`\pm `$ 1). The distance to M96 had been known from HST Cepheid measurements as 11.3 $`\pm `$ 0.9 Mpc (Hjorth & Tanvir, 1997), though another value of 9.6 $`\pm `$ 0.6 Mpc had been derived from measurements of planetary nebulae (Feldmeier et al., 1997). SN1998bu appears to be a typical type Ia event (Jah et al., 1999), its reddening can be attributed to dust in the host galaxy. From its dereddened brightness it was concluded (using the methods described in Nomoto et al. (1997) and Iwamoto et al. (1999)) that the total ejected Ni mass was rather typical. A value of 0.77 M has been derived from analysis of the bolometric light curve (Leibundgut, 2000; Contardo et al., 2001).

## 2 Observations

The COMPTEL observations of SN1998bu began on TJD 10952, 17 days after the explosion. Due to this late start and to the low sensitivity of COMPTEL for low energies, we missed the opportunity to measure the decay lines of 56Ni ($`\tau =8.8`$d) at 750 keV and 812 keV. 56Co, the daughter nucleus of 56Ni, has a mean life of $`\tau =112`$d and decays to stable 56Fe. In this decay two $`\gamma `$-ray lines are emitted at 847 keV and 1238 keV. The COMPTEL observations spanned a total duration of 88 days, ending at TJD 11071, 136 days after the explosion.

The COMPTEL telescope detects $`\gamma `$-rays through a Compton scatter interaction in its upper plane of liquid-scintillation detectors (“D1”), followed by detection of another interaction in the lower plane of NaI(Tl) scintillation detectors (“D2”), ideally totally absorbing the scattered $`\gamma `$-ray. Imaging information is provided by the Compton scatter kinematics through energy deposit and interaction location measurements (For a detailed description of COMPTEL see Schönfelder et al., 1993).

## 3 Analysis and Results

To obtain a higher sensitivity at lower energies the observations were carried out in a “low-threshold” mode, where the energy thresholds of the D2 modules were reduced below the normal 600 – 700 keV range; the normal mode would have degraded the instrument response for the 847 keV photons. Two different analysis approaches were used: ”spectral” and ”imaging” analysis.

### 3.1 Spectral analysis

In this approach the full spectral response, i.e. the photo peak and the Compton tail, is exploited. Imaging parameters of the measurement are used for coarse field-of-view selection of the events. Only events with D2 energy deposits above 600 keV were used to avoid the 511 keV line background which originates from positrons. These result mainly from 22Na within the instrument, one of the major sources of instrumental background, which has its origin in activation of COMPTEL passing through the radiation belts (Weidenspointner et al., 2001).

Spectra were derived for a $`12^\mathrm{o}`$ FWHM beam on a grid around the SN position with a grid spacing of $`3^\mathrm{o}`$. Fig. 1 shows an example for the direction covering the SN position. The beam size was chosen through the selections of events from within a $`2^\mathrm{o}`$ wide range around the pivot direction, performed near the cone-shaped response in the COMPTEL data space. Background spectra were constructed from the same direction, selecting a ring-like $`3^\mathrm{o}7^\mathrm{o}`$ wide region around the same pivot direction. Background-subtracted spectra were then analyzed for the relevant Co decay lines (see Fig. 1). Gaussian-shaped lines with instrumental resolution are fitted to the data to determine line intensities. This analysis and in particular the background determination may include unknown systematic effects that could mimic lines. To account for these uncertainties (in addition to the statistical uncertainties), we determined the variance of the fitted line intensities across our measured sample empirically: We histogrammed the fitted line intensities from all spatial grid points and used the width of this distribution to estimate uncertainties and significances, for both $`\gamma `$-ray lines of interest (see Fig. 2). The exposure and effective detector area were used to convert line intensities and uncertainties into source photon flux units.

No significant difference between the spectra of the supernova and off-supernova positions was found. We obtained a $`2\sigma `$ upper flux limit of $`4.110^5`$ photons cm-2 s-1 for the 847 keV line and $`2.310^5`$ photons cm-2 s-1 for the 1238 keV line.

