text:
# Counterexamples of the Geometrization Conjecture

## 1 A counterexample of the Geometrization Conjecture

A version of the Thurston’s Geometrization Conjecture states that if a closed (oriented and connected) 3-manifold is irreducible and atoroidal, then it is geometric in the sense that it can either have a hyperbolic geometry or have a spherical geometry . In this paper we propose counterexamples to this conjecture by using the Dehn surgery method of constructing closed 3-manifolds .

Let $`K_{RT}^1`$ denote the right trefoil knot with framing 1. Let $`K_E^r`$ denote the figure-eight knot with framing $`r`$ where $`r=\frac{p}{q}`$ is a rational number ($`p`$ and $`q`$ are co-prime integers) such that $`r>4`$. We then consider a Dehn surgery on the framed link $`L=K_{RT}^1K_E^r`$ where the linking $``$ is of the simplest Hopf link type.

We have that the Dehn surgery on $`K_{RT}^1`$ gives the Poincaré sphere $`M_{RT}^1`$ which is with spherical geometry and with a finite nontrivial fundamental group . Then the Dehn surgery on $`K_E^r`$ gives a hyperbolic manifold $`M_E^r`$ . We want to show that the 3-manifold $`M_L`$ obtained from surgery on $`L`$ is irreducible and atoroidal, and is not geometric. From this we then have that $`M_L`$ is a counterexample of the Geometrization Conjecture.

Let us first show that $`M_L`$ is irreducible and atoroidal. From  we have the following quantum invariant $`\overline{W}(K_{RT}^1)`$ of $`M_{RT}^1`$:

$$\overline{W}(K_{RT}^1)=R^2R_1^1R_2^1W(C_1)W(C_2)$$
(1)
where the indexes of the $`R`$-matrices $`R_1`$ and $`R_2`$ are $`1`$ and $`1`$ respectively (These $`R`$-matrices are the monodromies of the Knizhnik-Zamolodchikov equation; the notation $`W(K)`$ denotes the generalized Wilson loop of a knot $`K`$ and is a quantum representation of $`K`$ ). Thus the indexes of $`R_1`$ and $`R_2`$ are nonzero and are different. In  we call this property as the maximal non-degenerate property which is a property only from nontrivial knots. We have that $`R_1`$ and $`R_2`$ act on $`W(C_1)`$ and $`W(C_2)`$ respectively while $`R`$ is a $`R`$-matrix for the linking of the framed knot $`K_{RT}^1`$ and acts on $`W(C_1)`$ and $`W(C_2)`$. Similarly we have the following quantum invariant of $`M_E^r`$:

$$\overline{W}(K_E^r)=R^{2p}R_1^3R_2^{a3}W(C_1)W(C_2)$$
(2)
where we choose a rational number $`r=\frac{p}{q}`$ such that the integer $`a1`$ is nonzero. This is then the maximal non-degenerate property.

Now let us consider the manifold $`M_L`$. Since $`K_{RT}^1`$ and $`K_E^r`$ both have the maximal non-degenerate property we have that there is no degenerate degree of freedom for the quantum representation of $`M_L`$ by using the link $`L`$. From this we have that $`L`$ is a minimal link for the Dehn surgeries obtaining $`M_L`$  (We shall later give more explanations on the definition of minimal link and the related theorems on the classification of 3-manifolds by quantum invariant of 3-manifolds). It follows that the quantum invariant of $`M_L`$ is given by the quantum representation of $`L`$ and is of the following form:

$$\overline{W}(L)=P_L\overline{W}(K_{RT}^1)\overline{W}(K_E^r)$$
(3)
where $`P_L`$ denotes the linking part of the representation of $`L`$.

In this quantum invariant (3) of $`M_L`$ we have that $`\overline{W}(K_{RT}^1)`$ and $`\overline{W}(K_E^r)`$ representing $`K_{RT}^1`$ and $`K_E^r`$ respectively are independent of each other and that the framed knots $`K_{RT}^1`$ and $`K_E^r`$ are independent of each other in the sense that the framed knots $`K_{RT}^1`$ and $`K_E^r`$ do not wind each other in the form as described by the second Kirby move .

We have that the quantum invariant (3) of $`M_L`$ uniquely represents $`M_L`$ because $`L`$ is minimal (We shall explain this point in the next section). This means that there are no nontrivial symmetry transforming it to another representation of $`M_L`$ with two framed knots such that their quantum representations are different from the two quantum representations $`\overline{W}(K_{RT}^1)`$ and $`\overline{W}(K_E^r)`$ in (3).

Let us then first show that $`M_L`$ is irreducible. Since the quantum invariant (3) of $`M_L`$ uniquely represents $`M_L`$ and thus represents topological properties of $`M_L`$ we have that the linking part $`P_L`$ of (3) is a topological property of $`M_L`$ and thus cannot be eliminated. From this linking of $`\overline{W}(K_{RT}^1)`$ and $`\overline{W}(K_E^r)`$ in (3) we have that the invariant (3) of $`M_L`$ cannot be written as a free product form $`\overline{W}(K_1^{r_1})\overline{W}(K_2^{r_2})`$ of two unlinked framed knots $`K_1^{r_1}`$ and $`K_2^{r_2}`$ where each $`\overline{W}(K_i^{r_i}),i=1,2`$ gives a closed 3-manifold. From this we have that $`M_L`$ cannot be written as a connected sum of two closed 3-manifolds. This shows that $`M_L`$ is irreducible.

Then we want to show that $`M_L`$ is atoroidal. Since the toroidal property of a 3-manifold $`M`$ is about the existence of an infinite cyclic subgroup $`ZZ`$ in $`\pi _1(M)`$ and is a property derived from closed curves in $`M`$ only we have that this toroidal property is derived from framed knots only since framed knots are closed curves for constructing 3-manifolds. Now since $`L`$ is minimal we have that the representation (3) uniquely represents $`M_L`$ and thus it gives all the topological properties of $`M_L`$. From this we have that if $`M_L`$ has the toroidal property then this property can only be derived from the two framed knot components $`K_{RT}^1`$ and $`K_E^r`$. Now we have that the 3-manifolds $`M_{RT}^1`$ and $`M_E^r`$ are both atoroidal and that the fundamental group of $`M_{RT}^1`$ is finite . Thus the two framed knot components $`K_{RT}^1`$ and $`K_E^r`$ do not give the toroidal property of $`M_L`$. This shows that $`M_L`$ does not have the toroidal property. Thus $`M_L`$ is atoroidal.

Let us explicitly compute the fundamental group $`\pi _1(M_L)`$ of $`M_L`$ to give another proof for that $`M_L`$ is atoroidal. We have that $`L=K_{RT}^1K_E^r`$ is of the Hopf link type. Thus by a computation similar to the computation of the link group of the Hopf link which is a direct product of the two knot groups of the two unknots forming the Hopf link we have that the fundamental group $`\pi _1(M_L)`$ of $`M_L`$ is a direct product of the fundamental groups $`\pi _1(M_{RT}^1)`$ and $`\pi _1(M_E^r)`$:

$$\pi _1(M_L)=\pi _1(M_{RT}^1)\pi _1(M_E^r)$$
(4)
where $`\pi _1(M_{RT}^1)\pi _1(M_E^r)`$ denotes the direct product of the fundamental groups $`\pi _1(M_{RT}^1)`$ and $`\pi _1(M_E^r)`$. Now since the 3-manifolds $`M_{RT}^1`$ and $`M_E^r`$ are both atoroidal and that the fundamental group $`\pi _1(M_{RT}^1)`$ is finite we have that $`\pi _1(M_L)`$ does not contain a subgroup of the form $`ZZ`$. This shows that $`M_L`$ does not have the toroidal property. Thus $`M_L`$ is atoroidal.

Now since the quantum invariant (3) uniquely represents $`M_L`$ we have that the two components $`\overline{W}(K_{RT}^1)`$ and $`\overline{W}(K_E^r)`$ are topological properties of $`M_L`$. Then since $`\overline{W}(K_{RT}^1)`$ (or $`K_{RT}^1`$) gives spherical geometry property to $`M_L`$ and $`\overline{W}(K_E^r)`$ (or $`K_E^r`$) gives hyperbolic geometry property to $`M_L`$ we have that $`M_L`$ is not geometric. Indeed, since the two independent components $`\overline{W}(K_{RT}^1)`$ and $`\overline{W}(K_E^r)`$ of (3) represent the manifolds $`M_{RT}`$ and $`M_E`$ respectively (and thus represent the fundamental groups $`\pi _1(M_{RT})`$ and $`\pi _1(M_E)`$ of $`M_{RT}`$ and $`M_E`$ respectively) we have that the fundamental group $`\pi _1(M_L)`$ of $`M_L`$ contains the direct product $`\pi _1(M_{RT})\pi _1(M_E)`$ of the fundamental groups $`\pi _1(M_{RT})`$ and $`\pi _1(M_E)`$. Now let $`\stackrel{~}{M_L}`$ denote the universal covering space of $`M_L`$. Then we have that $`\pi _1(M_L)`$ acts isometrically on $`\stackrel{~}{M_L}`$. Now since $`\pi _1(M_{RT})`$ of the Poincaré sphere $`M_{RT}`$ is not a subgroup of the isometry group of the hyperbolic geometry $`H^3`$ and $`\pi _1(M_E)`$ is not a subgroup of the isometry group of the spherical geometry $`S^3`$ we have that $`\pi _1(M_{RT})\pi _1(M_E)`$ is not a subgroup of the isometry group of $`H^3`$ and is not a subgroup of the isometry group of $`S^3`$. Thus $`\pi _1(M_L)`$ is not a subgroup of the isometry group of $`H^3`$ and is not a subgroup of the isometry group of $`S^3`$. It follows that $`\stackrel{~}{M_L}`$ is not the hyperbolic geometry $`H^3`$ and is not the spherical geometry $`S^3`$. This shows that $`M_L`$ is not geometric, as was to be proved. Now since $`M_L`$ is irreducible and atoroidal and is not geometric we have that $`M_L`$ is a counterexample of the Geometrization Conjecture.

## 2 Minimal link and classification of closed 3-manifolds

In this section we give more explanations on the definition of minimal link and the related theorems on the classification of closed 3-manifolds by quantum invariant used in the above counterexample.

We have the following theorem of one-to-one representation of 3-manifolds obtained from framed knots $`K^{\frac{p}{q}}`$ :

###### Theorem 1

Let $`M`$ be a closed (oriented and connected) 3-manifold which is constructed by a Dehn surgery on a framed knot $`K^{\frac{p}{q}}`$ where $`K`$ is a nontrivial knot and $`M`$ is not a lens space. Then we have the following one-to-one representation of $`M`$:

$$\overline{W}(K^{\frac{p}{q}}):=R^{2p}R_1^mR_2^{am}W(C_1)W(C_2)$$
(5)
where $`m0`$ ($`m`$ is also denoted by $`m_1`$ in ) is the index of a nontrivial knot (which may or may not be the knot $`K`$ such that $`M`$ is also obtained from this knot by Dehn surgery) and $`am0`$ is an integer related to $`m,p`$ and $`q`$ such that $`amm`$ (Thus (5) is with the maximal non-degenerate property).

We remark that if $`M`$ is a lens space we can also define a similar quantum invariant $`\overline{W}(K^{\frac{p}{q}})`$ for $`M`$ which however is not of the above maximal non-degenerate form .

