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# A Disk Census for Young Brown Dwarfs

## 1 Introduction

The current paradigm of low-mass star formation holds that a young star accretes material from a circumstellar disk during the first (few) million years of its lifetime. The disk also provides the building material for planets. Over the past two decades, substantial observational evidence has accumulated to support this picture. However, much of that evidence rests on studies of stars within a relatively narrow mass range. In particular, there are few observational constraints on the formation of objects near or below the sub-stellar boundary.

The past five years have seen the detection of a large number of sub-stellar objects in the solar neighborhood and in young clusters. Large-scale optical and near-infrared surveys of the sky –such as the Sloan Digital Sky Survey and the 2-Micron All-Sky Survey (2MASS)– have turned up (older) field brown dwarfs with L and T spectral types (e.g., Kirkpatrick et al. 2000; Fan et al. 2000). Meanwhile, their young counterparts have been identified in star-forming regions through more targeted searches (e.g., Luhman et al. 2000; Ardila, Martín & Basri 2000). Perhaps the most surprising of recent findings has been the discovery of a population of young, isolated planetary mass objects –or “planemos”– in the $`\sigma `$ Orionis (Zapatero-Osorio et al. 2000), Trapezium (Lucas & Roche 2000) and Upper Scorpius (Mohanty, Jayawardhana & Basri 2003) regions.

Still, the formation mechanism for brown dwarfs is open to debate. Reipurth & Clarke (2001) and Bate et al. (2002) have proposed that brown dwarfs are stellar embryos, ejected from newborn multiple systems before they can accrete sufficient mass for hydrogen fusion. Padoan & Nordlund (2003), on the other hand, have suggested that brown dwarfs form in the same way as more massive stars, via ‘turbulent fragmentation’.

Studies of disks around young brown dwarfs provide one of the few observational probes to distinguish among these scenarios. If a substantial fraction of brown dwarfs harbor large, long-lived accretion disks, the implication is that extremely low-mass objects may form via a mechanism similar to higher mass stars. Thus, reliable determination of the disk frequency and lifetime in young brown dwarfs is of paramount importance to our understanding of the origin and diversity of sub-stellar objects down to planetary masses. In a pioneering study, Muench et al. (2001) reported that 65%$`\pm `$15% of brown dwarf candidates in the Trapezium cluster exhibit JHK colors consistent with circumstellar disks.

Here we report on a systematic study of infrared $`L^{}`$-band (3.8$`\mu `$m) disk excess in a large sample of spectroscopically confirmed objects near and below the sub-stellar boundary in several nearby star-forming regions. Our longer-wavelength observations are much better at detecting disk excess above the photospheric emission and are less susceptible to the effects of disk geometry and extinction corrections than $`JHK`$ studies (e.g., Haisch, Lada & Lada 2001; Liu, Najita & Tokunaga 2003).

## 2 Observations

Our target sample consists of very low mass (VLM) objects with known spectral types later than M5 in nearby star-forming regions. They are drawn from surveys of $`\rho `$ Ophiuchus (Wilking, Greene & Meyer 1999), IC 348 (Luhman 1999), Chamaeleon I (Comerón, Neuhäuser & Kaas 2000; Comerón, Rieke & Neuhäuser 1999), Taurus (Briceño et al. 2002), Upper Scorpius (Ardila, Martín & Basri 2000), $`\sigma `$ Orionis (Béjar, Zapatero Osorio & Rebolo 1999), and the TW Hydrae Association (Gizis 2002).

Observations were carried out at three different telescopes during 2002. Table 1 provides a summary log. When $`JHK`$ magnitudes were not available in the literature or in the 2MASS database, we also obtained photometric observations in those filters. The transformations between the different photometric systems are smaller than the measuring errors (Carpenter 2001).

The observations at the Very Large Telescope (VLT) were obtained in service mode using the Infrared Spectrograph and Array Camera (ISAAC; Moorwood et al. 1998). At Keck I, we used the Near InfraRed Camera (NIRC; Matthews & Soifer 1994). $`JHK`$ data were obtained in a five-point pattern. The $`L^{}`$-band data were acquired in the chop-nod mode (15 to 30$`\mathrm{}`$ offsets), in order to cancel out the variable thermal background. Each observation consisted of a large number of co-added frames with short exposure times. Observations of several $`\rho `$ Oph sources were obtained with the NSFCAM camera (Rayner et al. 1993; Shure et al. 1994) on the NASA InfraRed Telescope Facility (IRTF). Each source was observed in a five point dither pattern. At each dither position, the telescope was nodded to separate sky positions 30″ of the target observation.

All the data were reduced using standard tools within the Image Reduction and Analysis Facility (IRAF)111IRAF is distributed by the National Optical Astronomy Observatories, which are operated by the Association of Universities for Research in Astronomy, Inc., under cooperative agreement with the National Science Foundation.. Flat fields were obtained by combining individual images. For the $`JHK`$ observations the sky was subtracted from each frame. Aperture photometry was performed for each source, using the PHOT routine within IRAF. The standards were observed on the same nights and through the same range of airmasses as the target sources. Zero points and extinction coefficients were established for each night. The photometric accuracy of our observations are typically $`\pm `$ 0.10 magnitudes, though in a few cases they can be $`\pm `$ 0.20 magnitudes.

## 3 Results and Discussion

Table 2 lists the $`JHKL^{}`$ magnitudes and $`JH,HK,KL^{}`$ colors of our targets. Figure 1 shows their $`KL^{}`$ colors as a function of spectral type in comparison to the locus of field M dwarfs from Leggett et al. (2002). It is clear that a significant fraction of our targets have redder $`KL^{}`$ colors than would be expected from photospheric emission alone. The lower envelope of their color distribution does agree reasonably well with the field M dwarf locus.

In Figure 2, we plot the $`JH`$/$`KL^{}`$ color-color diagram for our target sample. For comparison, we also plot the empirical loci of colors for giants and for main-sequence dwarfs from Bessell & Brett (1988) and Leggett et al. (2002). Again, we find that a large fraction of our sources fall to the right of the reddening band for M dwarfs and into the infrared excess region of the color-color diagram.

Since all objects in our sample have known spectral types, we can determine their intrinsic photospheric $`KL^{}`$ by comparison to field M dwarfs of the same type and by using a reddening law (e.g., Cohen et al. 1981). An excess of $`KL^{}`$ 0.2 above the stellar photosphere is usually indicative of an optically thick disk around a late-type object and is also a reasonable criterion given the typical photometric errors in our data as well as possible color differences in field objects due to higher gravity/older age. Table 3 lists the spectral types and $`KL^{}`$ excesses of our targets, along with the equivalent width of their H$`\alpha `$ emission, when available in the literature. Table 4 gives the infrared excess fraction in each star-forming region.

Of the seven $`\rho `$ Ophiuchus objects for which we have $`L^{}`$ photometry, four exhibit $`KL^{}`$ excesses. Two other objects on our target list –GY 11 and GY 141– which we could not observe at $`L^{}`$ also show evidence of optically thick disks according to the Infrared Space Observatory (ISO) measurements at 6.7$`\mu `$m and 14.3$`\mu `$m (Testi et al. 2002; Comerón et al. 1998). The high disk fraction among $`\rho `$ Oph brown dwarfs is not surprising, given that $`\rho `$ Oph is the most embedded, and probably the youngest, cluster in our survey at an age of $``$1 Myr. Our finding is also consistent with that of Natta et al. (2002) who reported ISO-detected mid-infrared excess in nine other VLM sources in this region. These authors were able to fit the excesses with irradiated disk models.

We find disk fractions of 40%–60% in IC 348, Chamaeleon I, Taurus and Upper Scorpius regions. Based on ISO observations, Natta & Testi (2001) have already shown that Cha H$`\alpha `$ 1, ChaH$`\alpha `$ 2 and ChaH$`\alpha `$ 9 harbor mid-infrared spectral energy distributions consistent with the presence of dusty disks. ChaH$`\alpha `$ 2, which shows a large $`KL^{}`$ excess (0.97 mag) in our data is a probable close ($``$0.2”) binary with roughly equal-mass companions (Neuhäuser et al. 2002). It is possible that a few of our targets harbor infrared companions that contribute to the measured excess, but this is unlikely in most cases. The disk fractions we report for IC 348 and Taurus are lower than those found by Liu, Najita & Tokunaga (2003). This is primarily because we use a more conservative criterion of $`KL^{}>`$ 0.2 for the presence of optically thick disks whereas Liu et al. consider all objects with $`KL^{}>`$ 0 as harboring disks. In IC 348, our disk fraction is comparable to that derived from H$`\alpha `$ accretion signatures in high-resolution optical spectra (Jayawardhana, Mohanty & Basri 2003; White & Basri 2002). However, in Taurus and Upper Sco, which may be slightly older at $``$3-5 Myrs, we find $`KL^{}`$ excess in $``$50% of the targets whereas only three of out 14 Taurus VLM objects and one out of 11 Upper Sco sources exhibit accretion-like H$`\alpha `$ (Jayawardhana, Mohanty & Basri 2002; 2003). This latter result suggests that dust disks may persist after accretion has ceased or been reduced to a trickle, as also suggested by Haisch, Lada & Lada (2001).

In the somewhat older ($``$5 Myr) $`\sigma `$ Orionis cluster, only about a third of the targets show infrared excess. Neither of the two brown dwarf candidate members of the $``$10-Myr-old TW Hydrae association (Gizis 2002) shows excess. Gizis (2002) reported strong H$`\alpha `$ emission (equivalent width $``$ 300 Å) from one of the TW Hydrae objects, the M8 dwarf 2MASSW J1207334-393254, and suggested it could be due to either accretion or chromospheric activity. Given the lack of measurable $`KL^{}`$ excess in this object, accretion now appears less likely as the cause of its strong H$`\alpha `$ emission. Our findings in $`\sigma `$ Ori and TW Hya associations, albeit for a small sample of objects, could mean that the inner disks are clearing out by the age of these groups. Similar results have been found for T Tauri stars in the TW Hydrae association (Jayawardhana et al. 1999).

Jayawardhana, Mohanty & Basri (2003) report a decrease in the fraction of accreting brown dwarfs with increasing age in a study of H$`\alpha `$ line profiles in high-resolution optical spectra. This trend is in general agreement with our results here based on infrared excess measurements. However, as shown in Figure 3, we do not find a one-to-one correlation between objects with $`KL^{}`$ excess and those with large H$`\alpha `$ equivalent widths. As mentioned earlier, several of the Taurus and Upper Sco VLM objects with excess do not exhibit accretion-like H$`\alpha `$. While this is somewhat surprising, it is not unprecedented. For example, in IC 348, Haisch, Lada, & Lada (2001) found that 10/17 weak-line (H$`\alpha `$ EW $`<`$ 10Å) T Tauri stars in their sample showed $`KL^{}`$ excess. Persistence of disks after the accretion rates have significantly diminished could explain these results. Another complication is that the H$`\alpha `$ equivalent widths in Table 3 are drawn from a variety of sources in the literature. Many of the measurements have been made with low- or medium-resolution spectra. It has been shown that low-resolution spectra of late-type objects systematically overestimate the H$`\alpha `$ equivalent width as a result of blending with the 6569Å TiO band-head (e.g., Tinney & Reid 1998). This effect can confuse the relation between H$`\alpha `$ width and infrared excess.

## 4 Concluding Remarks

Our results, and those of Muench et al. (2001), Natta et al. (2002), and Liu, Najita & Tokunaga (2003) show that a large fraction of very young brown dwarfs harbor near- and mid-infrared excesses consistent with dusty disks. High-resolution optical spectra have revealed accretion signatures in many sources (Jayawardhana, Mohanty & Basri 2003). Taken together, the evidence is compelling that sub-stellar objects are surrounded by accretion disks similar to those around T Tauri stars, possibly less massive. While the samples are still relatively small, the timescales for inner disk depletion do not appear to be vastly different between brown dwarfs and T Tauri stars (whereas Armitage & Clarke 1997, for example, predict faster disk evolution for ejected objects). Therefore, the evidence to date is consistent with a common formation scenario for low-mass stars and brown dwarfs. Far-infrared observations with the Space InfraRed Telescope Facility and/or the Stratospheric Observatory For Infrared Astronomy will be crucial for deriving the sizes of circum-sub-stellar disks and providing a more definitive test of the ejection hypothesis for the origin of brown dwarfs.

We thank Geoff Marcy for useful discussions, constant encouragement and access to Keck and Kevin Luhman for valuable assistance during the December 2002 Keck run. We are grateful to the staff members of the VLT, Keck and IRTF observatories for their outstanding support. We also thank Fernando Comerón and staff at the ESO User Support Group for their prompt responses to our queries. We would like to acknowledge the great cultural significance of Mauna Kea for native Hawaiians, and express our gratitude for permission to observe from its summit. This work was supported in part by NSF grant AST-0205130 and NASA grant NAG5-13136 to R.J.


