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# I Zw 1: Decomposition of the Nearby QSO HostBased on observations collected at the Very Large Telescope (UT1) of the European Southern Observatory, Paranal, Chile, under service mode project 67.B-0009.

## 1 Introduction

Due to their extreme properties in many physical respects, active galactic nuclei have attracted much interest for a long time. Thanks to improvements in sensitivity and angular resolution, the host galaxies have become a new focal point (e.g. Bothun et al. 1984; Lowenthal et al. 1995; McLeod 1995; Hunt et al. 1999; Márquez et al. 2000), as host disks are considered as the fuel reservoirs for their embedded active nuclei (e.g. Shlosman et al. 1990; Evans et al. 2001; Pogge & Martini 2002). Structures and stellar populations of the hosts seem to be closely entangled with the evolution and types of their active nuclei (Storchi-Bergmann et al. 2001). In order to minimize the effects of dust extinction, stellar properties of host galaxies are preferentially observed in the near-infrared (NIR). Nevertheless, the measured nuclear and circumnuclear fluxes are still dominated by the high energy output of the embedded active nucleus. As an unresolved source, the active nucleus is usually removed by subtracting an appropriately scaled point-spread function (PSF). Most statistical studies of AGN hosts, however, lack an exact knowledge of the AGN flux contribution so that the scaling is often rather arbitrary. It is determined either by assuming the residual central stellar component of the host to be flat or by applying some fitting algorithm (e.g. Bahcall et al. 1995; Hunt et al. 1999; Percival et al. 2001). In contrast to these statistical approaches, this paper focusses on a detailed study of one nearby representative of QSO hosts, the QSO host I Zw 1, for which some basic data are listed in Table 1.

This case study benefits from the fact that a reliable subtraction procedure for the I Zw 1 AGN can be deduced from known flux fractions. By two independent methods, Eckart et al. (1994) and Schinnerer et al. (1998) find a stellar fraction of 15% in the total nuclear K-band flux and a stellar fraction of 27%$`\pm `$6% in the total nuclear H-band flux. Both results refer to a non-extincted QSO component surrounded by a stellar component which is extincted by 10 to 20 mag. The first method (Eckart et al. 1994) is based on a comparison of the nuclear NIR colours of I Zw 1 with the colours of a mean zero-redshift QSO (Hyland & Allen 1982), while the second method (Schinnerer et al. 1998) investigates the depths of stellar absorption lines in the NIR spectra. The large stellar flux contribution seems to be connected with the strong activity of a $`4.5\times 10^7`$ yr-old decaying starburst (Schinnerer et al. 1998), probably located in the circumnuclear molecular ring which has recently been resolved in $`{}_{}{}^{12}\mathrm{CO}_{}^{}`$(1$``$0) maps (Staguhn et al. 2001) and shows a radius of about 1 kpc.

Since I Zw 1 shows properties of high-redshift QSOs, like the blueshifted nuclear emission lines of \[C iv$`\lambda 0.1549\mu \mathrm{m}`$, \[Si vi$`\lambda 1.961\mu \mathrm{m}`$, and \[Al ix$`\lambda 2.040\mu \mathrm{m}`$ (Buson & Ulrich 1990; Schinnerer et al. 1998), this case study implies interesting consequences for evolutionary scenarios. With properties lying inbetween those of QSOs, narrow-line Seyfert 1s, and ultraluminous infrared galaxies, I Zw 1 is discussed as a possible transition object from the QSO to the ultraluminous infrared stage (Canalizo & Stockton 2001) regarding the original evolutionary scheme for AGN (Sanders et al. 1988). According to its nuclear blue magnitude of $`M_\mathrm{B}=22.5`$ mag (Smith et al. 1986, adopted for $`H_0=75`$ km s-1 Mpc-1), I Zw 1 just belongs to the QSO class defined by $`M_\mathrm{B}<22.1`$ mag ($`M_\mathrm{B}<21.5+5\mathrm{log}h`$, Veron-Cetty & Veron 1998), although the host galaxy is visible. I Zw 1 has a radio-quiet AGN (Barvainis & Antonucci 1989; Kukula et al. 1995) whose radio source has not been resolved at the observed angular resolutions so far (see Kukula et al. 1995). Its narrow-line Seyfert 1 characteristics are prototypical of this class, like the narrow H$`\beta `$ line with a FWHM of 1240 km s-1 (Boller et al. 1996), the low line ratio of \[O iii\]/H$`\beta `$ of 0.49 (Hutchings & Crampton 1990), and the many Fe ii multiplets (Oke & Lauer 1979; Hutchings & Crampton 1990; Vestergaard & Wilkes 2001). With an infrared luminosity of $`L_{\mathrm{IR}}=10^{11.87}L_{\mathrm{}}`$ (Canalizo & Stockton 2001), I Zw 1 just fails to be an ultraluminous infrared galaxy but it still belongs to the luminous infrared objects.

The host of I Zw 1 consists of an extended rotating disk as supported by the double-horned line profiles of H i (Condon et al. 1985) and CO (Barvainis et al. 1989), the spiral arms in the optical and NIR images, and the $`{}_{}{}^{12}\mathrm{CO}_{}^{}`$(1$``$0) velocity field (Schinnerer et al. 1998). The fuelling mechanisms which are responsible for driving the gas from the gas-rich host towards the AGN are unclear, even on large scales. On the one hand, there is certainly no large-scale bar component as can be seen from the disk images as well as the symmetric $`{}_{}{}^{12}\mathrm{CO}_{}^{}`$(1$``$0) isovelocity diagram (Schinnerer et al. 1998). On the other hand, the blue disk colours of $`\mathrm{B}\mathrm{V}=0.6`$–0.7 (Hutchings & Crampton 1990) indicate enhanced star formation in the disk which can be modelled for the north-western spiral arm by either a young decaying starburst ($`1.3\times 10^7`$ yr) or an old ($`10^{10}`$ yr) constant starburst (Schinnerer et al. 1998). Together with slight tidal features in the H i distribution (Lim & Ho 1999) and in the B’-band image (Canalizo & Stockton 2001) this suggests that an interaction with the nearby western companion galaxy may trigger the nuclear activity. However, the evidence for an interaction is weak (Canalizo & Stockton 2001) and it remains controversial whether I Zw 1 is undergoing a minor merger process.

The new J-band data complement the knowledge about I Zw 1, which is already one of the best-studied QSO hosts. Observations, data reduction, and data analysis are described in Sect. 2. The resulting surface-brightness profile is presented together with the derived gas rotation curve in Sect. 3. After an introduction to the applied gravitational potential models, the surface-brightness profile and the gas rotation curve are decomposed into structural components in Sect. 3.4. The obtained parameters are discussed in Sect. 4 and compared to the reviewed properties of the I Zw 1 host. A summary of the results is presented in Sect. 5.

## 2 Observations and Data Reduction

NIR imaging data in the J-band have been obtained with the ISAAC camera at the VLT of ESO on Cerro Paranal in Chile. All processed data of this paper – the object frames as well as the standard star frames for photometric calibration – were observed within two consecutive hours. Basic parameters of the observation runs and the corresponding air masses are listed in Table 2.

### 2.1 Image Reduction and Photometric Calibration

Four object frames are available in J-band, in each of which the object has a different position on the detector. The images are reduced by means of standard procedures of the IRAF software package. Since I Zw 1 only occupies a small fraction of the total field of view in an else uncrowded environment, sky and dark current are removed by subtracting the object frames from each other for all possible permutations. Some modifications of the reduction steps turn out to optimize the final background noise: First, the flatfield shows variations of less than 1% – measured in several $`5\times 5`$ pixel boxes in the region of interest – so that a flatfield correction is ignored. Second, the sky-subtracted and aligned images are combined, using a median algorithm. The advantage of this algorithm over the average algorithm is that residual stars in the sky-subtracted images are effectively removed during combination.

A standard star from the catalogue of the faint NIR LCO/Palomar NICMOS standards (Persson et al. 1998) was observed for photometric calibration. The match between these standards and the ISAAC filters has not yet been experimentally verified but the colour terms are expected to be close to zero. Observed in the same acquisition modes, the calibration frames are reduced parallel to the object frames. The flux of the star is measured at all five different detector positions in the unaligned frames to account for detector variations. Mean and standard deviation of the five values are used for the final zero-point determination and the calibration error, respectively. The derived zero-point is corrected for air mass with the canonical average value of $`0.11\mathrm{mag}(\mathrm{air}\mathrm{mass})^1`$ given for J in the ISAAC manual.

### 2.2 Subtraction of the Nucleus

In order to investigate the host galaxy of I Zw 1, the non-stellar brightness contribution of the QSO has to be subtracted. For a two-dimensional subtraction, the PSF of the original J-band image is built with a gaussian using the IRAF task PSF. To account for asymmetries, the residuals of the fit are stored in an additional lookup table. In order to subtract only the non-stellar portion of nuclear flux, the PSF has to be appropriately scaled. Without any prior assumptions about bulge shape or fitting constraints, the scaling is determined from the known stellar contributions to the total nuclear H- and K-band fluxes (Eckart et al. 1994; Schinnerer et al. 1998) as mentioned in Sect. 1. The corresponding J-magnitude is computed using the JHK colours of a mean zero-redshift QSO (Hyland & Allen 1982). The QSO turns out to be 0.08 mag fainter than the total nuclear J-magnitude starting from the K-band estimate and 0.19 mag fainter starting from the H-band estimate. As expected, both results are similar and the mean value of 0.13 mag is used for the final scaling of the PSF.

### 2.3 Deriving the Surface-Brightness Profile

The analysis of the I Zw 1 host is restricted to a one-dimensional fitting of radial profiles. A one-dimensional decomposition turns out to be sufficient for the goals of this NIR study, since (i) spiral arms are not as pronounced in the NIR as in the optical and (ii) I Zw 1 is seen nearly face-on so that its brightness distribution is radially symmetric to a good approximation – the latter being supported by a previous NIR investigation of I Zw 1 (Peletier et al. 1999) in which ellipse fitting resulted in an almost constant ellipticity of about 0.1 throughout the disk. The radial surface-brightness profile is determined by measuring the flux per arcsec2 along circles around the centre of I Zw 1 using the IRAF task PRADPROF. Error bars are computed as the standard deviation of numerous values along neighbouring circles in radially logarithmic bins. Neglecting the slight ellipticity of the isophotes adds radial smearing to the measured profile. To estimate the amount of smearing, the radially averaged profile is cross-checked with a direct cut along the kinematic major axis. Both curves agree well within the error bars.

Since the minimum integration time of the ISAAC detector was increased by a factor of 2 on July 24th, 2001, the nuclear J-band flux in a few central pixels exceeds the analog-to-digital-units (ADU) level above which non-linearity of the array occurs. To make sure that no nuclear flux is lost in the J-band images, the formula

$$f_{\mathrm{true}}=f_{\mathrm{measured}}+4.75\times 10^{11}f_{\mathrm{measured}}^3,$$
(1)
provided in the ISAAC reduction guide, is used to correct the flux in the brightest pixels. The difference between the corrected and the uncorrected values is expressed as errors of the data points.

