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# Flavor and Little Higgs

## I Introduction

This is second talk on little Higgs in the conference program. We will take advantage of the first talk from T.Hanhan , in which the little Higgs idea has been reviewed. Instead of repeating what has been said there, we would rather focus on our main concern — the construction of an anomaly free fermionic spectrum as a necessary completion of a little Higgs model and the proper starting point to think about flavor physics under the model. To set a clear perspective, however, we supplement a brief comment of the apparent difference between the main physics of the first talk and that to be addressed here.

The simplest way to look at the question is to say that we are talking about different (kinds of) little Higgs models, namely, we focus on models from Kaplan and SchmaltzKS  with $`SU(N)_L\times U(1)_X`$ ($`N=3`$ and 4) extended electroweak (gauge) symmetries. For instance, for the $`N=3`$ case, we have actually a scalar (Higgs) sector of a $`[SU(3)]^2/[SU(2)]^2`$ nonlinear sigma model, as versus that of the $`SU(5)/SO(5)`$, modelltH  on which the first talk is mainly based. In our opinion, the models discussed here actually have structures that are more carefully worked out, especially after our effort on which the current talk is mainly based009 ; 010 . However, we certainly believe that the issues addressed here have relevance for generic little Higgs model building as well as little Higgs flavor physics. Such issues have not been well addressed by earlier authors on the subject, who might be focusing more on establishing and illustrating the little Higgs mechanism rather than furnishing complete particle physics models. For example, the full fermionic content of all the multiplets under the global as well as extended gauge symmetries of the $`SU(5)/SO(5)`$ model has not been presented. To elaborate more, only one extra fermion, the heavy top quark $`T`$ needed to cancel the quadratic divergence (of the contribution to Higgs mass) from the SM $`t`$ quark at 1-loop is discussed. It is taken to be vectorlike under the SM gauge symmetry. But there should be a lot more to the story. The $`T`$ quark, or rather its chiral components, has to join the SM chiral components to form multiplet(s) under the extended symmetries. There would then be other extra fermions from the full multiplet(s). It is also very unlikely there one can arrange the little Higgs mechanism with the $`T`$ quark, as well as all the other extra fermions, vectorlike under the full gauge symmetry of the model. Neither is that exactly a desirable feature. If the extra states are fully vectorlike, instead of forming vectorlike pairs only after the gauge symmetry is broken to that of the SM, there is no reason for such states, including the $`T`$, to have masses below the 10-50 TeV cutoff scale. For the kind of models we discussed here below, we will spell out the complete multiplets necessary to house all the fermions — SM ones plus $`T`$ as a minimal list. For each particular model, the list is chiral to begin with while yielding the SM chiral list plus vectorlike states including the $`T`$ as SM gauge symmetry becomes the only surviving gauge symmetry. The latter is exactly what is required to be a consistent extended symmetry model embedding the SM. Furthermore, we will see that such a list is essentially dictated by the particular realization of the little Higgs mechanism and the condition that chiral fermionic spectrum be gauge anomaly free. The gauge anomaly cancellation conditions constitute what we believe to be the best understanding we have on the question of why there is what there is. And, in our opinion, it is apparently much under-appreciated by many physicists.

Han and collaborators has performed some interesting phenomenological studies of the $`SU(5)/SO(5)`$ little Higgs modelhan . Most parts of those results are valid, as they are independent of the complete fermionic spectrum, i.e. when one assumes that such a consistent spectrum can be obtained, and any extra fermion to be included has a mass very close to the cutoff and/or has no significant coupling to the SM spectrum. However, looking at the little Higgs models from a model-building point of view, one should wonder if we can do a more complete job. On the other hand, if our concern is flavor physics, the detailed representation assignment of the SM fermions themselves under the extended symmetries would have strong implications on the flavor structure of a model. Hence, it becomes an unavoidable subject. Not to say that the extra fermions may also play some role. What we are doing here is only a small starting step in the direction — a direction that certainly deserves more attention if we want to consider any little Higgs model as a realistic particle physics model though.

## II The $`𝑺𝑼\mathbf{(}\mathrm{𝟑}\mathbf{)}_𝑳\mathbf{\times }𝑼\mathbf{(}\mathrm{𝟏}\mathbf{)}_𝑿`$ little Higgs model

Let us first give a summary of the particular realization of little Higgs mechanism our discussion explicitly based on, the model(s) from Kaplan and SchmaltzKS . The latter paper, as well as Ref.S , presents a simple group theoretical approach to little Higgs model building, which might look more transparent and easier to follow for beginners. The construction focuses only on the TeV scale effective field theory, independent of its strong couplings parent theory or so-called UV-completion. It is the same bottom-up model building perspective that we adopted here, only pushing it all the way to the end. We are looking into the structure of the little Higgs model as a complete particle physics model — effective field theory, living between the electroweak scale and the scale of the yet unknown UV-completion. We ask for a consistent and comprehensive description of its physics content. The phenomenological viability of the model may then be carefully studied and tested experimentally.

Kaplan and Schmaltz considered a scalar sector with two (anti)triplets $`\mathrm{\Phi }_1`$ and $`\mathrm{\Phi }_2`$ each taken as carrying its own $`SU(3)`$ symmetry. The two (anti)triplets are assigned VEVs aligned within a combination of the two $`SU(3)`$’s that is gauged together with an extra $`U(1)_X`$. The two sets of five Goldstone states from the two $`SU(3)SU(2)`$ symmetry-breakings then consists of an unphysical set to be eaten by the extra “electroweak” gauge bosons in the $`SU(3)_L\times U(1)_X`$ beyond their SM electroweak cousins. The orthogonal set contains pseudo-Nambu-Goldstone bosons (PNGBs) under the remaining part of the symmetries which are global and really (can be) only approximate in the full Lagrangian. The PNGBs include the SM Higgs doublet and an extra singlet scalar. Explicitly, there is the following nonlinear sigma model description :

$$\mathrm{\Phi }_1=e^{i\theta /f}\left(\begin{array}{ccc}0& 0& f\end{array}\right)\mathrm{\Phi }_2=e^{i\theta /f}\left(\begin{array}{ccc}0& 0& f\end{array}\right),$$
(1)
$$\theta =\frac{1}{\sqrt{2}}\left(\begin{array}{cc}\begin{array}{cc}0\hfill & 0\hfill \\ 0\hfill & 0\hfill \end{array}& h^{}\\ h& 0\end{array}\right)+\frac{\eta }{4}\left(\begin{array}{ccc}\hfill 1& \hfill 0& \hfill 0\\ \hfill 0& \hfill 1& \hfill 0\\ \hfill 0& \hfill 0& \hfill 2\end{array}\right).$$
(2)
To take care of the top sector contribution to Higgs mass correction at 1-loop, the extra $`T`$ quark is introduced with a chiral component living inside a triplet of the extended electroweak gauge symmetry. This is exactly the triplet that contains the $`(t,b)`$ SM doublet, hence linking $`T`$ to $`t`$. We have Yukawa terms involving the two top-like quarks given as

$`_{top}`$ $`=`$ $`y_1\overline{t}_a^{}\mathrm{\Phi }_1Q^a+y_2\overline{T}_a^{}\mathrm{\Phi }_2Q^a`$ (5)
$`=`$ $`f(y_1\overline{t}^{}+y_2\overline{T}^{})T+{\displaystyle \frac{i}{\sqrt{2}}}(y_1\overline{t}^{}y_2\overline{T}^{})h\left(\begin{array}{c}t\\ b\end{array}\right)+\mathrm{},`$
where $`Q^a=(T^a,t^a,b^a)^T`$, and $`\overline{t}_a^{}`$, and $`\overline{T}_a^{}`$ denote colored singlet states. For details on the functioning of the little Higgs mechanism, we refer readers to the original paperKS . From our discussion at the beginning, we are led to the question of how to complete the group theoretical description of the full fermion spectrum. All SM doublets would have to come from nontrivial representations of the $`SU(3)_L`$. The first point to note here is that simply repeating the structure here with quarks for the lighter two families does not work. The simple embedding produces $`SU(3)_L`$ gauge anomaly rendering the model inconsistent. Nor is such an embedding desirable, as we will show below.

