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# 1 Introduction

## 1 Introduction

Heavy quark and quarkonium production at high energies has been vigorously studied in recent years from both theoretical and experimental viewpoint. At the modern collider conditions these processes are so called semihard ones \[1–4\]. In such processes by definition the hard scattering scale $`\mu m_Q`$ is large compare to the $`\mathrm{\Lambda }_{\mathrm{QCD}}`$ parameter but on the other hand $`\mu `$ is much less than the total center-of-mass energy: $`\mathrm{\Lambda }_{\mathrm{QCD}}\mu \sqrt{s}`$. The last condition implies that the processes occur in small $`x`$ region: $`xm_Q/\sqrt{s}1`$, and that the cross sections of heavy quark and quarkonium production are determined by the behavior of gluon distributions in the small $`x`$ region.

It is also known that in the small $`x`$ region it becomes necessary to take into account the dependences of the subprocess cross section and gluon distribution on a gluon transverse momentum $`k_T`$ \[1–4\]. Therefore calculations of heavy quark and quarkonium production cross sections at HERA, LEP/LHC and other collider conditions are necessary to carry out in the so called $`k_T`$-factorization  (or semihard ) QCD approach, which is more preferable for the small $`x`$ region than standard parton model.

The $`k_T`$-factorization approach is based on Balitsky, Fadin, Kuraev, Lipatov (BFKL)  evolution equations. The resummation of the terms $`\alpha _S^n\mathrm{ln}^n\left(\mu ^2/\mathrm{\Lambda }_{\mathrm{QCD}}^2\right)`$, $`\alpha _S^n\mathrm{ln}^n\left(\mu ^2/\mathrm{\Lambda }_{\mathrm{QCD}}^2\right)\mathrm{ln}^n\left(1/x\right)`$ and $`\alpha _S^n\mathrm{ln}^n\left(1/x\right)`$ in the $`k_T`$-factorization approach leads to the unintegrated (dependent from $`q_T`$) gluon distribution $`\mathrm{\Phi }(x,q_T^2,\mu ^2)`$ which determine the probability to find a gluon carrying the longitudinal momentum fraction $`x`$ and transverse momentum $`q_T`$ at probing scale $`\mu ^2`$. In contrast with the usual parton model, to calculate the cross section of a physical process the unintegrated gluon distributions have to be convoluted with off mass shell matrix elements corresponding to the relevant partonic subprocesses \[1–4\].

Nowadays, the significance of the $`k_T`$-factorization approach becomes more and more commonly recognized. Its applications to a variety of photo-, lepto- and hadroproduction processes are widely discussed in the literature (see  and references cited therein).

It is known that $`J/\psi `$ production at high energies is an intriguing subject in modern physics. It is traces back to the early 1990s, when the CDF data on the $`J/\psi `$ and $`\mathrm{{\rm Y}}`$ hadroproduction cross section revealed a more than an order of magnitude discrepancy with theoretical expectations. This fact has induced extensive theoretical investigations. In particular, it was required to introduce new additional production mechanism, the so-called colour octet (CO) model , where $`c\overline{c}`$-pair is produced in the color octet state and transforms into final colour singlet (CS) state by help soft gluon radiation. Since then, the color octet model has been believed to give the most likely explanation of the quarkonium production phenomena, although there are also some indications that it is not working well.

One of the problems is connected to the $`J/\psi `$ photo- and leptoproduction data at HERA. For example, the contributions from the color octet mechanism to the $`J/\psi `$ photoproduction contradict the H1 and ZEUS data for $`z`$ distribution \[8–11\]. Also in leptoproduction case the shapes of the $`Q^2`$, $`p_T^2`$ and $`y^{}`$ spectra are not reproduced by calculations  within the color octet model. The $`z`$ distributions calculated later in  contradict the H1 experimental data, too.

Another difficulty of this model refers to the $`J/\psi `$ polarization properties in $`p\overline{p}`$-collisions at Tevatron. If, as expected, the dominant contribution comes from the gluon fragmentation into an octet $`c\overline{c}`$ pair, the $`J/\psi `$ mesons must have strong transverse polarization \[14–18\]. This is in disagreement with the experimental data , which point to unpolarized or even longitudinally polarized $`J/\psi `$ mesons.

Taking into account the above mentioned problems of color octet mechanism, we have considered the inelastic $`J/\psi `$ meson photo- and leptoproduction at HERA within the colour singlet model with $`k_T`$-factorization . Our theoretical results agree well with H1 and ZEUS experimental data for all distributions without any additional $`J/\psi `$ production mechanisms (such as given by the CO model)(see also ). Also it was shown that the $`k_T`$-factorization approach gives a correct description of the $`J/\psi `$ polarization properties in $`ep`$ and $`p\overline{p}`$ interactions  at the large transverse momenta $`p_T`$.

Based on these theoretical results, in this paper we consider the inclusive $`J/\psi `$ production at CERN LEP2 conditions within the colour singlet model with $`k_T`$-factorization. There are several motivations for our study the $`J/\psi `$ meson production in $`\gamma \gamma `$ collisions ($`e^+e^{}e^+e^{}+J/\psi +X`$). First of all, recently the DELPHI collaboration has presented preliminary data on the inclusive $`J/\psi `$ production in $`\gamma \gamma `$ collisions at CERN LEP2 , which wait to be confronted with different theoretical predictions. On the one hand it was shown recently that results obtained with account of the color octet contributions in the framework of the NRQCD do not contradict the DELPHI data . On the other hand we know that a description of the inclusive $`J/\psi `$ production in $`p\overline{p}`$ collisions at Tevatron in the $`k_T`$-factorization approach needs some significantly lower values for the color octet matrix elements to fit the Tevatron data .

It is also known that the inclusive $`J/\psi `$ production in photon-photon collisions is dominated by the single-resolved process  and therefore it reveals the gluon structure of the photon. However the unintegrated gluon distributions in the photon $`\mathrm{\Phi }_\gamma (x,q_T^2,\mu ^2)`$ are poorly known in contrast with the similar distributions in the proton and no attempts have been made to describe them until recently . Their knowledge is in particular necessary for the description of heavy quark and quarkonium production in $`\gamma \gamma `$ collisions within the semihard QCD approach. First application of the $`k_T`$-factorization approach for the case of resolved photons in heavy quark production is performed in  where the Kimber-Martin-Ryskin (KMR)  and Golec-Biernat-Wusthoff (GBW)  prescriptions for the unintegrated gluon distribution in the photon were used.

In the present paper we obtain in an independent way the unintegrated gluon distributions in the photon using the method proposed in Ref.  by J. Blümlein for the gluon distribution in the proton. We calculate the cross section of inclusive $`J/\psi `$ production in $`\gamma \gamma `$ collisions including both direct and resolved photon contributions and compare them with preliminary experimental data  taken by the DELPHI collaboration at CERN LEP2. Additionally, we give our theoretical predictions for $`J/\psi `$ polarization properties at the LEP2 conditions.

The outline of this paper is as follows. In Section 2 we present, in analytic form, the differential cross section for the inclusive $`J/\psi `$ production in the color singlet model with $`k_T`$-factorization and obtain the unintegrated gluon distributions $`\mathrm{\Phi }_\gamma (x,q_T^2,\mu ^2)`$ in the photon. In Section 3 we present the numerical results of our calculations and compare them with the DELPHI data. Finally, in Section 4, we give some conclusions.

## 2 Theoretical framework

In this section we calculate total and differential cross section for inclusive $`J/\psi `$ production in $`\gamma \gamma `$ collisions within the color singlet model with $`k_T`$-factorization and obtain the unintegrated gluon distributions in the photon.

### 2.1 Kinematics and cross sections

In $`\gamma \gamma `$ collisions $`J/\psi `$ can be produced by one of the three mechanisms: a direct production (Fig. 1a), a photoproduction off a resolved photon (Fig. 1b) and a by a double resolved process (Fig. 1c). We will refer to the direct production, the once- and double resolved photon processes as direct, 1-res and 2-res ones respectively. The appropriate QCD motivated cross section the process $`e^+e^{}e^+e^{}J/\psi X`$ is given by

$$d\sigma \left(e^+e^{}e^+e^{}J/\psi X\right)=f_{\gamma /e}\left(x_1\right)𝑑x_1f_{\gamma /e}\left(x_2\right)𝑑x_2𝑑\widehat{\sigma }\left(\gamma \gamma J/\psi X\right),$$
(1)
where we use the Weizacker-Williams approximation for the bremsstrahlung photon distribution from an electron :

$$f_{\gamma /e}\left(x\right)=\frac{\alpha }{2\pi }\left(\frac{1+\left(1x\right)^2}{x}\mathrm{ln}\frac{Q_{\mathrm{max}}^2}{Q_{\mathrm{min}}^2}+2m_e^2x\left(\frac{1}{Q_{\mathrm{max}}^2}\frac{1}{Q_{\mathrm{min}}^2}\right)\right)$$
(2)
with $`Q_{\mathrm{min}}^2=m_e^2x^2/\left(1x\right)^2`$ and $`Q_{\mathrm{max}}^2=\left(E\theta \right)^2\left(1x\right)+Q_{\mathrm{min}}^2`$. Here $`x=E_\gamma /E_e`$, $`E=E_e=\sqrt{s}/2`$, $`\theta =32\mathrm{mrad}`$ is the angular cut that ensures the photon is real, and $`\sqrt{s}=197\mathrm{GeV}`$ .

For partonic cross section $`d\widehat{\sigma }\left(\gamma \gamma J/\psi X\right)`$ we will use expression obtained earlier  because the 1-res processes are analogous to those contributing to the lepto- or photoproduction processes at HERA, and the 2-res ones are analogous to the $`J/\psi `$ hadroproduction subprocesses at Tevatron. In both cases the unintegrated gluon distributions in the proton should be replaced by ones in the photon.