According to the relative photometric calibration based on the LCO/Palomar NICMOS system (Persson et al. 1998), the surface brightness is given in units of mag arcsec-2. In order to obtain an absolute calibration in units of Watt m-2 Hz-1, the UKIRT absolute flux calibration (Beckwith et al. 1976) is used, taking into account the slight zero-point offset of $`J_{\mathrm{NICMOS}}J_{\mathrm{UKIRT}}=0.034\pm 0.004`$ (Hawarden et al. 2001). The resulting conversion formula is given by

$$S=10^{26}\times 10^{ϵ_\mathrm{J}0.4m},$$
(2)
where $`S`$ is the flux, $`m`$ the magnitude, and $`ϵ_\mathrm{J}=3.217`$ the absolute calibration factor already including the zero-point offset. The luminosity $`L`$ follows from $`L=4\pi D^2\times S`$, where $`D`$ is the distance of I Zw 1. For the final calibration in solar luminosities, the J-band luminosity of the sun is taken from Table 2.1 in Binney & Merrifield (1998) and is divided by the band width of the filter. In total, the applied transformation formula is

$$L=2.0066\times 10^{16}\times 10^{0.4m}\times L_{\mathrm{}}.$$
(3)
## 3 Results

### 3.1 The J-Band Image

The typical characteristics of the I Zw 1 environment – like the two-armed spiral structure, the northern foreground star, and the nearby western galaxy – can be seen in the reduced and calibrated J-band image (Fig. 1).

The image gives strong evidence for an interaction between I Zw 1 and the companion, since it allows an unprecedented view on the possible interaction zone between the western spiral arm and the companion, showing an elongation of the companion as well as two features which suggest a tidal bridge and a tidal tail. The detailed insights are provided by the high angular resolution – with a Gaussian full width at half maximum (FWHM) of $`0\stackrel{}{.}6`$ of the stellar PSF – and the high sensitivity – with a background noise of 0.24 ADU s-1 pixel-1, corresponding to a limiting surface brightness of 22.5 mag arcsec-2 at a 1$`\sigma `$ level, or a limiting surface brightness of 21.3 mag arcsec-2 at a 3$`\sigma `$ level – of the ISAAC observations.

### 3.2 The Surface-Brightness Profile

The derived J-band surface brightness profile is presented in Fig. 2 together with the PSF, as measured for a nearby star, and the $`3\sigma `$ limiting surface brightness. The profile is compared to the J-band data previously measured by Peletier et al. (1999). Both curves agree well, even within the FWHM of the PSF of the ISAAC observations.

The original profile and the QSO-subtracted profile of the I Zw 1 host are compared in Fig. 3. Although the subtraction method does not rely on a certain shape of the host bulge, the residual stellar component shows a flat light distribution within the error bars. An exponential disk is fitted to the calibrated and QSO-subtracted surface-brightness profile in Fig. 4 in order to model the clearly evident extended rotating disk of I Zw 1.

This fit shows that an additional bulge component is needed to describe the whole profile consistently. Bulge and disk components can be clearly distinguished, as it is typical of Freeman type I galaxies (Freeman 1970). The host belongs to the high-surface-brightness galaxies which, per definition, have a central blue disk surface brightness of $`\mu _0(\mathrm{B})<21.65`$ mag arcsec-2 (Freeman 1970). The exponential disk of I Zw 1 has a central surface brightness of about $`\mu _0(\mathrm{J})=1.4\times 10^9L_{\mathrm{}}`$ arcsec-2 or $`\mu _0(\mathrm{J})=17.9`$ mag arcsec-2. Assuming that the central part of the galaxy shows almost the same colours as the outer parts of the disk, this corresponds to $`\mu _0(\mathrm{B})(19.5\pm 0.5)`$ mag arcsec-2, which is brighter than the canonical Freeman value. Here, a $`\mathrm{B}\mathrm{J}`$ of $`1.6\pm 0.5`$ for the I Zw 1 host is used as derived from the broad band spectrum in Fig. 9 of Schinnerer et al. (1998) and the $`\mathrm{B}\mathrm{V}`$ colour of 0.6 to 0.7 (Hutchings & Crampton 1990). The high central disk surface brightness of the I Zw 1 host reflects the finding by Hunt et al. (1999) that exponential disks of Seyfert galaxies tend to be brighter than normal spirals. With $`\mu _0(\mathrm{B})(19.5\pm 0.5)`$ mag arcsec-2 the I Zw 1 disk is significantly brighter than the mean B-band surface brightness of 21.44 mag arcsec-2 of normal spirals shown in Fig. 6 of Hunt et al. (1999).

### 3.3 The Gas Rotation Curve

The composite rotation curve, plotted in Fig. 5 together with 5$`\sigma `$ error bars, is corrected for the I Zw 1 disk inclination of $`(38\pm 5)\mathrm{°}`$ under the assumption of purely circular gas motions. Gas velocities at outer radii are taken from a VLA H i map (Lim & Ho 1999). These observations have an angular resolution of about $`18\stackrel{}{.}6`$. For the inner rotation curve, gas velocities are derived from $`{}_{}{}^{12}\mathrm{CO}_{}^{}`$(1$``$0) maps (Schinnerer et al. 1998, Fig. 5), measured with the Plateau de Bure interferometer at angular resolutions of $`1\stackrel{}{.}9`$ and $`5\mathrm{}`$. The inner slope is verified by a comparison with $`{}_{}{}^{12}\mathrm{CO}_{}^{}`$(1$``$0) BIMA observations taken at a higher resolution of about $`0\stackrel{}{.}7`$ (Staguhn et al. 2001). The good agreement of the different observations indicates that the inner rise of the rotation curve is not yet affected by the mass concentration of the active nucleus at these resolutions. The single deviating data point corresponds to an isolated peak in the $`{}_{}{}^{12}\mathrm{CO}_{}^{}`$(1$``$0) position-velocity diagrams (Schinnerer et al. 1998) and is interpreted as a giant molecular cloud complex by the same authors. The deviation from the general circular velocity at this radius corresponds to a cloud orbit which is inclined by $`20\mathrm{°}`$ with respect to the I Zw 1 disk.

Like the surface-brightness profile, the gas rotation curve supports the classification of the I Zw 1 host as a high-surface-brightness galaxy. It shows the characteristic steep increase at the inside and slight decrease at the outside found for the universal rotation curve of high surface-brightness galaxies by Persic et al. (1996). The overall shape of the rotation curve of the I Zw 1 host is also similar to the rotation curve of the Milky Way (Sofue et al. 1999, Fig. 1) and agrees with the mean rotation curve, presented for galaxies with disk rotation velocities between 200 km s-1 and 250 km s-1 in the same article (Fig. 5). According to the authors, the central peak, the broad disk component, and the high velocities at large radii characterize the I Zw 1 host as a massive Sb or Sc galaxy. A similar classification of the I Zw 1 host as a Sc galaxy is given by Jansen et al. (2000).

### 3.4 Decomposition

In order to derive structural information about the underlying galaxy of the I Zw 1 QSO, the host is decomposed into contributions from bulge, disk, and dark halo components. Taking one potential model for each component, the one-dimensional decomposition has six free parameters, i.e. the scale lengths and the M/L ratios of the bulge and disk potentials as well as, where required, the scale length and mass contribution of a dark halo. The bulge and disk scale lengths which are used to model the rotation curve are derived from the distribution of luminous matter as traced by the surface brightness profile. This approach results in mean M/Ls for the bulge and disk components and is straightforward for the purpose of discussing general trends in M/L. However, the reader should be aware that M/Ls – even in the NIR – are local observables which vary due to effects of dust and stellar populations. Decompositions of the rotation curve are usually not unique (e.g. van Albada & Sancisi 1986; Bottema & Verheijen 2002) so that four different solutions will be presented and discussed. All fits are performed with an implementation of the non-linear least-squares method.

#### 3.4.1 Potential Models

The rotation curve and the surface-brightness profile are decomposed with a Plummer model for the bulge component and a thin-disk Kuzmin model for the disk component. These models are chosen due to mathematical convenience, since both are consistently described by the Miyamoto-Nagai gravitational potential (Miyamoto & Nagai 1975)

$$\mathrm{\Phi }_i(R,z)=\frac{GM_i}{\sqrt{R^2+\left(a_i+\sqrt{z^2+b_i^2}\right)^2}},$$
(4)
where $`M_i`$ is the mass of component $`i`$, $`a_i`$ and $`b_i`$ are two scale lengths, and G is the gravitational constant. The case $`a_i=0`$ applies to the Plummer model, the case $`b_i=0`$ to the Kuzmin disk. The total potential of both components is the superposition

$$\mathrm{\Phi }(R,z)=\frac{GM_\mathrm{P}}{\sqrt{R^2+z^2+b_\mathrm{P}^2}}+\frac{GM_\mathrm{K}}{\sqrt{R^2+\left(z+a_\mathrm{K}\right)^2}},$$
(5)
where P denotes the Plummer parameters and K the Kuzmin parameters. For the rotation curve fits, another Plummer potential is added to account for a dark halo component. The circular velocities $`v_c(R)`$ follow from

$$v_c^2(R)=\underset{i}{}\left(R\frac{\mathrm{\Phi }_i}{R}\right)_{z=0}.$$
(6)
For Plummer and Kuzmin potentials this means explicitly

$$v_c^2(R)=\frac{R^2GM_\mathrm{P}}{\left(R^2+b_\mathrm{P}^2\right)^{\frac{3}{2}}}+\frac{R^2GM_\mathrm{K}}{\left(R^2+a_\mathrm{K}^2\right)^{\frac{3}{2}}}.$$
(7)
The corresponding total surface density $`\mathrm{\Sigma }(R)`$ is given by

$$\mathrm{\Sigma }(R)=\frac{b_\mathrm{P}^2M_\mathrm{P}}{\pi \left(R^2+b_\mathrm{P}^2\right)^2}+\frac{a_\mathrm{K}M_\mathrm{K}}{2\pi \left(R^2+a_\mathrm{K}^2\right)^{\frac{3}{2}}}.$$
(8)
Assuming a constant mass-to-light ratio for each component, the same formula applies to the surface brightness, if masses are substituted by luminosities.

#### 3.4.2 Decomposition of the Surface-Brightness Profile

As the I Zw 1 host is a Freeman Type I galaxy (Sect. 3.2), its profile can best be described by a combination of bulge and disk component.

A decomposition of the J-band surface-brightness profile, consisting of the two-component model with Plummer bulge and Kuzmin disk, is shown in Fig. 6. In this decomposition, the Kuzmin model is fitted to that part of the profile where possible residua of an unclean QSO subtraction do certainly not bias the profile shape. The remaining surface brightness is ascribed to the Plummer bulge. The decomposition defines the scale lengths of bulge and disk as $`0\stackrel{}{.}90`$ and $`3\stackrel{}{.}08`$, respectively, which corresponds to a bulge-to-disk scale length ratio of about 0.29. The luminosity of the bulge results in $`7.05\times 10^{10}L_{\mathrm{}}`$ and is roughly half as large as the luminosity of the disk of $`14.21\times 10^{10}L_{\mathrm{}}`$.

#### 3.4.3 Decomposition of the Gas Rotation Curve and Dynamical Mass-to-Light Ratios

Fig. 7 shows four decomposition models for the gas rotation curve of I Zw 1. Each fit is obtained under different contraints for the model components. The final parameters are listed in Table 3. The resulting $`\chi ^2`$ is added for these cases in which the fitting procedure allows a specification.

As a cross-validation of the two-component decomposition of the surface-brightness profile, Fig. 7 a) shows a fit in which only a disk and a dark halo model are used while the bulge component is left out (*disk only*). The high $`\chi ^2`$ indicates that the peak of the rotation curve at small radii cannot sufficiently be described by such a model. In order to obtain a good fit of the rotation curve with only a disk and dark-matter model, the disk scale length would have to be chosen very small ($`1\stackrel{}{.}37`$). Such a Kuzmin disk, however, does not yield a good fit of the surface-brightness profile at large radii.

