text:
# Galaxy-CMB Lensing

## I Introduction.

Flat rotation curves at large distance from galactic centers imply that the mass associated with a galaxy extends far beyond the region that is visible. Indeed, it now appears that the vast majority of the mass of a galaxy is in an unseen component, dark matter. How much dark matter is there in a galaxy and how far out does the distribution go? How does the matter associated with a single galaxy compare with the overdensity around that galaxy due to large scale structure? How is the dark matter distributed inside the galaxy? Is there substructure, as expected in simulations of Cold Dark Matter (CDM) models moore ; andrei ; bullock , or does the absence of many satellites for our Galaxy imply that the CDM models need to be modified spergel ; yoshida ; colin ; burkert ?

These questions increasingly interest not only astrophysicists studying galaxies and their properties, but also cosmologists and particle physicists, for these phenomena may depend on the power spectrum of the matter in the universe. This in turn depends on such fundamental quantities as neutrino masses and the details of inflation. If the substructure dilemma remains, the properties of dark matter, such as its scattering cross-section or annihilation rate, may be responsible. These properties may be important clues in identifying the elementary particles which constitute the dark matter and the fundamental theory governing their interactions.

The traditional method of studying the mass distribution in galaxies – measuring rotation velocities – has recently been supplemented with a relatively new technique: studying the deflection of light rays as they pass by or through the galaxy. There are a number of ways in which gravitational lensing can probe the mass distribution of an object like a galaxy, but two have emerged recently as particularly promising. First is the phenomenon of multiply imaged QSOs. Light from a background point source (the QSO) gets lensed so that multiple images are seen. The separations between these images, and more importantly their magnifications, are sensitive to the local mass distribution mao ; metcalfe ; dalal ; chiba ; keeton . Second, images of background galaxies are distorted by a foreground lensing galaxy, and the amplitude of this distortion as a function of projected distance from the center of the lens galaxy contains important information about the mass associated with that galaxy tyson ; brainerd ; fischer ; smith ; wkl ; mckay ; hoekstra ; klein . Due to the presence of large scale structure, the lensing mass extends far beyond the visible region of the galaxy. If the diameter of the visible region is of order $`10`$ kpc, the region within a sphere almost a thousand times larger will be overdense. Understanding this overdensity is an important step along the way to understanding galaxy formation and the correlation between mass and light in the universe berwei ; guzik ; cooray ; weidav ; bwb ; jain .

In this paper, we explore the possibility that the most distant sources of all, the Cosmic Microwave Background (CMB) anisotropies generated at redshift $`z1100`$, can serve as the sources which are lensed by foreground galaxies. The problem is very similar to the lensing of the CMB by foreground galaxy clusters sz , except that the amplitude of the signal is considerably smaller here. The observed temperature $`T`$ as a function of 2D position $`\stackrel{}{\theta }`$ on the sky is

$`T(\stackrel{}{\theta })`$ $`=`$ $`\stackrel{~}{T}(\stackrel{}{\theta }^{})=\stackrel{~}{T}(\stackrel{}{\theta }\stackrel{}{\delta \theta })`$ (1)
$``$ $`\stackrel{~}{T}(\stackrel{}{\theta })\stackrel{}{\delta \theta }\stackrel{~}{T}(\stackrel{}{\theta })`$
where $`\stackrel{~}{T}`$ is the background CMB field originating from the unlensed position $`\stackrel{}{\theta }^{}=\stackrel{}{\theta }\stackrel{}{\delta \theta }`$, and $`\delta \theta `$ is the deflection due to the lens. As illustrated in sz , the CMB anisotropy field on small scales is almost purely a dipole (or gradient; on these small scales the two terms are interchangeable); aligning the $`y`$ axis with the dipole leads to a simple expression for the observed temperature:

$$T(\stackrel{}{\theta })\frac{\stackrel{~}{T}}{\theta _y}\times \left(\theta _y\delta \theta _y\right).$$
(2)
Here $`T/\theta _y`$ is the temperature gradient, which is of course zero on average. Its rms fluctuation though is equal to $`0.22\mu K`$ arcsec-1 in the standard $`\mathrm{\Lambda }`$CDM cosmology with $`\mathrm{\Omega }_{\mathrm{matter}}=0.3`$, $`\mathrm{\Omega }_{\mathrm{baryon}}=0.04`$, $`H_0=70`$ km sec-1 Mpc-1 and $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$ (the rest of this paper assumes this background cosmology). The deviations from a pure dipole arise from the deflection angle $`\stackrel{}{\delta \theta }`$. We will see that the deflection angle induced by the mass associated with a galaxy is typically of order an arcsecond, so the expected signal is small, tenths of $`\mu `$K per galaxy. Eq.  breaks down on scales larger than ten arcminutes when the background CMB no longer behaves as a pure gradient due to the power on the scales of the acoustic peaks mc . Even on smaller scales, the “noise” due to the quadrupole can be significant as we will see in §III.

§II introduces the basic formula relating the deflection angle to the mass distribution and presents the deflection angle for several simple mass distributions. §III considers the lensing due to the large scale overdensities surrounding a galaxy. These extend out to several Mpc (or tens of arcminutes for a galaxy at redshift $`0.1`$). Given the resolution and sensitivity of current CMB experiments, this large scale lensing is likely to be the easiest target for future experiments. Just as in the galaxy-galaxy lensing measurements, the signal from a single foreground galaxy is quite small, so the statistics of many galaxies must be used to beat down the noise. §IV discusses the foregrounds that might contaminate this signal. We let our fancy take flight in §V where we consider the signal due to a single galaxy and show that in principle the lensed CMB can detect the sub-structure that simulations predict must exist in galactic halos. Observing this signal would require experiments with significantly better resolution and sensitivity than those currently planned, but if the small scale problems of CDM persist, we should keep this technique in mind as a way of definitively resolving the “small scale crisis.”

One final comment about previous work. Several years ago, Peiris and Spergel peiris  analyzed many aspects of the CMB-galaxy cross-correlations. Their analysis, focused on the WMAP experiment wmap , and therefore is for scales larger than we consider here.

## II Deflection Angle and Mass Models

The deflection angle of a photon due to a galaxy at redshift $`z_L`$, at comoving distance from us, $`\chi _L`$, is mcex

$$\stackrel{}{\delta \theta }=8\pi G\frac{\stackrel{}{\theta }}{\theta }\frac{(\chi _S\chi _L)}{\chi _S}\left[\frac{1+z_L}{\theta \chi _L}_0^{\chi _L\theta /(1+z_L)}𝑑RR\mathrm{\Sigma }(R)\right].$$
(3)
Here we take the photon to be emitted from a comoving distance $`\chi _S=1.4\times 10^4`$ Mpc away from us, corresponding to the surface of last scattering. Its unperturbed path has at all times an angular distance $`\theta `$ from the axis connecting us to the center of the galaxy. The integral is over the two dimensional mass density $`\mathrm{\Sigma }`$ of the galaxy, which is assumed to be azimuthally symmetric.

A singular isothermal sphere has a density profile proportional to $`r^2`$, so that the surface density is proportional to $`R^1`$, where $`r(R)`$ is the 3D (2D) radius from the center of the galaxy. For this profile then the term in square brackets in Eq.  is independent of $`\theta `$ and the amplitude is fixed by the correlation length $`r_0`$ defined via

$$\rho (r)=\rho _m(r_0/r)^2.$$
(4)
Here $`\rho _m`$ is the average matter density in the universe, so that $`8\pi G\rho _m=0.9H_0^2`$ with $`c/H_0=4300`$ Mpc. The surface density for this distribution is $`\mathrm{\Sigma }(R)=\pi \rho _mr_o^2/R`$, so the amplitude of the deflection angle due to a singular isothermal sphere is $`0.9H_0^2\pi r_0^2=1^{\prime \prime }(r_0/5.6\mathrm{Mpc})^2`$ for $`\chi _S\chi _L`$. Simulations guzik  suggest that the distribution of matter around galaxies, which is formally measured by the galaxy-mass cross-correlation function may indeed be represented by this distribution with $`r_07`$ Mpc. The distortion, at least on scales larger than about $`100`$ kpc, is therefore expected to be constant with an amplitude of a little more than an arcsecond. Figure 1 shows this deflection angle; it falls off on large scales since we do not include contributions from the density beyond $`r_0`$. Also shown is a more conservative choice of $`\rho =\rho _m(r_0/r)^{1.8}.`$ Even for this choice, the expected deflection angle is of order an arcsecond.

It might seem at first that detecting such a small deflection will be hopeless given that the rms deflection of a photon from the CMB is as much as 3 arcminutes. However, this is due almost entirely to lensing by large scale (low $`\mathrm{}`$) fluctuations. Large patches of the CMB sky will thus be nearly uniformly deflected by up to several arcminutes, however, by $`\mathrm{}=10^4`$, the rms deflection is down to about half an arc-second. Thus, CMB lensing by galaxies will take place against a relatively smoothly-lensed background, which is still well described by a local dipole.

The above estimates are for a statistical sample of galaxies, accounting for the fact that the universe is clustered, so we expect halos of dark matter to reside near each other. These estimates definitely break down on scales smaller than $`100`$ kpc. On these smaller scales, a more appropriate distribution is given by the Navarro, Frenk, and White (NFW) nfw  profile:

$$\rho (xr/r_s)=\frac{\rho _s}{x(1+x)^2}.$$
(5)
The NFW profile can be described by two parameters: the scale radius $`r_s`$ and the density parameter $`\rho _s`$. More commonly, these are traded in for the concentration $`c`$, which is the ratio of the virial radius to the scale radius, and $`v_{\mathrm{max}}`$, the maximum rotational velocity due to this mass distribution. The virial radius is defined as that within which the average density is equal to $`\mathrm{\Delta }\rho _m`$ with $`\mathrm{\Delta }=337`$bryan ; bul337  for the $`\mathrm{\Lambda }`$CDM model in which we are working. The maximum rotational velocity can be determined analytically in terms of $`r_s`$ and $`\rho _s`$; it is $`v_{\mathrm{max}}=0.46(4\pi G\rho _sr_s^2)^{1/2}`$. Figure 1 shows the deflection due to an NFW profile with $`v_{\mathrm{max}}=200`$ km sec-1 and concentration $`c=8`$. Analytically,

$$\delta \stackrel{}{\theta }|_{\mathrm{NFW}}=0.54^{\prime \prime }\frac{\stackrel{}{\theta }}{\theta }\left(\frac{v_{\mathrm{max}}}{200\mathrm{k}\mathrm{m}\mathrm{sec}^1}\right)^2\frac{(\chi _S\chi _L)}{\chi _S}f(\lambda ),$$
(6)
where $`f(\lambda )`$ is a smooth function which reaches its peak of one at $`\lambda =1.3`$:

$$f(\lambda )\frac{3.23}{\lambda }\{\begin{array}{cc}\mathrm{ln}(\lambda /2)+\frac{\mathrm{ln}(\lambda /[1\sqrt{1\lambda ^2}])}{\sqrt{1\lambda ^2}}\hfill & \lambda <1\hfill \\ \mathrm{ln}(\lambda /2)+\frac{\pi /2\mathrm{arcsin}(1/\lambda )}{\sqrt{\lambda ^21}}\hfill & \lambda >1\text{.}\hfill \end{array}$$
(7)
$`\lambda `$ is defined as

$$\lambda \frac{\chi _L\theta }{(1+z_L)r_s}.$$
(8)
## III Large Scale Galaxy-CMB Lensing

Recently, the Sloan Digital Sky Survey (SDSS) detected the signal of galaxy-galaxy lensing out to a Mpc mckay . It is useful to recap their technique to place galaxy-CMB lensing in context. They select lenses as those galaxies bright enough for spectra to have been taken (Petrosian magnitude $`r^{}<17.6`$) and background galaxies fainter than $`18`$th magnitude. For the background galaxies, photometric redshifts are used. About $`30,000`$ lens galaxies are chosen from SDSS commissioning data and these are probed by about $`3\times 10^6`$ background galaxies. Thus each lens has about a hundred background galaxies behind it. The error in the shear produced by a single foreground galaxy is $`0.4/\sqrt{N_{bg}}`$ where the $`0.4`$ comes from a combination of instrumental noise and the intrinsic ellipticities of the background galaxies. Thus, if $`N_{bg}=100`$, the noise in the shear is $`0.04`$. This is almost a factor of ten larger than the expected signal. So the SDSS survey cannot detect galaxy-galaxy lensing due to a single galaxy. Instead they must average the signal over many foreground galaxies (each with a signal to noise of order $`0.1`$). SDSS nevertheless provides a useful measure of the galaxy-mass correlation function because there are many ($`3\times 10^4`$) foreground galaxies over which to average.