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# 1 Introduction

## 1 Introduction

An alternative to the Standard Model (SM) of electro-weak interactions, the so called $`331`$ model, was proposed some years ago , and one of its interesting features is that neutrino are massive from the outset. However, at the time the model was proposed there was no indication that neutrinos were massive, and in order to avoid such a mass term some fine tuning was necessary.

In the last few years we witnessed a dramatic change in the scenario of particle physics and the most recent experimental results, including SNO , K2K , and KamLAND  data, are corroborating the hypothesis of neutrino oscillation , which implies the existence of at least two massive neutrinos. In view of this the chief question now refers to the smallness of the neutrino masses, and in the context of $`331`$ model, can these masses be fairly accommodated? It was shown in Ref.  that in fact they can. The model dispose of a type II seesaw mechanism which provides small masses to neutrinos. This could put an end point on the subject if the size of neutrinos masses were the only issue. Nevertheless, the experiments are showing not only that neutrinos have a tiny mass, but are also strongly suggesting the pattern in which they mix . The proposal of this work is to check if the minimal 3-3-1 model can explain the pattern of neutrino mixing in accordance with the experiments.

There are two reasonable arguments to pursue this check. The first one concerns its absence in literature, and it is justifiable to look for consistency with experiment. The second one is related to the interplay that exists between neutrino and charged lepton mixing, that arises naturally inside the minimal 3-3-1 model. Such interplay exists because neutrinos and charged lepton masses both have the same origin: a sextet of scalars. Moreover the charged lepton mass also receive contributions of a triplet of scalars. This implies that the charged leptons cannot be simply assumed to lie on a diagonal basis. Consequently, in the minimal 3-3-1 model the charged leptons are non-trivially interconnected to the neutrino physics and play some role in it, and we should be able to know better how this connection is realized under the light of the recent results on neutrino oscillation.

We organize this work as follows. First, in Sec. 2, we introduce the necessary ingredients of the model, presenting the texture of neutrino and charged lepton mass matrix of the model. Then, in Sec. 3, we examine the distinct possibilities for the lepton mixing matrices suggested by the results of neutrino oscillation. Finally, in Sec. 4, we present our conclusions.

## 2 Lepton sector of the minimal 3-3-1 model

In this section, we are going to present the ingredients necessary to obtain the mass matrix for neutrinos and charged leptons in the minimal $`331`$ model. The gauge group under consideration is $`SU_c(3)SU_L(3)U_X(1)`$, which spontaneously breaks to the usual $`SU_c(3)SU_L(2)U_Y(1)`$. In its minimal version, the scalar content that interacts with the lepton sector is composed by a triplet, $`\eta =(\eta ^0,\eta _1^{},\eta _2^+)^T(\mathrm{𝟏},\mathrm{𝟑},0)`$ and a sextet $`S`$ ,

$`S=\left(\begin{array}{ccc}\sigma _1^0& h_1^{}& s_2^+\\ h_1^{}& H_1^{}& \sigma _2^0\\ h_2^+& \sigma _2^0& H_2^{++}\end{array}\right)(\mathrm{𝟏},\mathrm{𝟔},0),`$ (4)
where we have included their assigned transformation properties under the gauge group $`SU_c(3)SU_L(3)U_X(1)`$.

The leptons are arranged in the fundamental representation of the gauge group $`SU_L(3)`$, and for each family we have,

$`\mathrm{\Psi }_{a_L}=\left(\begin{array}{c}\nu _a\\ e_a\\ e_a^c\end{array}\right)_L(\mathrm{𝟏},\mathrm{𝟑},0),`$ (8)
where $`a=1,\mathrm{\hspace{0.17em}2},\mathrm{\hspace{0.17em}3}`$ labels the different families.

The Yukawa interactions that generate the lepton masses are given by,

$$_l^Y=\frac{1}{2}G_{ab}\overline{(\mathrm{\Psi }_{aL})^c}S^{}\mathrm{\Psi }_{b_L}+\frac{1}{2}F_{ab}ϵ^{ijk}\overline{(\mathrm{\Psi }_{iaL})^c}\mathrm{\Psi }_{jbL}\eta _k^{}+\text{H.c.}$$
(9)
When the neutral scalars develop their respective vacuum expectation values, $`<\sigma _1^0>=v_{\sigma _1}`$, $`<\sigma _2^0>=v_{\sigma _2}`$ and $`<\eta ^0>=v_\eta `$, neutrinos and charged leptons acquire the following mass matrices,

$`M_\nu =\left(\begin{array}{ccc}G_{11}\hfill & G_{12}& \hfill G_{13}\\ G_{21}\hfill & G_{22}& \hfill G_{23}\\ G_{31}\hfill & G_{32}& \hfill G_{33}\end{array}\right)v_{\sigma _1}`$ (13)
and

$`M_l=\left(\begin{array}{ccc}G_{11}v_{\sigma _2}\hfill & (G_{12}v_{\sigma _2}+F_{12}v_\eta )& \hfill (G_{13}v_{\sigma _2}+F_{13}v_\eta )\\ (G_{21}v_{\sigma _2}F_{12}v_\eta )\hfill & G_{22}v_{\sigma _2}& \hfill (G_{23}v_{\sigma _2}+F_{23}v_\eta )\\ (G_{31}v_{\sigma _2}F_{13}v_\eta )\hfill & (G_{32}v_{\sigma _2}F_{23}v_\eta )& \hfill G_{33}v_{\sigma _2}\end{array}\right),`$ (17)
respectively.

The question we are going to pursue next is whether it is possible to have some configuration where these interdependent matrices assume a realistic form. In other words, if there exist values of Yukawa couplings, $`G_{ab}`$ and $`F_{ab}`$, for which the expected neutrino mixing as well as the charged lepton mass spectrum can come about naturally.

We start by noticing that lepton mass matrices in Eqs. (13) and (17), can be diagonalized as follows,

$$M_l^D=V_{eL}^{}M_lV_{eR},M_\nu ^D=V_\nu ^{}M_\nu V_\nu ,$$
(18)
where we have used the notation, $`M^DDiag(m_1,m_2,m_3)`$, with $`m_i`$ being the physical lepton masses. The matrices $`V`$ transform the lepton fields in the interaction eigenstates into mass eigenstates and, in principle, they are different for left-handed and right-handed fields. These diagonalization matrices $`V_{eL}`$ , $`V_{eR}`$ and $`V_\nu `$ combine themselves in the charged currents of the model which, after the $`331`$ breaking to the $`SU(3)_CU(1)_{em}`$, are given by:

$$_l^{CC}=\frac{g}{\sqrt{2}}\left\{\overline{e_L}\gamma ^\mu O^W\nu _LW_\mu ^{}+\overline{(e_R)^c}O^V\gamma ^\mu \nu _LV_\mu ^++\overline{(e_R)^c}O^U\gamma ^\mu e_LU_\mu ^{++}\right\}+\text{H.c.},$$
(19)
where we are omitting family indices and $`O^W=V_{eL}^TV_\nu `$, $`O^V=V_{eR}^TV_\nu `$ and $`O^U=V_{eR}^TV_{eL}`$ are the three mixing matrices involved in the charged currents and all of them can be chosen to be of the CKM type. Besides, we will be considering the simplest case of a zero CP violating phase, since this phase is irrelevant throughout our analysis. This means that these matrices are real, and we can work with their transpose instead of hermitian conjugate. The parameterization we assume here for the mixing matrices is:

$`O^{W,V,U}=\left(\begin{array}{ccccc}c_{13}c_{12}& & s_{12}c_{13}& & s_{13}\\ s_{12}c_{23}s_{23}s_{13}c_{12}& & c_{23}c_{12}s_{23}s_{13}s_{12}& & s_{23}c_{13}\\ s_{23}s_{12}s_{13}c_{23}c_{12}& & s_{23}c_{12}s_{13}s_{12}c_{23}& & c_{23}c_{13}\end{array}\right),`$ (23)
where we have used the short form $`c_{ij}\mathrm{cos}\theta _{ij}`$ and $`s_{ij}\mathrm{sin}\theta _{ij}`$.

From the three mixing matrices that form the lepton mixing in Eq. (19), we have experimental information only upon the angles of $`O^W`$, the mixing matrix involved in the neutrino oscillation experiments. However the information we have is not enough to determine uniquely the three angles in Eq. (23). What we know is that the recent analysis of atmospheric neutrino oscillation still favor $`\nu _\mu \nu _\tau `$ oscillation with an almost maximal mixing $`0.92<\mathrm{sin}^22\theta _{atm}1.0`$ at 90 % C.L. . We also have that the oscillation among $`\nu _e\nu _\mu `$ is almost settled as the explanation for the solar neutrino problem. Here the recent results allow $`0.25\mathrm{sin}^2\theta _{sun}0.40`$ and $`0.6\mathrm{cos}^2\theta _{sum}0.75`$(90 % C.L.). Since the CHOOZ experiment failed to see the disappearance of $`\overline{\nu }_e`$, we also have $`0\mathrm{sin}^22\theta _{chz}<0.1`$ (90 % C.L.) .

For our proposal here we have to fix the angles $`\theta _{atm}`$ ($`\theta _{23}`$ in Eq. (23)) and $`\theta _{chz}`$ ( $`\theta _{13}`$ in Eq. (23)). This is straightforwardly done by taking the best fit for $`\theta _{atm}=45^{}`$, while $`\theta _{chz}=0^{}`$, in agreement with the above presented results. The angle involved in the solar neutrino oscillation ($`\theta _{12}`$) is the one that allows for a certain range of values. Fortunately, we can keep it as a free parameter. For simplicity let us take $`\mathrm{sin}\theta _{sun}=s`$ and $`\mathrm{cos}\theta _{sun}=c`$. We then are left with the so called maximal mixing pattern for $`O^W`$, according to the parameterization in Eq. (23):

$`O^W=\left(\begin{array}{ccc}c& s& 0\\ \frac{s}{\sqrt{2}}& \frac{c}{\sqrt{2}}& \frac{1}{\sqrt{2}}\\ \frac{s}{\sqrt{2}}& \frac{c}{\sqrt{2}}& \frac{1}{\sqrt{2}}\end{array}\right).`$ (27)
Henceforth we will focus our attention on this particular pattern concerning the neutrino mixing.

## 3 Possible lepton mixing

According to Eq. (17), the charged lepton mass matrix is necessarily non-diagonal, compelling us to analyze only two cases. The first one is the case where neutrino mass matrix is diagonal, and the mixing in the charged current is due only to the charged lepton sector. The second possibility is to have both neutrino and charged lepton mass matrices non-diagonal, resulting in a mixing matrix given by $`O^W=V_{eL}^TV_\nu `$.

### 3.1 First Case

Let us begin our analysis by the case where neutrinos are in a diagonal mass basis. In this case, $`O^W=V_{eL}^T`$, $`M_\nu =Diag(G_{11}v_{\sigma _1},G_{22}v_{\sigma _1},G_{33}v_{\sigma _1})`$ and $`M_l`$ takes the form

$`M_l=\left(\begin{array}{ccc}G_{11}v_{\sigma _2}\hfill & F_{12}v_\eta & \hfill F_{13}v_\eta \\ F_{12}v_\eta \hfill & G_{22}v_{\sigma _2}& \hfill F_{23}v_\eta \\ F_{13}v_\eta \hfill & F_{23}v_\eta & \hfill G_{33}v_{\sigma _2}\end{array}\right).`$ (31)
This texture is very peculiar since the non-diagonal elements are anti-symmetric and, as far as we know, there is no approach dealing with such a texture in literature. Now let us check if we are able to obtain the mixing in Eq. (27) taking into account the texture in Eq. (31). It is suitable to remark that when $`V_\nu =I`$ then $`O^W=V_{eL}^T`$ and $`O^V=V_{eR}^T`$, meaning that $`V_{eL}^T`$ is given solely by the maximal mixing matrix, Eq. (27).