Fig. 7 b) presents a maximum-disk fit (*max disk*) with bulge, disk, and dark halo component. The four parameters (Table 3) are determined by the following procedure: First, only the disk M/L is adjusted to the rotation curve in order to obtain a maximum contribution of the disk component. Bulge and dark halo are added in a second and third step to finetune the total velocity profile. Since the fitting is done in individual steps, it is not possible to give a general $`\chi ^2`$ for this procedure.

The lower panels of Fig. 7 show two least-squares minima for a non-maximum-disk fit in which all four parameters (Table 3) are fitted simultaneously. In Fig. 7 c), more weight is put on the steep increase of the rotation curve at small radii by giving a lower limit of $`0\stackrel{}{.}4`$ for the fitting region (*free a*) whereas the fit in Fig. 7 d) is confined to a region starting at $`0\stackrel{}{.}6`$ (*free b*). The first procedure results in a disk component whose circular velocities amount to 76% of the corresponding circular velocities of the maximum disk. The second procedure yields a more massive bulge component and a dominant dark matter contribution within the disk region of the I Zw 1 host. Here, only 52% of the maximum disk circular velocities are attributed to the disk component.

## 4 Discussion

### 4.1 Distribution of Luminous Matter in the I Zw 1 Host

By comparing the decompositions of the J-band surface-brightness profile and the gas rotation curve it becomes obvious that at least two components of luminous matter – a bulge and a disk – are necessary to model the I Zw 1 host. The surface-brightness fit results in a bulge and a disk with almost equal luminosities and a bulge-to-disk scale length ratio of 0.29. This is in good agreement with the relations presented by Márquez et al. (2000) for nearby AGN spiral hosts, who found a bulge-to-disk scale length ratio of about 0.2.

### 4.2 Mass Distribution and M/Ls

The maximum-disk assumption (van Albada & Sancisi 1986) is often applied to have a criterion for unique rotation curve fits. Maximum-disk fits seem to provide satisfying models for Freeman type I as well as Freeman type II galaxies (Palunas & Williams 2000), although this may only be true for high-surface-brightness galaxies (de Blok & McGaugh 1997). As a high-surface-brightness galaxy of Freeman type I, the maximum-disk fit should, therefore, provide a good estimation of the M/Ls of the I Zw 1 host components. However, Bottema (1993) argues that, for realistic disk scale heights, stellar velocity dispersion only allows disk components with circular velocities of about 63% of the observed maximum velocities. Such a Bottema disk is close to the two results presented in Figs. 7 c) and 7 d) with disk components of 76% and 52% of the maximum disk. I Zw 1 is an interacting galaxy so that the observed two-armed spiral structure could be driven by the companion. However, assuming swing amplification (see Toomre 1981; Athanassoula 1984; Fuchs 2001) as the underlying mechanism for the amplification of the I Zw 1 spiral, the disk surface density $`\mathrm{\Sigma }`$ at radius $`R`$ can be obtained from the relation

$$\mathrm{\Sigma }=\frac{R\kappa ^2}{2\pi GXm},$$
(9)
where $`\kappa `$ is the epicyclic frequency, $`G`$ the gravitational constant, $`m`$ the number of spiral arms, and $`X`$ a parameter measuring the local ratio of disk mass to total mass. For the flat or slightly falling rotation curve of the I Zw 1 host, amplification is most effective at an X parameter of about 2 (Toomre 1981). For the given disk scale length of the I Zw 1 host of $`a_\mathrm{K}=3\stackrel{}{.}08`$, the circular velocity of the Kuzmin disk peaks at $`\sqrt{2}a_\mathrm{K}4\stackrel{}{.}36`$ where $`\kappa 73.9`$ km s-1 arcsec-1 can be taken from the rotation curve. Using equation (9), the deviation of the X parameters from the X parameter of $`2`$ at which amplification is most efficient is plotted for various disk solutions in Fig. 8. As above, the disks are defined by their respective maximum circular velocities expressed as a percentage of the maximum disk velocity.

Fig. 8 shows that in the case of I Zw 1 amplification is most effecient for a $`65\%`$ disk. For the disks in fits *max disk* (100%) and *free b* (52%) amplification is already rather inefficient (Table 3) with X parameters of 0.9 and 3.2, respectively. Thus, the fits *max disk* and *free b* are limiting cases so that the dynamical J-band M/Ls and their errors are estimated as the mean and the deviations of both solutions, resulting in $`(0.4\pm 0.2)M_{\mathrm{}}/L_{\mathrm{}}`$ for the bulge and $`(0.7\pm 0.4)M_{\mathrm{}}/L_{\mathrm{}}`$ for the disk.

### 4.3 Effects of Gas Masses and Dust Extinction

The discussion so far has only concentrated on dynamical M/Ls of the I Zw 1 host components, ignoring any effects of gas contributions and dust extinction. The real stellar M/Ls, however, are certainly lower than the given values, since the mass contributed by gas has to be subtracted from the measured dynamical mass and the light absorbed by dust has to be added to the measured luminosity. With at maximum 7% of total cold gas mass (Eckart et al. 1994), the mass correction for the disk component is negligible and within the error bars. As the disk is seen nearly face-on, the extinction correction is also assumed to be low with a maximum mean J-band extinction of 0.5 mag. The effects on the M/L of the bulge are probably much stronger. With a gas fraction of 20% in the bulge (Schinnerer et al. 1998), the stellar bulge M/L amounts to 80% of the dynamical bulge M/L. The visual extinction of the stellar component in the circumnuclear region is reported to be about 10 mag (Eckart et al. 1994; Schinnerer et al. 1998, and Sect. 1), which corresponds to a J-band extinction of about 3 mag, according to the standard interstellar extinction law (Rieke & Lebofsky 1985). This is certainly an upper limit, since the high visual extinction of 10 mag is most likely confined to the starburst ring, i.e. to radii smaller than 1 kpc, while the fitted bulge model reflects mean properties of a region extending far beyond 1 kpc. Applying these corrections results in estimates about the lower limits for the M/L (Table 4).

### 4.4 Stellar Populations

Measured J-band M/Ls are very rarely found in literature but Palunas & Williams (2000) report bulge and disk M/Ls for a sample of 74 spirals in the I-band. For comparison, the bulge and disk M/Ls of the I Zw 1 host have to be multiplied by a factor of about 2.3, according to the host $`\mathrm{I}\mathrm{J}`$ colour of roughly 0.9 mag (Schinnerer et al. 1998, Fig. 9). The M/Ls for the I Zw 1 host are similar to the majority of M/Ls found by Palunas & Williams (2000), since most of their disk M/Ls are in the range of $`1.0M_{\mathrm{}}/L_{\mathrm{}}`$ to $`3.0M_{\mathrm{}}/L_{\mathrm{}}`$ and most of their bulge M/Ls are significantly lower with values below $`1.0M_{\mathrm{}}/L_{\mathrm{}}`$.

As the M/Ls increase with increasing age of the underlying stellar population, the derived M/Ls for the I Zw 1 host can be used to estimate the mean stellar population in the disk and the bulge component. The derived M/L of the disk of $`(0.7\pm 0.4)M_{\mathrm{}}/L_{\mathrm{}}`$ is slightly sub-solar. It indicates a predominance of normal stars with a tendency towards a slightly increased fraction of younger stars. Such a tendency could be explained by the enhanced star formation activity found for the north-western spiral arm (Schinnerer et al. 1998). The M/L of the bulge of $`(0.4\pm 0.2)M_{\mathrm{}}/L_{\mathrm{}}`$ is much lower and hints at a young stellar population with a significant fraction of hot stars and supergiants. Such an interpretation is supported by the finding of strong starburst activity in the circumnuclear region of I Zw 1 (Schinnerer et al. 1998; Staguhn et al. 2001).

## 5 Summary and Conclusions

As a nearby QSO, yet showing many properties of high-redshift counterparts, and as a likely transition object in the original evolutionary scheme for AGN, I Zw 1 is a very interesting candidate for a detailed case study of a QSO host. This paper presents new results from J-band imaging of the I Zw 1 host with ISAAC at the VLT – the first investigations in a series, turning I Zw 1 into one of the best-studied QSO hosts.

The analysis shown here provides first-time results focussing on the structure of the underlying host galaxy of I Zw 1, since the host is uncovered by a reliable subtraction of the QSO nucleus from the J-band images. By the structural decomposition of the surface brightness profile and the gas rotation curve the host is characterized as a Freeman-type-I high surface brightness galaxy. It is shown that the radial distribution of luminous matter is similar to that found for nearby AGN spiral hosts. Different solutions for the decomposition of the rotation curve are discussed assuming swing amplification as the prevailing mechanism for the amplification the two-armed spiral structure in the I Zw 1 disk. The resulting M/Ls indicate a tendency towards a younger stellar population in the disk and a predominance of young hot stars and supergiants in the bulge. This interpretation aims at the same direction as previous findings about enhanced star formation in the north-western spiral arm and strong starburst activity in the circumnuclear molecular ring of I Zw 1. New evidence for a tidal interaction between I Zw 1 and the nearby western companion galaxy is found in the sensitive high-resolution ISAAC J-band image, which shows an elongation of the companion as well as a tidal bridge and tail. Without a large-scale bar in the I Zw 1 host, this interaction seems to be the major mechanism for triggering the inflow of gas which is needed to fuel the circumnuclear starburst as well as the QSO. The anticipated merger process would be a further argument for I Zw 1 to be a transitional object in the original evolutionary scheme.

###### Acknowledgements.

We would like to thank the observer who carried out the VLT observations in service mode. We also thank Prof. Dr B. Fuchs for helpful comments and suggestions. J. Scharwächter is supported by a scholarship for doctoral students of the “Studienstiftung des deutschen Volkes”.


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# Beyond Quantum Field Theory: Chaotic Lattices?

## 1 Chaotic quantization

By promoting the idea of chaotic quantization we intend to call the attention to a possibility which could resolve at least part of the frustration stemming from the fact that gravity is resisting theoretical intentions to be quantized. String theory, while it approaches the problem on the basis of quantum field theory not only requires 10 space-time dimensions to be consistent, but also calls upon the additional concept of compactification in order to arrive at standard model particle physics.

Chaotic quantization has been suggested by us as an opposite strategy, starting with classical gauge field theory which due to its own Hamiltonian dynamics is inherently chaotic . It evolves ergodically - enough time given - in field-configuration phase space and this process leads in the infrared limit to a stationary distribution of lower dimensional sub-configurations. These, as result of the higher dimensional classical dynamics, are distributed as quantum field theory requires in the imaginary time formalism. The chaotic quantization is a particular form of the stochastic quantization , it works self-contained, not requiring any assumption of an external heat bath or noise.

One should in principle combine this mechanism with the interesting results of C. Beck , who noted that chaotic maps closest to the most general white noise assumption of the stochastic quantization, namely Tchebisheff polynoms, offer a classification of possible chaotic quantization outcomes. In his scheme he was able to derive ratios of the most important Standard Model parameters, like leptoquark masses and relative coupling strengths, as stable zeros of the effective potential for a higher dimensional lattice system developing under a chaotic dynamics. He actually predicted neutrino masses before any measurement pointing towards a mass square difference between neutrino generations (which implies that all neutrinos cannot be massless) .