### 2.2 Unintegrated gluon distributions in the photon

To obtain the unintegrated gluon distribution in the photon $`\mathrm{\Phi }_\gamma (x,q_T^2,\mu ^2)`$ we apply the same method as for the gluon distibution in the proton according to the prescription given in . The proposed method lies upon a straightforward perturbative solution of the BFKL equation where the collinear gluon density $`xG(x,\mu ^2)`$ is used as the boundary condition. The unintegrated gluon distribution in a photon is calculated as a convolution of collinear gluon distribution $`xG_\gamma (x,\mu ^2)`$ with universal weight factors:

$$\mathrm{\Phi }_\gamma (x,q_T^2,\mu ^2)=\underset{x}{\overset{1}{}}\phi (\eta ,q_T^2,\mu ^2)\frac{x}{\eta }G_\gamma (\frac{x}{\eta },\mu ^2)𝑑\eta ,$$
(3)
where

$$\phi (\eta ,q_T^2,\mu ^2)=\{\begin{array}{cc}\frac{\overline{\alpha }_S}{\eta q_T^2}J_0\left(2\sqrt{\overline{\alpha }_S\mathrm{ln}\left(1/\eta \right)\mathrm{ln}\left(\mu ^2/q_T^2\right)}\right),\hfill & \text{if }q_T^2\mu ^2\text{,}\hfill \\ \frac{\overline{\alpha }_S}{\eta q_T^2}I_0\left(2\sqrt{\overline{\alpha }_S\mathrm{ln}\left(1/\eta \right)\mathrm{ln}\left(q_T^2/\mu ^2\right)}\right),\hfill & \text{if }q_T^2>\mu ^2\text{,}\hfill \end{array}$$
(4)
where $`J_0`$ and $`I_0`$ stand for Bessel function of real and imaginary arguments respectively, and $`\overline{\alpha }_S=3\alpha _S/\pi `$. In the capacity of the boundary condition we used expression for $`xG_\gamma (x,\mu ^2)`$ from the standard GRV set . The parameter $`\overline{\alpha }_S`$ is connected with the Pomeron trajectory intercept: $`\mathrm{\Delta }=4\overline{\alpha }_S\mathrm{ln}2=0.53`$ in the LO and $`\mathrm{\Delta }=4\overline{\alpha }_S\mathrm{ln}2N\overline{\alpha }_S^2`$ in the NLO approximations, where $`N18`$ . The latter value of $`\mathrm{\Delta }`$ have dramatic consequences for high energy phenomenology. However, some resummation procedures proposed in the last years lead to positive value of $`\mathrm{\Delta }0.20.3`$ . Therefore in our calculations we will consider $`\mathrm{\Delta }`$ as free parameter varying from $`0.2`$ to $`0.53`$ with a central value at $`\mathrm{\Delta }=0.35`$.

We would like to note that intercept parameter $`\mathrm{\Delta }=0.35`$ was obtained from the description of $`p_T`$ spectrum of $`D^{}`$ meson electroproduction at HERA . This value of $`\mathrm{\Delta }`$ also was used at the analysis of experimental data on inelastic $`J/\psi `$ photo- and leptoproduction at HERA , the $`b\overline{b}`$ quark production at Tevatron  and in the deep inelastic structure function $`F_2^c`$, $`F_L^c`$ and $`F_L`$ description at small $`x`$ region .

In Fig. 2 the unintegrated gluon distribution in the photon (3) — (4) (so called JB parametrization) is plotted as a function of longitudinal momentum fraction $`x`$ (Fig. 2a) and transverse momenta squared $`q_T^2`$ (Fig. 2b) of the gluon, for fixed values of $`x`$ and $`q_T^2`$. Curves 1 — 3 plotted on the Fig. 2a correspond gluon virtuality $`q_T^2=1,\mathrm{\hspace{0.17em}10}`$ and $`50\mathrm{GeV}^2`$ as well as curves 1 — 4 plotted on the Fig. 2b correspond longitudinal momentum fraction $`x=10^4,x=10^3,x=10^2`$ and $`x=10^1`$, respectively.

Integrating expression (3) — (4) over the transverse momenta, we can obtain effective gluon distribution in photon and compare it to experimental data  taken by the H1 collaboration at HERA. The results of such calculations are shown in Fig. 3. Curves 1 and 2 correspond to the gluon density in photon from the standard GRV set  and the effective gluon density obtained from JB parametrization, respectively. One can see that both curves agree very well with the H1 data and at $`x>10^2`$ they practically coincide.

## 3 Numerical results

In this section we present the theoretical results in comparison with preliminary experimental data  taken by the DELPHI collaboration at CERN LEP2.

There are three parameters which determine the common normalization factor of the cross section under consideration: $`J/\psi `$ meson wave function at the origin $`\mathrm{\Psi }\left(0\right)`$, charmed quark mass $`m_c`$ and factorization scale $`\mu `$. The value of the $`J/\psi `$ meson wave function at the origin may be calculated in a potential model or obtained from the well known experimental decay width $`\mathrm{\Gamma }\left(J/\psi \mu ^+\mu ^{}\right)`$. In our calculation we used $`\left|\mathrm{\Psi }\left(0\right)\right|^2=0.0876\mathrm{GeV}^3`$ as in Refs. .

Concerning a charmed quark mass, the situation is not clear: on the one hand, in the nonrelativistic approximation one has $`m_c=m_\psi /2=1.55\mathrm{GeV}`$, but on the other hand there are many examples when smaller value of a charm mass is used in $`J/\psi `$ production processes at high energies, for example, $`m_c=1.4\mathrm{GeV}`$ \[12–15, 24\]. However, in our previous papers  we analyzed in detail the influence of the charm quark mass on the theoretical results. We found that the main effect of a change of the charm quark mass connects with the final phase space of the $`J/\psi `$ meson, and in the subprocess matrix elements this effect is negligible. Taking into account that the value of $`m_c=1.4\mathrm{GeV}`$ corresponds to the unphysical phase space of the $`J/\psi `$ state, in the present paper we will use the value of the charm mass $`m_c=1.55\mathrm{GeV}`$ only.

Also the most significant theoretical uncertanties come from the choice of the factorization scale $`\mu _F`$ and renormalization one $`\mu _R`$. One of them is related to the evolution of the gluon distributions $`\mathrm{\Phi }_\gamma (x,q_T^2,\mu _F^2)`$, the other is responsible for strong coupling constant $`\alpha _S\left(\mu _R^2\right)`$. As often one done in literature, we set them equal $`\mu _F=\mu _R=\mu `$. In the present paper we used the following choice $`\mu ^2=q_T^2`$ as in Refs. .

The results of our calculations are shown in Fig. 4—6. Fig. 4 displays the $`J/\psi `$ meson transverse momentum distribution in comparison with DELPHI preliminary data  at $`\sqrt{s}=197\mathrm{GeV}`$ and $`\left|y_\psi \right|<2`$. The solid lines 1 and 2 correspond to the standard parton model (SPM) calculations at the leading order approximation with the GRV (LO) gluon density (at $`m_c=1.55\mathrm{GeV}`$) and the $`k_T`$-factorization results with the JB unintegrated gluon distribution in photon (at $`m_c=1.55\mathrm{GeV}`$ and $`\mathrm{\Delta }=0.35`$). The shaded band is the $`k_T`$-factorization predictions connected with the value of pomeron intercept $`\mathrm{\Delta }`$: the lower border corresponds to $`\mathrm{\Delta }=0.2`$ and the upper one corresponds to $`\mathrm{\Delta }=0.53`$. One can see that the behavior of the transverse momentum distribution within the experimental and theoretical uncertanties can be explained by the color singlet model with $`k_T`$-factorization333In a Ref.  it was claimed about some evidence for color octet mechanism of NRQCD from these DELPHI experimental data . However in a recent paper  the Belle collaboration has published results on prompt $`J/\psi `$ and double $`c\overline{c}`$ quark production in $`e^+e^{}`$-annihilation, where the additional $`c\overline{c}`$ pair fragments into either charmonium or charmed mesons. It was shown that $`J/\psi `$ signal predicted in color octet model is not observed and that large fraction of prompt $`J/\psi `$ events is due to the $`e^+e^{}J/\psi c\overline{c}`$ process . We would like to note it is possible that in the DELPHI data at LEP2 the contributions of $`J/\psi D^\pm `$ associated production are presented too. The calculations of these processes are in progress., while the collinear approximation prediction are lower than data by an order of magnitude.

We would like to note a some difference in the shapes between curves obtained using the $`k_T`$-factorization approach and the colliner parton model. This difference manifests the $`p_T`$ broadening effect which is connected to the initial gluon transverse momentum and it is usual for the $`k_T`$-factorization approach .

Fig. 5 show the transverse momenta and rapidity distributions of the inclusive $`J/\psi `$ meson production at $`\sqrt{s}=197\mathrm{GeV}`$, where all contribution (direct production, 1-res and 2-res processes) are plotted separately. Curves 1 and 2 and shaded bands are the same as in Fig. 4. One can see that 1-res contribution dominates, while the direct and 2-res contributions are only a small corrections to the 1-res one. This is contrast to the inelastic $`J/\psi `$ production case at HERA, where the resolved photon contribution is an small fraction of the direct one. Also one can see that 2-res contributions is more sensitive to various theoretical uncertainties.

As it mentioned above, the main difference between $`k_T`$-factorization and other approaches connects with polarization properties of the final particles. The ”nonsense” polarization of the initial BFKL gluons should result in observable spin effects of final $`J/\psi `$ mesons . In the present paper we calculate the $`p_T^2`$ dependence of the spin aligment parameter $`\alpha `$:

$$\alpha \left(p_T^2\right)=\frac{d\sigma /dp_T^23d\sigma _L/dp_T^2}{d\sigma /dp_T^2+d\sigma _L/dp_T^2},$$
(5)
where $`\sigma _L`$ is the production cross section for the longitudinally polarized $`J/\psi `$ mesons. The parameter $`\alpha `$ controls the angular distribution for leptons in the decay $`J/\psi \mu ^+\mu ^{}`$ (in the $`J/\psi `$ meson rest frame):

$$\frac{d\mathrm{\Gamma }\left(J/\psi \mu ^+\mu ^{}\right)}{d\mathrm{cos}\theta }1+\alpha \mathrm{cos}^2\theta .$$
(6)
The cases $`\alpha =1`$ and $`\alpha =1`$ correspond to transverse and longitudinal polarizations of the $`J/\psi `$ meson, respectively.

The results of our calculations are shown in Fig. 6. Curves 1 and 2 are the same as in Fig. 4. As in inelastic $`J/\psi `$ photoproduction at HERA , we have large difference between predictions of the leading order of collinear parton model and the $`k_T`$-factorization approach. It was shown that account of the color octet contributions do not change a predictions of $`k_T`$-factorization approach for the $`J/\psi `$ polarization properties in $`p\overline{p}`$ and $`ep`$ collisions (see ). Therefore experimental study the polarized $`J/\psi `$ production at CERN LEP2 will be an additional test of BFKL gluon dynamics.

## 4 Conclusions

In this paper we considered the inclusive $`J/\psi `$ meson production at CERN LEP2 within the colour singlet model and the $`k_T`$-factorization approach, including both direct and resolved photon contributions. The unintegrated gluon distribution in the photon is determined, using the Blümlein’s prescription for unintegrated gluon distribution in a proton. We compared the theoretical results with preliminary experimental data taken by the DELPHI collaboration at CERN LEP2. We find that the $`k_T`$-factorization results (in contrast with the SPM ones) with the JB unintegrated gluon distribution in the photon agree with data within the experimental and theoretical uncertanties. Finally, it is shown that experimental study of a polarization of $`J/\psi `$ meson at LEP2 should be additional test of BFKL gluon dynamics.

## 5 Acknowledgments

The authors would like to thank S. Baranov for encouraging interest and very useful discussions. The study was supported in part by RFBR grant $`\mathrm{N}^{}`$ 02–02–17513. A.L. also was supported by INTAS grant YSF’2002 $`\mathrm{N}^{}`$ 399.


