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# Spectral Ages of CSOs and CSS Sources

## 1 Introduction

This paper considers the spectral age of CSOs and CSS sources. The age is perhaps the most critical parameter in understanding the nature of these intrinsically compact sources that have been alternatively interpreted in terms of young radio sources ($`t10^310^5`$ yr; Phillips & Mutel 1982; Carvalho 1985; Fanti et al. 1995; Snellen et al. 1999) or ordinary age objects ($`t10^610^7`$ yr) confined to subgalactic scales by a particularly dense interstellar medium (van Breugel, Miley, & Heckman 1984).

Recently, two kinds of evidence are proving the youth scenario. First, the measurements of the hot spot separation velocity in a dozen of the most compact CSOs (Owsianik & Conway 1998; Polatidis & Conway, this volume) demonstrate that the majority of these sources are certainly young. The second evidence constitutes the topic of this paper and is based on the derivation of the radiative age from the analysis of the source spectrum.

The determination of the detailed evolution of the relativistic electron population responsible for the non-thermal radiation of radio sources is important because it allows one to acquire critical information concerning the physical conditions in the source emitting regions. In particular, if simple assumptions are satisfied, it is potentially possible to relate the curvature of the synchrotron spectrum to the age of the radiating particle (Kardashev 1962; Kellermann 1964; Pacholczyk 1970; Jaffe & Perola 1974), a method known as ‘spectral ageing’.

Synchrotron losses preferentially deplete high-energy electron populations, leading to a steepening in the emission spectrum beyond a time and magnetic field dependent break frequency

$$\nu _{\mathrm{br}}B^3t_{\mathrm{syn}}^2$$
(1)
where $`B`$ and $`t_{\mathrm{syn}}`$ are the magnetic field strength and the radiative age, respectively.

Expressing the radiative age in years, the magnetic field in mG and the break frequency in GHz one finds111A number of assumptions enter in this formula. The magnetic field $`B`$ is considered to be constant. Synchrotron losses are supposed to dominate over expansion losses at the observing frequencies. The presumed magnetic field energy density in CSS sources and CSOs is of order magnitudes higher than the energy density of the cosmic microwave background photons; inverse Compton losses are therefore neglected. Finally, it is assumed that the pitch angles $`\theta `$ between the electron velocity and the magnetic field direction are isotropically distributed and that the timescale for their continuous re-isotropisation is much shorter than the radiative timescale, $`(B\mathrm{sin}\theta )^2=\frac{2}{3}B^2`$ (Jaffe & Perola 1974).

$$t_{\mathrm{syn}}=5.03\times 10^4B_{\mathrm{mG}}^{1.5}[(1+z)\nu _{\mathrm{br}}]^{0.5}(\mathrm{yr})$$
(2)
where $`z`$ is the source redshift.

Although synchrotron losses always lead to a high-frequency steepening, the exact shape of the spectral curvature depends on the evolution of the energy input into the relativistic electrons. The ‘standard’ synchrotron loss models consider the evolution of the emission from an electron population with an initial power law energy distribution. Two limiting situations can be considered: i) a single injection of relativistic particle and ii) a continuous particle injection. For both models the emission spectrum below the break frequency, where radiative losses are unimportant, is a power law, $`S_\nu \nu ^{\alpha _{\mathrm{inj}}}`$. The models differ in the shape of their high-frequency steepening. In the first case, energy losses lead to a sharp cut-off in the energy spectrum and, hence, to an exponential cut-off in the emission spectrum (JP model: Jaffe & Perola 1974). In the second case, the continuous energy supply limits the change in spectral index at the break frequency to $`\alpha _\mathrm{h}=\alpha _{\mathrm{inj}}+0.5`$ instead of an exponential drop (CI model: Kardashev 1962). The JP model is adequate to describe the spectrum of the source if the regions where the electrons are injected/accelerated can be distinguished from those where they age. Thus, if multifrequency images with proper resolution are available, the measure of the spectral variation can be related to source dynamics. The continuous injection model, instead, is supposed to describe the astrophysical situation in which these regions are not spatially resolved by the telescope beam.

## 2 Integrated Spectra of CSS Sources

Because of their small angular size, CSS sources are unresolved for most scaled arrays, hence it is very difficult to perform detailed spectral ageing studies across the mini-lobes of these objects. It is however possible to use sensitive interferometers such as the Very Large Array (VLA) and single-dish radio telescopes at very high frequencies ($`>10`$ GHz) to study their integrated spectra. This permits us to perform a spectral ageing analysis for a significant number of sources and a large frequency range. We have undertaken such a project with the study of two samples of CSS sources:

* the sample selected from the 3CR and the Peacock & Wall (1981) catalogues (Fanti et al. 1995), 38 sources;
* the B3-VLA CSS sample (Fanti et al. 2001), 87 sources.

We compiled flux densities at different frequencies from the literature and from our own measurements (e.g. VLA 8.5 and 4.9 GHz, Effelsberg 32 GHz, Pico Veleta 230 GHz). Examples of source spectra are shown in Figure 1.

Most of the sources show significant deviation from the classical power law which describes a zero age transparent synchrotron spectrum from a relativistic electron population with power law energy distribution. The deviations from the power law can be summarised as follows: a) a low frequency turnover (the most conspicuous deviation), and b) a steepening at high frequencies. High-frequency flattening, if any, is quite rare. The above deviations are interpreted as due to synchrotron self-absorption and particle energy losses, respectively. Since we are dealing with integrated spectra, we assume that the radio source evolution is described by a continuous injection (CI) model, where the sources are continuously replenished by a constant flow of fresh relativistic particles with a power law energy distribution (see Section 1).

By fitting a numerically computed CI spectrum to the data, one obtains the break frequency $`\nu _{\mathrm{br}}`$, from which the source age is obtained if the magnetic field is provided (equation 2). Since the spectral curvature of the CI spectrum is very gradual and occurs over more than two orders of magnitude in frequency, the spectral measurements above 30 GHz are of fundamental importance to constrain the break frequency.

One disadvantage of the integrated spectra is that the spectra of different source components are mixed up. If the source spectrum is dominated by a jet or by hot spots, the radiative age likely represents the lifetime of the electrons in that component and it is expected to be less (perhaps much less) than the source age. In order to reduce this problem, we follow the same approach of Murgia et al. (1999), classifying the sources on the basis of their VLBI morphology. In particular, we exclude all those sources from the analysis whose morphology is dominated by strong jets or hot spots. In these cases, the radiative age derived from the integrated spectrum might be completely unrelated to the source age. Only when the lobes, which have accumulated the electrons produced over the source lifetime, dominate the source spectrum, is the radiative age $`t_{\mathrm{syn}}`$ likely to represent the age of the source.

The top panel of Figure 2 shows the scaling of the rest frame break frequency as a function of the source linear size (LS). As expected, we found a good inverse correlation between $`\nu _{\mathrm{br}}`$ and LS: the larger a CSS source the smaller is the break frequency, i.e. the break frequency behaves as an effective clock indicating the source age. The bottom panel of Figure 2 shows the spectral age, calculated assuming the equipartition magnetic field, as a function of the source linear size. The equipartition magnetic field has been computed with standard formulae (Pacholczyk 1970). We assumed particle energy equally distributed into electrons and protons, a filling factor of unity, and ellipsoidal geometry, and we considered the radio spectrum from 10 MHz up to 100 GHz. In these ‘lobe dominated’ sources the estimated ages are in the range between $`10^2`$ and $`10^5h^{3/7}`$ years and are well correlated with LS. The corresponding average hot spot advance speed is $`v_{\mathrm{HS}}=LS/2t_{\mathrm{syn}}=0.21h^{4/7}`$ c. This value is relatively close, only about a factor of 2 higher, to the expansion velocities of small size CSOs derived from VLBI observations. As a direct consequence, $`B_{\mathrm{eq}}`$ seems a good estimate for the source magnetic field.

## 3 Multifrequency Imaging of CSOs: the Cases of B1321+321 and B1943+546

It is clear that multifrequency images are necessary in order to determine the spectral age of a single object with a better confidence level. Multifrequency imaging allows us to distinguish the source regions in which the electrons are injected from those in which electrons age, testing the dynamical models.

We present the preliminary results of a multifrequency analysis of the radio spectrum across the lobes of two bright CSOs: B1321+321 (Dallacasa et al. 1995) and B1943+546 (Polatidis et al. 1995). Both sources are identified with galaxies at redshifts of $`z=0.370`$ and $`z=0.263`$, respectively. The sources have been selected on the basis of the following properties:

* VLBI morphology characterised by two, well resolved, microlobes with a linear angular size (LAS) $`50`$ mas; the LAS of the proposed sources is such that we have a reasonable number of resolution elements across the source, without loosing information on the more extended features (lobes).
* The integrated spectrum of each source is optically thin at frequencies $`>`$500 MHz and therefore any possible confusion between genuine spectral steepening due to energy losses and the low frequency turnover due to the absorption processes is excluded.
* The integrated spectra show a clear high-frequency steepening and evidence for significant radiative losses.

We observed B1321+321 and B1943+546 at 1.6, 4.5, 4.9, 8.1, and 8.5 GHz with the VLBA+Effelsberg on 8 and 9 July 2000. We have produced images with reasonable u-v coverage at each frequency and such images are shown in Figure 3. The final resolution is 4 mas and 3.5 mas for B1321+321 and B1943+546, respectively.

### 3.1 B1321+321

The morphology of B1323+321 is characterised by two symmetric microlobes and resembles the prototype of the compact double radio source. Two bright hot spots are located at the edges of the lobes, as seen in the classical extended and powerful sources. The SE lobe, which is closer to the core, has a tail emission to the SW with a shape typical of a back flow. By fitting the JP synchrotron loss model (see Section 1) to the data we determined the variation of the break frequency across the lobes of B1323+321. Examples of spectral fits are shown in Figure 4 (left panel). We found that both hot spots are characterised by a power law ($`\nu _{\mathrm{br}}>20`$ GHz) spectrum with index $`\alpha 0.4`$. This value is consistent with the fit of the optically thin low frequency region of the integrated spectrum (see bottom left panel of Figure 2), in agreement with the idea that the injection of the young electrons occurs in these regions. The radio spectrum in the NW lobe is clearly curved and the break frequency decreases going from the hot spots to the core, a typical behaviour seen in many extended radio sources. The SE lobe spectrum steepens along the back flow tail but flattens in the direction of the core, possibly due to the presence of the underlying jet. From the spectral fits in the NW lobe we found a minimum break frequency of $`\nu _{\mathrm{br}}7`$ GHz. Assuming for the lobe an ellipsoidal geometry of 30$`\times `$25 mas, from standard equipartition formulae (Pacholczyk 1970) we found $`B_{\mathrm{eq}}=4.3\mathrm{mG}`$. The corresponding synchrotron age is $`t_{\mathrm{syn}}=1860h^{3/7}`$ years. Given the source size LS=180 $`h^1`$ pc, the hot spot separation velocity, $`v_{\mathrm{sep}}=0.09`$ pc yr-1 (i.e. 0.3 $`h^{4/7}`$c), results.