Set into the above perspective the chaotic quantization mechanism is worth to study. As a working example we take a 5-dimensional lattice on which a classical, pure U(1) gauge theory resides. This simple group still shows chaotic dynamics on finite lattices . Although in the continuum limit U(1) is not chaotic, at finite lattice spacing and strong coupling classical chaotic dynamics was already demonstrated in the 3-dimensional case. This behavior is probably correlated with the presence of magnetic monopole anti-monopole pairs .

Our main conjecture between the 5-dimensional classical theory with chaotic dynamics and the 4-dimensional quantum field theory can be comprised into the following formula between the ’normal’ (4-dimensional) Planck constant and two physical characteristics of the higher dimensional theory, its temperature and lattice spacing:

$$\mathrm{}=aT$$
(1)
Usually such a formula is read in an opposite direction, automatically relating a Planck mass ($`M_P=T`$) with a Planck length ($`\mathrm{}_P=a`$). Our philosophy here, however, views $`\mathrm{}`$ as a constant of nature factorized to two other, underlying properties of the (in the present theory 5-dimensional) world. An analogy of this situation is the classical electrodynamics formula factorizing another constant of nature, the speed of light:

$$1/c^2=ϵ_0\mu _0.$$
(2)
Taking $`c=const.`$ as a postulate we arrive at the theory of special relativity, one derives the laws of Lorentz transformation in the framework of mechanics without making any reference to electric or magnetic fields (as it has been shown by Albert Einstein). Maxwell theory on the other hand, as a classical field theory regards $`ϵ_0`$ and $`\mu _0`$ as independent properties of the physical vacuum, as dielectric constant and magnetic permeability. Light waves are solutions of Maxwell theory and the speed of light is calculable. The relation between nowadays Quantum Field Theory and an underlying classical field theory is analogous to this. Furthermore, as ether does not need to exist for Maxwell theory to work, the five dimensional lattice also may prove to be just a theoretical construct without measurability even at the Planck scale.

## 2 Chaos in gauge theory

First non-abelian then also abelian gauge theories has been studied with respect to chaotic behavior. In the eighties model systems, with a few, selected degrees of freedom with long wavelength has been studied. The most characteristic results stem from SU(2) Yang-Mills theory, considering two $`k=0`$ modes of different polarization and color. Due to the simple Hamiltonian,

$$H=\frac{1}{2}\left(\dot{x}^2+\dot{y}^2\right)+\frac{1}{2}g^2x^2y^2,$$
(3)
this $`xymodel`$  was studied very often. It is a classically chaotic system with a null-measure of regular periodic orbits; the turning points of the classical motion lie on hyperboles defocusing so any nearby, parallel trajectories (cf. Fig.1).

Numerical studies on lattices followed in the 1990-s. Mainly the gauge groups U(1), SU(2) and SU(3) has been studied, all showed chaotic behavior . The scaling of the leading Lyapunov exponent with the scaled total energy of the classical lattice, $`a\lambda _{\mathrm{max}}ag^2H`$ for non-abelian gauge groups, as well as the extensivity of the Lyapunov spectrum and the Kolmogorov-Sinai ($`KS`$) entropy – related to the ergodization speed – were studied . Interpreting the KS-entropy as the physical entropy of the lattice gauge system even an attempt can be done to extract a classical equation of state .

A basic interest lies in the investigation whether classically chaotic systems and configurations are also special for the quantum pendant. Correlation between chaos and confinement has been observed in SU(2) and U(1) lattices comparing quantum Monte Carlo results and classical Hamiltonian dynamics in 3+1 dimensions . For the U(1) group in the strong coupling phase a strong tendency could have been observed between the presence of magnetic monopole anti-monopole pairs and the chaotic behavior .

## 3 Higher dimensional plasma physics

The main point of the stochastic quantization , namely generating field configurations distributed according to Boltzmann weights,

$$𝒫=\mathrm{exp}\left(\beta S_E[A^{}]\right)$$
(4)
for pure gauge theories, where the original vector potential variable, $`A`$ is rescaled to $`A^{}=gA`$ and as a consequence $`\beta =1/g^2\mathrm{}`$ due to the scaling of the action $`S[A]=S[gA]/g^2`$. These Boltzmann weights occur in Feynman path integrals when calculating expectation values in quantum field theory. At the same time they can be regarded as a stationary distribution of a corresponding Fokker-Planck equation,

$$\sigma _5\frac{}{t_5}𝒫=d^4x\frac{\delta }{\delta A}\left(\frac{1}{\beta }\frac{\delta }{\delta A}𝒫+\frac{\delta S}{\delta A}𝒫\right).$$
(5)
Formally $`1/\beta `$ can be interpreted as a temperature of the five dimensional system, $`T_5`$. The Fokker-Planck equation is equivalent with solutions of corresponding Langevin equation,

$$\ddot{A}+\frac{\delta S}{\delta A}=J$$
(6)
where the source current density is split to a dissipative term (like ohmic resistance) and to a fluctuative (noise) term:

$$J=\sigma \dot{A}+\zeta .$$
(7)
This noise is usually treated simplified, as a Gaussian white noise with zero mean and a correlation sharply localized in space and time:

$$\zeta (x_1)\zeta (x_2)=2\sigma T\delta ^4(x_1x_2).$$
(8)
In the infrared limit the low frequency components dominate the relevant vector potential configurations, the radiative term $`\ddot{A}`$ can be neglected besides the dissipative term $`\sigma \dot{A}`$. The typical frequency is small, $`\omega \sigma `$, the typical time is large, $`\tau 1/\sigma `$ . The effective model to electrodynamics is a Langevin plasma described by

$$\sigma \dot{A}+\frac{\delta S}{\delta A}=\zeta .$$
(9)
This equation is analogous to the well-known Brown motion, the mean features of its solution, too: the action $`S`$ after long enough time is distributed around its ergodic limit of $`T/2`$ and initial correlations decay exponentially with the characteristic time of the corresponding damping constant, $`t_{\mathrm{char}}=1/\gamma =\sigma /|k|^2.`$ The long time average of such correlations with the initial value are interpreted in the lower dimensional field theory as propagators.

This analogy with plasma physics in the continuum limit led us to detailed investigations of dynamical time scales: the thermal ($`\mathrm{}/T`$), electric ($`\sqrt{\mathrm{}}/gT`$) and magnetic screening length ($`1/g^2T`$) in a usual, three dimensional plasma depend on the temperature, on the Planck constant and on the coupling constant of the original gauge theory, $`g`$. In the long time limit the plasma dynamics leads to distributions simulating a dimensionally reduced, three dimensional field theory with the effective coupling $`g_3=g^2T`$. It can happen only for pure gauge theories, with mass scale invariance. The magnetic part of the energy is identical with a lower dimensional Maxwell or Yang-Mills action:

$$\frac{1}{2}B_iB_i=\frac{1}{4}F_{ij}F^{ij}.$$
(10)
The effective approach with white noise and Langevin equation is valid for the long-time behavior, $`t1/g^2T`$. Table 1 summarizes the most important features of traditional plasma physics, in the third column showing the corresponding formulae for classical lattices. Since most of the time constants in plasma physics are coefficients in a linear response approach, they can be calculated on a classical lattice as well as in quantum field theory. Here no Planck constant occurs, but the lattice spacing plays a basic role. These two approaches coincide if the universal relation $`\mathrm{}=aT`$ is assumed.

These calculations can be repeated in arbitrary number of Euclidean dimensions, including the 4+1 - dimensional case of traditional stochastic quantization. Table 2 shows the characteristic results.

## 4 U(1) lattice model

In this section we report about numerical simulations on a U(1) lattice gauge system both in 4 and 5 dimensions. The former was simulated by quantum Monte Carlo techniques in order to reproduce long known standard results , the latter independently by 4+1-dimensional classical Hamiltonian dynamics known to be chaotic from our former studies. In both cases regular (rather small, $`4^4`$) lattices are considered.

In order to appreciate the computational complexity one faces to, we review briefly basic formulae and techniques of lattice gauge theory calculations. In these models of continuum field theory (both in the classical and quantized version) lattice links starting at point $`x`$ and pointing in the $`\mu `$ direction are associated with phases, $`A_\mu (x)`$ of unimodular complex numbers – elements of U(1) – $`U=\mathrm{exp}(igaA_\mu (x))`$, while the lattice action is constructed from phase sums around elementary plaquettes, upon using lattice forward derivatives ($`a_\mu f=f(x+ae_\mu )f(x)`$). The plaquette phase sums satisfy

$$F_{\mu \nu }(x)=_\mu A_\nu (x)_\nu A_\mu (x),$$
(11)
and determine the lattice action

$$S=\frac{1}{g^2}\underset{x}{}\underset{\mu >\nu }{}(1\mathrm{cos}(ga^2F_{\mu \nu })).$$
(12)
Here the summation runs over all lattice plaquettes in planes each characterized by a pair of two (ordered and different) direction indices, $`\mu >\nu `$, and attached with its corner to the site $`x`$. In the continuum limit $`a0`$ the action of the classical electrodynamics is recovered. Quantum Monte Carlo algorithms produce and sample $`U`$ lattice link values (so called configurations) which are weighted by a Boltzmann type factor

$$w=e^{S/\mathrm{}}.$$
(13)
This corresponds to the evaluation of Feynman path integrals in quantum field theory in the imaginary time formalism.

The classical Hamiltonian approach on the other hand uses the Hamiltonian split to electric and magnetic parts,

$$H=\underset{x,\mu }{}\frac{a}{2g^2}|\dot{U}|^2+E^{\mathrm{magn}}[U].$$
(14)
Here the magnetic contribution to the total Hamiltonian,

$$E^{\mathrm{magn}}[U]=\frac{1}{g^2a}\underset{x}{}\underset{i<j}{}\left(1\mathrm{cos}(ga^2F_{ij})\right),$$
(15)
is a sum over plaquettes lying in spatio-spatial (hyper)planes. This sum is formally equivalent to the Euclidean action of the same lattice gauge theory in one dimension lower. This self-similarity of pure gauge actions is an essential ingredient for the particular mechanism of chaotic quantization we are pursuing now.

We present results of numerical simulations of a five dimensional classical Hamiltonian U(1) lattice system and compare its evolution in the 5-th coordinate with traditional quantum Monte Carlo generated configurations on a four dimensional lattice, using the four dimensional U(1) lattice action. In the classical Hamiltonian approach the evolution of the $`U`$ configurations proceeds in a 5-th dimension, often called ’fictitious’ time when it has been used as a method for stochastic quantization. The important difference is, that sofar always an external heat bath or a white noise for solving Langevin type equations has been added to the evolution; we consider here pure classical Hamiltonian dynamics with no other source of noise or fluctuations.

As by construction $`aE_5^{\mathrm{magn}}=S_4`$ (since the dimensionless plaquette sum or average over the 4-dimensional (sub)lattice is either $`ag^2E_5^{\mathrm{magn}}`$ when used in the Hamiltonian simulation or $`g^2\mathrm{}(S_4/\mathrm{})`$ when used in quantum Monte Carlo algorithms), the conjecture

$$E_5^{\mathrm{magn}}/T=S_4/\mathrm{}$$
(16)
is literally equivalent to $`\mathrm{}=aT`$ (eq.(1)), as we have argued earlier on the basis of plasma physics considerations.

