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# Weak cluster points of a sequence and coverings by cylinders

## 1. Introduction

Let $`H`$ be an infinite-dimensional Hilbert space. It is well known that the weak topology of $`H`$ has bad sequential properties: a sequence $`h_nH`$ having a weak cluster point $`x`$, can be free from weakly convergent to $`x`$ subsequences. Moreover, for a sequence $`h_nH`$ with a weak cluster point it is possible to have $`h_n\mathrm{}`$ . In this paper we study the following question: if a sequence has a weak cluster point, how quick can tend to infinity the norms of the sequence elements? The main tool for estimation of this speed from above will be Ball’s ”complex plank” theorem - a recent and really beautiful statement from Hilbert space geometry.

Recall, that by a plank of width $`w`$ in $`H`$ one means a set of the form

$$P=\{hH:\left|hh_0,e\right|\frac{w}{2}\},$$

where $`e=1`$. According to T.Bang’s theorem , if a sequence $`P_n`$ of planks of widths $`w_n`$ covers a ball of diameter $`w`$ , then $`w_nw`$.

Bang’s theorem is true both in real and complex spaces, but in complex spaces it can be dramatically improved. The following theorem is proved by K. Ball

###### Theorem 1.1.

Let

$$P_n=\{hH:\left|h,e_n\right|\frac{w_n}{2}\},$$

where $`e_n=1`$, be planks of widths $`w_n`$ in a complex Hilbert space, and let $`P_n`$ cover a ball of diameter $`w`$ centered in origin. Then $`w_n^2w^2`$.

We are going not only to apply the Ball’s theorem to our problem, but also to apply our result on weak topology to give some limitations for possible generalizations of the Theorem 1.1. After that we discuss generalizations of our weak topology result to other Banach spaces. Allover the paper the letter $`X`$ will be used for infinite dimensional Banach space, $`S_X`$ and $`B_X`$ \- for its unit sphere and unit ball respectively.

## 2. Weighted weak convergence

Let $`P=\{p_{n,m}\}`$ be an infinite matrix of non-negative numbers with finite rows, satisfying conditions

1. $`_{m=1}^{\mathrm{}}p_{n,m}=1`$.
2. $`lim_n\mathrm{}p_{n,m}=0`$

We say that a sequence $`\{a_n\}`$ of reals is $`P`$-convergent to 0 ($`Plima_n=0`$) if

$$\underset{n\mathrm{}}{lim}\underset{m=1}{\overset{\mathrm{}}{}}p_{n,m}a_m=0.$$

Some evident well-known properties of $`P`$-convergence are collected in the proposition below.

###### Proposition 2.1.

1. If $`lima_n=0`$, then $`Plima_n=0`$.
2. If $`Plima_n=0`$ and $`Plimb_n=0`$, then $`Plim(a_n+b_n)=0`$.
3. If $`a_n0`$ and $`Plima_n=0`$, then 0 is a cluster point of $`\{a_n\}`$.

Let $`X`$ be a Banach space, $`1p<\mathrm{}`$. A sequence $`x_nX`$ is said to be weakly $`(P,p)`$-convergent to 0 ($`w(P,p)limx_n=0`$), if for every $`fX^{}`$ the sequence $`\left|f(x_n)\right|^p`$ $`P`$-converges to 0.

###### Proposition 2.2.

If $`w(P,p)limx_n=0`$, then 0 is a weak cluster point of $`\{x_n\}`$.

###### Proof.

We must prove that for arbitrary finite set $`\{f_k\}_{k=1}^mX^{}`$ and arbitrary $`\epsilon >0`$ there is an arbitrarily big $`n`$ with $`_{k=1}^m\left|f_k(x_n)\right|^p\epsilon `$. By definition of $`w(P,p)`$-convergence and item (2) of Proposition 2.1

$$P\underset{n}{lim}\underset{k=1}{\overset{m}{}}\left|f_k(x_n)\right|^p=0.$$

The rest we deduce from item (3) of Proposition 2.1. ∎

## 3. The main result

###### Theorem 3.1.

The following properties of a sequence $`a_n>0`$ are equivalent: (a) $`_1^{\mathrm{}}a_n^2=\mathrm{}`$. (b) There is a sequence $`x_n`$ in a Hilbert space $`H`$ with $`x_n=a_n`$, and there is a sequence $`P=\{p_{n,m}\}`$ of weights such that $`w(P,2)limx_n=0`$. (c) There is a sequence $`x_n`$ in a Hilbert space $`H`$ with $`x_n=a_n`$, having 0 as a weak cluster point.

###### Proof.

(a) $``$ (b). Assume $`_1^{\mathrm{}}a_n^2=\mathrm{}`$ and consider the sequence $`x_n=a_ne_n`$, where $`e_n`$ is an orthonormal sequence in $`H`$. Introduce the following sequence $`P=\{p_{n,m}\}`$ of weights:

$$p_{n,m}=\frac{a_m^2}{_{j=1}^na_j^2}$$

when $`mn`$ and $`p_{n,m}=0`$ for $`m>n`$. Then for every $`fH`$ we have

$$\underset{m=1}{\overset{\mathrm{}}{}}p_{n,m}\left|x_m,f\right|^2=\frac{_{m=1}^n\left|e_m,f\right|^2}{_{m=1}^na_m^2}\frac{f^2}{_{m=1}^na_m^2}0,asn\mathrm{}$$

which means $`w(P,2)`$-convergence of $`x_n`$ to 0. (b) $``$ (c). This is given by the Proposition 2.2. (c) $``$ (a). Let

(1)
$$\underset{1}{\overset{\mathrm{}}{}}a_n^2=R^2<\mathrm{}$$

and let $`x_nH`$ be vectors with $`x_n=a_n`$. We may assume that $`H`$ is a complex Hilbert space, since otherwise we may embed $`H`$ into its complexification. Define planks

$$P_n=\{hH:|h,x_n|\frac{1}{2}\}.$$

The width of $`P_n`$ equals $`a_n^1`$. Using (1) and the Theorem 1.1 we deduce that the planks $`P_n`$ cannot cover the whole space $`H`$ (they even cannot cover a ball of radius $`R+\epsilon `$). So there is an element $`hH`$ for which all the inequalities

$$|h,x_n|>\frac{1}{2}$$

hold true at the same time. This $`h`$ separates our sequence $`x_n`$ from 0. ∎

## 4. A comment to the Ball’s Theorem 1.1

Why estimates for coverings by real and complex planks differ so strongly? A possible explanation looks as follows: a complex plank of width $`r`$ looks not like a slice between two hyperplanes, but like an orthogonal cylinder having as a base a circle of the radius $`r/2`$. If one tries to cover a circle of radius $`R`$ by circles of radiuses $`r_n`$, then calculating corresponding areas one can easily see, that $`r_n^2R^2`$. This explanation leads to the following hypothesis: let $`k`$ be a fixed number, and let $`C_n`$ be orthogonal cylinders in a real Hilbert space $`H`$, having as their bases $`k`$-dimensional balls of radiuses $`r_n`$ respectively and $`_nC_n=H`$. Then $`_{n=1}^{\mathrm{}}r_n^k=\mathrm{}`$. With the help of the Theorem 3.1 we can show that this natural hypothesis fails already for $`k=3`$. In fact, assume that the abovementioned hypothesis is true for $`k=3`$. Consider a sequence $`x_nH`$, $`x_n=a_n`$, having 0 as a weak cluster point, but with $`_1^{\mathrm{}}a_n^3<\mathrm{}`$ (such a sequence exists due to the Theorem 3.1). Consider an auxiliary Hilbert space $`H_1=HHH`$ \- the orthogonal direct sum of 3 copies of the original space $`H`$. Introduce cylinders $`C_n`$ in $`H_1`$ as follows:

$$C_n=\{h=(h_1,h_2,h_3)H_1:\underset{j=1}{\overset{3}{}}|h_j,x_n|^21\}.$$

$`C_n`$ are orthogonal cylinders in $`H_1`$, having as their bases $`3`$-dimensional balls of radiuses $`a_n^1`$. According to our hypothesis, these cylinders do not cover the whole space $`H_1`$, i.e. there is an $`g=(g_1,g_2,g_3)H_1`$ which does not belong to any of these cylinders. But this means, that the weak neighborhood of 0

$$W=\{xH:\underset{j=1}{\overset{3}{}}|g_j,x|^21\}$$

separates all the $`x_n`$ from 0. Contradiction.

## 5. Generalization to Banach spaces: the role of finite representability and cotype

Let $`X`$ be a Banach space, $`2p\mathrm{}`$. The space $`l_p`$ is finitely representable in $`X`$ if for every $`\epsilon >0`$ and for every $`n`$ there are elements $`e_1,e_2,\mathrm{}e_nS_X`$ such that

$$(1\epsilon )\left(\underset{j=1}{\overset{n}{}}|b_j|^p\right)^{\frac{1}{p}}\underset{j=1}{\overset{n}{}}b_je_j(1+\epsilon )\left(\underset{j=1}{\overset{n}{}}|b_j|^p\right)^{\frac{1}{p}}$$

for all selections of coefficients $`b_j`$.

###### Theorem 5.1.

Let $`X`$ be a Banach space, $`2p\mathrm{}`$ and let $`1p^{}2`$ be dual to $`p`$ exponent. Let moreover $`l_p`$ be finitely representable in $`X`$ and $`a_n>0`$ satisfy condition $`_1^{\mathrm{}}a_n^p^{}=\mathrm{}`$. Then there is a sequence $`x_nX`$ with $`x_n=a_n`$, having 0 as a weak cluster point. Moreover there is a matrix $`P=\{p_{n,m}\}`$ of weights such that $`w(P,p^{})limx_n=0`$.

###### Proof.

Fix an $`\epsilon <1/8`$. First choose $`0=n_1<n_2<n_3<\mathrm{}`$ to satisfy condition

$$\underset{k\mathrm{}}{lim}\underset{j=n_k+1}{\overset{n_{k+1}}{}}a_j^p^{}=\mathrm{}.$$

Define $`P=\{p_{k,m}\}`$ as follows:

$$p_{k,m}=\frac{a_m^p^{}}{_{j=n_k+1}^{n_{k+1}}a_j^p^{}}$$

when $`n_k<mn_{k+1}`$ and $`p_{k,m}=0`$ otherwise. Using step-by-step finite reperesentability of $`l_p`$ in $`X`$ select sequence $`e_nS_X`$, for which

$$(1\epsilon )\left(\underset{j=n_k+1}{\overset{n_{k+1}}{}}|b_j|^p\right)^{\frac{1}{p}}\underset{j=n_k+1}{\overset{n_{k+1}}{}}b_je_j(1+\epsilon )\left(\underset{j=n_k+1}{\overset{n_{k+1}}{}}|b_j|^p\right)^{\frac{1}{p}}$$

for all $`k`$ and $`b_j`$. Now define $`x_n=a_ne_n`$. Then for every $`fX^{}`$ we have

$$\underset{m=1}{\overset{\mathrm{}}{}}p_{k,m}\left|f(x_m)\right|^p^{}=\frac{_{j=n_k+1}^{n_{k+1}}\left|f(e_m)\right|^p^{}}{_{j=n_k+1}^{n_{k+1}}a_j^p^{}}\frac{2f^p^{}}{_{j=n_k+1}^{n_{k+1}}a_j^p^{}}0,asn\mathrm{}$$

which means $`w(P,p^{})`$-convergence of $`x_n`$ to 0. By the Proposition 2.2 this means that 0 is a weak cluster point of $`\{x_n\}`$. ∎

Together with Dvoretzky’s theorem ($`l_2`$ is finitely representable in every infinite-dimensional Banach space) this gives us the following:

###### Corollary 5.2.

For every infinite-dimensional Banach space $`X`$ and every selection of $`a_n>0`$ satisfying condition $`_1^{\mathrm{}}a_n^2=\mathrm{}`$ there is a sequence $`x_nX`$ with $`x_n=a_n`$, having 0 as a weak cluster point.