Let us then consider a 3-manifold $`M`$ which is obtained from a framed link $`L`$ with the minimal number $`n`$ of component knots where $`n2`$ (where the minimal number $`n`$ means that if $`M`$ can also be obtained from another framed link then the number of component knots of this framed link must be $`n`$) . In this case we call $`L`$ a minimal link of $`M`$. From the generalized second Kirby moves (which generalizes second Kirby move from integer to rational number  and for simplicity we shall call them again as the second kirby moves) we may suppose that $`L`$ is in the form that the components $`K_i^{\frac{p_i}{q_i}},i=1,\mathrm{},n`$ of $`L`$ do not wind each other in the form described by the second Kirby move. In this case we say that this minimal $`L`$ is in the form of maximal non-degenerate state where the degenerate property is from the winding of one component knot with the other component knot by the second Kirby moves. Thus this $`L`$ has both the minimal and maximal property as described. Then we want to find a one-to-one representation (or invariant) of $`M`$ from this $`L`$. Let us write $`W(L)`$, the generalized Wilson loop of $`L`$, in the following form :

$$W(L)=P_L\underset{i}{}W(K_i^{\frac{p_i}{q_i}})$$
(6)
where $`P_L`$ denotes a product of $`R`$-matrices acting on a subset of $`\{W(K_i),W(K_{ic}),i=1,\mathrm{},n\}`$ where $`W(K_i^{\frac{p_i}{q_i}})`$ are independent (This is from the form of $`L`$ that the component knots $`K_i`$ are independent in the sense that they do not wind each other by the second Kirby moves). Then we consider the following representation (or invariant) of $`M`$:

$$\overline{W}(L):=P_L\underset{i}{}\overline{W}(K_i^{\frac{p_i}{q_i}})$$
(7)
where we define $`\overline{W}(K_i^{\frac{p_i}{q_i}})`$ by (5) and they are independent. We then have the following theorem:

###### Theorem 2

Let $`M`$ be a closed (oriented and connected) 3-manifold which is constructed by a Dehn surgery on a minimal link $`L`$ with the minimal number $`n`$ of component knots (and with the maximal property). Then we have that (7) is a one-to-one representation (or invariant) of $`M`$.

Proof. We want to show that (7) is a one-to-one representation (or invariant) of $`M`$. Let $`L^{}`$ be another framed link for $`M`$ which is also with the minimal number $`n`$ (and with the maximal property). Then we want to show $`\overline{W}(L)=\overline{W}(L^{})`$.

For the case $`n=1`$ this is true by the above theorem for manifolds $`M`$ obtained from minimal framed knot $`K^{\frac{p}{q}}`$.

Let us consider $`n2`$. Since the components of $`L`$ do not wind each other as described by the second Kirby move we have that the components of $`L`$ are independent of each other. Thus there is no nontrivial homeomorphism changing these components $`\overline{W}(K_i^{\frac{p_i}{q_i}})`$ except those homeomorphisms involving the second Kirby moves for the winding of the components of $`L`$ with each other. Then under the second Kirby moves we have that the components of $`L`$ wind each other and thus will reduce the independent degree of freedom to be less than $`n`$. Thus to restore the degree of freedom to $`n`$ these homeomorphisms must also contain the first Kirby moves of adding unknots with framing $`\pm 1`$. In this case these unknots can be deleted and thus $`L`$ is not minimal and this is a contradiction. Thus there is no nontrivial homeomorphism changing the components $`\overline{W}(K_i^{\frac{p_i}{q_i}})`$ of $`\overline{W}(L)`$ except those homeomorphisms consist of only the second Kirby moves for the winding of the components of $`L`$ with each other.

Now suppose that $`\overline{W}(L)\overline{W}(L^{})`$. Then there exists nontrivial homeomorphism of changing $`L`$ to $`L^{}`$ for changing the components $`\overline{W}(K_i^{\frac{p_i}{q_i}})`$ of $`\overline{W}(L)`$ to the components of $`\overline{W}(L^{})`$. This is impossible since there are no nontrivial homeomorphsm for changing these components $`\overline{W}(K_i^{\frac{p_i}{q_i}})`$ except those homeomorphisms consist of only the second Kirby moves for the winding of the components of $`L`$ with each other. Thus $`\overline{W}(L)=\overline{W}(L^{})`$.

Thus we have that (7) is a one-to-one representation (or invariant) of $`M`$, as was to be proved. $``$

As a converse to the above theorem let us suppose that the representation (7) uniquely represents $`M_L`$ in the sense that there are no nontrivial symmetry transforming the $`n`$ independent components of $`\overline{W}(L)`$ to other $`n`$ independent components of $`\overline{W}(L^{})`$ where the link $`L^{}`$ also gives the manifold $`M_L`$. Then from the above proof we see that the link $`L`$ is a minimal (and maximal) link for obtaining $`M_L`$.

Remark. Let $`L`$ be a minimal (and maximal) framed link. Then from the above proof we have that the components of $`L`$ are independent of each other in the sense that if we transform a component framed knot of $`L`$ to an equivalent framed knot by a homeomorphism then the other components of $`L`$ are not affected by this transformation. $``$

Now let us consider the framed link $`L=K_{RT}^1K_E^r`$ in the above section. We have that the knot components $`K_{RT}^1`$ and $`K_E^r`$ of $`L`$ do not wind each other in the form as described by the second Kirby move. Thus we have that their corresponding quantum invariants $`\overline{W}(K_{RT}^1)`$ and $`\overline{W}(K_E^r)`$ are independent. Then $`\overline{W}(K_{RT}^1)`$ and $`\overline{W}(K_E^r)`$ are in the maximal non-degenerate form which is invariant under all homeomorphisms execept the second Kirby moves which are excluded (Indeed for $`\overline{W}(K_{RT}^1)`$ there is a homeomorphism transforming $`K_{RT}^1`$ to $`K_E^1`$. Then the informations of these two frame knots are included in $`\overline{W}(K_{RT}^1)`$ and thus $`\overline{W}(K_{RT}^1)`$ is invariant under this homeomorphism. Then since $`\overline{W}(K_{RT}^1)`$ is in the maximal non-degenerate form there are no degenerate degree of freedoms for other homeomorphisms execept the second Kirby moves which reduce the degree of freedom of $`L`$. Similarly for $`\overline{W}(K_E^r)`$). Thus $`L`$ is a minimal (and maximal) link of $`M_L`$ and the representation (3) is the quantum invariant of $`M_L`$.

## 3 A counterexample of the Elliptization Conjecture

The above counterexample of the Geometrization Conjecture is with an infinite fundamental group. Let us in this section propose a counterexample which is with a finite fundamental group to the Geometrization Conjecture. This example is then also a counterexample of the Thurston’s Elliptization Conjecture which states that if a closed (oriented and connected) 3-manifold is irreducible and atoroidal and is with a finite fundamental group then it is geometric in the sense that it can have a spherical geometry .

Let us consider a Dehn surgery on the framed link $`L=K_{RT}^1K_{RT}^1`$ where the linking $``$ is of the simplest Hopf link type. We want to show that the 3-manifold $`M_L`$ obtained from this surgery is a counterexample of the Elliptization Conjecture.

As similar to the above example we have that this $`L`$ is minimal and the 3-manifold $`M_L`$ is uniquely represented by the following quantum invariant:

$$\overline{W}(L)=P_L\overline{W}(K_{RT}^1)\overline{W}(K_{RT}^1)$$
(8)
where $`P_L`$ denotes the linking part of the representation of $`L`$.

Then as similar to the above example we have that this 3-manifold $`M_L`$ is irreducible and atoroidal. Let us then show that $`M_L`$ is with a finite fundamental group and is not geometric. Since the quantum invariant (8) uniquely represents $`M_L`$ we have that the two components $`\overline{W}(K_{RT}^1)`$ are topological properties of $`M_L`$. Then we have that the fundamental group $`\pi _1(M_L)`$ of $`M_L`$ contains the direct product $`\pi _1(M_{RT})\pi _1(M_{RT})`$.

Further as similar to the above example because $`L`$ is of the Hopf link type we have that $`\pi _1(M_L)=\pi _1(M_{RT}^1)\pi _1(M_{RT}^1)`$. Now since the fundamental group $`\pi _1(M_{RT})`$ is finite we have that the fundamental group $`\pi _1(M_L)`$ is also finite.

Now let $`\stackrel{~}{M_L}`$ denote the universal covering space of $`M_L`$. Then we have that $`\pi _1(M_L)`$ acts isometrically on $`\stackrel{~}{M_L}`$. We want to show that $`\stackrel{~}{M_L}`$ is not the 3-sphere $`S^3`$. Suppose this is not true. Then since $`\pi _1(M_L)`$ contains (and equals to) the direct product $`\pi _1(M_{RT})\pi _1(M_{RT})`$ we have that the direct product $`\pi _1(M_{RT})\pi _1(M_{RT})`$ is a subgroup of the isometry group of $`S^3`$. Now since $`S^3`$ is a fully isotropic manifold containing no boundary ($`S^3`$ is closed) there is no way to distinguish two identical but independent subgroups $`\pi _1(M_{RT})`$ of the isometry group of $`S^3`$. From this we have that the direct product $`\pi _1(M_{RT})\pi _1(M_{RT})`$ can only act on $`S^3\times S^3`$ where each $`\pi _1(M_{RT})`$ acts on a different $`S^3`$ and cannot act on the same $`S^3`$ such that $`\pi _1(M_{RT})\pi _1(M_{RT})`$ acts on $`S^3`$ (Comparing to the hyperbolic case we have that the direct product of two subgroups of the isometry group of the hyperbolic geometry $`H^3`$ may act on $`H^3`$ since $`H^3`$ has nonempty boundary which can be used to distinguish two identical but independent subgroups of the isometry group of $`H^3`$). Thus the direct product $`\pi _1(M_{RT})\pi _1(M_{RT})`$ is not a subgroup of the isometry group of $`S^3`$ (We can also prove this statement by the fact that $`\pi _1(M_{RT})`$ is a nonabelian subgroup of the rotation group $`O(4)`$ which is the isometry group of $`S^3`$. Indeed since $`\pi _1(M_{RT})`$ is nonabelian it must act on a space with dimension $`3`$. Thus $`\pi _1(M_{RT})\pi _1(M_{RT})`$ must act on a space with dimension $`6`$. Now $`O(4)`$ can only act on a space with dimension $`4`$ we have that $`\pi _1(M_{RT})\pi _1(M_{RT})`$ is not a subgroup of $`O(4)`$). This is a contradiction. This contradiction shows that $`\stackrel{~}{M_L}`$ is not the 3-sphere $`S^3`$. Thus $`M_L`$ is not geometric. Now since $`M_L`$ is irreducible and atoroidal and is with finite fundamental group and is not geometric we have that $`M_L`$ is a counterexample of the Elliptization Conjecture.


format: text

text:
# On the close optical companion of V1494 Aql: problems with light curve modellingBased on data obtained at the Anglo-Australian Observatory and Mount Stromlo and Siding Spring Observatories

## 1 Introduction

V1494 Aql (=Nova Aql 1999/2) has been one of the brightest nova outbursts in the last decade. Shortly after the discovery in December, 1999 (Pereira et al. 1999), it peaked at $`m_{\mathrm{vis}}=4`$ mag, which has been followed by rapid dimming ($`t_3=16`$ d, Kiss & Thomson 2000). The light curve showed a classical transition phase with quasi-periodic oscillations (see an updated light curve in Kato et al. 2003). Optical spectroscopy (Kiss & Thomson 2000, Anupama et al. 2001, Arkhipova et al. 2002, Iijama & Esenoglu 2003) showed that the nova belonged to the “Fe II” class of Williams (1992) with early expansion velocities up to 2000 km s-1. Spectroscopy in the transition phase suggested the presence of high velocity jets, while the MMRD absolute magnitude (Kiss & Thomson 2000) has been combined with spectroscopic reddening determination which placed the star $`1.6\pm 0.2`$ kpc of the Sun (Iijama & Esenoglu 2003). Early X-ray observations were reported by Drake et al. (2003) revealing short-period (2523 s) oscillations that were interpreted as pulsations of the white dwarf in the nova. Spectropolarimetric evidence of an asymmetric outburst was presented by Kawabata et al. (2001).

The photometric history is rich in observations. Kato et al. (2003) gave an excellent review of the published works, here we just briefly mention the main results. After the discovery of short-period modulations of the light curve (Novak et al. 2000), Retter et al. (2000) pointed out the double-wave nature of the modulation with a peak-to-peak amplitude of 0$`\stackrel{m}{.}`$07, 8 months after the outburst. Bos et al (2001) observed a strong amplitude increase of the modulation and suggested the eclipsing nature of the system. Barsukova & Goranskii (2003) refined the orbital period, giving $`P_{\mathrm{orb}}=0.1346141(5)`$ d. Pavlenko et al. (2003) made a multicolour study of the star concluding that the light curve shape might be explained by a self eclipsing accretion column in the magnetic variable accompanied with partial eclipses of the accretion region by the secondary component.