## III Gauge anomaly Vs Flavor structure — a detour

To set a good reference background for the problem at hand, we take a detour here to re-examine the SM spectrum and the questions of flavor structure. The spectrum of SM fermion in one family is like perfection, essentially dictated by gauge anomaly cancellation conditions. And there is the million-dollar question, or fundamental question of flavor physics — Why three families ? To illustrate the point of view, we recall our earlier argumentunc67 . Assuming that there exist a minimal multiplet carrying nontrivial quantum numbers of each of the component gauge groups, one can obtain the one-family SM spectrum as the unique solution by asking for the minimal consistent set of chiral states. A vectorlike set is trivial but not as interesting. Only chiral states are protected from heavy gauge invariant masses.

The above suggested derivation of the one-family SM spectrum goes as follow. We are essentially starting with a quark doublet, with arbitrary hypercharge normalization. The two $`SU(3)_C`$ triplets require two antitriplets to cancel the anomaly. Insisting on the chiral spectrum means taking two quark singlets here, with hypercharges still to be specified. Now, $`SU(2)_L`$ is real, but has a global anomaly. Cancellation requires an even number of doublet, so at least one more beyond the three colored components in the quark doublet. There are still four anomaly cancellation conditions to take care of. They are the $`[SU(3)_C]^2U(1)_Y`$, $`[SU(2)_L]^2U(1)_Y`$, $`[grav]^2U(1)_Y`$, and $`[U(1)_Y]^3`$. We are however left with three relative hypercharges to fit the four equations actually without a possible solution. A rescue comes from simply adding a $`U(1)_Y`$-charged singlet. But the four equation for four unknown setting is misleading. The $`[U(1)_Y]^3`$ anomaly cancellation equation is cubic in all the charges, with no rational solution guaranteed. The SM solution may actually be considered a beautiful surprise.

We would also like to take the opportunity here to briefly sketch the next step taken in Ref.unc67 , to further illustrate our perspective. The results there also may be considered a worthy comparison with our little Higgs motivated flavor/family spectrum presented below, from the point of view of the origin of the three families. The major goal of Ref.unc67  is to use a similar structure with an extended symmetry to obtain the three families. For example, one can start with some $`SU(4)\times SU(3)\times SU(2)\times U(1)`$ gauge symmetry and try to obtain the minimal chiral spectrum contain a $`(4,3,2)`$ multiplet — the simplest one with nontrivial quantum number under all component groups. Having a consistent solution is not enough though. In order for the spectrum be of interest, we ask the spectrum to yield the chiral spectrum of three SM families plus a set of vectorlike states under a feasible spontaneous symmetry breaking scenario, i.e. when the gauge symmetry is broken to that of the SM. Ref.unc67  has only partial success. A consistent group theoretical SM embedding could be obtained with a slight addition to the minimal chiral spectrum obtained from anomaly cancellation considerations alone. We give an example in Table I.

To conclude the section, we emphasize that anomaly cancellation conditions play a role of paramount importance in constraining the fermionic spectrum. Having a complete model with an extended gauge symmetry above the electroweak scale successfully, even though only group theoretically speaking, embedding the SM states is not at all trivial. Types of consistent models of the kind in the literature are quite limited. However, such exercises might, and have been, used as a way to probe the most fundamental question of flavor physics — why 3 families? We return to the little Higgs model(s) below, to get exactly such a job finished. We will then see how the requirement for an anomaly free chiral fermion spectrum dictates a specific flavor structure to a particular model. Readers are invited to consider if the model, or its fermion spectrum, obtained is as esthetically appealing as the (one-family) SM or the models obtained in Ref.unc67 . We do believe that such esthetic concerns may have some relevance in fundamental physics. After all, it cannot be emphasized enough that the anomaly cancellation requirement is the best, and might be only, theoretical tool we have up to the moment to address the question of why there is what there is in terms of the fermionic sector.

Table I. A $`SU\left(4\right)_ASU\left(3\right)_CSU\left(2\right)_LU\left(1\right)_X`$ anomaly free chiral fermion spectrum with three SM families.
multiplets $`X`$ Gauge anomalies $`U\left(1\right)_Y`$ states    $`U\left(1\right)`$-grav. $`\left[SU\left(4\right)\right]^2U\left(1\right)`$ $`\left[SU\left(3\right)\right]^2U\left(1\right)`$ $`\left[SU\left(2\right)\right]^2U\left(1\right)`$ $`\left[U\left(1\right)\right]^3`$    $`(\mathrm{𝟒},\mathrm{𝟑},\mathrm{𝟐})`$ 1 24 6 8 12 24 1($`Q`$) -5($`Q^{^{}}`$)  $`(\overline{\mathrm{𝟒}},\overline{\mathrm{𝟑}},\mathrm{𝟏})`$ 5 60 15 20  1500 -4($`\overline{u}`$) 2($`\overline{d}`$)  $`(\overline{\mathrm{𝟒}},\mathrm{𝟏},\mathrm{𝟐})`$ 3 24 6  12 216 -3($`L`$) 3($`\overline{L}`$)  $`(\overline{\mathrm{𝟒}},\mathrm{𝟏},\mathrm{𝟏})`$ 9 36 9   2916 -6($`\overline{E}`$) 0($`N`$)  $`(\mathrm{𝟔},\mathrm{𝟏},\mathrm{𝟏})`$ -18 -108 -36   -34992 6($`E`$) 12($`S`$)  $`(\mathrm{𝟏},\overline{\mathrm{𝟑}},\mathrm{𝟐})`$ -10 -60  -20 -30 -6000 5($`\overline{Q}^{^{}}`$)  $`(\mathrm{𝟏},\overline{\mathrm{𝟑}},\mathrm{𝟏})`$ -4 -12  -4  -192 2($`\overline{d}`$)  $`(\mathrm{𝟏},\overline{\mathrm{𝟑}},\mathrm{𝟏})`$ -4 -12  -4  -192 2($`\overline{d}`$)  $`(\mathrm{𝟏},\mathrm{𝟏},\mathrm{𝟐})`$ 6 12   6 432 -3($`L`$)  $`3(\mathrm{𝟏},\mathrm{𝟏},\mathrm{𝟏})`$ 24 72    41472 -12($`\overline{S}`$)  $`3(\mathrm{𝟏},\mathrm{𝟏},\mathrm{𝟏})`$ -12 -36    -5184 6($`E`$)  Total 0 0 0 0 0