### 3.2 B1943+546

The observed structure of B1943+546 consists of a relatively weak core and two microlobes lying in the east–west direction, with the eastern lobe closer to the core. Both lobes contain a bright hot spot. The overall aspect of this CSO is virtually identical to that of a Fanaroff & Riley (1974) type II source but scaled down by a factor of $`1000`$. The spectral behaviour is similar to that of B1323+321 (see Figure 4, right panel). The injection spectral index in the hot spots is $`\alpha 0.4`$ and the break frequency decreases going from the lobe ends toward the core. Again, this is consistent with the dynamical scenario in which the electrons at the centre of the source are ‘older’ than those closer to the hot spots, i.e. the source is expanding in time with the principal site of particle acceleration being the hot spots. We restricted the spectral age calculation to the western lobe since it is brighter then the eastern one and therefore it permits us to measure the break frequency much closer to the core. The lowest break frequency we measured from the spectral fits in this lobe is $`\nu _{\mathrm{br}}4`$ GHz. Assuming for the western lobe an ellipsoidal geometry of 20$`\times `$10 mas we calculate an equipartition magnetic field strength of $`B_{\mathrm{eq}}=6.7\mathrm{mG}`$. The synchrotron age, $`t_{\mathrm{syn}}=1275h^{3/7}`$ years, results. Given the source size LS=107 $`h^1`$ pc, the hot spot separation velocity, $`v_{\mathrm{sep}}=0.086`$ pc yr-1 (i.e. 0.28 $`h^{4/7}`$c), results.

This result agrees quite well with the observation of the hot spot proper motion in this CSO reported by Polatidis & Conway (this volume), $`v_{\mathrm{sep}}=0.26h^1`$c.

## 4 Is There Spectral Evidence for Intermittent Nuclear Activity in CSS Sources?

Several authors have suggested that the large fraction of CSS sources could be explained in terms of recurrent activity in their nuclei (O’Dea & Baum 1997; Reynolds & Begelman 1997). Clues supporting this view are given by the discovery of faint extended emission on kpc scales surrounding some CSOs (Owsianik et al. 1998; Siemiginowska et al. 2002). We have seen that the continuous injection model generally fits the integrated spectra of most CSS sources well. But what happens to the source spectrum if the injection of fresh electrons is discontinuous, as implied by the recurrent activity models? We studied a discontinuous injection model in which active phases are cyclically followed by quiescent phases (Zappacosta 2000). The relative durations of these two periods are free parameters of the model. The model predicts the formation of a high-frequency exponential cut-off in the source spectrum just after the beginning of each relic phase. This extreme break is quickly cancelled after the onset of the successive active phase and the ordinary CI spectral shape is recovered. Thus, in the integrated spectrum we have two break frequencies: $`\nu _{\mathrm{br}}`$, which keeps track of the overall source age, and a second higher break frequency, $`\nu _{\mathrm{br}}^{}`$, which is indicative only of the actual quiescent phase duration.

We found in the B3-VLA CSS sample about 10% of sources characterised by integrated spectra whose steepening is too extreme for the CI model (see Figure 5). The exponential cut-off observed in these spectra is incompatible with the moderate high-frequency steepening predicted by the CI model, suggesting that the injection of fresh electrons in these sources may have ceased for a significant fraction of their lifetime. In many cases, as the example of B3 0856+406 shows (Figure 5), these spectra have a very high injection spectral index $`\alpha _{\mathrm{inj}}1`$. A possible explanation for this is that we are seeing a late relic phase, i.e. many cycles already passed and the first $`\nu _{\mathrm{br}}`$ is now below our lowest observing frequency.

The discovery of such ultra-steep spectrum CSS sources has a double importance. First, it can be used to pinpoint relic CSS source candidates for further high resolution VLBI imaging. Second, an accurate determination of the exact fraction of such steep spectra in CSS complete samples can in principle be used to constrain the ratio between the active and relic timescales.

## 5 Summary

* From the study of integrated spectra we conclude that radiative ages of lobe dominated CSS sources are in the range of up to $`10^5`$ years, if equipartition magnetic fields are assumed. The corresponding average hot spot advance speed is of the order of 0.2 c.
* Thanks to the increasing number of proper motion measurements in hot spots, CSOs will soon become important sources to test the synchrotron ageing theory. We show that, in the case of B1943+546, radiative and kinematic age are in very good agreement.
* The very steep and curved spectra of some B3-VLA CSS sources suggest that the injection of fresh electrons in these sources has ceased for a significant fraction of their lifetime.

## Acknowledgments

I would like to thank my collaborators Carlo Stanghellini, Daniele Dallacasa, Carla & Roberto Fanti, and Karl-Heinz Mack for their continuing support.

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# 1 Introduction

## 1 Introduction

In conventional models for thermal inflation, inflation starts from the state where the symmetry is restored by the thermal effect. One may regard it as a modification of new inflation, where inflation starts at the top of the potential. On the other hand, hybrid inflation starts with large field initial condition. During hybrid inflation, the inflaton field stabilizes the trigger field at the false vacuum. In this respect, hybrid inflaton is similar to chaotic inflation. Taking these things into consideration, it seems rather difficult to construct thermal hybrid inflation without adding unnatural components by hand. What we want to show in this paper is that the collaboration between these different kinds of inflation can be realized in the natural settings of brane inflation. 222In general, inflation with low fundamental scale is very difficult. Baryogenesis in models with low fundamental scale is discussed in ref..

## 2 Thermal hybrid inflation

In this section we first consider an old idea of inverted hybrid inflation where the hybrid potential is used while the initial field expectation value is not large.

Inverted hybrid inflation

In the scenario for inverted inflation, the inflaton field slowly rolls away from the origin, and finally the trigger field terminates inflation. Thus at first sight, it seems possible to construct thermal hybrid inflation, if it is realized in the setups of the inverted scenario. Here we examine the above simplest idea and show that it is indeed quite difficult to be realized without fine-tunings.

Perhaps the simplest way to explain the idea of inverted hybrid inflation is to consider the potential

$$V(\varphi ,\sigma )=\frac{1}{4}\lambda _\sigma \left(\sigma ^2+M^2\right)^2\frac{1}{2}\lambda _{int}\varphi ^2\sigma ^2+\frac{1}{4}\lambda _\varphi \left(\varphi ^2M^2\right)^2$$
(2.1)
where $`\varphi `$ is the inflation field and $`\sigma `$ is the trigger field. Inverted hybrid inflation starts when the inflaton field ($`\varphi `$) stays at the top of the potential ($`\varphi 0`$), where the trigger field is stabilized at $`\sigma =0`$. Here we examine if the thermal initial condition works well for this model. We assume that, because of the thermal effect, $`\varphi `$ is held at the origin during thermal inflation. Since the inflaton field ($`\varphi `$) stays at $`\varphi =0`$, the trigger field ($`\sigma `$) is also held at a false vacuum $`\sigma =0`$ until $`\varphi `$ reaches the critical value $`\varphi _c`$. Then the effective mass squared for the $`\sigma `$ field becomes negative, allowing $`\sigma `$ to roll down to its true vacuum. In this simplest model, however, the dimensionless coupling constant $`\lambda _\varphi `$ must be fine-tuned so that thermal inflation is allowed, which is the same situation as the original model for thermal inflation. Naively, one may consider a flat potential for $`\varphi `$

$$V(\varphi ,\sigma )=\frac{1}{4}\lambda _\sigma \left(\sigma ^2+M^2\right)^2\frac{1}{2}\lambda _{int}\varphi ^2\sigma ^2\frac{1}{2}m_\varphi ^2\varphi ^2+A_n\frac{\varphi ^{n+4}}{M^n},$$
(2.2)
assuming that the potential for the inflaton $`\varphi `$ is flat in the supersymmetric limit and is destabilized by the soft supersymmetry breaking term, which is denoted by $`\frac{1}{2}m_\varphi ^2\varphi ^2`$. In this case, the flatness of the potential seems to be ensured by supersymmetry. However, as is already discussed in ref., it is hard to obtain a flat potential while making the required coupling large enough to destabilize the trigger field at the end of inflation. Moreover, if one wants to construct “strong” thermal inflation with the number of e-foldings $`N_e>35`$, one should consider another constraint for $`\lambda _\sigma M^4`$. During thermal inflation, the inflaton field is stabilized at the symmetric point by the thermal effect. Thermal inflation starts at $`T_{in}\left(\frac{1}{4}\lambda _\sigma M^4\right)^{1/4}`$ and ends at $`T_cm_\varphi `$. The expansion during this period is $`N_eln\left(\frac{T_{in}}{T_c}\right)`$. In order to obtain large number of e-foldings, the vacuum energy during thermal inflation must be as large as $`V_0^{1/4}m_\varphi e^{N_e}`$. Within the setups of the conventional models for supergravity, it seems very hard to satisfy any of the above constraints without adding unnatural extra components.

Thus we conclude that the model is not suitable for our purposes. We will show that these problems are solved in the setups of brane inflation.

Non-tachyonic brane inflation

Here we consider non-tachyonic brane inflation in ref., and examine whether one can construct a model that is suitable for our purposes. The model should be similar to the model of inverted hybrid inflation that we have discussed above. For example, we consider a potential of the form

$$V(\varphi ,\sigma )=\frac{1}{4}\lambda _\sigma \left(\sigma ^2+M^2\right)^2\frac{1}{2}\lambda _{int}e^{(M_0r)^2}\varphi ^2\sigma ^2+\frac{1}{4}\lambda _\varphi \left(\varphi ^2M^2\right)^2.$$
(2.3)
Here we have considered two branes at a distance, which we denote by 1 and 2. The field $`\sigma `$ and the field $`\varphi `$ are localized on brane 1 and brane 2, respectively. 333 Here we consider the case in which fields are localized on the branes. The forms of their wave-functions will be gaussian that decays exponentially in the transverse directions. For example, we consider the form;
$$\varphi (r)e^{(M_0r)^2},$$
(2.4)  where $`r`$ denotes the transverse distance from the center of the brane, and $`M_0^1`$ is the width of the wave-function. When branes are separated, the couplings between localized modes from different branes will decay exponentially. On the other hand, when branes are on top of each other, the couplings are restored. The effect of the localized wave-functions is included in the second term in eq.(2.3). The interaction term is accompanied by an exponential factor, because the field $`\varphi `$ and the field $`\sigma `$ are localized on different branes at a distance $`r`$. On can easily find that the above effective four-dimensional potential is a simple modification of the potential for inverted hybrid inflation. In this model, the inflaton field is the moduli for the brane distance $`r`$, which we denote by $`\psi =M_{}^2r`$. The most obvious difference is that the field $`\varphi `$ is not required to be placed at the unstable point. Inflation starts because the exponential factor is nearly zero at the beginning of inflation. If $`\lambda _{int}M^2>\lambda _\sigma M^2`$, the field $`\sigma `$ is destabilized at the end of inflation, when two branes come close.

It is possible to express the above idea (separation between branes drives hybrid inflation) in the explicit supersymmetric form. The simplest example is the F-term brane inflation. On one brane, we assume a localized superfield $`\mathrm{\Sigma }`$ and its superpotential of the form

$$W_1=\mathrm{\Sigma }M^2.$$
(2.5)
On the other brane, we assume that another field $`\mathrm{\Phi }`$ is localized and its superpotential is $`W_2=0`$. When two branes come close, we assume another superpotential of the form

$$W_{int}=\mathrm{\Sigma }(M^2\lambda _i\mathrm{\Phi }^2e^{(M_0r)^2}),$$
(2.6)
where $`r`$ denotes the distance between branes. One can explain the forms of the superpotential by imposing R-symmetry. In eq.(2.3), the vacuum energy during inflation is positive because $`\sigma `$ is located at the false vacuum ($`\sigma =0`$). In the present case, the vacuum energy during inflation is due to the supersymmetry breaking induced by $`\mathrm{\Sigma }`$. In both cases, the interaction is restored at the end of inflation. In eq.(2.3), the potential for $`\sigma `$ is destabilized by the interaction. In the present case, supersymmetry restoration is induced by the interaction term.