In this case $`O^V=V_{eR}^T`$. With this and using the pattern of a CKM matrix in Eq. (23) for $`O^V`$, we have that

$`V_{eR}=\left(\begin{array}{ccccc}c_{13}c_{12}& & s_{12}c_{23}s_{23}s_{13}c_{12}& & s_{23}s_{12}s_{13}c_{23}c_{12}\\ s_{12}c_{13}& & c_{23}c_{12}s_{23}s_{13}s_{12}& & s_{23}c_{12}s_{13}s_{12}c_{23}\\ s_{13}& & s_{23}c_{13}& & c_{23}c_{13}\end{array}\right).`$ (35)
Starting with these assignments for the matrices $`V_{eL}`$ and $`V_{eR}`$, the charged lepton mass matrix, Eq. (31), is connected to them through $`M_l=V_{eL}M_l^DV_{eR}^T`$, where $`M_l^D=Diag(m_e,m_\mu ,m_\tau )`$. Since we know the charged lepton masses we can check if there exists a range of values for the mixing angles that is compatible with this equation, which we write as,

$`V_{eL}M_l^DV_{eR}^T=\left(\begin{array}{ccc}M_{11}\hfill & M_{12}& \hfill M_{13}\\ M_{21}\hfill & M_{22}& \hfill M_{23}\\ M_{31}\hfill & M_{32}& \hfill M_{33}\end{array}\right),`$ (39)
where we have defined,

$`M_{12}=cc_{13}s_{12}m_e+{\displaystyle \frac{s}{\sqrt{2}}}[(s_{12}s_{13}s_{23}c_{12}c_{23})m_\mu (c_{12}s_{23}+s_{12}s_{13}c_{23})m_\tau ],`$
$`M_{21}=sc_{12}c_{13}m_e{\displaystyle \frac{c}{\sqrt{2}}}[(s_{12}c_{23}+c_{12}s_{13}s_{23})m_\mu +(s_{12}s_{23}c_{12}s_{13}c_{23})m_\tau ],`$
$`M_{13}=cs_{13}m_e+{\displaystyle \frac{s}{\sqrt{2}}}[c_{13}s_{23}m_\mu +c_{13}c_{23}m_\tau ],`$
$`M_{31}={\displaystyle \frac{1}{\sqrt{2}}}[(s_{12}c_{23}+c_{12}s_{13}s_{23})m_\mu +(s_{12}s_{23}c_{12}s_{13}c_{23})m_\tau ],`$
$`M_{23}=ss_{13}m_e+{\displaystyle \frac{c}{\sqrt{2}}}[c_{13}s_{23}m_\mu c_{13}c_{23}m_\tau ],`$
$`M_{32}={\displaystyle \frac{1}{\sqrt{2}}}[(c_{12}c_{23}s_{12}s_{13}s_{23})m_\mu (s_{12}s_{13}c_{23}+c_{12}s_{23})m_\tau ],`$
$`M_{11}=cc_{12}c_{13}m_e+{\displaystyle \frac{s}{\sqrt{2}}}[(s_{12}c_{23}+c_{12}s_{13}s_{23})m_\mu +(s_{12}s_{23}c_{12}s_{13}c_{23})m_\tau ],`$
$`M_{22}=ss_{12}c_{13}m_e+{\displaystyle \frac{c}{\sqrt{2}}}[(c_{12}c_{23}s_{12}s_{13}s_{23})m_\mu +(c_{12}s_{23}+s_{12}s_{13}c_{23})m_\tau ],`$
$`M_{33}={\displaystyle \frac{1}{\sqrt{2}}}[c_{13}s_{23}m_\mu +c_{13}c_{23}m_\tau ].`$ (40)
According to Eqs. (13) and (17), once we impose the neutrino mass matrix is diagonal, the texture of the charged lepton mass matrix automatically emerges and it is such that the non-diagonal elements are anti-symmetric as displayed in Eq. (31). This implies that the non-diagonal elements in Eq. (40) above have to be anti-symmetric, $`M_{ij}=M_{ji}`$ for $`ij`$. These conditions can be translated into the following set of non-linear equations for the mixing angles:

$`\sqrt{2}[cs_{12}c_{13}+sc_{12}c_{13}]m_e+[s(s_{12}s_{13}s_{23}c_{12}c_{23})c(s_{12}c_{23}+c_{12}s_{13}s_{23})]m_\mu `$
$`+[c(c_{12}s_{13}c_{23}s_{12}s_{23})s(c_{12}s_{23}+s_{12}s_{13}c_{23})]m_\tau =0,`$
$`\sqrt{2}cs_{13}m_e[sc_{13}s_{23}+s_{12}c_{23}+c_{12}s_{13}s_{23}]m_\mu +[sc_{13}c_{23}+s_{12}s_{23}c_{12}s_{13}c_{23}]m_\tau =0,`$
$`\sqrt{2}ss_{13}m_e+[cc_{13}s_{23}+c_{12}c_{23}s_{12}s_{13}s_{23}]m_\mu [cc_{13}c_{23}+c_{12}s_{23}+s_{12}s_{13}c_{23}]m_\tau =0.`$
(41)
Motivated by the fact that the charged lepton masses differ by orders of magnitude the first naive attempt we could try in order to see if this system admits a solution is to assume that the coefficients of each mass term vanishes. In the sequence we are going to show that no solution can be found in this way and, in this case, we have to allow for any combination of the mass coefficients to cancel each other, which will need some numerical computation.

We start by making the coefficients of $`m_e`$, $`m_\mu `$ and $`m_\tau `$ in Eq. (41), to vanish identically. This leads automatically to the following constraints,

$$cs_{12}=sc_{12},$$
(42)
and

$$s_{13}=0.$$
(43)
For simplicity, we are going to assume that $`c_{13}=+1`$***It can be shown that $`c_{13}=1`$ would lead to the same conclusions, although to different charged lepton mass elements in Eq. (40).. The constraint in Eq. (43) allows some simplification in Eq. (41) and we can extract further constraints from it, namely,

$`sc_{23}`$ $`=`$ $`s_{12}s_{23},`$
$`ss_{23}`$ $`=`$ $`s_{12}c_{23},`$
$`cc_{23}`$ $`=`$ $`c_{12}s_{23},`$
$`cs_{23}`$ $`=`$ $`c_{12}c_{23}.`$ (44)
Taking into account the constraint Eq. (42) together with these equations, it is straightforward to see that we only have a solution for this system if $`s=0`$ or $`c=0`$, which is not the case since the small angle MSW solution is already ruled out. In this way we have shown that our naive analytical approach does not allow us to obtain a conclusion about the existence of a solution.

We have then to resort to numerical calculations. The numerical analysis was done using the package for solving systems of non-linear equations described in Ref. . We fixed the lepton masses as, $`m_e=0.51`$ MeV, $`m_\mu =105.66`$ MeV and $`m_\tau =1777.0`$ MeV, and assumed values for $`s`$ and $`c`$ in the range: $`0.439941<sc<0.686221`$ . No solution for the system Eq. (41) was found in this range. This analysis is sufficient to conclude that lepton mixing in minimal 3-3-1 model does not allow for the pattern of charged lepton masses given by Eq. (31). Hence, we should look for another scenario where neutrinos and charged lepton mass matrices are both in a non-diagonal basis. That is what we will do next.

### 3.2 Second Case

Another possible scenario is one where both neutrino and charged lepton mass matrices are non-diagonal. In this situation, the mixing in Eq. (27) is generated partially by the diagonalization of neutrino mass matrix and partially by the diagonalization of charged lepton mass matrix. The only way of separating Eq. (27) in these two matrices is to have maximal mixing between $`\nu _\mu `$ and $`\nu _\tau `$ coming from the charged lepton sector and the mixing in the $`\nu _e`$ to $`\nu _\mu `$ oscillation coming from the neutrino sector. In this way we have

$`O^W=V_{eL}^TV_\nu =\left(\begin{array}{ccc}c& s& 0\\ \frac{s}{\sqrt{2}}& \frac{c}{\sqrt{2}}& \frac{1}{\sqrt{2}}\\ \frac{s}{\sqrt{2}}& \frac{c}{\sqrt{2}}& \frac{1}{\sqrt{2}}\end{array}\right)=\left(\begin{array}{ccc}1& 0& 0\\ 0& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}\\ 0& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}\end{array}\right)\times \left(\begin{array}{ccc}c& s& 0\\ s& c& 0\\ 0& 0& 1\end{array}\right),`$ (54)
where,

$`V_{eL}^T=\left(\begin{array}{ccc}1& 0& 0\\ 0& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}\\ 0& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}\end{array}\right),`$ (58)
and,

$`V_\nu =\left(\begin{array}{ccc}c& s& 0\\ s& c& 0\\ 0& 0& 1\end{array}\right).`$ (62)
From the Lagrangian term containing the singly charged bilepton, Eq. (19), we have that $`O^V=V_{eR}^TV_\nu `$, with the diagonalization matrices given above. We then parameterize $`O^V`$ according to the usual CKM pattern,

$`O^V=\left(\begin{array}{ccccc}c_{12}c_{13}& & s_{12}c_{13}& & s_{13}\\ s_{12}c_{23}c_{12}s_{13}s_{23}& & c_{12}c_{23}s_{12}s_{13}s_{23}& & c_{13}s_{23}\\ s_{12}s_{23}c_{12}s_{13}c_{23}& & c_{12}s_{23}s_{12}s_{13}c_{23}& & c_{13}c_{23}\end{array}\right).`$ (66)
Dissociating it as a product of three different rotation matrices,

$`O^V=\left(\begin{array}{ccc}1& 0& 0\\ 0& c_{23}& s_{23}\\ 0& s_{23}& c_{23}\end{array}\right)\times \left(\begin{array}{ccc}c_{13}& 0& s_{13}\\ 0& 1& 0\\ s_{13}& 0& c_{13}\end{array}\right)\times \left(\begin{array}{ccc}c_{12}& s_{12}& 0\\ s_{12}& c_{12}& 0\\ 0& 0& 1\end{array}\right),`$ (76)
we recognize the last matrix at the right hand side of Eq. (76) as the neutrino mixing matrix given above in Eq. (62) which implies $`c_{12}=c`$ and $`s_{12}=s`$.

After this, the appropriate form of $`V_{eR}`$ is then automatically obtained as follows:

$`V_{eR}^T=\left(\begin{array}{ccc}1& 0& 0\\ 0& c_{23}& s_{23}\\ 0& s_{23}& c_{23}\end{array}\right)\times \left(\begin{array}{ccc}c_{13}& 0& s_{13}\\ 0& 1& 0\\ s_{13}& 0& c_{13}\end{array}\right)=\left(\begin{array}{ccc}c_{13}& 0& s_{13}\\ s_{23}s_{13}& c_{23}& s_{23}c_{13}\\ c_{23}s_{13}& s_{23}& c_{23}c_{13}\end{array}\right),`$ (86)
With $`V_{eR}`$ given above, Eq. (86), and $`V_\nu `$ given by Eq. (62), we are able to obtain the texture of the neutrino and charged lepton mass matrices. For the neutrinos we have:

$`V_\nu M_\nu ^DV_\nu ^T=\left(\begin{array}{ccccc}m_1c^2+m_2s^2& & (m_2m_1)cs& & 0\\ (m_2m_1)cs& & m_1s^2+m_2c^2& & 0\\ 0& & 0& & m_3\end{array}\right).`$ (90)
When this is confronted with $`M_\nu `$ in Eq. (17) we conclude that $`G_{13}=G_{23}=0`$. As a consequence, we are left with a peculiar texture for the charged lepton mass matrix,

$`M_l=\left(\begin{array}{ccc}G_{11}v_{\sigma _2}& (G_{12}v_{\sigma _2}+F_{12}v_\eta )& F_{13}v_\eta \\ (G_{12}v_{\sigma _2}F_{12}v_\eta )& G_{22}v_{\sigma _2}& F_{23}v_\eta \\ F_{13}v_\eta & F_{23}v_\eta & G_{33}v_{\sigma _2}\end{array}\right).`$ (94)
We must check now if these assignments are plausible by verifying if the diagonalization matrices so obtained drive us to such a texture. We then compute $`V_{eL}M_l^DV_{eR}^T`$ where $`V_{eL}`$ is given by Eq. (58), and $`V_{eR}`$ by Eq. (86),

$`M_l=V_{eL}M_l^DV_{eR}^T=\left(\begin{array}{ccc}1& 0& 0\\ 0& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}\\ 0& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}\end{array}\right)\times \left(\begin{array}{ccc}m_e& 0& 0\\ 0& m_\mu & 0\\ 0& 0& m_\tau \end{array}\right)\times \left(\begin{array}{ccc}c_{13}& 0& s_{13}\\ s_{23}s_{13}& c_{23}& s_{23}c_{13}\\ c_{23}s_{13}& s_{23}& c_{23}c_{13}\end{array}\right)=`$ (104)
$`\left(\begin{array}{ccccc}c_{13}m_e& & 0& & s_{13}m_e\\ \frac{1}{\sqrt{2}}(s_{23}s_{13}m_\mu +c_{23}s_{13}m_\tau )& & \frac{1}{\sqrt{2}}(c_{23}m_\mu +s_{23}m_\tau )& & \frac{1}{\sqrt{2}}(s_{23}c_{13}m_\mu c_{23}c_{13}m_\tau )\\ \frac{1}{\sqrt{2}}(s_{23}s_{13}m_\mu c_{23}s_{13}m_\tau )& & \frac{1}{\sqrt{2}}(c_{23}m_\mu s_{23}m_\tau )& & \frac{1}{\sqrt{2}}(s_{23}c_{13}m_\mu +c_{23}c_{13}m_\tau )\end{array}\right).`$ (108)
Let us look at the consequences of this result. We first observe that by identifying Eq. (94) with Eq. (108) we obtain the following equations,

$`s_{23}s_{13}m_\mu +c_{23}s_{13}m_\tau =0,`$
$`s_{13}m_e={\displaystyle \frac{1}{\sqrt{2}}}(s_{13}s_{23}m_\mu +s_{13}c_{23}m_\tau ),`$
$`c_{23}m_\mu s_{23}m_\tau =s_{23}c_{13}m_\mu +c_{23}c_{13}m_\tau .`$ (109)
We can analyze two possibilities, namely, $`s_{13}=0`$ and $`s_{13}0`$. For the case $`s_{13}=0`$ (assuming $`c_{13}=+1`$), these equations have a solution for $`c_{23}=s_{23}`$.