## IV Anomaly free $`𝑺𝑼\mathbf{(}𝑵\mathbf{)}_𝑳\mathbf{\times }𝑼\mathbf{(}\mathrm{𝟏}\mathbf{)}_𝑿`$ spectra

In our recent papers009 ; 010 , we have illustrated that an anomaly free fermionic spectrum with consistent embedding of the three family SM fermions can be obtained. In fact, we have given a recipe for an infinite number of similar fermionic spectra of with an $`SU(N)_L\times U(1)_X`$ extended electroweak symmetry for any $`N>2`$. The basic feature of such a spectrum is to have $`t`$-$`b`$ quark SM doublet embedded into a fundamental representation of $`SU(N)_L`$ while the lighter two quark doublets embedded into anti-fundamental, as inspired by Ref.PF . It exploits the fact that

$$N_c=N_f;$$

namely, the number of SM families (of fermions) $`N_f`$ happens to coincide with the number of colors. Indeed such a spectrum may be considered rather as the reason behind the number of SM family. We emphasize, again, that the need for gauge anomaly cancellation, for the SM or otherwise, is the best we have in addressing the question if why there is what there is — a perspective we try to illustrate in the last section. The $`1+2`$ quark family embedding has net $`SU(N)_L`$ anomaly to be canceled exactly by embedding the three leptonic doublets into fundamentals. The simplest way to complete the spectrum with consistent SM embedding is to put anything else in singlets, with just enough of them to produce vector-like pairs for all single fermion states at the QED and QCD level. Neutrinos may be sort of exceptions to the last statement. Carrying no conserved gauge quantum number, they can be considered self-conjugate. When checking the other gauge anomalies of such a spectrum, it looks like a miracle upon a first glance. There are prefect cancellations for all, as illustrated by the $`N=3`$ example given in Table II. Two other example spectra given in Table III below, in which we skip the explicit presentation of the gauge anomalies. Readers can easily checked that the cancellations do work. In fact, a careful checking of the algebra010  would show that the recipe as outlined here always works for any $`N`$. Looking at the possible ways of obtaining the hypercharge $`U(1)`$ out of the $`N1`$ $`U(1)`$s inside the $`SU(N)_L`$ and the still extra $`U(1)`$ of $`U(1)_X`$, one will see that there is exactly a $`N2`$ parameter degree of freedom and choosing such a model spectrum. That can be taken as the freedom for choosing the electric charges of the $`N2`$ extra quark states within the same $`SU(N)_L`$ multiplet as the $`t`$-$`b`$ doublet.

Table II : The $`SU(3)_C\times SU(3)_L\times U(1)_X`$ spectrum with little Higgs. Electroweak doublets are put in \[.\]’s.
fermion multiplets Gauge anomalies $`U(1)_Y`$ states   $`U(1)`$-grav. $`[SU(3)_L]^3`$ $`[SU(3)_L]^2U(1)`$ $`[SU(3)_C]^2U(1)`$ $`[U(1)]^3`$    $`(\mathrm{𝟑}_𝐂,\mathrm{𝟑}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟑}})`$ $`\frac{1}{3}\times 9\times 1`$ $`3\times 1`$ $`\frac{1}{3}\times 3\times 1`$ $`\frac{1}{3}\times 3\times 1`$ $`\frac{1}{27}\times 9\times 1`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟔}}`$\[$`Q`$\] $`\frac{\mathrm{𝟐}}{\mathrm{𝟑}}`$($`T`$)  $`(\mathrm{𝟑}_𝐂,\overline{\mathrm{𝟑}}_𝐋,\mathrm{𝟎})`$ 0 $`3\times 2`$ $`0`$ 0 0 $`\frac{\mathrm{𝟏}}{\mathrm{𝟔}}`$\[$`Q`$\] $`\frac{\mathrm{𝟏}}{\mathrm{𝟑}}`$($`D,S`$)  $`3(𝐥_𝐂,\mathrm{𝟑}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟑}})`$ $`\frac{1}{3}\times 3\times 3`$ $`1\times 3`$ $`\frac{1}{3}\times 3`$  $`\frac{1}{27}\times 3\times 3`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟐}}`$\[$`L`$\] 0($`N`$)  $`4(\overline{\mathrm{𝟑}}_𝐂,\mathrm{𝟏}_𝐋,\frac{\mathrm{𝟐}}{\mathrm{𝟑}})`$ $`\frac{2}{3}\times 3\times 4`$   $`\frac{2}{3}\times 4`$ $`\frac{8}{27}\times 3\times 4`$ $`\frac{\mathrm{𝟐}}{\mathrm{𝟑}}`$ ($`\overline{u},\overline{c},\overline{t},\overline{T}`$)  $`5(\overline{\mathrm{𝟑}}_𝐂,\mathrm{𝟏}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟑}})`$ $`\frac{1}{3}\times 3\times 5`$   $`\frac{1}{3}\times 5`$ $`\frac{1}{27}\times 3\times 5`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟑}}`$ ($`\overline{d},\overline{s},\overline{b},\overline{D},\overline{S}`$)  $`3(\mathrm{𝟏}_𝐂,\mathrm{𝟏}_𝐋,\mathrm{𝟏})`$ $`1\times 3`$    $`1\times 3`$ $`\mathrm{𝟏}`$ ($`e^+,\mu ^+,\tau ^+`$)  Total 0 0 0 0 0

We have summarized in the last paragraph the possible anomaly free fermionic spectra with $`SU(N)_L\times U(1)_X`$ extended electroweak gauge symmetries. We would certainly love to arrive at a conclusion of only one or two of such spectra are possible, instead of having infinitely many candidates at hand. However, not all of such spectra would be relevant to little Higgs, which is the major motivation of our study here. The first obvious criterion for such a fermionic spectrum to fit into a little Higgs model is the existence of the $`T`$ quark — a heavy top quark that couples to the SM Higgs in such a way as to allow the cancellation of quadratic divergence. Following what is illustrated in Ref.KS  \[cf. Eq.(5)\], we simply ask for a $`T`$ quark within the $`Q^a`$ multiplet — the $`SU(N)_L`$ multiplet containing the $`t`$-$`b`$ doublet. (Note also that in the Tables, $`Q`$ stands for a SM quark doublet instead.) For the case of $`N=3`$, that fix the spectrum as given in Table II as the only option.

Naively, one would prefer to stay with a smaller $`N`$. The unique $`N=3`$ case fitted with the Higgs sector structure introduced in Ref.KS , however, has some problem with getting the Higgs quartic coupling, as noted by the authors. Interesting enough, another group published a different little Higgs model with again the $`SU(3)_L\times U(1)_X`$ extended electroweak symmetryST . In the latter case, the gauge symmetry is embedded into a global $`SU(9)`$. It certainly looks like the fermionic spectrum could play a role in the $`SU(9)`$ model too, though we are not really ready to comment of that here.

## V  $`𝑺𝑼\mathbf{(}\mathrm{𝟑}\mathbf{)}_𝑪\mathbf{\times }𝑺𝑼\mathbf{(}\mathrm{𝟒}\mathbf{)}_𝑳\mathbf{\times }𝑼\mathbf{(}\mathrm{𝟏}\mathbf{)}_𝑿`$ models

To surmount the quartic coupling barrier of the $`N=3`$ case, Ref.KS  turns to the construction of a $`N=4`$, with simply two $`T`$ quark instead of one. Our analysis of the fermionic sector suggests the first spectrum given in Table III works as a completion of the model. Another interesting question that arises is on the exact identity of the fourth quark in the multiplet of $`t`$-$`b`$ and the single $`T`$ always required. While we have not investigated all options in any detail, we believe the second spectrum given in Table III would be a feasible and interesting alternative, with a heavy bottom $`B`$ quark instead of a second $`T`$. At the electroweak level, the type of $`N=4`$ little Higgs model has two SM Higgs doublet. The modified Higgs sector we introduced in Ref.010  to accompany the second $`N=4`$ fermionic spectrum looks more like a two Higgs doublet model with natural flavor conservation and a naturally large $`\mathrm{tan}\beta `$. The latter are phenomenologically desirable2hdm .