### 3.2 Imaging analysis

In this analysis the imaging capability of COMPTEL was fully exploited, thus increasing the sensitivity of the instrument mainly in the 847 keV line due to a better background suppression. In the “low-threshold” observing mode most of the D2 detector thresholds are well below the 847 keV line of interest. However, there is a considerable spread of thresholds, the lowest value being 450 keV. In standard COMPTEL analysis, event selection with D2 energy deposits above 650 keV is applied, to simplify the modular composition of the instrument response function. This is now inappropriate, and response function composition and usage is more complex, as a price for the improved 847 keV sensitivity. For the upper detector plane D1, all modules have hardware thresholds in a narrow range at or below 50 keV, thus still allowing the use of a homogeneous analysis threshold at 50 keV for all D1 detectors.

Instrument imaging response functions were derived for our analysis from simulations, where each D2 module was treated with its effective hardware threshold. The full-instrument data were analyzed in two different ways: We first used a summed response function for both lines, but for the 847 keV line we also analyzed separately for “mini-telescopes” and composed the individual results.

We demonstrate the difference between standard analysis and our more complex “low-energy-threshold-mode” response function on 3 days of Crab low-threshold data, fortuitously collected during an observation of Geminga. Using the low-mode response we clearly detect Crab with 4.5$`\sigma `$ at 847 keV, compared to only 3.0$`\sigma `$ with the standard response (see Fig. 3). For the 1238 keV line the values are 1.6$`\sigma `$ and 0.63$`\sigma `$, respectively. This shows that most D2 modules are now sensitive below the 650 keV analysis threshold used for the standard analysis, resulting in a larger sensitivity mainly for the 847 keV line.

Unfortunately, due to the strong background line at 511 keV, we did not obtain the theoretically-achievable sensitivity at the 847 keV line. To reduce the impact of this background via its scattering pattern, we applied a cut of 400 in the angle between the incident and the scattered $`\gamma `$-ray (the so-called $`\overline{\phi }`$ angle (see Schönfelder et al., 1993)). This sacrifices a fraction of source events.

Using these simulated summed responses and the $`\overline{\phi }`$ cut, maps for the two $`\gamma `$-ray energies (shown on the left side in Figure 4) are produced through a maximum-likelihood method. There is no detectable signal from the supernova.

For determination of an upper limit on the flux in the $`\gamma `$-ray lines we estimated statistical and systematic uncertainties. In a histogram of flux values for all pixels in the maps of Fig. 4, the flux variances provide a global measure of the uncertainty. Using the Bayesian method described in Georgii et al. (1997), which accounts for the systematic and statistical uncertainties, 2$`\sigma `$ upper limits of $`5.510^5`$ photons cm-2 s-1 for the 847 keV line and of $`3.210^5`$ photons cm-2 s-1 for the 1238 keV line were determined. The less constraining limit for the 847 keV line is a result of the $`\overline{\phi }`$ cut for background suppression.

Therefore another analysis method was applied to the 847 keV line, only. Here separate maximum-likelihood imaging of the SN1998bu region was made for each mini-telescope (the combination of one single D2 module with all D1 modules) by applying the specific response for each D2 module. With energy cuts at 650 keV, but no $`\overline{\phi }`$ cut, 511 keV background suppression retains better 847 keV sensitivity than above. Since the likelihood values are additive (probabilities) we combined these results to derive a 2$`\sigma `$ upper limit of $`3.110^5`$ photons cm-2 s-1 (see Fig. 5).

### 3.3 Summarizing the results

From the imaging analysis we obtain a 2$`\sigma `$ upper limit of $`3.110^5`$ photons cm-2 s-1 for the 847 keV line and $`3.210^5`$ photons cm-2 s-1 for the 1238 keV line. Spectral analysis yields $`4.110^5`$ photons cm-2 s-1 for the 847 keV line and $`2.310^5`$ photons cm-2 s-1 for the 1238 keV line, respectively. The reason for the different values for both lines in the spectral analysis lies in the steep decrease of the background with the energy. In contrast, in imaging analysis the background on the sky around the source is not much different for both lines.