However, the fact that elements $`G_{ab}`$ are present in both mass matrices, of neutrinos and charged leptons, leads to tight constraints on their values. For instance, by comparing the matrix in Eq. (17) with Eq. (90), we can extract

$$G_{11}v_{\sigma _1}=m_1c^2+m_2s^2,$$
(110)
and

$$G_{33}v_{\sigma _1}=m_3.$$
(111)
According to Eqs. (94) and (108), after substituting the obtained value for the mixing angles, $`s_{13}=0c_{13}=1`$ and $`c_{23}=s_{23}=1/\sqrt{2}`$, $`G_{11}`$ and $`G_{33}`$ are also constrained to the charged lepton masses,

$$G_{11}v_{\sigma _2}=m_e,$$
(112)
and

$$G_{33}v_{\sigma _2}=\frac{1}{2}(m_\tau m_\mu )\frac{1}{2}m_\tau .$$
(113)
But this is not possible because $`m_1`$, $`m_2`$ and $`m_3`$ are of the order of eV, while $`m_e`$ is of the order of MeV and $`m_\tau `$ is of the order of GeV. When we divide Eq. (110) and Eq. (111) by Eq. (112) and Eq. (113), respectively, we obtain that the ratio $`v_{\sigma _1}/v_{\sigma _2}`$ is about $`10^6`$ in one case and $`10^9`$ in the other, which is an absurd. This shows that such a solution is not possible.

Suppose now that $`s_{13}`$ is not null. In this situation the second equation in Eq. (109) becomes,

$$m_e=\frac{1}{\sqrt{2}}(s_{23}m_\mu +c_{23}m_\tau ).$$
(114)
Since the magnitude of the charged lepton masses are very different, there is no value for the mixing angle in Eq. (114) that makes the right hand side of this equation to be equal to the electron mass. For instance, if $`s_{23}(c_{23})`$ is small, $`c_{23}(s_{23})`$ is close to one and we would obtain $`m_em_\tau (m_\mu )`$, an obviously false result. This analysis is general enough and we do not even need to appeal to numerical computation to conclude that the minimal 3-3-1 model requires some extension in order to accommodate the lepton mixture.

## 4 Concluding Remarks

We have investigated the possibility of conciliating the mixing in lepton sector, suggested by the neutrino oscillation hypothesis, with the minimal version of 3-3-1 model. Due to the very particular form of the anti-symmetric Yukawa coupling with the triplet, we have shown that none of the alternatives for the mass matrix textures of charged leptons and neutrinos could generate the expected pattern for neutrino mixing. Hence, if by one side the minimal 3-3-1 model naturally explains the smallness of neutrinos masses , by the other side it is not able to consistently accommodate the neutrino mixing. This does not mean that the model loses its attractiveness, it still addresses additional questions not embraced by the Standard Model. However, the newest observations from neutrino physics put it clear, through the results here obtained, that further extension is needed in order to keep the privileged position that the model deserves.

Acknowledgements. We thank Orlando Peres for valuable informations on the recent experimental limit on $`\mathrm{sin}^2\theta _{sum}`$ and $`\mathrm{cos}^2\theta _{sum}`$. A.G and P.R.S thank FAPESP while C.P thank CNPq for partial support.


text:
# Chapter 1 Detection of Tau Neutrinos in Underwater Neutrino Telescopes

## Chapter 1 Detection of Tau Neutrinos in Underwater Neutrino Telescopes

### Abstract

If neutrinos produced in cosmological sources oscillate, neutrino telescopes can have a chance to detect signals from $`\tau `$-neutrinos. We present an estimate of the ’double bang’ event rate produced by $`\nu _\tau `$’s in km3 scale detectors.

### 1. Introduction

$`\nu _\mu \nu _\tau `$ oscillations should lead to the proportion $`\nu _e:\nu _\mu :\nu _\tau =1:1:1`$ for neutrinos produced in cosmological sources that reach the Earth, though the flavor ratio at production is expected to be $`1:2:0`$ (if all muons decay). Passing through the Earth, $`\nu _\tau `$’s generate $`\tau `$-leptons via charged current (CC) interactions. Being short-lived particles, $`\tau `$’s decay in flight producing $`\nu _\tau `$’s and (in $``$35% cases) also $`\nu _\mu `$’s or $`\nu _e`$’s. Hence, neutrinos of all flavors undergo a regeneration process. The Earth is transparent for VHE $`\nu _\tau `$’s and, moreover, $`\nu _\tau `$’s are able to recover partially also $`\nu _{\mu ,e}`$ fluxes for which the Earth is opaque at VHE. $`\nu _\tau `$’s can be detected via $`\tau `$’s produced in CC interactions. At energies $`E_\nu <10^6`$ GeV $`\tau `$ range is short ($`R_\tau <30`$ m) and showers at CC interaction and $`\tau `$ decay vertices cannot be reconstructed separately in underwater/ice neutrino telescopes (UNT). Hence the 2 hadronic or hadronic+electromagnetic showers cannot be distinguished by a point-like hadronic+electromagnetic shower, produced by a $`\nu _e`$. For $`E_\nu 10^{6÷7}`$ GeV the ’double bang’ (DB) signature ($`\tau `$ track between 2 showers at $`\nu _\tau `$ interaction point and $`\tau `$ decay vertex ) can be a clear and background-free evidence of $`\nu _\tau `$ detection. At $`E_\nu >310^7`$ GeV $`\tau `$-lepton range becomes larger than 1 km and $`\tau `$’s cannot be distinguished from muons in km3 scale UNT. Using the muon and $`\tau `$ propagation code MUM , we estimate that even though $`\tau `$’s and muons have different energy loss properties, a lower energy muon can produce through stochastic processes showers with similar features than a $`\tau `$-lepton.

Estimates of DB rates in km3 UNT were done in  for down-going $`\nu _\tau `$’s, while events from the lower hemisphere were not considered. Calculations of up-going $`\nu _\tau `$ propagation were done in . It was concluded that, though VHE $`\nu _\tau `$’s are not absorbed by the Earth, their energies decrease; hence the amount of $`\tau `$ events in the DB energy range is low. In this work we present results of a MC simulation of astrophysical $`\nu `$ propagation through the Earth using 2 spectra  not considered in . The rate of DB events in km3 scale UNT is estimated.

### 2. Method and Results

We simulate both DIS CC and NC interactions for all kind of neutrinos  in the energy range $`10^3`$ GeV $`<E_\nu <10^9`$ GeV using the CTEQ3\_DIS structure functions. MUM  was used for $`\tau `$ propagation including the newest corrections for photo-nuclear interaction . We used TAUOLA package  to generate the $`\tau `$ decays. Comparison of results for power-law spectra obtained by our algorithm with ones published in  showed a reasonable agreement. $`\nu _{\mu ,e}`$ tracking is stopped after a CC interaction. $`\tau `$’s produced in $`\nu _\tau `$ CC interactions are propagated up to their decay vertex. Incident fluxes on Earth of $`\nu `$’s are assumed equal to $`\overline{\nu }`$ fluxes for all flavors. The background of atmospheric $`(\pi K)`$ and prompt (RQPM) $`\nu _{\mu ,e}`$’s is generated using spectra in . Simulation results are presented in Fig. 1. We used the $`\nu `$ flux predicted by Protheroe  for an external photon optically thick proton blazar model. In Fig. 2 results are presented or an upper bound (not for a model) on diffuse $`\nu `$ spectrum for optically thick AGN sources (thick solid line in Fig. 5 in ). $`\nu _\tau `$ fluxes exceed $`\nu _{\mu ,e}`$ ones remarkably up to nadir angles $`\theta 60^o`$ since $`\nu _\tau `$’s are not absorbed by the Earth in contrast to $`\nu _{\mu ,e}`$’s. But their spectra are shifted to lower energies due to energy degradation in regeneration process. For all $`\theta `$, the outgoing flux of astrophysical neutrinos exceeds $`\nu _{atm}`$ flux at $`E_\nu >(1÷3)10^5`$ GeV. Secondary $`\nu _{\mu ,e}`$’s which are produced by $`\tau `$ decays contribute to total outgoing $`\nu _{\mu ,e}`$ spectra with fractions 0.57, 0.18, 0.06, 0.02 (spectrum ) and 0.18, 0.06, 0.02, 0.01 (spectrum ) for nadir angles $`\theta =`$6o, 60o, 80o, and 85o, respectively. Analysis of ratio between muon rates and shower rates that may be an indirect signature of $`\nu _\tau `$ appearance was presented in . In this work we analyze direct $`\nu _\tau `$ detection through DB signature. The rate of totally contained DB events is given by:

$$N=2\pi \rho N_A_1^{0\left(1\right)}_{E_{min}}^{\mathrm{}}V_{eff}(E_{\nu _\tau },\theta )I(E_{\nu _\tau },\theta )\sigma ^{CC}\left(E_{\nu _\tau }\right)𝑑E_{\nu _\tau }d\left(\mathrm{cos}\theta \right),$$
(1)
where $`N_A`$ is the Avogadro number, $`\rho `$ is medium density (we use $`\rho =`$ 1 g cm-3 which is close to sea water/ice density), $`I(E_{\nu _\tau },\theta )`$ is the differential $`\nu _\tau `$ flux. The Earth shadowing effect is accounted for the lower hemisphere (upper limit of the integral 0, while $`\mathrm{cos}\theta =1`$ is used to compute the number of events for the whole sphere); $`V_{eff}=S_p(\theta )(LR_\tau (E_{\nu _\tau }))`$, with $`S_p`$ projected area for tracks generated isotropically in azimuth at the fixed $`\theta `$ directions on a parallelepiped (IceCube-like $`1\times 1\times 1`$ km3  and NEMO-like $`1.4\times 1.4\times 0.6`$ km3 ), $`L`$ geometrical distance between entry and exit point, $`R_\tau `$ $`\tau `$-lepton range, $`\sigma ^{CC}`$ total CC $`\nu `$ cross section. $`E_{min}=210^6`$ GeV corresponds to $`\tau `$-lepton range $`R_\tau ^{min}=70`$ m. DB can be considered as a background-free $`\tau `$ signature  since there should be no atmospheric $`\mu `$ which could produce 2 showers with comparable amount of photons. Nevertheless, this reasonable assumption needs to be verified through a full simulation. Table 1 shows DB rates for lower, upper and both hemispheres. Values for upper hemisphere are 3$`÷`$6 times lower compared to  since more optimistic predictions for diffuse neutrino fluxes are used there.

### 3. Conclusions

Based on optimistic models  for AGN diffuse neutrino fluxes we found that in km3 UNT one can expect a marginally observable rate of contained ’double bang’ $`\tau `$ events.

1. Athar H. et al. 2000, Phys. Rev. D62, 093010

2. Bugaev E., Shlepin Yu. 2003, Phys. Rev. D67, 034027

3. Dutta S. I. et al. 2000, Phys. Rev. D62 123001

4. Dutta S. I. et al. 2002, Phys. Rev. D66 077302

5. IceCube project: http://icecube.wisc.edu/

6. Jadach S. et al. 1991, Comput. Phys. Commun. 64, 275

7. Learned J. G., Pakvasa S. 1995, Astropart. Phys. 3, 267

8. Generator that is based on cross sections described in Lipari P. et al. 1995, Phys. Rev. Lett. 74, 4384 with extension for VHE range by T. Montaruli

9. Mannheim K. et al. 2001, Phys. Rev. D63, 023003

10. Naumov V. A. 2001, in Proc. of 2nd Workshop on Methodical Aspects of Underwater/Underground Telescopes, Hamburg, p.31 \[hep-ph/0201310\]

11. NEMO project: http://nemoweb.lns.infn.it/

12. Protheroe R. 1997 in Accretion Phenomena and Related Outflows, ed. Wickramasinghe et al. (Astronomical Society of the Pacific, San Francisco)

13. Sokalski I. et al. 2001, Phys. Rev., D64, 074015


text:
# Development of a PCI Based Data Acquisition Platform for High Intensity Accelerator Experiments

## I INTRODUCTION

The Belle collaboration bib:Belle  has established the validity of the Kobayashi-Maskawa scheme of $`CP`$ violation and has measured various quantities in $`B`$ meson decays bib:CPV . These measurements have been facilitated by the KEKB accelerator bib:KEKB , which is an $`e^+e^{}`$ collider with a remarkable luminosity greater than $`>10^{34}`$ cm-2s-1. To extend the physics coverage to precise determination of the CKM matrix elements, as well as a search for new physics, we are planning a significant upgrade of the experiment for operating at a luminosity of $`>10^{35}`$ cm-2s-1.