Table III : Fermion spectra for two $`SU(3)_C\times SU(4)_L\times U(1)_X`$ little Higgs models.
First model spectrum Second model spectrum   $`U(1)_Y`$-states  $`U(1)_Y`$-states  $`(\mathrm{𝟑}_𝐂,\mathrm{𝟒}_𝐋,\frac{\mathrm{𝟓}}{\mathrm{𝟏𝟐}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟔}}`$\[$`Q`$\] $`\frac{\mathrm{𝟐}}{\mathrm{𝟑}}`$($`T,T^{}`$)  $`(\mathrm{𝟑}_𝐂,\mathrm{𝟒}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟔}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟔}}`$\[$`Q`$\] $`\frac{\mathrm{𝟐}}{\mathrm{𝟑}}`$($`T`$) $`\frac{\mathrm{𝟏}}{\mathrm{𝟑}}`$($`B`$)  $`(\mathrm{𝟑}_𝐂,\overline{\mathrm{𝟒}}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟏𝟐}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟔}}`$\[2 $`Q`$\] $`\frac{\mathrm{𝟏}}{\mathrm{𝟑}}`$($`D,D^{},S,S^{}`$)  $`(\mathrm{𝟑}_𝐂,\overline{\mathrm{𝟒}}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟔}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟔}}`$\[2 $`Q`$\] $`\frac{\mathrm{𝟏}}{\mathrm{𝟑}}`$($`D,S`$) $`\frac{\mathrm{𝟐}}{\mathrm{𝟑}}`$($`U,C`$)  $`3(𝐥_𝐂,\mathrm{𝟒}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟒}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟐}}`$\[3 $`L`$\] 0(6 $`N`$)  $`3(𝐥_𝐂,\mathrm{𝟒}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟐}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟐}}`$\[3 $`L`$\] 0(3 $`N`$) -1(3 $`E^{}`$)  $`5(\overline{\mathrm{𝟑}}_𝐂,\mathrm{𝟏}_𝐋,\frac{\mathrm{𝟐}}{\mathrm{𝟑}})`$ $`\frac{\mathrm{𝟐}}{\mathrm{𝟑}}`$ ($`\overline{u},\overline{c},\overline{t},\overline{T},\overline{T^{}}`$)  $`6(\overline{\mathrm{𝟑}}_𝐂,\mathrm{𝟏}_𝐋,\frac{\mathrm{𝟐}}{\mathrm{𝟑}})`$ $`\frac{\mathrm{𝟐}}{\mathrm{𝟑}}`$ ($`\overline{u},\overline{c},\overline{t},\overline{U},\overline{C},\overline{T}`$)  $`7(\overline{\mathrm{𝟑}}_𝐂,\mathrm{𝟏}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟑}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟑}}`$ ($`\overline{d},\overline{s},\overline{b},\overline{D},\overline{D^{}},\overline{S},\overline{S^{}}`$)  $`6(\overline{\mathrm{𝟑}}_𝐂,\mathrm{𝟏}_𝐋,\frac{\mathrm{𝟏}}{\mathrm{𝟑}})`$ $`\frac{\mathrm{𝟏}}{\mathrm{𝟑}}`$ ($`\overline{d},\overline{s},\overline{b},\overline{D},\overline{S},\overline{B}`$)  $`3(\mathrm{𝟏}_𝐂,\mathrm{𝟏}_𝐋,\mathrm{𝟏})`$ $`\mathrm{𝟏}`$ ($`e^+,\mu ^+,\tau ^+`$)  $`3(\mathrm{𝟏}_𝐂,\mathrm{𝟏}_𝐋,\mathrm{𝟏})`$ $`\mathrm{𝟏}`$ ($`e^+,\mu ^+,\tau ^+`$) 1(3 $`E^+`$)

## VI Little Higgs Vs Supersymmetry

From the pure theoretical side, such models seem to hold great promise. Like supersymmetry (SUSY), we have consistent complete model(s) of TeV scale physics successful handling the notorious hierarchy problem. While the question of family triplication of SM fermions is not at all touch by supersymmetrizing the SM, the bosonic symmetry scheme of little Higgs adds fermions instead of sfermions, complicating the issues of gauge anomaly cancellation. We see here that solving the latter problem sheds some light on the number of family problem, at least for the class of little Higgs models we focus on here. A similar construction of anomaly free spectra does not work for the number of family being not three (as the number of color). While the supersymmetric SM is quite unique, there are already many little Higgs models on the market. Some models may not share much common structure with the ones discussed here, though the basic anomaly cancellation concern is always relevant. SUSY adds to the phenomenological flavor problems. Flavor changing neutral current (FCNC) constraints impose stringent conditions on the soft SUSY breaking parameters. FCNC constraints are certainly no less demanding on little Higgs models. Precision electroweak constraints are generally more difficult for the latterhan . However, it is only with completed models as those exhibited here that one can launch a careful study of such constraints and hence the phenomenological viability of the models concerned. The minimal SUSY model keeps the SM neutrinos massless. Incorporating R-parity violation is arguably natural, at the expense of introducing many, many new couplings0045 . Our little Higgs fermionic spectra above all contain extra (singlet) neutrino states and hence the possibility of fixing the experimentally required neutrino properties at the TeV scale too.

## VII Some Implications to flavor physics

First of all, the full quantum numbers characterizing a fermion multiplet will dictate what couplings it can have within the model. The gauge quantum numbers dictate the admissible gauge invariant couplings in the model Lagrangian. The latter is of course the very starting point to look into the phenomenology of the fermionic states involved, including those of the SM. The only other important issue here is the quantum numbers under the global symmetries. However, as the latter are only approximate symmetries and have no constraints like anomaly cancellations, there are more ambiguities and rooms to play around with. Let us illustrate some possible features with the models discussed.

Let us first restrict ourselves to the $`SU(3)_L\times U(1)_X`$ model originally introduced in Ref.KS . We have the full list of fermion gauge quantum numbers as given in Table II. Next, we have scalar multiplets with gauge and global quantum numbers fixed by the requirement of the little Higgs mechanism itself \[cf. discussion on Eq.(5)\]. The minimal, and certainly safe, strategy is to consider no other scalar multiplets. Gauge quantum numbers alone say that only the following direct Yukawa couplings are admissible :

$$1_L\mathrm{\Phi }_i\mathrm{\hspace{0.17em}3}_L\text{and}1_L\mathrm{\Phi }_i^{}\overline{3}_L.$$

Only the $`t`$ and $`T`$ quarks come from representations of the right $`X`$-charges to have a coupling of the first from; while for the second, only the $`d`$ and $`s`$ quarks fit in. At the next level, we have

$$1_L\mathrm{\Phi }_i^{}\mathrm{\Phi }_j^{}\mathrm{\hspace{0.17em}3}_L\text{and}1_L\mathrm{\Phi }_i\mathrm{\Phi }_j\overline{3}_L.$$

The first admits $`b`$ and $`B`$ Yukawas, as well as those for the charged leptons; the second admits those for $`u`$ and $`c`$. The global symmetry requirement for the ‘top’ Yukawa naturally admits the above ‘bottom’ Yukawa, the higher dimensionality of which might be a source of the smaller numerical coupling of the latter case. The $`\overline{3}_L`$s containing the $`d`$ and $`s`$ quark would have to bare extra global quantum number constraints to push for high dimensional Yukawa couplings. Such coupling suppressions have effects also on the extra $`D`$ and $`S`$ quarks, which are likely to have strong implications to $`b`$ physics then.

Finally, we comment on the $`SU(4)_L\times U(1)_X`$ model with the second spectrum given in Table III. The model doubles the list of SM fermions, in much the same way as SUSY double the particle spectrum (with different spin though). The modified little Higgs part has two pairs of aligned-VEV $`\mathrm{\Phi }`$’s with different $`X`$-charges to couple to the top and bottom sector separately. The quadratic divergence cancellation then works for the $`t`$-$`T`$ pair as well as for the $`b`$-$`B`$ pair in similar fashion. Large bottom Yukawa is naturally admitted. Without further global symmetry constraints, the ’top-Higgs’ couples directly to $`d`$\- and $`s`$-sectors while ’bottom-Higgs’ to $`u`$-and $`c`$-sectors. Flavor physics would be very different from that of the $`SU(3)_L`$ model above or that of the other $`SU(4)_L`$ model also given in Table III. The latter is expected to be quite similar to the $`SU(3)_L`$ case. More detailed analysis of such models have to start with feasible complete global quantum number assignment to all multiplets.

The bottom line here is that sensible discussion of flavor physics of a little Higgs model is not possible before the full fermion spectrum is spelt out. The latter is constrained by gauge anomaly cancellation. We exhibit some completed models here on which detailed flavor physics still have to be studied. Building models of the kind, and studying their phenomenology in details should be a worthy endeavor.