How does the SDSS signal to noise compare to that obtainable with the CMB? We have determined (Eqs.  and ) that the expected signal in a CMB experiment is

$$T(\stackrel{}{\theta })\frac{T}{\theta _y}\theta \mathrm{cos}\varphi =\frac{T}{\theta _y}b(\theta )\mathrm{cos}\varphi $$
(9)
where $`\varphi `$ is the angle between the angular position $`\stackrel{}{\theta }`$ and the $`y`$-axis along which the background gradient is oriented and $`b(\theta )`$ is roughly constant with an amplitude of order one arcsecond. We also need to consider the deviation of the background anisotropy pattern $`\stackrel{~}{T}`$ from a pure gradient. On scales larger than $`510^{}`$, the background field is more complicated. For simplicity we will assume that the background dipole can be removed but the quadrupole cannot, and it serves as a source of noise. That is, we consider the next term in the expansion of $`\stackrel{~}{T}`$:

$$\stackrel{~}{T}(\stackrel{}{\theta })\frac{T}{\theta _y}\theta \mathrm{cos}\varphi +\frac{1}{2}\theta _i\theta _j\frac{^2\stackrel{~}{T}}{\theta _i\theta _j}.$$
(10)
This second term on the right also has mean of zero, but variance equal to

$$\sigma _Q^2=\frac{3}{32}\theta ^4\underset{l}{}\frac{l^5C_l}{2\pi }=(1.5\mu K)^2\left(\frac{\theta }{1^{}}\right)^4$$
(11)
where the second equality holds in the standard cosmology we are considering. If the quadrupole cannot be removed, then this source of noise adds in quadrature with that due to the atmosphere and/or instrument.

We can now compute the signal to noise expected for lensing of the CMB due to a single galaxy. Consider a CMB experiment which maps the sky into $`N_p`$ pixels each of area $`\mathrm{\Delta }\mathrm{\Omega }`$ with instrumental/atmospheric noise per pixel $`\sigma _n`$. Then,

$`\left({\displaystyle \frac{S}{N}}\right)^2`$ $`=`$ $`\left({\displaystyle \frac{\stackrel{~}{T}}{\theta _y}}\right)^2{\displaystyle \underset{i}{\overset{N_p}{}}}{\displaystyle \frac{\mathrm{cos}^2\varphi _i}{\sigma _n^2+\sigma _Q^2(\theta _i)}}b^2(\theta _i)`$ (12)
$``$ $`\left({\displaystyle \frac{\stackrel{~}{T}}{\theta _y}}b\right)^2{\displaystyle \frac{d^2\theta }{\mathrm{\Delta }\mathrm{\Omega }}\frac{\mathrm{cos}^2\varphi }{\sigma _n^2+\sigma _Q^2(\theta )}}=\left[0.089\left({\displaystyle \frac{1^{}}{\sqrt{\mathrm{\Delta }\mathrm{\Omega }}}}\right)\left({\displaystyle \frac{10\mu K}{\sigma _n}}\right)^{1/2}\right]^2.`$ (13)
So, for a CMB experiment to achieve resolution comparable to SDSS (signal to noise per galaxy of $`0.1`$), beams of order an arcminute with noise per pixel of order $`10\mu `$K are needed. This is within the range expected of upcoming experiments. A note of caution: the $``$ sign in Eq.  is a warning that this signal to noise estimate assumes the pixel size is significantly smaller than the scale at which the background dipole approximation breaks down; i.e. $`\mathrm{\Delta }\mathrm{\Omega }(10^{})^2`$.

One might wonder whether, given the functional dependance of $`\delta \stackrel{}{\theta }`$ on the lens distance/redshift (Eq.  and Ref. song  for example), it might not be more advantageous to look to higher redshift objects rather than SDSS galaxies as lenses For example, lyman-alpha/star-forming regions at $`z3`$ might be expected to give significantly higher a $`S/N`$. Studying the mass distribution in such objects would indeed be of significant interest; however, since these high redshift objects will subtend a significantly smaller solid angle than medium-to-low redshift galaxies, it will have to wait until a dramatic improvement in angular resolution before their CMB-lensing signal can be properly studied. We therefore focus our attention on SDSS-type galaxies as lenses.

Since the noise from the quadrupole dominates over instrumental noise when $`\theta >1^{}(\sigma _n/1.5\mu K)^{1/2}`$, and a fair fraction of the signal comes from these larger scales, reducing instrumental noise is not as a important as going to higher resolution and/or covering more sky. That is, signal to noise estimates typically scale as $`(\mathrm{\Delta }\mathrm{\Omega }\sigma _n^2)^{1/2}`$ when the dominant noise is instrumental. Here, though, the scaling is $`(\mathrm{\Delta }\mathrm{\Omega }\sigma _n)^{1/2}`$. For fixed resolution, then, the final signal to noise scales as $`N_{rmgal}^{1/2}\sigma _n^{1/2}N_p^{1/2}\sigma _n^{1/2}`$. The number of pixels covered if the total time is fixed is inversely proportional to the time spent on each individual pixel, while $`\sigma _n`$ is inversely proportional to the square root of time per pixel. Therefore, the final signal to noise scales increases as less time is spent on each pixel: an experiment intent on measuring CMB-galaxy lensing should strive for large sky coverage at the expense of sensitivity.

For CMB experiments with larger beams, the approximation that the background source is a gradient breaks down. Information is still contained in the cross-correlation of the CMB and galaxy surveys peiris . As we have seen the signal is of order a tenth of a $`\mu `$K, while the noise per pixel due to primordial CMB fluctuations is naively of order $`50\mu `$K. Without a sophisticated algorithm to extract the signal, we would then need of order $`500^2`$ galaxies to beat down the noise. Going to larger redshifts to pick up these galaxies would not necessarily help since the galaxy-dark matter cross-correlation functions falls off at high redshifts, so the signal is significantly smaller. Also, a galaxy projects to a smaller angular size at high redshift, necessitating even higher resolution. Although we do not pursue it here, two possible approaches are: (i) to assume the form of the lensing profile and fit for its amplitude sz ; peiris  or (ii) to extend the likelihood technique developed by Hirata and Seljak hirata  to this cross-correlation case.

## IV Noise

Before we assert that the lensing signal from galaxies is observable, we must identify the other potential sources of noise. Extensive discussions of CMB noise sources on small angular scales are to be found in tegmark ; toffolatti ; teho , and are reviewed in sz  in the context of cluster lensing, where the issues are similar.

The expected sources of noise (other than detector noise and intrinsic noise from the CMB itself, both considered in §III) are: Galactic synchrotron, free-free and dust emission, thermal Sunyaev-Zeldovich (SZ) from galaxy clusters and filaments, kinetic SZ (including Ostriker-Vishniac) resulting from bulk gas motions, and unresolved point sources. We briefly review each of these in turn.

### IV.0.1 Galactic emissions

Galactic synchrotron and free-free emission both decline with increasing $`\mathrm{}`$. Fluctuations due to free-free emission are already below $`0.1\mu `$K by $`\mathrm{}=10^4`$ above $`30`$ GHz teho . Above $`100`$ GHz synchrotron emission fluctuations are below $`0.1\mu `$K by $`\mathrm{}=10^3`$; at 30GHz they are predicted to be $`2\mu `$K at $`\mathrm{}1000`$, and declining as approximately $`\mathrm{}^{1/3}`$ tegmark . This puts them below $`1\mu `$K below one arcminute. Temperature fluctuations due to Galactic dust emissions are expected to be below $`1\mu `$K at frequencies below 217 GHz for $`\mathrm{}>3000`$ if the dust emission is vibrational. The situation was less clear if the dust emission is rotational teho , but the recent WMAP wmapfor  constraints suggest that rotational dust will not be a problem.

### IV.0.2 Thermal SZ

Of particular interest for galaxies being observed in the foreground of an SZ cluster, are fluctuations in the cluster SZ. Clusters will themselves have substructure – component galaxies, fluctuations in electron temperature and density across the cluster. To the extent that these are resolvable, whether in the CMB data itself, in cluster radio maps, or in X-ray maps (especially with future X-ray interferometers), they could be subtracted and one could select as target galaxies those that do not have significant cluster structure in their backgrounds.

The unmodeled thermal SZ foreground has been calculated by a number of groups bond ; zhang ; hernquist . The power is proportional to $`\sigma _8^7`$, so there remains significant uncertainty in the amplitude. If $`\sigma _8`$ is set to its WMAP value of $`0.8`$wmapspe , then the expected rms amplitude of the thermal SZ on the scales of interest is of order $`5\mu `$K. Of course, the signal (or in this case, the noise) goes away at $`217`$GHz so it is always possible in principle to avoid this source of contamination. (The relatvistic correction which spoils the null can be expected to be severely depresssed below the $`5\mu `$K level.)

### IV.0.3 kinetic SZ and Ostriker-Vishniac

The kinetic SZ effect is the Doppler shift imprinted on CMB photons when they scatter off electrons in a moving gas. In the linear regime for the matter fluctuations this is called the Ostriker-Vishniac (OV) effect vishniac . The kinetic effect has the same spectral shape as the primordial CMB (and the lensing signal we are after) so it is more difficult to eliminate than the thermal effect. The amplitude of the effect though is of order $`2\mu `$K hu ; sil1 ; sil2 ; gnedin ; hernquist ; val ; ma ; zhang ; zh2 , so it is not a major stumbling block.

### IV.0.4 Point Sources

Toffolatti et. al. toffolatti  considered the contribution of unresolved point sources to fluctuations in the anisotropy of the CMB on 1-100 arcminute scales, at the 8 Planck wavebands from 30GHz to 857GHz. These sources include, in the low frequency channels, radio loud AGNs, flat-spectrum radio-galaxies, quasars, and high-z BL-Lacs. Dust emission from distant dust-rich young galaxies is the dominant source at higher frequencies. Assuming that point sources with flux below 1mJy remain unsubtracted, they find (figures 5 and 6) that in all channels $`(\mathrm{\Delta }T/T)^2^{1/2}>10^6`$ at 1 arcminute (best channel – 143 GHz), and in many cases is much bigger. It is also increasing with decreasing $`\theta `$ as approximately $`\theta ^1`$, suggesting that in the best channels (between about 44 and 150 GHz) we can expect point sources to contribute about 5-10 microK of noise at 6 arcsecond , and maybe 10-15 microK of noise at 1 arcsecond.

To make much improvement in these noise figures you would need to be able to accurately subtract very low flux point sources – about 0.1 mJy to achieve a a factor of 3, 0.01mJy to get down an order of magnitude. It is also true that point sources will not exhibit the coherent extended structure expected from lensing and may possibly be filtered out. The biggest confusion is likely to arise if we attempt to use galaxy lensing to measure the proto-galactic substructures. On this scale the foreground dust emission is dominant. However, it also has a rather different energy spectrum than the SZ-distorted CMB, which may aid in its subtraction.