Now we demonstrate the validity of the relation (16) by numerical computation. Figure (2) shows the absolute value square of the lattice-averaged Polyakov line (the standard order parameter of lattice gauge theory) values – averaged over many quantum Monte Carlo configurations (full squares) as a function of the 4-dimensional lattice plaquette sum per plaquette $`g^2S_4`$. On the same plot the same order parameter is shown as a function of the partial plaquette sum corresponding to the magnetic energy $`ag^2E_5^{\mathrm{magn}}`$ after Hamiltonian equilibration on the classical 4-dimensional lattice, averaged over many points alongside a single evolution trajectory at consecutive 5-th coordinate times (open diamonds). That these two sets of points belong to the same (in the Coulomb plasma phase linear) scaling law, proves our main conjecture.

The reason that we do not plot the Polyakov line as usual, as a function of inverse coupling, is that different couplings belong to the 4 and to the 5-dimensional simulation once $`\mathrm{}=aT`$ is valid. In fact the lines fitted to our simulation points do not coincide unless we assume (16).

In order to offer a possibly more direct insight into the relation of 4 dimensional quantum and 5 dimensional classical lattice U(1) theories we plot several points on the complex Polyakov-line plane, both from 4 dimensional quantum Monte Carlo (right column) and from 5 dimensional classical Hamiltonian evolution (left column, actually one single trajectory is plotted). The left and right parts of Fig.(3) belong to different inverse couplings for the 4 and 5-dimensional cases, the correspondence is made by selecting out pairs of simulations satisfying (16). The 5-dimensional coupling actually does not play any important role; only the energy content of the configuration is related to it. Once it is given the equipartition happens due to the very same Hamiltonian evolution initially (not shown in the Figure), which governs the chaotic trajectory covering the same region of configurations which is generated by quantum Monte Carlo codes.

Now the correspondence between classical and quantum configurations is excellent, both for the magnitude and for the phase of Polyakov lines. Some initial points in the middle of the rings for overcritical couplings $`\beta _4=1/g_4^21`$ are irrelevant; they stem from an initial MC heating phase. The classical Hamiltonian evolution also had an initial phase equilibrating electric and magnetic field energy (in 5 dimensions their ratio is however not 1:1 but 2:3).

## 5 Conclusion

Summarizing we have demonstrated that the mechanism of chaotic quantization - conjectured earlier on the basis of non-abelian plasma physics - works in the practice for lattice gauge theory in 5-dimensional classical form. The correspondence to the traditional 4-dimensional quantum Monte Carlo simulations is given by the general formula $`\mathrm{}=aT`$, a formula encoding physical properties of the higher dimensional lattice and field configurations into the Planck constant. This fact underlines our hope for a unified classical field theory of gravity and standard particle physics, in particular for an explanation of standard model parameters via the mechanism of chaotic quantization, as well as for getting closer to an insight on the origin of Planck’s constant.

Finally we would like to address the question whether factorizing the Planck constant would not mean to construct a hidden parameter theory. It is not necessarily the case, since none of the laws of experimental quantum physics seem to be violated by our results: the higher dimensional classical dynamics acts as Euclidean quantum field theory in 4 dimensions in all respects. On the other hand the impossibility of a hidden parameter is proven for local actions in a strict manner, while the existence of a higher dimension allows for subtle non-local effects in the 4 dimensions of the physical experience.

Of course, as anything referring to the Planck scale, the theory of chaotic quantization seems to be speculative at the first glance. What is – at least in principle – better than in the case of fundamental string theory, that the autocorrelation time-scale, $`\tau \sigma /k^2`$ may be effective at scales other, than the Planck length. From the known experimental fact of the relative weakness of gravity coupling compared to standard quantum field theories (QFT) $`g_{\mathrm{grav}}^2g_{\mathrm{QFT}}^2`$, we conclude that the time scales beyond which a phenomenon occurs to be quantum, and for shorter time observations not, separates gravity from the rest of standard model:

$$\tau _{\mathrm{grav}}\tau _{\mathrm{observ}}\tau _{\mathrm{QFT}}.$$

As a consequence gravity behaves classically while the other three known interactions according to quantum field theory.

## Acknowledgment

This work has been supported by the Hungarian National Research Fund under the contract T-034269.


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# X-Ray Magnetic Circular Dichroism at the 𝐾 edge of Mn3GaC

## I Introduction

X-ray magnetic circular dichroism (XMCD) has attracted much interest as a useful tool to investigate magnetic statesSchütz and Wienke (1989). The spectra directly reflect the magnetic order at the $`L_{2,3}`$ edges of transition-metal compounds and at the $`M_{4,5}`$ edges of rare-earth compounds, because by photoabsorption the core electron enters the $`3d`$ or $`4f`$ states which constitute the magnetic order. Sum rules have been found useful to evaluate the orbital magnetizationChen et al. (1990); Thole et al. (1992); Carra et al. (1993). On the other hand, at earlier time, it was not clear where the XMCD spectra at the $`K`$ edge of transition-metal compounds come from, because the $`4p`$ states the core electron enters by photoabsorption are not the states constituting the magnetic orderSchütz et al. (1987); Ebert et al. (1988); Stähler et al. (1993). One of the present authors and Hirai have analyzed the XMCD at the $`K`$ edge of ferromagnetic metals, Fe, Co, and Ni, and have found that the spectra come from the $`4p`$ orbital polarization induced by the mixing to the $`3d`$ states at neighboring sitesIgarashi and Hirai (1994, 1996). Subsequent experiments and calculations reached the similar conclusion for several transition-metal compounds. Guo (1998); Ankudinov and Rehr (1997); Rueff et al. (1998); Brouder et al. (1996); Chaboy et al. (1996, 1998a, 1998b); Yamamoto et al. (2002)

The above mechanism is a consequence of an extended character of $`4p`$ states, and is closely related to the mechanism of the resonant x-ray scattering (RXS) at the $`K`$ edges of transition metals in several compoundsMurakami et al. (1998); Noguchi et al. (2000). The RXS intensity on superlattice spots was considered to be a direct reflection of the orbital order in LaMnO3Ishihara and Maekawa (1998), but subsequent studies based on band structure calculations have revealed that the RXS intensity arises mainly from the lattice distortion which modulates the $`4p`$ states in the intermediate state of the second order process of the RXSElfimov et al. (1999); Benfatto et al. (1999); Takahashi et al. (1999). Recently, ab initio calculations of the RXS spectra have been carried out for YTiO3 and YVO3, having clarified the important role of lattice distortionTakahashi and Igarashi (2001, 2002).

Despite such progress, the underlying mechanism of inducing $`4p`$ orbital polarizations is not fully understood. The XMCD experimental data recently obtained in the ferromagnetic phase of Mn3GaCUemoto et al. (2001); Kawamura et al.  seems suitable to make clear the mechanism, because considerable signals have been found not only at the $`K`$ edge of Mn but also at the $`K`$ edge of Ga. In this paper, we analyze the XMCD spectra at the $`K`$ edges in Mn3GaC through an ab initio calculation. We use the Korringa-Kohn-Rostoker (KKR) method within the muffin-tin (MT) approximation 111 We add an empty sphere between neighboring Ga sites in order to reduce the interstitial volume. The MT radii used in the calculation are 0.25 in units of lattice constant so that the MT spheres are touching with one another. in the local density approximation (LDA) scheme, and take account of the spin-orbit interaction (SOI). We neglect the core-hole potential in the final state. We expect that the final-state interaction is unimportant except for the Fermi-edge singularity, because it is known from the study of the XMCD in Fe, Co, Ni, that the spectra are well reproduced without taking account of the final-state interaction Ebert et al. (1988); Stähler et al. (1993); Igarashi and Hirai (1994, 1996). This may come from the fact that the $`4p`$ states have small amplitude inside the MT sphere and thus are little subject to the core hole potential.

In Sec. II, we calculate the electronic structure in a ferromagnetic phase of Mn3GaC. In Sec. III, we present the formulas for the XMCD spectra and derive a sum rule. We also discuss the calculated spectra in comparison with the experiment. Section IV is devoted to concluding remarks.

## II Electronic structure

This material takes an “inverse” perovskite structureFruchart and Bertaut (1978), as schematically shown in Fig. 1. It has an interesting magnetic property; the antiferromagnetic phase in low temperatures turns into a ferromagnetic phase in high temperatures through a first-order transition at $`168`$ KUemoto et al. (2001). We carry out the band calculation assuming a ferromagnetic phase with the magnetization fixed to the opposite of the $`[111]`$ direction, although an antiferromagnetic phase may be stabler than the ferromagnetic phase. By fixing the magnetization direction, we neglect the small magnetic anisotropy. We define the density of states (DOS) inside the MT sphere at a Mn site and at a Ga site. On Mn sites, the DOS projected onto the $`d`$ symmetric states is dominating near the Fermi level. The $`s`$ and $`p`$ symmetric DOS’s are found extremely small. The spin and orbital angular momenta, denoted as $`S`$ and $`L`$ in units of $`\mathrm{}`$, are defined also inside the MT sphere. We get $`S=0.73`$ and $`L=0.042`$ in the $`d`$ symmetric states, both of which are pointing to the $`[111]`$ direction, while we get $`S=0.0006`$, $`L=0.00006`$ in the $`p`$ symmetric states (the $``$ sign means that the angular momentum is pointing to the opposite of the $`[111]`$ direction). The total magnetic moment becomes $`(2S+L)\mu _B=1.50\mu _B`$ per Mn. This value is consistent with the magnetization measurementFruchart and Bertaut (1978) and the previous band calculations without taking account of the SOIShirai et al. (1993); Ovanovskii et al. (1998). On the other hand, on Ga sites, the $`3d`$ states are located about $`12`$ eV below the Fermi level. The $`s`$ and $`p`$ symmetric DOS’s are found small above the Fermi level. Small angular momenta are induced due to the influence of the magnetic moments at Mn sites. We get $`S=0.011`$, $`L=0.00046`$ in the $`p`$ symmetric states, and much smaller values, $`S=0.0021`$, $`L=0.00041`$, in the $`d`$ symmetric states.

## III XMCD spectra

We calculate the absorption coefficient, neglecting the core hole potential. Assuming that photons are propagating along the $`[111]`$ direction, we have the expressions for the right-handed $`(+)`$ and left-handed $`()`$ circular polarizations,

$`\mu _\pm (\omega )`$ $``$ $`{\displaystyle \underset{n,𝐤}{}}\left|{\displaystyle r^2𝑑rd\mathrm{\Omega }\varphi _{n,𝐤}(𝐫)^{}rY_{1,\pm 1}(\mathrm{\Omega })R_{1s}(r)}\right|^2`$ (1)
$`\times `$ $`\delta (\mathrm{}\omega ϵ_{n,𝐤})\theta (ϵ_{n,𝐤}ϵ_F),`$
where the spherical harmonic function $`Y_{1,\pm 1}(\mathrm{\Omega })`$ is defined with the quantization axis along the $`[111]`$ direction. The step function $`\theta (x)`$ ensures that the sum is taken over states above the Fermi level. The $`R_{1s}`$ represents the $`1s`$ wave function of Mn or Ga, and $`\varphi _{n,𝐤}`$ represents the wave function with the band index $`n`$, wave-vector $`𝐤`$ and energy $`ϵ_{n,𝐤}`$. In the actual calculation, we replace $`\delta (\mathrm{}\omega ϵ_{n,𝐤})`$ by a Lorentzian form $`(\mathrm{\Gamma }/\pi )/((\mathrm{}\omega ϵ_{n,𝐤})^2+\mathrm{\Gamma }^2)`$ with $`\mathrm{\Gamma }=1`$ eV, in order to take account of the $`1s`$ core hole life-time width. The total absorption coefficient and the XMCD spectra are defined by