Our work is partially supported by the National Science Council of Taiwan, under grant number NSC 91-2112-M-008-044.


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# In-situ epitaxial growth of superconducting La-based bilayer cuprate thin films

Also at \]Department of Physics, Tokyo Universtiy of Science, Kagurazaka, Tokyo 162-8601, JAPAN

Also at \]Department of Physics, Tokyo Universtiy of Science, Kagurazaka, Tokyo 162-8601, JAPAN

## Abstract

We investigate the epitaxial growth of bilayer cuprate La2CaCu2O6+δ using pure ozone as an oxidant, and find that even the crystal with parent composition without cation substitution can show metallic behavior with the aid of epitaxial strain effect. The hole concentration is controlled simply by excess-oxygen doping, and the films grown under the optimum conditions exhibit superconductivity below 30 K. This is the first result on the superconductivity of bilayer La2CaCu2O6+δ induced purely by the excess oxygen.

Epitaxial growth technique is quite useful for the study of high-$`T_c`$ superconductors, because one can easily modify lattice parameters by choosing an appropriate substrate. In particular, La2-xSrxCuO4 (LSCO) thin films can have higher $`T_c`$ than bulk crystals by adding in-plane compressive strain. Sato1 ; Locquet1  On the contrary to such a monolayer cuprate as LSCO, few results have been reported on the role of epitaxial strain in bilayer cuprates YBa2Cu3O7 (YBCO) or Bi2Sr2CaCu2O8 (BSCCO) so far, probably because no remarkable improvement of superconducting properties has been found in these compounds; Cu-O chain layers in YBCO or cleavable Bi-O layers in BSCCO may relax rapidly the lattice mismatch from the substrate in the initial growth stage. However, since bilayer cuprates show in general higher $`T_c`$ than monolayer ones, it would be fascinating if a remarkable $`T_c`$ enhancement is induced by the epitaxial strain. La2-x(Sr,Ca)1+xCu2O6+δ (La2126) is a good bilayer compound for the study of epitaxial growth, because this compound has a simpler crystal structure than YBCO and BSCCO. A few results on thin-film growth of La2126 on SrTiO3 (100) have been reported, Nakamura1 ; Verbist1  but unfortunately superconducting films have never been obtained. As is widely known, La2126-type structure can be rather easily obtained by a conventional solid-state reaction method, Torrance1 ; Tamegai1  although post annealing under the high-pressure oxygen of 10$``$400 atm is indispensable to induce superconductivity. Cava1 ; Kinoshita1  The results of Refs. 3 and 4 imply that their oxidation techniques were not efficient enough to oxidize the films as high-pressure oxygen does. Thus, one needs to develop a special technique to oxidize samples. One of the good candidates for oxidizing gas is pure ozone, because its handling techniques have been well established for more than a decade, Berkley1 ; Nakayama1  and have recently been applied to synthesize new superconductors such as Ba2CuO4-δ and Sr2CuO4-δ. Yamamoto1 ; Karimoto1  It has been reported that chemical activity of ozone is higher than that of molecular oxygen at GPa pressure, Suzuki1  although the life time of ozone at high temperatures is quite short (e.g., $``$100 s at 200C, and $``$10-3 s at 500C). Horvath1  In this paper we report a successful growth of superconducting La2126 thin films using pure ozone. In order to see the sole effect of oxidation by ozone, we concentrate on the parent composition, La2CaCu2O6 (LCCO), in this report. A more-detailed account of the results for Sr and Ca substituted compounds will be described elsewhere.

All the films were prepared by pulsed laser deposition (PLD). A non-superconducting polycrystalline target with the nominal composition of La:Ca:Cu = 2:1:2 was prepared by a conventional solid-state reaction method. The target was ablated by KrF excimer laser ($`\lambda `$ = 248 nm) under pure ozone. It should be noted that we can access higher gas-pressure regime in a PLD chamber than in a conventional molecular-beam epitaxy (MBE) chamber. The ozone pressure for the present experiment was set to 15 mPa, which is higher by one order of magnitude than the typical pressure in MBE experiments. To control the oxygen contents, we change the temperature at which ozone is turned off ($`T_{O_3}`$) during the cooling-down process. The substrate temperature during the growth is kept at 800C for all the films shown in this paper. The resistivity and Hall coefficient measurements are done for samples mechanically patterned in a six-terminal shape in order not to add any heat-treatment process that might change the oxygen contents of the sample.

First, we tried to determine what substrate is suitable for LCCO thin films. Figure 1(a) shows the x-ray (Cu$`K_\alpha `$) diffraction of LCCO films grown on LaAlO3 (100), LAO  (LaAlO3)0.3(SrAl0.5Ta0.5O3)0.7 (100), and SrTiO3 (100). (We will call them LAO, LSAT, and STO, respectively.) These films are fully oxidized with $`T_{O_3}`$ = 65C. The films grown on LAO and LSAT show highly $`c`$-axis oriented structure of La2126 phase. Both films are free from an impurity phase like (La,Ca)2CuO4; the 002 peak of (La,Ca)2CuO4 are expected to show up at 13.5$`<`$2$`\theta <`$14, Sato1  which is completely absent in the films grown on LSAT and LAO. In contrast, the film grown on STO shows weaker diffraction intensities and includes (La,Ca)2CuO4 as an impurity phase (indicated by $``$), which indicates that the lattice misfit is too large in this case, and the thermodynamically stable (La,Ca)2CuO4 may show up. Thus, the STO substrate, which was used in the previous experiments, Nakamura1 ; Verbist1  is considered to be inappropriate for the growth of LCCO thin films. The $`c`$-axis length of the film on LAO is estimated to be $``$ 19.65Å, which is longer than that of the film on LSAT (19.62Å). These results can be explained as the result of lattice mismatch: the misfit of LCCO is positive to LAO ($``$ 1.20%) and negative to LSAT ($``$ -0.89%). In this situation, it is expected that the LCCO film feels a compressive strain on LAO, while it feels a tensile one on LSAT; consequently, the film on LAO has longer $`c`$-axis length than that on LSAT. Our results are consistent with this picture, and therefore, we conclude that the epitaxial starin effect works in LCCO films on LAO and LSAT. It should be noted that the $`c`$-axis lengths of both films are larger than that reported for polycrystalline sample La2CaCu2O6.037, 19.5169Å, that were prepared under 1 atm oxygen. Fuertes1  This deviation is probably due to the difference in the amount of excess oxygen, and suggests that the ozone annealing is really effective in giving large amount of excess oxygen.

The substrate dependence appears also in the temperature dependence of the in-plane resistivity $`\rho _{ab}`$(T) as shown in Fig. 1(b). The film on STO shows semiconducting behavior as is easily expected from its poor crystallization suggested from the x-ray diffraction. What is interesting is that the films on LSAT and LAO exhibit contrasting behavior; the former shows semiconducting behavior down to 2.5 K, while the latter keeps metallic behavior and exhibits superconductivity below $``$ 30 K. The room-temperature resistivity of the superconducting sample (2 m$`\mathrm{\Omega }`$cm) is lower than that reported for single crystals. Okuya1  However, we could not reduce the resistivity below 1 m$`\mathrm{\Omega }`$cm as other typical superconducting cuprates, which might be due to oxygen inhomobeneity in the sample. The observed substrate dependence is probably due to the directions of strain as was observed in LSCO thin films; Sato1 ; Locquet1  the compressive strain is helpful in enhancing metallic behavior while the tensile strain gives the opposite effect. However, it is not so simple to understand from a microscopic vewpoint that similar epitaxial-strain effects are observed both in monolayer LSCO and in bilayer LCCO: In LSCO, the characteristic tilting of the CuO6 octahedra, which is believed to dominate $`T_c`$, can be controlled by the epitaxial strain. On th other hand, such a characteristic structure is absent in LCCO, and we need further studies on structural analysis.