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# GNPHE/03-05 On 𝑁=1 gauge models from geometric engineering in M-theory

## 1 Introduction

Type IIA superstring compactification on a K3 space with $`A_{n1}`$ singularities develops an enhanced $`SU(n)`$ gauge symmetry in six dimensions . This can be further compactified on a real two-dimensional base space, resulting in a four-dimensional $`N=2`$ quantum field theory (QFT4). The gauge fields and (massless) matter fields are described by wrappings of D-branes around cycles in the Calabi-Yau threefold defined by the K3 fibrations. The gauge group and matter content of the QFT4 thus depend on the non-trivial base geometry. This program is referred to as geometric engineering of $`N=2`$ QFT4. These models, which give exact results for the moduli space of the Coulomb branch, may be represented by quiver diagrams similar to Dynkin diagrams of ordinary or affine Lie algebras . Let the base space consist of a collection of intersecting two-spheres, each of which will give rise to an $`SU`$ gauge-group factor. To each of these is associated a quiver or Dynkin diagram node, and for each pair of groups with matter in bi-fundamental representations, the two corresponding nodes are connected by a line.

One should distinguish three cases: models with negative beta function, models with conformal invariance, requiring the vanishing of the beta function, and models with positive beta function. The first models are represented by ordinary $`ADE`$ Dynkin diagrams with only bi-fundamental matter. A K3 fiber with $`A_{n_i1}`$ singularities generates an $`SU(n_i)`$ gauge-group factor, resulting in the gauge group

$$G=\underset{i=1}{\overset{m}{}}SU(n_i),$$
(1)
where $`m`$ is the number of intersecting two-spheres. The second models are classified by two categories according to the type of intersecting geometry of the base space: (i) $`N=2`$ superconformal field theory in four dimensions (SCFT4), based on finite $`ADE`$ Lie algebra singularities. It has gauge group similar to the first class but matter in both fundamental $`(n_i)`$ and bi-fundamental $`(n_i,\overline{n}_j)`$ representations of $`G`$. (ii) $`N=2`$ SCFT4 with gauge group

$$G=\underset{i=1}{\overset{m}{}}SU(s_in)$$
(2)
and bi-fundamental matter only. Here $`n`$ is an unspecified positive integer. This second category of scale invariant field models is classified by affine $`ADE`$ Lie algebras. The positive integers $`s_i`$ appearing in $`G`$ are the Coxeter labels (sometimes referred to as marks or Dynkin numbers); they form a positive-definite integer vector $`\left(s_j\right)`$ satisfying

$$\underset{j=1}{\overset{m}{}}K_{ij}s_j=0.$$
(3)
$`K`$ is the Cartan matrix of the affine Lie algebra, and $`m=r+1`$ with $`r`$ being the rank of the underlying Lie algebra. Models with positive beta function are discussed in .

Quite recently, four-dimensional quiver gauge models preserving only four supercharges have attracted a lot of attention. Work has been done using either type II superstrings on Calabi-Yau threefolds , or M-theory on $`G_2`$ manifolds . The aim of this work is to contribute to this program. We study M-theory on seven-dimensional manifolds with $`G_2`$ holonomy group. They are realized explicitly as K3 fibrations over a three-dimensional base space. First, though, we review the geometric engineering of $`N=2`$ QFT4 in type IIA superstring theory. We then extend this to geometric engineering of $`N=1`$ QFT4 in M-theory, where particular emphasis is put on the three-dimensional $`ADE`$ base geometry. Comparing our construction to the related D6-brane scenario described using the method of $`(p,q)`$ webs, we determine the gauge group and matter content of our $`N=1`$ QFT4.

## 2 Geometric engineering of $`N=2`$ gauge theory

A well-known way to get supersymmetric quantum field theory (QFT) from superstrings, M- or F-theory, is to consider the compactification on a singular manifold $`X`$ with K3 fibration over a base space $`B`$. The gauge group $`G`$ and matter content of the QFT are defined by the singularities of the fiber and the non-trivial geometry of the base space. In particular, the gauge coupling $`g`$ is proportional to the inverse of the square root of the volume of the base: $`V(B)=g^2`$. The complete set of physical parameters of the QFT is related to the moduli space of the manifold. Moreover, several exact results for the Coulomb branch of $`N=2`$ QFT4 embedded in type IIA superstring theory are obtained naturally by local mirror symmetry of Calabi-Yau threefolds $`CY^3`$. The latter are realized as a K3 fibration with $`ADE`$ singularity over a projective $`P^1`$ complex curve or a collection of intersecting $`P^1`$ curves.

Let us briefly outline the main steps in obtaining $`N=2`$ QFT4 from type IIA superstring theory on $`CY^3`$. The idea is subsequently illustrated by a simple example. Depending on the sought gauge group, one first specifies the $`ADE`$ singularity of the K3 fiber. Then one considers the limit in which the volume $`V(B)`$ of the base of $`CY^3`$ is very large so that gravitational effects may be ignored. This allows one to consider locally (i.e., near the singularities) the K3 fibers as non-compact ALE spaces with the same singularities. Finally, one examines the propagation of the type IIA superstrings on $`CY^3`$ in the presence of D2-branes wrapping the vanishing two-cycles in the ALE spaces. This enables one to make conclusions about the gauge group and matter content.

As an illustration, we now consider the situation where the K3 fiber has an $`A_1`$ singularity. In the vicinity of the singularity, such a fiber may be viewed as an ALE space with $`A_1`$ singularity and described by

$$z_1^2+z_2^2+z_3^2=0.$$
(4)
Using a simple change of variables, this is equivalent to

$$xy=z^2,$$
(5)
where $`x`$, $`y`$ and $`z`$ are complex variables. This geometry has a nice physical realization as a two-dimensional $`N=2`$ linear sigma model with $`U(1)`$ gauge symmetry. To see this, consider the three chiral fields $`\varphi _i`$ with charges $`(1,2,1)`$. The coordinates of the ALE space can then be expressed in terms of $`U(1)`$ gauge invariants:

$`x`$ $`=`$ $`\varphi _1^2\varphi _2,`$
$`y`$ $`=`$ $`\varphi _3^2\varphi _2,`$ (6)
$`z`$ $`=`$ $`\varphi _1\varphi _2\varphi _3.`$
This is related to the so-called $`D`$-term in the bosonic potential $`U(\varphi _1,\varphi _2,\varphi _3)`$ in supersymmetric theories with four supercharges:

$$U(\varphi _1,\varphi _2,\varphi _3)=(\varphi _1\varphi _1+\varphi _3\varphi _32\varphi _2\varphi _2R)^2.$$
(7)
In this equation, $`R`$ is the coupling parameter of the $`U(1)`$ Fayet-Iliopoulos (FI) term one may introduce in the Lagrangian model. In the superfield language, the action then reads

$$S(\mathrm{\Phi },V)=d^2xd^4\theta \overline{\mathrm{\Phi }}e^V\mathrm{\Phi }Rd^2xd^4\theta V,$$
(8)
where $`\mathrm{\Phi }`$ and $`V`$ are the chiral and gauge superfields, respectively. From this, one sees that the $`U(1)`$ Cartan subgroup of the $`SU(2)`$ symmetry of the singularity of K3 carries the gauge symmetry of the $`N=2`$ supersymmetric linear sigma model. The presence of the FI term resolves the singularity of the potential $`U(\varphi _1,\varphi _2,\varphi _3)`$. Geometrically, this corresponds to replacing the singular point $`x=y=z=0`$ by a $`P^1`$ curve parameterized by a new variable $`x^{}`$ defined as $`x^{}=x/z`$. In the new local coordinates $`(x^{},y,z)`$, the equation of the original $`A_1`$ singularity becomes

$$x^{}y=z$$
(9)
thus removing the singularity (which is now “hidden” in the singular transformation $`x^{}=x/z`$). In the field theory language, this corresponds to a positive value of the FI coupling $`R`$.

The next step is to consider the propagation of type IIA superstrings in this background. In this case, D2-branes wrapping around the blown-up $`P^1`$ curves give rise to a pair of vector particles, $`W^\pm `$, one for each of the two possible orientations of the wrappings. The particles have masses proportional to the volume of the blown-up (real) two-sphere described by $`x^{}`$. $`W^\pm `$ are charged under the $`U(1)`$ field $`Z`$ obtained by decomposing the type IIA superstring three-form in terms of the harmonic form on the two-sphere and a one-form not in the K3 fiber. In the limit where the blown-up two-sphere shrinks to a point, the three vector particles become massless, and they form an $`SU(2)`$ adjoint representation. We thus obtain an $`N=2`$ $`SU(2)`$ gauge symmetry in six dimensions. A further compactification on the base $`B_2`$ (here chosen as a real two-sphere), gives $`N=2`$ pure $`SU(2)`$ Yang-Mills theory in four dimensions.

The geometric $`SU(2)`$ gauge theory analysis is extended straightforwardly to higher $`SU(n)`$ gauge groups and products thereof. Extensions to general simply-laced $`ADE`$ gauge groups are obtained using more general Calabi-Yau threefolds . Up to some pertinent details, non-simply-laced $`BCFG`$ groups may also be constructed , see also . The incorporation of matter was alluded to in the Introduction, and is governed by a non-trivial base space geometry of the Calabi-Yau threefold. For example, consider a two-dimensional locus with an $`SU(n)`$ singularity and another locus with an $`SU(m)`$ singularity. If they intersect or meet at a point, the (mixed) wrapped two-cycles give rise to bi-fundamental matter of the $`SU(n)SU(m)`$ gauge group in four dimensions. This extends readily to multiple intersecting loci. It was also indicated in the Introduction how the associated toric quiver diagrams of $`N=2`$ QFT4’s are similar to the usual Dynkin diagrams of ordinary and affine Lie algebras.

## 3 Geometric engineering of $`N=1`$ gauge theory

Here we discuss a straightforward way of elevating the geometric engineering of $`N=2`$ gauge models in string theory to a similar construction of $`N=1`$ gauge models in M-theory. Alternative studies of four-dimensional $`N=1`$ gauge models in the framework of F- or M-theory may be found in refs. .

### 3.1 Outline of method

The method we will be using here is quite similar to the geometric engineering of $`N=2`$ QFT4 discussed above. Our starting point is a local description of M-theory compactification on a $`G_2`$ manifold with K3 fibration over a real three-dimensional base space $`B_3`$. In this way, the scenario of type IIA superstring theory in six dimensions appears in seven dimensions in M-theory. The D2-branes are replaced by M2-branes, and we obtain an $`N=2`$ gauge theory in seven dimensions. If we compactify this seven-dimensional theory on $`T^3`$ to four dimensions, we obtain an $`N=4`$ gauge theory, while a compactification on $`S^2\times S^1`$ leads to a system with eight supercharges (corresponding to $`N=2`$) .

We are, however, interested in models with only four supercharges in four dimensions, i.e., $`N=1`$ QFT4. In order to reach such a model we need to compactify on a manifold whose three-dimensional base preserves $`1/4`$ of the remaining 16 supercharges. The seven-dimensional K3 fibration must also have vanishing first Betti number, $`b_1=0`$, to meet the requirement of $`G_2`$ holonomy. An example of such a geometry has the three-dimensional sphere $`S^3`$ as base, in which case we obtain only pure $`N=1`$ Yang-Mills theory . We shall, instead, consider (a collection of) non-trivial $`S^2`$ fibrations over a finite line segment.