For an another example, we may consider a localized Fayet-Iliopoulos D-term on a brane at $`\stackrel{}{r}=0`$,

$$\xi D\delta (\stackrel{}{r})$$
(2.7)
where $`D`$ is an auxiliary field of the vector superfield. We consider an additional abelian gauge group $`U(1)_X`$ in the bulk, while the Fayet-Iliopoulos term for $`U(1)_X`$ is localized on a brane. We also include the field $`\varphi _X`$ that has $`U(1)_X`$ charge and localized on the other brane at $`\stackrel{}{r}=\stackrel{}{r_1}`$. Then the D-flat condition is

$$\xi \delta (\stackrel{}{r})+c_X(|\varphi _X^+|^2|\varphi _X^{}|^2)\delta (\stackrel{}{r}\stackrel{}{r_1})=0,$$
(2.8)
where $`c_X`$ is a constant, and the $`\delta `$-functions are gaussian located on each branes. When two branes are placed at a distance ($`|\stackrel{}{r_1}|>>M_{}^1`$), the Fayet-Iliopoulos term breaks supersymmetry on the brane, and inflation starts. In this case, as in the conventional models for brane inflation, the inflaton field is the moduli that parametrizes the brane distance. The moduli is denoted by $`\psi =M_{}^2r_1`$, where $`M_{}`$ denotes the fundamental scale of the model.

The issue of the potential for the brane distance is discussed by many authors for many models. Of course, there are many contributions at the same time, which will take different forms. For the typical example,

* The simple $`m_{3/2}^2`$ correction from the effective low energy discription of supergravity.
* The loop corrections to the Kähler metric that comes from the particles of the mass $`Mr^2`$.
* Since the cancellation between the graviton-dilaton attraction and the RR repulsion fails when supersymmetry is broken, the Van der Waals forces between branes will appear.

The trigger field is the localized field $`\varphi _X`$, which develops vacuum expansion value to compensate the D-term (2.7) when two branes come close.

The most significant difference from the original model for inverted hybrid inflation is that the interaction that destabilizes the trigger field is accompanied by an exponential factor $`e^{(M_{}^1\psi )^2}`$. The destabilization in the potential (2.3) is not due to the variation of the field $`\varphi `$, but due to the variation of the effective interaction constant $`\lambda _{int}e^{(M_{}^1\psi )^2}`$.

In this case, however, the initial expectation value for the inflaton is large. In this respect, to collaborate with thermal inflation, we should modify the initial condition for the above extended model for hybrid inflation. To find the solution for the problem, we must first review the original idea for thermal brane inflation that was advocated in ref.. In ref., it is discussed that an open string model can be thermalized to stabilize a brane on the top of the different brane. Unlike the usual models for brane inflation that starts with a large expectation value for the inflaton field, thermal brane inflation starts at the top of an another brane.

Thermal brane inflation (original)

Let us briefly review the idea of thermal brane inflation proposed by Dvali. The following conditions are required so that the mechanism functions.

1) Exchange of the bulk modes such as graviton, dilaton or RR fields govern the brane interaction at the large distance.

2) In the case when branes initially come close, bulk modes are in equilibrium and their contribution to the free energy can create a positive $`T^2`$ mass term for $`\psi `$ to stabilize the branes on top of each other until the Universe cools down to a certain critical temperature $`T_cm_s`$.444 The author of ref. considered open string modes stretched between different branes. When branes are on top of each other, these string modes are in equilibrium and their contribution to the free energy creates a positive $`T^2`$ mass term. One may also worry about the problem of the domain wall formation. In this model, domain wall formation is possible only when the broken symmetry allows cosmological domain walls. For example, domain walls may be formed when the number of the transverse dimension is one, and at the same time the distant brane B is not located at the boundary. In such a case, the moving brane will have degenerated $`\pm `$ directions. The above situation is already excluded in the original model.  Here $`m_s`$ represents the negative curvature of $`\psi `$ at the origin, which is determined by the supersymmetry breaking.

The resultant scenario of thermal inflation is straightforward. Assuming that there was a period of an early inflation with a reheat temperature $`T_RM`$, and at the end of inflation some of the repelling branes sit on top of each other stabilized by the thermal effects, one can obtain the number of e-foldings

$$N_e=ln(\frac{T_R}{T_c}).$$
(2.9)
Taking $`T_R10TeV`$ and $`T_c10^310`$ MeV, one finds $`N_e1015`$, which is consistent with the original thermal inflation and is enough to get rid of unwanted relics.555See also the previous arguments in ref. In the original model the crucial restriction appears in $`m_s`$, which must be large enough to satisfy the lower limit for the reheating temperature.666For example, the reheating temperature for the original thermal brane inflation is
$$T_R\sqrt{\frac{m_{osc}^3}{\varphi _0^2}M_p}$$
(2.10)  where $`m_{osc}`$ and $`\varphi _0`$ are the mass of the oscillating inflaton field and the vacuum expectation value of the inflaton at the true vacuum, respectively. Here we have omitted the numerical factors. Of course, the negative mass at the origin ($`m_s`$) and the mass of the oscillating inflaton ($`m_{osc}`$) is different. However, as is discussed in the footnote 7, it seems hard to believe that $`m_s<<m_{osc}`$ is realized in natural settings. Thus we assume $`m_s>m_{osc}`$. In any case, the reheating temperature must be larger than the temperature of the nucleosynthesis. On the other hand, if one requires large number of e-foldings, one needs small $`m_s`$ and large $`\varphi _0`$ so that the thermal inflaton lasts long. In the original model for thermal brane inflaton, $`m_{osc}10MeV>>m_{3/2}`$ is assumed.  In our model, the above restriction is actually removed.

Hybrid alternative (Thermal hybrid inflation in the brane universe)

Now it seems straightforward to improve the initial condition for non-tachyonic brane inflation to fit the settings of thermal brane inflation. To explain the idea, let us consider two branes (brane A and brane B) fixed on some point in the extra dimensions, and a moving brane that is not fixed yet. In the true vacuum, the moving brane stays on top of brane A, while the thermal effects confine it on top of brane B during thermal inflation. As we have discussed above, the initial condition for the non-tachyonic brane inflation is satisfied within the above settings. What we want to consider in this paper is a hybridization of thermal brane inflation and non-tachyonic brane inflation. Thermal hybrid inflation occurs if a moving brane, which is responsible for the supersymmetry on brane A attaches to an another brane at a distance. If the components on each brane are appropriate to meet the requirement from non-tachyonic brane inflation, thermal inflation starts. At the end of thermal inflation, the moving brane falls apart from brane B and moves toward brane A. When the moving brane come near to brane A, the spontaneously broken supersymmetry is recovered and the inflation ends with the oscillation of the field on the brane.

There are two unique characteristic features in this model. In conventional models for thermal inflation, there is a lower limit for the mass of the inflaton field that is derived from the requirement for the reheating temperature. This constraint is removed in our model because of the hybrid potential. The second is that thermal inflation can become “strong” in our model. To be more precise, we show why the conventional models for thermal inflation were “weak”. In generic models for thermal inflation, inflation starts at $`T_{in}\sqrt{m_IM}`$, where $`M`$ and $`m_I`$ are the vacuum explain value of the inflation field in the true vacuum and the mass of the inflaton field, respectively. Thermal inflaton ends at the temperature $`T_{end}m_I`$. During this period, the Universe expands with the number of e-foldings of

$$N_eln\left(\frac{T_{in}}{T_{end}}\right)ln\left(\sqrt{\frac{M}{m_I}}\right).$$
(2.11)
In this case, even if $`M`$ is as large as the GUT scale, the number of e-foldings is at most $`N_e17`$ for $`m_I1`$GeV. Thus we should conclude that the conventional model for thermal inflation is a model for weak inflation, which cannot be used for the first inflation.

In our model, however, the situation is changed. The energy density during inflation, which we denote by $`V_0`$, is not related to the mass of the inflaton field. The expected number of e-foldings is

$$N_eln\left(\frac{T_{in}}{T_{end}}\right)=ln\left(\frac{V_0^{1/4}}{m_I}\right).$$
(2.12)
Although F-term inflation is successful in our model, one must consider D-term inflation if one wants to protect inflaton mass from corrections of O(H), where $`H`$ denotes the Hubble parameter. For example, in models with $`M_{}>M_{GUT}`$ and the gauge-mediated supersymmetry breaking on the brane, the number of e-foldings becomes $`N_e42`$ for $`V_0^{1/4}10^{12}GeV`$ and $`m_I1keV`$. On the other hand, when the fundamental scale is low, one can obtain the number of e-foldings $`N_e35`$ for $`V_0^{1/4}10^6`$GeV and $`m_I10^2`$keV.777 Here we should explain how to get soft masses for the conventional supersymmetric standard model. In the above examples, we have assumed that the standard model fields and the source of the conventional supersymmetry breaking are localized on brane A. We have also assumed that the supersymmetry breaking is mediated to the standard model by renormalizable interactions on brane A. On the other hand, the source of the supersymmetry breaking during inflation can be located either on brane A or on the moving brane. Of course the scale of the supersymmetry breaking during inflation is higher and independent from the conventional (supersymmetric standard model) supersymmetry breaking. Considering the above conditions, we have assumed that the mass of the inflaton near brane B during inflation is mediated by the gravitational interactions. All the sources of the supersymmetry breaking are assumed to be located on brane A. If the source of the supersymmetry breaking is located on the moving brane, the inflation mass ($`m_I`$) during thermal inflation will become larger because during inflation the moving brane attaches to brane B, where excitation of light modes are expected. The effective mass of the inflaton will be $`m_Im_{3/2}<<\sqrt{V_0/M_p}`$, if thermal brane inflation is induced by the D-term. In any case, the inflation mass ($`m_I`$) and the number of e-foldings ($`N_e`$) are strongly model dependent. We stress that $`m_I`$ is not the mass in the true vacuum, but the effective mass at a distance.

## 3 Conclusions and Discussions

In this paper we have constructed an example for thermal hybrid inflation. In conventional thermal inflation, the requirement from the reheating temperature puts a lower bound on the mass of the inflaton field. The mass of the inflaton and the height of the potential during inflation is intimately related to prevent “strong” inflation. Our naive expectation is that one can remove the above constraints if thermal inflation is realized within the setups for hybrid inflation. With these things in mind, we have constructed a realistic model for thermal hybrid inflation. We have considered this problem in the scenarion of the brane world. Our result drastically modifies the cosmological scenarios related to thermal inflation. For example, in ref., the curvaton hyposesis is discussed in the framework of thermal inflation. In ref., they have concluded that the cosmological scales cannot leave the horizon during ordinary thermal inflation, because the constraint from the reheating temperature cannot meet the requirement. However, as we have discussed above, such a constraint is removed in our model.

We believe that our new model for thermal inflation opens up new possibilities for the brane world.

## 4 Acknowledgment

We wish to thank K.Shima for encouragement, and our colleagues in Tokyo University for their kind hospitality.


text:
# A bilateral series involving basic hypergeometric functions

## 1. Introduction

The object of the present paper is to study bilateral series of a type that first appeared in the work of Koelink and Stokman \[KS\], in the context of harmonic analysis on the $`\mathrm{SU}(1,1)`$ quantum group. They needed to compute sums of the form

(1)
$$\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}{}_{2}{}^{}\varphi _{1}^{}(\genfrac{}{}{0pt}{}{a,b}{c};q,xq^n){}_{2}{}^{}\varphi _{1}^{}(\genfrac{}{}{0pt}{}{d,e}{f};q,yq^n)t^n,$$

which appeared as matrix elements of quantum $`\mathrm{SU}(1,1)`$ representations. Several special cases were considered, with different, very technical, proofs (some of these proofs were found by Mizan Rahman, see the appendix to \[KS\]).

In joint work with Koelink \[KR\], we gave an extension of the summation formulas from \[KS\], with a unified proof. Namely, we showed that under natural conditions of convergence and the assumption

(2)
$$abde=cf,fx=dey$$

(and thus also $`cy=abx`$), the sum in (1) can be expressed as the sum of two $`{}_{8}{}^{}W_{7}^{}`$ series, or, alternatively, as the sum of three balanced $`{}_{4}{}^{}\varphi _{3}^{}`$ series. From the quantum algebraic viewpoint, which was only briefly mentioned in \[KR\], this computes a general class of matrix elements for the strange, the complementary and the principal unitary series of quantum $`\mathrm{SU}(1,1)`$. The proof in \[KR\] is similar to, though not an extension of, one of Rahman’s proofs in \[KS\]. In particular, it is quite technical and involves rather non-obvious applications of $`q`$-series transformations.