The analysis presented here was based on the assumption that the emitted lines are narrow. This is justified because of the energy resolution of COMPTEL (about 88 keV for the 847 keV and about 110 keV for the 1238 keV line). However, due to the velocity of the expelled matter, the lines are broadened and even shifted (only shortly after the explosion) by the Doppler effect (see Höflich et al. (1998); Isern (1997)). An analysis of the expected degradation of the upper limits yields for a persistent Doppler broadening of the 1238 keV line of 10 000 km/sec (Höflich et al., 1998), an increase of the $`2\sigma `$ upper limit flux by 12 % compared to the narrow-line assumption. This changes the flux upper limits only marginally and we therefore neglected it.

## 4 Discussion

To compare $`\gamma `$-ray upper limits with theoretical Ni mass predictions, the distance to the SN plays an essential role. The host galaxy M96 had a HST-Cepheid-determined distance of 11.6 $`\pm `$ 0.9 Mpc (Tanvir et al., 1995), later revised to 11.3 $`\pm `$ 0.9 Mpc by Hjorth & Tanvir (1997). This makes SN1998bu one of seven SN observed in galaxies with a distance set by Cepheid measurements. We adopt this distance of 11.3 Mpc for our analysis.

A second key factor is the transparency of the supernova to $`\gamma `$-rays. This is a key issue determining how much radioactive energy is converted into kinetic energy and supernova light. The maximum of the optical light curve (about 10 days after the explosion) is set by a maximum of the product of (declining) energy deposition and (rising) $`\gamma `$-ray energy escape (Pinto and Eastman, 2001). Furthermore, the Compton scattering optical depth to 1 MeV $`\gamma `$-rays is below unity beyond about 50 days after explosion (Pinto et al., 2001), but absorption corrections to observed line $`\gamma `$-rays are probably significant for typical models up to about 100 days after explosion (see e.g. Fig. 11 in Höflich et al., 1998, calculated for energies down to 10 keV, however). This illustrates clearly the importance of $`\gamma `$-ray measurements with high spectral resolution and at those early times, in order to directly address the explosion mechanism: the line shapes and the ratio of the different line intensities from the 56Ni decay chain can reveal the ratio between deposited and directly radiated radioactive energy (e.g. Höflich & Khoklov (1996)).

For illustrative purposes and simplification, we may simply assume as an extreme case that the supernova was transparent for our observation of the gamma-rays from 56Co decay over days 17-136 with emphasis on the late part; in this case we directly convert our flux limits into 56Co (and therefore original 56Ni) masses. Our lowest upper limit for the 1238 keV line of $`2.310^5`$ photons cm-2 s-1 then constrains the visible 56Ni mass to below 0.35 M. If we then want to reconcile this with the 0.77 M of total 56Ni determined bolometrically (Leibundgut, 2000), more than half of the $`\gamma `$-ray energy would be deposited in the supernova over this time window. We therefore do have to look in detail at the energy deposition efficiency around peak optical luminosity and/or effectiveness of $`\gamma `$-ray escape soon thereafter.

For several model classes (detonation, delayed detonation, and sub-Chandrasekhar), $`\gamma `$-ray light curves have been calculated through detailed Monte-Carlo photon transport in the expanding supernova (Höflich et al., 1998; Kumagai, 1998; Isern, 1997; Pinto et al., 2001). Considerable variety in the gamma-ray flux by factors up to 5 arises from the different explosion models, envelope structures, and photon transport treatments employed in such calculations. In Fig. 6, expected $`\gamma `$-ray light curves for a few typical models (Isern, 1998; Kumagai, 1998) are shown, re-scaled for a distance of 11.3 Mpc. In Table 1 we list the 56Ni mass for each of these models, together with time-averaged fluxes over the observation time for each $`\gamma `$-ray line. We see that the predicted 56Co $`\gamma `$-ray flux does not follow the straightforward scaling to the amount of 56Ni, the explosion mechanism and the envelope photon transport determine the time-dependent $`\gamma `$-ray fluxes. For the same type of explosion model, predicted 56Ni masses vary within a factor of two: For the delayed-detonation class of models, values between 0.55 M and 0.96 M have been published (Iwamoto et al., 1999; Woosley and Weaver, 1991; Isern, 1997), as a result of differences in the point at which the initially-slow nuclear burning (deflagration) is assumed to turn into a detonation. This typical intrinsic variability within an explosion type of a factor of two, which directly translates into the $`\gamma `$-ray flux scaling, indicates the systematics which typically remains, within an explosion type. In fact, any of the SNe Ia scenarios (sub-Chandrasekhar, deflagration, delayed detonations, and pulsating delayed detonation models) has been shown to be capabable to produce a wide variety of 56Ni masses ranging from $``$ 0.1 to 1 M (e.g. Nomoto et al. (1984); Höflich & Khoklov (1996); Höflich et al. (1998)).