As in the $`N=2`$ case, the incorporation of matter may be achieved by introducing a non-trivial geometry in the base of the K3 fibration. This leads us to consider a three-dimensional intersecting geometry to describe a product gauge group with bi-fundamental matter.

### 3.2 Construction of the base geometry

Our construction of the non-trivial base geometry $`B_3`$ is quite simple and motivated by recent work on Lagrangian submanifolds in Calabi-Yau manifolds . We shall consider the three-dimensional base space as a two-dimensional fibration over a one-dimensional base, where the fiber and the base each preserves half of the seven-dimensional M-theory supercharges. The entire base space $`B_3`$ is embedded in a three-dimensional complex Calabi-Yau manifold. As discussed below, this ensures that the elements of the intersection matrix of a collection of such base space constituents are integers. The Calabi-Yau manifolds are realized explicitly as a family of (deformed) $`ADE`$ singular K3 surfaces over the complex plane. This geometry extends the family of elliptic curves on the complex plane used in F-theory compactifications down to eight dimensions . In this way, non-trivial three-cycles, satisfying the constraints of the $`G_2`$ base geometry, constitute an intersecting geometry of $`ADE`$ K3 surfaces fibered over a line segment in the complex plane. The “$`ADE`$ part” corresponds to a two-dimensional geometry obtained by resolving the $`ADE`$ singularities of the K3 surfaces. As already mentioned, the $`ADE`$ geometry is then either an (i) ordinary (finite Lie algebraic) $`ADE`$ geometry, or an (ii) affine (infinite Lie algebraic) $`ADE`$ geometry.

We start by examining the model with an ordinary $`A_1`$ singularity in the K3 fiber. This is subsequently extended to more general $`ADE`$ geometries. The deformed $`A_1`$ geometry is given by

$$z_1^2+z_2^2+z_3^2=\mu $$
(10)
where $`\mu `$ is a complex parameter. The real part of this parameter, being the radius squared of the sphere, is related to the FI terms (7) and (8), while the imaginary part can be identified with the NS-NS $`B`$-field in superstring compactifications. The $`A_1`$ threefolds may be obtained by varying the parameter $`\mu `$ over the complex plane parametrized by $`w`$:

$$z_1^2+z_2^2+z_3^2=\mu (w).$$
(11)
The base space $`B_3`$ can then be viewed as a finite line segment with an $`S^2`$ fibration, where the radius $`r`$ of $`S^2`$ vanishes at the two interval end points, and at the end points only . The latter requirement ensures that no unwanted singularities are introduced. One way to realize this geometry is

$$r\mathrm{sin}x$$
(12)
where $`x`$ is a real variable parameterizing the interval $`[0,\pi ]`$ in the $`w`$-plane.

This construction may be extended to more general $`ADE`$ geometries where we have intersecting spheres according to affine $`ADE`$ Dynkin diagrams. Here we consider a general model describing a family of deformed elliptic $`ADE`$ singularities of K3 surfaces fibered over the complex plane, and their mirror partners in type II superstring compactifications. In type IIB superstring theory, the blow-up of these singularities can be described in a two-dimensional $`N=2`$ linear sigma model with $`U(1)^{(r+1)}`$ gauge symmetry. It has $`r+5`$ chiral multiplets $`\varphi _{\mathrm{}}`$ with vector charges $`q_{\mathrm{}}^i`$, where $`r`$ is the rank of the associated affine $`ADE`$ Lie algebra. The $`D`$-terms corresponding to such classical vacua are given by

$$U=\underset{i=1}{\overset{r+1}{}}\underset{\mathrm{}=1}{\overset{r+5}{}}(q_{\mathrm{}}^i|\varphi _{\mathrm{}}|^2R_i)^2,$$
(13)
where the FI terms are denoted $`R_i`$. The $`q_{\mathrm{}}^i`$’s, being the quantum charges of $`\varphi _{\mathrm{}}`$ under the $`U(1)^{(r+1)}`$ gauge symmetry, are identified with the intersection matrix (known as Mori vectors in toric geometry) of the non-compact and compact divisors of the elliptic $`ADE`$ K3 surfaces. For the compact divisors111We shall be using a convention where the first $`r+1`$ divisors are compact, i.e., $`q_1^j,\mathrm{},q_{r+1}^j`$ correspond to the compact divisors. used in the resolution of the elliptic $`ADE`$ singularities, the intersection numbers are given by minus the affine $`ADE`$ Cartan matrix $`K`$:

$$q_i^j=K_{ij},i,j=1,\mathrm{},r+1.$$
(14)
This link stems from a nice correspondence between the $`ADE`$ roots and the two-cycles, $`C`$, involved in the deformation of the elliptic singularities of the K3 surfaces . In this way, the cohomology class of the deformed elliptic curve, $`T^2`$, is represented by

$$[T^2]=\underset{i=1}{\overset{r+1}{}}s_iC_i,$$
(15)
where $`s_i`$ are the Coxeter labels of the affine Lie algebra.

The elliptic $`ADE`$ threefolds may now be described using the toric geometry data of these threefolds and local mirror symmetry . Applying this symmetry in the K3 fiber, the elliptic $`ADE`$ type IIA mirror geometries, $`X^{}`$, may be described by an algebraic geometry equation of the form

$$P\left(X^{}\right)=\underset{\mathrm{}=1}{\overset{r+5}{}}a_{\mathrm{}}(w)y_{\mathrm{}}.$$
(16)
$`a_{\mathrm{}}=a_{\mathrm{}}(w)`$ are varying complex moduli222Note that only $`r+1`$ of these are physical. in the $`w`$-plane, while the $`y_{\mathrm{}}`$’s are complex variables satisfying

$$\underset{\mathrm{}=1}{\overset{r+5}{}}y_{\mathrm{}}^{q_{\mathrm{}}^i}=1,i=1,\mathrm{},r+1.$$
(17)
This defines the mirror elliptic $`ADE`$ K3 fiber. Eq. (17) can be solved by a quasi-homogeneous polynomial in some variables $`(x,y,z,v)`$, and eq. (16) becomes

$$p_0(x,y,z;\lambda (w))+\underset{i=1}{\overset{r+1}{}}p_i(x,y,z,v;a_i(w))=0.$$
(18)
Here $`(x,y,z)`$ are the homogeneous coordinates of the weighted projective space $`WP_{3,2,1}^2`$, while the index on $`a_i`$ refers to a (physical) compact divisor. Parameterized by the complex structure modulus $`\lambda `$, $`p_0=0`$ now describes a family of elliptic curves over the $`w`$-plane:

$$x^2+y^3+z^6+\lambda (w)xyz=0.$$
(19)
The $`v`$-dependent term depends on the structure of the affine Lie algebra. In particular, the powers of the complex variable $`v`$ appearing in the $`ADE`$ mirror geometries are given by the Coxeter labels of the corresponding affine Lie algebra. The geometry of affine $`A_2`$, for instance, is given by

$$x^2+y^3+z^6+\lambda (w)xyz+v\left[a_1(w)z^3+a_2(w)yz+a_3(w)x\right]=0.$$
(20)
A similar analysis of the simple $`A_1`$ model discussed in eqs. (10)-(12) could be done using the so-called mirror map in the Calabi-Yau moduli spaces . Indeed, mirror symmetry relates the complixified FI terms $`T_j`$ in type IIB geometry $`X`$ to the coordinates, $`Z_j`$, of the complex moduli space of type IIA geometry:

$$T_j=B_j+iV(C_j)i\mathrm{ln}(Z_j).$$
(21)
$`V(C_j)`$ is the volume of the two-cycle $`C_j`$, whereas $`Z_j`$ is given by

$$Z_j=\underset{\mathrm{}=1}{\overset{r+5}{}}a_{\mathrm{}}^{q_{\mathrm{}}^j}.$$
(22)
For vanishing integrated NS-NS $`B`$-fields $`B_j`$, equation (21) reduces to

$$V(C_j)\mathrm{ln}(Z_j).$$
(23)
Under mirror symmetry, the constraints on the Kähler parameters of the two-cycles in type IIB geometry translate into conditions on the complex structures in type IIA geometry.

In the geometric setting, our choice of base geometry is given as a line segment fibered by intersecting spheres according to $`ADE`$ affine Dynkin diagrams.

## 4 Gauge group and matter content

Having specified the base geometry of the $`G_2`$ manifold, we will discuss the corresponding gauge theory of the compactified M-theory. Our analysis here will be based on a dual type IIA superstring description. It turns out that, in addition to being dual to heterotic string compactification, M-theory on $`G_2`$ manifolds is also dual to type IIA string theory on Calabi-Yau threefolds in the presence of D6-branes wrapping Lagrangian sub-manifolds and filling the four-dimensional Minkowski space . In particular, a local description of M-theory near the $`A_{n1}`$ singularity of K3 surfaces is equivalent to $`n`$ units of D6-branes . Indeed, on the seven-dimensional world-volume of each D6-brane we have a $`U(1)`$ symmetry. When the $`n`$ D6-branes approach each other, the gauge symmetry is enhanced from $`U(1)^n`$ to $`U(n)`$. An extra compactification of M-theory down to four-dimensional space-time is equivalent to wrapping D6-branes on the same geometry. In this way, the physics content of the resulting D6-brane scenario can be computed explicitly using the method of the so-called $`(p,q)`$ webs . Using the results of this method, we expect that the final gauge theory in four-dimensional Minkowski space has gauge group

$$G=\underset{i=1}{\overset{m}{}}U(n_i).$$
(24)
$`m`$ is the number of intersecting three-cycles in the base geometry. The integers $`n_i`$ are specified by the anomaly cancellation condition. This means that they should form a null vector of the intersection matrix of the three-cycles:

$$\underset{j=1}{\overset{m}{}}I_{ij}n_j=0.$$
(25)
In the infra-red limit the $`U(1)`$ factors decouple and one is left with the gauge group

$$G=\underset{i=1}{\overset{m}{}}SU(n_i).$$
(26)
As already mentioned, the gauge group and matter content depend on the intersecting geometry in the three-dimensional base of the $`G_2`$ manifold. The intersection matrix of real $`N`$-dimensional spheres $`S^N`$ (constructed as blow-ups of singularities in Calabi-Yau spaces) is symmetric for $`N`$ even and anti-symmetric for $`N`$ odd. In more general geometries, the intersection matrix may be written as a linear combination of a symmetric and an anti-symmetric term.