In a related paper \[S\], Stokman considered matrix elements for the principal unitary series and gave a very simple proof for their expression as $`{}_{8}{}^{}W_{7}^{}`$ series. The idea is simple but powerful: the representations are realized on $`\mathrm{L}^2\left(𝕋\right)`$, where one wants to compute the scalar product of two particular functions. Expanding both functions as Fourier series gives a special case of the sum (1). Stokman’s observation, which is our starting point, is that the integral defining the scalar product can be computed very easily using residue calculus.

Our aim is to use Stokman’s method not only to give a simple proof of the summation formula in \[KR\], but also to give a far-reaching extension of this identity.

Dedication: This paper would not have been written without the pioneering contributions of Mizan Rahman. I’m happy to know him, not only through his work as a master of identities, but also as a genuinely kind and helpful person. It is a pleasure to dedicate this paper to him as a small token of my appreciation.

## 2. A bilateral summation

We will now state the main result of the paper. Throughout, we use the standard notation of \[GR\]. The base $`q`$ is assumed to satisfy $`0<\left|q\right|<1`$. We denote by $`{}_{r+1}{}^{}\varphi _{r}^{}`$ not only the convergent basic hypergeometric series, but also its analytic continuation to $`_1`$; cf. \[GR, §4.5\].

###### Theorem 2.1.

Let $`x,y_{>0}`$, and let the other parameters below satisfy

(3)
$$\underset{ij}{\mathrm{max}}\left(\left|a_ic_j\right|\right)<\left|t\right|<1,$$

(4)
$$\left|qyb_1\mathrm{}b_k\right|<\left|xa_1\mathrm{}a_{k+1}\right|.$$

Then the following identity holds:

(5)
$$\begin{array}{c}\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}{}_{k+1}{}^{}\varphi _{k}^{}(\genfrac{}{}{0pt}{}{a_1,\mathrm{},a_{k+1}}{b_1,\mathrm{},b_k};q,xq^n){}_{l+1}{}^{}\varphi _{l}^{}(\genfrac{}{}{0pt}{}{c_1,\mathrm{},c_{l+1}}{d_1,\mathrm{},d_l};q,yq^n)t^n\hfill \\ \hfill \begin{array}{cc}& =\frac{(q,xt,q/xt,a_1,\mathrm{},a_{k+1},b_1/t,\mathrm{},b_k/t;q)_{\mathrm{}}}{(t,x,q/x,a_1/t,\mathrm{},a_{k+1}/t,b_1,\mathrm{},b_k;q)_{\mathrm{}}}\hfill \\ & \times {}_{k+l+2}{}^{}\varphi _{k+l+1}^{}(\genfrac{}{}{0pt}{}{t,qt/b_1,\mathrm{},qt/b_k,c_1,\mathrm{},c_{l+1}}{qt/a_1,\mathrm{},qt/a_{k+1},d_1,\mathrm{},d_l};q,\frac{qyb_1\mathrm{}b_k}{xa_1\mathrm{}a_{k+1}})\hfill \\ & +\frac{(q,a_1x,q/a_1x,yt/a_1,qa_1/yt,a_2,\mathrm{},a_{k+1},b_1/a_1,\mathrm{},b_k/a_1;q)_{\mathrm{}}}{(x,q/x,y,q/y,t/a_1,a_2/a_1,\mathrm{},a_{k+1}/a_1,b_1,\mathrm{},b_k;q)_{\mathrm{}}}\hfill \\ & \times \frac{(c_1,\mathrm{},c_{l+1},a_1d_1/t,\mathrm{},a_1d_l/t;q)_{\mathrm{}}}{(a_1c_1/t,\mathrm{},a_1c_{l+1}/t,d_1,\mathrm{},d_l;q)_{\mathrm{}}}\hfill \\ & \times {}_{k+l+2}{}^{}\varphi _{k+l+1}^{}(\genfrac{}{}{0pt}{}{a_1,qa_1/b_1,\mathrm{},qa_1/b_k,a_1c_1/t,\mathrm{},a_1c_{l+1}/t}{qa_1/t,qa_1/a_2,\mathrm{},qa_1/a_{k+1},a_1d_1/t,\mathrm{},a_1d_l/t};q,\frac{qyb_1\mathrm{}b_k}{xa_1\mathrm{}a_{k+1}})\hfill \\ & +\mathrm{idem}(a_1;a_2,\mathrm{},a_{k+1}).\hfill \end{array}\end{array}$$

Here, $`\mathrm{idem}(a_1;a_2,\mathrm{},a_{k+1})`$ denotes the sum of the $`k`$ terms obtained by interchanging $`a_1`$ with each of $`a_2,\mathrm{},a_{k+1}`$. As is customary, we implicitly assume that the parameters are such that one never divides by zero. Note also that interchanging the roles of $`{}_{k+1}{}^{}\varphi _{k}^{}`$ and $`{}_{l+1}{}^{}\varphi _{l}^{}`$ gives an alternative expression for the series, which is valid when (4) is replaced by the condition $`\left|qxd_1\mathrm{}d_l\right|<\left|yc_1\mathrm{}c_{l+1}\right|`$. These two expressions are related by \[GR, (4.10.10)\].

In \[KR\], we computed the sum when $`k=l=1`$ and, crucially to the methods used there, (2) holds. The latter condition means exactly that the three $`{}_{4}{}^{}\varphi _{3}^{}`$ series on the right-hand side of (5) are balanced. In this case Theorem 2.1 reduces to \[KR, (3.13)\], rather than the alternative expression as a sum of two $`{}_{8}{}^{}W_{7}^{}`$ series given in \[KR, Proposition 3.1\].

Our main tool is the following lemma from \[KR\], where it was used only in the case $`k=5`$. Here we need the general case.

###### Lemma 2.2.

For

(6)
$$\underset{i}{\mathrm{max}}\left(\left|a_i\right|\right)<\left|t\right|<1$$

and $`x_{>0}`$ one has

(7)
$$\begin{array}{c}\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}{}_{k+1}{}^{}\varphi _{k}^{}(\genfrac{}{}{0pt}{}{a_1,\mathrm{},a_{k+1}}{b_1,\mathrm{},b_k};q,xq^n)t^n\hfill \\ \hfill =\frac{(q,a_1,\mathrm{},a_{k+1},xt,q/xt,b_1/t,\mathrm{},b_k/t;q)_{\mathrm{}}}{(x,q/x,b_1,\mathrm{},b_k,t,a_1/t,\mathrm{},a_{k+1}/t;q)_{\mathrm{}}}.\end{array}$$

In \[KR\], this was proved using the explicit formula for analytic continuation of $`{}_{k+1}{}^{}\varphi _{k}^{}`$ series. It is possible to give a much simpler proof using integral representations. Namely, the coefficient of $`t^n`$ in the Laurent expansion of the right-hand side in the annulus (6) is given by

(8)
$$\frac{(q,a_1,\mathrm{},a_{k+1};q)_{\mathrm{}}}{(x,q/x,b_1,\mathrm{},b_k;q)_{\mathrm{}}}\frac{1}{2\pi i}\frac{(xt,q/xt,b_1/t,\mathrm{},b_k/t;q)_{\mathrm{}}}{(t,a_1/t,\mathrm{},a_{k+1}/t;q)_{\mathrm{}}}t^{n1}𝑑t,$$

where the integral is over a positively oriented contour encircling the origin inside the annulus. This is an integral of the form \[GR, (4.9.4)\], which is computed there using residue calculus. If $`\left|xq^n\right|<1`$, its value is given by \[GR, (4.10.9)\] as the $`{}_{k+1}{}^{}\varphi _{k}^{}`$ series in (7). Since (8) is analytic in $`x`$, this also holds for $`\left|xq^n\right|1`$ in the sense of analytic continuation.

###### Remark 2.3.

More generally, \[GR, (4.10.9)\] may be used to express the Laurent coefficients of

(9)
$$\underset{i=1}{\overset{m}{}}\frac{(\alpha _it;q)_{\mathrm{}}}{(\gamma _it;q)_{\mathrm{}}}\underset{i=1}{\overset{n}{}}\frac{(\beta _i/t;q)_{\mathrm{}}}{(\delta _i/t;q)_{\mathrm{}}}$$

in the annulus

(10)
$$\underset{i}{\mathrm{max}}\left|\delta _i\right|<\left|t\right|<\underset{i}{\mathrm{min}}\left(1/\left|\gamma _i\right|\right)$$

as sums of analytically continued basic hypergeometric series.

###### Proof of *Theorem 2.1*.

Similarly as in \[KR\], it is easy to check that (3) is the natural condition for absolute convergence of the left-hand side of (5). We first rewrite this series as an integral. For this we make the preliminary assumption that $`t`$ is real with

(11)
$$\underset{ij}{\mathrm{max}}(\left|a_i\right|,\left|c_j\right|)<t^{1/2}<1.$$

Writing $`f_k(t;a,b,x)`$ for either side of (7), we consider the integral

$$\frac{1}{2\pi i}_{\left|z\right|=t^{1/2}}f_k(z;a,b,x)f_l(\overline{z};c,d,y)\frac{dz}{z}.$$

Using the expression on the left-hand side of (7) together with orthogonality of the monomials, we find that it equals the sum in (5).

To compute the integral, we plug in the expressions from the right-hand side of (7). The integrand is then of the form (9), with $`\alpha =(x,q/yt,d_1/t,\mathrm{},d_l/t)`$, $`\beta =(q/x,yt,b_1,\mathrm{},b_k)`$, $`\gamma =(1,c_1/t,\mathrm{},c_{l+1}/t)`$, $`\delta =(t,a_1,\mathrm{},a_{k+1})`$. Note that (10) and (11) are equivalent. Thus, we again have an integral of the form \[GR, (4.9.4)\]. The condition (4) is precisely \[GR, (4.10.2)\], which ensures that the singularity at $`z=0`$ does not contribute to the integral. The value of the integral is then given by \[GR, (4.10.8)\] as a sum of $`k+2`$ terms, each being a $`{}_{k+l+4}{}^{}\varphi _{k+l+3}^{}`$ series. However, because of the condition $`\alpha _1\beta _1=\alpha _2\beta _2=q`$, they all reduce to type $`{}_{k+l+2}{}^{}\varphi _{k+l+1}^{}`$. This proves Theorem 2.1 under the assumption (11). By analytic continuation in $`t`$, this may be replaced with the weaker condition (3). ∎

###### Remark 2.4.

Using instead of Lemma 2.2 the Laurent expansion of the general product (9) gives a generalization of Theorem 2.1, where the two basic hypergeometric series on the left-hand side of (5) are replaced by finite sums of such series.

In the case $`l=0`$, one may use the $`q`$-binomial theorem to sum the series $`{}_{1}{}^{}\varphi _{0}^{}`$ in Theorem 2.1. The condition $`y_{>0}`$ is then superfluous. We find this special case interesting enough to write out explicitly. Compared to Theorem 2.1 we have made the change of variables $`yc`$, $`c_1d/c`$.