$`\mu _0(\omega )`$ $`=`$ $`[\mu _+(\omega )+\mu _{}(\omega )]/2,`$ (2)
$`\mu _c(\omega )`$ $`=`$ $`[\mu _+(\omega )\mu _{}(\omega )].`$ (3)
The XMCD intensity arises from the $`p`$ orbital polarization in the unoccupied states, as is obvious from Eq.(3). This quantity can be connected with the orbital moment in the $`p`$ symmetric states as follows. Let the wave function be expanded in the MT sphere as

$$\varphi _{n,𝐤}(𝐫)=\underset{\mathrm{},m,\sigma }{}f_{\mathrm{},m,\sigma }^{n,𝐤}\psi _{\mathrm{},m,\sigma }^{n,𝐤}(𝐫),$$
(4)
where $`\psi _{\mathrm{},m,\sigma }^{n,𝐤}(𝐫)`$ represents the wave function projected onto the state with the angular momentum $`\{\mathrm{},m\}`$, and spin $`\sigma `$, and normalized inside the MT sphere. Then the orbital angular momentum in the $`p`$ symmetric state is expressed as

$$L_\mathrm{p}=\underset{n,𝐤,\sigma }{}(|f_{1,1,\sigma }^{n,𝐤}|^2|f_{1,1,\sigma }^{n,𝐤}|^2)\theta (ϵ_\mathrm{F}ϵ_{n,𝐤}),$$
(5)
where the sum is taken over the occupied states. Note that, if the sum is taken over all the states both occupied and unoccupied, one may get $`_{n,𝐤,\sigma }(|f_{1,1,\sigma }^{n,𝐤}|^2|f_{1,1,\sigma }^{n,𝐤}|^2)=0`$. On the other hand, the absorption coefficient may be rewritten as

$`\mu _\pm (\omega ){\displaystyle \underset{n,𝐤,\sigma }{}}\delta (\mathrm{}\omega ϵ_{n,𝐤})\theta (ϵ_{n,𝐤}ϵ_\mathrm{F})|f_{1,\pm 1,\sigma }^{n,𝐤}|^2`$
$`\times \left|{\displaystyle r^2𝑑rd\mathrm{\Omega }\psi _{1,\pm 1,\sigma }^{n,𝐤}(𝐫)^{}rY_{1,\pm 1}(\mathrm{\Omega })R_{1s}(r)}\right|^2.`$ (6)
The last factor represents the transition probability from the $`1s`$ state to the $`p`$ symmetric states, which varies little with respect to the energy of the $`p`$ symmetric states above the Fermi level up to $`20`$ eV (within $`10\%`$ variation). This is because the $`p`$ symmetric states are well approximated by the atomic $`4p`$ wave function on the region close to the center of atoms. Replacing the last factor by the value at the Fermi energy (denoted as $`|S_\mathrm{F}|^2`$) in Eq.(6), we obtain approximately the relation,

$$^{\omega _2}\mu _c(\omega )d\omega |S_\mathrm{F}|^2L_\mathrm{p}.$$
(7)
We need to introduce some upper cutoff $`\omega _2`$, because the transition probability is replaced by a constant $`|S_\mathrm{F}|^2`$. It may be set by $`\mathrm{}\omega _2=ϵ_\mathrm{F}+20`$ eV. This sum rule is an extension of the relation previously derived on the basis of the tight-binding model for Fe, Co, Ni metalsIgarashi and Hirai (1994, 1996).

Now we discuss the calculated spectra at the Mn $`K`$ edge. Figure 2(a) and (b) show the total absorption coefficient $`\mu _0(\omega )`$ and the XMCD spectra $`\mu _c(\omega )`$ in comparison with the experimentUemoto et al. (2001). The experimental data are for a powdered sample under a small magnetic field $`H=0.6`$ T at $`200`$ K. The sample is in the ferromagnetic phase with the magnetization $`0.8\mu \mathrm{B}`$ per Mn, which value is smaller than the calculated one $`1.5\mu \mathrm{B}`$. The difference may be ascribed to a temperature effect, which usually reduces the magnetization. The calculated value of $`\mu _c(\omega )`$ is divided by the value of $`\mu _0(\omega )`$ at $`\mathrm{}\omega =ϵ_\mathrm{F}+20`$ eV, while the experimental XMCD spectra are divided by the value of the total absorption coefficient at the energy about $`40`$ eV higher than the threshold. Both $`\mu _0(\omega )`$ and $`\mu _c(\omega )`$ are in good agreement with the experiment. For the total absorption coefficient, peaks A and B correspond well with shoulders A’ and B’ in the experimental curve. For the XMCD spectra, dips C, D, and peak E correspond well with the experimental ones C’, D’, and E’. Only one deviation from the experiment is that the small peak at the Fermi level is not reproduced. The intensity integrated up to $`\omega _2`$ is found negative. This is consistent with the sum rule, Eq.(7), because the value of $`L_\mathrm{p}`$ is positive at Mn sites.

The XMCD spectra come from the orbital polarization in the $`p`$ symmetric states, which may be induced by (i) the spin polarization in the $`p`$ symmetric states through the SOI, and (ii) the orbital polarization at neighboring sites through hybridization. For making clear the inducing mechanism, we calculate the XMCD spectra at Mn sites with turning off the SOI on several specified states. The top panel among three panels of Fig. 2(c) shows the XMCD spectra with turning off the SOI on all the states at Ga sites. The spectra remain similar except for a slight suppression of peak E, indicating that the orbital polarization at Ga sites have little influence on the XMCD spectra at Mn sites. The middle panel in Fig. 2(c) shows the XMCD spectra with turning off the SOI only on the $`p`$ symmetric states at Mn sites. Dip C keeps the similar shape, while dip D almost vanishes. This indicates that the $`p`$ orbital polarization corresponding to dip D is induced by the spin polarization in the $`p`$ symmetric states through the SOI. The bottom panel shows the XMCD spectra with turning off the SOI only on the $`d`$ symmetric states at Mn sites. The intensity of dip C is drastically reduced, but dip $`D`$ and peak E remains similar, indicating that the $`3d`$ orbital polarization gives rise to dip C. Within the MT approximation, the $`3d`$ orbital polarization cannot polarize the $`p`$ orbital in the same Mn site, because the $`p`$-$`d`$ Coulomb interaction is spherically averaged inside the MT sphere. Thus we conclude that the $`3d`$ orbital polarization at neighboring Mn sites induces the $`p`$ orbital polarization corresponding to dip C through the $`p`$-$`d`$ hybridization.

Next we discuss the XMCD at the Ga $`K`$ edge. Figure 3(a) and (b) shows the calculated $`\mu _0(\omega )`$ and $`\mu _c(\omega )`$ in comparison with the experimentKawamura et al. . Both $`\mu _0(\omega )`$ and $`\mu _c(\omega )`$ are in good agreement with the experiment. For the total absorption coefficient, peaks F and G correspond well with the experimental ones. Also, for the XMCD spectra, dip H, peak I and dip J correspond well with the experimental ones. The intensity integrated up to $`\omega _2`$ is found negative. This is again consistent with the sum rule, because the value of $`L_\mathrm{p}`$ is positive at Ga sites.

For making clear the mechanism, we also calculate the XMCD spectra at Ga sites with turning off the SOI on several specified states. The top panel in Fig. 3(c) shows the XMCD spectra with turning off the SOI on the $`p`$ symmetric states at Ga sites. Peak I and dip J are almost suppressed, indicating that the $`p`$ orbital polarization corresponding to those structures is induced by the spin polarization in the $`p`$ symmetric states through the SOI. On the other hand, dip H is half suppressed, indicating that the above mechanism works in a small part on dip H. The bottom panel shows the XMCD spectra with turning off the SOI on the $`d`$ symmetric states at Mn sites. Dip J remains similar, dip H is half suppressed, and peak I is even enhanced. This indicates that the negative values are added to both dip H and peak I due to the coupling to the $`3d`$ orbital polarization at neighboring Mn sites.

As shown above, the calculation reproduces well the experimental curves. Only the exception is the small positive peak $`W`$ at the Fermi level on Mn sites in the XMCD spectra (see Fig. 2). We might take it a small error, since the peak is small. However, in case of Mn3ZnC, the similar positive peak at the Fermi level becomes large on Mn sites. To gain confidence in our calculation, we carry out a similar calculation for Mn3ZnC, assuming a ferromagnetic phase. We get $`S=1.088`$, $`L=0.019`$ in the $`d`$ symmetric states, and $`S=0.0003`$, $`L=0.00005`$ in the $`p`$ symmetric states on Mn site. Figure 4 shows the calculated absorption and XMCD spectra at Mn $`K`$ edge, in comparison with the experiment at $`T=300`$ K (ferromagnetic phase). The positive peak at the Fermi level is clearly reproduced.

## IV Concluding remarks

We have reported an ab initio calculation of the XMCD spectra at the $`K`$ edges of Mn and Ga in the ferromagnetic phase of Mn3GaC, by taking account of the SOI in the LDA scheme. The calculated spectra show excellent agreement with the recent experiment. The spectra have explicitly been shown to arise from the $`p`$ orbital polarization, and the mechanism of its induction has been fully analyzed; the associated process is identified for each structure. The present result may serve a guide to analyze the $`K`$ edge XMCD spectra in other materials. Such usefulness has been demonstrated for the ferromagnetic Ni metal. We have also derived a simple sum rule, which connects the XMCD spectra with the orbital moment, and have confirmed it works. Judging from the agreement of the calculated spectra with the experiment, we think that the effect of the 1s-core-hole potential in the final state is negligibly small.

The present finding is rather general and can be applied to other systems. To demonstrate this, we compare the XMCD spectra in Mn3GaC with those in the ferromagnetic Ni metal. Figure 5 shows the latter quantity calculated with the same method as above. We divide $`\mu _c(\omega )`$ by $`\mu _0(\omega _2)`$ at $`\mathrm{}\omega _2=ϵ_\mathrm{F}+20`$ eV. A large dip K appears above the Fermi level; it is half suppressed if the SOI is turned off either in the $`p`$ symmetric states or in the $`3d`$ states. This behavior is similar to dip C in Mn3GaC, although the contribution of the SOI in the $`p`$ symmetric states is a little larger in Ni. On the other hand, a tiny dip L at high energy disappears without the SOI in the $`p`$ symmetric states, similar to dip D in Mn3GaC.

Finally we point out that this type of ab initio calculation can be applied to analyzing the magnetic RXS spectra at the $`K`$ edge in transition-metal compoundsNeubeck et al. (2001); Igarashi and Takahashi (2001), and may clarify the $`p`$ orbital polarization in antiferromagnetic phases. According to our recent calculation of the magnetic RXS spectra in NiOUsuda et al. , the main peak intensity almost disappears when the SOI on the 4p band is turned off. This finding is consistent with the above analysis, because the $`4p`$ states are located at $`10`$ eV higher than the Fermi level.

###### Acknowledgements.

We would like to thank N. Kawamura and H. Maruyama for providing us the MCD experimental data prior to publication and for valuable discussion. This work was partially supported by a Grant-in-Aid for Scientific Research from the Ministry of Education, Science, Sports and Culture, Japan.


text:
# Dual projection in a two-dimensional curved expanding universe

## I Introduction

The study of chiral bosons in a $`D=2`$ flat space has a wide interest. They occur as basic ingredients in the formulation of string theories and in a number of two-dimensional statistical systems, like the fractional quantum Hall effect phenomenology. More recently, the M-theory can be achieved by treating the chiral sectors in a more independent way. In superior dimensions, the six-dimensional chiral bosons belong to the supergravity and tensor multiplets in $`N=1`$, $`D=6`$ supergravity theories. They are necessary to complete the $`N=2`$, $`D=6`$ supermultiplet of the $`M`$-theory five-brane. Finally, a ten-dimensional chiral bosons appears in $`IIB`$, $`D=10`$ supergravity.