Here we identify the base with a collection of the three-cycles discussed in Section 3. We recall that they correspond to $`S^2`$ fibrations over a line segment. Thus, the intersection matrix of the three-cycles is equivalent to the intersection matrix formed by two-spheres only. From the obvious similarity with the $`N=2`$ scenario discussed in Section 2, we see that information on our intersecting geometry is naturally encoded in the Cartan matrix, $`K`$, of an affine $`ADE`$ Lie algebra:

$$I_{ij}=K_{ij}.$$
(27)
It follows that the anomaly cancellation condition is translated into a condition on the affine Lie algebra, thus solving (25) by

$$n_i=s_in.$$
(28)
Here $`s_i`$, $`i=1,\mathrm{},r+1`$, are the Coxeter labels of the associated affine Lie algebra of rank $`r`$, and $`r+1`$ is equal to the number of intersecting three-cycles. As in (2), $`n`$ is an unspecified positive integer. The gauge group finally reads

$$G=\underset{i=1}{\overset{r+1}{}}SU(s_in).$$
(29)
## 5 Conclusion

We have studied the geometric engineering of $`N=1`$ four-dimensional models from M-theory on a manifold with $`G_2`$ holonomy. This manifold is a K3 fibration over a three-dimensional base space with $`ADE`$ geometry. To that end we have first constructed the base geometry as intersecting two-cycles over a line segment. This special base has been embedded in a family of K3 surfaces over the complex plane. Based on the relation between M-theory and D6-branes in type IIA superstrings, we have discussed the physics content of M-theory compactified on our $`G_2`$ manifold. In particular, the resulting gauge theory has been discussed in the framework of $`(p,q)`$ webs. In this scenario, the anomaly cancellation condition was seen to translate into a condition on the associated affine Lie algebra.
Acknowledgments. AB thanks Department of Mathematics and Statistics, Concordia University, Montréal, for its kind hospitality during the preparation of this work. He is very grateful to J. McKay for the invitation, discussions and encouragement, and thanks E.H. Saidi for previous collaborations related to this work. JR thanks F. Lesage for helpful discussions.


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# Numerical studies of the two- and three-dimensional gauge glass at low temperature

## I Introduction

The gauge glass is a model often used to describe the vortex glass transition in high-temperature superconductors. Still, there are areas which need to be understood. In two dimensions, there is an ongoing controversy as to whether a spin-glass transition occurs at finite temperature or not. In three dimensions, a finite-temperature transition is well establishedOlson and Young (2000), although there is no consensus on the value of the stiffness exponent.

Recently, claims of evidence for a finite-temperature transition in two dimensions with $`T_c=0.22`$ by KimKim (2000) using resistively shunted junction (RSJ) dynamics, and by Choi and ParkChoi and Park (1999) who study the scaling of the spin-glass susceptibility via Monte Carlo simulations, have been made. In contrast, GranatoGranato (1998) and Hyman et al.Hyman et al. (1995), who also use RSJ dynamics find evidence of a zero-$`T`$ transition. In addition, Monte Carlo simulations by Fisher et al.Fisher et al. (1991) and Reger and YoungReger and Young (1993) show evidence of a $`T=0`$ transition, although the simulations were not performed at low enough temperatures.

Here we perform Monte Carlo simulations of the two- and three-dimensional gauge glass, using parallel temperingHukushima and Nemoto (1996); Marinari (1998), to go to significantly lower temperatures than was possible in earlier work. In particular, we are now able to cover the temperature range in two dimensions where the claimed spin-glass transitionChoi and Park (1999); Kim (2000) takes place. We find strong evidence that $`T_c=0`$.

In three dimensions, we study the gauge glass at very low but finite temperatures to provide a good estimate of the stiffness exponent $`\theta `$. Earlier estimates, which were obtained from ground-state methods, are inconsistent. One groupReger et al. (1991); Gingras (1992); Kosterlitz and Simkin (1997); Maucourt and Grempel (1997) finds values consistent with $`\theta 0`$, whereas anotherOlson and Young (2000); Akino and Kosterlitz (2002); Cieplak et al. (1992); Moore and Murphy (1994); Kosterlitz and Akino (1998) finds $`\theta `$ in the range $`0.26`$$`0.31`$. We find that $`\theta =0.27\pm 0.01`$, which agrees with the results of Refs. Olson and Young, 2000, and Akino and Kosterlitz, 2002; Cieplak et al., 1992; Moore and Murphy, 1994; Kosterlitz and Akino, 1998.

## II Model, Observables, and Method

The Hamiltonian of the gauge glass is given by

$$=\underset{i,j}{}\mathrm{cos}(\varphi _i\varphi _jA_{ij}),$$
(1)
where the sum ranges over nearest neighbors on a hypercubic lattice in $`D`$ dimensions of size $`N=L^D`$, and $`\varphi _i`$ represent the angles of the $`XY`$ spins. Periodic boundary conditions are applied. The $`A_{ij}`$ are quenched random variables uniformly distributed between $`[0,2\pi ]`$Katzgraber and Young (2001). Because $`A_{ij}`$ represent the line integral of the vector potential between sites $`i`$ and $`j`$, we have the constraint that $`A_{ij}=A_{ji}`$.

Traditionally, one uses the Binder ratioBinder (1981) to estimate the critical temperature $`T_c`$. As for the gauge glass the Binder ratio cannot exceed unityOlson and Young (2000), the splaying of the curves is small, and $`T_c`$ is difficult to establish. In order to avoid this problem, we use a method introduced by Reger and YoungReger et al. (1991) in which one calculates the current $`I`$ defined as the derivative of the free energy with respect to an infinitesimal twist to the boundaries, i.e.,

$$I(L)=\frac{1}{L}\underset{i}{}\mathrm{sin}(\varphi _i\varphi _{i+\widehat{x}}A_{ii+\widehat{x}}).$$
(2)
In this case, the twist is applied along the $`\widehat{x}`$-direction. As $`[I(L)]_{\mathrm{av}}=0`$, we actually calculate the root-mean-square current $`I_{\mathrm{rms}}`$. Here $`\mathrm{}`$ represents a thermal average, whereas $`[\mathrm{}]_{\mathrm{av}}`$ represents a disorder average. Note that the current scalesKatzgraber and Young (2002) as

$$I_{\mathrm{rms}}=\stackrel{~}{I}(L^{1/\nu }(TT_c)),$$
(3)
for $`T_c>0`$, whereas for $`T_c=0`$,

$$I_{\mathrm{rms}}=L^{1/\nu }\stackrel{~}{I}(L^{1/\nu }T).$$
(4)
Equation (4) indicates that the $`T=0`$ stiffness exponent $`\theta `$ is negative and equal to $`1/\nu `$ (as $`I_{\mathrm{rms}}L^\theta `$). Equation (3) shows that if $`T_c>0`$, the curves for $`I_{\mathrm{rms}}`$ for different sizes intersect at the critical point, whereas Eq. (4) shows that if $`T_c=0`$ the data decrease with increasing size at $`T=0`$. For a finite-temperature transition we expect $`\theta >0`$, since then the ordered state at $`T=0`$ is “stiff” on large scales, and so will presumably resist small thermal fluctuations. On the other hand, for a zero-temperature transition, the system will then easily break up under the influence of thermal fluctuations and therefore $`\theta <0`$.

We also have calculated the spin-glass susceptibility, $`\chi _{_{\mathrm{SG}}}`$, defined by

$$\chi _{_{\mathrm{SG}}}=N[q^2]_{\mathrm{av}},$$
(5)
where $`q`$ is the spin-glass order parameter:

$$q=\frac{1}{N}\underset{i}{\overset{N}{}}\mathrm{exp}[i(\varphi _i^\alpha \varphi _i^\beta )].$$
(6)
Here, $`\alpha `$, $`\beta `$ are two replicas of the system with the same disorder. According to standard finite-size scaling the spin-glass susceptibility, defined in Eq. (5), behaves as

$$\chi _{_{\mathrm{SG}}}=L^{2\eta }\stackrel{~}{\chi }_{_{\mathrm{S}G}}(L^{1/\nu }(TT_c)),$$
(7)
meaning that at criticality ($`T=T_c`$) it diverges with a power law, i.e., $`\chi _{_{\mathrm{SG}}}L^{2\eta }`$. Note that the power-law prefactor in Eq. (7) with an unknown exponent complicates the analysis of $`\chi _{_{\mathrm{SG}}}`$ compared with that for $`I_{\mathrm{rms}}`$.

For the simulations, we use parallel tempering Monte CarloHukushima and Nemoto (1996); Marinari (1998) as it allows us to study systems at lower temperatures than with conventional methods. For details about the implementation, equilibration tests, and detailed parameters of the simulations we refer the reader to Ref. Katzgraber and Young, 2002. In two dimensions, the highest temperature is $`1.058`$, whereas the lowest temperature is $`0.13`$ for $`L=4`$, $`6`$, $`8`$, $`12`$, and $`16`$ (for $`L=24`$ the lowest temperature is $`0.20`$). The number of temperatures $`N_T=30`$ is chosen to give satisfactory acceptance ratios for the Monte Carlo moves between the temperatures ($`N_T=24`$ for $`L=24`$). In 3D the lowest temperature studied is $`0.05`$ (note that $`T_c0.45`$)Olson and Young (2000) whereas the highest temperature is $`0.947`$, and $`N_T=53`$ for $`L=3`$, $`4`$, $`5`$, $`6`$, and $`8`$.

## III Results for $`D=2`$

Figure 1 shows a finite-size scaling plot of the data for $`I_{\mathrm{rms}}`$ in two dimensions according to Eq. (4). The plot shows that the data collapse if $`L^{1/\nu }T`$ is small for all values of $`L`$, and over the whole range of $`L^{1/\nu }T`$ for the largest sizes. The inset shows results of the unscaled data. At all temperatures, the data decrease with increasing $`L`$ indicating, from Eq. (3), that $`T_c`$ must be less than the range of temperatures studied. The data in Fig. 1 are therefore consistent with a zero-temperature transition, but with significant corrections to scaling at intermediate temperatures. We estimate the stiffness exponent to be $`\theta =0.39\pm 0.03`$. The above error bar is estimated by varying $`\theta `$ slightly until the data do not collapse well. This result is consistent with recent work of Akino and KosterlitzAkino and Kosterlitz (2002) who find $`\theta =0.36\pm 0.01`$. Choi and Park’sChoi and Park (1999) parameters ($`T_c=0.22`$, $`1/\nu =0.88`$) yield very poor scaling, especially near the proposed $`T_c`$. In fact, we are unable to get a reasonable fit to the data for $`I_{\mathrm{rms}}`$ according to Eq. (3) for any finite $`T_c`$.

Figure 2 shows a scaling plot of the data for $`\chi _{_{\mathrm{SG}}}`$ according to Eq. (7) for $`T_c=0`$ and $`1/\nu =0.39`$, the same parameters found in the scaling of $`I_{\mathrm{rms}}`$, together with $`\eta =0.0\pm 0.1`$, which is expected at a zero-temperature transition. The data at low $`T`$ and for the largest sizes scale well, but the data away from this range show deviations. Allowing $`1/\nu `$ to vary, we find $`1/\nu =0.50\pm 0.03`$. The inset shows data for this optimal value, where only the $`L=4`$ and $`6`$ data are not part of the scaling function for all $`L^{1/\nu }T`$. The fact that the best values of $`1/\nu `$ are not precisely the same when obtained from $`\chi _{_{\mathrm{SG}}}`$ and $`I_{\mathrm{rms}}`$ presumably indicates that scaling is only valid for fairly low temperatures and large sizes, and that, despite our working at quite low temperatures, we have only a limited range of data which are fully in the scaling regime.