Recall, that a Banach space $`X`$ has M-cotype $`p<\mathrm{}`$ if there is a constant $`C>0`$ such that for every finite collection of vectors $`\{x_k\}_{k=1}^nX`$ there are coefficients $`\gamma _k=\pm 1`$ for which

$$\underset{k=1}{\overset{n}{}}\gamma _kx_xC\left(\underset{k=1}{\overset{n}{}}x_k^p\right)^{1/p}.$$

Due to Maurey - Pisier theorem a space $`X`$ has an M-cotype if and only if $`l_{\mathrm{}}`$ is not finitely representable in $`X`$. A small survey of facts concerning M-cotype can be found in .

The Theorem 5.1 together with another Ball’s result  (generalization of the Bang’s real plank theorem to arbitrary Banach spaces) gives us an analog of Theorem 3.1 for spaces without cotype (in particular for $`c_0`$). In this case the characterization does not involve square exponentials.

###### Corollary 5.3.

Let $`X`$ be a Banach spaces in which $`l_{\mathrm{}}`$ is finitely representable. Then the following properties for a sequence $`a_n>0`$ are equivalent:

1. There is a sequence $`x_nX`$ with $`x_n=a_n`$, and there is a sequence $`P=\{p_{n,m}\}`$ of weights such that $`w(P,1)limx_n=0`$.
2. There is a sequence $`x_nX`$ with $`x_n=a_n`$, having 0 as a weak cluster point;
3. $`_1^{\mathrm{}}a_n^1=\mathrm{}`$.

The next theorem gives us a relationship between weak weighted limit and cotype.

###### Theorem 5.4.

Let $`X`$ be a Banach space of M-cotype $`2p\mathrm{}`$ and let $`1p^{}2`$ be dual to $`p`$ exponential. Let $`x_nX`$ be a sequence such that $`w(P,p^{})limx_n=0`$ for some matrix $`P=\{p_{n,m}\}`$ of weights. Then $`_1^{\mathrm{}}x_n^p^{}=\mathrm{}`$.

###### Proof.

Since $`lim_n\mathrm{}p_{n,m}=0`$, using small perturbation argument we may assume that there are $`m_1(n)<m_2(n)`$, $`m_1(n)\mathrm{}`$, such that $`p_{n,m}=0`$ for $`m`$ outside the interval $`(m_1(n),m_2(n))`$. By the closed graph theorem, applied to the operator $`T:X^{}\left(_{n=1}^{\mathrm{}}l_1\right)_{\mathrm{}}`$,

$$Tx^{}=((p_{1,1}|x^{}(x_1)|,p_{1,2}|x^{}(x_2)|\mathrm{});(p_{2,1}x^{}(x_1),p_{2,2}x^{}(x_2)\mathrm{});\mathrm{}),$$

there is a constant $`C>0`$ such that

$$\underset{m=1}{\overset{\mathrm{}}{}}p_{n,m}|x^{}(x_m)|Cx^{}$$

for all $`n`$ and all $`x^{}X^{}`$. So

$$C\underset{x^{}S_X^{}}{sup}\underset{m=1}{\overset{\mathrm{}}{}}p_{n,m}|x^{}(x_m)|=\underset{x^{}S_X^{}}{sup}\underset{m=m_1(n)}{\overset{m_2(n)}{}}p_{n,m}|x^{}(x_m)|=$$

$$\underset{x^{}S_X^{}}{sup}\underset{\gamma _m=\pm 1}{sup}\underset{m=m_1(n)}{\overset{m_2(n)}{}}p_{n,m}\gamma _mx^{}(x_m)=\underset{\gamma _m=\pm 1}{sup}\underset{m=m_1(n)}{\overset{m_2(n)}{}}p_{n,m}x_m$$

$$C_1\left(\underset{m=m_1(n)}{\overset{m_2(n)}{}}(p_{n,m}x_m)^p\right)^{1/p},$$

where $`C_1`$ is the constant from the definition of M-cotype. Applying Hölder inequality to $`_{m=m_1(n)}^{m_2(n)}p_{n,m}=1`$ we deduce

$$1\left(\underset{m=m_1(n)}{\overset{m_2(n)}{}}(p_{n,m}x_m)^p\right)^{1/p}\left(\underset{m=m_1(n)}{\overset{m_2(n)}{}}x_m^p^{}\right)^{1/p^{}}\frac{C}{C_1}\left(\underset{m=m_1(n)}{\overset{m_2(n)}{}}x_m^p^{}\right)^{1/p^{}}$$

which means that $`_1^{\mathrm{}}x_n^p^{}=\mathrm{}`$. ∎


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# Phase coexistence in Gallium nanoparticles controlled by electron excitation

## Abstract

In Gallium nanoparticles of 100 nm in diameter grown on the tip of an optical fiber from an atomic beam we observed equilibrium coexistence of $`\gamma `$, $`\beta `$ and liquid structural phases that can be controlled by e-beam excitation in a highly reversible and reproducible fashion. With 2 keV electrons only 1 pJ of excitation energy per nanoparticle is needed to exercise control, with the equilibrium phase achieved in less than a few tenths of a microsecond. The transformations between coexisting phases are accompanied by a continuous change in the nanoparticle film’s reflectivity.

Electron beams provides a very fine tool to study small particles, not only for imaging, but also for preparing excited states of matter. For instance, delicate stimulation under an electron microscope has allowed the observation of structural instabilities in very small metallic clusters Williams (1987), Iijima and Ichihashi (1986) and revealed the complexity of nanoparticle plasmonic excitation stimulated by the electron beam Yamamoto et al. (2001). Our study of electron beam excitation of gallium nanoparticles is motivated by the desire to understand the exciting physics of phase equilibria in nanoparticles Smirnov (1994); Berry et al. (1984); Berry and Smirnov (2000) and in particular in metallic nanoparticles, which have the potential to play the key role in future highly integrated photonic devices as the active elements of waveguiding Krenn et al. (1999) and switching Zheludev (2002) structures. Here we report that *controllable*, *continuous* and *reversible* phase coexistence of different crystalline and disordered phases can be achieved in gallium nanoparticles under electron-beam excitation.

Excitation of gallium nanoparticles with an electron beam is a multi-stage process, resulting in heating through the loss of kinetic energy of bombarding electrons and excitation of the electronic sub-structure of gallium which has elements of covalent bonding. The energy of the 2 keV electrons used in our experiments is not sufficient to damage the nanoparticles’ material by direct displacement of gallium atoms, but it is above the 2p and 2s electron removal thresholds and is therefore sufficient for multiple ionization of Ga atoms by electron impact: $`e+Gae+Ga^{n+}+ne`$ up to $`n`$ = 4. The single electron ionization cross-section is about $`\sigma _10.7\times 10^{16}cm^2`$ while the total higher order contribution is about $`\sigma _{2+3+4}0.2\times 10^{16}cm^2`$ Patton et al. (1996). 2 keV electrons provide relatively even excitation of the nanoparticle volume as the first ionization absorption depth in solid Ga is about 50 nm: $`r=2.76\times 10^2AE_0^{1.67}/\rho Z^{0.89}`$ where $`A=`$ 69.723 is the atomic mass, $`E_0`$ the accelerating voltage (keV), $`\rho `$ = 5.91 $`gcm^3`$ the density, and Z = 31 the atomic number of the gallium target Kanaya and Okayama (1972). The resultant secondary electrons and holes created in the Auger process cause further ionization, generating an avalanche of electrons which develops and decays on the sub-picosecond time scale, from the initial electron impact, creating heat and high-density electrons, hall-pairs and plasmon excitations which can affect the phase equilibrium of the nanoparticle.

As a playfield to study phase equilibria gallium is a unique metal in that ten structural solid phases are known. Five phases $`(\alpha ,\beta ,\gamma ,\delta ,\epsilon )`$ can exists at low pressure Defrain (1977). We studied electron-beam induced structural transformations in Ga nanoparticles on the tip of a silica optical fiber. The stimulated structural transformations were detected optically by monitoring the nanoparticle film reflectivity through the fiber. Due to the very significant differences in the electronic and optical properties of the various phases of gallium Bernasconi et al. (1995), optical measurements provide a very sensitive tool for detecting nanoparticle phase composition.

A schematic of the apparatus is shown in Fig. 1. Nanoparticles were grown using the recently developed light-assisted deposition technique MacDonald et al. (2002). This technique yielded particles of relatively narrow size distribution with diameters of about 100 nm. The fiber core (9 $`\mu m`$ in diameter) contained approximately $`6.10^3`$ nanoparticles. All experiments were conducted in a vacuum chamber evacuated to $`10^6`$ mbar. In the chamber, the fiber tip supporting the nanoparticles was attached to the cold-finger of a nitrogen flow cryostat providing temperature scan capability. After the experiments, the fiber was removed from the vacuum chamber and examined with an atomic force microscope.

The nanoparticles were stimulated by a 2 keV electron beam focused to a spot of about 100 $`\mu m`$ in diameter to encompass all of the nanoparticles on the fiber core. The electron gun current of 4 $`\mu A`$ used in our experiments corresponded to an electron beam intensity at the fiber core of approximately 100 $`Wcm^2`$. The e-beam was modulated to give 100 $`\mu `$s pulses with repetition rate of 118 Hz, providing average power of about 120 pW per nanoparticle, or a total energy of 1pJ per pulse per nanoparticle. To monitor the film’s reflectivity we used a diode laser operating at 1.31 $`\mu m`$ with a power of 800 $`\mu W`$, modulated at a frequency of 1.62 kHz. The intensity of reflected light was detected with two phase-sensitive amplifiers. One amplifier was locked at the frequency of electron beam modulation, to detect electron-beam induced effects, the other was locked at the probe beam modulation frequency, to monitor variations of the sample reflectivity. Our experiments were performed in the temperature range from 80 to 250 K. The temperature of the coldfinger was measured with an absolute accuracy better that 0.5 K, but was somewhat lower than the actual temperature of the nanoparticles at the fiber tip due to the electron and laser heating. The temperature scale presented here in the experimental graphs takes this into account and was calibrated on the melting temperature of the gallium nanoparticles.

Structural transformations in the nanoparticles were observed by monitoring the nanoparticle film reflectivity and electron-beam induced reflectivity changes, recorded during heating-cooling cycles. Reflectivity recorded during the first heating-cooling cycle after growth is shown in Fig. 2a (bold curve). The reflectivity showed an increase during heating at about 120 K and a much larger increase which begins around 230 K, with a total reflectivity change of about 1.7 $`\%`$. The reflectivity remains high during cooling down to about 145 K, where it rapidly decreases to form an incomplete hysteresis loop about 100 K wide. In the next heating-cooling cycle (faint curve), the hysteresis loop remains very wide, but becomes much more shallow (about 0.75$`\%`$ of total change) and nearly complete.