We have been following the star since the discovery, mostly monitoring it spectroscopically (Kiss & Thomson 2000, Kiss et al. in preparation). Here we report on new imaging and spectroscopy carried out in 2003, which revealed the presence of a close optical companion (it has already been reported by Barsukova & Goranskii 2003, however, we were not aware of it before making the observations). Interestingly, none of the recent studies tried to correct for the photometric effects of the companion. In this paper we would like to point out the necessity of such a correction.

## 2 Observations and data reductions

We discuss three different datasets. In chronological order, they were taken as follows. On May 10, 2003, between HJD=2 452 770.148–2 452 770.317, four hours of service observations were carried out using the 3.9m Anglo-Australian Telescope (AAT) equipped with the RGO spectrograph. We obtained 41 medium-resolution spectra (exposure time 300 s) covering 5800–7300 Å, with typical S/N ratios of 50 ($`\lambda /\mathrm{\Delta }\lambda =6000`$). One flux standard and one smooth-spectrum standard star were also observed. The seeing on that night was about 1$`\stackrel{}{.}`$3, as judged from the width of the standard spectra. The position angle of the 2-arcsec wide slit was constant at 200.

Then we made time-series $`R`$-band observations with the 1.0m telescope of the Australian National University in Siding Spring on three consecutive nights in August, 2003 (6-8th), with a total time span of $``$12 h. The detector was the middle 1k$`\times `$1k subframe of one of the eight 2k$`\times `$4k chips of the Wide Field Imager, giving $`6\stackrel{}{.}5\times 6\stackrel{}{.}5`$ field of view (this corresponds to 0$`\stackrel{}{.}`$38/pixel image scale). The exposure time was 180 s. Since V1494 Aql was a secondary target for bright and medium to bad seeing nights (the primary program addressed globular clusters), these time-series data were obtained under 2.5 to 5 arcsec seeings.

Finally, the last dataset consists of eight CCD images (4 in $`R`$ and 4 in $`I`$) taken on Oct. 18, 2003. The instrument was the same as in August, 2003. The seeing varied between 1$`\stackrel{}{.}`$2–1$`\stackrel{}{.}`$4, which has been the best one experienced in a three-weeks long run. The exposure time was only 30 s in order to get as sharp images as possible. We noticed the optical companion of V1494 Aql and that has initiated a careful re-check of the literature and previous data.

All observations were reduced with IRAF111IRAF 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. in a standard fashion. Spectroscopic reductions included bias, flat and sky background corrections. Aperture extraction and wavelength calibrations were done with the task doslit utilizing CuAr spectral lamp exposures taken before and after every ten stellar exposures. The flux calibration used a spectrum of LTT 7379, a G0-type spectroscopic standard. Time-series direct images were corrected with bias and sky-flat frames, while instrumental $`R`$-band magnitudes were calculated with simple aperture photometry (the diameter of the aperture was set to 6$`\stackrel{}{.}`$5) in respect to comparison stars located within 1$`\stackrel{}{.}`$0. Following Barsukova & Goranskii 2003, the main comparison was GSC 0473–4227. Typical photometric accuracy was $`\pm 0\stackrel{m}{.}010\stackrel{m}{.}02`$.

## 3 Discussion

### 3.1 Astrometry

The original purpose of making sharp images on October 18, 2003 was checking the presence or absence of a resolvable nova shell. The predicted angular radius of the shell 3.8 years after the outburst is 0$`\stackrel{}{.}`$94 (following Kiss & Thomson 2000 and adopting the distance revised by Iijama & Esenoglu 2003). Instead of a shell, we found two closely separated stars within $`\pm `$1′′. In Fig. 1 we show our best CCD frames compared to the POSS2 red image (this is the sharpest POSS2 image). It is quite obvious that the 8-shaped profile is caused by two stars close to the limit of resolution. The POSS2 image has too low resolution and is too crowded to recognize this. None of the available POSS, POSS2 and 2MASS images of the field shows the nova and its companion resolved, so that our first conclusion is that we do not have any direct information on the progenitor.

The next step was the identification of the eclipsing component. For this, we used our time-series observations taken 2 months earlier. Even the best images were made under 2$`\stackrel{}{.}`$5 seeing, which disabled earlier recognition of the pair. Image differences, however, showed that the eclipsing variable is the eastern component, as has been also concluded by Barsukova & Goranskii (2003).

Although the chance of having a nova and an eclipsing binary within 2′′ seems to be very close to zero (the colours reported by Barsukova & Goranskii 2003 did not support it either), we made an astrometric solution of the best $`I`$-band image and compared the coordinates to the published values. We chose 21 non-saturated stars within $`\pm 1^{}`$ of the nova and took their J2000.0 coordinates from the GSC2.2 catalog. Pixel coordinates were determined by psf-fitting (with the daophot package in IRAF). The residuals of the solution were $`\pm `$0$`\stackrel{}{.}`$2, which we adopted as the astrometric uncertainty. The resulting coordinates are shown in Table 1. We plot them together with the coordinates of the nova and assumed progenitor (Pereira et al. 1999) in Fig. 2. According to this, the separation and the position angle of the companion are 1$`\stackrel{}{.}`$4 and 230, respectively.

We have two conclusions based on Fig. 2. Firstly, the positional agreement between the eclipsing star and the nova coordinate measured by D. di Cicco (Pereira et al. 1999) shows the nova and the eclipsing binary do indeed coincide. Secondly, the pre-outburst USNO position falls almost exactly halfway between the nova and the companion. We interpret this as an indirect evidence of the similar apparent brightnesses for the progenitor and the companion.

### 3.2 Photometry

It is evident from Fig. 1 that the nova has been fainter than the companion both in $`R`$ and $`I`$ (by chance, the analysed images were taken very close to the primary eclipse, the ephemeris in Kato et al. 2003 gives $`\varphi (R)=0.035`$ and $`\varphi (I)=0.002`$). This means the estimated contribution of the companion is much larger than quoted in Barsukova & Goranskii (2003) ($``$34% in $`R`$) and it may present a significant problem when modelling the light curve. To quantify it, we have measured relative magnitudes in respect to GSC 0473–4227 ($`R=12\stackrel{m}{.}94`$, $`I=12\stackrel{m}{.}05`$, Barsukova & Goranskii 2003) and corrected the light curve accordingly. Neglecting colour-dependent transformation terms (being in the order of a few hundredth mag for a wide range of colour differences, Sung & Bessell 2000), the resulting magnitudes (Table 1) revealed that the nova was fainter by 0$`\stackrel{m}{.}`$20 in $`R`$ and by 0$`\stackrel{m}{.}`$52 in $`I`$. The error budget of these values consists of the individual psf-fitting errors calculated by the task allstar (0$`\stackrel{m}{.}`$05 for the nova and the companion and 0$`\stackrel{m}{.}`$006 for the comparison), the uncertainty of the standard magnitudes of the comparison (0$`\stackrel{m}{.}`$02) and the neglected colour transformation terms (we assumed 0$`\stackrel{m}{.}`$02). Consequently, the final uncertainty is about 0$`\stackrel{m}{.}`$06 (it is marginally better in $`I`$ thanks to the better resolution).

We illustrate the secondary light correction in Fig. 3 (the companion’s magnitude was transformed to flux and was subtracted from the flux values of the light curve data; the results were transformed back to magnitudes). The middle curve in Fig. 3 shows the phased $`R`$-band data (using the ephemeris in Kato et al. 2003: $`BJD_{\mathrm{min}}=\mathrm{2\; 452\; 458.3230}+0.1346138\times E`$), while the corrected curve is the bottom one. The eclipse depth (defined as the brightness difference between $`\varphi =0`$ and $`\varphi =0.15`$) has increased by a factor of two from $`0\stackrel{m}{.}6`$ to $`1\stackrel{m}{.}2`$, which is obviously not a negligible effect. It is quite surprising that none of the recent studies applied this correction. On one hand, both Barsukova & Goranskii (2003) and Pavlenko et al. (2003) mentioned the presence of the companion but they did not go beyond that. On the other hand, despite using unfiltered observations heavily influenced by the red companion, Kato et al. (2003) did not even mention the problem. Our conclusion is that one has to be very careful when analysing observations of V1494 Aql and reliable modelling requires accurate correction to the light of the companion.

### 3.3 Spectroscopy

Further details on the companion’s nature are provided by the AAT spectroscopy. A sample spectrum is shown in the upper panel of Fig. 4. Beside a flat continuum, the spectrum is dominated by the complex H$`\alpha `$ line and an emission blend at 6080 Å. Weak absorption lines are present in the blue and the red third of the spectrum, of which the red one mostly contains atmospheric telluric lines. In the blue part the sodium D is the strongest absorption. The integrated fluxes converted to magnitudes draw the same eclipsing light curve as the CCD observations do (see the top curve in Fig. 3). After recognizing the problems with the companion, we checked the original spectrum images and found that nova spectra were indeed wider than the standard ones (but not wide enough for deblending). That means we had the same contamination from the companion as in the case of the imaging.

The absence of molecular bands in the spectrum exclude the possibility of a late-type companion. Furthermore, we could identify a number of common absorption lines in the spectra of the nova and the G0-type flux standard. The most prominent ones are marked in the bottom panel of Fig. 4. The resemblance suggests the spectral type of the companion is similar to the flux standard, most likely between late F and early G.

Finally, the sodium D line has some interesting properties. Iijama & Esenoglu (2003) detected strong interstellar sodium D lines three months after the outburst. They measured the following equivalent widths: $`EW_{\mathrm{D1}}=0.46\pm 0.01`$ Å and $`EW_{\mathrm{D2}}=0.55\pm 0.01`$ Å. As a comparison, the blended AAT spectra result in $`EW_{\mathrm{D1}}=0.50\pm 0.02`$ Å and $`EW_{\mathrm{D2}}=0.65\pm 0.02`$ Å, with possible greater systematic uncertainty due to the ambiguous continuum level. The larger equivalent widths are consistent with the assumption that we see a sum of stellar and interstellar absorptions. Since we do not detect any additional line doubling of the doublet (within $`\pm `$5 km s-1), either the $``$G-type companion has similar radial velocity than the cloud in which the interstellar component, detected by Iijama & Esenoglu (2003), originated or the continuum we see in Fig. 4 mostly comes from the reddened companion (in which case the radial velocities of the companion and the cloud still have to agree unless the cloud is farther away).

## 4 Conclusions

V1494 Aql is an intriguing eclipsing nova that has initiated recently a number of independent photometric and spectroscopic studies. Judged from the publications, none of them has tried to correct for the effects of the close companion. With the presented properties of the star, this neglect can be dangerous and has the potential to lead to unreliable light curve models. The red and far red spectral regions are especially affected by the companion, which is a major obstacle to using unfiltered CCD measurements.

Based on the results presented in this paper, we can summarize our knowledge on the companion of V1494 Aql. It is located 1$`\stackrel{}{.}`$4 SW of the eclipsing nova. In minimum, the nova is fainter by 0$`\stackrel{m}{.}`$2 in $`R`$ and 0$`\stackrel{m}{.}`$52 in $`I`$, while in maximum, it is brighter by about 0$`\stackrel{m}{.}`$6–0$`\stackrel{m}{.}`$8 in $`R`$, depending on the highly variable light curve shape (see Pavlenko et al. 2003 and the scatter of the phase diagrams in Fig. 3). A tentative spectral type has been assigned to the companion based on medium-resolution spectra with the AAT.

Adopting $`E(BV)=0\stackrel{m}{.}6`$, $`d=1.6`$ kpc and assuming the mean corrected $`R`$ magnitude ($`16\stackrel{m}{.}3`$) of the nova is close to the quiescent brightness, the progenitor’s absolute magnitude was about $`M_\mathrm{R}=3\stackrel{m}{.}9`$, which leaves unchanged our conclusion on it (Kiss & Thomson 2000). However, further high-resolution imaging, preferably made under sub-arcsecond seeing, is needed in order to allow accurate photometric corrections and light curve modelling.