We also scale the data for $`\chi _{_{\mathrm{SG}}}`$ with Choi and Park’s parametersChoi and Park (1999). The data collapse is poor near $`T_c`$. The scaling of $`I_{\mathrm{rms}}`$ is also much worse, indicating that $`I_{\mathrm{rms}}`$ distinguishes between a finite $`T_c`$ and $`T_c=0`$ much better than $`\chi _{_{\mathrm{SG}}}`$ because of its simpler finite-size scaling form. An attempt to scale the data for $`\chi _{_{\mathrm{SG}}}`$ with $`T_c=0.13`$, the lowest temperature simulated, shows that the best fit is obtained with $`1/\nu =0.68`$ and $`\eta =0.19`$. While the data scale acceptably well, the data for $`I_{rms}`$ scale poorly.

According to Eq. (7) for $`T=T_c`$, the data for $`\chi _{_{\mathrm{SG}}}`$ should lie on a straight line at $`T_c`$. However, the data in the vicinity of $`T=0.22`$, the transition temperature claimed by KimKim (2000) and Choi and Park,Choi and Park (1999) show a strong downward curvatureKatzgraber and Young (2002) in our analysis, indicating that this is actually above $`T_c`$. Only around the lowest temperature where we have data, $`T=0.13`$, is the curvature small, although it still greatly exceeds the error bars. This indicates that $`T_c<0.13`$, which is compatible with our data for $`I_{\mathrm{rms}}`$.

## IV Results for $`D=3`$

Olson and YoungOlson and Young (2000) have investigated the critical region of the three-dimensional gauge glass obtaining a lower bound for the stiffness exponent of $`\theta 0.18`$. Some previous resultsReger et al. (1991); Gingras (1992); Kosterlitz and Simkin (1997); Maucourt and Grempel (1997) find $`\theta `$ in the range $`0\theta 0.077`$ whereas othersAkino and Kosterlitz (2002); Cieplak et al. (1992); Moore and Murphy (1994); Kosterlitz and Akino (1998) find a much larger value, $`0.26\theta 0.31`$.

We can estimate $`\theta `$ from our data for $`I_{\mathrm{rms}}`$ since $`I_{\mathrm{rms}}L^\theta `$ when $`L^{1/\nu }(TT_c)`$, the argument of the scaling function in Eq. (3), tends toward infinity. To obtain an estimate of $`\theta `$, we perform a linear least-squares fit of $`\mathrm{ln}(I_{\mathrm{rms}})`$ against $`\mathrm{ln}(L)`$ for each temperature in order to obtain an effective stiffness exponent $`\theta _{\mathrm{eff}}(T)`$ which depends on the temperature. Figure 3 shows that $`\theta _{\mathrm{eff}}(T)`$ can be fitted well to a linear form at low temperatures. Extrapolating to $`T=0`$, we obtain $`\theta =0.27\pm 0.01`$, which is clearly positive and consistent with the results of Refs. Olson and Young, 2000; Akino and Kosterlitz, 2002; Cieplak et al., 1992; Moore and Murphy, 1994; Kosterlitz and Akino, 1998.

## V Conclusions

Our results from Monte Carlo simulations of the two-dimensional gauge glass are consistent with a $`T=0`$ transition with a stiffness exponent $`\theta =0.39\pm 0.03`$. These results are incompatible with the prediction made by KimKim (2000) and Choi and ParkChoi and Park (1999) that $`T_c=0.22`$. In three dimensions we report the first reliable estimate of the stiffness exponent from finite-temperature Monte Carlo simulations. We find $`\theta =0.27\pm 0.01`$, which agrees with the results of Refs. Olson and Young, 2000; Akino and Kosterlitz, 2002; Cieplak et al., 1992; Moore and Murphy, 1994; Kosterlitz and Akino, 1998.

HGK acknowledges support from the National Science Foundation under Grant No. DMR 9985978 and would like to thank A. P. Young for a fruitful collaboration.


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# Kuiper Belt Object Sizes and Distances from Occultation Observations

## 1. Introduction

The Kuiper Belt Object (KBO) population may provide useful clues to understand the formation and evolution of our Solar system and many others. The presence of KBOs beyond the orbit of Neptune is now well established; current estimates suggest that there is a total of order $`10^5`$ objects with sizes greater than 100 km (see Luu & Jewitt 2002 for a recent review). While sensitive photometric surveys may be capable of detecting KBOs with sizes greater than several tens of kilometers, the size distribution of KBOs with sizes of order a kilometer and below is useful for comparison with numerical models (Kenyon 2002). While imaging surveys are unlikely to detect kilometer-sized KBOs, as the expected R-band magnitude is of order $``$ 30 or fainter, occultation surveys provide a much needed probe to extract population statistics at this low end of the size distribution. Unlike significant dependence on distance associated with reflected light, occultation observations (e.g., Elliot & Olkin 1996) can also easily extend statistics of minor bodies beyond the current range of distances encountered.

In previous discussions, the use of occultation observations to understand the KBO population was considered (Bailey 1976; Brown & Webster 1997; Roques & Moncuquet 2000; Cooray & Farmer 2003). Due to the potentially large number of KBOs at the low end of the size distribution, the probability for occultation is at the level of $``$ 0.1 per star per year. This event rate can be compared to that of galactic microlensing surveys where the optical depth is at the level of 10-6 requiring monitoring observations of order million stars or more. The KBO occultations, however, have a significant disadvantage in that the time duration of events is typically at the level of a few tenths of a second or below. This puts severe constraints on the instrumentation side for reliable detections.

In Cooray & Farmer (2003), we explored the use of small telescopes arrays, such as the one planned by the Taiwanese-American Occultation Survey (TAOS; Liang et al. 2002), and showed that these surveys can be used to constrain the size distribution of KBOs between few 100 meters and 10 km. Such statistical constraints assume prior knowledge on the KBO distance and velocity distributions. While this approach may be useful for first generation surveys, for precise knowledge on the KBO population, it is useful to constrain the KBO size distribution independently. A step towards this direction is to extract parameters, such as the distance and size, from individual light curves. Unfortunately, such an extraction is affected by a geometric degeneracy between the KBO size and its distance such that one cannot determine one of these parameters independent of the other. This degeneracy, however, can be partly broken with a measurement of the relative velocity associated with the event and, in general, require observations with multiple telescopes for this purpose.

The occultation light curves are expected to show effects related to diffraction when events involve background stars whose projected sizes at KBO distances are below the Fresnel scale. In addition to enhancing the event rate (Roques & Moncuquet 2000; Cooray & Farmer 2003), through the presence of fringes, the diffraction effect has another advantage in that one can break the degeneracy associated with KBO size and distance with no independent measurement of the relative velocity. In practice, such a parameter estimation require flux measurements of background stars at the level of a few percent or better. An interesting possibility for this purpose involves a dedicated satellite mission for KBO occultations.

The discussion is organized as follows. In the next Section, we will summarize important aspects related to KBO occultations, such as the normalized light curve. In Section 3, we discuss practical considerations related to KBO occultations and consider requirements for an array of sub-meter class telescopes based on the importance of a relative velocity measurement. In the same Section, we also discuss the ability to extract information from individual light curves obtained at high precision with a space-based monitoring mission for KBO occultations.

## 2. KBO Occultations

In general, one can characterize an occultation of a background star by a foreground KBO with two parameters involving the duration, $`\mathrm{\Delta }T`$, of the occultation and the fractional flux decrease, $`A`$, of the background star during the occultation. In the geometric description of an occultation, these two observables are related via $`\mathrm{\Delta }T=2D\varphi _{}(1+\sqrt{A})/v`$, where $`D`$ is the distance to the foreground KBO, $`v`$ is the relative velocity, and $`\varphi _{}`$ is the angular size of the background star. The latter is what one obtains from stellar physics based arguments, such as through colors or a spectrum, or from interferometric observations (van Belle 1999). Since $`A=R^2/R_{}^2`$, with KBO size, $`R`$, and projected star size, $`R_{}(=D\varphi _{})`$, with occultation light curves, the combination of $`R/v`$ and $`D/v`$ are well constrained when prior information related to the stellar angular size is available. A precise measurement of the relative velocity during the occultation event is needed to estimate $`R`$ and $`D`$ separately, otherwise a small KBO near by or a large KBO far away can be equally used to interpret a given light curve. The relative velocity measurement requires observations of the same event at two separate locations that happen to lie within the same occultation path. Since occultation observations are mostly sensitive to kilometer size KBOs, this can be achieved with an array of telescopes where individual elements are spread over an area of few square kilometers or more. For comparison, a similar degeneracy exists for microlensing light curves involving the lens mass and its distance and to help break this degeneracy, at least one additional observation is required from a satellite at Astronomical-Unit distances (e.g., Gould 1995).

In the case of KBO occultations, another possibility to break the degeneracy between distance and size involves the presence of diffraction fringes in occultation light curves. At KBO distances, the diffraction effect becomes important especially when the projected star size involved with an occultation is smaller than the Fresnel scale given by $`R_\mathrm{F}=\sqrt{\lambda D/2\pi }`$. At $`D40`$ AU, $`R_\mathrm{F}0.7`$ km when $`\lambda =500`$ nm and is typical of projected stellar sizes, especially for main sequence stars with magnitudes around 14. With diffraction, the normalized flux variation as a function of the separation between the foreground KBO and the background star, $`r`$, is (Roques et al. 1987):

$$A_{\mathrm{diff}}(R_{},R,|𝐫|)=_0^R_{}\frac{d^2𝐫^{}}{\pi R_{}^2}I(|𝐫𝐫^{}|,R),$$
(1)
where

$$I(r,R)=\{\begin{array}{cc}1+U_1^2(R,r)+U_2^2(R,r)2U_1(R,r)\mathrm{sin}\left(\frac{r^2+R^2}{2R_F^2}\right)\hfill & \\ +\mathrm{\hspace{0.33em}2}U_2(R,r)\mathrm{cos}\left(\frac{r^2+R^2}{2R_F^2}\right)rR\hfill & \\ U_0^2(r,R)+U_1^2(r,R)r<R.\hfill & \end{array}$$
(2)
The functions $`U_n(x,y)`$ are Lommel functions:

$$U_n(x,y)=\underset{k=0}{\overset{\mathrm{}}{}}(1)^k\left(\frac{x}{y}\right)^{n+2k}J_{n+2k}\left(\frac{xy}{R_F^2}\right).$$
(3)
Compared to the geometric description, the diffraction fringes separate $`R`$, $`D`$ and $`v`$, and is no longer restricted to combinations of $`R/v`$ and $`D/v`$. Additionally, $`R_{}`$ can also be estimated through associated smoothing though to improve the determination of other three parameters, prior knowledge on $`R_{}`$ is preferred.

## 3. Practical Aspects

### 3.1. Parameter Extraction

When considering a potential search for KBOs based on occultation observations and to understand relative merits of a ground vs. a space based survey, we first consider the ability to extract physical properties of the KBO population from individual occultation light curves. For this purpose, we make use of the Fisher information matrix:

$$𝐅_{ij}=\frac{^2\mathrm{ln}L}{p_ip_j}_𝐱,$$
(4)
whose inverse provides the optimistic covariance matrix for errors on the associated parameters (e.g., Tegmark et al. 1997). In Eq. 4, $`L`$ is the likelihood of observing data set $`𝐱`$, in our case the light curve, given the parameters $`p_1\mathrm{}p_n`$ that describe these data. Following the Cramér-Rao inequality (Kendall & Stuart 1969), no unbiased method can measure the ith parameter with standard deviation less than $`(𝐅_{ii})^{1/2}`$ if all other parameters are exactly known, and less than $`[(𝐅^\mathrm{𝟏})_{ii}]^{1/2}`$, from the inverse of the Fisher matrix, if other parameters are to be estimated from the data as well.