The modulated electron beam induces an increase in the optical reflectivity as shown in Fig. 2b for the first heating-cooling cycle. A large peak is observed at 231 K and a smaller peak at 248 K. At temperatures above the second peak, the electron-beam induced signal becomes negative (reflectivity decreases), and remains negative during cooling down to about 180 K. On the cooling part of the curve a peak is seen at 120 K, corresponding to the reflectivity drop. The second and subsequent temperature scans show that the first rising temperature peak disappears and the second peak (at 248 K) increases (Fig. 2c). We also performed measurements of the transient dynamics of the induced reflectivity change with 2 $`\mu `$s electron pulses. Reflectivity was then monitored using an amplified photodetector and real time digital scope. We observed essentially non-exponential reflectivity relaxation and an increase in the relaxation time of the response at temperatures where the nonlinear response is peaking (Fig. 3).

We argue that our experiment reveals a reversible electron-beam induced structural transformation in nanoparticles in the form of a controlled dynamic coexistence between different structural forms. The surface of a particle, where atoms have fewer nearest neighbors than internal atoms, acts as a boundary at which transformation processes start. To detail this process further, we shall consider a nanoparticle with a core consisting of a certain structural phase covered by a ‘shell’ of different composition. Comparison with energy-dispersive x-ray diffraction studies of gallium nanoparticles Di Cicco (1998) suggests that the low-temperature phase is $`\gamma `$-gallium, with a bulk melting temperature of 238 K, and that the intermediate phase is $`\beta `$-gallium, with a bulk melting temperature of 257 K (these studies indicate that $`\alpha `$-gallium is not found in nanoparticles). The melting temperatures in nanoparticles are depressed in comparison with those of the bulk by $`\delta T=K/d`$ where $`d`$ is the nanoparticle diameter. For the $`\beta `$ phase K = 600 K.nm Charnaya et al. (1998). This gives the $`\beta `$-gallium nanoparticles a melting temperature of about 251 K. In the simplest case of a phase transition to the melt in the nanoparticle, the electron-beam induced behavior should be analogous to the temperature-driven ‘surface melting’ effect that has been seen in lead nanoparticles Garrigos et al. (1989) and found to be thermodynamically reversible within a narrow temperature range Peters et al. (1997). In reality the situation is complicated by the presence of two steps in the first reflectivity dependence (Fig. 2a) at $`T_0`$$`^{^{}}`$ and $`T_0`$ (bold curve). It is instructive to note that assuming the same depression coefficient for all phases involved, the difference between the melting points of the $`\gamma `$ and $`\beta `$ phases is about 19 K which is close to the 17 K difference observed between the first and second peaks on Fig. 2b, indicating that $`T_0`$$`^{^{}}`$ is the melting temperature of the $`\gamma `$ phase, and that it is the ground state phase of the nanoparticle after fabrication. In a multi-phase nanoparticle there are two possible scenarios, either the nanoparticles first undergo a transition from one solid phase to another at $`T_0`$$`^{^{}}`$, and then from that phase to the liquid at $`T_0`$, or different solid phases with different melting points initially coexist in nanoparticles at low temperature. In the presence of electron excitation, the phase equilibrium will be determined by both temperature and electron-beam intensity.

In the first transition scenario the influence of excitation on the equilibrium becomes apparent in the changing reflectivity of the film at a temperature $`T_a`$ below $`T_0`$$`^{^{}}`$ (see Fig. 2b). With increasing temperature or level of excitation, the $`\beta `$-gallium surface layers’ thickness increases until the transformation of the $`\gamma `$-gallium core to the ‘surface’ phase is completed. When, at $`T_b`$, the core of the particle is fully consumed by the $`\beta `$ phase the nanoparticle becomes stable against a return to the $`\gamma `$ phase because this would require the creation of a nucleation center. However, if the temperature or level of electronic excitation is reduced *before* the transformation to the new phase is complete, i.e. while a nucleus of the old core phase is still present, the transformation is reversed and the skin layer shrinks to an appropriate equilibrium position. Thus, reversibility is provided in the temperature range between $`T_a`$ and $`T_b`$. This whole process is then replicated between $`T_b`$ and $`T_c`$, the $`\beta `$ and liquid phases around the next transition temperature $`T_0`$, (see Fig. 4a). It then appears that, on cooling the nanoparticles return to the $`\beta `$ phase but the $`\gamma `$\- phase is not present anymore. This is evident from the shallower reflectivity hysteresis. During the second and following temperature cycles the nanoparticles in the $`\beta `$ phase only go through the second stage of transformation, as presented in Fig. 4c.

In the second scenario, the $`\gamma `$ and $`\beta `$ phases coexist in gallium nanoparticles after their formation on the substrate from the atomic beam. The first temperature cycle then shows consecutive melting of the $`\gamma `$ component at $`T_0`$$`^{^{}}`$ and of the $`\beta `$ component at $`T_0`$, as presented in Fig. 4b. It is not, however, possible to distinguish between the two transformation scenarios outlined above on the evidence of the reflectivity data available to us and this shall be left for further investigations. It is also possible that the two-step process observed during the first temperature cycle results from the coexistence of nanoparticles of different ground states immediately after growth. Whatever the phase composition of the particles, the longer relaxation observed around the peaks in the nonlinear response indicate an increase in the time needed for the phase boundary to travel across the increasingly thick ’shell’ layer.

The strength of the phase coexistence concept is supported by our calculations of the optical properties of gallium nanoparticle films on a dielectric substrate using a recently developed effective-medium model for densely packaged nanoshells Fedotov et al. (In press). For the purposes of our calculations, the dielectric constants of $`\beta `$ and $`\gamma `$ gallium, which are much closer to those of a free-electron metal than those of the $`\alpha `$ phase, were estimated by using the damping constant in Drude’s free-electron model as a fitting parameter to produce the nanoparticle film reflectivity levels shown in Fig. 2a. These calculations confirmed that the presence on each nanoparticle of a shell just a few nanometres thick in a phase different from the core can produce a change in reflectivity sufficient to explain our experimental data.

A thermally activated transition due to electron-beam-induced heating can explain certain characteristics of the effect. For instance, by assuming a local electron-induced temperature increase of $`4`$ $`K`$, one can derive a good facsimile of the experimental peaks in induced reflectivity increase at $`T_0^{^{}}`$ and $`T_0`$ from the reflectivity data in Fig. 2a. However, there are serious discrepancies between the results of this thermal model and the experimental results, primarily at temperatures more than a few degrees below the peaks, where the observed effect is larger than predicted by the thermal model. This suggests that another, temperature-independent, non-thermal excitation mechanism is also contributing to the effect. This mechanism may be especially important for $`\beta `$-gallium because its structure contains covalent bonds Bernasconi et al. (1995). As with the excitation mechanism in e-beam pumped semiconductor lasers, electron-beam excitation in gallium results in bonding-antibonding transitions, which destabilize the crystalline structure Siegal et al. (1995). This mechanism should be especially effective in nanoparticles as the electron-beam penetration depth in gallium is of the order of their diameter. An ‘inclusion’ of a new phase is thus created, changing the optical properties of the ‘host’ phase at temperatures far below its transition point and shifts the phase equilibrium, promoting the formation of a thicker layer of the new phase without any increase in temperature MacDonald et al. (2001).

In conclusion, we observed equilibrium coexistence of different structural phases in gallium nanoparticles that can be controlled by e-beam excitation in a highly reversible and reproducible fashion.

The authors acknowledge the financial support of the EPSRC (UK).


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# Proton-tetraneutron elastic scattering

## Abstract

We analyze the elastic scattering of protons on a 4n system. This was used as part of the detection technique of a recent experiment Ma02  to search for the 4n (tetraneutron) as a bound particle. We show that it is unlikely that this process alone could yield the events reported in ref. Ma02 , unless the 4n has an anomalously large backward elastic scattering amplitude.

The possible existence of the tetraneutron has been discussed theoretically by numerous authors already in the 1960’s (see refs. Ma02 ; Tim02 ; BZ03  and references therein). Numerous experiments have been performed with negative results (Ma02 ; Tim02 ; BZ03  and references therein). However, in a recent experiment Ma02 , the existence of bound neutron clusters was studied by fragmentation of intermediate energy (35 MeV/nucleon) 14Be nuclei. As described in ref. Ma02 , the data analysis was confined (for technical reasons related to the detector response) to 11-18 MeV/nucleon. The fragmentation channel $`{}_{}{}^{10}\mathrm{Be}+^4\mathrm{n}`$ was observed and the $`{}_{}{}^{4}\mathrm{n}`$ system was tentatively described as a bound tetraneutron system.

Theoretical attempts have failed to find the mechanism for the $`{}_{}{}^{4}\mathrm{n}`$ binding. Ref. Tim02  concluded that a strong four-nucleon force is needed to bind the tetraneutron. This force would unreasonably bind 4He by about 100 MeV. Ref. BZ03  showed that a model of the tetraneutron based on two dineutron molecules is also not likely to yield a bound system. Further, ref. Pie03  showed that if the 4n would form a bound system it would indeed look like two widely separated dineutrons, with rms radii between 7.3 fm and 10.3 fm. However, these conclusions were based on a significant change of presently adopted NN potentials.

In this brief report we point out a puzzle in the experimental measurement Ma02 . We calculate the elastic proton-tetraneutron cross section and show that it is surprising that the experimental technique used in ref. Ma02  could identify a bound 4n based on this reaction. In the original experimental paper the 4n was identified by the recoil imparted on a proton target. In particular 4n were identified by an anomalous large backward recoil of the proton. We claim that, due to the loosely bound character of the tetraneutron (if it existed) this anomalously large proton recoil is unlikely, as the elastic cross section for the proton-tetraneutron system drops many orders of magnitude for large scattering angles. If the data of ref. Ma02  is correct, they indicate an anomalously large backward angle cross section or that other processes are contributing.

To calculate the proton-4n scattering cross section one needs the p-4n phase-shifts $`\delta _{l\pm }`$, or an optical potential, both of which are of course unknown. One can construct one theoretically using several recipes. For simplicity we will use here the M3Y interaction Ber77  to construct $`U_{\mathrm{real}}\left(r\right)`$. The imaginary part of the potential is taken as $`U_{\mathrm{imag}}\left(r\right)=\lambda U_{\mathrm{real}}\left(r\right)`$. We adopt a very conservative value, $`\lambda =1`$, for simplicity. The input in this calculation is the tetraneutron density distribution $`\rho \left(r\right)`$ which is of course unknown. We assume that if the tetraneutron exists it has a large rms radius, due to its loosely-bound character. We take a one-body density distribution with rms radii of 7 fm and 10 fm, respectively Piecom . This simulates the small binding energy of the system.

The result of the calculation is presented in figure 1, for $`E_p=14`$ MeV and a 4n-system with rms radii equal to 7 fm (dashed line) and 10 fm (solid line), respectively.

In figure 2 we show the kinematics of the 4n-proton scattering in the laboratory. In particular, we show the proton energy as a function of its backscattering angle in degrees, in the kinematical allowed region. In the laboratory, the protons would have recoil energies in the interval $`E_p=21`$ \- 38 MeV, for scattering angles between 95 - 180 degrees. This is shown by the solid line in figure 2. The dashed line is the respective 4n energy.

For proton recoil energies in the interval $`E_p/E_n=1.4`$ \- 2.6 we get a total elastic cross section (from figure 1) of about 3.5 $`\mu `$b, assuming a 4n size of 7 fm (a 4n size of 10 fm yields a 10 times smaller value).