###### Corollary 2.5.

Let $`x_{>0}`$, and assume that

$$\underset{i}{\mathrm{max}}\left(\left|a_id/c\right|\right)<\left|t\right|<1,\left|qcb_1\mathrm{}b_k\right|<\left|xa_1\mathrm{}a_{k+1}\right|.$$

Then the following identity holds:

$$\begin{array}{c}\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}\frac{\left(c\right)_n}{\left(d\right)_n}{}_{k+1}{}^{}\varphi _{k}^{}(\genfrac{}{}{0pt}{}{a_1,\mathrm{},a_{k+1}}{b_1,\mathrm{},b_k};q,xq^n)t^n\hfill \\ \hfill \begin{array}{cc}& =\frac{(q,xt,q/xt,c,a_1,\mathrm{},a_{k+1},b_1/t,\mathrm{},b_k/t;q)_{\mathrm{}}}{(t,x,q/x,d,a_1/t,\mathrm{},a_{k+1}/t,b_1,\mathrm{},b_k;q)_{\mathrm{}}}\hfill \\ & \times {}_{k+2}{}^{}\varphi _{k+1}^{}(\genfrac{}{}{0pt}{}{t,d/c,qt/b_1,\mathrm{},qt/b_k}{qt/a_1,\mathrm{},qt/a_{k+1}};q,\frac{qcb_1\mathrm{}b_k}{xa_1\mathrm{}a_{k+1}})\hfill \\ & +\frac{(q,d/c,a_1x,q/a_1x,ct/a_1,qa_1/ct,a_2,\mathrm{},a_{k+1},b_1/a_1,\mathrm{},b_k/a_1;q)_{\mathrm{}}}{(x,q/x,q/c,d,a_1d/ct,t/a_1,a_2/a_1,\mathrm{},a_{k+1}/a_1,b_1,\mathrm{},b_k;q)_{\mathrm{}}}\hfill \\ & \times {}_{k+2}{}^{}\varphi _{k+1}^{}(\genfrac{}{}{0pt}{}{a_1,a_1d/ct,qa_1/b_1,\mathrm{},qa_1/b_k}{qa_1/t,qa_1/a_2,\mathrm{},qa_1/a_{k+1}};q,\frac{qcb_1\mathrm{}b_k}{xa_1\mathrm{}a_{k+1}})\hfill \\ & +\mathrm{idem}(a_1;a_2,\mathrm{},a_{k+1}).\hfill \end{array}\end{array}$$

Note that in the case $`c=d`$, the first $`{}_{k+2}{}^{}\varphi _{k+1}^{}`$ on the right-hand side reduces to $`1`$ and the remaining terms to $`0`$. Thus, we recover Lemma 2.2. We also remark that if we choose $`k=0`$ in Corollary 2.5 and replace $`xa`$, $`a_1b/a`$, we obtain the transformation formula

$$\begin{array}{cc}\hfill {}_{2}{}^{}\psi _{2}^{}(\genfrac{}{}{0pt}{}{a,c}{b,d};q,t)& =\frac{(q,b/a,c,at,q/at;q)_{\mathrm{}}}{(q/a,b,d,t,b/at;q)_{\mathrm{}}}{}_{2}{}^{}\varphi _{1}^{}(\genfrac{}{}{0pt}{}{t,d/c}{aqt/b};q,\frac{qc}{b})\hfill \\ & +\frac{(q,q/b,d/c,act/b,qb/act;q)_{\mathrm{}}}{(q/a,q/c,d,at/b,bd/act;q)_{\mathrm{}}}{}_{2}{}^{}\varphi _{1}^{}(\genfrac{}{}{0pt}{}{b/a,bd/act}{qb/at};q,\frac{qc}{b}).\hfill \end{array}$$

This identity is also obtained by choosing $`r=2`$, $`c_1=qa_2`$, $`c_2=b_2`$ in \[GR, (5.4.3)\], and then applying \[GR, (III.1)\] to both $`{}_{2}{}^{}\varphi _{1}^{}`$ series on the right-hand side.


text:
# References

Black Hole thermodynamics without a black hole?

Victor Berezin

Institute for Nuclear Research, Russian Academy of Sciences,

60th October Anniversary prospect, 7a,Moscow, Russia

berezin@ms2.inr.ac.ru

and

Max Plank Institute for Gravitational Physics,

Albert Einstein Institute, Am Muhlenberg, 1, Golm, Germany

Abstract

In the present paper we consider, using our earlier results, the process of quantum gravitational collapse and argue that there exists the final quantum state when the collapse stops. This state, which can be called the “no-memory state”, reminds the final “no-hair state” of the classical gravitational collapse. Translating the “no-memory state” into classical language we construct the classical analogue of quantum black hole and show that such a model has a topological temperature which equals exactly the Hawking’s temperature. Assuming for the entropy the Bekenstein-Hawking value we develop the local thermodynamics for our model and show that the entropy is naturally quantized with the equidistant spectrum $`S+\gamma _0N`$. Our model allows, in principle, to calculate the value of $`\gamma _0`$. In the simplest case, considered here, we obtain $`\gamma _0=\mathrm{ln}2`$.

Preliminaries

In 1972 J.D.Bekenstein observed the striking resemblance of the Schwarzschild black hole mechanics with the first and second laws of thermodynamics . He presented very serious physical arguments that the Schwarzschild black hole should be ascribed by a certain amount of entropy which is proportional to the event horizon area. In 1973 J.M.Bardeen, B.Carter and S.W.Hawking extended this idea and proved the four laws of thermodynamics for the general class of Kerr-Newman black hole , the role of the temperature being played by the surface gravity (up to some numerical factor), which is constant along the event horizon. And only after discovering by S.W.Hawking the black hole evaporation  this analogy became the real physical phenomenon. It appeared that the spectrum of such a radiation is Planckian with the temperature $`T_H=\frac{\kappa }{2\pi }`$, where $`\kappa `$ is the surface gravity. It follows then that the black hole entropy is exactly one fourth of the dimensionless horizon area,

$$S=\frac{1}{4}\frac{A}{l_{Pl}^2},$$
(1)
where $`l_{Pl}=\sqrt{\frac{\mathrm{}G}{c^3}}10^{33}cm`$ is the Planckian length ($`\mathrm{}`$ is the Planck constant, $`c`$ is the speed of light, and $`G`$ is the Newtonian gravitational constant). We use the units $`\mathrm{}=c=k=1`$ ($`k`$ is the Boltzmann constant), so $`l_{Pl}=\sqrt{G}`$ and the Planckian mass is $`m_{Pl}=\sqrt{\frac{\mathrm{}c}{G}}=1/\sqrt{G}10^5gr`$.

The nature of such a radiation and its black body spectrum lies in the nontrivial causal structure of the space-times containing black holes. The crucial point is the existence of the horizons. The same takes place in the Rindler spacetime which is actually the part of the flat Minkowski spacetime with the event horizon. The Rindler’s observer experiences a constant acceleration $`a`$ and “sees” a thermal bath with the temperature $`\frac{a}{2\pi }`$ which is called the Unruh’s temperature . The Hawking’s temperature $`T_H`$ is just the Unruh’s temperature $`T_U`$ at the event horizon.

The quantum nature of the radiation implies the quantization of the black hole mass. The first attempt was made by J.D.Bekenstein . He noticed that the horizon area of non-extremal black holes behaves as a classical adiabatic invariant. The Bohr-Sommerfeld quantization rule then predicts the equidistant discrete spectrum for the horizon area and, thus, for the black hole entropy. The gedanken experiments show that the minimal increase in the horizon area in the process of capturing the neutral  or electrically charged  particle is approximately equals to

$$\mathrm{\Delta }A_{min}4l_{Pl}^2.$$
(2)
This suggests for the black hole entropy (provided we accept the relation (1))

$$S_{BH}=\gamma _0N,N=1,2,\mathrm{}$$
(3)
where $`\gamma _0`$ is of order of unity. In their famous work on the black hole spectroscopy J.D.Bekenstein and V.F.Mukhanov  related the black hole entropy to the number of microstates $`g_n`$ that corresponds to a particular external macrostate through the well known formula in statistical physics, $`g_n=\mathrm{exp}[S_{BH}(n)]`$, e.i., $`g_n`$ is the degeneracy of the $`nth`$ area eigenvalue. Since $`g_n`$ should be an integer they deduce that

$$\gamma _0=\mathrm{ln}k,k=2,3,\mathrm{}$$
(4)
In the spirit of the information theory and “It from Bit”-idea by J.A.Wheeler the value of $`\mathrm{ln}2`$ seems the most suitable one. The equidistant area spectrum was also derived from the some symmetry principles .

The confirmation of microscopical statistical nature of the black hole entropy came from the string theory. A.Strominger and C.Vafa  were the first who counted directly the degeneracy of the horizon microstates in the special case of 5-dimensional extremal black hole and showed that the relation (1) is exact. A review of further progress can be found in .

The very natural way of counting the number of microscopic states is provided by the Loop Quantum Gravity (see  for a recent review). In this rather new approach to canonical quantization of gravity the area operator has a discrete spectrum. Such an operator can be represented by a spin network puncturing a surface. The procedure of counting the surface states at the horizon was developed by K.Krasnov  and applied to calculating the black hole entropy by A.Ashtekar et al. . The net result is that the entropy of the spherically symmetric black hole equals

$$S_{BH}=N\mathrm{ln}(2j_{min}+1),$$
(5)
where $`j_{min}`$ is the minimal (nonzero) spin value depending on the underlying symmetry group. In the conventional Loop Quantum Gravity this is the $`SU(2)`$ group, thus, $`j_{min}=\frac{1}{2}`$, and for $`\gamma _0`$ (Eqn.(4)) we have $`\gamma _0=\mathrm{ln}2`$. For the $`SO(3)`$ group $`j_{min}=1`$, and $`\gamma _0=\mathrm{ln}3`$. For the horizon area Loop Quantum Gravity gives in this case the value

$$A_h=8\pi \gamma \sqrt{j_{min}(j_{min}+1)}Nl_{Pl}^2,$$
(6)
where $`\gamma `$ is the so-called Immirzi ambiguity parameter . It equals $`\frac{\mathrm{ln}2}{\sqrt{3}\pi }(0.12738402)`$ for $`j_{min}=\frac{1}{2}`$ and $`\frac{\mathrm{ln}3}{2\sqrt{2}\pi }(0.12363732)`$ for $`j_{min}=1`$, provided $`S_{BH}=\frac{1}{4}\frac{A_h}{l_{Pl}^2}`$. Thus, Loop Quantum Gravity gives us almost unique (up to the choice of $`j_{min}`$ and, of course for large N) quantum spectrum for the black hole entropy, but the horizon ares and, hence, the black hole mass spectra depend on the choice of the Immirzi parameter.

The recent progress in this subject is connected to the so-called quasi-normal modes of the Schwarzschild black hole. It is known for a long time that the decay of black hole perturbations is dominated at late times by a set of damped oscillations (see, e.g. ). It was shown that for the frequencies $`\omega `$ with large imaginary part, the real part becomes equally spaced, and

$$m\omega =0.04371235+\frac{i}{4}(n+\frac{1}{2}),$$
(7)
where $`m`$ is the black hole mass . S.Hod noticed  that the real part of $`\omega `$ can be written as (and it was later proven analytically )

$$\omega _{QNM}=\frac{\mathrm{ln}3}{8\pi m}.$$
(8)
The Bohr’s correspondence principle requires $`dm=\omega _{QNM}`$, and for the entropy we obtain $`S_{BH}=N\mathrm{ln}3`$.

In all the above mentioned approaches to quantizing the black hole area (or the entropy content) the event horizon is considered essentially classical. But, in quantum theory there are no trajectories, no geodesics to probe the spacetime geometry, so, the very notion of the event horizon is not defines. Therefore, there exists no definition of what a quantum black hole is.