For the present case involving KBO occultation observations, we assume light curves will be sampled with time intervals of $`\delta T`$ $`(<\mathrm{\Delta }T)`$. To describe a real observational situation, we also assume noise in the light curve with a variance, $`\sigma ^2(A_{\mathrm{diff}})`$, consistent with the instrumental description. We can now write the Fisher matrix associated with KBO occultation light curves as

$$𝐅_{ij}=\underset{\delta T}{}\frac{1}{\sigma ^2(A_{\mathrm{diff}})}\frac{A_{\mathrm{diff}}}{p_i}\frac{A_{\mathrm{diff}}}{p_j}.$$
(5)
Here, $`A_{\mathrm{diff}}/p_i`$ denotes derivatives of the light curve, $`A_{\mathrm{diff}}`$ (Eq. 1), with respect to the parameter $`p_i`$.

In Fig. 1, we show light curves and their derivatives with respect to the four parameters. In order to show the importance of diffraction in breaking degeneracies, we show these derivatives as a function of the projected stellar size. As this size is increased, diffractions fringes begin to disappear and the derivatives with respect to physical parameters become smaller such that the ability to extract parameters from the light curve is reduced. Similarly, with increasing projected size for the background star, the light curves resemble that of a geometric occultation and the discussion related to the presence of degeneracies apply.

To show this explicitly, we now consider parameter extraction and illustrate in terms of the KBO distance and radius, by marginalizing over other two parameters involving the projected star size and the relative velocity. In the case of bright star occultations, as expected from a ground based survey, there is a significant degeneracy such that one cannot establish the size independent of its distance. We illustrate this in Fig. 2(a) with the two outer lines. To break this geometric degeneracy, one requires prior information related to the relative velocity during the event. In the case of ground based surveys, this information must come from a second observation of the same event along the shadow path as it moves across the observer plane. Assuming few kilometer baselines, the best one can hope to achieve from ground, especially for slow occultations towards quadrature, is at the level of a 1 km sec-1. Using this value as a prior, one can determine the radius to an accuracy of 10%, while the distance still remains uncertain at a level of 50%. This can be understood due to the fact that the uncertainty in the projected star size degrades the distance determination. To further improve, one should have precise knowledge on the projected sizes of background stars. The most significant improvements are associated with smaller, and thus fainter, stars such that diffraction effects become significant.

In Fig. 2(b), we illustrate such a possibility using the same KBO parameters but now with a projected size for the background star of 0.1 km. This size roughly corresponds to peak of the main sequence stars with V-band magnitudes between 14 and 16 (for example, Fig. 1 in Cooray & Farmer 2003). Now, one breaks degeneracies significantly such that the radius is known to better than 2% and distance is known to 5%. Note that this was achieved with no knowledge on the relative velocity. The diffraction fringes allow the relative velocity to be determined together with KBO size and distance. We have assumed a single wavelength observation here. In a real situation, a finite width over wavelength is expected and this will lead to an additional smoothing of fringes. Assuming a 25% width in wavelength of observations around 500 nm, we determined that errors on KBO size and distance are increased by a factor of 1.5 to 2 from the case with a single wavelength. This is under the assumption that the filter shape is known precisely. If the filter function is treated as an unknown, a few percent constraint on any of the physical parameters is not possible.

### 3.2. Surveys

In prior discussions (Roques & Moncuquet 2000; Cooray & Farmer 2003), the consideration was given to the ability of KBO occultation surveys to constrain the KBO size distribution through statistics related to time duration and normalized flux change. Instead of this statistical approach, we have now considered the possibility of using individual light curves to extract physical parameters of the KBO population. Unfortunately, as discussed, there are significant limitations on the ability of ground based observations to measure KBO size independent of its distance. To break this geometric degeneracy, an array of telescopes, with capability to perform relative timing between individual elements, can be used for simultaneous observations and to measure the relative velocity associated with detected events. Since one expects KBOs with sizes at the level of few kilometers to be detected from ground based arrays, individual telescopes should be separated at the same size. Though we have not considered in detail, there is an interesting optimization problem related to such an array: given the fixed number of telescopes, one can design the layout that will return the most information related to the KBO population. A simple estimate suggests circular arrays with separations both smaller and larger than the typical KBO size one expects to detect; the latter is to reduce systematics, as in the approach related to TAOS, while the former allows a relative velocity measurement. Due to small separations of order few hundreds of meters or below, it is unlikely that TAOS will be able to make reliable measurements of relative velocity associated with its occultation detections. For such surveys, information related to the KBO population can be extracted through statistics related to two observables involving the event duration and the normalized flux variation.

Beyond TAOS, it will be useful to have an optimized array of small telescopes for occultation observations, though the information on the KBO population one extracts is still limited. We demonstrated this based on a calculation related to the parameter extraction and showed that while KBO radii may be determined at the level of 10% or better, KBO distances will remain significantly uncertain. The significant improvements come with observations of occultations by KBOs of fainter stars, V-band magnitudes fainter than 14, such that diffraction effects are significant. The advantage here is that no separate relative velocity measurement is needed. For a successful ground based survey that attempts to make use of diffraction, observations of fainter stars must be achieved with relative flux measurements down to few percent with timing capabilities around 0.1 seconds.

To further improve, a dedicated space based satellite mission is helpful with the ability to monitor 14th magnitude or fainter stars with relative flux errors below 1% in integration times of order 0.1 seconds or better. The planned Kepler mission to detect transits of extra-solar planets across their central stars provide a basis to compare what will be required for KBO occultation observations. The Kepler mission allows the detection of relative flux variations at the level of $`10^5`$ on time scales of 6 hours when 12th magnitude dwarf stars are involved. Scaling their expectations, we find that in an integration time of 0.1 seconds, at the 14th magnitude, the photon noise will lead to Poisson noise contributions to relative flux measurements of order 1%, which is the level required for a KBO survey. Since the probability for occultations is relatively high, the data rate can be controlled by a priori selecting few hundred to thousand stars for monitoring purposes.

To conclude, considering all possibilities, we suggest that a dedicated mission for KBO occultation observations may provide the best option to understand the KBO population at kilometer sizes and below. Unlike observations of reflected light, occultations allow detections of KBOs, in principle, independent of its distance. The expected large number of KBOs at the low end of its size distribution leads to a significantly high occultation event rate and motivates ground-based attempts for KBO searches. While light curves are likely to be affected by a geometric degeneracy, diffraction provides a useful approach to break this degeneracy and improve KBO size and distance measurements. The planned TAOS survey provides an initial step in KBO searches while significant improvements can be expected with a well planned space-based mission.

Acknowledgments: We thank A. Farmer for useful discussions and acknowledge partial support from the Sherman Fairchild Foundation.


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# Demonstration of Dispersion-Cancelled Quantum-Optical Coherence Tomography

## Abstract

We present an experimental demonstration of quantum optical coherence tomography (QOCT). The technique makes use of an entangled twin-photon light source to carry out axial optical sectioning. QOCT is compared to conventional optical coherence tomography (OCT). The immunity of QOCT to dispersion, as well as a factor of two enhancement in resolution, are experimentally demonstrated.

PACS numbers: 42.50.Nn, 42.50.Dv, 42.30.Wb

Optical coherence tomography (OCT) has become a versatile and useful biological imaging technique Fuj1 ; Fuj2 ; Schmidt-Review , particularly in ophthalmology Ophthalmology , cardiology Cardiology , and dermatology Dermatology . It is an interferometric scheme that makes use of a light source of short coherence time (broad spectrum) SalehTeich  to carry out axial sectioning of a biological specimen. Axial resolution is enhanced by increasing the spectral bandwidth of the source (sub-micrometer resolution has recently been achieved by using a light source with a bandwidth of 325 nm SubmicronRes ). However, as the bandwidth is increased the effects of group-velocity dispersion becomes increasingly deleterious DispersionEffects . Various techniques have been used in attempts to counteract the effects of dispersion, but these require a priori knowledge of the dispersion intrinsic to the specimen DispersionCorrection1 .

A quantum version of OCT that makes use of an entangled twin-photon light source has recently been proposed Abouraddy . A particular merit of quantum-optical coherence tomography (QOCT) is that it is inherently immune to dispersion by virtue of the frequency entanglement associated with the twin-photon pairs Franson ; Kwiat ; Larchuk . Moreover, for sources of the same bandwidth, the entangled nature of the twin photons provides a factor of two enhancement in resolution relative to OCT.

In this letter we report the first experimental demonstration of QOCT, and show that the technique is indeed insensitive to group-velocity dispersion. A parallel experiment using conventional OCT with a source of the same bandwidth is conducted to provide a direct comparison of the two techniques. Using the reflections from the two surfaces of a fused-silica sample buried under a 10-mm-thick ZnSe window (a highly dispersive material) as a sample, we obtain an improvement in resolution by a factor of approximately 5. This improvement arises from the concatenation of two effects: dispersion cancellation and the factor-of-two advantage.

We begin with a brief discussion of the principle underlying QOCT (for a comparative review of the theories of QOCT and OCT the reader is referred to Ref. Abouraddy ). A schematic of the QOCT arrangement is illustrated in Fig. 1. The entangled twin photons may be conveniently generated via spontaneous parametric down-conversion (SPDC) MandelWolf . In this process a monochromatic laser beam of angular frequency $`\omega _p`$, serving as the pump, is sent to a second-order nonlinear optical crystal (NLC). A fraction of the pump photons disintegrate into pairs of downconverted photons. Both downconveted photons have the same polarization and central angular frequency $`\omega _0=\omega _p/2`$, corresponding to type-I degenerate SPDC. We direct our attention to a noncollinear configuration, in which the photons of the pairs are emitted in selected different directions (modes), denoted 1 and 2. Although each of the emitted photons has a broad spectrum in its own right, the sum of the angular frequencies must always equal $`\omega _p`$ by virtue of energy conservation.

The twin-photon source is characterized by the frequency-entangled state

$$|\psi =𝑑\mathrm{\Omega }\zeta (\mathrm{\Omega })|\omega _0+\mathrm{\Omega }_1|\omega _0\mathrm{\Omega }_2,$$
(1)
where $`\mathrm{\Omega }`$ is the angular frequency deviation about the central angular frequency $`\omega _0`$ of the twin-photon wave packet, $`\zeta (\mathrm{\Omega })`$ is the spectral probability amplitude, and the spectral distribution $`S(\mathrm{\Omega })=|\zeta (\mathrm{\Omega })|^2`$ is normalized such that $`𝑑\mathrm{\Omega }S(\mathrm{\Omega })=1`$. For simplicity we assume $`S(\mathrm{\Omega })`$ to be a symmetric function. Each photon of the pair resides in a single spatial mode, indicated by the subscripts 1 and 2 in Eq. (1).