Concurrently, planning for experiments at a high intensity proton beam facility, J-PARC, which utilizes fixed target bib:J-PARC  collisions, is maturing. This experimental complex enables us to explore physics topics such as neutrino mass difference or $`CP`$ violation, as well as a precise determination of $`ϵ^{}/ϵ`$ in $`K`$ meson decays.

In the high-luminosity experiments the level-1 trigger rate and the data size per event will increase to $`10`$ kHz and 50-100 kB, respectively, and an overall requirement for the data acquisition system (DAQ) is typically estimated as 500-1000 MB/s. To match these boundary conditions, several DAQ components need to be developed: triggers, timing distributors, DAQ platforms, computer farms, etc.

### I.1 Overview of Current Belle DAQ

Figure 1 illustrates global data flow through the current Belle DAQ system bib:DAQ . Hit signals from the Belle detector are transferred to electronics hut via differential or other cables. In the electronics hut, hit signals are converted from analog to digital at the DAQ platform and are stored in an event buffer to minimize dead-time. These data are then fetched by CPUs and experience pedestal subtraction, data suppression, and data formatting. The formatted data are sent to an event builder to be combined into a single event record. Output from the event builder is then transferred to the online computer farm. At the online computer farm, data formatting, calibration, event reconstruction, and event filtering, known collectively as level-3 trigger processing, is performed. As the final step, the online computer farm transfers the data to a mass storage system.

A level-1 hardware trigger module is drawn in Figure. 1. Each sub-detector generates trigger signals (known as level-0 triggers), which are fed to global decision logic, which determines whether the event should be acted upon or discarded. This trigger decision is first fed to a sequence controller that ensures a correct timing handshaking by detecting “busy” signals from each DAQ platform. The sequence controller routes the trigger signal to the trigger timing distributor, which then fans-out trigger signals to the DAQ platforms to initiate the data fetch by the CPUs.

### I.2 Design of a New DAQ Platform

To minimize bandwidth from the detector, data size should be reduced as much as possible. There are two major trends of data reduction: one is complex triggering at lower levels, while the other is a data reduction by online processors. To save limited human resources, we are encouraged to use commercial products. From the view point of the market trends, ASICs (Application-Specific Integrated Circuits) are becoming very popular; however, an evolutionary storm in the computer market is also brewing. Considering these matters, we have decided to develop a new DAQ platform equipped with CPUs for data compression.

The internal bus of the platform should be fast. The PCI bus can perform up to 133 MB/s, which is faster than the VME bus, upon which the current Belle DAQ system is based. The PCI bus also has an advantage in compactness and modularity by providing a mezzanine card standard, known as PMC – PCI mezzanine card. Since the data size is expected to triple, a smaller unit platform is preferred so as to keep the space requirements within the electronics hut manageable. The modularity of the PMC is especially beneficial when considering upgrade of the processor PMC module. Moreover, because the PCI bus has spread so widely throughout the world, it is unlikely to die quickly and current new technologies show little promise to improve on it. Thus we can aim for a long lifetime of the PCI-based DAQ platform, while using newest products.

Higher luminosity consequently requires a pipelined DAQ system. It is necessary for the platform to be equipped with readout FIFOs to buffer events.

In summary, we have chosen an on-board DAQ platform based on the PCI bus bib:PCI , which contains a CPU for data compression and readout FIFOs for event buffering.

## II COMMON DAQ PLATFORM

The new DAQ platform consists of two components, the COPPER (COmmon Pipelined Platform for Electronics Readout) and the SPIGOT (Sequencing Pipeline Interface with Global Oversight and Timing). The COPPER is a 9U-VME sized card which serves as the platform for interfacing the front-end specific electronics, via a data compression CPU, to the event builder. Detector input connections are made through FINESSE (Front-end INstrumentation Entity for Sub-detector Specific Electronics) A/D conversion modules, which transfer their data to readout FIFOs instrumented on the COPPER board. The SPIGOT, which interfaces with the COPPER at its backplane (rear) side, is a 6U-VME sized board which includes a trigger module that issues trigger decisions to the FINESSE daughter-cards on the COPPER. In the following subsections, we give description of the COPPER and the SPIGOT.

### II.1 COPPER

Figure 2 shows a block diagram of a single COPPER board. The COPPER is a 9U-VME sized board. It is equipped with four slots for FINESSE modules, readout FIFOs, and three PMC slots connected to the PCI bus. A processor module for the data compression resides at one of three PMC slots.

Detector hit signals are first put into one of (up to) four FINESSE cards, at which the signals are digitized. Upon receipt of a level-1 trigger by the FINESSE from a trigger module on the SPIGOT, the FINESSE pushes data into the readout FIFOs. Each readout FIFO is connected to the local bus on the COPPER. A local-PCI bus bridge, PCI9054 bib:PLX9054 , collects data from the FIFOs and transfers them to the main memory in the processor module on the PCI bus using DMA.

A local bus sequencer on the local bus counts the number of words in each readout FIFO associated to every trigger to provide the event size to the processor module and to throttle the level-1 trigger when the FIFOs get full.

In the processor module, complicated data compression is performed: pedestal subtraction, zero suppression, and data formatting. Formatted data is subsequently transferred from the processor via an external link device to the event builder.

The COPPER has RJ45 port so that the processor module on the COPPER can be operated through the network. The COPPER also has a VME-PCI dual port memory to be redundantly operated from the VME master module and to export the event data at an very early stage of the system development.

The photograph of the COPPER is shown in Figure 3.

### II.2 SPIGOT

The SPIGOT is a 6U-VME sized board upon which is mounted a trigger module and up to two PMC modules, where one of two is intended to be used for PMC link device, typically an Ethernet card, connected to the event builder. The SPIGOT resides behind the COPPER, mounted in a transition module location, offset to align at the bottom of the P3 plane location. The PCI bus on the SPIGOT is electrically connected to the one on the COPPER via PCI-PCI bridge on the COPPER.

The trigger module distributes a trigger timing and sampling clock to each FINESSE module, the signals of which come from an upstream transmitter module. The trigger module includes a trigger FIFO, which is accessible to the processor via the PCI bus, to hold an event counter and a trigger type. This trigger information is included in a header of each event by the processor.

## III FINESSE

The FINESSE is a mezzanine card with dimensions of $`71.0\times 186.0\mathrm{mm}^2`$ and is mounted on the COPPER. Each FINESSE samples and digitizes detector hit signals according to either an external or internal clock, holds digitized signals in its synchronous buffer, and transfers the digitized data to readout FIFOs on the COPPER upon receipt of a level-1 trigger signal. A block diagram of the FINESSE is shown in Figure 4. A photograph of a prototype FINESSE is shown in Figure 5.

The FINESSE receives an external sampling clock for A/D conversion continuously from the trigger module in LVDS format, and stores the digitized signals to the synchronous buffer according to this clock. Once the FINESSE receives a trigger, it freezes the relevant contents of the synchronous buffer moves these contents to a readout FIFO on the COPPER.

The FINESSE shall ensure a busy handshaking with the trigger module. Upon receipt of a level-1 trigger, each FINESSE shall assert trigger busy until all data associated with the trigger are flushed to the readout FIFO. Delivery of the next trigger by the trigger module is suspended until all busy signals asserted by each of four FINESSEs are cleared.

A/D conversion can be as accurate as 16 bits. To utilize full PCI bandwidth, two data words are fetched by the processor in parallel simultaneously. The first 16-bit data word appears in the lower 16-bits of the local data bus and the trailing 16-bit word does in the higher.

Write clocks to the readout FIFOs during busy assertion are spied upon by a local bus sequencer to count the number of stored words in the readout FIFO.

## IV PMC PROCESSOR MODULE

The PMC processor module on the COPPER receives data from the readout FIFOs, reduces the data size, and sends this formatted data to the event builder.

To develop the data reduction software easily, the processor should be capable of handling a familiar operating system such as Linux. It is also important for us to choose a CPU that is on a concrete upgrade path. Our answer for the processor module is to use Intel processor based on a PC architecture.

Another constraint comes from the power consumption. Because of the limited power supply capacity in a standard VME crate and because of the limits imposed by air cooling, the power consumption by the processor module should be less than 20 W.

We purchased EPC-6315 CPUs provided by RadiSys Corp. bib:EPC6315 , equipped with Intel Pentium III processors operating with an 800 MHz clock. In this configuration the processor consumes up to 17 W of electrical power. Figure 6 is a photograph of the EPC-6315.

We evaluated the performance of the EPC-6315 by means of a pseudo-data-compression software. We assume that each FINESSE converts 16-channels of analog signal into 8-bit digital signals. If we set the sampling rate and sampling window as 100 MHz and 500 ns, respectively, the required data processing rate by the processor should be more than 32 MB/s at a 10 kHz trigger rate. The test software works with Monte-Carlo-generated hit signals. It copies data from a “virtual readout FIFO (memory)” to a work area, subtracts pedestals, suppresses channels without hits, and compresses data into hit timing and induced charge. At 20% occupancy, the processing speed is estimated 94 MB/s, which is marginal for our application.

We are developing a network based boot-up mechanism to handle the large number of processors.

## V PERFORMANCE STUDY

We have studied long-term stability, thermal stability, and readout performance of the new DAQ platform.

Figure 7 shows a block diagram of the test setup. Data are generated on the prototype FINESSEs according to a pre-defined table and are read by the processor module (EPC-6315) on the COPPER. After a data integrity test on the processor, the data are transferred to the data receiver process running on the Linux PC through a network interface module on the SPIGOT. In the receiver process, event header/footer, event counter, and the contents are checked. The event counter should be same for the four FINESSE modules and increase by 1 for each trigger. The data contents should be consistent with the pre-defined table. A 10 Hz random trigger is generated by the trigger module on the SPIGOT and fed to the prototype FINESSEs. Messages from the processor module are monitored via a serial terminal.

We operated the DAQ platform in the room temperature for 48 hours and in a thermostatic oven for 77 hours, varying the temperature from 10C to 50C. We detected no errors in the receiver process. We conclude the platform works stably for extended periods and is tolerant of changes in the thermal environment.

We measured the data transfer speed on the COPPER from the readout FIFOs to the CPU main memory using DMA. We determined a transfer rate of 125 MB/s without DMA setup overhead, which corresponds to 94% of full PCI-32 perfomance. We will continue to evaluate the system performance.

## VI SUMMARY

A new DAQ platform is mandated for high-rate experiments to operate at an upgraded KEKB and a new J-PARC accelerator. To realize a long lifetime of a DAQ platform while utilizing the newest products, we have designed a platform motherboard based on the PCI bus and with an on-board data compression CPU, equipped with a moderate computational capability. Signal digitization modules, to be housed on the motherboard, and a trigger distribution scheme are also designed. The platform is measured to be stable and has achieved DMA data transfer speeds of 125 MB/s.

###### Acknowledgements.

This work is supported by Grant-in-Aid for Scientific Research (C) and Grant-in-Aid for Scientific Research on Priority Areas (B) from the Japan Society for the Promotion of Science and the Ministry of Education, Culture, Sports, Science and Technology.


text:
# Chapter 1 Whipple observations of 1ES1959+650: an Update.

## Chapter 1 Whipple observations of 1ES1959+650: an Update.

### Abstract

Strong flares of TeV gamma-ray emission up to a level of $`5\mathrm{Crab}`$ were detected by the Whipple 10 m atmospheric Čerenkov telescope from the BL Lacertae object 1ES1959+650 during May - July 2002. We report here the results of follow up observations during 2002 - 2003.

### 1. Introduction

1ES1959+650 is a high frequency peak BL Lac object (HBL) at a redshift $`z=0.048`$. It was first suggested as a candidate for TeV emission by Stecker, de Jager and Salamon  and noted more recently by Costamante and Ghisellini . Initial weak detections by the Utah Seven Telescope Array  and HEGRA instruments  made this object a prime candidate for ground-based Čerenkov telescopes during 2002 and observations during May - July were rewarded with the detection of a period of strong TeV flare activity, reaching a flux level of $`5\mathrm{Crab}`$ . This detection also triggered contemporaneous target of opportunity measurements at $`10\mathrm{keV}`$ by the pointed instruments on board RXTE  as well as observations at other wavelengths . Observations with the Whipple 10 m telescope are halted during the summer months due to adverse weather conditions. In this paper we summarise the Whipple observations of 1ES1959+650 including previously unreported observations since September 2002.

### 2. Instrument Status

The configuration of the Whipple 10 m gamma-ray telescope is described in detail in . Briefly, the telescope consists of a 10 m reflector and a 490 pixel photomultiplier tube (PMT) camera. For the analysis presented here only the high resolution ($`0.12^{}`$ spacing) central 379 PMT pixels have been used. The larger, outer 111 pixels were removed from the camera in January 2003. Using standard Supercuts criteria to select gamma-ray events and reject the background of hadronic cosmic rays on the basis of the shape of the image in the camera, allows us to detect the Crab Nebula with a statistical significance of $`6\sigma `$ in $`1\mathrm{hour}`$.