###### Acknowledgements.

This work has been supported by the FKFP Grant 0010/2001, OTKA Grants #F043203 and #T034615 and the Australian Research Council. We are grateful to the TACs of the Anglo-Australian Observatory and the Mount Stromlo and Siding Spring Observatories for allocating telescope time used for this study. We also wish to thank the assistance of Péter Székely during the time-series photometric observations. The NASA ADS Abstract Service was used to access data and references.


text:
# Photon and its hadronic interaction

## 1 Introduction

Photon is one of the oldest elementary particle with very well known (QED) properties, and as such it is considered to be a tool (“ideal probe”) to test the structure of more complicated objects like a proton. For example, in the DISep, considered as the main source of information on the inner structure of the proton, the structure functions $`F_{1,2,L}^{proton}`$ for the proton can be measured. The probe - in a wide range of $`Q^2`$ \- is provided by flux of virtual photons, emitted by primary electrons (positrons).

So, besides proton also electron and photon are involved in the measurement of the structure functions and the parton densities of the proton. A factorization allows to treat independently the electron and proton part (figure above). The contributions of the longitudinal (L) and transverse (T) virtual photons can also be separated. Therefore, we can write

$$d\sigma ^{epeX}=\mathrm{\Gamma }_Td\sigma ^{\gamma _T^{}pX}+\mathrm{\Gamma }_Ld\sigma ^{\gamma _L^{}pX}.$$

Note, that the structure functions $`F_{1,2,L}^{proton}`$ are proportional to the combinations of the cross sections for processes $`\gamma _{T,L}^{}pX`$. One can ask if the photon is only a neutral probe in such measurements and to what extend its apparent “structure” influences the corresponding structure functions of the proton?

Effects of the “structure” of the photon may influence our knowledge of the partonic content of the proton also in the large-$`p_T`$ photoproduction at HERA. However here both the initial (almost real) photon and the initial proton are on equal footing and it is natural nowdays to take into account partonic content of both of them.

Similarly, the DIS events at HERA, if correspond to the large-$`p_T`$ single particle or jet production for $`p_T^2Q^2`$, are sensitive to the “structure” of the virtual photon (with virtuality $`Q^2`$).

It is clear, that if we want to understand a proton, we should understand a photon itself. It is interesting to realized that approximately at the same time (1922-3) we have learned that the proton is not a fundamental particle, while the photon is such a particle (Compton effect). Since early sixties XX we realized that the photon in fact belongs to a “hadron family” with the closest relatives (according to the VMD idea)- the vector mesons:$`\rho ,\omega `$ and $`\varphi `$. Next, the notion of a partonic content of $`\gamma `$ have been introduced to describe in an effective way its hadronic interaction.

## 2 Photon

At present colliders testing the partonic content of the photon is a difficult task, as at both LEP and HERA the photon is not a primary particle. The question if it is simpler to deal with a partonic content of the electron was addressed during this workshop.

In the inclusive process $`e^+e^{}e^+e^{}hadrons`$ one can probe the “structure” of photon in various ways depending on the virtualities of emitted photons, $`|q_1^2|=Q^2`$ and $`|q_2^2|=P^2`$ (figure below):
$``$ The region $`Q^2P^2\mathrm{\Lambda }_{QCD}^2`$ corresponds to DIS$`_{e\gamma ^{}}`$, where one can measure the structure functions of the virtual photon.
$``$ For $`Q^2\mathrm{\Lambda }_{QCD}^2`$, $`P^20`$ the corresponding process is DIS, where one can measure the structure functions of the real photon.
$``$ For $`Q^2P^20`$ the total cross section $`\sigma _{\gamma \gamma }^{tot}`$ can be studied.

In the DIS events $`e\gamma eX`$ various structure functions for the real photons can be measured in principle, however data are mainly for $`F_2^\gamma `$.

The $`F_2^\gamma `$ structure function can be related to the partonic densities of the real photon. In the Parton Model (PM) one obtains a prediction from a pure QED that the quark densities $`q^\gamma \mathrm{ln}Q^2`$, and that $`q^\gamma `$ are large at the large value of $`x`$. In QCD there are leading $`\mathrm{ln}Q^2`$ corrections which can be sum up to all orders using an inhomogeneous DGLAP evolution equations. This form of equation allows to obtain an asymptotic solutions for quark densities in the photon without any input. In practice, one use an input usually based on VMD (sometimes modelled by $`\pi `$ (sic!)).

In many analyses the quark densities in $`\gamma `$ are treated as being proportional to $`\alpha /\alpha _s`$, while in others to $`\alpha `$, since the main $`\mathrm{ln}Q^2`$-dependence mentioned above has nothing to do with QCD and $`\alpha _s`$. The way of counting has practical consequences as it influences the choice of diagrams which define the NLO set.

The cross section for the large-$`p_T`$ hadronic processes involving photons get contributions from diagrams with the direct and the resolved photon interaction with quarks. Note, that the resolved-photon contribution are possible for real and virtual photons, in the latter case provided that $`p_T^2`$ is larger that $`P^2`$ \- a “virtuality” of the $`\gamma ^{}`$. Note that for the resolved virtual photons processes one should take into account not only cross section for a defined polarization of $`\gamma ^{}`$ (L or T) but also, since $`\gamma `$ is not a primary particle, the corresponding interference terms: LT and T1 T2.

## 3 New results for proton and photon

There many new data for the proton from HERA and for photon from the LEP (DIS and ”large-$`p_T`$” events) and from HERA (“large-$`p_T`$ events“), as presented at this workshop.

There is an impressive theoretical progress in the construction of the parton parametrizations for the proton with a higher precision and using various evolution equations, DGLAP, BFKL and CCFM. Of a great importance are special treatments of the heavy-quark thresholds and error analyses of parton densities preformed recently. This stimulates the corresponding progress for a photon, reported during workshop.

## 4 Old and new ideas

* In 1934 L. de Broglie considered “The Neutrino Theory of Light”, with the light quanta composed of $`\nu \overline{\nu }`$ pairs (also Pauli, Heisenberg, Jordan, Kronig, Born). No satisfactory derivation of Bose statistics of light quanta from Fermi statistics for $`\nu `$ was found and this idea was abandoned (almost).
* The new idea is a Non-Commutative QED with a selfinteraction of photons.

## 5 Instead of a summary

The study of light has resulted in achievements of insight, imagination and ingenuity unsurpassed in any field of mental activity; it illustrates, too, better than any other branch of physics, the Vicissitudes of theories (Sir J.J. Thomson, 1925).

For future study a Photon Collider with a real photon as a primary particle will be very useful. Acknowledgment: I would like to thank the Local Organizing Committee for this excellent workshop and all forms of support during my stay in Frascati.


text:
# Toward a description of contact line motion at higher capillary numbers

## Abstract

The surface of a liquid near a moving contact line is highly curved owing to diverging viscous forces. Thus, microscopic physics must be invoked at the contact line and matched to the hydrodynamic solution farther away. This matching has already been done for a variety of models, but always assuming the limit of vanishing speed. This excludes phenomena of the greatest current interest, in particular the stability of contact lines. Here we extend perturbation theory to arbitrary order and compute finite speed corrections to existing results. We also investigate the impact of the microscopic physics on the large-scale shape of the interface.

The moving contact line problem is a famous example of hydrodynamics failing to describe a macroscopic flow phenomenon. But it was only in 1971 that Huh and Scriven HS71  discovered that the viscous dissipation in the fluid wedge bordered by a solid and a fluid-gas interface is logarithmically infinite if the standard no-slip boundary condition LL84  is applied at the solid surface. Thus infinite force would be required to submerge a solid body, and a drop could never spread on a table.

This result is of course contradicted by observation, and physical effects that relieve the singularity have to be invoked near the contact line, which go beyond the standard description. A great variety of possible mechanisms have been proposed, and indeed there is no reason to believe that for different solid-fluid-gas systems always the same mechanism is involved. However, a question rarely considered is whether the choice of different microscopic mechanisms would make a great difference when looked at macroscopically.

In a recent paper ES03  we compared various microscopic models in the case of perfect wetting. We found that the length scale that appears in the expression for the interface shape is strongly speed dependent, in a fashion that depends on the model. Here we are going to show that this dependence is much weaker in the case of partial wetting, and differences only come in at higher order in an expansion in capillary number $`Ca=U\eta /\gamma `$, where $`\eta `$ is the viscosity of the fluid, and $`\gamma `$ the surface tension between liquid and gas. Finite capillary number corrections are of interest for various situations of “forced” wetting, in which $`Ca`$ is no longer asymptotically small, and previous theories for the dynamic interface angle break down K93 .

For simplicity, we perform our calculations within the framework of lubrication theory, assuming a parabolic flow profile. This limits applications to the case of small contact angles, but without altering the essential structure of the problem. We consider the neighborhood of a contact line moving with speed $`U`$ across a solid in a frame of reference in which the contact line is fixed at the origin of the coordinate system (see Fig.1). To relieve the corner singularity, we allow the fluid to slide across the solid surface, following the generalized Navier slip law N23 ; H83 ; H01

$$u|_{y=0}U=\lambda ^{2\alpha }h^{\alpha 1}\frac{u}{y}|_{y=0}$$
(1)
at the plate, where $`h(x)`$ is the thickness of the fluid layer, and $`\lambda `$ is taken as a constant rather than a speed dependent quantity. The case $`\alpha =1`$ corresponds to the usual Navier slip, and (1) is a simple generalization involving only a single length scale $`\lambda `$. The resulting lubrication equation is H83

$$\frac{3Ca}{h^2+3\lambda ^{2\alpha }h^\alpha }=h^{\prime \prime \prime }.$$
(2)
The left-hand side corresponds to viscous forces, diverging as the contact line position $`h(0)=0`$ is approached, but weakened by the presence of slip. Viscous forces are balanced by surface tension forces on the right, resulting in a highly curved interface near the contact line. In comparison, other forces like gravity have been neglected. This restricts the validity of (2) to a distance from the contact line below the capillary length $`\mathrm{}_c=\sqrt{\gamma /(\rho g)}`$. We also assume that the angle at the contact line $`h^{}(0)=\theta _e`$ is constant, independent of speed. Hence it has to coincide with the equilibrium contact angle, in order to give the right result at vanishing speed.

Since we want to investigate the neighborhood of the contact line, it is convenient to introduce the scaled variables

$$h(x)=3^{1/(2\alpha )}\lambda H(\xi ),\xi =x\theta _e/[3^{1/(2\alpha )}\lambda ],$$
(3)
which leads to

$$\frac{\delta }{H^2+H^\alpha }=H^{\prime \prime \prime }.$$
(4)
From the scaling (3) it is evident that the curvature of the interface $`h^{\prime \prime }(x)`$ scales like $`\lambda ^1`$, where $`\lambda `$ is in the order of nanometers ES03 . Thus, in order to match the local solution near the contact line to an outer profile with a curvature of order $`1/\mathrm{}_c`$, the curvature $`H^{\prime \prime }(\xi )`$ has to vanish for large $`\xi `$. This means the boundary conditions for the solution of (4) are

$$H(0)=0,H^{}(0)=1,H^{\prime \prime }(\mathrm{})=0.$$
(5)
The only parameter appearing in the problem is now the rescaled capillary number $`\delta =3Ca/\theta _e^3`$.

For $`\delta >0`$ equations (4) and (5) have a unique asymptotic solution, due to Voinov V76 , for which the slope behaves like $`H^{}(\xi )=\left[3\delta \mathrm{ln}(\xi /\xi _0)\right]^{1/3}`$ for $`\xi 1`$. This solution has vanishing curvature at infinity and only contains a single free parameter $`\xi _0`$, to be determined by matching to the contact line. In the present paper, we are going to deal exclusively with this wetting situation. If $`\delta <0`$, the mathematical structure of (4) changes completely. This can be seen from considering the simpler equation $`\delta /H^2=H^{\prime \prime \prime }`$, valid for large $`H`$. Namely, it follows from an exact solution DW97  to this equation, that for $`\delta <0`$ all solutions have strictly positive curvature at infinity. The consequences of this observation for the stability of contact lines are explored in another paper E03 .

The mathematical problem to be tackled in this letter consists in computing $`\xi _0`$ as a function of $`\delta `$. As was done in previous works H83 ; C86 ; GHL90 ; H92 , we proceed by expanding around the trivial solution at zero speed $`\delta =0`$. In this case, the solution of (4) and (5) is evidently given by $`H(\xi )=\xi `$. Hence the perturbation expansion we seek looks like

$$H^{}(\xi )=1+\delta H_1^{}(\xi )+\delta ^2H_2^{}(\xi )+\mathrm{}$$
(6)
for the slope.