The dual projection technique , strictly related to canonical transformations , has been presented initially in the study of electromagnetic duality groups . The difference between both concepts is that the dual projection is performed at the level of the actions whereas a canonical transformation is performed at the Hamiltonian level. However, as in this work we will consider only first-order actions, the equivalence between the dual projection and the canonical transformations becomes manifest . The most useful and interesting point in this dual projection procedure is that it is not based on evidently even-dimensional concepts and may be extended to the odd-dimensional situation  and also in non-Abelian systems . In this work we will show that besides the use of dual projection in even and odd dimensions in flat space, we can obtain interesting results in curved space.

The noton is a nonmover field at the classical level , carrying the representation of the Siegel symmetry , that acquires dynamics upon quantization. As another feature, it is a well known fact that coupling chiral particles to external gravitational fields reveals the presence of notons . At the quantum level in flat space, it was shown  that its dynamics is fully responsible for the Siegel anomaly. In other words, we can say that the importance of the inclusion of a normalized external noton - the Hull mechanism - is to cancel the Siegel anomaly  conveniently.

On the other hand, later than Siegel, Floreanini and Jackiw (FJ) introduced an action which describes a free chiral boson in two dimensions , but this action have some symmetry problems. In  it was shown that, in fact both models (Siegel and FJ) for the chiral bosons are related by a noton particle.

In this work we want to analyze the effect of the dual projection in a two-dimensional curved space (a Friedmann space) with a metric that describes an expanding universe model . We shall consider here the universe as a curved space. Notice that the main idea here is to analyze the different spectra found.

Quantum field theory in curved spacetime is an effective theory which is able to make pretty reliable quantum gravity predictions in some specific regimes. In a nutshell we can say that it investigates the consequences of defining quantum fields on general background spacetime. Although it is unable to describe nature in extreme regimes, as in the Planck scale, some remarkable effects were already predicted in its context as, for instance, that quantum effects must induce black holes to evaporate, in contrast to the classical belief .

Firstly we will show that the dual projection of a scalar field in a generic gravitational background results in two notons. This result is quite different from the curved space one, which shows two dynamical chiral fields interacting with the external gravitational field. Notwithstanding, the final system is equivalent to a single dynamical non-chiral fields in the gravitational background, as it should be.

The mentioned chirality separation is confirmed when we perform the flat space limit, bearing out the results obtained by Fronsdal et al in a series of papers on curved space , i.e., “that a flat space result can be obtained from the curved space one through a determined approximation”.

The sequence of the paper is: in order to make this work self-consistent, in the next section we review the $`D=2`$ dual projection applied to the scalar field in a Minkowski space and to the Siegel chiral model, which introduces the presence of the noton as in . In Section 3 we perform the dual projection of a scalar field in a gravitational background with an arbitrary metric showing the presence of two notons. And finally, we carry out the dual projection of a two-dimensional curved expanding universe analyzing its spectrum showing that at this time there is no notons. As usual, the conclusion and perspectives are discussed in the last section.

## II The dual projection in a flat space

The separation of a scalar field into its chiral components has been introduced by Mandelstam  in its seminal paper on 2D bosonization. The chiral splitting for the non-Abelian side has been studied by Polyakov and Wiegman . However, the Abelian limit of Polyakov-Wiegman decomposition does not coincide with Mandelstam’s chiral decomposition. The chiral separation in  is based on a first-order theory while that of  is second-order. Mandelstam’s chiral decomposition scheme can be obtained as a constraint over the theory requiring the complete separability of the original action.

The dual projection in $`D=2(2p+1)`$ dimensions leads to a diagonal form of the action (hence we can also call it as a diagonalization procedure). Here, differently from , the two pieces manifest completely unlike features: while one piece is chiral (a FJ particle), responsible for the dynamical sector of the theory, the other carry the algebraic component (a noton particle), as shown in . We select here only two examples, among others, in the literature where the dual projection succeed.

A. The scalar field. In this section we will make a brief analysis of the dual projection of a scalar field in a $`D=2`$ Minkowski space. This result was obtained a few years back by Tseytlin and West . Performing the inverse process, confirming this result, the recent soldering formalism , showed us that the fusion of two FJ modes gives a scalar field. This makes sense since a scalar field, in a $`D=2`$ flat space, has no chirality. Hence, both FJ’s particles interact each other so that as a result we have no chirality at all. This example, well known, is very important to our purpose, since we will see that in a curved space this behavior is not true anymore.

In a few steps we can begin with the Lagrangian density of a scalar field,

$$=\frac{1}{2}_\mu \varphi ^\mu \varphi =\frac{1}{2}\dot{\varphi }^2\frac{1}{2}\varphi _{}^{}{}_{}{}^{2},$$
(1)
where the metric is $`(+,)`$. Dot and prime means respectively the time and space derivatives. Reducing the order of the time derivative, we can use an auxiliary field (not necessarily the canonical momentum) so that we can write

$$\frac{1}{2}\dot{\varphi }^2=\dot{\varphi }p\frac{1}{2}p^2$$
(2)
and substituting (2) in (1) the Lagrangian reads, $`_1=\dot{\varphi }p\frac{1}{2}p^2\frac{1}{2}\varphi _{}^{}{}_{}{}^{2}.`$ Performing the canonical transformations convenient constructed in order to promote a complete field separation, we have,

$$\varphi =\rho +\sigma \text{and}p=\rho ^{}\sigma ^{}.$$
(3)
Substituting it in $`_1`$ above, we have a new action, $`_2=\dot{\rho }\rho _{}^{}{}_{}{}^{2}\rho _{}^{}{}_{}{}^{2}\dot{\sigma }\sigma ^{}\sigma _{}^{}{}_{}{}^{2},`$ which shows clearly that the spectrum of a scalar field is formed by two FJ particles of opposite chirality as we said above. For an interested reader, the relation between two chiral particles was discussed at the Hamiltonian level in .

There are indications that a deeper understanding of such issues as string dynamics and fractional quantum Hall effect phenomenology can be achieved by treating the chiral sectors in a more independent way. However, coupling chiral fields to external gauge and gravitational fields is problematic. As we said above, it was discussed in , how the coupling of chiral (Abelian) fields to external gravitational backgrounds can be achieved by diagonalization (dual projection) of the first-order form of a covariant scalar action. The theory reduces then to a sum of a left and a right FJ’s actions , circumventing the problems caused by the lack of manifest Lorentz invariance.

B. The Siegel chiral boson. Now we will present a small version of the results obtained in . We begin with the Siegel original classical Lagrangian density for a chiral scalar field  using the usual light-cone variables,

$$_{Siegel}=_+\varphi _{}\varphi \lambda _{++}(_{}\varphi )^2=\frac{1}{2}\sqrt{g}g^{\alpha \beta }_\alpha \varphi _\beta \varphi $$

where the metric is $`g^{++}=\mathrm{\hspace{0.17em}0},g^+=\mathrm{\hspace{0.17em}1},g^{}=\mathrm{\hspace{0.17em}2}\lambda _{++},`$ and we can say that the Lagrangian $`_{Siegel}`$ describes a lefton . A lefton (or a righton) is a particle which, besides to carry the dynamics of the theory, it is liable for the symmetry of the system too. This characterizes exactly a Siegel mode. Hence, it is different from a FJ’s particle  which carries only the dynamics of the system. Thereby, a FJ particle can not be classified either as a lefton or a righton.

The symmetry content of the theory is well described by the Siegel algebra, a truncate diffeomorphism that disappears at the quantum level. Hence $`_{Siegel}`$ is invariant under Siegel gauge symmetry which is an invariance under the combined coordinate transformation and a Weyl rescaling of the form $`x^{}\stackrel{~}{x}^{}=x^{}ϵ^{}\text{and}\delta g_{\alpha \beta }=g_{\alpha \beta }_{}ϵ^{}.`$ The fields $`\varphi `$ and $`\lambda _{++}`$ transform under these relations as $`\delta \varphi =ϵ^{}_{}\varphi ,`$ and $`\delta \lambda _{++}=_+ϵ^{}+ϵ^{}_{}\lambda _{++}_{}ϵ^{}\lambda _{++}`$, and $`\varphi `$ is invariant under the global axial transformation, $`\varphi \stackrel{~}{\varphi }=\varphi +\overline{\varphi }`$. It is easy to see that fixing the value of the multiplier as $`\lambda _{++}=1`$ in $`_{Siegel}`$ we can obtain the FJ model. As mentioned before, this was considered, for a long time in the literature, the unique constraint between these both representations of a chiral boson. The dual projection permit us to see other intrinsic relations behind the model that can possibly (or not) be hidden in its spectrum.

We will now begin to apply the dual projection procedure. This is done introducing a dynamical redefinition in the phase space of the model. Using $`_{Siegel}`$ in Lorentz coordinates we can obtain the canonical momentum as

$$\pi =\frac{}{\dot{\varphi }}=\dot{\varphi }\lambda _{++}(\dot{\varphi }\varphi ^{})$$
(4)
or, in other words

$$\dot{\varphi }=\frac{\pi \lambda _{++}\varphi ^{}}{1\lambda _{++}}.$$
(5)
After a little algebra, substituting (4) and (5) into $`_{Siegel}`$, the Lagrangian in the first-order form reads

$$_{Siegel}=\pi \dot{\varphi }\frac{\varphi _{}^{}{}_{}{}^{2}}{2}\frac{1}{2}\frac{(\pi \lambda _{++}\varphi ^{})^2}{1\lambda _{++}}\frac{\lambda _{++}}{2}\varphi _{}^{}{}_{}{}^{2}.$$
(6)
As we said above, fixing the value of the multiplier as $`\lambda _{++}1`$ in (6) we get the FJ form. This value of $`\lambda _{++}`$ promotes a reduction of the phase space of the model to  $`\pi \varphi ^{},`$ and consequently the third term in (6) reduces to zero as $`\lambda _{++}1`$. Therefore the dynamics of the system will be described by a FJ action.

The above behavior in $`\pi \varphi ^{}`$ suggests the following canonical transformations, analogous as in (3):

$$\varphi =\phi +\sigma \text{and}\pi =\phi ^{}\sigma ^{},$$
(7)
and we stress that these fields are independent as they originate from completely different actions. After substituting (7) into (6) to perform the dual projection we find a diagonalized Lagrangian, $`=\phi ^{}\dot{\phi }\phi _{}^{}{}_{}{}^{2}\sigma ^{}\dot{\sigma }\eta _+\sigma _{}^{}{}_{}{}^{2},`$ where $`\eta _+=\frac{1+\lambda _{++}}{1\lambda _{++}}.`$ The effect of dual projection procedure into the first-order Siegel theory, equation (6), was the creation of two different internal spaces leading to the $`Z_2`$ group of dualities (a discrete group with two elements)  and the other is the diffeomorphism group of transformations. Clearly we can see that the chirality/duality group and the symmetry group are in different sectors. The first is obviously a FJ mode and the other is a noton mode. This result is complementary to the established knowledge, where the FJ action is interpreted as a gauge fixed Siegel action . Under this point of view, we look at the gauge fixing process as the condition that sets the noton field to vanish. It can be proved  that this noton is totally responsible for the symmetries, both classically and quantically.