To overcome this difficulty we construct some very simple classical model (namely, the self-gravitating dust shell), then quantize it using minisuperspace formalism and try to extract some physical information . In the present paper we give a short outline of the classical model, the quantization procedure and the resulting mass spectra. Then we argue that the very process of quantum gravitational collapse gives rise to the increase of entropy (which is initially zero). The final stage of the quantum collapse is a special “no-memory” quantum state that resembles the black hole “no-hair” feature. We named it “a quantum black hole”. At the end of the paper we show that it is possible to construct the classical analogue of such a quantum state. This classical analogue possesses a topological temperature which coincides exactly with the Hawking’s temperature for the Schwarzschild black hole. We give also a complete thermodynamical description of the model, derive the equidistant area (and entropy) spectrum and show how the entropy units can, in principle, be calculated.

Classical Model

Everybody knows what the classical black hole is. In short, black hole is a region of a space-time manifold beyond an event horizon. In turn, an event horizon is a null surface that separates the region from which null geodesics can escape to infinity and that one from which they cannot. It is important to stress that the notion of the of the event horizon is global, it requires knowledge of both past and future histories. In classical physics we have trajectories of particles, we have geodesics, so, everything can be, in principle, calculated. In quantum physics there are no trajectories and the event horizon can not be defined. Thus, we have to seek for quite a different definition of a quantum black hole. Till now we have no consistent theory of quantum gravity. All this forces us to start with considering some models. The simpler, the better.

The simplest is the so-called Schwarzschild eternal black hole. Its geometry is a geometry of non-traversable wormhole. There are two asymptotically flat regions at spatial infinities connected by the Einstein-Rosen bridge. The gravitating source is concentrated at two space-like singular surfaces or zero radius. Two sides of the Einstein-Rosen bridge are causally disconnected and separated by event horizons. The narrowest part of the bridge is called a throat, its size is the size of the horizon. Eternal black holes are parameterized by total (Schwarzschild) mass of the system. This one-parameter family is the only spherically symmetric solution to the vacuum Einstein equations. The spherically symmetric gravity can be fully quantized in the minisuperspace (frozen) formalism . The result of such quantization is trivial, quantum functional depends only on Schwarzschild mass. Physically it is quite understandable. Indeed, one allows the matter sources first to collapse classically and then starts to quantize such a system. What is left for quantization? Nothing. Mathematically, eternal black holes has no dynamical degrees of freedom. No real gravitons (because of frozen spherical symmetry), no matter source motion.

To get physically meaningful result we need to introduce some dynamical gravitating source. The simplest generalization of the point mass is the spherically symmetric self-gravitating thin dust shell. The theory of thin shells was developed by W.Israel  and applied to various problems by many authors. For simplicity we consider the case when the shell is the only source of gravitational field. Then, inside the shell the space-time is flat, and outside it is some part of Schwarzschild solution. The dynamics of such dust shell is completely described by the single equation

$$\sqrt{\dot{\rho }^2+1}\sigma \sqrt{\dot{\rho }^2+1\frac{2Gm}{\rho }=}\frac{GM}{\rho }$$
(9)
where $`\rho `$ is the radius of the shell as a function of proper time of an observer sitting on the shell, a dot denotes the proper time derivative, $`m`$ is the total (Schwarzschild) mass of the shell, and $`M`$ is the bare mass (e.g., the sum of the masses of constituent dust particles without gravitational mass defect). The quantify $`\sigma `$ is the sign function distinguishing two different types of shells. If $`\sigma =+1`$, the shells moves on “our” side of the Einstein-Rosen bridge and the radii increase when one goes in the outward direction of the shell. We will call this the black hole case. If $`\sigma =1`$, the shell moves beyond the event horizon on the other side or the Einstein-Rosen bridge, and radii out of the shell first start to decrease, reach the minimal value at the throat and start to increase already on our side of the bridge. We will call this the wormhole-like case (such a configuration is also called a semi-closed world). In what follows we confine ourselves by considering the bound motion only. It can be shown that

$`{\displaystyle \frac{m}{M}}>{\displaystyle \frac{1}{2}}if\sigma =+1`$ (10)
$`{\displaystyle \frac{m}{M}}<{\displaystyle \frac{1}{2}}if\sigma =1`$
The two types of shells can be distinguished by different signs of the following inequality ($`\rho _0`$ is the radius of the shell at the turning point)

$`{\displaystyle \frac{m}{M}}>0if\sigma =+1`$ (11)
$`{\displaystyle \frac{m}{M}}<0if\sigma =1`$
The seemingly unusual sign in the wormhole case can be easily explained. Indeed, the large the bare mass $`M`$ of the shell, the stronger its gravitational field, the more narrow, therefore, the throat, and, consequently, the smaller the total mass $`m`$ of the system.

Quantum Model

The spherically symmetric space-times with shells can also be fully quantized in the minisuperspace formalism . All the quantum constraints can be solved, except one. This is the Hamiltonian constraint or, Wheeler-DeWitt equation, for the shell (here we write it only for the case of bound motion)

$$\mathrm{\Psi }(s+i\zeta )+\mathrm{\Psi }(si\zeta )=\frac{2\frac{1}{\sqrt{s}}\frac{M^2}{4m^2s}}{(1\frac{1}{\sqrt{s}})^{1/2}}\mathrm{\Psi }(s)$$
(12)
Here $`s`$ is a dimensionless radius squared (normalized by the horizon area, $`s=R^2/R_g^2=R^2/4G^2m^2`$), $`\zeta =\frac{1}{2}(\frac{m_pl}{m})^2`$, and $`i`$ is the imaginary unit. The Eqn.(12) is an equation in finite differences, and the shift in the argument is pure imaginary. Thus, the “good” solutions should be analytical functions. Besides, there are branching points at the horizons (in our case at $`s=1`$). Thus, the wave functions should be analytical on a Riemann’s surface with a two leaves. The physical reason to consider two Riemann’s surface is the following. In quantum theory there are no trajectories. Thus, even if a shell has parameters $`m`$ and $`M`$ (total and bare mass) corresponding to the black hole (or wormhole) case, its wave function is, in general, everywhere nonzero, “feel” both infinities on both sides of Einstein-Rosen bridge. The analyticity requirement is so stringent that there is no need to solve the quantum equation in order to calculate a mass spectrum. One should investigate only a behavior of solutions in the vicinity singular points (infinities and singularities) and around branching points, and then to compare these asymptotics. In such a way the following quantum conditions were found for a discrete mass spectrum in the case of bound motion .

$`{\displaystyle \frac{2m^2M^2}{\sqrt{M^2m^2}}}={\displaystyle \frac{2m_{pl}^2}{m}}n`$ (13)
$`M^2m^2=2m_{pl}^2(1+2p)`$
where $`n`$ and $`p`$ are integers. The appearance of two quantum conditions instead of only one in conventional quantum mechanics is due to a nontrivial causal structure of Schwarzschild manifold (two infinities!).

Let us discuss some properties of the spectrum that arises from these conditions.

1. For larger values of quantum number $`n`$ ($`\frac{M^2}{m^2}1<<1`$) one can easily derive nonrelativistic Rydberg formula for Kepler’s problem, $`E_{nonrel}=Mm=\frac{G^2M^4}{8n^2}`$.

2. The role of turning point $`\rho _0`$ is now played by the integer $`n`$. Thus, keeping $`n`$ constant and calculating $`\gamma =\frac{m}{M}|_n`$ one can distinguish between a black hole case ($`\gamma >0`$) and a wormhole case ($`\gamma <0`$). It appears that $`\frac{m}{M}|_n>0`$ for $`nn_0`$, negative or zero, and

$$|n_0|=E[\sqrt{2}\sqrt{13\sqrt{5}29}(1+2p)]$$
(14)
3. There exists a minimal possible value for a black hole mass. This occurs if $`p=n_0=0`$,

$$m_{min}=\sqrt{2}m_{pl}$$
(15)
4. The spectrum described by Eqn.(S0.Ex3) is not universal in the sense that corresponding wave functions form a two-parameter family $`\mathrm{\Psi }_{n,p}(R)`$.

But for quantum Schwarzschild black hole we expect a one-parameter family of wave functions. Quantum black holes should have no hairs, otherwise there will be no smooth limit to the classical black holes. All this means that our spectrum is not a quantum black hole spectrum, and our shell does not collapse (like an electron in hydrogen atom). Physically, it is quite understandable, because the radiation is yet included into consideration.

And again, we will use thin shells to model the radiation, but this time shells should be null. Let $`m_{in}`$ and $`m_{out}`$ be a Schwarzschild mass inside and outside the shell. Then, the quantum constraint equation reads as follows

$$\mathrm{\Psi }(m_{in},m_{out},si\zeta )=\sqrt{\frac{1\frac{\mu }{\sqrt{s}}}{1\frac{1}{\sqrt{s}}}}\mathrm{\Psi }(m_{in},m_{out},s)$$
(16)
here $`\mu =m_{in}/m_{out}`$, $`\zeta =\frac{1}{2}m_{pl}^2/m_{out}^2`$. The existence of the second infinity on the other side of the Einstein-Rosen bridge leads to the following quantization condition ($`m=m_{out}`$)

$$\delta m=m_{out}m_{in}=2m+2\sqrt{m^2+km_{pl}^2},$$
(17)
where $`k`$ is an integer. It is interesting to note that if we put $`k=1`$ (minimal radiating energy) and require $`\delta m<m`$ (not more than the total mass can be radiated away), then we obtain

$$m=m_{out}>\frac{2}{\sqrt{5}}m_{pl}.$$
(18)
Thus, the black hole with the mass given by Eqn.(15) is not radiating and, therefore, it can not be transformed into semi-closed world (wormhole-like case).

The discrete spectrum of radiation (17) is universal in the sense that it does not depend on the structure and mass spectrum of the gravitating source. This means that the energies of radiating quanta do not coincide with level spacing of the source. The most natural way in resolving such a paradox is to suppose that quanta are created in pairs. One of them is radiated away, while another one goes inside. Thus, the quantum collapse can not proceed without radiating even in the case of spherical symmetry. This radiation is accompanying with creation of new shells inside the primary shell we started with. We see, that the internal structure of quantum black hole is formed during the very process of quantum collapse. And if at the beginning we had one shell and knew everything about it, then already after the first pulse of radiation we have more than one way of creating the inner quantum. So, initially the entropy of the system was zero, it starts to grow during the quantum collapse. If somehow such a process would stop we would call the resulting object “a quantum black hole”. The natural limit is the transition from black hole to the wormhole-like shell. The matter is that such a transition requires (at least in quasi-classical regime) insertion of an infinitely large volume, and the quasi-classical probability for this process is zero.

Let us write down the spectrum of the shell with nonzero Schwarzschild mass, the total mass inside, $`m_{in}0`$

$`{\displaystyle \frac{2(\mathrm{\Delta }m)^2M^2}{\sqrt{M^2(\mathrm{\Delta }m)^2}}}={\displaystyle \frac{2m_{pl}^2}{\mathrm{\Delta }m+m_{in}}}n`$ (19)
$`M^2(\mathrm{\Delta }m)^2=2(1+2p)m_{pl}^2`$
Here $`\mathrm{\Delta }m`$ is the total mass of the shell, $`M`$ is the bare mass, the total mass of the system equals $`m=m_{out}=\mathrm{\Delta }m+m_{in}`$. For the black hole case $`M^2<4m\mathrm{\Delta }m`$, or

$$\frac{\mathrm{\Delta }m}{M}>\frac{1}{2}\left(\sqrt{(\frac{m_{in}}{M})^2+1}\frac{m_{in}}{M}\right).$$
(20)
After switching on the process of radiation governed by Eqn.(17), the quantum collapse starts. Our computer simulations shows that evolves in the “correct” direction, e.g. it becomes nearer and nearer to the threshold (20) between the black hole case and wormhole case. The process stops exactly at $`n=0`$!