This is to be compared to the full asymptotic expansion of (4) in $`\mathrm{ln}(\xi )`$ BO78 , the leading term corresponding to Voinov’s solution:

$$H^{}(\xi )=\left[3\delta \mathrm{ln}(\xi /\xi _0)\right]^{1/3}\left\{1+\underset{i=1}{\overset{\mathrm{}}{}}\frac{b_i}{(\mathrm{ln}(\xi /\xi _0))^i}\right\}.$$
(7)
All coefficients $`b_1=1/3,b_2=10/27,\mathrm{}`$ are readily computable. Expanding (7) in $`\delta `$ and comparing to (6) leads to the following structure of the expansion of $`\mathrm{ln}(\xi _0)`$:

$$3\mathrm{ln}(\xi _0)=\frac{1}{\delta }+\underset{i=0}{\overset{\mathrm{}}{}}c_{i+1}\delta ^i.$$
(8)
Substituting this back into (7), the large-$`\xi `$ behavior of the $`H_i(\xi )`$ in (6) is given in terms of the coefficients $`c_i`$:

$`\begin{array}{c}H_1^{}(\xi )=\mathrm{ln}(\xi )+1+c_1/3,\hfill \\ H_2^{}(\xi )=\mathrm{ln}^2(\xi )(2+2c_1/3)\mathrm{ln}(\xi )+\hfill \\ +c_2/3c_1^2/92c_1/310/3.\hfill \end{array}\}\xi \mathrm{}`$ (12)
To compute $`c_1`$ we have to solve (4) to first order in $`\delta `$:

$$H_1^{\prime \prime \prime }=\frac{1}{\xi ^2+\xi ^\alpha }r(\xi ),$$
(13)
with boundary conditions $`H_1(0)=0,H_1^{}(0)=1`$, and $`H_1^{\prime \prime }(\mathrm{})=0`$. According to (12), the constant $`c_1`$ is given by

$$1+c_1/3=\underset{\xi \mathrm{}}{lim}H_1^{}(\xi )\mathrm{ln}(\xi +1).$$
(14)
Integrating (13) twice, we can thus write

$`1+c_1/3={\displaystyle _0^{\mathrm{}}}{\displaystyle _{\mathrm{}}^{\stackrel{~}{\xi }}}\left[r(\overline{\xi })+{\displaystyle \frac{1}{(\overline{\xi }+1)^2}}\right]𝑑\overline{\xi }𝑑\stackrel{~}{\xi }=`$
$`{\displaystyle _0^{\mathrm{}}}{\displaystyle _0^{\overline{\xi }}}\left[r(\overline{\xi })+{\displaystyle \frac{1}{(\overline{\xi }+1)^2}}\right]𝑑\stackrel{~}{\xi }𝑑\overline{\xi }=`$
$`{\displaystyle _0^{\mathrm{}}}\left[{\displaystyle \frac{\xi ^{1\alpha }}{\xi ^{2\alpha }+1}}{\displaystyle \frac{\xi }{(\xi +1)^2}}\right]𝑑\xi =`$
$`\left[{\displaystyle \frac{1}{2\alpha }}\mathrm{ln}(\xi ^{2\alpha }+1)\mathrm{ln}(1+\xi ){\displaystyle \frac{1}{1+\xi }}\right]_0^{\mathrm{}}=1`$
independent of $`\alpha `$. Remarkably, $`c_1`$, the first-order correction to $`\xi _0`$, always vanishes, regardless of how the length scale $`\lambda `$ is introduced near the contact line.

The problem at second order can be tackled in precisely the same manner, using the equation for the second-order problem

$$H_2^{\prime \prime \prime }=H_1(\xi )\frac{2\xi +1}{\xi ^2(\xi +1)^2},$$
(15)
where we have specialized to the standard case $`\alpha =1`$ for simplicity. The case $`\alpha =0`$ can be treated in exactly the same manner. Integrating the first order equation (13) thrice gives

$$H_1=[\mathrm{ln}(\xi +1)(\xi +1)^2\xi \xi ^2\mathrm{ln}(\xi )]/2,$$

thus specifying the r.h.s. of equation (15). The trick used to calculate $`c_1`$ at first order can be repeated at the next order, using the second equation of (12) and $`c_1=0`$. Simplifying the resulting double integral as before, we find

$`c_2/310/3=\underset{\xi \mathrm{}}{lim}H_2^{}(\xi )+\mathrm{ln}^2(\xi +1)+2\mathrm{ln}(\xi +1)=`$
$`{\displaystyle _0^{\mathrm{}}}\left[{\displaystyle \frac{\xi H_1(\xi )(2\xi +1)+2\xi ^3\mathrm{ln}(\xi +1)}{\xi ^2(\xi +1)^2}}\right]𝑑\xi =\pi ^2/67/2.`$
In summary, we thus have $`c_2=(\pi ^21)/2`$ for $`\alpha =1`$ and $`c_2=(3\pi ^24)/8`$ for $`\alpha =0`$, which follows from a very similar calculation. It is evident that the same procedure can be repeated at arbitrary order, although the calculation rapidly becomes analytically intractable.

Rewriting the rescaled solution $`H(\xi )`$ in terms of the physical profile $`h(x)`$, we find the slope of the interface to be

$$h^3(x)\theta _e^3=9Ca\mathrm{ln}(x/L)$$
(16)
for any capillary number. This is the form originally proposed by Voinov V76 , using more qualitative arguments. The length $`L`$ appearing inside the logarithm can be written as an expansion in the capillary number:

$$L=\frac{3^{1/(2\alpha )}\lambda }{\theta _e}\left[1\frac{3c_2Ca}{\theta _e^3}+O(Ca^2)\right].$$
(17)
Integrating equation (2) numerically, a comparison with (16) can be made, giving $`L`$ as function of capillary number. In Fig.2 it is clearly seen that our expansion (17) describes the initial departure from the leading order result quite well. However, when the corrections amount to about $`10\%`$ of the leading order, higher order terms become important. Thus as a rough estimate, the present approach can be trusted if $`\delta =Ca/\delta _e^3\text{ }\stackrel{<}{}\text{ }0.05`$. It would be interesting to systematically investigate the dependence of $`L`$ on the capillary number beyond that value.

Comparing (16) to de Gennes’ result G86

$$(h^2(x)\theta _e^2)h^{}(x)=6Ca\mathrm{ln}(x/\lambda ),$$
(18)
one finds that the two laws agree if the departure of $`h^{}(x)`$ from $`\theta _e`$ is small. Beyond the leading order expansion of $`h^{}(x)`$ in $`Ca`$, however, (16) and (18) are inconsistent. This casts doubts on the original argument for (18), which should also apply to the class of simple slip models considered here, and which has already been reviewed in a critical light in GHL90 . In particular, this calls into question de Gennes’ theory G86  of contact line instability, which crucially uses (18).

Finally, it should be realized that we have assumed that the local profile as described by (2) can be treated independently. The only effect of the outer profile comes in with the boundary condition of vanishing curvature (5). Earlier work H83 ; C86  includes the matching to an outer profile, but arrives at the same results as we do to leading order in $`Ca`$. At elevated capillary numbers, however, different parts of the solution may interact in a non-trivial way, and matching may be necessary.

###### Acknowledgements.

Thanks are due to Howard Stone for many discussions on the subject of contact lines, and to Rich Kerswell for help with the analytical calculation of integrals.


text:
# High Energy Neutrino Astrophysics

## 1 Introduction

The observation of neutrinos is an experimental challenge due to their weak interactions that makes them elusive particles. Though they are difficult to detect, they are excellent probes to observe the most distant sources and their interior. Until now only MeV extra-terrestrial neutrinos have been observed from the Sun and SN1987A. Nevertheless there is growing activity to build detectors for high energy ($`1`$ TeV) neutrinos of astrophysical origin: their detection would allow the observation of the horizon not accessible to the well-established $`\gamma `$-astronomy.

In Sec. 2 the scientific objectives of $`\nu `$ astrophysics and the connection to the observation of Ultra-High Energy Cosmic Rays (UHECRs) are introduced. The complementarity between $`\gamma `$ and $`\nu `$-astrophysics is pointed out and typical models for $`\nu `$ production are considered. The working principle of Neutrino Telescopes (NTs) exploiting the Cherenkov light detection in the South Pole ice or in sea/lake depths is summarized in Sec. 3. Detector performances, event topologies and background rejection methods are considered. In Sec. 4 the current status of Cherenkov NTs is reviewed, while in Sec. 5 other techniques are considered.

## 2 Scientific Motivations of $`\nu `$ Astrophysics

Cosmic rays have been observed in huge Extensive Air Shower (EAS) arrays up to energies in excess of $`10^{20}`$ eV, exceeding those of any foreseen accelerator machine. The spectrum is impressively regular: 2 power laws with a mass-dependent break at $`3000`$ TeV (the ’knee’) beyond which the spectrum becomes softer. It is commonly believed that up to the knee galactic supernovae (SNs) can be the sources of CRs, since they have the proper power to accelerate CRs and to balance the energy density of CRs confined in the Galaxy. Moreover diffusive shock acceleration naturally leads to power law spectra. Most experiments agree that above the knee the composition becomes heavier since the proton gyro-radius in the galactic magnetic fields is smaller than that of Fe nuclei. Another feature at $`10^{19}`$ eV (the ’ankle’) indicates another possible spectral slope change not yet well established due to the small statistics ($`1`$ particle/km2/yr). At these energies the Larmour radius of protons is comparable to the Galaxy size and the ankle could be due to the onset of an extra-galactic component. Most of the EAS observations agree on a proton dominated composition. Nevertheless it is still not possible to establish the fall-off of the CR spectrum above $`10^{19.5}`$ eV (GZK cut-off), due to p interactions with the Cosmic Microwave Background Radiation (CMBR), since statistics is small and systematic errors large.

Since $`\gamma `$-rays are reprocessed in sources and absorbed by extra-galactic backgrounds (IR, CMB and Radio photons) through pair production, at few hundreds of TeV they do not survive the journey from the Galactic Center. Protons cannot access regions at distances $`50`$ Mpc at energies E$`>50`$ EeV at which they are deflected by $`<1^{}`$ by magnetic fields. Neutrons of EeV energies have decay lengths of the order of 10 kpc. Hence, there is no doubt that neutrinos, and possibly gravitational waves, propagating almost undisturbed by encountered matter and magnetic fields, represent the ’probes’ of the Universe with unique discovery potentials. They could allow us to answer the question: ’Which are the sources of the highest energy cosmic rays?’. Review papers on $`\nu `$ astrophysics are in .

Models for high energy CR production and acceleration are divided into 2 classes: top-down models, that imply super-massive relic decays, and bottom-up models. In bottom-up scenarios protons or nuclei are accelerated and interact with matter or photons surrounding the accelerator, hence producing mesons. Neutral pions decay into $`\gamma `$s and from charged pion decay (if all $`\mu `$’s decay too) the $`\nu `$ species are produced in a flavor ratio of $`\nu _e:\nu _\mu :\nu _\tau =1:2:0`$, since $`\nu _\tau `$ production at source from charmed mesons is negligible. Moreover after propagation through cosmological distances, these ratios are altered by $`\nu _\mu \nu _\tau `$ oscillations into $`1:1:1`$ (even though other scenarios involving $`\nu `$ decay are possible). From these reactions the strict relation-ship between gamma and neutrino astrophysics emerges. It is reasonable to assume that at the sources photon and neutrino spectra have similar shape and normalization (even if absorption effects can be not negligible), typically $`\frac{dN}{dE}E^{(2÷2.5)}`$, as expected from $`1^{st}`$ order Fermi acceleration mechanism. Irrespective of details of acceleration mechanisms, the maximum energy of CRs accelerated in a site of dimensions $`R`$ in the presence of magnetic fields B can be calculated considering that the Larmour radius of particles cannot exceed $`R`$. It results in $`E_{\mathrm{max}}\beta Z\left(\frac{B}{1\mu \mathrm{G}}\right)\left(\frac{R}{1\mathrm{k}\mathrm{p}\mathrm{c}}\right)10^{18}`$ eV, where $`\beta `$ is the velocity of a shock wave in units of velocity of light or the efficiency of the acceleration mechanism. Other $`\nu `$ production mechanisms are photopion production due to UHECR interactions with the CMBR (‘GZK $`\nu `$’s’)  and Z decays due to UHE $`\nu `$’s interacting on cosmic background $`\nu `$’s .