### IV.0.5 Other Sources of Confusion

There are several other effects that produce signals similar to that considered here. Moving clusters produce nonlinear corrections to the Integrated Sachs Wolfe Effect on small scales, and the pattern produced has the same structure as that due to lensing. The signal is quite small thoughaghanim ; coo2  ($`0.3\mu `$K) and on larger scales than interest us. Coherent electron rotational velocities in clusters lead to a dipolar signaturecooche ; chluba  and these are on relatively small scales. But the amplitude is also very small and the induced signal is not aligned with the cosmic dipole.

## V Single Galaxy Lensing

The lensing signal due to the halo surrounding a single galaxy is given by Eq. . Since the signal is very small, we cannot hope to measure it with the current, or even currently planned, CMB experiments. Here we simply motivate future experiments by illustrating that the potential pay-off is large: lensing of the CMB in principle allows us to differentiate between an NFW profile and an isothermal profile, thereby testing one result of numerical simulations. More ambitiously, very high resolution measurements could detect the sub-structure predicted by current theories of structure formation.

Detecting the shape of the dark matter profile around a single galaxy with CMB lensing requires resolution and sensitivity far beyond current capabilities. Figure 2 shows the different signals induced by an NFW profile and an isothermal profile. The galaxy is situated at $`z=0.1`$ (the lower the redshift, the larger it appears, and therefore the less difficult is the issue of resolution). A number of groups bul337  have found that typical values of the concentration parameter of galaxies at redshift one are $`510`$ in CDM models. The galaxy doing the lensing in Figure 2 has concentration parameter equal to eight and a maximum circular velocity of $`200`$ km sec-1. This corresponds to a scale radius $`r_s=44`$ kpc and a virial mass of $`2\times 10^{12}h^1M_{}`$.

Even Figure 2, with its optimistic noise and resolution parameters, paints too pretty a picture. For, we have neglected all foregrounds, save for the local quadrupole of the CMB. Noise due to the quadrupole kicks in at surprisingly small scales, because of the exquisite sensitivity required to discriminate these models.

The surface density of a smooth NFW profile with these parameters is depicted in Figure 3. Unhindered by experimental complications, we are led to ask whether a smooth NFW profile could be distinguished from the clumpy profiles found in simulations.

To construct a clumpy halo, we use the distribution of sub-halos measured by moore . They find that the cumulative number of halos with circular velocity greater than $`v_{\mathrm{max}}`$ is roughly equal to $`0.03(v_{\mathrm{max}}/v_{\mathrm{parent}})^3`$. This means that the distribution of halos

$$dn/dv_{\mathrm{max}}\{\begin{array}{cc}0.09\left(\frac{v_{\mathrm{parent}}^3}{v_{\mathrm{max}}^4}\right)\hfill & v_{\mathrm{max}}>v_{\mathrm{cutoff}}\hfill \\ 0\hfill & \text{otherwise}\hfill \end{array}.$$
(14)
Here the lower cut-off arises because we don’t know what the simulations predict on such small scales. Note that with this distribution, if we take $`v_{\mathrm{cutoff}}=0.05v_{\mathrm{parent}}`$, there are $`240`$ sub-halos in the galaxy.

To generate a distribution of velocities of sub-halos, first normalize Eq.  to unity: $`dn^{\mathrm{norm}}/dv_{\mathrm{max}}=(1/N)dn/dv_{\mathrm{max}}`$ and then given a random number $`\eta `$ between zero and one, define the velocity of one sub-halo $`v`$ via

$$\eta =_{v_{\mathrm{cutoff}}}^v𝑑v_{\mathrm{max}}\frac{dn^{\mathrm{norm}}}{dv_{\mathrm{max}}}.$$
(15)
In this case we can do the integral analytically, so

$$v_{\mathrm{max}}=\frac{v_{\mathrm{cutoff}}}{(1\eta )^{1/3}}.$$
(16)
We can use the same technique to generate the spatial distribution of halos. Suppose that the number of halos is distributed according to an NFW profile. We want $`\mathrm{\Sigma }(R)`$ from the sub-structure to follow an NFW profile. The total mass within a radius $`R`$ is $`2\pi _0^R𝑑R^{}R^{}\mathrm{\Sigma }_{\mathrm{NFW}}(R^{})`$. So the fraction of the total mass which is within $`R`$ is

$$\eta (R)=\frac{_0^{R/r_s}𝑑xx\mathrm{\Sigma }_{\mathrm{NFW}}(x)}{_0^{R_{max}/r_s}𝑑xx\mathrm{\Sigma }_{\mathrm{NFW}}(x)}.$$
(17)
Here we have cut off the distribution at $`R_{\mathrm{max}}=10r_s`$; note that $`\eta `$ lies between zero and one, so a random number between zero and one can be associated with a given value of $`R`$. The angular coordinate of the sub-halo is also assigned randomly. This distribution is shown in the right panel of Figure 3.

Figure 4 shows the imprint on the CMB resulting from both the smooth and the clumpy galaxy. Note the characteristic signal first pointed out in Ref. sz : a hot and cold lobe on either side of the galactic center. (Here we have subtracted off the dipole.) Traces of the substructure are still evident in the right panel of Figure 4. However, these are much less obvious than those in the surface density plot of Figure 3. The similarity of the two panels in Figure 4 is reflection of the fact that the galaxy is lensing a large “sheet,” the background dipole, as opposed to the point-like QSO’s with which we are more familiar pkeet .

A realistic CMB experiment will have a finite width beam. Figure 5 shows the results of smoothing the signal with a beam of full width half maximum of $`5^{\prime \prime }`$. Even after such smoothing, there remains a noticeable difference between the clumpy and smooth galaxies.

## VI Conclusion

Mass surrounding a galaxy lenses the background cosmic photons arriving from the surface of last scattering at $`z1100`$. This lensing can be used to probe the dark matter distribution around galaxies. On the relevant scales – of order an arcminute – the background is nearly a dipole, and the amplitude of the signal is of order $`1^{\prime \prime }\times T/\theta 0.2\mu `$K. This signal can be used in two fundamentally different ways. On the one hand, one can average over many foreground galaxies so as to obtain a measure of the galaxy-mass correlation function. We have shown that given enough sky coverage a CMB experiment with an arcminute beam size and noise of $`10\mu `$K per pixel would be able to make a measurement of this correlation function that is competitive with SDSS. Instruments like the Penn Bolometric Array – a $`3`$mm camera for the $`100`$m Green Bank telescope – hold some promise for beginning a more detailed exploration of galaxy mass distributions. It is worth noting that, unlike measurements of lensing-induced shear or amplification, which are sensitive to the second derivative of the lens gravitational potential, $`\mathrm{\Phi }`$, this proposed measurement of the deflection angle is sensitive to $`\mathrm{\Phi }`$. In principle, the inversion to obtain $`\mathrm{\Phi }`$, is far easier from $`\mathrm{\Phi }`$ than from $`\mathrm{\Phi }`$.”

In the distant future, we might be able to go further and probe the dark matter halo of an individual galaxy. For noise levels reached today, the signal to noise from a single galaxy is of order $`1/100`$. Either noise levels will have to come down appreciably, or a different source needs to be used. This latter option is intriguing. One particularly appealing possibility is to use the gradient caused by the thermal Sunyaev-Zel’dovich (SZ) effect (the scattering of CMB photons by electrons in an ionized plasma) from a background galaxy cluster. This results from CMB photons scattering off hot electrons in the cluster’s ionized IGM. A typical expected temperature gradient is of order $`500\mu `$K arcmin-1, almost two orders of magnitude above that from the primordial CMB. If a galaxy were positioned along the line of sight to a cluster, where the SZ effect would look nearly like a gradient on sub-arcminute scales, then we would expect the galaxy lensing signal to be $`510\mu `$K. This is then comparable to current noise levels in CMB experiments, so might be the best hope of measuring this fascinating signal in the near future.

The work of SD is supported by the DOE, by NASA grant NAG5-10842, and by NSF Grant PHY-0079251. GDS is supported by a DOE grant to astrophysics theory group at CWRU. GDS thanks the astrophysics group at Fermilab where this work began and the Kavli Institute for Theoretical Physics where much of this work was completed. The Kavli Institute is supported in part by National Science Foundation grant PHY99-07949. We thank Asantha Cooray and Andrey Kravstov for very helpful comments on an earlier draft and Lam Hui and Charles Keeton for their insight and advice.


format: text

text:
# Avalanche dynamics, surface roughening and self-organized criticality - experiments on a 3 dimensional pile of rice.

## I Introduction

The concept of self-organized criticality (SOC)  presents a simple way of modelling slowly-driven out of equilibrium systems. The interesting natural systems thought to exhibit SOC, such as rain-fall , earthquakes , economic markets , biological evolution , or the brain , are difficult to study in a controlled experiment, and more simple systems have to be found with which the predictions of SOC can be tested quantitatively. Among the first toy systems studied, were sand-piles, however it has been shown that due to the appearance of e.g. kinetic effects, real sand does not behave as an SOC system . Another system, that has shown indications of SOC in a controlled environment is the dynamics of vortices in type-II superconductors. Here, power-law scaling has been observed in the past , however not all authors have found avalanche scaling . This is probably due to the fact that internal avalanches are not measured in the usual setup . Recently Behnia et al.  have measured internal avalanches using arrays of Hall-probes, where they do indeed find power-law behavior of the avalanches. The ultimate hall-mark of SOC, however, is the observation of finite size-scaling, indicating a true critical dynamics. So far, there are only two experimental systems, a one dimensional (1d) pile of rice  or a 1d pile of steel balls with a random arrangement at its bottom layer , which have been shown to exhibit finite size scaling in their avalanche distributions.

The critical exponents obtained from a finite size scaling analysis, would yield more information on a SOC system, as was discussed by Paczuski et al.  for models in a stationary critical state. A system evolving through avalanches, which are distributed according to a power-law, will also show roughening dynamics of its surface. This can be seen as an indication to the origin of the abundance of fractal or self-affine structures in nature. Roughening dynamics has been studied extensively in the past, including the study of interfaces in porous media , the growth of bacterial colonies , the slow combustion  or the rupture  of paper . These systems are well characterized experimentally and in many cases, the interface dynamics can be modelled analytically by the Kardar-Parisi-Zhang (KPZ) equation . In one spatial dimension, the KPZ equation is solved exactly for the case of white noise, such that good comparison between experiment and theory is possible. However, e.g. in the burning of paper, there are avalanches observed in the propagation of the front, which are reminiscent of SOC dynamics . This has recently been addressed by Alava et al. , who proposed a mapping between SOC models and the KPZ equation similar to that of Paczuski and Boettcher . With this mapping, they have been able to obtain SOC from the KPZ equation, with the proper kind of noise .

Moreover, roughening processes have also been found in the experimental SOC systems discussed above. The profile of a 1d rice pile is a rough interface , as is the front of magnetic flux penetrating a thin film superconducting sample . However, the universal scaling relations derived by Paczuski et al.  have not yet been tested experimentally. But the fact that both roughening phenomena and avalanche dynamics can be observed in the same experimental system, such as a 3d rice-pile, means that the universal connections between SOC and surface roughening can be tested experimentally.