According to the above results, we chose the LAO substrate for further study, in which we tried to control the amount of extra oxygen. Figure 2 shows the $`T_{\mathrm{O}_3}`$ dependence of $`\rho _{ab}(T)`$. If we turn off ozone at $`T_{\mathrm{O}_3}`$ = 200C, which is typical for the growth of LSCO films with ozone as an oxidant, superconductivity does not appear. $`\rho _{ab}(T)`$ exhibits metallic behavior down to $``$ 80 K, but resistivity upturn appears in the lower-temperature region. This temperature dependence is similar to that reported for La2-xCa1+xCu2O6+δ ceramic samples annealed under 1$``$2 atm oxygen, Kinoshita1 ; Kinoshita2  but is more metallic than that of the as-grown bulk crystals of La1.90Ca1.10Cu2O6. Okuya1  By decreasing $`T_{\mathrm{O}_3}`$ to 100C, $`\rho _{ab}(T)`$ decreases significantly and superconductivity shows up; the room-temperature resistivity decreases roughly by three times, and the resistivity drop appears around 30 K. However, this film does not show zero resistivity above 2.5 K, which suggests that the superconducting regions are segmented. Only after reducing $`T_{\mathrm{O}_3}`$ to 65C, we could obtain zero resistivity at $``$ 5 K. We emphasize that this is the first result to observe zero resistivity in LCCO. Although Fuertes et al. Fuertes1  have reported a slight decrease of AC magnetic susceptibility below 45 K for ceramic LCCO, they observed neither metallic nor superconducting behavior in resistivity measurements, and bulk superconductivity was not confirmed. In order to confirm the presence of bulk superconductivity, we have applied magnetic field along the $`c`$ axis (inset of Fig. 2), and have observed a typical $`T_c`$ suppression by the magnetic field. Superconductivity remains even at $`H`$ = 10 T, which may reject the possibility of filamentary superconductivity. It should be noted that the difference between the films prepared at $`T_{\mathrm{O}_3}`$ = 65C and 100C is found only in zero-resistivity temperature, while the magnitude of the normal-state resistivity and the $`T_c`$ onset are almost unchanged. Therefore, decreasing $`T_{\mathrm{O}_3}`$ from 100C to 65C does not seem to change the carrier density drastically. One possibility is that by lowering $`T_{\mathrm{O}_3}`$ the distribution of extra oxygen becomes more homogeneous, but this should be confirmed experimentally.

The change of carrier concentration is confirmed more directly by a Hall-effect measurement, where we found the results being consistent with the behavior of $`\rho _{ab}(T)`$. Figure 3 shows the temperature dependence of the Hall coefficient $`R_H`$ of the films shown in Fig. 2. The film prepared at $`T_{\mathrm{O}_3}`$ = 200C seems to have insufficient amount of holes; $`R_H`$ exceeds 1$`\times `$10-2 cm3/$`C`$. This value is typical for LSCO with $`x`$ = 0.05, which is non-superconducting. Ando1  Once we decrease $`T_{\mathrm{O}_3}`$ to 100C, $`R_H`$ remarkably decreases to the order of 10-3 cm3/$`C`$. The films prepared at $`T_{\mathrm{O}_3}`$ = 100C and 65C have almost the same $`R_H`$ $``$ 3$`\times `$10-3 cm3/$`C`$ at room temperatures, and no remarkable difference is found between them down to 20 K. This is consistent with the resistivity data. The rapid decrease at $`T<`$ 40 K is due to the superconducting transition.

We can roughly evaluate the strength of oxidation by comparing the measured $`R_H`$ with reported values. Nishikawa et al. Nishikawa1  reported the Hall coefficient for a polycrystalline La2CaCu2O6 sample annealed under 20 atm oxygen. They reported $`R_H`$ $``$ 7$`\times `$10-3 cm3/$`C`$ at room temperature, which is higher than that of our films prepared at $`T_{\mathrm{O}_3}`$ $``$ 100C. This implies that the ozone annealing down to 100C or lower is more effective than the annealing in 20 atm oxygen.

Now let us discuss the role of excess oxygen on hole doping. The first report on superconductivity in La2126 gave us an impression that the Sr substitution of La was indispensable for superconductivity, Cava1  and more detailed systematic studies on La2-xCa1+xCu2O6+δ also demonstrated that $`T_c`$ increased with increasing $`x`$ when annealed under 10 $``$ 20 atm oxygen. Kinoshita1  In the latter case, however, $`T_c`$ and the magnitude of resistivity seem to approach certain saturation values upon increasing the annealing pressure to 400 atm, which implies that the obvious $`x`$ dependences are diminished when the excess oxygen is fully added. Similar results were obtained for single crystals annealed in 400 atm oxygen. Okuya1  Therefore, we had better conclude that the Ca or Sr concentration is not a good measure of hole density, but rather a complicated combination of alkaline-earth substitution and high-pressure annealing determine $`T_c`$ and the transport properties in La2126 compounds. Liu1  This consideration was supported by a Hall-effect measurement; Nishikawa1  it was reported that $`R_H`$ $``$ 7$`\times `$10-3 cm3/$`C`$ for pure La2CaCu2O6 was suppressed only to $`R_H`$ $``$ 4.5$`\times `$10-3 cm3/$`C`$ for La1.2Ca0.8Cu2O6. This change is far smaller than that expected from the Ca concentration by using the simple formula $`R_H`$ = 1/($`ne`$), where $`n`$ and $`e`$ are hole density and electric charge, respectively. It is likely that a non-negligible number of holes doped by Ca substitution is compensated by a decrease of excess oxygen, and the measured Hall coefficient becomes far larger than that expected from the Ca concentration.

In the present case, the hole density is simply dominated by the amount of excess oxygen, which will be useful to establish a hole-density vs $`T_c`$ phase diagram for La2126. As is suggested by Fig. 3, we can use the Hall coefficient as a measure of hole concentration, even though the exact amount of excess oxygen remains unknown. In that sense, our results are similar to those reported for La1.89Ca1.11Cu2O6+δ single crystals, Watanabe2  where the authors investigated in detail the annealing pressure dependence of the resistivity and the Hall coefficient. Our advantage over the bulk crystals is the absence of cation substitution that might introduce crystallographic disorder. If we compare the Hall coefficient at room temperature between La1.89Ca1.11Cu2O6+δ single crystals Watanabe2  and our films, the hole concentration of our films prepared with $`T_{\mathrm{O}_3}`$ = 65C is almost the same as that of the single crystals annealed at 300 atm oxygen. This indicates that the ozone annealing in the vacuum chamber is comparable to the high-pressure oxygen of 100 atm order. For bulk samples, 400 atm might be the highest oxygen annealing pressure by HIP, but this pressure seems to be still insufficient to obtain the optimally doped samples. On the other hand, the ozone pressure for this study is set to 15 mPa, but this is not the upper limit. It is technically possible to increase the ozone pressure higher than 15 mPa, which seems to be the only way to obtain not only to the optimally-doped but also to the over-doped samples of La2126 compounds.

Finally, we breifly mention where the excess oxygen goes. It was confirmed for La1.82Ca1.18Cu2O6+δ (annealed at 400 atm oxygen) by neutron diffraction Kinoshita3  that the excess oxygen is located between two neighboring CuO2 planes. Thus, it is natural to expect that the excess oxygen is located at this position in our films also. However, we cannot believe that all of the excess oxygen occupy this position. According to Ref. 23, the $`c`$-axis length of the sample with excess oxygen is longer only by $``$ 0.005Å than that of the sample without excess oxygen. In contrast, our LCCO films have far longer $`c`$-axis length regardless of substrates compared to the bulk LCCO samples; Fuertes1  even the $`c`$-axis length of the film on LSAT, which feels an in-plane tensile strain, is longer by $``$ 0.11Å than that of the bulk samples. Thus, it is difficult to attribute the observed remarkbale elongation of the $`c`$ axis only to the oxygen between the neighboring CuO2 planes. It is rather likely that the excess oxygen goes also into the interstitial sites at La2O2 blocks like in La2CuO4+δ; the elongation of the $`c`$-axis length by 0.04 $``$ 0.06 Å was reported for La2CuO4+δ, Jorgensen1  which suggests that the remarkbale elongation of the $`c`$-axis length in the present case is due to the same mechanism.