Examples of sources accelerating CRs up to energies of $`10^{19}`$ eV are extra-galactic sources, such as inflows onto super-massive black holes at centers of Active Galactic Nuclei (AGNs) and Gamma-Ray bursters (GRBs). If the sources of the observed highest energy CRs are optically thin to proton photo-meson and proton-nucleon interactions, so that protons escape, an upper limit to the $`\nu `$ flux (hereafter W&B limit) can be calculated . This flux corresponds to $`200`$ events/km2/yr. It should be considered that the W&B flux is derived normalizing the observed proton flux at 10 EeV and extrapolating it at lower energies using an $`E^2`$ source spectrum. It can be evaded considering other spectral dependences; moreover magnetic field effects and uncertainties in photohadronic interactions can reduce the number of protons able to escape, hence affecting the limit . Galactic sources are not subject to these limits due to their proximity. Possible sources of HE $`\nu `$’s are micro-quasars, exploding stars and consequent neutron stars in SNRs, magnetars and the rates vary from fractions of events up to hundreds in km2 detectors.

There is not a convincing evidence nowadays on the existence of hadronic acceleration in sources. The TeV gamma sky is of great interest for $`\nu `$ astrophysics since if a strong indication emerges that $`\gamma `$s are not produced by electromagnetic processes but in $`\pi ^0`$ decay, HE $`\nu `$’s should be produced as well by charged $`\pi `$s. Current TeV catalogues include about 20 sources detected by imaging atmospheric Cherenkov (IAC) detectors, mainly extra-galactic BL Lacs and galactic SN remnants (SNR). CANGAROO IAC experiment has detected at $`7\sigma `$ level TeV emissions from the Galactic Center , and it is expected to be confirmed by HESS soon. The claim by CANGAROO  on the better compatibility of TeV $`\gamma `$-ray measurements from the SNR RX J1713.7-3946 with a $`\pi ^0`$ decay hypothesis compared to electromagnetic mechanisms (bremsstrahlung and inverse Compton) is still controversial . There is room for a $`\pi ^0`$ decay contribution in HE tails of multi-wavelength spectra of some TeV sources, such as the Crab, PSR 1706-44, Cas A, plerions and shell-type SNRs.

## 3 Cherenkov Neutrino Telescopes

Neutrinos can be detected through their charged current (CC) interactions in 3-D arrays of optical modules (OMs), pressure resistant glass spheres containing phototubes (PMTs), located in polar ice or sea/lake water. OMs distances are optimized considering light transmission properties and construction constraints. The time and position of PMTs hit by Cherenkov light emitted by relativistic particles allow the reconstruction of tracks. Charge amplitudes are used to measure $`\mu `$ and shower energies. The selection of detector sites is determined by transmission light properties, environmental backgrounds, stability of media properties in the implemented region, mechanical, construction and infrastructure constraints. In Sec. 4 merits and drawbacks of ice and water properties are discussed.

For various reasons this technique improves with energy. $`\nu `$ cross-sections and $`\mu `$ range increase with energy, and hence the effective target mass. The amount of light also increases hence reconstruction of $`\mu `$ tracks and of cascades induced by $`\nu _{e,\tau }`$ and NC can improve. Moreover the signal to noise ratio (S/N) improves with energy, since the atmospheric $`\mu `$ and $`\nu `$ fluxes are steeper ($`E^{3.6}`$ for $`E100`$ GeV) than fluxes expected from sources ($`E^2`$).

In order to reduce the $`\mu `$ flux by orders of magnitude, detectors are located below kms of matter, underwater or underice. The rejection of atmospheric $`\mu `$’s is achieved looking at events from the lower hemisphere, induced by $`\nu `$’s crossing the Earth, or using HE cuts in case also events from above should be recovered from the background. In fact, at $`40`$ TeV the $`\nu _\mu `$ interaction length equals the Earth diameter and at $`E1`$ PeV $`\nu _\mu `$ absorption is severe. On the other hand, the Earth is transparent to $`\nu _\tau `$ thanks to $`\tau `$ decay producing another $`\nu _\tau `$. Hence NTs need to have good shower, track reconstruction capabilities and energy resolution.

The atmospheric $`\nu `$ background rejection in astrophysical $`\nu `$ searches depends on strategies. For point-like sources, statistically significant clusters of events with respect to the atmospheric $`\nu `$ distributions are looked for. Methods are based on angular cuts optimized in order to have the best S/N ratios in case of binned methods or on the measurement of the energy dependent point-spread function for unbinned methods. As a matter of fact, the distribution of events around the point source is different from the background. In case of time-dependent emissions, such as GRBs, further time requirements strongly reduce the backgrounds. It is clear that a relevant parameter for point-like source searches is the angular resolution. For galactic sources, for which typically $`\nu `$ emissions do not exceed energies much larger than 100 TeV, a good angular resolution provides a substantial mean to reject the backgrounds. On the other hand, for diffuse extra-galactic sources the S/N ratio is optimized using minimum energy cuts and exploiting the different energy dependence of signal and noise spectra. Both $`\mu `$ tracks or cascades are used for diffuse flux searches. Typically, the direction of $`\nu `$ parents of cascades is detected with worse resolution than for $`\mu `$’s (typically $`30^{}`$ above 10 TeV), while the energy resolution is competitive (for $`\mu `$’s $`3040\%`$ in logE, for showers $`20\%`$ in E above 10 TeV).

The effective area for $`\nu `$’s, that is the sensitive area ’seen’ by $`\nu `$’s producing detectable $`\mu `$’s when entering the Earth, is a useful parameter to determine event rates and to be compared between experiments. In fact, the event rate for a $`\nu `$ model predicting a spectrum $`\frac{d\mathrm{\Phi }}{dE_\nu d\mathrm{\Omega }_\nu }`$ is given by $`N_\mu =𝑑E_\nu 𝑑\mathrm{\Omega }_\nu A_\nu ^{eff}(E_\nu ,\mathrm{\Omega }_\nu )\frac{d\mathrm{\Phi }}{dE_\nu d\mathrm{\Omega }_\nu }`$. It depends on track reconstruction quality cuts and selection criteria for background rejection, on the $`\mu `$ range, $`\nu `$ cross section and on the $`\nu `$ absorption in the Earth. Being strongly energy dependent, the mean energy of atmospheric $`\nu `$’s producing detectable events is $`100`$ GeV, while for an $`E^2`$ spectrum it is $`10`$ TeV.

## 4 Experimental Status and Results

The NT currently taking data are AMANDA at the South Pole  and NT200 (192 OMs on 8 strings) in Lake Baikal (Siberia)  at 1.1. km depth. Baikal effective area for $`\mu `$’s is 2000 m2 at 1 TeV and the sensitivity to cascades is competitive to AMANDA. By implementing 3 additional strings carrying only 6 couples of OMs vertically spaced by 70 m, at a distance of 100 m from the detector centre (of diameter of 43 m) the sensitivity to cascades will improve by a factor of 4. Baikal was the first underwater telescope to reconstruct atmospheric $`\nu `$’s in 1996.

AMANDA is running now in the AMANDA-II configuration with 677 OMs with 8-inch PMTs on 19 strings implemented between 1.5-2 km deep in the ice. The angular resolution for $`\mu `$ tracks has improved from $`4^{}`$ for the previous configuration AMANDA-B10  (302 OMs on 10 strings) to $`22.5^{}`$. The effective area for $`\mu `$’s, that has largely improved in the horizontal direction, is $`0.020.04`$ km2 for an $`E^2`$ $`\nu `$ flux depending on the source declination. From the two ‘calibration’ test beams of atmospheric $`\mu `$’s and $`\nu `$’s a systematic error of 25% on detector acceptance is derived mainly due to OM sensitivity and ice optical property knowledge. The upper limits for $`\mu `$ fluxes for point sources calculated using 699 upward events selected in 197 d during the year 2000, are shown in Fig. 1. The most significant excess, observed around 21.1h R.A. and $`68^{}`$ declination, is of 8 events and the expected background is 2.1. The probability to observe such an excess as a random fluctuation of the background is 51%. Limits from other experiments of smaller area ($`1000`$ m2), Super-Kamiokande (SK) and MACRO  in the upper hemisphere, are reported. It is interesting to notice that the MACRO scintillator+tracking detector, with angular resolution $`1^{}`$, in a sample of 1388 upward-going $`\mu `$’s has found an excess in the Circinus Constellation region. Ten events have been detected inside a $`3^{}`$ half-width cone (including $`90\%`$ of an $`E^2`$ signal) around the plerion PSR B1509-58 and 2 are expected from atmospheric $`\nu `$’s. This source was also detected by CANGAROO in 1997 above 1.9 TeV with $`4\sigma `$ significance, but not confirmed by 1996 and 1998 data with 2.5 TeV threshold . Even though PSR B1509-58 is of interest as possible $`\nu `$ emitter, the significance of MACRO result is negligible when all the 1388 directions of the measured events are looked at. Moreover, it is expected that $`E^{(2÷2.5)}`$ signals should produce at least 4-7 events in $`1.5^{}`$ around the source while only 1 is detected and the expected background is 0.5. From the same sources SK observes the largest number of events between the selected catalogue looked at, but the data are still compatible with background fluctuations (9 events to be compared to a background of 5.4). The sensitivity of ANTARES (expected angular resolution of $`0.2^{}`$ for $`E_\nu >10`$ TeV) is also shown for 1 yr of data taking .

Upper limits for $`E^2`$ diffuse fluxes of $`\nu _\mu +\overline{\nu }_\mu `$ are summarized in Tab. 1. When specific spectral shapes of models are considered, it results that some $`\nu `$ models from AGNs/blazars and quasars are excluded by the AMANDA B-10 limit, while this is still higher than the W&B limit of $`4.510^8`$ GeV cm-2 s-1 sr-1. Upper limits on diffuse fluxes of cascades induced by all flavor $`\nu `$’s are shown in Fig. 2.

ANTARES  will be located in front of Toulon, South France, 40 km off-shore at a depth of 2400 m. It will consist of 12 strings carrying 75 OMs each, containing 10-inch PMTs. The electro-optical cable (EOC) already connects since Dec. 2002 the shore station to the junction box, that distributes data and power to strings. Submarine connections were successful in Mar. 2003 when a prototype (1/5 of a string with 15 OMs), was deployed together with an instrumentation string for environmental parameter measurements. The detector is expected to be completed by the end of 2006.

NESTOR  is aiming at the construction of a NT close to Pylos (Greece) at $`4`$ km depth. Proposed towers are made of 12 hexagonal floors of 32 m diameter spaced by 30 m each carrying 6 upward-looking and 6 down-ward looking OMs with 15-inch PMTs. The effective area for $`E_\mu >10`$ TeV is $`0.02`$ km2. In Mar. 2003 a prototype 12 m diameter floor was deployed and PMT data were transmitted to shore trough a 35-km EOC.

In the next future the community is aiming at the construction of detectors at the scale of km3. The IceCube project  is already funded and detector construction will start in the Austral summer of 2004-5 and will continue for about 6 years. It will consist of 4800 DOMs (digital OMs) on 80 strings each with 60 10-inch PMTs vertically spaced by 17 m extending from 2.4 km up to 1.4 km depths. The strings are at vertices of equilateral triangles with 125 m long side. Close to each string hole there will be 2 iced water tanks seen by 2 DOMs, forming the IceTop array for CR composition measurements and absolute pointing determination. The $`\mu `$ declared effective area after selection requirements is $`>1`$ km2 above 10 TeV, the angular resolution is expected to be $`<1^{}`$ at high energies, the energy resolution $`30\%`$ in $`\mathrm{log}E_\mu `$ and $`20\%`$ in E for cascades.

In order to cover the entire sky, particularly the region of the Galactic Center, a $`km^3`$ detector is envisaged also in the Mediterranean. Being located in sea water, it will provide complementarity respect to IceCube for what concerns media properties and environmental backgrounds. Media transmission properties are characterized by the attenuation length, the sum of the absorption and scattering lengths. Absorption reduces signal amplitudes, hence it mainly affects the choice of the distance between OMs. Scattering length affects the direction of light propagation and the arrival time of photons on OMs, hence the angular resolution. A useful parameter is the effective scattering length which takes into account the angular distribution of scattered photons. It was found by the AMANDA experiment that ice properties depend on depth: the presence of air bubbles in the ice is much reduced below depths of 1 km, and at the depths in which AMANDA is currently located (1.5-2 km) the scattering is $`\lambda ^{eff}25`$ m, even though the ice property dependence on depth and the effect of bubbles that form around OMs after drilling, is still one of the main sources of uncertainty. In comparison, in sea and lake water $`\lambda ^{eff}>100200`$ m.