### 3. Observations and Analysis

Figure 1 shows the detailed light curves for the May - July 2002 observations for both Whipple and RXTE data. The Whipple fluxes have been corrected for source elevation and atmospheric changes using the method of LeBohec and Holder . A flare is visible at both wavelengths around MJD 52410 - 15, however on MJD 52429 (June 4th) there was a clear example of a TeV gamma-ray flare with no X-ray counterpart . This flare corresponds to the most rapid flux change in gamma-rays, with a doubling timescale of $`7\mathrm{hours}`$. This is further illustrated in Figure 2, where the X-ray flux is plotted against the gamma-ray flux for all observations where there was overlapping coverage. The “orphan” gamma-ray flare is in the bottom right of the plot.

Figure 3 shows the daily average light curve for all Whipple observations of 1ES1959+650, including $`11.2\mathrm{hours}`$ of observations from September 2002 to May 2003. The source has been relatively quiescent since September 2002, with only one day’s observations (MJD 52584) revealing a significant signal at $`>3\sigma `$.

### 4. Discussion

Figure 4 shows the $`210\mathrm{keV}`$ flux from 1ES1959+650 as measured by the All Sky Monitor (ASM) on board RXTE, averaged over bins of two weeks. The most active (and variable) period occured in 2002 when the bright gamma-ray flares were observed. Observations with the Whipple telescope are ongoing and full results for 2003 will be reported at the conference. The intriguing detection of a bright gamma-ray flare without an X-ray counterpart is difficult to explain under the currently favoured one-zone synchrotron self-Compton models for high energy emission from BL Lacs. Further observations and detailed spectral analysis may help to clarify the picture.

### 5. Acknowledgements

We acknowledge the technical assistance of E. Roache and J. Melnick. This research is supported by grants from the U.S. Department of Energy, by Enterprise Ireland and by PPARC in the U.K.

### 6. References

1. Costamante L.& Ghisellini G. 2002, A&A 384, 56

2. Finley J.P. et al. 2001, in Proc. 27th ICRC, (Hamburg)

3. Holder J. et al. 2003, ApJ 583, L9

4. Horns D. et al. 2002, in High Energy Blazar Astronomy (Turku, Finland)

5. Konopelko A. et al. 2002, April APS/HEAD Meeting,(Albuquerque)

6. Krawczynski H. et al. in preparation.

7. LeBohec S. & Holder J. 2003, Astropart. Phys. 19, 221

8. Nishiyama T. et al. 1999, in Proc. 26th ICRC (Salt Lake City)

9. Schroedter M. et al. 2002, in The Universe Viewed in Gamma Rays (Kashiwa, Japan)

10. Stecker F.W., de Jager O.C. & Salamon M.H. 1996, ApJ 473, 75


text:
# An Extension of the Fluctuation Theorem

## 1 Introduction

There is a lack of unifying principles in nonequilibrium statistical mechanics, compared to the equilibrium case. So it is not surprising that the fluctuation theorem has received a lot of attention, as it gives a property of fluctuations of entropy production for a large class of systems, possibly arbitrarily far from equilibrium.

In terms of heat rather than entropy production, the conventional stationary state fluctuation theorem (SSFT)111We call equation (1) the “conventional SSFT” to distinguish it from the extended SSFT presented in this paper. states that the probability $`P_\tau (Q_\tau )`$ to find a value of $`Q_\tau `$ for the amount of heat dissipated in a time interval $`\tau `$, satisfies, in a nonequilibrium stationary state,

$$\frac{P_\tau (Q_\tau )}{P_\tau (Q_\tau )}e^{\beta Q_\tau },$$
(1)
where $``$ indicates the behavior for large $`\tau `$. Here $`\beta =(k_BT)^1`$, with $`k_B`$ Boltzmann’s constant and $`T`$ the (effective) temperature of the system. In contrast, the transient fluctuation theorem (TFT) considers fluctuations $`Q_\tau `$ in time, when the system is initially in equilibrium. These theorems were first demonstrated in deterministic many particle systems in an external field , but later in stochastic systems as well.

In this context, it is customary to identify $`Q_\tau /T`$ as a (generalized) entropy production. Then, equation (1) is interpreted as a theorem for entropy production arbitrarily far from equilibrium. Furthermore, the fluctuation theorem holds for arbitrary values of $`Q_\tau `$, i.e., also far from its average. Hence, it is often referred to as a large deviation theorem.

Recently, a laboratory experiment was carried out by Wang et al.. They measured fluctuations in the work done on a system in a transient state of a Brownian particle in water, subject to a moving, confining potential. The TFT was confirmed.

In the deterministic models, dissipation is often modeled by including a damping term in the equations of motion, chosen such as to keep, e.g., the total energy of the system fixed. This damping term is a mechanical expression for what in reality is an external thermostat. Any work done by the external field on the system is absorbed by this “internal” thermostat. So the external work done on the system equals the heat dissipated in the system.

While Wang et al. intended to study the entropy production (or heat) fluctuations, in fact, the work fluctuations were studied. In contrast to the above sketched purely deterministic models, work fluctuations differ from heat fluctuations in their system due to the presence of a confining potential. Thus, some of the external work done is converted into potential energy and only the rest is converted into heat. In fact, in this system the work fluctuations in the stationary state satisfy the conventional SSFT, but the heat fluctuations do not, as we shall show. As it turns out, having a deterministic together with a stochastic motion results in a behavior of the heat fluctuations that coincides with the conventional SSFT only for a restricted set of small fluctuations and in a very different behavior for larger ones.

## 2 Work fluctuations – conventional SSFT

We first discuss the work-related fluctuation theorem in the experiment of Wang et al., which was treated theoretically in Refs. . The Brownian particle in a fluid, subject to a harmonic potential moving with constant velocity $`𝐯^{}`$, was described by an overdamped Langevin equation:

$$\frac{d𝐱_t}{dt}=(𝐱_t𝐱_t^{})+\zeta _t.$$
(2)
Here, $`𝐱_t`$ is the position of the particle at time $`t`$, $`𝐱_t^{}=𝐯^{}t`$ is the position of the minimum of the harmonic potential at time $`t`$ \[cf. equation (7)\], and $`\zeta _t`$ is a fluctuating force with zero mean and a delta function correlation in time. We remark that the relaxation time of the position of the particle has been set equal to one. Also, we set $`k_BT=1`$, so $`\zeta _t\zeta _s=2\delta (ts)`$.222Compared to Ref. , $`k_BT=1`$, the harmonic force constant $`k=1`$ and the friction coefficient $`\alpha =1`$. So the energy unit is $`k_BT`$, the time unit is the relaxation time $`\alpha /k`$, and the length unit is the thermal width $`\sqrt{k_BT/k}`$. In reference , it was shown that equation (2) is solvable in a co-moving frame, in which it reduces to a standard Ornstein-Uhlenbeck process. Thus, the stationary probability distribution and Green’s function are known, and are both Gaussian in $`𝐱_t`$. The work is the total amount of energy put into the system in a time $`\tau `$. This is a fluctuating quantity, given by333A force on the particle implies an opposite force on $`U`$, which must be overcome by an external force to keep $`U`$ moving. The work done by this force is $`W_\tau `$ in equation (3).

$$W_\tau 𝐯^{}_0^\tau [(𝐱_t𝐱_t^{})]𝑑t.$$
(3)
Here, the time $`t=0`$ denotes the initial time of an interval of length $`\tau `$ in the stationary state. $`W_\tau `$ is a linear function of the positions $`𝐱_t`$, and since those have a Gaussian probability distribution function, so does $`W_\tau `$. When the mean and variance of the probability distribution function $`P_\tau ^W`$ are computed \[using the stationary solution and Green’s function of equation (2)\], one finds

$$\underset{\tau \mathrm{}}{lim}\frac{1}{w\tau }\mathrm{ln}\left[\frac{P_\tau ^W(pw\tau )}{P_\tau ^W(pw\tau )}\right]=p.$$
(4)
Here, $`p`$ is a scaled value of $`W_\tau `$, defined as $`p=W_\tau /W_\tau `$, such that $`p=1`$. We also wrote

$$W_\tau =w\tau ,$$
(5)
with $`w`$ the average work rate, which is independent of $`\tau `$ in the stationary state. In the current units, $`w=|𝐯^{}|^2`$. Equation (4) is, for the work fluctuations, a more careful formulation of the SSFT in equation (1). A work related TFT also holds.

## 3 Heat fluctuations

### 3.1 Fourier transform of the distribution

We now turn to the heat SSFT. The heat $`Q_\tau `$ is that part of the work $`W_\tau `$ that goes into the fluid. Some work is also stored in the potential, so

$$Q_\tau W_\tau \mathrm{\Delta }U_\tau ,$$
(6)
where $`\mathrm{\Delta }U_\tau `$ is the change in potential energy of the particle in a time $`\tau `$,

$$\mathrm{\Delta }U_\tau U_\tau U_0,$$
(7)
with

$$U_t\frac{1}{2}|𝐱_t𝐱_t^{}|^2.$$
(7)
This form of $`U_t`$ makes $`Q_\tau `$ nonlinear in $`𝐱_t`$. As a result, the probability distribution function $`P_\tau (Q_\tau )`$ of $`Q_\tau `$ need not be Gaussian. Nonetheless, it is possible to compute its Fourier transform.

The Fourier transform of $`P_\tau (Q_\tau )`$, defined as

$$\widehat{P}_\tau (q)_{\mathrm{}}^{\mathrm{}}𝑑Q_\tau e^{iqQ_\tau }P_\tau (Q_\tau ),$$
(8)
is computed by writing $`P_\tau `$ as \[using equations (6) and (7)\]

$$P_\tau (Q_\tau )=𝑑𝐱_0𝑑𝐱_\tau P_\tau ^{W_\tau ,𝐱_0,𝐱_\tau }(Q_\tau +\mathrm{\Delta }U_\tau ,𝐱_0,𝐱_\tau ),$$
(9)
where $`P_\tau ^{W_\tau ,𝐱_0,𝐱_\tau }`$ is the joint distribution of the work $`W_\tau `$, the positions $`𝐱_0`$ and $`𝐱_\tau `$ at the beginning and at the end of the time interval $`\tau `$, respectively. This distribution is Gaussian because $`W_\tau `$, $`𝐱_0`$, and $`𝐱_\tau `$ are all linear in $`𝐱_t`$. When equation (9) is inserted into equation (8), a seven dimensional Gaussian integral is left, which after some algebra yields

$$\widehat{P}_\tau (q)=\frac{\mathrm{exp}\left\{wq(iq)\left[\tau \frac{2q^2(1e^\tau )^2}{1+(1e^{2\tau })q^2}\right]\right\}}{\left[1+(1e^{2\tau })q^2\right]^{3/2}}.$$
(10)
Once $`\widehat{P}_\tau (q)`$ has been transformed back, one considers

$$f_\tau (p)\frac{1}{w\tau }\mathrm{ln}\left[\frac{P_\tau (pw\tau )}{P_\tau (pw\tau )}\right].$$
(11)
Here, $`p`$ is a scaled value of $`Q_\tau `$, defined as

$$p=Q_\tau /Q_\tau ,$$

i.e., $`p=1`$. We also used that

$$Q_\tau =W_\tau \mathrm{\Delta }U_\tau =w\tau $$

by equation (5), since $`\mathrm{\Delta }U_\tau =0`$ in the stationary state. The scaled logarithmic ratio $`f_\tau (p)`$ should be equal to $`p`$ for $`\tau \mathrm{}`$ when the conventional SSFT holds.

As far as we know, there is no exact result for the inverse Fourier transform of $`\widehat{P}_\tau (q)`$ in equation (10) in terms of known functions. Therefore, a completely analytic treatment did not seem feasible. Instead, we used first a numerical method, the fast Fourier transform algorithm, to invert equation (10). The resulting probability distribution function $`P_\tau `$ as well as the corresponding $`f_\tau `$ have been plotted in figure 1. These results do not agree very well with the straight line with slope one, which should be approached for large $`\tau `$ if the conventional SSFT were to hold. One might think that this is due to $`\tau `$ not being large enough. However, we found that deviations of $`f_\tau (p)`$ from $`p`$ for large $`p`$ are generic, while the straight line is approached only for smaller $`p`$. Nonetheless, we cannot say anything conclusive about the large $`\tau `$, large $`p`$ behavior because the distribution gets very peaked and hence becomes smaller for large deviations, which makes the numerical method unreliable.

### 3.2 Large deviation method – extended SSFT

Therefore, we used next an analytical asymptotic approach based on large deviation theory similar to the treatment by Lebowitz and Spohn. One considers then

$$e(\lambda )\underset{\tau \mathrm{}}{lim}\frac{1}{w\tau }\mathrm{ln}e^{\lambda Q_\tau }.$$
(12)
This infinite-$`\tau `$ quantity is used to reconstruct the distribution function of $`Q_\tau `$ for large $`\tau `$ by setting

$$P_\tau (Q_\tau )\mathrm{exp}\left[w\tau \widehat{e}(Q_\tau /w\tau )\right],$$
(13)
where $`\widehat{e}(p)`$ is the Legendre transform of $`e(\lambda )`$:

$$\widehat{e}(p)=\underset{\lambda }{\mathrm{max}}[e(\lambda )\lambda p].$$
(14)
For a class of models, Lebowitz and Spohn proved the symmetry relation

$$e(\lambda )=e(1\lambda ).$$
(15)
From this, using equations (11), (13) and (14), one sees that $`lim_\tau \mathrm{}f_\tau (p)=p`$, i.e., the conventional SSFT holds.