## III Dual projection in curved space

In this section we will use the dual projection to analyze the spectrum of a scalar field in an expanding universe. We will see that the dual projection procedure permit us to find a very different result from the flat space one (section $`II.A`$). Obeying the results obtained by Fronsdal et al , we will show that the flat result can be obtained by the application of a specific limit in the curved space outcome, as it should be.

A. A scalar field in a gravitational background. Before we approach the principal issue of this article, let us make an application of the dual projection to the case of a scalar field embedded in a general gravitational background. In this way, we consider the following Lagrangian,

$$_g=\frac{1}{2}\sqrt{g}g^{\mu \nu }_\mu \varphi _\nu \varphi $$
(8)
where

$$h^{\mu \nu }=\sqrt{g}g^{\mu \nu }_\mu \varphi _\nu \varphi =\left(\begin{array}{cc}h_{00}& h_{01}\\ h_{10}& h_{11}\end{array}\right)$$
(9)
and $`h_{01}=h_{10}`$.

Performing the decomposition in components of the action (8) we can write,

$$_g=\frac{1}{2}h_{00}\dot{\varphi }^2+\frac{1}{2}h_{11}\varphi _{}^{}{}_{}{}^{2}+h_{01}\dot{\varphi }\varphi ^{}$$
(10)
After the standard diagonalization process, as we explained in the last sections, we have as final result,

$$=\phi ^{}\dot{\phi }\eta _+\phi _{}^{}{}_{}{}^{2}\sigma ^{}\dot{\sigma }\eta _{}\sigma _{}^{}{}_{}{}^{2},$$
(11)
where $`\eta _\pm =\frac{1}{h_{00}}(1h_{01})`$. And (11) shows the coupling of the chiral bosons ($`\phi `$ and $`\sigma `$) with the gravitational field. This behavior is characteristic of a system composed by notons, which couple to the gravitational field .

B. A scalar field in a curved expanding universe. Now we will analyze, at the light of the dual projection procedure, the class of two-dimensional metrics of the form ,

$$ds^2=dt^2+R(t)^2dx^2$$
(12)
where $`R(t)`$ is an unspecified positive function of $`t`$. The two-dimensional universe with such a metric will be referred conveniently, as we said before, as an expanding universe. Consequently $`R(t)`$ need be increasing with time. To work in two dimensions is, as it is well known, a laboratory where it can be possible to envision the results in four dimensions or even in higher dimensions.

The equations governing the fields are covariant generalizations of the special relativistic free-field equation. The gravitational metric is treated as an unquantized external field. No additional interactions are included.

As a first step, let us verify if our space (12) is really a curved one. It is well known that the Riemann-Christoffel tensor for two-dimensional spaces has only nonvanishing component equal to $`R_{0101}`$ or to its negative. For the metric in (12), performing a standard calculation of the $`R_{0101}`$ component, we have that, $`R_{0101}=R\ddot{R}.`$ This gives us the condition that we are working in a two-dimensional curved space only if $`R\ddot{R}0`$. On the other hand, for this space to be flat, we would have to have the following condition, $`R_{0101}=\mathrm{\hspace{0.17em}0}R\ddot{R}=\mathrm{\hspace{0.17em}0},`$ so that $`R=0`$ or $`\ddot{R}=\mathrm{\hspace{0.17em}0}`$. The first solution, $`R=0`$ can be obviously ignored. The second one, $`\ddot{R}(t)=0`$, has the straightforward solution $`R(t)=k_1t+k_2,`$ where $`k_1>\mathrm{\hspace{0.17em}0}`$ (to pledge an expansion of the universe) and $`k_2`$ are arbitrary constants. So, as a condition for the space to be a curved one, $`R(t)`$ can not be a linear function of time. Unless for this case, we can say that we are working in a curved space.

Back to the main issue, with the metric (12), the Lagrangian density for a two dimensional scalar particle in a curved space is

$$=\frac{1}{2}R^3\left(\dot{\varphi }^2\frac{1}{R^2}\varphi _{}^{}{}_{}{}^{2}\right)$$
(13)
where we wrote for convenience that $`R`$ represents $`R(t)`$.

Now, let us perform the dual projection procedure following the steps of the last section. Reducing the order of the time derivative in the same way as we did in the last section, we can write

$$\frac{1}{2}R^3\dot{\varphi }^2p\dot{\varphi }\frac{1}{2}\frac{p^2}{R^3}.$$
(14)
So, in (13) we have

$$=p\dot{\varphi }\frac{1}{2}\frac{p^2}{R^3}\frac{1}{2}R\varphi _{}^{}{}_{}{}^{2}.$$
(15)
Firstly, performing the generalized canonical transformations,

$$\varphi =a\phi +b\rho \text{and}p=c\phi ^{}d\rho ^{}$$
(16)
where $`a,b,c`$ and $`d`$ are the coefficients that will be determined. Substituting (16) in (15) we have

$``$ $`=`$ $`ac\phi ^{}\dot{\phi }bd\rho ^{}\dot{\rho }+(bcad)\varphi ^{}\dot{\rho }`$ (17)
$``$ $`{\displaystyle \frac{1}{2}}\left({\displaystyle \frac{c^2}{R^3}}+Ra^2\right)\phi _{}^{}{}_{}{}^{2}{\displaystyle \frac{1}{2}}\left({\displaystyle \frac{d^2}{R^3}}+Rb^2\right)\rho _{}^{}{}_{}{}^{2}`$ (18)
$`+`$ $`\left({\displaystyle \frac{cd}{R^3}}abR\right)\phi ^{}\rho ^{}.`$ (19)
Our first attempt is to obtain a flat space-type result so that the cross-terms have to disappear. Hence, to compute the coefficients in (17) we have,

$$ac=bd=\mathrm{\hspace{0.17em}1}a=\frac{1}{c}\text{and}b=\frac{1}{d}$$
(20)
$$bcad=\mathrm{\hspace{0.17em}0}$$
(21)
$$\text{and}cdabR^4=\mathrm{\hspace{0.17em}0}.$$
(22)
We will call the coefficients of the fourth and fifth terms in (17) as,

$`COEF_1`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left({\displaystyle \frac{c^2}{R^3}}+Ra^2\right)={\displaystyle \frac{1}{2}}\left({\displaystyle \frac{1}{a^2R^3}}+Ra^2\right)`$ (23)
$`COEF_2`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left({\displaystyle \frac{d^2}{R^3}}+Rb^2\right)={\displaystyle \frac{1}{2}}\left({\displaystyle \frac{1}{b^2R^3}}+Rb^2\right),`$ (24)
where we used equations (20). Afterwards we will be back to them again.

Substituting the equation (20) in (22) we have,

$$a^2b^2=\frac{1}{R^4}$$
(25)
and finally, using (20) in (21) we can write that,

$$a=\pm b\text{and}c=\pm d$$
(26)
and with these values it is easy to see that the coefficients $`COEF_1`$ and $`COEF_2`$ are identical, i.e.,

$$\eta =COEF_1=COEF_2=\frac{1}{2}\left(\frac{1}{a^2R^3}+Ra^2\right).$$
(27)
Solving equations (25) and (26) together, we conclude that exist four possible values for $`a`$ and $`b`$,

$$a=\pm \frac{1}{R},\pm \frac{i}{R}=\pm b$$
(28)
So with the values obtained in (26), and (28) our canonical transformation (3), are $`\varphi =a(\phi \pm \rho )`$ and $`p=c(\phi ^{}\rho ^{})`$, but we also know from (20) that $`a=1/c`$, therefore we can finally write, $`\varphi =\frac{1}{c}(\phi \pm \rho )`$ and $`p=c(\phi ^{}\rho ^{})`$. Making all the correspondent substitutions in (17), the final Lagrangian is

$$=\phi ^{}\dot{\phi }\eta \phi _{}^{}{}_{}{}^{2}\rho ^{}\dot{\rho }\eta \rho _{}^{}{}_{}{}^{2},$$
(29)
where

$$\eta =\frac{1}{2}\left(\frac{1}{a^2r^3}+ra^2\right).$$

Also, using (28), we can have two values for $`\eta `$, $`\eta _+=\frac{1}{R}`$ and $`\eta _{}=\frac{1}{R}.`$

We can see from (29), as we said before, that $`\phi ,\rho `$ are two dynamical chiral fields interacting with the external gravitational field. This result differs altogether from that found in the previous section, where we found two notons. There we can be naively convinced, at a first sight, that the final result is independent from the form of the gravitational background. We see now that it is not totally true. These two chiral fields coupling, in fact, describes a single dynamical non-chiral field in the given gravitational background, which was our starting point. This will be confirmed just below.

To corroborate the condition that the flat space result is a limit of the curved space one , let us fix the value of $`\eta `$ as $`\eta =\mathrm{\hspace{0.17em}1}`$ and hence from (27) $`COEF_1=COEF_2=1`$, originating conditions on $`a`$,

$$a^4\frac{2}{R}a^2+\frac{1}{R^4}=\mathrm{\hspace{0.17em}0}$$
(30)
which solutions are

$`a_{1,2}`$ $`=`$ $`\pm {\displaystyle \frac{1}{R^2}}\sqrt{R+\sqrt{R^21}}`$ (31)
$`a_{3,4}`$ $`=`$ $`\pm {\displaystyle \frac{1}{R^2}}\sqrt{R\sqrt{R^21}}.`$ (32)
Applying simply $`\eta =1`$ in (29) we have the same Lagragian of the flat space,

$$=\phi ^{}\dot{\phi }\phi _{}^{}{}_{}{}^{2}\rho ^{}\dot{\rho }\rho _{}^{}{}_{}{}^{2},$$
(33)
i.e., it comprises two FJ’s particles with opposite chiralities, as stressed in  and confirms the existence of two chiral fields interacting with an external gravitational background as the result above in (29).

## IV Conclusions

The dual projection procedure is a technique that helps one to analyze the spectrum of first-order systems. It was used recently to study the notion of duality and self-duality creating an internal space of potentials .

Since the analysis was always effected for first-order systems, an equivalence between the Lagrangian and Hamiltonian approaches permitted us to use the concept of canonical transformations. In other words we can say that the dual projection demanded a change of variables which was, in the phase space, a canonical transformation.

In this work we consider the structure of a scalar field in a two-dimensional expanding universe embedded in a curved space. Firstly, we construct a scalar field embedded in a generic gravitational background and promote the dual projection of the system. We obtain, as expected, two notons. Differently from the generic case, now in a curved space, we have two dynamical chiral fields interacting with an external gravitational field. This is equivalent to the model describing a single dynamical non-chiral field in the gravitational background. In other words, only the final models are equivalent, the spectra ($`noton_1noton_2`$ and $`chiralparticle_1chiralparticle_2`$) are not. This final analysis is the main idea of this work.

However, as we can see, we could expect (naively based on the former result) that every other case involving this kind of coupling, i.e., whatever the form of the gravitational background, we always would find two notons comprising the spectrum. The only difference between the spectra would manifest itself in the explicit form of the metric.

We show here that any conclusion about the spectrum turns out to be premature and thereby must be preceded by a detailed (for example) dual projection analysis. In this way we can determine precisely if the particles that comprise the spectrum can be either notons or chiral fields coupled to the gravitational background although the final results are the same (a scalar field) as said above.

## V Acknowledgments

The author would like to thank professor Maurício Calvão for valuable discussions and Fundação de Amparo à Pesquisa do Estado do Rio de Janeiro (FAPERJ) for financial support.