The Italian NEMO project  for a km3 $`\nu `$ telescope has started in 1998 an R&D activity on the selection of the optimal site through more than 20 sea campaigns, on electronics and materials suitable for long-term undersea measurements, on large area photo-sensors. More recently the realization of an underwater laboratory (Phase 1 test site) close to Catania connected to shore by an 28 km-long EOC, where a couple of prototype towers will be deployed, has been funded. Performance studies have produced a modular detector concept made of towers $`600700`$ m high at distances $`120`$ m. Configurations with $`5000`$ OMs should achieve at $`E_\mu >100`$ TeV effective areas $`>1`$ km2 and angular resolutions $`<0.1^{}`$. The selected optimal site is Capo Passero, 80 km off-shore Catania, 3400 m deep. NEMO performed comparative sea campaigns in collaboration with ANTARES and Baikal . From these campaigns values of the absorption length of 48 and 66 m for ANTARES and Capo Passero sites, respectively, at around 450 nm, have been measured and values of 15-30 m in Lake Baikal, while typical values in ice are $`100`$ m.

Concerning environmental backgrounds, in sea water continuous rates of the order of tens of kHz are observed due to $`{}_{}{}^{40}K`$ decay and bursts up to several tens of MHz due to living organisms. In ice these backgrounds are not present, while small contributions at kHz level are due to OM materials. The longest term measurement ($`100`$ d) of optical background was performed by ANTARES using the already mentioned prototype string. Counting rates show large and short lived peaks due to bioluminescence, over a continuous baseline rate of $`60`$ kHz due to $`{}_{}{}^{40}K`$ and bacteria, that varies up to 250 kHz. Studies on correlations between bioluminescence, sea currents and string movements are underway. At Capo Passero, the NEMO collaboration measured an average rate of 28.5 kHz in 4 days at a threshold of 0.35 photoelectrons, while the same device measured 58 kHz at ANTARES site in 4 days. Using the 12 PMT floor, NESTOR found that bioluminescence contributes to the triggered event sample by $`1\%`$ of the experiment active time and with 4-fold coincidence requirements the trigger rate is 2.6 Hz (30 mV threshold). Sedimentation and fouling of optical surfaces causing a glass transparency reduction of OM surfaces ($`<2\%`$ in 1 yr and saturates) have been measured by ANTARES between July-Dec. 97: the sediment flux varies between 100-350 mg m-2 d-1, respectively in summer and autumn due to clays dragged by rivers. The measured flux at Capo Passero is 20 mg m-2 d-1 on average in 40 d, but longer term measurements are underway.

## 5 Other Techniques

Electro-magnetic cascades induced by $`\nu _{e,\tau }`$ in dense media produce coherent radio pulses of Cherenkov radiation of few ns duration (Askaryan effect ) with power concentrated around Cherenkov angle. The RICE detector  exploits this technique using 16 radio-receivers at 100-300 m in AMANDA holes with an effective bandpass of 200-500 MHz and an attenuation length in ice of $`>1`$ km. Such a cheap technique has produced limits competitive to AMANDA ones, even though further investigations on backgrounds is ongoing. This technique is used also for cascades induced in the lunar regolith and in salt domes. Another technique exploits acoustic detection of bipolar pulses of $`10`$ $`\mu `$’s duration caused by expansion of homogeneous media due to energy deposited by showers that converts into heat. At typical frequencies of 10 kHz, sound waves propagate kms in water. Limiting factors are the high directionality of the acoustic pattern, that restricts the solid angle accessible to sensors, and the noise due to mammals, wind, thermal noise and human factors. Currently an acoustic military array close to Bahamas is studying these aspects . Most of the Cherenkov NTs also plan to deploy hydrophones. For instance NEMO is going to deploy 4 hydrophones at the test site. Finally, methods suitable for $`\nu _\tau `$ detection with fluorescence and Cherenkov arrays have been proposed, such as detection of showers induced by $`\tau `$ leptons emerging from mountains or Earth-skimming upward $`\tau `$’s decaying after crossing $`10`$ kms along Earth cords .

These techniques have larger energy thresholds ($`10^{18}`$ eV) than Cherenkov NTs, hence cannot take profit of the atmospheric $`\nu `$ measurement for ’calibration’ purposes.

## 6 Conclusions

The current status of NTs has been summarized. No positive signal has been observed up to now. The construction of km3 arrays with the proper discovery potentials is a challenge that is going to start very soon.

## Acknowledgments

I would like to thank the organizers of the conference, particularly W.C. Haxton, and F. Halzen, S. Cecchini and F. Arneodo.


text:
# Temperature dependence and control of the Mott transition in VO2-based devices

\[

## Abstract

The transition voltage of an abrupt metal-insulator transition (MIT), observed by applying an electric field to two-terminal devices fabricated on a Mott insulator VO2 film, decreases with increasing temperature up to 334K. The abrupt current jump disappears above 334 K near the MIT temperature. These results suggest that the mechanism of the abrupt MIT induced by temperature is the same as that by an electric field. The magnitude of the current jump (a large current) decreases with increasing external resistance; this is an important observation in terms of applying the abrupt MIT to device applications. Furthermore, the temperature and resistance dependence of the MIT cannot be explained by the dielectric breakdown although a current jump known as breakdown is similar to that observed in an abrupt MIT.

\]

Thin films of vanadium dioxide, VO2, have been extensively studied for electronic and electro-optic device applications  of an abrupt first-order metal-insulator transition (MIT) at a critical temperature $`T_c`$340 K . Recently, a new type of abrupt MIT, having an abrupt jump of driving current in a two-terminal device fabricated on an epitaxial VO2 film, has been demonstrated by electric field excitation . The abrupt MIT does not undergo a structural phase transition , as predicted by Mott for an abrupt first-order MIT driven by strongly correlated electronic Coulomb energy .

When an abrupt MIT occurs and excess current flows in a device, the device can be damaged or its characteristics can be degraded. Furthermore, the electric I-V characteristics of the abrupt MIT are similar to those of dielectric breakdown observed at high electric fields in thin AlOx and HfO2 gate insulators . Clearer evidence of the Mott transition, a control method of the excess current for device applications utilizing abrupt MITs, and evidence of the difference between a breakdown and an abrupt MIT are important unresolved issues in this field.

In this paper, we measure the temperature dependence of abrupt MITs in VO2 driven by a DC electric field to suggest evidence of the Mott transition, and control the magnitude of the abrupt current jump (or excess current) using an external resistance. The effect of measurement on the magnitude of the observed current is briefly discussed. An important difference between a breakdown and an abrupt MIT is also given.

Thin films of VO2 have been deposited on (1102) Al2O3 and Si substrates by laser ablation . The thickness of the VO2 films is about 900 Å. For two-terminal devices, Ohmic-contacted Au/Cr electrodes on VO2 films with a channel width of 25 $`\mu m`$ and a channel length of 5 $`\mu m`$ were patterned by photo-lithography and lift-off. I-V characteristics of the devices were measured by a precision semiconductor parameter analyzer (HP4156B).

Figure 1 (a) shows the temperature dependence of the resistance of an epitaxial VO2 film I. The resistance

decreases with increasing temperature and shows an abrupt MIT at a critical temperature $`T_c`$340 K (68C). This is consistent with previous measurements . It was proposed that this abrupt MIT is due to the structural phase transition from monoclinic below $`T_c`$ to tetragonal above $`T_c`$ . The decrease of the resistance up to 340 K indicates an increase of hole carriers, and two kinds of electron and hole carriers coexist near $`T_c`$340 K, as shown in the inset of Fig. 1 (a). Owing to a mixing of electrons and holes, the number of carriers at temperatures from 332 to 340 K is not exactly determined. The number of hole carriers at $`T_c`$340 K is expected to be $`n_c`$ 3 $`\times `$ 1018 cm-3 from the Mott criterion , based on an exponential decrease of resistance (increase of carrier) with increasing temperature. $`n_c`$ corresponds to 0.018% of $`d`$-band charges. In the metal regime above 340 K, the major carriers are electrons, as shown in the inset of Fig. 1 (a). Fig. 1 (b) shows the drain-source-voltage dependence of conducting current, $`I_{DS}`$, density, $`J_{DS}`$, of the flow between two terminals (drain-source) for a VO2 film II. An abrupt current jump near the transition voltage $`V_t`$ = 20 $`V`$ is shown and Ohmic behavior as a characteristic of metal is also exhibited over the transition voltage. This is a typical characteristic of a first-order transition and is reproducible more than 1,500 times.

Figures 2 (a) and (b) show the temperature dependence of the abrupt MIT measured at device II fabricated on a VO2/Al2O3 film III. The transition voltage of the abrupt MIT decreases with increasing temperature. This arises from excitation of hole charges by temperature. At 338 K, near the transition temperature of the abrupt MIT, and beyond, $`I_{DS}`$s follow Ohmic behavior without any current jump, in contrast to the MITs with a current jump below 338 K; this is observed for the first time. Note that the device was protected by a compliance current of 3 mA and the measurement was carried out without external resistance.

The temperature dependence also provides decisive information for revealing the mechanism of the abrupt jump. When the number of total holes, $`n_{tot}`$, in the hole levels is given by $`n_{tot}=n_b+n_{free}(T,E)`$, where $`n_b`$ is the number of bound holes in the levels and $`n_{free}(T,E)`$ is the number of holes freed by temperature, $`T`$, and electric field, $`E`$, from the levels, $`n_b`$ decreases with increasing $`n_{free}(T,E)`$. For the abrupt jump, $`\mathrm{}nn_cn_{free}`$=0 should be satisfied, where $`n_c3\times 10^{18}cm^3`$, as predicted by Mott . At $`T_c`$340 K, it is suggested, as decisive evidence of the Mott transition, that the abrupt current jump will disappear, because $`n_{free}(T340K,E0)`$=$`n_c`$ ($`i.e.\mathrm{}n`$=0) is excited by only temperature, as shown in Fig. 2(a). Below $`T_c`$340 K, the abrupt MIT voltage decreases with increasing temperature, because, from $`n_cn_{free}(T,E)`$=$`n_{free}(T)`$ \+ $`n_{free}(E)`$, the increase of $`n_{free}(T)`$ with increasing temperature decreases $`n_{free}(E)`$. Thus, it is revealed that the mechanism of the abrupt MIT excited by temperature (Fig. 1) is the same as that by an electric field. In addition, if the abrupt current jump occurs by breakdown due to a high field, the temperature dependence and the change near 338 K of MIT cannot be explained.

Figures 3 (a) and (b) show the external resistance dependence of the magnitude of abrupt current jumps observed at device II fabricated on a VO2/Al2O3 film II and device III fabricated on a VO2/SiO2/Si film III, respectively. With increasing external resistance, the magnitude of the abrupt current jump decreases and the MIT voltage increases. This can be explained by our model, as shown in Fig. 4 (a), where the metal region decreases with increasing external resistance in the measurement region. If only the metal region in Fig. 4 (a) is measured, the magnitude of the current jump might be of an order of $``$107 A/cm2, the current density of a good metal. That is, $`I_{DS}`$s observed at 5 K$`\mathrm{\Omega }`$ do not have the characteristics of a current jump, while, $`I_{DS}`$s measured at 1 K$`\mathrm{\Omega }`$ and less resistance, display jumps, as shown in Figs. 3(a) and (b). This indicates that the observed $`I_{DS}`$ changes with an external resistance change, even though the intrinsic metal characteristic remain unchanged. Thus, the observed current density, $`J_{DS}`$, of an order of $``$105 A/cm2 in Fig. 3 (a) is an average of the metal region over the measurement region, as shown in Fig. 4 (b). The average is the effect of measurement. Furthermore, since the VO2 film has electrons and holes, as observed by Hall measurement in Fig. 1, it is regarded that the VO2 film is intrinsically inhomogeneous, although an external resistance effect is excluded. The inhomogeneity is an intrinsic characteristic of a material with an abrupt current jump and was confirmed by high resolution cross-sectional transmission-electron microscopy . Thus, a true current jump cannot be measured in an inhomogeneous system, as shown in Fig. 4, as has been explained by the extended Brinkman-Rice picture .