Here we present a two-dimensional (2d) system, the surface of a 3d pile of rice, showing both roughening behavior and avalanche dynamics. The avalanche dynamics is studied in terms of the avalanche size distribution for different sizes of the field of view, $`L`$. This allows the observation of finite size scaling and the determination of the critical exponents $`D`$, describing the dependence of the cutoff scale on $`L`$, and $`\tau `$, the exponent of the avalanche size distribution. The roughening behavior is studied via the power spectrum of the surface , in both space and time, resulting in a determination of the roughness and growth exponents respectively . The connection between these two phenomena is shown from the derivation of scaling relations between the different exponents, where we obtain excellent agreement using the experimentally determined values.

The experimental setup for the growth of the rice-pile, as well as the reconstruction method used to determine the structure of the pile and the size of the avalanches is discussed in section II. The avalanche size distributions, and their finite size scaling is presented in section IIIA, together with the determination of the critical exponents. In section IIIB, the surface roughness is analyzed and the necessary techniques are briefly introduced. Still in section IIIB, the scaling relations between the roughness exponents and the critical exponents are introduced. These results are also put into a wider context and compared with results from KPZ roughening systems .

## II Experimental Details

The experiments were carried out on long grained rice with dimensions of typically $``$2x2x7 mm3, similar to rice A of ref. . The pile was grown from a uniform line source 1 m wide. This uniform distribution was achieved via a custom built mechanical distributor based on a nail-board producing a binary distribution . The actual setup consists of a board with an arrangement of triangles as shown in Fig. 1. This means that the possible pathways of the rice are continuously split at each level, such that at the bottom we end up with a row of 64 uniformly distributed compartments. The uniformity of the distribution was measured to be of the order of 5$`\%`$.

At the bottom of the distributor, the grains are slowed down by a sheet of plastic before they hit the top of the pile. The rice is fed to the top of the distribution board, from a point source, which drops rice at an average rate of $``$5g/s. This corresponds to 1500 grains per image, which means that over the length of the line there are 1 to 2 grains dropped per place. This rate is uniform over the time scale between two images.

Once a rice pile is grown, we measure the further evolution of the surface coordinates using a specially developed real-time technique based on the projection of a set of lines. In order to increase the spatial resolution in the direction of growth, we use a set of lines in the base colors (red, green and blue), which can be easily separated digitally for the analysis. The lines are projected at a right angle to the average surface of the pile and observed at 45 to both the direction of projection as well as the surface. This is illustrated in Fig. 2, where a raw image is shown together with the lines extracted from it. From the distortions of the lines observed in this way, the coordinates in 3d space of the pile surface can be calculated by simple geometry . With this reconstruction technique, the 3d coordinates of the whole field of view can be determined with an accuracy of 2-3 mm, as we have checked on a number of test surfaces. Using both structured and smooth surfaces, the resolution and accuracy were determined independently. Since the resolution is roughly matched with the size of the grains, the method is well suited for the present purpose.

In a single experimental run, the growth is studied for a period of $``$4 hours, with a picture taken every 30 s. Thus an experiment consists of $``$ 480 images. The pictures are taken with a high resolution digital camera, having a resolution of 2048x1536 pixels. For every time step, the surface structure is reconstructed, which gives information about the roughening process, as well as the avalanche dynamics.

The size and shape of the avalanches can be determined from the height difference of the surface between two consecutive images. The overall growth of the pile is subtracted from this difference, however this correction is negligible and does not influence the results. This is shown in Fig.3, where the height difference $`\mathrm{\Delta }h(x,y)`$ is shown for a medium size avalanche. This allows the study of internal avalanches instead of just the off-edge ones, which has proven to be important in previous studies (for instance on superconducting vortex avalanches  and 1d piles of rice ). In order to obtain the size of such an avalanche, $`|\mathrm{\Delta }h|`$ is integrated over the area, which yields the displaced volume, $`\mathrm{\Delta }V`$, corresponding to the size of the avalanche in mm3. In order to use natural units, we will in the following measure the size of the avalanche in terms of the number of toppled grains, which is $`s=\mathrm{\Delta }V/V_{grain}`$, where $`V_{grain}`$ 35 mm3 is the volume of a single grain of rice.

The data discussed in this article was obtained in three separate experiments, with a total of 1330 images.

## III Results

In this section the experimental results are presented. We first show that there is finite size scaling in the avalanche statistics, which indicates the appearance of a critical state in the system. Second, we characterize the surface roughness of the rice pile in 2d, both in space and time. The two characteristic exponents, $`\alpha `$ for the spatial behavior, and $`z`$ for the dynamics  can also be obtained from scaling relations of the critical exponents of the avalanche statistics and are in excellent agreement with those determined from a standard power-spectrum analysis.

### A Avalanche Dynamics

The time dependence of the displaced volume, $`\mathrm{\Delta }V`$, in each time step is shown in Fig. 4, for all three experiments discussed here. In the figure, the data are shown for avalanche sizes integrated over the total field of view of 600x600 mm2.

A histogram of these data, giving the avalanche size distribution is shown by the diamonds in Fig. 5a). In that figure, size distributions of subsets of the data corresponding to smaller fields of view (L = 50, 150 and 300 mm) are also shown. Due to experimental resolution, the smallest avalanches measured for each subset depend on the size of that subset. The range of sizes from 50x50 mm2 to 600x600 mm2 spans more than a decade and all of the data taken together show a power-law scaling of the size distribution over three decades, with an exponent of $`\tau `$ = 1.20(5).

These data can however be scaled to fall onto a single curve, as shown in Fig 5b). Here the avalanche sizes are scaled with $`L^D`$ and the probabilities are scaled with $`s^\tau `$. The good curve collapse visible in Fig 5b) indicates the presence of finite size scaling in the data, one of the hall-marks of critical behavior in a system and thus evidence of the appearance of SOC in the 3d rice pile.

Due to the finite size scaling found from the curve collapse, the avalanche size distribution as a function of system size can be written as a function of one parameter only:

$$P(s,L)=s^\tau f(\frac{s}{L^D}),$$
(1)
where $`f(x)`$ is constant up to a cutoff scale

$$s_{co}L^D.$$
(2)
The exponents $`\tau `$ and $`D`$ used to obtain the curve collapse in Fig. 5b) were $`\tau `$ = 1.21(2) and $`D`$ = 1.99(2). We note here that in usual finite size scaling, separate experiments are used instead of subsets. However, as we have tested on simulations of a 2d version of the Oslo-model , finite size scaling using subsets yields the same exponents, but is much more easily implemented experimentally. As an additional test, the avalanche dimension can be determined directly using a box-counting method in 3d. This yields $`D`$ = 2.05(10) consistent with the result from finite size scaling.

### B Surface Roughening

The roughness of a surface can be characterized in different ways. Most commonly, this is done via the width of the interface as given by its standard deviation . For a 2d surface, this is given by

$$w^2(L)=\frac{1}{L^2}\underset{i,j=1}{\overset{L}{}}(h(i,j)h)^2,$$
(3)
where $`h`$ is the average profile of the surface height. When the roughness of the surface has reached saturation, its value $`w_{sat}`$, will scale with the system size as a power-law, $`w_{sat}L^\alpha `$, where $`\alpha `$ is the roughness exponent.

A similar type of analysis can be achieved via the power spectrum of the surface. Here, one has the advantage that better statistics can be obtained, since the whole surface can be used at once . We determined the power spectrum from a radial average of the 2d Fourier transform of the surface

$$S(k)=|\widehat{h}(k_x,k_y)|^2,$$
(4)
where $`k=(k_x+k_y)^{1/2}`$. The Fourier transforms where performed via an FFT algorithm, which is why a data subset corresponding to a power of two (512x512) was used. From the power spectrum we then determine the distribution function $`\sigma (k)`$

$$\sigma ^2(k)=_0^kS(\kappa )\kappa 𝑑\kappa ,$$
(5)
from which it can be shown  that $`\sigma (2\pi /k)=w(\mathrm{})`$, where $`\mathrm{}=2\pi /k`$ is the length scale over which the width is calculated. The roughness exponent $`\alpha `$ can therefore be reliably obtained from a determination of $`\sigma (k)`$. An alternative way of obtaining the roughness exponent is via the two point correlation function.

$$C(\stackrel{}{x},t)=\left((h(\stackrel{}{\xi },\tau )h(\stackrel{}{x}+\stackrel{}{\xi },t+\tau ))^2_{\stackrel{}{\xi },\tau }\right)^{1/2},$$
(6)
the radial average of which obeys the same scaling behavior as the distribution function .

In Fig. 6, the correlation and distribution functions for the rice-pile surface is shown, averaged over all time steps of all experiments (1330 images). The part of the surface studied consists of 512x512 mm in the center of the surface laterally (along the horizontal direction) and starting from a height of 200 mm. As can be seen from the double logarithmic plot, there is power-law scaling with an exponent, $`\alpha `$ = 0.42(3).

The scaling behavior of the interface width can, however, also be determined from the cut-off size of the avalanches in a system with size $`L`$. The size of such an avalanche will be proportional to the maximal height difference, given by the saturation width $`w_{sat}`$, times the maximal area of the avalanche. As can be seen from Fig. 3, the avalanche-shape is a fractal, which means that $`s_{co}w_{sat}L^{d_B}`$, where $`d_B`$ is the fractal dimension of the cluster of displaced grains. Equating this expression with Eq. 2, one obtains $`w_{sat}L^{Dd_B}`$, which implies the scaling relation

$$\alpha =Dd_B.$$
(7)
Such a scaling relation between the roughness exponent and the exponents characterizing the avalanches was also derived by Paczuski et al.  from different arguments.

In order to determine $`d_B`$ in an accurate manner, we studied avalanches more than two standard deviations bigger than the average size. This corresponds to a subset of $``$ 100 images from all experiments. After thresholding the height difference fields $`\mathrm{\Delta }h(x,y)`$ at their mean value, we applied a simple box counting method  to the resulting clusters. This is shown in Fig. 7, where the number active pixels in a box of given size is shown as a function of the box size. The result is a power law with an exponent of -1.58(2), indicating a fractal dimension of $`d_B`$ = 1.58(2). Inserting this value into scaling relation (7), the roughness exponent is found to be $`\alpha `$ = 0.41(3), in excellent agreement with that determined from the roughness analysis.

The dynamics of the roughening process is likewise analyzed via the distribution function. In contrast to the roughness analysis above, we now determine the distribution function for the time dependence $`h_{i,j}(t)h_{i,j}_t`$ for each pixel, where $`_t`$ denotes the average over the duration of the experiment. Again, the distribution function, given by

$$\sigma ^2(\omega )=|\widehat{h}(\omega )|^2𝑑\omega ,$$
(8)
is equal to the momentary width, $`\sigma (2\pi /\omega )=w(t)`$. Thus the growth exponent $`\beta `$, describing the scaling of the width with time, can be determined from the distribution function. Again, the correlation function shows the same scaling behavior in time, allowing a separate determination of $`\beta `$. Both results are shown in Fig. 8, where it can be seen that there is good power-law scaling of the distribution function, as well as the correlation function, over two decades with an exponent of $`\beta `$ = 0.28(3). Another way of describing the dynamics of an interface is via the dynamic exponent $`z`$, which describes the scaling of the saturation time with the system size

$$t_\times L^z.$$
(9)
It can be easily obtained  from the roughness and growth exponents via

$$z=\frac{\alpha }{\beta }.$$
(10)
From the values determined above we thus obtain $`z`$ = 1.5(1).