In any case, the ozone-annealed LCCO parent compound provides a unique opportunity for the study of bilayer cuprates, where the carrier concentration can be widely controlled without cation substitution. It was discussed that the cation substitution introduces “quenched” disorder while the oxygen intercalation gives “annealed” disorder, Wells1  and the latter seems to give much benign influenece on the structure of CuO2 planes. Such a situation has never been realized in bilayer YBCO, because the change in oxygen contents is always accompanied by the change in transport properties of Cu-O chain layer, and thus, one cannot purely observe the response of CuO2 bilayers. We can tune the transport properties of the LCCO films in a wide range from insulator to superconductor, which provides a more ideal situation than the extensively studied YBCO.

In summary, we have succeeded in growing superconducting La2CaCu2O6+δ thin films by choosing an appropriate substrate and by performing a strong oxidation using pure ozone. As was reported for monolayer cuprate films, the slight compressive strain along the in-plane direction is found to be helpful to make La2CaCu2O6+δ metallic. The low-temperature ozone annealing is found to be comparable to or more effective than high-pressure oxygen annealing. Our next step is to extend target compounds to multilayer cuprates where the combination of epitaxial strain and the strong oxidation will become more important to obtain higher $`T_c`$.

We thank S. Komiya for fruitful discussions.


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# Collective oscillations of a trapped Fermi gas near a Feshbach resonance

## Abstract

The frequencies of the collective oscillations of a harmonically trapped Fermi gas interacting with large scattering lengths are calculated at zero temperature using hydrodynamic theory. Different regimes are considered, including the molecular Bose-Einstein condensate and the unitarity limit for collisions. We show that the frequency of the radial compressional mode in an elongated trap exhibits a pronounced non monotonous dependence on the scattering length, reflecting the role of the interactions in the equation of state.

The recent realization D ; G ; M  of a Bose-Einstein condensate of pairs of Fermi atoms (molecular BEC) near a Fesbach resonance is opening new exciting perspectives in the investigation of highly correlated many-body systems including the investigation of the long sought BCS-BEC crossover randeria . An important feature of these configurations is the hydrodynamic nature of their macroscopic dynamics thomas  which, at zero temperature, is a general consequence of superfluidity. Though the observation of the hydrodynamic behaviour cannot be used as a direct proof of superfluidity note , its careful investigation can provide unique information on the equation of state, thereby checking the predictions of many-body theories beyond the mean field picture.

The purpose of this letter is to show that the study of the collective oscillations in a Fermi gas close to a Feshbach resonance is well suited to this purpose, their frequencies exhibiting a non trivial dependence on the scattering length in regimes now accessible experimentally grimm .

Let us first consider the case of large and positive atomic scattering lengths close to a Feshbach resonance. This regime is associated with the occurrence of a weakly bound molecular state and consequently, for sufficently low temperatures and low densities, one expects the formation of a Bose-Einstein condensate of molecules. If the molecular gas parameter $`n_Ma_M^3`$ is sufficiently small ($`n_M`$ and $`a_M`$ are, respectively, the molecular density and the molecule-molecule scattering length) the molecular Bose-Einstein condensate is described by Gross-Pitaevskii theory. In the presence of harmonic trapping one finds that in the Thomas-Fermi limit the frequencies of the collective oscillations do not depend on the interaction coupling constant, but only on the value of the axial and radial trapping frequencies $`\omega _z`$ and $`\omega _{}`$ sandro96 . In the following we will discuss the case of elongated configurations ($`\omega _z\omega _{}`$) which are easily produced experimentally and where one can obtain simple analytic results at zero temperature. The coupled monopole-quadrupole $`m=0`$ modes ($`m`$ is the third component of angular momentum) oscillate with frequencies sandro96  $`\omega _{rad}=2\omega _{}`$ and $`\omega _{ax}=\sqrt{5/2}\omega _z`$ along the radial and axial directions respectively. These modes have been already observed in traditional Bose-Einstein condensates (see, for example, mit98 ; ens ). First measurements of $`\omega _{ax}`$ in a molecular condensate have been also reported G . When the molecular gas parameter $`n_Ma_M^3`$ is no longer small the above results are modified by the presence of beyond mean field effects in the equation of state accounted for by the expansion

$$\mu _M=g_Mn_M\left(1+\frac{32}{3\sqrt{\pi }}\sqrt{n_Ma_M^3}\right)$$
(1)
for the molecular chemical potential. Here $`g_M=2\mathrm{}^2a_M/M`$ is the molecule-molecule interaction coupling constant and $`M`$ is the atomic mass. In terms of the atomic chemical potential $`\mu `$ and density $`n`$ one has $`\mu _M=2\mu `$ and $`n_M=n/2`$. The relation between the molecule-molecule scattering length $`a_M`$ and the atomic scattering length $`a`$ has been recently calculated in petrov  and is given by $`a_M=0.6a`$. The collective frequencies predicted by the new equation of state in the presence of harmonic trapping can be calculated using hydrodynamic theory. The result for the $`m=0`$ radial frequency is PS :

$$\omega _{rad}=2\omega _{}\left[1+\frac{105\sqrt{\pi }}{256}\sqrt{n_M(0)a_M^3}\right].$$
(2)
The relative correction to the mean field value $`\sqrt{5/2}\omega _z`$ of the $`m=0`$ axial frequency $`\omega _{ax}`$ turns out to be a factor $`6`$ smaller, suggesting that the radial mode is more suited to explore the interaction effects in the equation of state m2 . In the above equation $`n_M(0)`$ is the density of the molecular condensate evaluated in the center of the trap. It is useful to express the molecular gas parameter in terms of the relevant atomic parameters. By using the Thomas-Fermi value for the central density one finds

$$n_M(0)a_M^3=0.06\left(N^{1/6}\frac{a}{a_{ho}}\right)^{12/5}$$
(3)
where $`N`$ is the total number of atoms and $`a_{ho}=\sqrt{\mathrm{}/M\overline{\omega }}`$ is the atomic oscillator length relative to the geometrical average $`\overline{\omega }`$ of the trapping frequencies. When the scattering length $`a`$ is further increased and becomes comparable or even larger than the average distance $`dn^{1/3}`$ between particles the molecular description is no longer applicable. Eventually, when $`ad`$ the system reaches the so called unitarity limit for collisions where the equation of state does not depend any more on the actual value of the scattering length, nor on its sign. Provided the other relevant lengths associated with the two-body interaction, like the range of the potential, are smaller than $`d`$, the equation of state is expected to exhibit a universal behaviour heiselberg . Considerations of dimensionality suggest that at zero temperature the chemical potential should have the same density dependence

$$\mu =(1+\beta )\frac{\mathrm{}^2}{2m}(6\pi ^2)^{2/3}n^{2/3}$$
(4)
as in the ideal Fermi gas, the parameter $`\beta `$ being a universal coefficient accounting for quantum and dynamical correlations. At present the most reliable theoretical estimate of $`\beta `$ for a two component Fermi system is $`\beta 0.56`$ obtained in pandha  through a correlated basis function calculation. Actually the value of $`\beta `$ is not relevant for the determination of the collective frequency beta  which depends only on the power law coefficient characterizing the density dependence of the chemical potential. If $`\mu n^{2/3}`$ hydrodynamic theory predicts, for an elongated trap, the values $`\omega _{rad}=\sqrt{10/3}\omega _{}`$ and $`\omega _{ax}=\sqrt{12/5}\omega _z`$ minguzzi . The same results hold for a classical gas in the hydrodynamic regime griffin  where, at constant entropy, the chemical potential is also proportional to $`n^{2/3}`$.