The intensity of 14Be in the experiment of ref. Ma02  is 130 particles per second. Assuming a 4n production cross section of 1 mb, as estimated in ref. Ma02 , as an upper estimate and a carbon target with 275 mg/cm2, we obtain $`1.8\times 10^2`$ 4n/s. The density of protons in the target can be estimated as $`n=10^{24}`$/cm2. For a cross section of 3.5 $`\mu `$b one thus gets a counting rate of 10-9 scattered protons per second. The overall (geometry + response of the detectors) detector efficiency in the experiment is of the order of 10%. This yields approximately $`10^4`$ events per week. The experiment of ref. Ma02  claims 6 events in a one week run. There is a factor of 104 more events than expected from an optimistic estimate.

The estimates presented above show that the results of the experiment can not be explained as arising from elastic scattering unless there is an anomalous large backscattering in the 4n+p system. We think that the 4n model used in our calculations should yield an order of magnitude estimate of the distribution of the backscattered protons. It is well know that the elastic scattering cross section decreases exponentially with the diffuseness of the system. For a system of size $`R`$ and diffuseness $`a`$, the differential cross sections scales as (see, e.g., ref. Fes93 ) $`d\sigma /d\mathrm{\Omega }\left[J_1\left(qR\right)/q\right]^2\mathrm{exp}\left(qa\right)`$, where $`q=2k\mathrm{sin}(\theta /2)`$ is the momentum transfer. Thus, the slope of the cross section in figure 1 is due almost entirely to the diffuse character of the 4n system. This behavior is universal and would not change with a better description of the potential. In the absence of the Coulomb interaction and other effects, the peak at forward angles yields the total cross section by means of the optical theorem. Its magnitude is due to the overall size of the system. Thus, the only parameter of interest in this case is the diffuseness of the tetraneutron, which determines the backward/forward cross section ratio.

One possible scenario to explain the events seen in ref. Ma02  is that the neutrons do not scatter from the 4n as a whole, but from a smaller neutron cluster inside the 4n system. If the dineutron exists, it might be less diffuse than the 4n system. This in consequence could lead to a larger scattering cross section of the protons towards large angles. However, this would also lead to scattered protons with smaller energy. Another possible effect, short-range correlations, which imply large momentum components inside the 4n system, are also ruled out as they must be a small component of the total 4n wavefunction. We thus conclude that both of these effects do not help in explaining those events.

One should also expect that additional effects probably imply an even smaller cross section for the 4n (or 2n)-p elastic scattering at large angles. Since 4n is loosely bound there will be a large absorption from the elastic channel due to the inelastic events which disrupt the 4n system. The larger the scattering angle, the larger the momentum transfer and the smaller the cross section will be. This effect was not included in our calculations and would pose an even worse scenario for the detection of elastic scattered 4n by proton backscattering.

Our calculations suggest that other processes besides elastic scattering are required to sustain the bound 4n interpretation of the events observed in ref. . A possible case would be the inelastic scattering on protons of very weakly bound systems Li11 . However, to produce $`\theta _{cm}>100^{}`$ recoils, the 4n system must interact as a composite object. Given its weak binding, it is unlikely an inelastic interaction could produce a high energy proton.

In conclusion, we have shown that elastic scattering cannot be used to detect a bound 4n nucleus Ma02 . If the 4n system exists it has to be very weakly bound and it will also be a very large and diffuse system. It is very unlikely that such a system can scatter protons at angles of $`\theta >90^{}`$.

We have benefited from useful discussions with N. Orr and F.M. Marqués. This work was supported by the National Science Foundation under Grants No. PHY-007091 and PHY-00-70818.


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# Lattice Universes in 2+1-dimensional gravity

## 1 Introduction

On a spacetime safari, Vince has taught us, it is not enough to go from one big game to another, it also pays to attend to the smaller details. Here I give some of the details in 2+1-dimensional gravity.

Lattice universes in (3+1) dimensions were introduced by Lindquist and Wheeler  as empty space approximations to Friedmann universes, in order to show that empty curved spacetime can act like a matter source: instead of uniformly distributed matter, these models contain black holes, and are therefore purely “geometrodynamical” in the sense that the sourceless Einstein equations hold everywhere. To approximate a uniform, spherical universe, space is divided into a lattice of equal cells, each cell is dominated by a Schwarzschild geometry, and the cells are those of a 3-dimensional regular polytope. Because the continuous spherical symmetry of the Schwarzschild geometry disagrees with the discrete symmetry of the cells, these fit together only approximately. Lindquist and Wheeler give various criteria by which the quality of the approximation may be judged, but regret that there is no exact solution with a finite number of particles, with which the approximate solution may be compared. A comparison with a dust-filled Friedmann universe shows that, in appropriate respects, the regular polytope approximation to a sphere improves with the number of “particles” (three-dimensional faces of the polytope, which themselves are the interiors of regular polyhedra), where the largest number of “particles” possible in this approximation is 600.

A similar construction may be performed in 2+1 dimensional sourceless Einstein theory with a negative cosmological constant, since such spaces admit black hole (BTZ) geometries . In this case all exact solutions are locally isometric to anti-deSitter (AdS) space and differ only by their global topology, so at least in principle they are known. Indeed one knows how to construct 2+1-dimensional multi-black-hole geometries and to characterize them uniquely by certain parameters, which describe the arrangement of the black holes and their masses . But it is far from obvious what values of such parameters correspond, for example, to the most nearly uniform distribution of the black holes on a “background” 2-sphere. In this paper we will outline a construction procedure appropriate for such cosmologies, with parameters of clear physical meaning. In distinction to the Lindquist-Wheeler paper (written before the discovery of the Kerr metric) we will also consider universes containing a uniform distribution of black holes with angular momentum.

## 2 Time-symmetric Universes Modeled on Regular Polyhedra

The simplest kind of lattice universe is a time-symmetric one. (This is the only type discussed by Lindquist and Wheeler; for a generalization see Brill et al .) Time-symmetry implies that there is an “initial” 2-dimensional spacelike Cauchy surface of vanishing extrinsic curvature. The intrinsic curvature of the surface must then be constant negative, like that of the surrounding locally AdS spacetime. The Cauchy data for a single black hole are known from the BTZ solution, which has the usual wormhole shape that is symmetrical about a throat. We will use the presence of such a throat, or of an apparent horizon (which we sometimes call simply a horizon) to identify a region containing a black hole. This seems the best one can do in a collapsing universe. These black holes, as seen from the interior of the universe, are not surrounded by real horizons in the usual sense, related to null infinity, because all null geodesics end at the collapse singularity. (Typically these 2+1-dimensional spacetimes and their null geodesics can be continued across the singularity, but because the continuation is considered unphysical, for example because of the presence of closed timelike curves, the manifold is taken to end at the singularity. Null geodesics starting inside a horizon and directed “into” the black hole may continue to a null infinity, if there is such on the “other” side of such a throat, where there will then be a genuine horizon; but this horizon is not relevant to causal physics of the finite interior universe, and in any case multi-black-holes always appear only as structures inside that horizon.)

The part near the throat of a single black hole geometry can be embedded in Euclidean space as a pseudosphere, for example the figure of revolution of a tractrix.111The surface of revolution of that particular curve has the spacelike geometry of a $`m=0`$ BTZ black hole, whose throat is at infinity. Following Lindquist and Wheeler we now place pseudospheres on a sphere, centered above each vertex of some regular inscribed Euclidean polyhedron, such as an octahedron, and in such a way that the pseudospheres are tangent to the sphere and touch each other at isolated points. This is shown in Figure 1, a figure drawn after Fig. 3 in the classic work of Lindquist and Wheeler.222Here the polyhedron that specifies the lattice structure, as used by Lindquist and Wheeler, is conjugate to the octahedron, namely a cube. This surface allows us to visualize accurately the momentary, spacelike geometry of a 2+1-dimensional black hole universe. However, it only approximates sourceless initial values, because parts of the 2-sphere remain uncovered by the pseudospheres. These regions have positive curvature rather than the negative curvature required for a time-symmetric surface in locally AdS space. (The positive curvature could be provided by matter in the gap regions. Because the pseudospheres are tangent to the sphere, the boundaries are joined sufficiently smoothly so that the curvature and the necessary matter density has only a jump discontinuity, and no surface matter density is required at the boundary. Alternatively the gap could be filled with further pseudospheres, of which an infinite decreasing sequence would be required to fill the gap completely.)

### 2.1 Universes containing point particles

In 2+1 dimensions we can construct an exact initial geometry, which has constant curvature everywhere. Consider first the case $`\mathrm{\Lambda }=0`$, where time-symmetric surfaces have vanishing curvature. Any regular polyhedron, such as the tetrahedron of Fig. 2a, consists of flat faces, joined at edges where the surface is also intrinsically flat. At the vertices there is however a deficit angle compared to flat space (of size $`4\pi /N`$ for a regular solid with $`N`$ vertices). In 2+1 dimensions such a conical singularity signifies the location of a point particle, of mass equal to the angle deficit . So the tetrahedron is a model universe of approximately spherical shape, but an exact initial geometry of 2+1-dimensional $`\mathrm{\Lambda }=0`$ Einstein theory, containing four equal point masses. Similarly, the surface of any static $`N`$-vertex polyhedron that remains unchanged in time can be considered a 2+1-dimensional $`N`$-particle universe, for the time-development of an initial polyhedron is simply that polyhedron continued statically in time. The total mass of any such closed universe, computed as the sum of the particle masses, is always $`4\pi `$ .

It is instructive to flatten out a regular polyhedron on a plane. This can be done (non-uniquely but for any $`N`$-particle universe) by cutting the polyhedron along a tree of geodesics connecting adjacent vertices and developing the figure in the plane so that pairs of faces are connected across at most one edge. The resulting “net” of the polyhedron, together with gluing rules for the edges that were cut, is an equivalent way to describe the polyhedral surface. For example, we may cut the tetrahedron of Fig. 2a along $`AB`$, $`AC`$, and $`AD`$ to obtain Fig. 2b. The corresponding spacetime, unfolded, consists of the prisms over the faces of this figure (Fig. 2c). Adjacent faces in the 2-dimensional figure are related by a rotation (by $`60^{}`$ in this case) about a common vertex, and adjacent prisms can be obtained by a similar rotation about the worldline of a common vertex. For example, prism ABC becomes prism BDC when rotated about worldline C in Fig. 2c.

A similar construction of the initial state of an $`N`$-particle universe works in the $`\mathrm{\Lambda }<0`$, negative curvature case. The only difference is that the angle sum of a face is less than that of the corresponding flat face, so that the angle deficit at the vertices is larger. The sum of the particle masses is therefore larger than $`4\pi `$, by an amount depending on the universe’s size, similar to what one has in 3+1-dimensional time-symmetric Friedmann universes. For both $`\mathrm{\Lambda }=0`$ and $`\mathrm{\Lambda }<0`$, the universe with the smallest possible number of particles is not the surface of a finite solid: it has three particles and two (identical) triangular faces, which are glued together at their edges.333These may be regarded as “Machian” results: the former is analogous to $`GM/c^2R1`$ for a closed universe of total mass $`M`$; and three particles are the minimum number needed to define an inertial frame in a 2+1-dimensional closed universe.

### 2.2 Universes with Black Holes

For the initial state of an $`N`$-black-hole universe we need a figure analogous to the $`N`$-particle universe, but there must be gaps at the would-be vertices so the vertices are replaced by black hole horizons. The required figure to replace a triangular face is a right-angle, geodesic hexagon with alternate sides of equal length. This is shown in Fig. 3a in the Poincaré disk representation, where geodesics are arcs of circles that meet the disk’s boundary at right angles. We call one set of three equal sides “small”, and the other set “big.” When four such hexagons are put together we obtain the surface of tetragonal symmetry of Fig. 3b. Pairs of big sides fit smoothly together to form the six edges, and three small sides at each would-be vertex, being perpendicular to the edges, join smoothly to make up the horizon of the black hole located there. (As in flat space, the “creases” of the figure at the polygon edges are a feature only of the embedding.) The net of this solid is shown in Fig. 3c, which is analogous to Fig. 2b.