On the other hand, Fig. 6 illustrates that, for approximately the same amount of total 56Ni, pure deflagration or detonation models are about a factor of two dimmer in $`\gamma `$-rays, while the sub-Chandrasekhar model with substantial 56Ni sitting further outside reaches a $`\gamma `$-ray flux about twice as large as the typical delayed-detonation model.

In Table 1 we also list the time-averaged 56Co $`\gamma `$-ray fluxes of each model, together with our 2$`\sigma `$ upper limits. Our SN1998bu flux limits are well below the ”HeCD” and the ”W7DT” model predictions for both lines. The ”W7”, ”WDD2”, delayed detonation and detonation model fluxes are marginally consistent with our flux limits, while the fluxes predicted from the sub-Chandrasekhar model and the deflagration model are consistent with our limits for both line energies at the adopted distance.

This comparison illustrates that with a 56Ni mass in the ”typical” range derived for SN1998bu, around 0.7-0.8 M (Leibundgut, 2000), we should have seen 56Co $`\gamma `$-rays at least due to those models which turn more rapidly from deflagration into detonation (W7DT) or partially-produce radioactivity in their outer ejecta (HECD). Yet, within Chandrasekhar-type models of the presently-favored type of a delayed transition from deflagration into detonation, a total 56Ni mass as high as about 1 M may still be consistent with our measurement.

At a distance of 9.6 $`\pm `$ 0.6 Mpc (Feldmeier et al., 1997) based on planetary nebulae (PN) all models would be inconsistent with our 1238 keV and 847 keV flux limits, indicating either this distance is incorrect (see (Maoz et al., 1999) for a discussion on a possible correction in the distance ladder scale) or that model treatments generally overestimate the 56Ni masses.

It will require time-resolved measurements of the $`\gamma `$-ray flux (hence a brighter / more nearby supernova or a more sensitive instrument), or exploitation of spectral-shape details as promised by the spectrometer aboard INTEGRAL (see discussion in Isern, 1997), to decide among explosion models from gamma-ray line measurements alone.

###### Acknowledgements.

The COMPTEL project is supported by the German government through DLR grant 50 QV 90968, by NASA under contract NAS5-26645, and by the Netherlands Organization for Scientific Research (NWO).


text:
# Galactic winds in the Intergalactic MediumBased on observations made at the W.M. Keck Observatory which is operated as a scientific partnership between the California Institute of Technology and the University of California; it was made possible by the generous support of the W.M. Keck Foundation.

## 1. Introduction

Feedback from star formation is thought to play an important role in the formation of galaxies. For example, theoretical models require feedback in order not to overproduce the number of low mass galaxies (White & Rees 1978) and the fraction of baryons that cools (e.g., Balogh et al. 2001). Models without feedback also predict disk galaxies that are too small (e.g., Navarro & Steinmetz 1997) and an X-ray background that is too strong (e.g., Pen 1999).

Observations of galactic winds indicate that strong feedback processes do indeed occur. Observations in X-rays, and of optical and UV lines, indicate that most local starbursts (e.g., Heckman 2000), as well as high-redshift Lyman Break galaxies (e.g., Pettini et al. 2001), drive winds with a mass loss rate comparable to their star formation rate. The wind speeds are high, 100-1000 km s-1, and so the conversion of supernova (SN) energy into kinetic energy must be quite efficient. This process is currently not well understood because of the complications that arise from the multiphase nature of the interstellar medium (ISM, e.g., McKee & Ostriker 1977; Efstathiou 2000). Simulations that take some of these complications into account, have shown that SNe can indeed plausibly power a wind (e.g., Mac Low & Ferrara 1999).