The dynamic exponent, $`z`$, can also be derived from a scaling relation using the critical exponents of the avalanche dynamics. The saturation time, $`t_\times `$, will be roughly given by the time it takes for an avalanche of the cut-off size, $`s_{co}`$, to appear. Since material is added to the system at a constant rate, the number of grains added until a cut-off avalanche occurs is proportional to the cross-over time $`t_\times `$. On the other hand, the material added not only result in an avalanche of size $`s_{co}`$, but will also be lost by smaller avalanches, such that the total material necessary to obtain an avalanche of size $`s_{co}`$ can be estimated from:

$$_0^{s_{co}}sP(s)𝑑ss_{co}^{2\tau }.$$
(11)
From Eq. 2, we obtain for the cross-over time $`t_\times L^{D(2\tau )}`$. With Eq. 9, this immediately leads to the scaling relation

$$z=D(2\tau ),$$
(12)
which was also derived by Paczuski et al.  from more general arguments. Using the values for $`D`$ and $`\tau `$ determined above from the curve collapse of the avalanche size distributions, we obtain $`z`$ = 1.56(8), which is again in very good agreement with the result of the power spectrum analysis, $`z`$ = 1.5(1). Note also that the exponents $`\alpha `$ and $`z`$ fulfill the KPZ scaling relation $`\alpha +z`$ = 2, which is valid independent of the dimension of the system and depends only on the fact that the growth is driven by height gradients. Furthermore, the roughness exponent $`\alpha `$ = 0.42(3) is in good agreement with a numerical determination of the behavior of the 2d KPZ equation . The connection between roughening and SOC will be discussed in more detail below.

## IV Conclusions

In conclusion, we have presented results on both the avalanche and the roughening behavior of an experimental SOC system. In addition, we presented simple arguments for universal scaling relations, derived by Paczuski et al.  on general grounds, connecting the avalanche and roughening behavior. We obtain quantitative agreement of the experimental exponents characterizing the roughness and those describing the avalanche statistics. This means that the roughening of the surface of the pile is governed by its underlying avalanche dynamics, which was already conjectured from models of interface depinning. Earlier experimental studies  have considered the avalanche dynamics and the roughening behavior of the 1d version of the present system, where finite size scaling was also found . The above scaling relations, showing quantitatively the connection between the two phenomena were not previously tested.

The fact that KPZ dynamics is observed in a SOC system, as indicated by the fact that the roughness and dynamic exponents obtained here fulfill the KPZ scaling relation, is surprising. This is mostly because in SOC systems, the critical state is self organized, whereas in KPZ systems, the roughening is put into the dynamics by obeying the proper symmetries. However, it has been argued by Alava et al. , that there is a mapping of SOC models, which naturally lead to the necessary symmetries. In this context, it should also be noted that experiments on KPZ systems such as burning paper have also observed ’avalanches’ in the advance of fronts .

## V Acknowledgements

This work was supported by FOM (Stichting voor Fundamenteel Onderzoek der Materie), which is financially supported by NWO (Nederlandse Organisatie voor Wetenschappelijk Onderzoek).


text:
# Distribution of reflection coefficients in absorbing chaotic microwave cavities

## Abstract

The distribution of reflection coefficients $`P(R)`$ for chaotic microwave cavities with time-reversal symmetry is investigated in different absorption and antenna coupling regimes. For all regimes the agreement between experimental distributions and random-matrix theory predictions is very good, provided both the antenna coupling $`T_a`$ and the wall absorption strength $`T_w`$ are taken into account in an appropriate way. These parameters are determined by independent experimental quantities.

Wave scattering by chaotic and weak disordered systems has motivated a rather intensive research activity. The subject is common to several areas of physics, ranging from nuclear, atomic, molecular, and mesoscopic physics to classical wave scattering, like microwaves, sound, and light (see Refs. Bee97 ; Stoe99  for a review). The striking feature shared by all such systems, provided they have a chaotic underlying classical dynamics, is that they show universal transmission fluctuations. These fluctuations are successfully described by random-matrix theory Bro81 ; Guh98 . Very recently a comprehensive treatment of absorption, ubiquitous in experiments, was developed for systems without time-reversal symmetry (TRI) Sav ; Fyo03 . For systems with TRI, however, there is a rigorous theory only in limiting cases Sav .

An analytical expression for the distribution $`P(R)`$ of the reflection coefficient $`R`$ in the presence of absorption was derived for an arbitrary number of open channels in the weak absorption limit Bee01b . In the strong absorption limit $`P(R)`$ reduces to a simple exponential Kog00 . In these two works perfect coupling between the channels and the scattering region is assumed. Furthermore, non-resonant backscattering processes Bro94 ; Bro95b ; Gop98 , which are present in most experimental situations, have been until now often neglected in cases that absorption is taken into account. It is noteworthy that only few of these works are experimental Dor90 ; Sto97 ; Sch01d .

The purpose of this letter is to present experimental evidence that random-matrix theory provides a quantitative understanding of the universal reflection fluctuations in chaotic systems. More specifically, we show that this can only be achieved if both the coupling, so far mostly overlooked, and absorption strengths are properly taken into account. To this end we measure $`P(R)`$ in microwave cavities from weak to strong absorption regimes. A quantitative agreement between experiment and theory is observed for all the cases we have studied. This is remarkable since all theoretical parameters are directly obtained from averaged experimental quantities and not from a fit of $`P(R)`$ to the data.

To study the dependence of $`P(R)`$ on absorption and coupling strengths, we used three different flat microwaves cavities and measured the reflection. For the half Sinai billiard, Fig. 1(left), 57 reflection spectra were measured by sliding the half circular inset along the wall over 28.5 cm in steps of 0.5 cm. This is a practical way to improve the statistics, notwithstanding the correlations among spectra. For all cases only one antenna is coupled to the cavity. For the second measurement, one wall of the half Sinai billiard was coated with an absorber abs . The third measurement was performed on a disordered billiard Stoe01b , where 20 brass cylinders of 5 different sizes have been located at random within the billiard (Fig. 1(right)). The data were collected on a 5 mm grid with 696 antenna positions. We do not consider antenna positions closer than 15 mm to the billiard walls, so only 533 measurements are included in the statistical analysis. The reflection coefficients $`R`$ were measured with vector network analyzers. Typical absorption spectra for the three cases are shown in Fig. 2.

Figure 3 shows the mean reflection coefficient $`R`$ as a function of the frequency $`\nu `$ for the different cavities. $`\mathrm{}`$ denotes averaging over a frequency range $`\mathrm{\Delta }\nu `$ (see Fig. 3 and over different cavity geometries (half Sinai billiard) or different antenna positions (disordered billiard). Five representative windows, where $`R`$ is approximately constant, are chosen for a detailed statistical investigation. The windows correspond to the shaded areas in Fig. 3.

We shall now discuss how $`P(R)`$ is obtained using random-matrix theory Bee97 . The scattering matrix $`S`$ is unitary and has a dimension $`N`$, the number of open channels. Since absorption opens new channels, the experimentally accessible $`N_{\mathrm{exp}}`$-channel sector of $`S`$, which we call $`\stackrel{~}{S}`$, becomes subunitary. As a result, the eigenvalues $`R_1,R_2,\mathrm{},R_{N_{\mathrm{exp}}}`$ of $`\stackrel{~}{S}\stackrel{~}{S}^{}`$ lie between $`0`$ and $`1`$ Bee01b . In the whole frequency range the diameter of the antenna is small compared to the wavelength implying a single coupled channel, i. e., there is a single measurable reflection coefficient $`R`$. The resonant $`S`$ matrix for quantum systems Ver85a  can be used to describe cavity microwave scattering Lew92 ; Fyo97 , and reads

$$S(E)=12\pi iW^{}(EH+i\pi WW^{})^1W.$$
(1)
The quantum mechanical energy $`E`$ is related to the electromagnetic frequency $`\nu `$ by Weyl’s formula. In the high-frequency limit $`E\nu ^2`$, whereas at low frequencies the dispersion relation depends on the cavity shape. $`H`$ describes the cavity quasi-bound spectrum, and $`W`$ contains the coupling matrix elements between the resonances and the scattering channels. These are the absorption channels in the cavity $`N_w1`$ and the microwave antenna $`N_a=1`$ Lew92 . These absorption channels act as additional “fictitious” waveguides attached to the cavity comment .

In our statistical treatment we take the matrix $`H`$ as being a member of the Gaussian orthogonal ensemble, as usual for time-reversal invariant chaotic systems. Since the $`H`$ matrix is statistically invariant under orthogonal transformations, the statistical properties of $`S`$ depend only on the mean resonance spacing $`\mathrm{\Delta }`$ (determined by $`H`$) and on the traces of $`W^{}W`$. The average scattering properties are best characterized by the transmission coefficients of the antenna $`t_a`$ and of the fictitious waveguides $`t_w`$. These coefficients are defined as $`t_c=1|\overline{S_{cc}}|^2`$, where $`c`$ is an arbitrary channel and $`\overline{\mathrm{}}`$ stands for an ensemble average. The ergodic hypothesis identifies the later with the experimental frequency averages. Weak coupling corresponds to $`t_c0`$, or direct reflection from channel $`c`$ (no flux entering the cavity), whereas $`t_c1`$ is the limit of perfect coupling. Hence, our model has two parameters, namely, the antenna coupling $`T_a=t_a`$ and the absorption strength $`T_w=N_wt_w`$.

Analytical results for $`P(R)`$ in the case of time-reversal invariant systems are known only for the limiting cases of very weak ($`T_w1`$) or strong absorption ($`T_w1`$) with perfect antenna coupling ($`T_a=1`$). For most cases of interest one has to rely on numerical simulations of the resonant $`S`$ matrix as given by Eq. (1). This is done as follows: first, $`T_a`$ and $`T_w`$ determine $`W`$ Ver85a ; second, by picking $`H`$ from the Gaussian orthogonal ensemble we compute $`S`$. In this study we generate $`10^5`$ realizations of $`H`$ with dimension $`M=201`$ and fix $`N_w=200`$ for each case of interest. These values are justified as follows: The exact value of $`N_w`$ is not of relevance, provided $`N_w1`$, as demonstrated in Ref. Sch03a . The statistical theory requires $`M1`$, which is the case in our experiment. Finally, for technical reasons $`M>N_w`$ Ver85a .

The transmission coefficients $`T_a`$ and $`T_w`$ are obtained directly from the experimental data as follows: First, we use $`t_a=1|S_{aa}|^2`$ to determine $`T_a`$ directly from the measured values of $`S_{aa}(\nu )`$. $`T_w`$ is then fixed by adjusting the theoretical mean reflection coefficient $`R`$ to the experimental one. In the low frequency regime, the values of $`S_{aa}(\nu )`$ and $`R`$ cannot be extracted correctly from the experimental data since the background of the reflection spectrum varies slowly with $`\nu `$ and deviates from unity, as shown in Fig. 2(a). These variations of the background cause a broadening of the distribution and a shift of its maximum. This problem can be overcome as follows: Since in this regime the resonances are nearly isolated, each of them can be fitted by a complex Lorentzian. Using these fits a corrected spectrum can be generated with a perfect background and suppression of noise. From this spectrum $`S_{aa}`$, $`R`$, and $`P(R)`$ are obtained. The values for the mean reflection coefficient $`R`$, the antenna transmission $`T_a`$, and the wall absorption $`T_w`$ for the five regions under investigation are shown in Table 1.

We first discuss the regime of strong absorption. The theoretical distribution is given by Kog00

$$P(R)=R^1e^{R/R},$$
(2)
which no longer depends explicitly on the number of open channels. Experimentally, the system with the largest absorption is the half Sinai billiard with absorber as seen in Fig. 3. A typical spectrum is presented in Fig. 2(c). The corresponding experimental distribution $`P(R)`$ is shown in Fig. 4, together with the prediction of Eq. (2) and the numerical simulation. The theory contains no free parameters since the only inputs, namely $`T_a`$ and $`R`$, were independently extracted from the experimental data. A strong variation of $`T_w`$ in the investigated frequency range causes the discrepancy between the experiment and the simulation.