One can construct multi-black-hole universes with the symmetry of other regular polyhedra (or of the Archimedian solids, or of any $`N`$-particle universe). If the faces are triangular, they are replaced by hexagons as in the construction of the tetrahedral space in Fig. 3b; in general a face of a regular solid is replaced by an “alternating-regular” polygon of twice the number of sides and right angles between adjacent sides. In a 2-dimensional constant negative curvature space such a figure can always be constructed, provided only that the length $`b`$ of the big sides is sufficiently large compared to the radius of curvature $`\mathrm{}=\mathrm{\Lambda }^{1/2}`$. The minimum big side length occurs of course when the long and the short side lengths are equal, that is, for the completely regular right-angled $`2N`$-gon.

On the other side of the horizons of a universe with $`N`$ horizons we may attach $`N`$ asymptotically AdS regions. Alternatively we may identify pairs of horizons to obtain $`N/2`$ wormholes that lead from one region of the universe to another along spacelike paths. The genus of such a compact universe is $`N/2`$, hence the Gauss-Bonnet theorem implies for the area $`A`$ of our universe

$$A=\pi (N2)/2\mathrm{\Lambda }.$$
(1)
The area depends only on $`N`$, not on the side lengths of the face polygons, and hence neither on the edge lengths nor on the horizon size $`L`$ of the black hole. Since the latter measures the mass parameter $`m=\sqrt{L/\mathrm{}}`$, $`A`$ is also independent of $`m`$; even extremal $`m=0`$ black holes can be used to build “closed”, finite-area universes.444The mass parameter $`m`$ of black holes measures a kind of bare mass, different from the particle mass. Particles are described by negative values of $`m`$, and the AdS vacuum has $`m=1`$. Therefore Eq (1) contrasts with the condition on the total mass in a 2+1-dimensional dust-filled $`k=+1`$ Friedmann universe (to which the lattice universes are taken to be an approximation, in the spirit of Lindquist and Wheeler), where the constraint implies for a universe of radius $`a`$, area A and total mass $`M=A\rho `$ at the time-symmetric moment
$$\dot{a}^2=0=1\left(\frac{A}{4\pi \mathrm{}}\right)^2+M.$$
so that $`M`$ must always exceed 1.

## 3 Klein Representation of Time-Symmetric Universes

Geodesics and totally geodesic surfaces play an important role in the above treatment of universes put together out of flat or constant-curvature faces. The Klein disk and its generalization, in which geodesics of hyperbolic space “look” straight, is a useful device to reduce many problems of hyperbolic space to those of flat space.

The Klein model can be obtained in a similar way as the Poincaré model , by using central rather than stereographic projection. The simplest example is 2-dimensional hyperbolic space, which can be embedded as the spacelike hyperboloid

$$t^2x^2y^2=1/\mathrm{\Lambda }=R^2$$

in Minkowski space. We project this surface by central projection on its horizontal tangent plane with rectangular coordinates $`X`$, $`Y`$ or polar coordinates $`r`$, $`\varphi `$ where $`X=r\mathrm{sin}\varphi =x/t,Y=r\mathrm{cos}\varphi =y/t`$ (Fig. 4a). The metric induced on the hyperboloid by the Minkowski metric $`ds_M^2=dt^2+dx^2+dy^2`$ has constant negative curvature $`1/R^2`$ and takes the form in terms of the coordinates $`r`$, $`\varphi `$ on the plane

$$ds^2=\frac{R^4}{(R^2r^2)^2}dr^2+\frac{R^2}{R^2r^2}r^2d\varphi ^2.$$
(2)
The coordinate $`r`$ is restricted to $`0r<R`$, hence covers a disk of radius $`R`$, the Klein disk, whose boundary $`r=R`$ corresponds to infinity of hyperbolic space. Because those projection rays that intersect the disk in a line form a plane through the origin in Minkowski space, they intersect the hyperboloid in a geodesic. Therefore straight lines in the Klein disk represent geodesics of hyperbolic space. We note that, unlike the Poincaré map, the Klein map is not conformal, so that angles in the Klein disk are different (the smaller the closer to the boundary) than what they appear.

Consider now a regular hyperbolic polygon. It consists of equal geodesic edges. If we center it at the origin of the Klein disk, it looks exactly like the corresponding polygon in flat space, that is, like one having an equal number of vertices. Now expand this polygon, keeping it centered. Though the apparent vertex angles stay the same, the actual vertex angles decrease, in accordance with the metric (2), and reach zero when the vertices converge to the Klein disk’s boundary. If this polygon is part of a polyhedron, the angle deficit at a vertex is now $`2\pi `$, so we can regard the universe as filled with particles of mass $`2\pi `$. Alternatively we can regard the limit as $`m=0`$ black holes. If we increase the polygon further, so the vertices would be outside the Klein disk, we obtain the kind of face that can be put together into a black hole universe. In this sense black holes correspond to particles that lie “beyond infinity” outside the Klein disk in the initial state. (As the metric (2) shows, radial distances outside the Klein disk are timelike, so these particles are not in any spacelike relation to the interior of the disk.)

We can, of course, unfold a whole hyperbolic polyhedron on the Klein disk (Fig. 4b), but because the central projection distorts shapes and distances as we move away from the center, the net will not bear much resemblance to the corresponding flat-space figure (cf. Figs. 4b and 2b). The resemblance is much better if one embeds the polyhedron itself in 3-dimensional hyperbolic space.

The Klein map can easily be extended to higher-dimensional spaces, for example by replacing the $`d\varphi ^2`$ of Eq (2) by the line element of a higher-dimensional sphere. Totally geodesic (hyper)surfaces map into (hyper)planes under the central projection. For example, in the Klein ball, a figure that looks like a Euclidean polyhedron, centered about the origin, represents a hyperbolic polyhedron with totally geodesic faces of constant intrinsic curvature, and its surface is the initial state of a $`\mathrm{\Lambda }<0`$ lattice universe with a point particle located at each vertex of the polyhedron. Again we can expand the polyhedron until its vertices fall outside of the Klein ball: the figure then represents the initial state of a universe containing black holes (Fig. 4c). The location of the horizons or throats is not easily identified in such a figure, but it is clear that there is an asymptotically anti-deSitter space on the “other” side of each throat.

## 4 Time Development of Time-symmetric Universes

The initial data of the previous section can be continued in time, using normal coordinates. We consider the development into the future; corresponding statements hold for the past of the time-symmetric surface with “collapse” replaced by “big bang”. For $`\mathrm{\Lambda }=0`$ the time-symmetric universe remains static, each face develops into a prism of Minkowski spacetime (Fig. 2c). For $`\mathrm{\Lambda }<0`$ the normal geodesics to any totally geodesic (that is, time-symmetric) spacelike surface in AdS space intersect at a conjugate point after the timelike interval $`\pi R/2`$, when the universe collapses to zero volume.555Unlike in the 3+1-dimensional case, the time to collapse is the same for all time-symmetric geodesic observers, whether near a black hole or not, and also for universes less regular than the lattice universes considered here. It is therefore more difficult in 2+1 dimensional universes to observe properties of black holes that depend on the observer outliving the black hole. At an intermediate normal geodesic time $`t`$ the linear dimensions of the universe shrink uniformly by the factor $`\mathrm{cos}(t/R)`$, its intrinsic curvature increases by $`\mathrm{cos}^2(t/R)`$, and its extrinsic curvature increases to $`h=\mathrm{tan}(t/R)`$, so as to maintain the constraint (or Gauss’ theorema egregium),

$${}_{}{}^{2}Rh^2=\mathrm{\Lambda }.$$

Close to the collapse time these two curvatures dominate over $`\mathrm{\Lambda }`$ (“curvature dominated” limit), and the behavior in the matter-free regions approaches that of a $`\mathrm{\Lambda }=0`$, flat-space model: at late times $`t=\frac{1}{2}\pi Rϵ`$ the history of each face is a right pyramid in Minkowski space, with a base a surface of constant curvature a distance $`ϵ`$ from the top vertex of the pyramid (Fig. 5a). The edges of the pyramid are the world lines of the point particles in the universe; they carry the angle deficit that occurs when the pyramids are assembled into the late history of the whole polyhedron. In the case of a black hole universe the base does not reach parts of the pyramid’s sides that are near its edges. These edges (but not the faces) are spacelike (Fig. 5b) and carry a Lorentzian angle characteristic of the identification near the singularity of a BTZ black hole without angular momentum (see for example Figure 1b of Aminneborg et al ), or of Misner space  near its non-Hausdorff singularity. Thus particles and black holes can be treated on a very similar footing, if we think of the black hole containing a spacelike, tachyonic particle.

The similarity between particles and black holes is brought into clearer focus in the Klein map of AdS space. This is obtained by a central projection of the 3-dimensional AdS surface on one of its tangent hyperplanes (Fig. 6a). The three-dimensional region covered by the projection is the interior of a timelike hyperboloid, the Lorentzian analog of the Klein ball (Fig. 6c). From Figure 6a one can see that, away from the center, the projection reduces spacelike distances (as is the case for the Klein disk, which is contained as the central section $`t=0`$ of Fig. 6c), and magnifies timelike distances. Therefore the light cones become thinner near the boundary hyperboloid (Fig. 6b), and the interior covers only the interval $`\pi R/2<t<+\pi R/2`$ of AdS space. The AdS metric in terms of polar coordinates in the Klein hyperboloid can be obtained by an extension and analytic continuation of metric (2),

$$ds^2=\frac{R^4}{(R^2r^2)^2}dr^2+\frac{R^2r^2}{R^2r^2}\left(\mathrm{cosh}^2\psi d\varphi ^2d\psi ^2\right),$$

where the coordinates $`r,\psi ,\varphi `$ are related to the Cartesian coordinates of the tangent hyperplane by $`x=r\mathrm{cosh}\psi \mathrm{cos}\varphi ,y=r\mathrm{cosh}\psi \mathrm{sin}\varphi ,t=r\mathrm{sinh}\varphi `$.

A BTZ black hole may be represented in the Klein map as a slab of the timelike hyperboloid bounded by two timelike planes, which are to be identified. The two asymptotically AdS infinities are two strips cut out of the boundary hyperboloid by the planes. The two planes intersect at positive and negative timelike infinity, where the singularity is located. Similarly, in the Klein map the time-continuation of the faces of a polyhedral time-symmetric particle universe with $`\mathrm{\Lambda }<0`$ become prisms, as in Fig. 2c, representing the unfolded net of a polygonal universe. For the case of a black hole universe the net looks very similar, as in Figure 6c, where for simplicity only the “trihedral” 3-particle universe is shown rather than the tetrahedral one of Fig. 2c. It also consists of prisms, but the vertical edges initially lie outside the boundary hyperboloid. Due to the tilting of the lightcones and their aligning with the boundary, these edges enter the interior as spacelike geodesics – the tachyonic singularities of the black holes. These singularities do not lie entirely in the map’s future infinity, because the black holes are moving (collapsing) in this frame. By a suitable AdS isometry one could move any one of the singularities to the Klein map’s future infinity, to look like the singularity of the BTZ black hole. Alternatively, by a timelike isometry one could move the entire singularity to a finite region of the Klein map. For a particle universe the singularity is the single point where all the particle worldlines meet, and for a black hole universe it is a set of spacelike geodesics that meet at a point. The striped region in Fig. 6c is part of the true horizon of black hole A, and the region to the right of it is the asymptotically AdS “exterior” of that black hole.