Although successful models of galaxies appear to require feedback, the same is not true for models of the high-redshift ($`z2`$) intergalactic medium (IGM). The IGM can be studied in great detail from the properties of the hydrogen absorption lines, seen in the spectra of background quasars (see Rauch 1998 for a review). Hydrodynamical simulations of the IGM (see Efstathiou, Schaye & Theuns 2000 for a recent review) as well as semi-analytic (Bi & Davidsen 1997; Viel et al. 2002) and analytic (Schaye 2001) models, have been very successful in reproducing the statistical properties of the observed H I lines. These models, which generally do *not* take feedback into account (but see Cen & Ostriker 1999), suggest that the Ly$`\alpha `$ forest absorption arises in a network of voids and filaments, with the higher column density absorbers located at the intersections of filaments. The low column density absorbers are extended structures with densities around the cosmic mean, which contain a large fraction of the baryons in the universe.

Although feedback has so far largely been ignored in models of the IGM, the detection of metals in the IGM suggests that it does play a role. The higher column density ($`N_{\mathrm{H}\mathrm{I}}10^{14.5}\text{cm}^2`$) Ly$`\alpha `$ absorption systems generally have detectable absorption by C IV (Cowie et al. 1995) and, at least at $`z2.5`$, O VI (Carswell, Schaye, & Kim 2002). Furthermore, there is statistical evidence that metals are also present at somewhat lower densities (Cowie & Songaila 1998; Ellison et al. 2000; Schaye et al. 2000a). Simple photo-ionization models indicate that the absorbers have a metallicity of order 0.1 – 1 per cent solar (e.g., Cowie et al. 1995; Rauch, Haehnelt, & Steinmetz 1997; Hellsten et al. 1997; Carswell et al. 2002).

If galactic winds are ubiquitous and able to transport mass to large distances, then they may be responsible for enriching the IGM with metals. Indeed, numerical simulations of galactic winds in a cosmological setting (e.g., Gnedin 1998; Cen & Ostriker 1999; Aguirre et al. 2001a, 2001b; Thacker, Scannapieco, & Davis 2002; Springel & Hernquist 2002) suggest that winds could enrich a substantial volume fraction of the IGM to the inferred levels.

Therefore, both observational and theoretical considerations suggest that some fraction of galaxies may undergo an episode in which they blow a strong wind into their surroundings. This may have observational effects on the Ly$`\alpha `$ forest in quasar spectra (Theuns, Mo, & Schaye 2000; Croft et al. 2002), which may have already been detected (Rauch et al. 2001; Adelberger et al. 2002). In this Letter, we use hydrodynamical simulations to investigate whether galactic winds that strongly influence the properties of small galaxies, and are effective in enriching the IGM with metals, can do so without undermining the success of current models of the IGM.

## 2. Hydrodynamical simulations

We have performed simulations of vacuum energy dominated, cosmologically flat cold dark matter models, with cosmological parameters $`(\mathrm{\Omega }_m,\mathrm{\Omega }_bh^2,h,\sigma _8,Y)`$=(0.3,0.019,0.65,0.7,0.24). The lower value of $`\sigma _8`$ was chosen in view of the recent results from the Two-Degree Field survey (Lahav et al. 2002). The simulations are performed using a modified version of HYDRA (Couchman, Thomas & Pearce 1995; Theuns et al. 1998), in which the gas is photo-heated by an imposed uniform UV-background which evolves with redshift and reionizes H I and He I at $`z6`$ and He II at $`z3.2`$. The photoheating rates were adjusted in order to match the temperature measurements of Schaye et al. (2000b), where the current simulation is referred to as the ‘designer’ simulation. Non-equilibrium rates for photoionization, cooling, and heating are computed using the fits in Theuns et al. (1998). The particle masses for dark matter and baryons are $`6.5`$ and $`1.1\times 10^6M_{}`$ respectively, and the simulation box (which has periodic boundary conditions) is 5.0$`h^1`$ (co-moving) Mpc on a side. The Plummer softening is 5$`h^1`$ (co-moving) kpc.