Let us now turn to the weak absorption regime, $`T_w<1`$, at low frequencies. Unfortunately, the available analytical result Bee01b  cannot be used, since it assumes perfect coupling, whereas in the present experiment, the coupling is weak at low frequencies (see Table 1). A similar distribution for nearly perfect coupling has been presented in Ref. Dor90 , but no detailed analysis is performed. In Fig. 5 the distribution of $`P(R)`$ is shown for the disordered cavity in the frequency region of 3.5 to 4.0 GHz, obtained from the Lorentzian-fit corrected-spectra. This is beyond the localization-delocalization transition observed at about 3 GHz for the disordered cavity of Fig. 1(right) (a selection of eigenfunctions can be found in Ref. Stoe01b ). The results from the numerical simulation are plotted for comparison with almost perfect agreement.

The experimental distributions $`P(R)`$ for intermediate absorption and coupling regimes are presented in Fig. 6. The data are taken from the half Sinai billiard depicted in Fig. 1(left). A typical spectrum for the intermediate regime is shown in Fig. 2(b). In all cases, a very good agreement between the experimental and theoretical $`P(R)`$ is found.

It was essential to extract the coupling and the absorption strength from two independent experimental quantities. The coupling strength depends on the phase variations of $`S`$ through $`S`$, whereas the absorption strength depends on the average $`R`$. We obtain a good agreement between experiment and theory, comparable to the one displayed in Fig. 6, by assuming perfect coupling ($`T_a=1`$) and thus overestimating the absorption. Such agreement can lead to a wrong understanding of the actual physical process at hand. This is an important message to bear in mind when analyzing quantum mechanical processes, where in most cases the phase of $`S`$ cannot be measured.

We have shown that microwave experiments with chaotic and disordered billiards are excellent tools to investigate the universal distribution of reflection coefficients with absorption. We studied a broad variety of regimes, ranging from weak coupling and weak absorption to perfect coupling and strong absorption. In all cases a very good agreement between experiment and theory was found. This is particularly striking, since the theoretical input parameters were fixed independently by the experiment.

We thank C. W. J. Beenakker, P. A. Mello, O. Legrand, J. Flores, and R. Schäfer for helpful conversations and T. H. Seligman and Centro Internacional de Ciencias (Cuernavaca) for hospitality. This work was supported by DGAPA–UNAM, CONACyT (México), CNPq (Brazil), and the DFG (Germany).


text:
# RAMIFICATIONS OF NON COMMUTATIVE SPACETIME

## 1 Introduction

It is now a cliche that the two great intellectual pillars of the twentieth century, viz., General Relativity or, more generally, Gravitation and Quantum Mechanics have stood apart, stubbornly defying attempts at unifying them. As Wheeler  noted, the problem finally boils down to the introduction of the Quantum Mechanical concept of spin half into Classical Theory and the classical concept of curvature into Quantum Theory. Curiously enough the two pillars of General Relativity and Quantum Theory stand on a common ground: Together they use the concept of a differentiable space time manifold, be it the Reimannian space time of General Relativity or the Minkowski space time of Relativistic Quantum Theory or Quantum Field Theory. However more recent work be it in Quantum Gravity or in Quantum Super String Theory, has hinted at a minimum space time cut off . This alters the age cold concept of a smooth space time. In recent years there has been quite some work by different authors such as Ord, Nottale, El Naschie, the author and others in this relatively new field of non differentiable space time  and several references therein. One of the very fruitful concepts put forward in these pathbreaking efforts has been El Naschie’s concept of the Cantorian space time. Atlast some schoalrs are beginning to realize the fractal nature of space time. Once we break out of the smooth spacetime mindset, many exciting possibilities open up, including a unification of gravitation with other fundamental interactions, and also the possibility of solving the elusive problem of the mass spectrum, as has been deduced by El Naschie for example .
We will briefly survey some of these efforts and indicate how the solution of longstanding problems are now within sight.

## 2 Non Commutative Spacetime

We start with a Quantum Mechanical description. In Quantum Theory, it is well known that spacetime points pose a major difficulty. By the Uncertainity principle, if we go down to such points, we will end up with infinite momenta and energies. This situation comes up clearly in the case of the Quantum Mechanical treatment of the electron . We encounter electrons with the velocity of light and rapid oscillations termed zitterbewegung. At that time Dirac realised this problem and correctly explained the anamoly by noting that only observations averaged over small intervals at the Compton scale are physically meaningful. Within the Compton scale there are well known non local effects. This is a major departure from classical considerations where we use spacetime points.
Nevertheless Quantum Theory has continued using classical space time as a background. This has lead, for example to the problem of infinities and resonances found by Poincare much earlier in classical theory . For example in Classical Electrodynamics, the relativistic generalisation of the well known Lorentz equation is the Lorentz-Dirac equation. This equation shows unphysical characteristics, such as third derivatives with respect to time, run away solutions with infinite energy and so on . The infinite energy in this case is attributed to the infinite energy which an electron, treated as a spherical shell, acquires when the radius of the shell tends to zero. But it is remarkable that even in Classical Electrodynamics the infinities and non local effects are confined to the same Quantum Mechanical Compton scale .
One way in which Quantum Field Theory has dodged these unpleasant features is by using the renormalization technique. To put it briefly, the physical quantity we observe, for example the mass or charge consist of two components: One is the “actual” or bare value and the other is a value due to the above effects. What is important ultimately is the physical quantity we observe. So if we can find a model in which the bare value and the infinite value somehow add up to give the correct physical value in the limit, then the theory is renormalizable, because in any case what happens within the small intervals is ultimately of no consequence . Dirac himself was critical of this approach and predicted that one day it would be proved wrong . He observed, “I am inclined to suspect that the renormalization theory is something that will not survive in the future, and that the remarkable agreement between its results and experiment should be looked on as a fluke.”
In parallel a number of scholars such as Snyder had tried to work out theories which recognized minimum intervals as a way to eliminate the infinities .This work did not find favour for many years.
However relatively recent developments from two separate directions, that of Quantum Gravity and Quantum Super String theory have lead back to the notion of a minimum space time scale : The Planck Scale ($`10^{33}cms`$ and $`10^{43}secs`$) which is the Compton scale for a particle with a Planck mass, $`10^5gms`$. Interestingly Max Planck himself had noted that the Planck scale is made up of a combination of the fundamental constants and therefore must be fundamental. In recent years there has been a growing body of literature which argues that the Planck scale is indeed such a fundamental minimum scale.
The introduction of such a minimum scale, instead of space time points leads to consequences far beyond the classical description. Space time now becomes non commutative , the Uncertainity principle takes on an extra term, sometimes called the duality term  and so on. Specifically, we have,

$$[x,y]=(ıa^2/\mathrm{})L_z,[t,x]=(ıa^2/\mathrm{}c)M_x,$$

$$[y,z]=(ız^2/\mathrm{})L_x,[t,y]=(ıa^2/\mathrm{}c)M_y,$$
(1)
$$[x,x]=(ıa^2\mathrm{})L_y,[t,z]=(ıa^2/\mathrm{}c)M_z,$$

$$[x,p_x]=ı\mathrm{}[1+(a/\mathrm{})^2p_x^2];$$

$$[t,p_t]=ı\mathrm{}[1(a/\mathrm{}c)^2p_t^2];$$

$$[x,p_y]=[y,p_x]=ı\mathrm{}(a/\mathrm{})^2p_xp_y;$$
(2)
$$[x,p_t]=c^2[p_x,t]=ı\mathrm{}(a/\mathrm{})^2p_xp_t;etc.$$

Non relativistic Quantum Theory follows from (1) if $`a^2`$ is neglected, though spacetime is now commutative as in the usual theory. The modification to the Uncertainity Principle is seen in equation (2) when terms $`0(a^2)`$ are retained. All this also averts, what Wheeler had called the greatest crisis of Physics, namely the space time singularity of the point spacetime theory, indeed as the point no longer exists.
It can be argued that the space time generally used in Classical theory and Quantum Theory is an approximation, which smoothens out an underpinning chaotic behavior at the Planck scale . Indeed as Wheeler himself observed, “No prediction of space time, therefore no meaning for space time is the verdict…. That object which is central to all of classical general relativity, the four dimensional space time geometry, simply does not exist, except in a classical approximation…. One has to forego that view of nature in which every event, past, present, or future, occupies its preordained position in a grand catalog called “space time”….”. This approximate classical space time is quasi- changeless or stationary and time is reversible, as indeed is evident from the equations of motion both in Classical Physics and Quantum Physics. But when we go beyond this approximation, to the stochastic description at the Planck scale  time is no longer reversible. We make the leap from the age old concept of “being” to the concept of “becoming” at least at this scale.
One of the criticisms put forward against the Planck Scale Phenomena is that these effects are beyond experimental verification for a long time to come. But let us analyse this further. The Compton scale which we encounter in the physical world has an underpinning of some $`n=10^{40}`$ transient Planck particles. However Planck scale phenomena are moderated, and we have, as in a diffusion process,

$$l=\sqrt{n}l_P$$
(3)
$$m=m_P/\sqrt{n}$$
(4)
where $`l`$ and $`m`$ are the Compton wavelength and mass of a typical elementary particle and $`l_P`$ and $`m_P`$ are the Planck length and the Planck mass. An equation identical to (3) holds for the Compton time also.
(3) and (4) are not mere numerical accidents - they can be deduced as mentioned from a diffusion process . The $`\sqrt{n}`$ in the equations is indicative of a Brownian process. For example, in a random walk of $`n`$ steps, each of length $`l`$, the total distance covered would be of the order of $`\sqrt{n}l`$.
Infact we can go one step further. Remembering that there are a total of $`N=10^{80}`$ elementary particles, the entire universe shows up as $`n\times N=10^{120}`$ Planck scale oscillators. Using the fact that the $`r`$th energy led for the Harmonic oscillators is given by $`\sqrt{r}\mathrm{}\omega `$ for large $`r`$,  it follows that the total energy of these Planck scale oscillators would be $`\sqrt{nN}m_Pc^2`$, which correctly gives the mass of the universe itself. That is, the universe is a normal mode of these Planck scale oscillators.
We have already remarked that the Quantum commutators are present in (1), if we neglect terms of the order of $`a^2`$. In particular, taking $`a`$ to be the Compton scale, it has been shown that we can recover from (1) and (2) the Dirac equation itself. This again is not surprising because the non commutativity in (1) and (2) can be shown to represent spin even from the classical viewpoint . Interestingly, at the Compton scale it has been shown that the Quantum coordinates coincide with the complex coordinates of a classical Kerr-Newman Black Hole with radius of the order of the Compton wavelength. Indeed it has been known for a long time that the classical Kerr-Newman metric reproduces the field of the electron including the purely Quantum Mechanical gyro magnetic ratio $`g=2`$. What has been inexplicable is the fact that there is a naked singularity or equivalently complex coordinates. This infact is a direct consequence of the non commutativity . In other words once the non commutative or fuzzy nature of spacetime is taken into consideration, corresponding to averages over zitterbewegung in Realtivistic Quantum Theory, the naked singularity disappears and the electron can be represented by the Kerr-Newman metric. These conclusions have since been confirmed by Nottale . Already this Kerr-Newman characterization of the Quantum Mechanical electron points to the long sought after linkage between gravitation and electromagnetism . It can be shown formally that this is so . Infact arising from (1) there is the covariant derivative

$$_\mu _\mu \mathrm{\Gamma }_{\mu ^\sigma }^\sigma $$
(5)
The second term on the right of (5) represents the electromagnetic potential, and surprisingly coincides with the original Weyl formulation of electromagnetism.
Surprising as it may seem there is a cosmological scheme which follows from these considerations. It can be understood on the basis of the fact that in the minimum time interval $`\tau `$ at the Compton scale ,$`\sqrt{N}`$ particles are created fluctuationally from the Quantum vacuum, where $`N`$ is the number of particles present at that epoch . This cosmology successfully predicted dark energy and an accelerating ever expanding universe since confirmed by observation .
All this can also be shown to explain some hitherto inexplicable coincidences noted by Weyl, Eddington, Dirac and Weinberg. These are relations like

$$R=\sqrt{N}l$$
(6)
$$\frac{e^2}{Gm^2}=\sqrt{N}$$
(7)
$$m=\left(\frac{\mathrm{}^2H}{Gc}\right)^{1/3}$$
(8)
and others. $`R`$ is the radius of the universe, $`e`$ is the electron charge, $`G`$ the universal constant of gravitation, $`c`$ the velocity of light, $`\mathrm{}`$ the reduced Planck constant and $`H`$ the Hubble constant. It is easy and even unscientific to dismiss such equations as accidents. Dirac himself realised that equations (6) and (7) for example could have a cosmological significance . There was an inconsistency in his otherwise beautiful cosmology. More recently it has been shown by the author that these coincidental equations (8) can be deduced, on the basis of the cosmology mentioned above. It may be mentioned that Weinberg had termed the equation (8) as being mysterious because it relates a large scale parameter like $`H`$, the Hubble constant to microphysical constants . This points to a Machian or “co-related” universe which is not surprising because the universe as we have just seen, is a normal mode of Planck oscillators.
In this consistent scheme, the universe is created out of a sub stratum Quantum vaccuum or dark energy, in a phase transition at the Planck scale . Herein are the very first seeds for all the complex structures of the universe.