The state of an AdS lattice universe at a time slice $`t0`$ provides initial values with non-vanishing extrinsic curvature, in which the particles or black holes are uniformly moving together or apart. This then provides states with a momentum variable conjugate to the one “position” variable, such as edge length or total volume, necessary to specify a time-symmetric state.

By contrast, for Minkowski-space time-symmetric lattice universes all the slices $`t=`$const. are alike. To obtain initial states with non-vanishing extrinsic curvature we should therefore construct a net of pyramids like those in Figure 5, which is valid for all $`ϵ`$ in this case. If the edges in this Minkowski-space construction are spacelike, we obtain one or several black holes whose intrinsic geometry is like that of BTZ black holes for a suitable $`\mathrm{\Lambda }<0`$ – but the extrinsic curvature is too large for true BTZ black holes. In fact, one knows that there are no true black holes in locally flat spacetime, and we have them here only because of our somewhat looser concept of black holes in closed universes.

## 5 Universes with Angular Momentum

A regular polygon can remain regular not only when it expands or contracts, it can also rotate. We will consider the case of rotating particles in Minkowski space, and rely on the Klein map to translate these results to the case of black holes and AdS space.

Our rotating particles have to move on geodesics in Minkowski space, and in order to have nonzero angular momentum (about the center of a polyhedral face) they must be mutually skew, avoiding common intersection at a point. For a pair of skew world lines there is a distinguished epoch, namely the “moment of closest approach”, represented by the spacelike geodesic that is normal to both of them. (In Euclidean space this would also be the shortest distance between them.) We will call these geodesics “connectors.” A connector corresponds to a side of a polygonal face, and it is dual to the world lines it connects: the normal geodesic to a pair of “adjacent” connectors is the world line of the common vertex. Because the connectors are skew, like the world lines, they do not in fact form a closed polygon. There is no smooth spacelike surface in such a universe, a circumstance familiar from the Gödel universe . For each polygonal face we could of course find spacelike surfaces, for example those corresponding to the center of momentum frame, but these do not assemble into a continuous polyhedron. (The worldlines of the total momentum of each face correspond to the conjugate polyhedron, where faces are replaced by vertices and vice versa, but those worldlines are also mutually skew.) Therefore we assemble the universe out of whole spacetime regions, corresponding to the history of a face.

The assembly instructions for our spacetime are a sequence of isometries that map wordlines into worldlines according to the same scheme as for the net of the polyhedron, for example that in Fig. 2c. The boundaries of the regions do not matter, as long as the regions are large enough so that the isometries will generate overlaps. One can also define boundaries so that the regions fit together exactly and smoothly, like the plane boundaries of the prisms and pyramids of Figures 2, 5, and 6. These boundaries, containing the skew world lines, cannot of course be plane, but for faces with an even number of worldlines the boundary between one pair of adjacent worldlines can be rather arbitrary, for the other boundaries can then be consistently generated by the isometries. For an odd number of worldlines the only choice appears to be ruled surfaces between adjacent worldlines that include the connector.

What should be the isometries that generate a new region of the net from a given one, to replace the rotation about a vertex world line of the time-symmetric case? It should leave that vertex wordline fixed and map one adjacent worldline into the other adjacent one. Because of the duality between worldlines and connectors this is equivalent to demanding that one connector at the vertex worldline should map into the other one. It should be clear from Figure 7 that this involves a rotation about the world line and a translation along the worldline.

Now consider what happens when we derive the properties of the particle by finding the total isometry at that vertex as we go once around the vertex through all the faces that meet there: In the spacetime assembled from the net we come back to the same point, but in Minkowski space we will have rotated around the vertex worldline and also translated in the direction of the worldline, like ascending an “Escher staircase” that comes back to the original step after $`n`$ steps up. This translation signals that the worldline is a source of angular momentum as well as mass . Thus, if there is orbital angular momentum in a face, the particles must necessarily have spin angular momentum; and vice versa it is possible to put spinning particles into the closed universe only if the particles also have angular momentum about each other.666This can of course be regarded as another “Machian” result for these closed universes.

The construction of the analogous AdS and black hole universes is now straightforward, thanks to the Klein map that allows us to translate from a Minkowski space diagram to an AdS diagram. In broad outline the interpretation is the same as in Minkowski space, but the details, such as the values of masses and angular momenta, are different. Also, skew geodesics within the Klein hyperboloid do not intersect at Klein infinity but remain skew, so the rotating universe does not collapse to zero volume. In 2+1 dimensions angular momentum can stop collapse, so that the universe can last forever.

In the case of black holes the particle wordlines are replaced by spacelike skew worldlines, with an associated Lorentz angle measuring the black hole mass, and a spacelike translation measuring the black hole spin . BTZ black holes with intrinsic angular momentum contain a region of closed timelike lines. This region is usually considered an unphysical, singular part of spacetime.777More accurately, a sufficiently large part of the region of closed timelike curves is eliminated from spacetime so that the remainder does not support any closed timelike lines. If one includes in the unphysical closed timelike lines not only those associated with one black hole, but also ones that travel all around the universe, there may not be any physical spacetime left. If we take the same view for black hole universes then angular momentum of black holes does not stop the collapse, and the physical universe containing spinning black holes has only a finite lifetime.

## 6 Conclusion

We have discussed some particular spacetimes in 2+1-dimensional gravity. In a sense these are the simplest after the point particle and the BTZ black hole solutions, due to their symmetry. This symmetry makes it natural to describe the spacetime in terms of a possibly large number of neighborhoods (faces of a polyhedron), using a combinatorial approach. Because geodesics and totally geodesic surfaces play an important role in this approach, we found the generalization of the Klein map to AdS space useful for transferring results from locally flat (Minkowski) to locally AdS spacetime. Identified flat spacetimes, typically containing point particles, have analogs in identified AdS spacetimes, with identical topological but different metrical properties. Static flat spacetimes correspond to time-symmetric, expanding and recontracting, models under this map.

The Klein map also provides Minkowski space analogs of AdS black holes. In this description a BTZ black hole is characterized by a straight line that is not contained entirely within the “Klein hyperboloid,” and enters the latter at the endpoint of future null infinity. Multi-black-hole spacetimes can be treated in this way, and spin angular momentum of black holes corresponds under the Klein map to the particle spin of the straight line associated with the black hole.

## Acknowledgments

I am grateful to the Erwin Schrödinger Institute of Vienna, where this work was begun, and to the American Institute of Mathematics, where it was finished, and where I was afforded the opportunity for useful discussion with Vince Moncrief.

## References


text:
# In-medium effects on the 𝐾⁻/𝐾⁺ ratio at GSI

## 1 Introduction

The medium modifications of mesons with strangeness such as kaons and antikaons can be studied in connection to heavy-ion experiments for energies around 1-2 AGeV . One surprising observation in C$`+`$C and Ni$`+`$Ni collisions  is that the $`K^{}`$ multiplicity and that of $`K^+`$ are of the same order of magnitude although in $`pp`$ collisions the $`K^+`$ multiplicity exceeds the $`K^{}`$ one by 1-2 orders of magnitude at the same energy above threshold. Another interesting observation is that the $`K^{}/K^+`$ ratio stays almost constant for C$`+`$C, Ni$`+`$Ni and Au$`+`$Au collisions for 1.5 AGeV . Both observations could be interpreted to be a manifestation of an attractive $`K^{}`$ optical potential. On the other hand, equal centrality dependence for the $`K^+`$ and $`K^{}`$ mesons has also been observed in Au$`+`$Au and Pb$`+`$Pb reactions at 1.5 AGeV . Actually, the independence of centrality of the $`K^{}/K^+`$ ratio was claimed to indicate that no in-medium effects were needed in order to explain the experimental ratio . However, the concept of “broad-band equilibration” was introduced by Brown et al.  in order to explain the centrality independence but including medium modifications of antikaons.

In this work we study the implications of introducing the $`K^{}`$ spectral density for the $`K^{}/K^+`$ ratio in order to address the above mentioned issues.

## 2 In-medium modifications on the $`𝑲^{\mathbf{}}\mathbf{/}𝑲^\mathbf{+}`$ ratio

We present a brief description of the statistical models which are applied for the calculation of the $`K^{}/K^+`$ ratio. Statistical models are based on the assumption that the particle ratios in relativistic heavy-ion collisions can be described by two parameters, the baryonic chemical potential $`\mu _B`$ and the temperature $`T`$ .

Therefore, by using canonical strangeness conservation and taking into account the most relevant contributions in the $`S=0,\pm 1`$ sectors, the inverse ratio $`K^+/K^{}`$ is given by

$`{\displaystyle \frac{K^+}{K^{}}}={\displaystyle \frac{Z_{K^+}^1(Z_K^{}^1+Z_\mathrm{\Lambda }^1+Z_\mathrm{\Sigma }^1+Z_\mathrm{\Sigma }^{}^1)}{Z_K^{}^1Z_{K^+}^1}}=1+{\displaystyle \frac{Z_\mathrm{\Lambda }^1+Z_\mathrm{\Sigma }^1+Z_\mathrm{\Sigma }^{}^1}{Z_K^{}^1}},`$ (1)
where $`Z^{}s`$ indicate the different one-particle partition functions for $`K^+,K^{},\mathrm{\Sigma },\mathrm{\Lambda },\mathrm{\Sigma }^{}`$. In order to balance the number of $`K^+`$, the main contribution in the $`S=1`$ sector comes from $`\mathrm{\Lambda }`$ and $`\mathrm{\Sigma }`$ hyperons and, in a smaller proportion, from $`K^{}`$ mesons and $`\mathrm{\Sigma }^{}(1385)`$ resonances. On the other hand, the number of $`K^{}`$ is balanced by the presence of $`K^+`$ mesons. We finally observe that the ratio is determined by the relative abundance of $`\mathrm{\Lambda },\mathrm{\Sigma },\mathrm{\Sigma }^{}`$ baryons with respect to that of $`K^{}`$ mesons.

In order to introduce in-medium and temperature effects, the particles involved in the calculation should be dressed accordingly. For $`\mathrm{\Lambda }`$ and $`\mathrm{\Sigma }`$, the partition function reads

$`Z_{\mathrm{\Lambda },\mathrm{\Sigma }}=g_{\mathrm{\Lambda },\mathrm{\Sigma }}V{\displaystyle \frac{d^3p}{(2\pi )^3}e^{\frac{\sqrt{m_{\mathrm{\Lambda },\mathrm{\Sigma }}^2+p^2}U_{\mathrm{\Lambda },\mathrm{\Sigma }}(\rho )+\mu _B}{T}}},`$ (2)
which is built using a mean-field dispersion relation for the single-particle energies (see Refs. ), while the resonance $`\mathrm{\Sigma }^{}(1385)`$ is described by a Breit-Wigner shape.