Star formation and feedback are implemented using the prescription described in detail in Kay et al. (2002). Briefly, cold gas with density $`\rho /\rho >1000`$ and temperature $`T<50,000`$ K is converted into collisionless stars. Each star particle heats the nearest gas particle using equation (3) of Kay et al. (2002), with a given efficiency parameter (we use $`ϵ=1`$). Reheated gas is prohibited from cooling for $`10^7`$ yrs to crudely account for the multi-phase nature of the ISM. This simple feedback prescription has the desired effect of blowing hot bubbles around star-forming regions. The heated gas is also enriched with metals. A yield of three times solar matches the metal line data well (see below).

We make no attempt to model the transition from SN bubble to galactic wind correctly, since our simulations lack both in resolution and input physics. We do not include cooling due to metal transitions which could be important. Our primary aim in this preliminary investigation, is to test whether strong feedback in the form of galactic winds can coexist with the Ly$`\alpha `$ forest as we know it from simulations without feedback. We use the galaxy mass function and the properties of the C IV forest to demonstrate that the implemented feedback is indeed significant. We have performed two simulations with identical initial conditions, one with and one without feedback, so that we can examine its effect directly.

## 3. Results

Figure 1 illustrates the effect of feedback from star formation on the density and temperature of the IGM. In the simulation without feedback, the density structure displays the usual filamentary pattern of mildly overdense regions, mostly at temperatures $`10^4`$ K, although accretion shocks have also generated some significantly hotter gas. In the simulation with feedback, galaxies are surrounded by hot, windblown bubbles; in particular, the most massive object in the slice is embedded in a halo of $`1`$Mpc co-moving size, of temperature up to $`10^7`$ K.

Except for the very strong absorption lines, the Ly$`\alpha `$ spectra are not significantly affected by these hot bubbles (Fig. 1, bottom panel). In contrast, feedback has a very strong effect on the stellar masses of the galaxies (Fig. 2). The hot bubbles disrupt or prevent inflow of cold gas, which reduces the star-formation rate dramatically.

We have created absorption spectra along random sight lines through the simulations at $`z=3`$ and fitted them with Voigt profiles using VPFIT (Webb 1987), mimicking a high signal-to-noise, high resolution spectrum (see Theuns, Schaye & Haehnelt 2000 for details of the procedure). We imposed a power-law ionizing background $`J_\nu \nu ^\alpha `$ with spectral slope $`\alpha =1.5`$ and a break at the He II Lyman limit (4 Ryd) such that the softness parameter (i.e., the ratio of the H I and He II ionization rates) $`\mathrm{\Gamma }_{\mathrm{H}\mathrm{I}}/\mathrm{\Gamma }_{\mathrm{He}\mathrm{II}}=10^3`$. Such a soft spectrum may be appropriate for $`z3`$, when He II reionization was incomplete (e.g., Theuns et al. 2002 and references therein). The amplitude of the ionizing flux is scaled to give the simulations the observed mean Ly$`\alpha `$ absorption. The required flux differs by around 10 per cent between the two simulations, with the simulation with feedback requiring more ionizing photons because the density in voids is enhanced by the winds. (Note that this ionizing background differs from the one imposed during the simulation, see Theuns et al. 1998 for tests of such rescaling.)

The Ly$`\alpha `$-column density distribution functions (CDDFs; the number of absorption lines per unit column density, per unit redshift) for the two simulations are compared in Fig. 3a: they are nearly indistinguishable and fit the observations well111The discrepancy between the simulations and the observations for $`N_{\mathrm{H}\mathrm{I}}>10^{15.5}\text{cm}^2`$ is caused mainly by the missing large-scale power due to the finite size of the simulation box.. The same is true for the distribution of absorption line widths ($`b`$-parameters; Fig. 4). This is the main result of this Letter: even though the galaxies in the feedback simulation drive strong winds, there is no discernible effect on the Ly$`\alpha `$-forest. Closer examination of the properties of the hot bubbles reveals why this is so: the winds expand preferentially into the lower density regions (Fig. 1), and so keep the filaments that produce the hydrogen lines intact. Only very strong lines differ noticeably between the two simulations, but this does not affect the statistics significantly.