Our numerical results suggest, however, that for our model the conventional SSFT for the heat does not hold. We therefore expect equation (15) to be violated. Indeed, the following calculation of $`e(\lambda )`$ shows this to be the case.

The Fourier transform $`\widehat{P}_\tau (q)`$ in equation (10) determines $`e(\lambda )`$. First, from equation (8), we have

$$e^{\lambda Q_\tau }_{\mathrm{}}^{\mathrm{}}𝑑Qe^{\lambda Q_\tau }P_\tau (Q_\tau )=\widehat{P}_\tau (i\lambda ),$$
(16)
Thus we need the analytic continuation of $`\widehat{P}_\tau `$ to imaginary arguments. This poses no difficulty as long as $`\widehat{P}_\tau `$ remains analytic. One finds from equations (10) and (16)

$$e^{\lambda Q_\tau }=\frac{\mathrm{exp}\left[w\lambda (1\lambda )\left\{\tau +\frac{2\lambda ^2(1e^\tau )^2}{1(1e^{2\tau })\lambda ^2}\right\}\right]}{\left[1(1e^{2\tau })\lambda ^2\right]^{3/2}}.$$
(17)
Clearly, there are divergences at the singular points $`\lambda =\pm (1e^{2\tau })^{1/2}`$, where the right-hand side (r.h.s.) of equation (16) is no longer analytic, so that equation (17) only holds for values of $`\lambda `$ in between those. Using equations (12) and (17), we have

$$e(\lambda )=\lambda (1\lambda )\text{for }|\lambda |<1,$$
(18)
where, taking $`\tau \mathrm{}`$ as in equation (12) moves the singularities to $`\pm 1`$. This $`e(\lambda )`$ satisfies equation (15) for $`0<\lambda <1`$.

However, as $`\lambda `$ approaches the singularities, the function in equation (17) diverges. Beyond the singularities at $`\pm (1e^{2\tau })^{1/2}`$, the r.h.s. of equation (17) becomes purely imaginary, and multivalued due to the denominator. But the left-hand side of equation (17) remains real. Clearly, we cannot use equation (17) for $`|\lambda |>(1e^{2\tau })^{1/2}`$. To determine $`e^{\lambda Q}`$ in that case, we first need to know why the integral in equation (16) diverges as $`\lambda \pm (1e^{2\tau })^{1/2}`$. As we will argue next, this happens because $`P_\tau `$ has exponential tails. Since $`P_\tau (Q_\tau )`$ is a normalized distribution and $`e^{\lambda Q_\tau }`$ a regular function, the divergence in equation (16) can only be due to the behavior of the integrand at $`\pm \mathrm{}`$. In fact, for $`\lambda >0`$, any divergence must be due to the behavior at negative $`Q_\tau `$ and for $`\lambda <0`$, it must be due to the behavior at positive $`Q_\tau `$. Now, for $`\lambda <0`$, if the distribution function $`P_\tau (Q_\tau )`$ fell off faster than exponential for large positive $`Q_\tau `$, the factor $`e^{\lambda Q_\tau }`$ could not make the integral diverge. But as it does diverge, we conclude that the distribution function falls off exponentially or slower. On the other hand, if it did fall off slower than exponential, then the exponential factor $`e^{\lambda Q_\tau }`$ would always dominate the distribution function for large positive $`Q_\tau `$ and the integral in equation (16) would diverge for all $`\lambda <0`$. Since there are negative values of $`\lambda `$ for which the integral converges, the function $`P_\tau `$ cannot fall off slower than exponential. Hence, it must fall off exponential for large $`Q_\tau `$. Considering $`\lambda >0`$, one deduces along similar lines that it must fall off exponentially for large negative values of $`Q_\tau `$ as well.

In fact, the integral in (16) diverges for all $`|\lambda |(1e^{2\tau })^{1/2}`$. For if the function $`P_\tau (Q_\tau )`$ falls off exponentially for large positive $`Q_\tau `$, say as $`e^{aQ_\tau }`$, the integral in (16) diverges for all $`\lambda a`$. Likewise, given that the $`P_\tau (Q_\tau )`$ falls off like $`e^{aQ_\tau }`$ for large negative $`Q_\tau `$, the integral diverges for all $`\lambda a`$. Hence, for $`|\lambda |(1e^{2\tau })^{1/2}`$, the quantity on the r.h.s of equation (12) of which the limit is taken, is minus infinity for all $`\tau `$, so that $`e(\lambda )=\mathrm{}`$. Thus, equation (18) becomes

$$e(\lambda )=\{\begin{array}{cc}\lambda (1\lambda )\hfill & \text{for }|\lambda |<1\hfill \\ \mathrm{}\hfill & \text{otherwise.}\hfill \end{array}$$
(19)
This $`e(\lambda )`$ does not satisfy the symmetry relation in equation (15), e.g., for $`\lambda =1/2`$, $`e(\lambda )=3/4`$ whereas $`e(1\lambda )=\mathrm{}`$. The fact that equation (15) is not satisfied, means that the conventional SSFT does not hold. To make this more precise, we use equations (14) and (19), to find

$$\widehat{e}(p)=\{\begin{array}{cc}p\hfill & \text{for }p<1\hfill \\ (p1)^2/4\hfill & \text{for }1p3\hfill \\ p2\hfill & \text{for }p>3\text{.}\hfill \end{array}$$
(20)
Note that via equation (13), the large $`|p|`$ behavior is indeed exponential444Singularities affected the distribution of a different quantity as well in J. Farago, J. Stat. Phys. 107, 781 (2002).. Using equations (11), (13) and (20), we find

$$\underset{\tau \mathrm{}}{lim}f_\tau (p)=\{\begin{array}{cc}p\hfill & \text{for }0p<1\hfill \\ p(p1)^2/4\hfill & \text{for }1p<3\hfill \\ 2\hfill & \text{for }p3\text{.}\hfill \end{array}$$
(21)
For negative $`p`$, we have

$$f_\tau (p)=f_\tau (p).$$
(21)
Equation (21) is an extension of the conventional SSFT. It coincides with it for the middle region $`1<p<1`$,555A restriction to the SSFT (i.e., $`|p|<1`$) was also found in a model of heat conduction in reference . but differs from it for other $`p`$ values. Most notably, for $`p3`$, it attains a constant value of two.

### 3.3 Saddle-point method – large finite times

If we compare the exact prediction of equation (21) (plotted as the bold solid line) with the numerical results (bold dashed line) in figure 1, a clear discrepancy emerges: The curve of $`f_\tau `$ keeps increasing with increasing $`p`$, whereas equation (21) predicts that it should level off to a value of two. This turns out to be a finite $`\tau `$ effect. To prove this, we need a better treatment for large but not infinite $`\tau `$. This can be obtained from a saddle-point method applied to $`e(\lambda )`$, which we will present in a future publication. The saddle-point method gives reliable results for sufficiently large $`\tau `$, as can be verified by a comparison to our numerical results. The asymptotic behavior for large $`\tau `$ is then given by

$$f_\tau (p)=\{\begin{array}{cc}p+h(p)/\tau +O(\tau ^2)\hfill & \text{for }p<1\hfill \\ 2+\sqrt{8(p3)/\tau }+O(\tau ^1)\hfill & \text{for }p>3\text{,}\hfill \end{array}$$
(22)
where

$$h(p)=\frac{8p}{9p^2}\frac{3}{2w}\mathrm{ln}\left[\frac{(3p)(1+p)}{(3+p)(1p)}\right].$$

We left out the behavior in between $`p=1`$ and $`p=3`$ as it does not appear to give any additional insight. Equation (22) shows that as a function of $`p`$, the function $`f_\tau (p)`$ increases like $`\sqrt{p3}`$ (for fixed $`\tau `$), while as a function of $`\tau `$, it decreases (for fixed $`p`$). As expected, for $`\tau \mathrm{}`$, it approaches the large deviation result in equation (21) as $`1/\tau `$ for small $`p`$ and as $`1/\sqrt{\tau }`$ for large $`p`$.

Whether the new features beyond $`p=1`$ are observable depends on the values of $`P_\tau (pw\tau )`$ and $`P_\tau (pw\tau )`$. If these are too small, the corresponding $`f_\tau (p)`$ cannot be seen in an experiment. But the value of the distribution function as plotted in figure 1 is non-negligible for values for $`p`$ (and $`p`$) at which $`f_\tau `$ bends away from the conventional SSFT. Furthermore, the values $`v^{}=1.5`$ and $`\tau =1.3`$ used in figure 1 are realistic, as in the experiment of Wang et al. $`v^{}2.5`$ and $`\tau `$ goes up to $`6`$. So this behavior should be experimentally detectable.

## 4 Discussion

Summarizing, we have shown that the behavior of heat fluctuations in a dissipative system with a deterministic, mechanical component (the potential), and a stochastic component (the heat bath, i.e., the water), differs from that known from both purely deterministic systems and purely stochastic systems, in two respects. a) For infinite $`\tau `$, the behavior of the conventional SSFT is only seen for the scaled heat fluctuation $`p`$ between $`1`$ and $`1`$. For $`p>1`$, after a parabolic region between $`p=1`$ and $`3`$, the quantity $`f_\tau `$ no longer increases, but stays at a plateau value of two \[for $`p<1`$, see equation (21)\]. b) The finite $`\tau `$ behavior of the conventional SSFT is in general unknown, but in our case we find that $`f_\tau `$ keeps increasing with $`p`$. However $`f_\tau (p)`$ stays well below the conventional SSFT , implying a larger ratio of the probabilities of the particle to absorb rather than supply heat. These features are observable.

One of the striking features of the extended SSFT, the plateau value of two for large (infinite) $`\tau `$ and large $`p`$, can be understood physically. For large $`\tau `$ and large $`Q_\tau `$, i.e. $`p`$, the exponentially distributed $`\mathrm{\Delta }U_\tau `$ far outweighs the Gaussian distributed $`W_\tau `$ in equation (6). The distribution of $`\mathrm{\Delta }U_\tau `$ is exponential for large values ($`e^{\beta |\mathrm{\Delta }U_\tau |}`$), because it is the difference of the potential energies of the particle at two times \[cf. equation (7)\], which are both Boltzmann-like distributed (because of the presence of the water) and independent of each other for large $`\tau `$. As $`Q_\tau =w\tau `$, this leads to $`P_\tau (Q_\tau )e^{\beta |Q_\tau w\tau |}`$, which yields $`P_\tau (Q_\tau )/P_\tau (Q_\tau )e^{2\beta w\tau }`$ (if $`Q_\tau >0`$). Then equation (11) and $`\beta =1`$ give $`f_\tau 2`$ of equation (21).

We only considered an extension of the SSFT here. An extension of the TFT can also be obtained. While for $`\tau \mathrm{}`$, one gets again equation (21), for finite times, the extended TFT and SSFT differ. Furthermore, the extended TFT differs fundamentally from the conventional TFT, in that the latter holds as an identity for all $`\tau `$, whereas the former one holds only in the $`\tau \mathrm{}`$ limit.

Finally, one may wonder about the generality of the extended SSFT. Our Langevin-based theory is only applicable near equilibrium. The arguments given above suggest that the extended SSFT could hold for other potentials as well. Perhaps it could even hold for a larger class of systems, not near equilibrium, with mechanical and stochastic components, since these are the main physical ingredients in our theory.

## Acknowledgments

We wish to thank M.J. Feigenbaum, F. Bonetto, and S. Ciliberto for useful discussions. This work was supported by the Office of Basic Engineering of the US Department of Energy, under grant No. DE-FG-02-88-ER13847.


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# Little-Parks effect and multiquanta vortices in a hybrid superconductor–ferromagnet system

## References


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# Raman scattering studies of spin, charge, and lattice dynamics in Ca2-xSrxRuO4 (0 ≤ x < 0.2)

## Abstract

We use Raman scattering to study spin, charge, and lattice dynamics in various phases of Ca2-xSrxRuO4. With increasing substitution of Ca by Sr in the range 0 $``$ x $`<`$ 0.2, we observe (1) evidence for an increase of the electron-phonon interaction strength, (2) an increased temperature-dependence of the two-magnon energy and linewidth in the antiferromagnetic insulating phase, and (3) evidence for charge gap development, and hysteresis associated with the structural phase change, both of which are indicative of a first-order metal-insulator transition (TMI) and a coexistence of metallic and insulating components for T $`<`$ TMI.