With regards to the $`K^{}`$ meson, two different prescriptions for the $`K^{}`$ single-particle energy have been used. First, we use the mean-field approximation for the $`K^{}`$ potential

$`Z_K^{}`$ $`=`$ $`g_K^{}V{\displaystyle \frac{d^3p}{(2\pi )^3}e^{\frac{\sqrt{m_K^{}^2+p^2}U_K^{}(T,\rho ,E_K^{},p)}{T}}},`$ (3)
where $`U_K^{}(T,\rho ,E_K^{},p)`$ is the $`K^{}`$ single-particle potential in the Brueckner-Hartree-Fock approach . The second approach incorporates the $`K^{}`$ spectral density (see Ref. )

$`Z_K^{}`$ $`=`$ $`g_K^{}V{\displaystyle \frac{d^3p}{(2\pi )^3}𝑑sS_K^{}(p,\sqrt{s})e^{\frac{\sqrt{s}}{T}}}.`$ (4)
## 3 Results

In Fig. 1 the inverse ratio $`K^+/K^{}`$ is shown for two temperatures using different approaches for the dressing of the $`K^{}`$ meson: free gas (dot-dashed lines), the on-shell approach (dotted lines) and using the $`K^{}`$ spectral density including s-waves (long-dashed lines) or both s- and p-waves (solid lines). The ratio grows with $`e^{\mu _B/T}`$ as we increase the density although it tends to bend down after the initial increase when the in-medium $`K^{}`$ properties are considered. Actually, when the full spectral density is used (solid lines), a flat region as a function of the density is observed. This is due to the increased attraction produced by the $`YN^1`$ excitations present in the low-energy region of the $`K^{}`$ spectral density. This result is in qualitative agreement with the “broad-band equilibration” advocated by Brown et al.. However, this behaviour was found in Ref.  using a mean-field model through a compensation of the increased attractive mean-field $`K^{}`$ potential with the increase in the baryonic chemical potential as density grows, which is not observed in our mean-field approach.

In the framework of statistical models, one obtains the relation between the temperature and the chemical potential by fixing the $`K^+/K^{}`$ ratio. In the l.h.s. of Fig. 2 we show, for the previous approaches, the values of temperature and chemical potential compatible with a value of $`K^+/K^{}=30`$, close to the experimental one for Ni+Ni collisions at 1.93 AGeV. Similar to the calculations of Refs. , the dot-dashed lines gives the free gas case. While the on-shell approach (dotted line) does not show the broad-band effect, a band of chemical potentials $`\mu _B`$ up to 850 MeV for $`T35`$ MeV appears to be in accordance with the given ratio when both s- and p-wave contributions are taken into account (solid line). However, in this case, the temperature is too low to be compatible with the experimental one and the corresponding freeze-out densities are too small. We can hardly speak of a “broad band” feature in the sense of that of Brown et al. In the r.h.s. of Fig. 2 we display the temperature and chemical potential for different values of the ratio when the full $`K^{}`$ spectral density is used. A ratio of the order of $`15`$ seems to be the solution for a more plausible experimental temperature of $`T70`$ MeV. We therefore conclude that the strength of the low-energy region of the $`K^{}`$ spectral density gives an enhanced production of $`K^{}`$ compared to the experimental results.

## 4 Concluding remarks

We have analyzed the $`K^{}`$/$`K^+`$ ratio in the framework of statistical models considering the medium properties of antikaons. It is found that the determination of the temperature and baryonic chemical potential for a given ratio is very delicate depending on the approximation adopted for the $`K^{}`$ self-energy. On the other hand, the “broad-band equilibration” advocated by Brown, Rho and Song is not accomplished in the on-shell approach. Only when $`K^{}`$ is described by the full spectral density we observe this broad-band. This is due to the coupling of the $`K^{}`$ meson to $`YN^1`$ states. However, the $`K^{}/K^+`$ ratio is in excess by a factor of 2 with respect to the experimental value. Only further studies on non-equilibrium evolution of $`K^{}`$ in the medium could give some indications about the reduced number of $`K^{}`$ that are observed experimentally.

## Acknowledgments

This work is partially supported by DGICYT project BFM2001-01868, by the Generalitat de Catalunya project 2001SGR00064 and by NSF grant PHY-03-11859. L. T. acknowledges support from the AvH Foundation.


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# BUBBLES IN PLANETARY NEBULAE AND CLUSTERS OF GALAXIES: INSTABILITIES AT BUBBLE’ FRONTS

## 1 INTRODUCTION

This is a third in a series of papers that aim at exploring the nontrivial similarities between pairs of bubbles in clusters of galaxies and in planetary nebulae (PNs). The similarities in morphologies were discussed in Soker (2003a; hereafter paper-I; see also section 5 in Soker 2003c), where a table comparing X-ray images of clusters with optical images of PNs is given.111The images of the objects listed in table 1 of paper-I are summarized in a PowerPoint file I presented at the Asymmetrical Planetary Nebulae III meeting (2003), at
http://www.astro.washington.edu/balick/APN/APN\_talks\_posters.html
(go the ‘ppt’ file in the “discussion” of session 13). In clusters, poor galaxy groups, and elliptical galaxies the bubbles are X-ray deficient bubbles (e.g., Hydra A, McNamara et al. 2000; Perseus, Fabian et al. 2000, 2003; A 2597, McNamara et al. 2001; RBS797, Schindler et al. 2001; Abell 4059, Heinz et al. 2002; Abell 2052, Blanton et al. 2003; HCG 62, Vrtilek et al. 2002; M84, Finoguenov & Jones 2001; NGC 4125 and NGC 4552, White & Davis 2003). In PNs these are optical deficient bubbles (e.g., the Owl nebula \[NGC 3587; PN G148.4+57.0\], Guerrero et al. 2003; Cn 3-1 \[VV 171; PN G038.2+12.0\], Sahai 2000; Hu 2-1 \[PN G051.4+09.6\], Miranda et al. 2001). With $`5`$ orders of magnitude difference in size, $`3`$ orders of magnitude difference in temperature, and $`>10`$ orders of magnitude difference in energy, the similarities in bubbles’ morphologies between some PNs and some cooling flow clusters of galaxies and poor groups is striking. In paper-I I also point to similar values of some non-dimensional quantities between clusters and PNs. These similarities led me to postulate a similar formation mechanism, hence strengthening models for PN shaping by jets (not all PNs are shaped by jets). I further argue there that the jets were blown by binary companions.

In a second paper (Soker 2003b; paper-II), I derive constraints on the jet properties for inflating pairs of fat-bubbles, i.e., more or less spherical. In paper-II it was found that for inflating fat bubbles the opening angle of the jets should be large, i.e., the half opening angle measured from the symmetry axis of the jets should typically be $`\alpha 40^{}`$, or the jets should precess. (For such wide-opening angle jets, a collimated fast wind \[CFW\] is a more appropriate term.) Narrow jets will form elongated lobes rather than fat bubbles.

In the present paper I study the development of the Rayleigh-Taylor (RT) instability in the interface between the hot tenuous bubble interior and the outer dense shell. My goals are as follows.

1. Find the conditions for the development of large-wavelength RT modes, and from that, understand some differences between the structures of pairs of bubbles in PNs and in clusters.
2. Use the conditions for the development of the RT instability to constrain the properties of the ambient density to inflate large fat bubbles in PNs.
3. By using (1) and (2), try to account for the finding that fat bubbles are rare in PNs, compared with their number in clusters.
4. Discuss some effects due to instabilities: ($`i`$) The possibility of forming fast moving dense blobs. ($`ii`$) The destruction of the shell segments on the outermost region (along the radial direction from the center of the system); $`(iii)`$ Enable direct and efficient energy transfer from the hot bubble interior to the ambient cooler gas, particularly in clusters.
5. Guide future 3-dimensional numerical simulations in a search for these instability modes.

## 2 THE ASSUMED FLOW STRUCTURE

### 2.1 Unperturbed Spherical Bubble

I follow the derivation of Soker, Blanton, & Sarazin (2002; hereafter SBS). The bubble is assumed to be inflated by a fast jet, which is shocked and forms a spherical hot tenuous bubble, pushing a dense shell into a constant-density medium. Let $`\dot{E}`$ be the energy injection rate by the jet, $`t`$ the total lifetime of the bubble from the start of the energy injection phase, $`\rho _c`$ the undisturbed density of the ambient medium, and $`h`$ the distance of the center of the bubble from the center of the system (either the cluster or the PN). The constant density assumption holds if the radius of the bubble is small, $`R_bh`$. The justifications for these and others assumptions, e.g., neglecting the thermal pressure of the ambient medium exterior to the bubble in clusters, are in SBS. SBS, like Bicknell & Begelman (1996), use the expression given by Castor, McCray & Weaver (1975) for the expansion of an interstellar bubble (because the jet inflating the bubble has a finite width this expression is not correct here when the bubble’s radius is very small and its density is high). The radius of the bubble under these assumptions is given by (Castor, McCray & Weaver 1975)

$$R_b0.76\left(\frac{\dot{E}t^3}{\rho _c}\right)^{1/5}.$$
(1)
The bubble expansion speed is

$$v_b=\frac{dR_b}{dt}=\frac{3}{5}\frac{R_b}{t},$$
(2)
and its acceleration is

$$a_b=\frac{dv_b}{dt}=\frac{6}{25}\frac{R_b}{t^2}.$$
(3)
The accretion rate of ambient mass onto the expanding bubble’s shell is

$$\frac{dM_b}{dt}=4\pi R_b^2v_b\rho _c,$$
(4)
and the total shell’s mass is

$$M_b=\frac{4\pi }{3}R_b^3\rho _c.$$
(5)
### 2.2 Expansion into a Low Density Segment

Instead of considering a realistic non-constant density profile, which would require further assumptions to derive analytical expressions, and then may obscure the basic conditions I am aiming at, I follow the steps of SBS in their section 6. Instead of taking a monotonic decreasing density along the outward radial direction, I assume that the bubble expands in a constant density medium. Then, when the spherical bubble reaches a radius $`R_{b0}`$ at time $`t_0`$, a small segment on the side opposite to the center of the system encounters a region of lower density $`\rho _f`$. This segment, of solid angle $`\mathrm{\Omega }4\pi `$, expands faster than the rest of the shell, into a “funnel”. Since the volume of the funnel is assumed to be small, the rest of the bubble is assumed to expand like a spherical bubble, and the pressure inside the bubble is like that of an unperturbed spherical bubble. The pressure $`P`$ inside the bubble acts on its surface, such that the momentum changes according to $`d(M_bv_b)/dt=4\pi R_b^2P`$. At time $`t_0`$ the portion of the bubble’s surface that enters the low-density funnel has a mass $`M_f=(\mathrm{\Omega }/4\pi )M_b`$, and velocity $`v_f`$. The rate of change of the momentum of that mass is given by $`d(M_fv_f)/dt=\mathrm{\Omega }R_b^2P`$. From the expression for the rate of change in momentum for the bubble and the funnel-segment of mass I find

$$\frac{d(M_fv_f)}{dt}=\frac{\mathrm{\Omega }}{4\pi }\frac{d(M_bv_b)}{dt}.$$
(6)
Evaluating the two derivatives, using equations (2)-(5) for the terms in the right-hand side, and $`dM_f/dt=\mathrm{\Omega }R_f^2v_f\rho _f`$, where $`R_f`$ is the distance of the funnel-segment from the center of the bubble, gives for the segment’s acceleration

$$a_f=\frac{dv_f}{dt}=M_f^1\left[\frac{\mathrm{\Omega }}{4\pi }\frac{d(M_bv_b)}{dt}v_f\frac{dM_f}{dt}\right]=\frac{\mathrm{\Omega }}{M_f}\left[\frac{7}{9}\left(\frac{R_fv_f}{R_bv_b}\right)^2\frac{\rho _f}{\rho _c}\right]v_b^2R_b^2\rho _c.$$