## 3 A Mass Spectrum

We can extend these considerations to generate a mass spectrum, a problem that has fascinated El Naschie and for which his model gives a solution . We now use the model of three oscillators (typically for the three quarks), discussed in detail in references . We use the fact that for such an oscillator (resembling a triatomic molecule)  the frequencies are given by

$$\omega =\sqrt{k/m},2\sqrt{k/m}$$
(9)
for one and two such oscillators where $`\mathrm{}\omega =mc^2,m`$ being the mass.
For reasons discussed in detail in the references, we take the higher frequency or mass to represent the pion $`m_\pi `$. In this connection, it may be mentioned that the $`\pi ^0`$ meson has been shown to be a bound state of an electron and positron in the discrete spacetime theory , borne out by its decay mode. This was a starting point for El Naschie in his mass spectrum model. Then from (9) we derive the mass spectrum from the oscillator energy levels viz.,

$$m(n+\frac{1}{2})m_\pi ,m(2n+1)m_\pi ,n=0,1,2,\mathrm{}$$
(10)
It is remarkable that the formula (10) generates a whole range of some $`50`$ mesons and baryons including the well known particles from the particle data group tables (Cf.refs.), starting from the $`K`$meson ($`480meV`$ approximately) through several other mesons including the $`2\chi ,D,f,\rho ,\mathrm{\Theta }`$ and so on as also the very massive $`\gamma (1s),\chi 1p,\gamma 2s,\gamma 3s,\gamma 4s,\gamma 10860,B,J/(\psi 1s)`$ and so on, going right up to values of $`n`$ near $`80`$ giving the heaviest of the particles and clusters of masses nearby. Even in the approximation (10) where several degrees of freedom and other details have been excluded, the agreement is within a few percent of the actual values. Interestingly the latest particle $`D_5(2317)`$  also follows from (10), being apprxomately $`17m_\pi `$. Incidentally El Naschie’s mass spectrum can also start with the model of spring connected oscillators .


text:
# Accounting for Slow 𝑱/𝝍 from 𝑩 Decay

## Abstract

A slow $`J/\psi `$ excess exists in the inclusive $`BJ/\psi +X`$ spectrum, and is indicative of some hadronic effect. From color octet nature of $`c\overline{c}`$ pair in $`bc\overline{c}s`$ decay, one such possibility would be $`BJ/\psi +K_g`$ decay, where $`K_g`$ is a hybrid resonance with $`\overline{s}gq`$ constituents. We show that a $`K_g`$ resonance of $``$ 2 GeV mass and suitably broad width could be behind the excess.

Using 1.12 fb-1 data, the CLEO experiment published the inclusive $`BJ/\psi +X`$ spectrum CLEO95 . After subtracting $`\chi _{c1}`$, $`\chi _{c2}`$ and $`\psi (2S)`$ feeddown, there was a hint of excess events around $`p_{J/\psi }^{}0.5`$ GeV, where $`p_{J/\psi }^{}`$ is $`J/\psi `$ momentum in $`\mathrm{{\rm Y}}(4S)`$ frame. With 6.2 fb-1 data, the Belle experiment presented Schrenk  the inclusive $`BJ/\psi +X`$ spectrum. After feeddown subtraction, one could also infer IC  an excess for $`p_{J/\psi }^{}0.8`$ GeV. Recently, the BaBar experiment published BaBar02  similar results based on 20.3 fb-1 data, showing clear excess beyond NRQCD expectations Beneke , of order $`10^3`$ in rate, for $`p_{J/\psi }^{}0.8`$ GeV.

As the excess involves slow moving $`J/\psi `$ mesons, it must have hadronic, rather than perturbative, origins. Various proposals have been advanced. The suggestion of $`BJ/\psi \overline{\mathrm{\Lambda }}p`$ Brodsky  has been studied recently by BaBar BaBar03 ; the event rate at $`10^5`$ order cannot explain the slow $`J/\psi `$ excess. Intrinsic charm content of the $`B`$ meson could lead to $`BJ/\psi D(+\pi )`$ final states IC , which can in principle explain the data, but experimental studies are not yet forthcoming. If $`BJ/\psi D\pi `$ dominates, the slow pion does not pair with $`D`$ to form a $`D^{}`$, and would pose a challenge. Another possibility Eilam  would be $`BJ/\psi K_g`$, where $`K_g`$ is a hybrid meson with $`\overline{s}gq`$ constituents. A recent estimate Close  suggests that the rate could be in the ballpark.

In this note we take a heuristic approach to explore the last possibility. We find the hybrid scenario is indeed viable. We suggest the signature of $`BJ/\psi +K+n\pi `$, where $`n`$ cannot be more than a few, should be experimentally searched for. If the $`K+n\pi `$ system tends to peak at some mass, but does not descend from $`D`$ meson decay, then the hybrid meson picture could be substantiated.

Let us visualize why a hybrid meson recoiling against a $`J/\psi `$ could be the right picture. In $`bc\overline{c}s`$ decay, the $`c\overline{c}`$ pair is dominantly formed in a color octet configuration, hence charmonium production is color-suppressed. Imagine that, upon $`b`$ quark weak decay, the $`c`$ and $`\overline{c}`$ quarks are moving apart with more than $`1`$ GeV kinetic energy. Soft “muck” effects cannot change the configuration, and the system would tend to break up into open charm meson pairs, resulting in $`D^{()}\overline{D}_s^{()}`$ or $`D\overline{D}\overline{K}`$ final states. But if the $`c`$ and $`\overline{c}`$ momenta are relatively colinear, it can be viewed as a “proto-charmonium”. Because of the heaviness of $`m_c`$, this small, dominantly color octet $`c\overline{c}`$ system would recoil against the $`s`$ quark, again relatively unperturbed by the soft “muck”. By the time it separates from the $`s`$ quark by order 1 fm, strong, nonperturbative effects set in: it has to hadronize. But since this is already a “proto-charmonium”, i.e. the spatial and spin wave-function already maps well onto some physical charmonium state, the only problem is it has to shed color. An effective color octet charge is thus left to neutralize the $`s\overline{q}`$ system, and the simplest configuration is that of $`sg\overline{q}`$, which we call an $`\overline{K}_g`$ hybrid system.

Whether a $`K_g`$ hybrid meson really exists becomes semantical. As visualized above, the leftover color octet charge with the color octet $`s\overline{q}`$ system is not by perturbative gluon emission Eilam , but by the fact that two separate color strings extend from the $`s`$ and the $`\overline{q}`$ towards the point where the $`c\overline{c}`$ hadronization took place. It is plausible that this $`s`$$`g`$$`\overline{q}`$ string configuration could resonate and the amplitude gets enhanced, and energy-momentum is exchanged with the departing charmonium. If the $`K_g`$ resonance is of order 2 GeV Isgur  in mass, then the $`J/\psi `$ has to be slow. We have therefore constructed the physical picture whereby slow $`J/\psi `$ (charmonium in general) can receive enhancement.

Let us illustrate further this picture. The relevant effective weak Hamiltonian is

$`H_\mathrm{W}`$ $`=`$ $`{\displaystyle \frac{G_F}{\sqrt{2}}}V_{cs}^{}V_{cb}(c_1𝒪_1+c_2𝒪_2),`$
$`𝒪_{1(2)}`$ $``$ $`\overline{s}_\alpha \gamma ^\mu (1\gamma _5)c^{\alpha (\beta )}\overline{c}_{\beta (\alpha )}\gamma _\mu (1\gamma _5)b^\beta .`$ (1)
The amplitude for $`\overline{B}J/\psi \overline{K}`$ decay is

$$A(J/\psi \overline{K})=\frac{G_\mathrm{F}}{\sqrt{2}}V_{cs}^{}V_{cb}a_2J/\psi |\overline{c}\gamma ^\mu c|0\overline{K}|\overline{s}\gamma _\mu b|\overline{B},$$
(2)
where $`a_2`$ is the effective coefficient governing color-suppressed modes, which in the naive factorization limit is $`c_2+c_1/3`$. Fitting data gives $`a_20.25`$, but factorization calculations tend to give lower values of $`a_2`$ 0.2, suggesting that nonfactorized effects are important.

We now infer from Eq. (2) by analogy the formula for $`BJ/\psi K_g`$. It is well known that

$$𝒪_1=2(\overline{c}T^ac)_{VA}(\overline{s}T^ab)_{VA}+\frac{𝒪_2}{3},$$
(3)
where $`T^a`$ is the color SU(3) generator. A color octet $`\overline{c}c`$ pair is favored. The “proto-$`J/\psi `$” would still be produced by a $`\overline{c}c`$ vector current, but stripping off the extra color as it departs, one is left with a “constituent” gluon in association with the $`s\overline{q}`$ bilinear. The nonperturbative picture should be two (different colored) strings extending from the point of departure of the $`J/\psi `$ towards the recoiling $`s`$ and spectator $`\overline{q}`$ quarks. Using a factorization language for sake of illustration, the matrix element product, $`J/\psi g|(\overline{c}T^ac)_{VA}|0(s\overline{q})_8|(\overline{s}T^ab)_{VA}|\overline{B}`$, where $`g`$ is a constituent gluon and $`(s\overline{q})_8`$ is a color octet quark pair, should be nonvanishing. The final state therefore has the $`J/\psi `$ recoiling against a color singlet $`s\overline{q}g`$ configuration, which could form a hybrid $`K_g`$ meson. We heuristically write the operator $`2(\overline{c}T^ac)_{VA}(\overline{s}T^ab)_{VA}`$ as $`\overline{c}\gamma ^\mu c[\overline{s}gb]_\mu `$, which we now take as our Ansatz. Thus, the formula for $`\overline{B}J/\psi \overline{K}_g`$ becomes,

$$A(J/\psi \overline{K}_g)\frac{G_\mathrm{F}}{\sqrt{2}}V_{cs}^{}V_{cb}c_1J/\psi |\overline{c}\gamma ^\mu c|0\overline{K}_g|[\overline{s}gb]_\mu |\overline{B},$$
(4)
where the $`[\overline{s}gb]`$ operator can convert the $`\overline{B}`$ meson into $`\overline{K}_g`$, including matching its $`J^P`$, in analogy with the $`\overline{s}\gamma _\mu b`$ current converting $`\overline{B}`$ into $`\overline{K}^{()}`$. Note that the decay amplitude is proportional to $`c_11`$ rather than $`a_2`$, but there is some proportionality constant, hopefully of order 1, from the Ansatz we made above. Due to the usual difficulty of hadronic physics and the model dependence that would necessarily arise, we do not attempt at calculating theoretically this proportionality constant, but turn to data for its determination.