We have observed a true dielectric breakdown which forms a current path with a very low source-drain voltage (or field) and a high current such as a ’short’ phenomenon, after a device is applied to a very high current or electric field. After the dielectric breakdown occurs, the current jump is not observed. The dielectric breakdown is regarded as a device breakdown. The abrupt current jump is reproducible without degradation even in thousands of measurements, when an external resistance is attached in the circuit. The external resistance is a decisive key to controlling the abrupt MIT for application devices.

In conclusion, the temperature dependence of the abrupt MIT explains the mechanism of the abrupt Mott MIT. In particular, the external resistance dependence of the magnitude of the current jump is an important key to application of the abrupt MIT to optic and electronic devices. Furthermore, the breakdown phenomenon observed in thin gate insulators  may be the abrupt Mott MIT.


text:
# Dimensional Deconstruction and Neutrino Physics

## 1 Introduction

The current neutrino experiments have confirmed both the solar and atmospheric neutrino anomalies . There exist a large class of neutrino models (see e.g. ) which explain the anomaly and are yet not excluded. On the other hand, more general model dependent features require certain restrictions on the neutrino spectra (see e.g. ). With in the framework of dimensional deconstruction  it is interesting to examine the Yukawa structure of an ultra-violet complete theory in its infra-red limit. It was first shown for neutrinos, that by employing non-abelian symmetries on a latticized $`S^1/Z_2`$ orbifolding, dimensional deconstruction could lead to an agreement with data . In a much simpler set-up , we will show that the light neutrino mass (with maximal mixing) is an outcome of deconstruction which projects out the seesaw operator .

## 2 General frame work: the two-site model

We first present our basic two-site model which reproduces the seesaw operator along with maximal leptonic mixings in the light neutrino sector. Furthermore, we illustrate the twin combination (i.e., maximal mixing and small mass) is natural to this set up. In other words, we elucidate how our simple toy model makes a choice with respect to the form of the Yukawa interactions. Let us begin by considering a $`G=G_{SM}\times SU(m)_1\times SU(m)_2`$, where $`G_{SM}`$ denotes the usual standard model (SM) gauge group. The left-handed lepton doublets are denoted by $`\mathrm{}_\alpha =(\nu _{\alpha L},e_{\alpha L})^T`$ and the corresponding right-handed charged leptons by $`E_\alpha `$ and $`e`$. The leptons $`\mathrm{}_\alpha `$ and $`E_\alpha `$ transform as $`\overline{m}_1`$ under $`SU(m)_1`$ and $`\mathrm{}_\beta `$ and $`E_\beta `$ transform as $`m_2`$ under $`SU(m)_2`$. To complete the particle content, we add the right-handed neutrinos $`N_\alpha `$ and $`N_\beta `$ where, $`N_\alpha `$ transforms as $`\overline{m}_1`$ under $`SU(m)_1`$ while $`N_\beta `$ transforms as $`m_2`$ under $`SU(m)_2`$. The scalar link field $`\mathrm{\Phi }`$ connects as the bi-fundamental representation $`(m_1,\overline{m}_2)`$ the neighboring $`SU(m)_i`$ groups. This field theory is summarized by a moose diagram shown in Fig. 1. We follow the conventions for the arrows as used in .

The corresponding renormalizable Yukawa interaction for the neutrino

$$L_Y=Y_\alpha \overline{\mathrm{}_\alpha }\stackrel{~}{H}N_\alpha +Y_\beta \overline{\mathrm{}_\beta }\stackrel{~}{H}N_\beta +f\overline{N_\alpha ^c}\mathrm{\Phi }N_\beta +\mathrm{h}.\mathrm{c}.,$$
(1)
where as usual, $`\stackrel{~}{H}=i\sigma ^2H^{}`$ and $`Y_\alpha ,Y_\beta ,f`$ are complex Yukawa couplings. The kinetic term for the link field is

$`L_\mathrm{\Phi }`$ $`=`$ $`(D_\mu \mathrm{\Phi })^{}D^\mu \mathrm{\Phi },`$
$`D_\mu \mathrm{\Phi }`$ $`=`$ $`(_\mu ig_1A_{1\mu }^aT_a+ig_2A_{2\mu }^aT_a)\mathrm{\Phi }.`$ (2)
The gauge fields are $`A_{i\mu }^a`$ $`(i=1,2)`$ with the generators ($`T_a`$) and dimensionless couplings, $`g_1`$ and $`g_2`$. It is important to note the absence of bare Dirac and Majorana mass terms which is due to invariance under the group $`G`$. Once the link field develops a VEV, $`\mathrm{\Phi }=M_x`$ (also taken to be the scalar mass), the deconstruction scale breaks the $`SU(m)_1\times SU(m)_2`$ symmetry down to the diagonal $`SU(m)`$, thereby eating one adjoint Nambu-Goldstone multiplet in the process. The deconstruction scale corresponds to lattice spacing $`a1/M_x`$. The relevant Majorana mass matrix in the basis spanned by the neutrino fields $`(\nu _{\alpha L},\nu _{\beta L},N_\alpha ^c,N_\beta ^c)`$ takes the form

$$\left(\begin{array}{cccc}0& 0& Y_\alpha ϵ& 0\\ 0& 0& 0& Y_\beta ϵ\\ Y_\alpha ϵ& 0& 0& fM_x\\ 0& Y_\beta ϵ& fM_x& 0\end{array}\right),$$
(3)
where we have $`ϵH10^2\mathrm{GeV}`$ as the electroweak scale. At the scale $`ϵ`$ the mass structure in (3) results in a light Majorana neutrino mass

$$M_\nu =\left(\frac{Y_\alpha Y_\beta }{f}\right)\frac{ϵ^2}{M_x},$$
(4)
along with maximal mixing. Thus, starting for shorter length scales, $`ra`$, where we retain a completely renormalizable massless four-dimensional theory, for length scales $`ra1/M_x`$, the mass matrix in (4) is identical to the one which arises from the usual dimension-five operator of the type $`\nu \nu HH`$. In addition, the infra-red limit naturally leads to maximal mixings between the two active neutrino flavors. This feature of maximal mixings can be easily understood once we realize that in our setup, the link field, $`\mathrm{\Phi }`$, mediates a symmetry between each of the fermions $`(N_{\alpha ,\beta })`$ placed at different lattice sites; which is also reflected in the resulting mass matrix for $`N_{\alpha ,\beta }`$ as observed in (3). This is retained after symmetry breaking (when the fermion masses are generated), as there exists the diagonal subgroup $`SU(m)`$ which respects the symmetry such that the $`\mathrm{\Phi }`$ field would transform as $`(m,\overline{m})`$. In the gauge sector, this unbroken symmetry corresponds to the presence of a zero mode. This can be seen in the kinetic term in (2) which gives a mass squared matrix to the gauge bosons

$$M_G^2\mathrm{\Phi }^2(g_1A_{1\mu }^ag_2A_{2\mu }^a)^2.$$
(5)
In the basis $`A_{1\mu }^a`$ and $`A_{2\mu }^a`$, we have

$$M_G^2\mathrm{\Phi }^2\left(\begin{array}{cc}g_1^2& g_1g_2\\ g_1g_2& g_2^2\end{array}\right),$$
(6)
with the zero mode wave function

$$A_\mu ^{a(0)}=\frac{1}{\sqrt{g_1^2+g_2^2}}(g_2A_{1\mu }^a+g_1A_{2\mu }^a).$$
(7)
The Dirac sector of the model remains diagonal due to the nature of this construction while maximal mixings are introduced solely from the heavy Majorana sector. As a passing remark, the spectrum of the resulting light neutrinos are in opposite $`𝒞𝒫`$ parities and there is no explicit leptonic $`𝒞𝒫`$ violation.

## 3 An example phenomenology

We examine now a generalization to the case of a moose mesh. Consider a $`\mathrm{\Pi }_{i=1}^4SU(m)_i`$ gauge theory containing five scalar link variables $`\mathrm{\Phi }_i`$ $`(i=1,\mathrm{},5)`$ which transform under the $`SU(m)`$ gauge groups as $`\mathrm{\Phi }_1(m_1,\overline{m}_2)`$, $`\mathrm{\Phi }_2(m_2,\overline{m}_3)`$, $`\mathrm{\Phi }_3(m_3,\overline{m}_4)`$, $`\mathrm{\Phi }_4(m_4,\overline{m}_1)`$, and $`\mathrm{\Phi }_5(m_2,\overline{m}_4)`$. We will denote the flavor fields $`\mathrm{\Psi }_\alpha `$ by the set $`\{\mathrm{}_\alpha ,E_\alpha ,N_\alpha \}`$ of leptons. In our scheme, all the leptons associated with $`\mathrm{\Psi }_\alpha `$ carry the same $`SU(m)_i`$ charges and connect the different gauge groups as bi-fundamental representations. Hence, all fermions and scalars are treated identically as link variables; see Fig. 2. Specifically, we make the choice $`\mathrm{\Psi }_e(m_2,\overline{m}_4)`$, $`\mathrm{\Psi }_\mu (m_4,\overline{m}_3)`$, and $`\mathrm{\Psi }_\tau (m_4,\overline{m}_1)`$.

After symmetry breaking and giving universal VEVs $`\mathrm{\Phi }_iM_x`$ to the $`\mathrm{\Phi }_i`$ fields, the structures of the Dirac and Majorana mass matrices take the form

$$M_D=ϵ\left(\begin{array}{ccc}Y_e& \lambda ^2& \lambda ^2\\ \lambda ^2& Y_\mu & \lambda ^2\\ \lambda ^2& \lambda ^2& Y_\tau \end{array}\right),$$
(8)
and

$$M_R=M_x\left(\begin{array}{ccc}\lambda f_6& f_1& f_2\\ f_1& \lambda f_3& \lambda f_5\\ f_2& \lambda f_5& \lambda f_4\end{array}\right).$$
(9)
In the above, $`\lambda =M_x/\mathrm{\Lambda }<1`$ and denotes the corrections to $`M_D`$ and $`M_R`$ due to higher order terms (here up to dimension six) at scale $`\mathrm{\Lambda }`$. Let us now consider an illustrative set of Yukawa values: $`f_1=f_2=f_3=f_4=f_5f`$ which leads to a familiar pattern of light neutrino mass matrix . For the choice $`\lambda =0.22`$, $`Y_e=f`$, $`Y_\mu =f_6`$, and the ratio $`Y_\mu /Y_e=2.5`$, we obtain: (i) atmospheric mixing angle $`\theta _{23}\pi /4`$ (ii) $`U_{e3}0`$. With the atmospheric splitting, $`\mathrm{\Delta }m_{\mathrm{atm}}^2=2.5\times 10^3\mathrm{eV}^2`$, we obtain a normal neutrino mass hierarchy with the solar splitting $`\mathrm{\Delta }m_{}^27.5\times 10^5\mathrm{eV}^2`$ and the solar mixing, $`\theta _{12}32^{}`$ which corresponds to the MSW LMA-I solution . The system predicts an effective neutrinoless double beta decay mass, $`m_{ee}10^3\mathrm{eV}`$.

In summary, we demonstrate the potential richness of dimensional deconstruction of latticized spatial dimensions for the flavor block of the SM. In this analysis, we have limited ourselves to describing the physics of a periodic lattice; where, we take the two-site model as a periodic interval corresponding to a Brillouin zone. In the limit of a large lattice site model (of size $`N1`$), one can draw comparisons to a true extra-dimensional scenario (of radius $`R`$) along with the identifications to the five-dimensional gauges couplings, $`g_5(y_i)\sqrt{R/N}g_i`$. Here, $`y_i`$ is taken to be the fifth coordinate.

## Acknowledgments

KB thanks the organizers of TAUP03 for a wonderful meeting and for the local support. He also thanks a collaboration with G. Seidl and M. Lindner upon which this talk is based on. At McGill, KB is supported by funds from NSERC (Canada) and by Fonds de recherche sur la nature et les technologies of Québec.