Close to the time the bubble encounters the low density funnel, i.e., $`tt_0t_0`$, we can take the values at $`t=t_0`$: $`M_f=\mathrm{\Omega }M_b/4\pi `$, and $`v_f=v_b`$. Substituting these in the last equations, and using equation (5) for $`M_b`$ and equation (2) for $`v_b`$, gives

$$a_{f0}=\frac{3}{25}\frac{R_b}{t^2}\left(79\frac{\rho _f}{\rho _c}\right).$$
(7)
## 3 RAYLEIGH-TAYLOR INSTABILITY

### 3.1 Planetary Nebulae

In PNs the thermal pressure of the ambient medium can be neglected (before photoionization by the central star starts). The low density bubble interior exerts force on the dense shell. The interface will be RT unstable when the acceleration as written in equations (7) or (8) is positive $`a_{f0}>0`$, namely the acceleration is in the opposite direction to the density gradient. This gives the condition for instability

$$\frac{\rho _f}{\rho _c}<\frac{7}{9}$$
(8)
I examine the outermost region (relative to the center of the nebula) of the bubble, which is the least stable region because of the steeper density gradient. For a medium formed by an asymptotic giant branch (AGB) star losing mass at a constant rate and velocity, the density profile along the radial direction from the nebular center along the bubble’s center is $`\rho (h+R_b)^2`$, where $`h`$ is the distance of the bubble’s center from the central star. This gives at time $`t_0`$ and with the assumptions used the previous section, i.e., the definition of $`\rho _f`$,

$$\frac{\rho _f}{\rho _c}=\left(\frac{h}{h+R_b}\right)^2.$$
(9)
The condition for RT instabilities to develop becomes

$$\frac{R_B}{h}>\left(\frac{9}{7}\right)^{1/2}1=0.13.$$
(10)
The growth time for RT instabilities (the e-folding time) is given by $`\tau _{\mathrm{RT}}=|a_fk|^{1/2}`$, where $`\lambda `$ and $`k=2\pi /\lambda `$ are the wavelength and wavenumber of the mode being considered. Substituting the acceleration $`a_{f0}`$ for the RT unstable case gives

$$\tau _{\mathrm{RT}}=\left(\frac{25}{6\pi }\right)^{1/2}\left(\frac{\lambda }{R_b}\right)^{1/2}\left(79\frac{\rho _f}{\rho _c}\right)^{1/2}t.$$
(11)
For a wavelength that completely disrupts the bubble $`\lambda =2R_b`$, and with the density profile given by equation (10), the growth time becomes shorter than the bubble age, i.e., $`\tau _{\mathrm{RT}}<t`$, when the bubble radius becomes $`R_Bh/2`$. Shorter wavelengths, which will also destruct the front of the bubble, $`0.5R_b\lambda 2R_B`$, will grow faster.

Despite the simplifying assumptions made in deriving the expression for the acceleration of the funnel segment (eqs.7-8), and the growth time of the unstable mode given by equation (12), the condition above seems robust: If the ambient medium in a PN (or a proto-PN) was formed by a progenitor AGB star whose mass loss rate and speed was constant, then bubbles, if formed, become unstable before they grow beyond radii of $`R_b0.20.5h`$. No large and well defined close bubbles are expected in this case. Also, the outer front will expand much faster, and the bubble will lose its more or less spherical structure. With a constant mass loss rate from the AGB progenitor, jets can inflate bubbles (for the conditions on the jets see paper-II), but either they will be small bubbles far from the center or they will have a destructed outer front. To form large and well defined closed bubbles, as in the Owl Nebula (NGC 3587, Guerrero et al. 2003) or VV 171 (Sahai 2000), the mass loss history from the AGB progenitor must be different. Namely, the density should not decline too fast with radius. This implies that the mass loss rate was very high, and then declined slowly, such that the bubble was inflated in a region where the density profile was very shallow as in clusters (see next subsection). Eventually instability will develop; in the Owl Nebula the shell is already fragmented to some degree.

### 3.2 Clusters

SBS study the RT instability of the interface between the bubble interior and the dense shell in clusters, where gravitational acceleration is important. For bubbles inflated about a center which is not the cluster center, the least stable portion of the bubble is its outermost region because the dense shell lies above the low-density interior of the bubble. If, for example, the acceleration due to the interior pressure vanishes, this region in clusters is unstable because of the gravitational field (SBS). The outermost region is also the one most prone to RT instability because of the steeper density profile, as shown in the previous subsection. The condition for RT instability to develop at the outermost region of bubbles in clusters because of gravity alone is given by equation (25) in SBS, which is for the density and gravity of Abell 2052, taken from Blanton et al. (2001). For an energy injection rate of $`\dot{E}=3\times 10^{44}\mathrm{erg}\mathrm{s}^1`$ the instability condition, which is that the gravitational acceleration exceed that of the bubble deceleration, reads

$$R_b+h15\left(\frac{R_b}{10\mathrm{kpc}}\right)^{1.4}\mathrm{kpc},$$
(12)
where, as before, $`h`$ is the distance of the center of the bubble from the center of the cluster. Basically, the outermost region of bubbles in clusters becomes unstable because of gravity alone when the bubble is relatively large. For the above parameters, for example, as long as $`h<20\mathrm{kpc}`$ the bubble becomes unstable only when $`R_b>h`$. SBS find also that after the bubble becomes unstable, the growth time for RT instabilities is comparable to the estimated age of the bubbles. When only gravity is considered, and not density gradients, this implies that in most cases the bubbles will be stable during their inflation phase, while in other cases the bubbles will start to be fragmented, but only in the outer regions. SBS argue that this is in reasonable agreement with the fact that the bubbles in Abell 2052 are fairly complete, except for possible gaps at their outer edges (the north side for the north bubble and the south side for the south bubble).

Because gravity influences instability in clusters only when the bubble is large, I consider the effect of the density gradient on instability in the outermost region of the bubble while neglecting the effect of gravity; condition (9) is applicable. Because the density profile in clusters is much shallower than the one given by equation (10), the bubble must become much larger to become unstable in its outermost region, compared with the condition given in equation (11). By examining the density profiles of two clusters, Abell 2052 (fig. 2 of Blanton et al. 2001), and Hydra A (fig. 3 of David et al. 2001), I find that condition (9) for instability at the outermost segment of the shell is fulfilled under the following conditions. In Hydra A the electron density profile in the range $`10r30\mathrm{kpc}`$ can be approximated by $`n_e=0.06(r/10\mathrm{kpc})^{0.6}\mathrm{cm}^3`$, being much shallower for $`r<10\mathrm{kpc}`$, where $`r`$ is the distance from the cluster center. This implies, from equation (9), that for $`10r20\mathrm{kpc}`$ the outermost front of the bubble becomes unstable when $`R_b0.5h`$. If the center of the bubble is further in, $`h<10\mathrm{kpc}`$, the ratio $`R_b/h`$ has to become larger for instability to start. In Abell 2052 the density profile is influenced a lot by the shells around the two bubbles, so it is hard to tell what was the density before the bubbles were inflated. In any case, in Abell 2052 the density is flat up to $`R20\mathrm{kpc}`$, and then declines as $`r^1`$. The average slope between $`r10\mathrm{kpc}`$ and $`r40\mathrm{kpc}`$ is $`r^{0.6}`$, similar to that in Hydra A. Since in Abell 2052 the bubbles centers are at $`h<20\mathrm{kpc}`$, the bubbles radii must becomes comparable to $`h`$ for the instability to develop.

The conclusion from the above discussion is that the outermost segments of bubbles in clusters of galaxies become unstable, for bubbles inflated close to the center, only when

$$\frac{R_B}{h}1.$$
(13)
This is similar to the condition derived when gravitational acceleration is considered.

## 4 DISCUSSION

The analytical analysis of the previous sections, when combined with results from earlier papers where similar analytical analyses were used (paper-I, paper-II, and SBS), leads to some useful conclusions. As the main aim is to compare the properties of pairs of bubbles in clusters with those in PNs, the approximations used and assumptions made affect in similar ways the results for both classes of objects. Therefore, despite these simplifications the following conclusions regarding the comparison are robust, with the advantage that the analytical approach clarifies the roles of the different processes, e.g., effect of gravity and steep density profiles in clusters.

1. The comparison of the instability criterion in clusters, equation (14), with that for PNs, equation (11), teaches us the following. Bubbles in most PNs are destructed when they are small. Only when the mass loss rate from the progenitor AGB stars decreases for a long enough time period, but still is high and slow, does the ambient medium favor the formation of a stable large bubble. Adding to that the constraint on the jet’s properties derived in paper-II, that the jet be wide-angle or precess, we can understand why fat bubbles in PNs are rare. In clusters, on the other hand, the bubbles become unstable only when they are large, and then they can survive for a relatively long time (SBS). Strong magnetic fields inside bubbles in clusters will stabelize them further (Robinson et al. 2004).
2. The outermost region of the bubbles (the center of the bubble is displaced by $`h`$ from the center of the system) is the most unstable region, because the density gradient is the larger there. The shell segment in that region will be the first to become unstable, and destructed. Eventually it may disappear. However, because this region is along the line of the center of the bubble and the center of the system, any expanding narrow jet that may be blown after the bubble was inflated may also remove that region. A clumpy region and no indication of a jet will hint at instabilities, as in the bubbles of Abell 2052.
3. From equation (8) it turns out that the outermost region of the shell will be accelerated to higher velocities, and the structure will change from a spherical bubble to an elongated one (a lobe). This effect will be more significant in PNs. Elongated lobes in PNs will also be formed by narrow jets (Soker 2002; Lee & Sahai 2003; paper-II). I expect that in most PNs that have elongated lobes, whether closed or open at their outermost region, the lobes are formed by fast narrow jets, rather than from spherical bubbles which expanded along the radial direction. Again, nice spherical (fat) bubbles are rare in PNs.
4. The short-wavelength RT instability modes grow on short time scales. As the bubble’s outermost region becomes unstable, these dense and small blobs are likely to be formed. These dense blobs may continue to move fast even after the the rest of the shell is decelerated as it expands and its density decreases. Such blobs can plow through the shell, and appear as small blobs$``$‘bullets’$``$ahead of the main shell in the outer, i.e., radial, direction. This process is more likely to occur in PNs, where the bubbles become unstable when they are small and expand fast. Theses dense blobs may be the ballistic ‘bullets’ which were suggested as the source of the strings in the bipolar nebula, i.e., made of two lobes, of the massive star $`\eta `$ Carinae (Redman, Meaburn, & Holloway 2002). The strings in $`\eta `$ Carinae are radial, straight, narrow and long optical filaments emerging from the inner nebula$``$the Homunculus (Weis, Duschl, & Chu 1999). Redman et al. (2002) suggest that the strings are the decelerating flow of ablated gas from these bullets. Here I propose the RT instability during the very early inflation phase of the two lobes of the Homunculus as the source of these bullets.
5. Heat may be conducted from the hot bubble interior to the cooler surrounding medium. In the past this process was studied in more detail for PNs (Soker 1994; Zhekov & Myasnikov 2000; Soker & Kastner 2003). This process, among other things, was claimed to be able to heat somewhat the cooler ($`10^4\mathrm{K}`$) environment in PNs. The heating will not be isotropic because it is regulated by magnetic fields (Soker 1994; Zhekov & Myasnikov 2000). The magnetic field lines should connect the hot interior with the cooler surrounding, or else they inhibit efficient heat conduction. The RT instability may mix the two media, causing the magnetic fields in the two media to reconnect, thereby allowing efficient heat conduction. This in itself may contribute to the destruction of the dense and somewhat cooler shell around the bubble.

This research was supported in part by the Israel Science Foundation.