The point $`n=0`$ in the spectrum is very special. Only in such a state the shell does not “feel” not only the outer regions (what is natural for the spherically symmetric configuration) but it does not know anything about what is going on inside. It “feel” only itself. Such a situation reminds the classical (non-spherical) collapse. Finally when all the shells (both the primary one and newly produced) are in the corresponding states $`n_i=0`$, the system does not “remember” its own history. And this is a quantum black hole. The masses of all the shells obey the relation

$$\mathrm{\Delta }m_i=\frac{1}{\sqrt{2}}M_i.$$
(21)
The subsequent quantum Hawking’s evaporation can produced only via some collective excitations and formation, e.g., of a long chain of microscopic semi-closed worlds.

Classical analog of quantum black hole

Let us consider large ($`m>>m_{pl}`$) quantum black holes. The number of shells (both primary ones and created during collapse) is also very large, and one may hope to construct some classical continuous matter distribution that would mimic the properties of quantum black holes. First of all, we should translate the “no memory” state ($`n=0`$ for all the shells) into “classical language”. To do this let us rewrite the Eqn.(9) (energy constraint equation) for the shell, inside which there is some gravitating mass $`m_{in}`$,

$$\sqrt{\dot{\rho }^2+1\frac{2Gm_{in}}{\rho }}\sqrt{\dot{\rho }^2+1\frac{2Gm_{out}}{\rho }=}\frac{GM}{\rho }$$
(22)
and consider a turning point, ($`\dot{\rho }=0`$, $`\rho =\rho _0`$):

$$\mathrm{\Delta }m=m_{out}m_{in}=M\sqrt{1\frac{2Gm_{in}}{\rho _0}}\frac{GM^2}{2\rho _0}.$$
(23)
It is clear now that in order to make parameters of the shell ( $`\mathrm{\Delta }m`$ and $`M`$) not depending on what is going on inside we have to put $`m_{in}=a\rho _0`$.

Our quantum black hole is in a stationary state. Therefore, a classical matter distribution should be static. We will consider a static perfect fluid with energy density $`\epsilon `$ and pressure $`p`$. A static spherically symmetric metric can be written as

$$ds^2=e^\nu dt^2e^\lambda dr^2r^2(d\theta ^2+\mathrm{sin}^2\theta d\phi ^2)$$
(24)
where $`\nu `$ and $`\lambda `$ are functions of the radial coordinate $`r`$ only. The relevant Einstein’s equations are (prime denotes differentiation in $`r`$)

$`8\pi G\epsilon =e^\lambda ({\displaystyle \frac{1}{r^2}}{\displaystyle \frac{\lambda ^{}}{r}})+{\displaystyle \frac{1}{r^2}},`$
$`8\pi Gp=e^\lambda ({\displaystyle \frac{1}{r^2}}{\displaystyle \frac{\nu ^{}}{r}})+{\displaystyle \frac{1}{r^2}},`$ (25)
$`8\pi Gp={\displaystyle \frac{1}{2}}e^\lambda (\nu ^{\prime \prime }+{\displaystyle \frac{\nu ^2}{2}}+{\displaystyle \frac{\nu ^{}\lambda ^{}}{r}}{\displaystyle \frac{\nu ^{}\lambda ^{}}{2}})`$
The first of these equations can be integrated to yield

$$e^\lambda =1\frac{2Gm(r)}{r},$$
(26)
where

$$m(r)=4\pi _0^r\epsilon r^2𝑑r^{}$$
(27)
is the mass function, that must be identified with $`m_{in}`$. Thus, $`m(r)=ar`$, and

$$\epsilon =\frac{a}{4\pi r^2},e^\lambda =12Ga.$$
(28)
We can also introduce a bare mass function

$$M(r)=4\pi _0^r\epsilon e^{\frac{\lambda }{2}}r^2𝑑r^{},$$
(29)
and from Eqn.(28) we get

$$M(r)=\frac{ar}{\sqrt{12Ga}}$$
(30)
The remaining two equations can now be solved for $`p(r)`$ and $`e^\nu `$. The solution for $`p(r)`$ that has the correct nonrelativistic limit is

$$p(r)=\frac{b}{4\pi r^2},b=\frac{1}{G}(13Ga\sqrt{12Ga}\sqrt{14Ga}),$$
(31)
and for $`e^\nu `$ we have

$$e^\nu =Cr^{2G\frac{a+b}{12Ga}}.$$
(32)
The constant of integration $`C`$ can be found from matching of the interior and exterior metrics at some boundary $`r=r_0`$. Let us suppose that $`r>r_0`$ the space-time is empty, so the interior should be matched to the Schwarzschild metric. Of course, to compensate the jump in pressure ($`\mathrm{\Delta }p=p(r_0)=p_0`$) we must introduce some surface tension $`\mathrm{\Sigma }`$. From matching conditions it follows that

$`C=(12Ga)r_0^{2G\frac{a+b}{12Ga}},`$
$`e^\nu =(12Ga)({\displaystyle \frac{r}{r_0}})^{2G\frac{a+b}{12Ga}},`$ (33)
$`\mathrm{\Delta }p={\displaystyle \frac{2\mathrm{\Sigma }}{r_0}}`$
We would like to stress that the pressure $`p`$ in our classical model is not real but only effective because it was introduce in order to mimic the quantum stationary states. We see, that the coefficient $`b`$ in Eqn.(31) becomes a complex number if $`a>1/4G`$. Hence, we must require $`a1/4G`$, and in the limiting point we have the stiffest possible equation of state $`\epsilon =p`$ It means also that hypothetical quantum collective excitations (phonons) would propagate with the speed of light and could be considered as massless quasi-particles. It is remarkable that in the limiting point we have $`m(r)=M(r)/\sqrt{2}`$ \- the same relation as for the total and bare masses in the “no memory” state $`n=0`$! The total mass $`m_0=m(r_0)`$ and the radius $`r_0`$ in this case are related $`m_0=4Gr_0`$ \- twice the horizon size.

Calculations of Riemann curvature tensor $`R_{klm}^i`$ and Ricci tensor $`R_{ik}`$ show that if $`p<\epsilon `$ ($`ab`$) there is $`a`$ real singularity at $`r=0`$. But, surprisingly enough, both Riemann and Ricci tensors have finite limits at $`r0`$, if $`\epsilon =p`$ (a=b=1/4G). Therefore we are allowed to introduce the so-called topological temperature in the same way as for classical black holes. The recipe is the following. One should transform the space-time metric by the Wick rotation to the Euclidean form and smooth out the canonical singularity by the appropriate choice of the period for the imaginary time coordinate. The imaginary time coordinate is considered proportional to some angle coordinate. In our case the point $`r=0`$ is already the coordinate singularity. The azimuthal angle $`\varphi `$ has the period equal to $`\pi `$. Thus, all other angles should be periodical with the period $`\pi `$. The topological temperature is just the inverse of this period.

The easy exercise shows, that the temperature

$$T=\frac{1}{2\pi r_0}=\frac{1}{8\pi Gm_0}=T_{BH}$$
(34)
exactly the same as the Hawking’s temperature $`T_{BH}`$ ! The very possibility of introducing a temperature provides us with the one-parameter family of models with universal distributions of energy density and pressure

$$\epsilon =p=\frac{1}{16\pi Gr^2},$$
(35)
the parameter being the total mass $`m_0`$ or the size $`r_0=4Gm_0`$. It should be noted that the two-dimensional part of the metric obtained is nothing more but the Rindler’s metric, and the null surface $`r=0`$ serves as the event horizon.

We can now develop some thermodynamics for our model. First of all we should distinguish between global and local thermodynamic quantities. The global quantities are those measured by a distant observer. He measures the total mass of the system $`m_0`$ and the black temperature $`T_{BH}=T_{\mathrm{}}`$ and does not know anything more. Let us assume that this observer is rather educated in order to recognize he is dealing with a black hole and to write the main thermodynamic relation

$$dm=TdS.$$
(36)
In this way he ascribes to a black hole some definite amount of entropy, namely, the Hawking-Bekenstein value

$$S=\frac{1}{4}\frac{(4\pi r_g)^2}{l_{pl}^2}=4\pi Gm_0^2=4\pi \left(\frac{m_0}{M_{pl}}\right)^2$$
(37)
Moreover, if this observer is acquainted with, say, the book , he can learn from Chapter 3 that, using the Euclidean path integral technique, one can calculate a partition function for Schwarzschild black hole,

$$Z=\underset{n}{}\mathrm{exp}(\beta \epsilon _n)=\mathrm{exp}\left(\frac{\beta ^2}{16\pi G}\right),$$
(38)
with $`\beta `$ equal to the inverse of Hawking’s temperature, $`\beta =1/T_H`$, and derive the expectation value of the energy, in other words, the black hole mass,

$$m=<E>=\frac{d}{d\beta }(\mathrm{ln}Z)=\frac{\beta }{8\pi G}.$$
(39)
Remembering then, that the free energy $`F=T\mathrm{ln}Z`$ and $`F=<E>TS`$, he can easily obtain for the entropy $`S=\frac{1}{4}\frac{A_h}{l_{Pl}^2}`$. Calculating the entropy in such a way, the observer builds some statistical background for the black hole thermodynamics. However, the obstacle in applying usual thermodynamical relations to essentially nonlocal (= global) objects, such as black holes, is that the corresponding extensive parameters, considered as thermodynamical potentials, are not the homogeneous first order functions of all the other extensive parameters. Indeed, the entropy $`S`$ is a quadratic function of the mass (energy), and the free energy $`F`$ is a function of the temperature alone (because there are no such extensive parameters like $`V`$ (volume) and $`N`$ (“particle” number) which would characterize a black hole thermo-equilibrium state).

The local observer who measures distributions of energy, pressure and local temperature is also rather educated and writes quite a different thermodynamic relation

$$\epsilon (r)=T(r)s(r)p(r)\mu (r)n(r).$$
(40)
Here $`\epsilon (r)`$ and $`p(r)`$ are energy density and pressure, $`T(r)`$ is the local temperature distribution, $`s(r)`$ is the entropy density, $`\mu (r)`$ is the chemical potential, and $`n(r)`$ is the number density of some (quasi)”particles”. For the energy density and pressure the local observer gets, of course, the relation (35), and for the temperature - the following distribution

$$T(r)=\frac{1}{\sqrt{2}\pi r},$$
(41)
which is compatible with the law $`T(r)e^{\frac{\nu }{2}}=const`$ and the boundary condition $`T_{\mathrm{}}=T_{BH}`$. Such a distribution is remarkable in that if some outer layer of our perfect fluid would be removed, the inner layers would remain in thermodynamic equilibrium. And what about the entropy density? Surely, the local observer is unable to measure it directly or calculate without knowing the microscopic structure of the system, but he can receive some information concerning the total entropy from the distant observer. This information and the measured temperature distribution (41) allows him to deduce that

$$s(r)=\frac{1}{8\sqrt{2}Gr}$$
(42)
and

$$s(r)T(r)=\frac{1}{16\pi Gr^2}$$
(43)
It is interesting to note that in the main thermodynamic equation the contribution from the pressure is compensated exactly by the contribution from the temperature and entropy. It is noteworthy to remind that the pressure in our classical analog model is of quantum mechanical origin as well as the black hole temperature. And what is left actually is the dust matter we started from in our quantum model, namely,

$$\epsilon =\mu n=\frac{1}{16\pi Gr^2}$$
(44)
We may suggest now that the quantum black hole is the ensemble of some collective excitations, the black hole phonons, and $`n(r)`$ is just the number density of such phonons.