Another way to demonstrate that our feedback implementation does influence the IGM is by examining the C IV forest. The hot gas surrounding the galaxies has been enriched with metals and produces C IV absorption. We used CLOUDY (version 94; Ferland 2000) to solve the ionization balance equations, computed mock C IV spectra (see Aguirre, Schaye & Theuns 2002 for details) and analyzed them with VPFIT. Fig. 3b shows that the feedback simulation reproduces the observed C IV CDDF very well. In contrast, the low and high end of the CDDF cannot be matched simultaneously by imposing a uniform metallicity (hashed region).

The metal distribution is very inhomogeneous in the simulation, since metals are deposited by the winds predominantly in the surroundings of galaxies. This causes a scatter in the C IV column density for a given Ly$`\alpha `$ column density. We have proceeded as follows to quantify this effect. Find the strongest Ly$`\alpha `$-line in the line-list, and sum up the column-densities of all H I lines, as determined by VPFIT, of which the center falls within $`\pm \mathrm{\Delta }`$km s-1. This is the H I column density of that ‘system’. Use the same algorithm to compute the C IV column-density at the corresponding wavelength. Remove all lines that have contributed to the column-density from the line list, and start again. Fig.3c plots C IV versus H I column density for $`\mathrm{\Delta }=150`$. The feedback simulation reproduces the median and scatter in the observations relatively well, whereas the uniform metallicity case underpredicts the scatter (see also Davé et al 1998).

However, some caution is appropriate. Given that in the observations $`N_{\mathrm{C}\mathrm{IV}}/N_{\mathrm{H}\mathrm{I}}10^{2.6}`$, with no evidence for a trend with $`N_{\mathrm{H}\mathrm{I}}`$ (e.g., Ellison et al. 2000), the lack of strong C IV lines for the uniform metallicity case may be caused in part by the fact that the simulation underpredicts the number of strong H I lines. Using a harder UV background, would increase the metallicity required to match the observations. On the other hand, including metal cooling would increase the C IV fraction (and thus strengthen the C IV lines) considerably for the feedback simulation. With our choice of parameters, the feedback simulation reproduces the C IV data well. However, other choices of parameters might do equally well.

In the feedback simulation, most of the intergalactic metals reside in hot ($`T10^{4.5}10^{6.5}\text{K}`$), relatively metal-rich ($`Z0.11.0Z_{}`$) gas, and collisional ionization has a significant effect on the strength of metal lines such as C IV, N V, and O VI. Consequently, the temperature of the gas that dominates the absorption in one transition, e.g. C IV, can be different from that of another transition, e.g. H I or O VI. In such a scenario one would expect the metal line widths (or $`b`$-parameters) to be higher than in the simulation without feedback (and uniform enrichment). This is in fact not obvious from Fig. 4, because the lines also have a significant nonthermal component. At present, both distributions seem to be in reasonable agreement with the data (filled circles with error bars). Again, some caution is appropriate: metal cooling (which was not included) could reduce both the line widths and the importance of collisional ionization in the feedback simulation. A more detailed investigation of the metal lines is beyond the scope of this letter. Here we merely conclude that the feedback simulation predicts a (highly inhomogeneous) metal distribution that appears to be in reasonable agreement with the current data, but differs significantly from the uniform metallicity models considered previously (e.g. Rauch et al. 1997).

In summary, galactic winds that are strong enough to strongly suppress galaxy formation and to pollute the IGM with enough metals to reproduce the data, do not have a significant effect on the Ly$`\alpha `$-forest. The reason is that the winds fill only a small fraction of the volume and tend to expand into the voids, leaving the filaments that produce the hydrogen lines intact.

Acknowledgments TT thanks PPARC for the award of an Advanced Fellowship, and M Pettini and M Rauch for comments on the ms. JS acknowledges support from the W.M. Keck Foundation and MV from an EARA Marie Curie Fellowship under contract HPMT-CT 2000-00132. This work was supported by the European Community Research and Training Network ‘The Physics of the Intergalactic Medium’ and was conducted in cooperation with Silicon Graphics/Cray Research utilizing the Origin 2000 super computer at the Department of Applied Mathematics and Theoretical Physics in Cambridge.