The simplest situation would be to have a $`K_g`$ meson with $`J^P=0^{}`$ (note that there are no “exotic” kaon hybrids). The contraction of vector current indices should then be very similar between Eqs. (2) and (4), and the $`BJ/\psi K_g(0^{})`$ decay rate is estimated to be

$$\kappa _0^2\left|\frac{c_1}{a_2}\right|^2\frac{p_{K_g}^3}{p_K^3}|\mathrm{BW}|^2(BJ/\psi K),$$
(5)
where $`\kappa _0`$ is related to the aforementioned proportionality factor, but it also contains possible differences in $`BK_g`$ and $`BK`$ form factors, and $`p_{K_{(g)}}`$ is the momentum of $`K_{(g)}`$ in the $`B`$ decay frame. Since the hybrid $`K_g`$ meson is expected to be broad, the decay rate is modulated by the Breit-Wigner factor PDG

$$\mathrm{BW}(q^2)=\frac{\sqrt{q^2}\mathrm{\Gamma }(q^2)}{(q^2m^2)+i\sqrt{q^2}\mathrm{\Gamma }(q^2)},$$
(6)
where $`q^2=m_{J/\psi }^2+m_B^22m_BE_{J/\psi }`$ and $`E_{J/\psi }`$ is the $`J/\psi `$ energy in the $`B`$ rest frame. Note that, to account for kinematic dependence PDG , a $`\sqrt{q^2}`$ factor is used instead of $`m`$. Furthermore,

$$\mathrm{\Gamma }(q^2)=\sqrt{q^2}\frac{\mathrm{\Gamma }_0}{m},$$
(7)
where $`m`$, $`\mathrm{\Gamma }_0`$ are the mass and width of $`K_g`$ at $`q^2=m^2`$.

We now make a fit to the inclusive $`J/\psi `$ spectrum and see whether a single hybrid $`K_g`$ suffices to account for the observed excess. The direct (feeddown subtracted) $`BJ/\psi X`$ data is taken from Ref. BaBar02 . BaBar uses NRQCD plus $`BJ/\psi K^{()}`$ simulation results to fit their data. To simplify, we follow Refs. Brodsky ; IC , and use

$$f(p)=N(pp_{\mathrm{min}})(pp_{\mathrm{max}})\mathrm{exp}\left[\frac{(p\overline{p})^2}{\sigma _0^2}\right],$$
(8)
to mimic the color-octet NRQCD Beneke  and $`J/\psi K^{()}`$ BaBar02  components. We find $`(N,p_{\mathrm{min}},p_{\mathrm{max}},\overline{p},\sigma _0)=(26,0,1.95,1.21,0.5)`$ and $`(180,1.2,1.95,1.65,0.3)`$, with all energy-momentum in GeV, give good accounts of the two contributions, respectively.

Adding now the $`BJ/\psi K_g`$ contribution of Eq. (5), we smear by a Gaussian with rms spread of 0.12 GeV BaBar02  to account for broadening in the $`\mathrm{{\rm Y}}(4S)`$ frame. Using $`|c_1/a_2|=5`$ for illustration, and the isospin averaged $`(BJ/\psi K)=0.94\times 10^3`$, and allowing the NRQCD contribution to float in the new fit, we obtain

$$\kappa _02.3,m2.08\mathrm{GeV},\mathrm{\Gamma }_072\mathrm{MeV}.$$
(9)
The NRQCD contribution is reduced by 12% with respect to Ref. BaBar02 , the fitted $`BJ/\psi K_g`$ branching ratio is $`8.5\times 10^4`$, and the spectrum is shown in Fig. 1(a). It is remarkable that a single $`0^{}`$ hybrid $`K_g`$ meson with mass $``$ 2.1 GeV and width $``$ 100 MeV could account for the observed slow $`J/\psi `$ excess. The fudge factor $`\kappa _0`$ 2.3 means our inference by analogy is in the right ballpark.

Let us investigate the case for $`K_g`$ meson with $`J^P=1^{}`$. Replacing $`K`$ by $`K^{}`$ in Eq. (2), we estimate, in analogy to Eq. (5), the $`BJ/\psi K_g(1^{})`$ decay rate to be

$$\kappa _1^2\left|\frac{c_1}{a_2}\right|^2\frac{p_{K_g}}{p_K^{}}|\mathrm{BW}|^2(BJ/\psi K^{}),$$
(10)
where $`\kappa _1`$ is analogous to $`\kappa _0`$, but now the $`BK_g`$ and $`BK^{}`$ form factor ratio can be rather complicated, because of two possible helicity configurations. Absorbing all of this into $`\kappa _1`$, we retain linear momentum dependence corresponding to longitudinally polarized component, which is expected to be dominant from usual form factor models, as well as in the heavy quark limit.

Performing a fit as before using isospin averaged $`(BJ/\psi K^{})=1.35\times 10^3`$, we obtain

$$\kappa _10.6,m2.05\mathrm{GeV},\mathrm{\Gamma }_070\mathrm{MeV}.$$
(11)
The NRQCD contribution is reduced by 11% with respect to Ref. BaBar02 , and the fitted $`(BJ/\psi K_g(1^{}))`$ is $`7.9\times 10^4`$. The spectrum is shown in Fig. 1(b), which is similar to Fig. 1(a) since mass and width are almost the same. Note that the fudge factor $`\kappa _10.6`$ appears even more reasonable than the $`0^{}`$ case.

Fig. 1 suggests that the fits may not yet be optimized for $`p_{J/\psi }^{}`$ between 0.9–1.5 GeV. As we have allowed some freedom in the strength of the NRQCD contribution Beneke , we now allow its peak position to float as well. Fitting again, we find for $`0^{}`$ case

$$\kappa _02.0,m2.08\mathrm{GeV},\mathrm{\Gamma }_0147\mathrm{MeV},$$
(12)
with the NRQCD contribution reduced by 13% with respect to Ref. BaBar02 , and the parameter $`\overline{p}`$ shifted by 100 MeV to 1.31 GeV. The fitted $`BJ/\psi K_g`$ branching ratio becomes $`12.9\times 10^4`$. For $`1^{}`$ case, we find

$$\kappa _10.5,m2.03\mathrm{GeV},\mathrm{\Gamma }_0103\mathrm{MeV},$$
(13)
with NRQCD contribution reduced by 10% with respect to Ref. BaBar02 , $`\overline{p}`$ shifted from 1.21 GeV to 1.29 GeV, and fitted $`(BJ/\psi K_g(1^{}))10.5\times 10^4`$. The fitted spectrum is shown in Fig. 2. The remaining slight “discrepancy” can be attributed to the difference between a perturbative vs. hadronic approach, e.g. summing over $`J/\psi K_1`$ psiK1 , $`J/\psi K_2^{}`$, etc. modes.

We do not commit ourselves to what should be the lightest $`K_g`$ hybrid state, or how large is the splitting for further excitations. It is gratifying, however, that the fitted masses of order 2–2.1 GeV is close to expectations Isgur . The width of 70–150 MeV may seem narrow, but kaonic hybrids have not been widely discussed in the literature, and the relative narrowness would make experimental identification easier. As for decay modes, we remark that flux tube models suggest Isgur2  hybrids decay into final states with one excited meson. Thus, one should consider reconstructing $`K_g`$ in $`K_{0,1,2}^{}\pi (\rho )`$, $`K^{()}f_{0,1,2}`$, maybe also $`Kf_2^{}`$ final states. It would be fascinating if a heavy kaon resonance is found to be dominating the slow $`J/\psi `$ excess from $`B`$ decay.

We note that the $`K_g`$ width is larger for the improved fit of Fig. 2. We have checked that $`\mathrm{\Gamma }_0`$ 250 MeV is possible, if the “peak position” parameter $`\overline{p}`$ is allowed to shift slightly higher, to 1.34 GeV and 1.31 GeV, respectively, for the $`0^{}`$ and $`1^{}`$ cases. Thus, the narrowness of $`\mathrm{\Gamma }_070`$ MeV of Eqs. (9) and (11) may be an artefact of trying to mimic the NRQCD result of Ref. Beneke . The latter work subtracted $`BJ/\psi K`$ and $`J/\psi K^{}`$, an approach BaBar adopted, but it was done before the Belle measurement psiK1  of $`(BJ/\psi K_1(1270))1.55\times 10^3`$ (isospin averaged), which is comparable to $`BJ/\psi K`$ and $`J/\psi K^{}`$. An update of Ref. Beneke  would be helpful.

The $`0^{}`$ and $`1^{}`$ hybrid quantum numbers allow us to make some insight into the possible cause of sizable nonfactorizable contributions to $`BJ/\psi K^{()}`$, $`J/\psi K_1`$ decay. The physical $`K^{()}`$ state may have a hybrid Fock component, $`|K=c_\theta |K^{(0)}+s_\theta |K_g^{(0)}`$. One then finds

$$a_2^{\mathrm{eff}.}=a_2^{\mathrm{fac}.}\left(c_\theta +\frac{c_1}{a_2}\kappa s_\theta \right),$$
(14)
where $`a_2^{\mathrm{fac}.}`$ is from factorization calculations, typically of order 0.15–0.2. One sees from our fitted $`\kappa `$ values that a hybrid admixture of a few % to no more than 10% in the $`K^{()}`$ wavefunction can suffice to account for the large $`a_2^{\mathrm{eff}.}`$ 0.25–0.3 extracted from data, in large part because of gaining the $`c_1/a_2`$ factor.

We comment on a recent proposal that slow $`J/\psi `$ from $`B`$ decay could arise from $`cq\overline{q}\overline{c}`$ four quark states cqqq . The physical picture would be that the color octet $`c\overline{c}`$ picks up a color octet $`q\overline{q}`$ pair as it hadronizes. Ref. cqqq  gave some arguments for why $`J/\psi `$ may end up slow. It may not be so easy to distinguish this proposal from the present one, as both lead to $`J/\psi +K+n\pi `$ final states, and in fact both mechanisms may well be at work concurrently. To distinguish the two mechanisms, one would have to check whether the charmonium system is resonating with some of the recoil hadrons. For $`K_g`$ mechanism, it would be helpful if $`K_{0,1,2}^{}\pi (\rho )`$, $`K^{()}f_{0,1,2}`$, $`Kf_2^{}`$ dominance in final state is borne out. We remark that for most pictures, one should also find excess in slow $`\eta _c`$ mesons.

In summary, we have illustrated that a single hybrid $`K_g`$ state recoiling against a $`J/\psi `$ could explain the slow $`J/\psi `$ excess observed in $`B`$ decay with rate at $`10^3`$ order. The fitted $`K_g`$ mass is of order 2.05–2.1 GeV, with width of order 70–150 MeV, but could be broader. Experimental signature would be to reconstruct $`K_gK+n\pi `$, probably in $`K_{0,1,2}^{}\pi (\rho )`$, $`K^{()}f_{0,1,2}`$, $`Kf_2^{}`$ configurations.

We thank Hsuan-Cheng Huang for discussions, and Jim Mueller for pointing out Ref. Close  to us. This work is supported in part by NSC grants 91-2112-M-002-027, 91-2811-M-002-043, the MOE CosPA Project, and the BCP Topical Program of NCTS.