Single-layered ruthenates have drawn much experimental and theoretical attention due to both their structural similarity to the high-Tc cuprates, and their strongly correlated magnetic, electronic, phononic, and orbital degrees of freedom, which result in a rich phase diagram and exotic phenomena.Maeno ; Anisimov ; Hotta ; Lee ; Nakatsuji1 ; Nakatsuji2 ; Braden ; Nakatsuji3 ; Fukazawa ; Alexander  Ca2-xSrxRuO4 (CSRO) exhibits various ground states with increasing substitution of Sr for Ca, ranging from antiferromagnetic (AF) insulating for x = 0 to superconducting for x = 2. Maeno ; Anisimov ; Hotta ; Lee ; Nakatsuji1 ; Nakatsuji2 ; Braden ; Nakatsuji3 ; Fukazawa ; Alexander ; Nakatsuji4  For example, Sr2RuO4 (Tc = 1.5 K) is a spin-triplet superconductor which is isostructural to high-Tc cuprates such as La2-xBa2CuO4 (Tc = 30 K).Maeno  Unlike the doping driven high-Tc cuprates, however, the CSRO system is a bandwidth driven system: an increase of Ca content significantly distorts the RuO6-octahedra and decreases the 4d-band width, W, relative to the large effective Coulomb energy, U. As a result, the ground state for x $`<`$ 0.2 is a Mott-like AF insulator.Nakatsuji1 ; Nakatsuji2 ; Braden ; Nakatsuji3  With increasing temperature, CSRO for x $`<`$ 0.2 undergoes a metal-insulator (MI) transition. For instance, in Ca2RuO4, AF ordering occurs below TN = 113 K, and a MI transition occurs at TMI = 357 K.Fukazawa ; Alexander  Slight substitution of Ca by Sr (0 $`<`$ x $`<`$ 0.2) leads to a change of both TN and TMI. The MI transition is first-order and is accompanied by a simultaneous structural change with thermal hysteresis. In this Ca-rich region, Lee et al. have studied the temperature-dependent evolution of the optical conductivity, finding an important role of the electron-phonon interaction in governing the orbital arrangements, and suggesting a possible coexistence of antiferro-orbital and the ferro-orbital ordering states in the insulating phase.Lee  In addition, Nakatsuji et al. recently suggested that CSRO exhibits cooperative orbital ordering through the MI transition in the region 0 $``$ x $`<`$ 0.2.Nakatsuji3

All of these results suggest that there are very strong correlations among the spin, charge, lattice, and orbital degrees of freedom in CSRO for x $`<`$ 0.2. In this Communication, we use the unique ability of Raman scattering to explore simultaneously magnetic, electronic, and structural dynamics, in order to investigate the interplay of the spin , charge , and lattice degrees of freedom in CSRO (0 $``$ x $`<`$ 0.2) through the AF ordering and MI transitions.

All single crystal samples, grown by a floating zone technique,Nakatsuji1 ; Fukazawa ; Nakatsuji4  were mounted inside a continuous He-flow cryostat. B1g symmetry Raman spectra in the crossed polarization configuration were obtained using a Kr-ion laser with the 647.1 nm excitation wavelength in a backscattering geometry along the c-axis. Scattered light was dispersed through a triple spectrometer, and recorded using a liquid-nitrogen-cooled CCD detector. All the spectra were corrected, first, by removing the CCD dark current response, and then by normalizing the spectrometer response using a calibrated white light source.

Figure 1 shows the T = 10 K Raman scattering spectra from CSRO for x = 0, 0.06, and 0.09. There are several key features and trends apparent in the spectra: (i) numerous phonon lines superimposed on the broad electronic continuum, (ii) a broad scattering response near 600 cm-1 associated with electronic scattering that has developed due to the formation of a charge gap, and (iii) a two-magnon (2M) excitation near 100 cm-1 associated with spin-pair excitations of the Ru ions. In the following, we consider in greater detail the temperature and x dependence of each of these excitations.

Unlike Sr2RuO4, which has the ideal tetragonal K2NiF4 structure, Ca-substitution significantly distorts the crystal structure of CSRO, causing both a rotation of the RuO6-octahedra around the c-axis, and a tilt of the octahedra around an axis lying in the RuO2 planes. As a result, Ca2RuO4 is orthorhombic (Pbca-D2h15),Braden  and a factor group analysis indicates that there should be 9 B1g symmetry Raman-active optical phonons High  involving Ca/Sr, apical oxygen, and in-plane oxygen ions. One notes from Fig. 1 that while the optical phonon spectrum of Ca2RuO4 exhibits narrow and symmetric phonon lineshapes at 10 K, with increasing Sr substitution there is a significant broadening of the linewidths — and the appearance of a distinct “asymmetric” Fano profile — associated with many of the phonons. This is indicative of an increase in electron-phonon coupling with increasing Sr substitution.Fano  The phonon linewidth and asymmetric parameters can be obtained from fits to a Fano profile, I($`\omega `$)=I0($`q`$+$`ϵ`$)2/(1+$`ϵ`$2), where $`ϵ`$ = ($`\omega `$-$`\omega `$0)/$`\mathrm{\Gamma }`$, $`\omega `$0 is the phonon frequency, $`\mathrm{\Gamma }`$ is the effective phonon linewidth, and $`q`$ is the asymmetry parameter that is related to the electron-phonon coupling strength V and the imaginary part of the electronic susceptibility $`\rho `$ according to $`1/q`$$``$$`V\rho `$.Fano ; Naler  Indeed, as shown in the inset of Fig. 1, Sr substitution results in a significant increase in the electron-phonon coupling and phonon linewidth associated with the 456 cm-1 B1g mode.

The MI transition in CSRO is driven by an elongation of the RuO6 octahedron in the metal phase.Braden  Figure 2 illustrates that striking changes in the B1g Raman scattering response of CSRO for x = 0.09 are observed through TMI ($``$ 220 K) upon heating. For example, a number of phonon modes disappear rapidly above TMI, providing a clear demonstration that the MI transition is accompanied by a structural change from the S-Pbca phase to the less distorted L-Pbca phase.Braden  Additionally, as temperature is increased toward TMI, the phonons soften and broaden significantly, reflecting elongation of the RuO6 octahedra along the c-axis and increased interaction with thermally-excited carriers, respectively. These changes are summarized in Fig. 2 (b) for the 456 cm-1 B1g mode, which we tentatively attribute to the apical oxygen vibration, based upon both the high frequency of this mode and a comparison with similar modes in cuprates and other ruthenates. Sakita  The phonon frequency and linewidth parameters were obtained at different temperatures from fits to a Fano profile. Note that the phonon linewidth is enhanced as the temperature approaches TMI, indicating a mixed phase regime and/or enhanced damping of the phonon response due to increased structural instability near the MI transition. Above TMI, most of the B1g phonons observed below TMI are absent, and the two remaining optical phonons show no further phonon frequency and linewidth changes at least up to the room temperature, suggesting that in the metal phase, the crystal structure is stabilized in the L-Pbca configuration.

That the MI transition is first-order is apparent by comparing the Raman spectra of CSRO (x = 0.09) obtained during thermal cycle. The inset of Fig. 2 (a) illustrates that the 175 K spectrum obtained upon cooling exhibits the simple phonon spectrum indicative of the metallic phase, while the 175 K spectrum obtained upon heating exhibits the complex phonon spectra associated with the insulating phase. This is consistent with evidence for hysteresis observed in CSRO (0 $``$ x $`<`$ 0.2) by transport and neutron diffraction,Braden ; Nakatsuji3  based upon which TMI = 155 K upon cooling and 220 K upon heating have been estimated in CSRO for x = 0.09.

Evidence for the first-order nature of the phase transition is also indicated in the evolution of a charge gap in the electronic continuum below TMI. This is illustrated, for example, in the temperature-dependent Raman spectra of CSRO for x = 0.09 shown in Fig. 3 (a), in which one observes below TMI a suppression of electronic scattering strength below $``$ 600 cm-1, and a redistribution of this scattering strength to a broad scattering response between 550 and 650 cm-1. With increasing temperature toward TMI, the charge gap closes systematically. This behavior is indicative of the opening of a charge gap in CSRO, and is similar to that observed below the MI transitions of other correlation gap insulators such as FeSi,Nyhus1  SmB6,Nyhus2  and Ca3Ru2O7,Liu  and described theoretically.Freericks  To examine the development of the charge gap more quantitatively, we plot in Fig. 3 (b) the temperature-dependence of the fractional change in the integrated electronic scattering response, $`\mathrm{\Delta }`$I/I(10 K), for x = 0.09 and 0.06, where $`\mathrm{\Delta }`$I = I(T) - I(300 K) and I(T) = $`_0^{2\mathrm{\Delta }_c}Im\chi (\omega )𝑑\omega `$ is the integrated spectral weight of the electronic Raman scattering response below 2$`\mathrm{\Delta }_c`$ = 600 cm-1. The overall temperature-dependence of the fractional intensity shown in Fig. 3 (b) is similar to those observed in FeSi, SmB6, and Ca3Ru2O7. There is one notable difference, however, in that the charge gap in CSRO closes with increasing temperature well below the MI transition temperature. We attribute this behavior to the likely coexistence of insulating (S-Pbca) and metallic (L-Pbca) phase regions. In particular, in the temperature range between 155 K – 220 K, CSRO at x = 0.09 is primarily in the metal phase upon cooling, but is primarily in the insulating phase upon heating. Consequently, during the thermal cycle, some metal components are known to coexist with insulating components in this temperature range. Indeed, neutron scattering Braden , resistivity and susceptibility Nakatsuji3  measurements of CSRO for x $`<`$ 0.2 clearly indicate thermal hysteresis through the MI transition; further, neutron scattering measurements clearly reveal the coexistence of S-Pbca and L-Pbca phasesBraden  in this temperature range.

Finally, for T $`<`$ TN in CSRO at x = 0, 0.06, and 0.09, a peak in the Raman scattering response is observed to develop rapidly near 100 cm-1 in the B1g scattering geometry (see Figs. 1 and 4 (a)). This response is associated with 2M scattering, involving a photon-induced flipping of neighboring spins on nearest-neighbor Ru-4d4 sites; this scattering response not only reveals the presence of AF correlations in the ground state of this system, but provides useful information on the superexchange coupling constant J.Liu ; Fleury ; Lyons ; Sugai ; Weber  Figure 4 summarizes the temperature-dependent energy renormalization, linewidths, and intensity change of the 2M scattering response of CSRO. With increasing temperature, the 2M scattering response diminishes in intensity, shifts to lower energies, and broadens, similar to the behavior observed in the bilayer ruthenate system Ca3Ru2O7.Liu  Using the fact that the 2M peak energy for S = 1 AF insulators is given by 6.7 J,Sugai  the estimated in-plane exchange energies between nearest-neighbor Ru-4d4 sites are 15.22, 15.37, and 15.97 cm-1 for the x = 0, 0.06, and 0.09 samples, respectively. Interestingly, in spite of a significant change in the Néel temperature with Sr substitution (TN = 113 K, 150 K, 141 K for x = 0, 0.06, and 0.09, respectively), the 2M energy is relatively insensitive to Sr substitution, indicating that the local AF exchange coupling is relatively unaffected by Sr substitution at these values of x. This is consistent with recent pressure-dependent Raman studies of Ca2RuO4, which show that the 2M energies are relatively insensitive to pressure up to the pressure-induced MI transition.Snow  Both of these results support the conclusion that antiferromagnetism is suppressed with increasing Sr substitution and pressure, not by affecting the AF exchange coupling, but rather by reducing the volume-fraction of distorted S-Pbca phase regions that support orbital polarization and AF order.Snow  Figure 4 (b) also shows that the 2M scattering responses in the x = 0, 0.06, and 0.09 samples exhibit substantially different temperature-dependences. In particular, in comparison to the x = 0 sample, Sr substitution causes a much more dramatic renormalization of the 2M energy and linewidth with increasing temperature. This observation suggests that the Sr substitution causes a substantially larger suppression of magnetic correlations with increasing temperature than in the x = 0 material. This is presumably due either to the disorder introduced in the magnetic lattice when Sr is introduced, and/or to the increased electronic contribution introduced with Sr substitution, which increases the amount of magnon energy and lifetime renormalization compared to the x = 0 material.Weber

In conclusion, Raman scattering results on CSRO for 0 $``$ x $`<`$ 0.2 provide substantial insight into the interplay among the spin, charge, and lattice dynamics through the MI and magnetic phase changes. In particular, this study demonstrates that the Sr substitution for Ca significantly affects the magnetic and electronic excitations, as evidenced by a substantial increase in the renormalization of the 2M energies and linewidths, and by an increase of the electron-phonon interactions. The temperature-dependent evolution of the Raman scattering response shows that the MI transition is accompanied by both a significant change in the phonon spectrum and the development of a charge gap. Both the hysteretic behavior of the phonon temperature-dependence, as well as the temperature-dependent evolution of the charge gap, are indicative of a phase coexistence regime involving L-Pbca and S-Pbca components near TMI.

This work was supported by the Department of Energy through grant DEFG02-96ER45439, and by the National Science Foundation through grant NSF DMR-0244502. H.R. acknowledges a support of this work in part by the research fund of Chonbuk National University.