The schematic illustrated in Fig. 1 has, at its heart, the two-photon interferometer considered by Hong, Ou, and Mandel (HOM) HOM . The conventional HOM configuration is modified by placing the sample to be probed in one arm and an adjustable temporal delay ($`\tau _q`$) in the other arm. The entangled photons are directed to the two input ports of a symmetric beam splitter (BS). Beams 3 and 4 at its output ports are directed to two single-photon-counting detectors, D1 and D2, respectively. The coincidence rate of photons arriving at the two detectors, $`C(\tau _q)`$, is recorded within a time window determined by a coincidence circuit (indicated by $``$).

An experiment is conducted by sweeping the temporal delay $`\tau _q`$ and recording the interferogram $`C(\tau _q)`$. If a mirror were to replace the sample, this would trace out a dip in the coincidence rate whose minimum would occur when arms 1 and 2 of the interferometer had equal path lengths. This dip would result from interference of the two photon-pair probability amplitudes, viz. reflection or transmission of both photons at the beam splitter.

For simplicity, we neglect losses in this exposition. A weakly reflecting sample is then described by a transfer function $`H(\omega )`$, characterizing the overall reflection from all structures that comprise the sample, at angular frequency $`\omega `$:

$$H(\omega )=_0^{\mathrm{}}𝑑zr(z,\omega )e^{i2\varphi (z,\omega )}.$$
(2)
The quantity $`r(z,\omega )`$ is the complex reflection coefficient from depth $`z`$ and $`2\varphi (z,\omega )`$ is the round-trip phase accumulated by the wave while travelling through the sample to depth $`z`$. As shown previously Abouraddy , the coincidence rate $`C(\tau _q)`$ is then given by

$$C(\tau _q)\mathrm{\Lambda }_0\text{Re}\{\mathrm{\Lambda }(2\tau _q)\},$$
(3)
where

$$\mathrm{\Lambda }_0=𝑑\mathrm{\Omega }|H(\omega _0+\mathrm{\Omega })|^2S(\mathrm{\Omega })$$
(4)
and

$$\mathrm{\Lambda }(\tau _q)=𝑑\mathrm{\Omega }H(\omega _0+\mathrm{\Omega })H^{}(\omega _0\mathrm{\Omega })S(\mathrm{\Omega })e^{i\mathrm{\Omega }\tau _q}$$
(5)
represent the constant and varying contributions, respectively. The interferogram $`C(\tau _q)`$ yields useful information about the transfer function $`H(\omega )`$ and hence about the reflectance $`r(z,\omega )`$ Abouraddy .

The details of the QOCT experimental arrangement are shown in Fig. 2. For QOCT scans, the dotted components (mirrors M1 and M2, as well as detector D3) are removed. The entangled photons, centered about $`\lambda _0=\mathrm{\hspace{0.17em}812}\text{nm}`$ and emitted in a non-collinear configuration, travel in beams 1 and 2. The photon in beam 1 travels through a temporal delay $`\tau _q`$ before it enters the input port of the first beam splitter, BS1. The second photon in beam 2 goes through a second beam splitter, BS2, which ensures normal incidence onto the sample. The photon returned from the sample is directed to the other input port of BS1. Beams 3 and 4, at the output of BS1, are directed to D1 and D2, respectively.

For OCT scans, the photons in beam 1 are discarded and mirrors M1 and M2 remain in place (see Fig. 2). The photons in beam 2 serve as a short-coherence-time light source. The reflections from the sample and mirror M1, after recombination at beam splitter BS2 are directed to detector D3 via mirror M2. The result is a simple Michelson interferometer, the standard configuration for OCT. To conduct an experiment, the temporal delay $`\tau _c`$ is swept and the singles rate is recorded, forming the OCT interferogram $`I(\tau _c)`$. This arrangement permits a fair comparison between QOCT and OCT since both make use of a light source with identical spectrum.

The initial experiment makes use of a thin fused-silica window as the sample. The transfer function $`H(\omega )`$ is then given by

$$H(\omega )=r_1+r_2e^{i2\omega nL/c},$$
(6)
where the reflectances from the front and back surfaces are $`|r_1|^2=|r_2|^2=\mathrm{\hspace{0.17em}0.04}`$ at normal incidence; $`L`$ = 90 $`\mu `$m is the sample thickness (which is greater than the 37-$`\mu `$m coherence length of the source), $`c`$ is the speed of light in vacuum, and $`n\mathrm{\hspace{0.17em}1.5}`$ is the refractive index of the fused silica (which is taken to be independent of $`\omega `$ by virtue of the low dispersiveness of the material). Under these conditions, Eqs. (4), (5), and (6) yield

$$\mathrm{\Lambda }_0=|r_1|^2+|r_2|^2$$
(7)
and

$$\mathrm{\Lambda }(\tau _q)=|r_1|^2s(\tau _q)+|r_2|^2s(\tau _q2\tau _d)+\mathrm{\hspace{0.17em}2}\text{Re}\{r_1r_2^{}s(\tau _q\tau _d)e^{i\omega _pnL/c}\},$$
(8)
where $`s(\tau _q)`$ is the Fourier transform of the source spectrum $`S(\mathrm{\Omega })`$. Substituting Eqs. (7) and (8) into Eq. (3) yields an interferogram that contains the three varying terms in Eq. (8).

The first two terms in Eq. (8) are dips arising from reflections from each of the two surfaces. They are separated by $`\tau _d=2nL/c`$ and are expected to exhibit 50$`\%`$ visibility since $`|r_1|^2=|r_2|^2`$. The third term, which appears midway between the two dips, arises from interference between the probability amplitudes associated with these reflections. This term changes from a hump to a dip depending on the values of $`\omega _p`$, $`n`$, $`L`$, and the arguments of $`r_1`$ and $`r_2`$.

The experimental QOCT interferogram for this sample, normalized to $`\mathrm{\Lambda }_0`$, is plotted in Fig. 3a. The two dips, separated by the optical path length of the sample $`nL`$ = 135 $`\mu `$m, exhibit 45$`\%`$ visibility, in close agreement with the theoretically expected value of 50$`\%`$. The abscissa is represented in units of the scaled temporal delay $`c\tau /2`$, representing the physical displacement of the delay line, so that $`\tau `$ stands for $`\tau _q`$ and $`\tau _c`$ alike.

The OCT interferogram for the same sample is expected to consist of two interference-fringe envelopes, each with visibility calculated to be 30$`\%`$, separated by $`\tau _d`$. The experimental OCT interferogram for this sample, normalized to the constant background, is shown in Fig. 3b. The centers of the envelopes, separated by $`nL`$ = 135 $`\mu `$m, exhibit 28$`\%`$ visibility.

It is apparent that the 18.5-$`\mu `$m FWHM of the dips observed in QOCT provides a factor of 2 improvement in resolution over the 37-$`\mu `$m FWHM of the envelopes observed in OCT. This improvement, which is in accord with theory Abouraddy , ultimately results from the entanglement inherent in the nonclassical light source used in QOCT.

To demonstrate the dispersion-cancellation capability of QOCT, we bury the sample under a highly dispersive medium and carry out a QOCT/OCT experiment, as described above. The transfer function of this composite sample is then $`H_{\mathrm{disp}}(\omega )=H(\omega )\text{e}^{i2\beta (\omega )d}`$, where the transfer function of the fused-silica window $`H(\omega )`$ is given by Eq. (6), $`\beta (\omega )`$ is the wave number in the dispersive medium, and $`d`$ is the thickness of the dispersive medium. We expand $`\beta (\omega _0+\mathrm{\Omega })`$ to second order in $`\mathrm{\Omega }`$: $`\beta (\omega _0+\mathrm{\Omega })\beta _0+\beta ^{}\mathrm{\Omega }+\beta ^{\prime \prime }\mathrm{\Omega }^2`$, where $`\beta ^{}`$ is the inverse of the group velocity $`v_0`$ at $`\omega _0`$, and $`\beta ^{\prime \prime }`$ represents group-velocity dispersion (GVD) SalehTeich .

Substituting $`H_{\mathrm{disp}}(\omega )`$ into Eq. (5), the QOCT varying term for the buried sample turns out to be

$$\mathrm{\Lambda }_{\mathrm{disp}}(\tau _q)=\mathrm{\Lambda }(\tau _q2\beta ^{}d),$$
(9)
which is simply a displaced version of the result obtained for the sample in air, as provided in Eq. (8). Neither $`\beta _0`$ nor the GVD parameter $`\beta ^{\prime \prime }`$ appear in Eq. (9); nor, in fact, do any higher even-order terms. The cancellation of GVD is an important signature of QOCT. In OCT $`\beta ^{\prime \prime }`$ does not cancel and the result is a degradation of depth resolution and a reduction of the signal-to-noise ratio DispersionCorrection1 .

In the experimental realization, the fused-silica window is buried beneath two cascaded 5-mm-thick windows of highly dispersive ZnSe, slightly canted with respect to the incident beam to divert back-reflections, as shown at the top of Fig. 4. The GVD coefficient for ZnSe is $`\beta ^{\prime \prime }=5\times 10^{25}`$s2m-1 at $`\lambda _0=\mathrm{\hspace{0.17em}812}`$ nm, which is 25 times greater than that for fused silica.

Figure 4a shows the normalized QOCT interferogram for the buried sample. As predicted in Eq. (9), the widths of the dips remain 18.5 $`\mu `$m, just as they were in the absence of the dispersive medium (see Fig. 3a). Thus the resolution of the QOCT scan is unaffected by the presence of the dispersive medium. The hump between the two dips in the QOCT interferogram in Fig. 4a is also unaffected by the presence of the dispersive medium. This would not be the case, however, if the dispersive material were between the reflecting surfaces rather than outside of them Abouraddy . On the other hand, the interference-fringe envelopes in the normalized OCT interferogram displayed in Fig. 4b are broadened from 37 to 92 $`\mu `$m as a result of dispersion.

It is also of interest to compare the visibility of the interferograms. Diverted reflection losses are not expected to reduce the visibility of the QOCT features, whereas this benefit does not accrue to OCT Abouraddy . The robustness of QOCT in this connection is evident in Fig. 4a, where the reduction of visibility (in comparison with Fig. 3a) arises only from misalignment. In Fig. 4b, on the other hand, the OCT interferogram suffers a substantially greater loss of visibility (in comparison with Fig. 3b), as a result of both dispersion and diverted losses from the four uncoated ZnSe surfaces.

In conclusion, we have carried out proof-of-principle experiments demonstrating the successful operation of a new axial optical sectioning technique, quantum optical coherence tomography (QOCT). We have experimentally demonstrated the two principal advantages that stem from the frequency entanglement of the twin-photon source: dispersion cancellation and resolution doubling.

This work was supported by the National Science Foundation; by the Center for Subsurface Sensing and Imaging Systems (CenSSIS), an NSF Engineering Research Center; and by the David $`\&`$ Lucile Packard Foundation. We are grateful to G. Di Giuseppe, A. Abouraddy, and M. Hendrych for assistance with the experiments and helpful comments.