Knowing equation of state, $`\epsilon =p`$, we are able to construct all the thermodynamical potentials for our system. As an example we show here how to calculate the energy as a function of the entropy $`S`$, and the number particles $`N`$ (the extensive thermodynamical variables $`E`$, $`S`$, $`V`$,$`N`$ are denoted by capital letters and assumed to have macroscopic but small enough values). By the first law of thermodynamics

$$dE=TdSpdV+\mu dN$$
(45)
where $`T=\frac{E}{S}|_{V,N}`$ is a temperature $`p=\frac{E}{V}|_{S,N}`$ is a pressure, and $`\mu =\frac{E}{N}|_{S,V}`$ is a chemical potential. The energy is additive with respect to the particle number $`N`$, hence, $`E=Nf(x,y)`$ where $`x=\frac{S}{N}`$ and $`y=\frac{N}{V}`$. Since $`\epsilon =\frac{E}{V}=yf(x,y)`$ and $`p=y^2\frac{f}{y}`$ from the equation of state we obtain

$`f=\alpha (x)=n\alpha (x)`$
$`\epsilon =p=n^2\alpha (x)`$
Further,

$`T=n\alpha ^{}(x)`$
$`\mu =n(2\alpha x\alpha ^{})`$
But, in any static gravitational field $`T=T_0/\sqrt{g_{00}}`$ and $`\mu =\mu _0/\sqrt{g_{00}}`$, so $`\mu =\gamma _0T`$, where $`\gamma _0`$-some numerical factor. Thus,

$`2\alpha x\alpha ^{}=\gamma _0\alpha ^{},`$
$`\alpha (x)=C_0(\gamma _0+x)^2`$
where $`C_0`$ is a constant of integration. It is easy to see that $`p/T^2=1/4C_0`$. In our specific model $`p/T^2=\pi /8G`$, so $`C_0=2G/\pi `$. Moreover, because of the relation $`\epsilon =p=Ts=\mu n`$ we know that the free energy $`F=ETS`$ is numerically zero. From this we have for the entropy

$$S=\gamma _0N$$
(46)
The black hole entropy equals one fourth of the dimensionless horizon area, and from this we recover the famous Bekenstein-Mukhanov mass spectrum

$$m=\sqrt{\frac{\gamma _0}{4\pi }}\sqrt{N}m_{pl}$$
(47)
Note, that our model gives for the free energy an expression quite different from that obtained by the use of global thermodynamics. In the latter $`F=\frac{1}{16\pi GT}`$ which is numerically equal to $`\frac{m}{2}`$. In our case

$$F=F(T,V,N)=\gamma _0NT\frac{VT^2}{4C_0},$$
(48)
but the relation (39) is nevertheless fulfilled.

In principle, we can even calculate the remaining unknown coefficient $`\gamma _0`$ using the phonon model. Indeed, since $`F=0`$, the partition function

$$Z=\underset{n}{}e^{\frac{\epsilon _n}{T}}=1$$
(49)
Let us assume that our gravitational phonons have the equidistant energy spectrum $`\epsilon _n=\omega n`$. Then, $`\omega _n\omega _{n1}=dE=\omega dN`$, $`(dN=1)`$. Note, that on the static gravitational field the ratio $`\frac{\omega }{T}`$ is an invariant. Therefore, we can use $`dm`$ and $`T_{BH}`$ (e.i., the increase in the total mass $`m`$ and the Hawking’s temperature) instead of local quantities $`dE`$ and $`T`$. Then,

$`{\displaystyle \frac{dm}{T_{BH}}}=8\pi Gmdm=dS=\gamma _0dN=\gamma _0,`$ (50)
(51)
$`Z={\displaystyle \underset{n}{}}e^{\frac{\omega n}{T}}={\displaystyle \frac{e^{\gamma _0}}{1e^{\omega _0}}}=1,`$ (52)
(53)
$`\gamma _0=\mathrm{ln}2`$ (54)
This just the value advocated by J.Bekenstein and V.Mukhanov in the spirit of information theory. If we accept the harmonic oscillator spectrum $`\epsilon _n=\omega (n+\frac{1}{2})`$ we would obtain $`\gamma _0=2\mathrm{ln}\frac{\sqrt{5}+1}{2}1`$.

Acknowlegments

The author is greatly indebted to the Albert Einstein Institute for kind hospitality extended to him. He would like to thank Jurgen Ehlers, Kirill Krasnov, Hermann Nicolai, Sergei Odintsov, Alexey Smirnov, Thomas Thiemann for helpful discussions. Special thank are to Christine Gottschalkson.


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# What has NMR taught us about stripes and inhomogeneity?

## Abstract

The purpose of this brief invited paper is to summarize what we have (not) learned from NMR on stripes and inhomogeneity in La2-xSrxCuO4. We explain that the reality is far more complicated than generally accepted.

Keywords: La2-xSrxCuO4; stripe phase; inhomogeneity

(\*) Present and permanent address.

Neutron scattering experts generally declare everything static as soon as fluctuations slow down below the frequency threshold of $`10^{11}`$ Hz for elastic scattering measurements. In NMR lineshape measurements, the separation time between RF excitation pulses is typically 10 $`\mu `$s, which sets the frequency scale of the shutter speed of the NMR picture at $`10^5`$Hz. In our quest to capture the truly static stripe phase, we developed wide-frequency zero-field NMR techniques with a top-loading He3 cryostat Hunt2 . Our measurements in La1.8-xEu0.2SrxCuO4 and La2-xBaxCuO4 at $`x\frac{1}{8}`$ revealed that motional narrowing effects average out the hyperfine magnetic fields from Cu spins even at 350 mK. Alas, static stripes are not really static even at 350 mK. The observed NMR intensity at 350 mK accounts for essentailly 100 percent of Cu nuclear spins from the sample. This means that the NMR relaxation rates $`1/T_{1,2}`$ governed by spin fluctuations at the NMR frequency ($`10^7`$Hz) are small enough to detect the signals, which implies that the majority of the spectral weight of the spin fluctuations has slowed down to $`10^{56}`$Hz levels.

The dynamic nature of stripes is even stronger in La2-xSrxCuO4 ($`x\frac{1}{8}`$), even though stripes are frequently and erraneously quoted as static below 20 K based on elastic neutron scattering data. We managed to detect a narrow, Zeeman-perturbed zero-field NMR at 350 mK in La1.885Sr0.115CuO4 Hunt3 . The narrow lineshape is a consequence of motional narrowing. Moreover, the integrated intensity corresponds to only a few percent of the sample. This implies that the majority of Cu nuclear spins are still under the influence of relatively fast ($`>10^6`$Hz) fluctuations, and are hence undetectable.

The dynamic nature of stripes leads to an unfortunate consequence; what NMR observes in the static stripe phase is not what one would normally conceive as stripes, but slowly fluctuating magnetic entities blurred by their motion. In order to investigate the slowing of stripes through NMR techniques this forces us to rely on a somewhat indirect method which consist of measuring the Cu NQR/NMR wipeout of intensity Hunt1 . The wipeout fraction $`F(T)`$ is the fraction of the Cu nuclear spins that become undetectable due to fluctuating stripes. As detailed in Hunt2 , when the fluctuation frequency falls between $`10^{11}`$Hz and $`10^7`$Hz, very fast NMR relaxation rates prevent us from detecting Cu NQR/NMR signals. Effectively, $`F(T)`$ is the volume fraction of the segments in the CuO2 plane which fluctuate in the aformentioned frequency range. Quite interestingly, $`F(T)`$ in Nd co-doped samples closely follows the neutron/x-ray scattering intensity arising from charge order at $`x=\frac{1}{8}`$Hunt2 ; Hunt3 ; Hunt1 ; Singer1 . This led us to equate $`F(T)`$ in the superconducting regime of La2-xSrxCuO4 with the volume fraction of charge-ordered segments where stripe fluctuations have slowed Hunt1 . The onset temperature $`T_{NQR}`$ for $`F(T)`$ decreases with increasing $`x`$Hunt1 ; Singer1  (see Fig. 1). Subsequent studies Singer1 ; Hunt2  showed that $`T_{NQR}`$ precisely agrees with the onset of charge order $`T_{charge}`$ for $`x>\frac{1}{8}`$. This supports our physical picture for $`x>\frac{1}{8}`$. As it turned out, however, $`T_{NQR}`$ is always higher than $`T_{charge}`$ in the lower Sr doping range $`x<\frac{1}{8}`$ of Nd co-doped samples. Instead, it is the inflection point of the curvature in the $`T`$ dependence of $`F(T)`$ that agrees with $`T_{charge}`$Hunt2 . Moreover, subsequent x-ray scattering efforts resulted in no hard evidence for charge order in La2-xSrxCuO4 without Nd co-doping. We noted from the very beginning Hunt1  that the monotonic increase of $`T_{NQR}`$ below $`x=\frac{1}{8}`$ was counterintuitive, and we were puzzled by these newer revelations for some time Hunt2 . There must be something else involved in the mechanism of $`F(T)`$ below $`T_{NQR}`$ down to $`T_{charge}`$ for $`x<\frac{1}{8}`$. We will come back to this point below.

The fact that some Cu nuclear spins are observable while others are wiped-out implies a highly inhomogeneous nature of the CuO2 planes, i.e. that the fluctuation frequency is different position by position. This glassy nature of the stripes led to significant confusion in the NMR community. A major source of confusion is that from old days everybody in the NMR community knew that NMR data in La2-xSrxCuO4 showed a variety of signatures for an electronic inhomogeneity, and distinguishing this intrinsic electronic inhomogeneity from the inhomogeneous magnetism arising from the glassy slowing of stripes is not a straightforward task. Some authors even claim that all NMR anomalies including wipeout effects may be understood based on an analogy with conventional spin glass without invoking any spatially coherent nature for the stripes Los . Prior to Los , we had already pointed out in Hunt1  the importance of the similarity with NMR wipeout effects in simple Cu metal with dilute magnetic Fe impurity spins. The whole point of Hunt et al. Hunt1  is that the missing Cu NQR/NMR signal intensity at low temperatures in the underdoped regime of La2-xSrxCuO4, which had been attributed to the spatially incoherent slowing of the spin dynamics caused by localized holes since the early 90’s prior to the discovery of stripes by one of us Imai , turned out to have some hidden information about slowing stripes, and indeed they have Hunt2 . The Los Alamos paper Los  missed this point.

In any case, these confusions concerning the inhomogeneity led us to critically reexamine the issue of electronic inhomogeneity, more specifially, the validity of the assumption that CuO2 planes are electronically homogeneous even in alloyed high $`T_c`$ cuprates. To make a long story short, our measurement of $`1/T_1`$ as a function of temperature and frequency within each Cu NQR lineshape indicates that the local hole concentration in La2-xSrxCuO4 deviates significantly from nominal $`x`$, whether the sample is a poly-crystalline or high-quality single crystal Singer2 . This finding clearly raises questions regarding theoretical debates of a “universal electronic phase diagram”, including La2-xSrxCuO4, which are based on the assumption that hole doping is homogeneous. Furthermore, our new result has several implications in our understanding of stripes and the NQR wipeout effects. First, the intrinsic electronic inhomogeneity may be partially responsible for the glassy, inhomogeneous nature of the slowing of stripes observed even at $`x=\frac{1}{8}`$. Second, it naturally explains why the onset temperature for wipeout jumps up to $`T_{NQR}`$ 300 K at $`x0.05`$. Some segments of CuO2 planes become nearly undoped below 300 K Singer2 . For these undoped patches, the strong short-range Néel-order results in enhanced NMR relaxation rates causing the Cu NQR signal to become undetectable. Whether nucleation of these nearly undoped patches is associated with the rotation of the stripes from the diagonal to vertical direction remains to be seen. Third, similar effects would provide a natural account for why wipeout sets in at $`T_{NQR}`$ above $`T_{charge}`$ below $`x=\frac{1}{8}`$. The inflection point in the $`T`$ dependence of $`F(T)`$ corresponds to the temperature where spatially coherent fluctuations of glassy stripes finally kick in.

To summarize, one needs to take into account both the intrinsic electronic inhomogeneity Singer2  and the glassy, inhomogeneous slowing of stripes. Much of the confusion over La2-xSrxCuO4 stems from the failure by many authors to recognize the importance of both.