It is worth noticing that the value predicted for $`\omega _{rad}`$ is lower than the value $`2\omega _{}`$ holding in the molecular BEC regime, revealing that the frequency of the radial compression mode first increases as a function of $`a`$, as predicted by (2), and then decreases to reach the value $`\sqrt{10/3}\omega _{}`$ in the unitarity limit (see the Figure).

Let us finally discuss the region of negative scattering lengths, corresponding to the BCS regime of superfluidity. When the gas parameter $`na^3`$ is much smaller than unity the chemical potential still exhibits a $`2/3`$ power law dependence on the density and one consequently expects to find again the result $`\omega _{rad}=\sqrt{10/3}\omega _{}`$ in the hydrodynamic regime. However, differently from the case of positive scattering lengths, in this limit the critical temperature for superfluidity becomes very small, and the superfluid phase is likely much more difficult to reach. Mean field corrections to the equation of state can be also easily calculated and yield the expansion

$$\mu =\frac{\mathrm{}^2}{2m}(6\pi ^2)^{2/3}n^{2/3}+\frac{1}{2}gn$$
(5)
for the chemical potential where $`g=4\pi \mathrm{}^2a/M`$. By treating the interaction as a small perturbation one finds the following result for the frequency of the radial compression mode:

$$\omega _{rad}=\sqrt{\frac{10}{3}}\omega _{}\left(1+\frac{3}{20}\frac{E_{int}}{E_{ho}}\right)$$
(6)
where $`E_{int}=(g/4)𝑑𝐫n^2`$ and $`E_{ho}=𝑑𝐫V_{ho}n`$ are, respectively, the interaction and oscillator energies. In terms of the dimensionless combination $`N^{1/6}a/a_{ho}`$ one has $`E_{int}/E_{ho}=0.5N^{1/6}a/a_{ho}`$ kf . The mean field correction in (6) is a factor $`4/5`$ smaller than the analogous term calculated for the monopole mode in the case of isotropic trapping vichi . The interaction correction in $`\omega _{rad}`$ is negative, reflecting the attractive nature of the force, so that $`\omega _{rad}`$ first decreases as a function of $`a`$ and then increases to reach the value $`\sqrt{10/3}\omega _{}`$ in the unitarity limit (see the Figure).

The determination of $`\omega _{rad}`$ in the intermediate regimes requires the full knowledge of the equation of state, through a consistent many-body calculation. In the Figure we have drawn a schematic interpolation (dot-dashed line) between the asymptotic behaviours (2) and (6) through the resonance. The curve explicitly points out the oscillatory behaviour of the frequency.

In conclusion we have shown that the frequency of the radial compression mode in an ultracold trapped Fermi gas exhibits a non trivial dependence on the scattering length near a Feshbach resonance, reflecting the occurrence of important interaction effects in the equation of state. These effects characterize regimes of high physical interest, now available experimentally.

Stimulating discussions with R. Grimm are acknowledged.


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# Be-star rotation: how close to critical?

## 1 Introduction

Be stars are near-main-sequence, B-type stars that have been observed to show Balmer-line emission. It is approaching a century and a half since the discovery of the first Be star (Secchi, 1867), and in recent decades compelling empirical evidence has associated the emission-line episodes with the formation of quasi-Keplerian, equatorial disks (e.g. Dachs et al., 1986; Hanuschik, 1996). However, there is still no general agreement on the underlying physical mechanisms responsible for disk formation (Smith et al., 2000).

A phenomenologically crucial characteristic of Be stars is that they rotate rapidly – more rapidly than any other class of nondegenerate star. Virtually as soon as this was recognized, it was hypothesized that the equatorial rotation velocities, $`v_\mathrm{e}`$, may be sufficiently close to the critical velocity, $`v_\mathrm{c}`$, for material easily to ‘leak’ into a disk (Struve 1931; here $`v_\mathrm{c}`$ is the velocity at which centrifugal forces balance Newtonian gravity at the equator, so that the effective gravity, $`g_{\mathrm{eff}}`$, vanishes). Slettebak and others later scrutinized this hypothesis quantitatively (e.g., Slettebak, 1949, 1966; Slettebak et al., 1992), establishing the current canonical view that Be stars’ rotation is actually significantly subcritical, with $`v_\mathrm{e}/v_\mathrm{c}0.7`$–0.8 (e.g., Porter, 1996; Chauville et al., 2001).

If rotation does play a direct, causal role in the Be phenomenon, then it is tempting to speculate that it does so by reducing the effective equatorial gravity to an extent that allows ‘weak’ processes to move material into orbit easily (Owocki, 2002). However, if this is to be a promising avenue of exploration, then rotation must be much closer to critical than is generally supposed at present: at $`v_\mathrm{e}/v_\mathrm{c}0.7`$ the equatorial gravity is reduced by only about a factor 2, and it requires $`v_\mathrm{e}/v_\mathrm{c}0.95`$ to reduce $`g_{\mathrm{eff}}`$ by an order of magnitude. Alternatively, to launch material into orbit ballistically at $`v_\mathrm{e}/v_\mathrm{c}=0.7`$ requires velocities in excess of $`100`$ $`\mathrm{km}\mathrm{s}^1`$; launch velocities commensurate with the sound speed (at which the aforementioned weak processes typically operate) are achieved only when a rotation rate $`v_\mathrm{e}/v_\mathrm{c}0.95`$ is reached. Similar arguments may be brought to bear on the angular momentum budget needed to achieve orbit.

In the present paper we review the bases for determining the true projected equatorial rotation velocity, $`v_\mathrm{e}\mathrm{sin}i`$, and the relationship to its observational counterpart $`v\mathrm{sin}i`$ (where $`i`$ is the angle between the line of sight and the rotation axis). We argue that equatorial gravity darkening may plausibly have led to rotational velocities of Be stars being systematically underestimated, and that Struve’s original hypothesis of near-critical rotation in Be stars therefore has not been ruled out by existing observational studies.

## 2 Preamble

For a centrally condensed star, the critical velocity of rotation is given by

$$v_\mathrm{c}=\sqrt{GM_{}/R_\mathrm{e}}=\sqrt{2GM_{}/3R_\mathrm{p}},$$
(1)
where ‘e’ and ‘p’ subscripts are used throughout to denote equatorial and polar values, respectively (throughout this paper we assume uniform angular velocity at the stellar surface). We note that, even if it were possible to measure the equatorial rotation velocity with complete accuracy, these expressions imply considerable observational uncertainty in establishing $`v_\mathrm{c}`$. In particular, it is customary to adopt masses and radii from look-up tables, on the basis of spectral type; and yet not only is the spectral type affected by rotation, in an aspect-dependent manner (e.g. Slettebak et al., 1980), but the physical relationship between spectral type, mass, and radius is also modified (Maeder & Meynet, 2000). Thus systematic errors in $`v_\mathrm{e}`$/$`v_\mathrm{c}`$ may easily arise from this source alone.

The primary focus here, however, is on the determination of $`v_\mathrm{e}\mathrm{sin}i`$. Almost all published surveys of rotational velocities in Be stars rely on one of two approaches. The first is to infer $`v_\mathrm{e}\mathrm{sin}i`$ values from, typically, line width at half depth, calibrating the results through the standard-star system established by Slettebak et al. (1975) or its extension to rapid rotators (Slettebak, 1982). The second is to compare observations with ‘spun-up’ versions of narrow-line stars111Not necessarily corresponding to slowly-rotating stars or model-atmosphere flux spectra, typically using a convolution approach (cf. Gray, 1992). We emphasize that the latter approach is unphysical: the convolution between intrinsic line profile and Doppler broadening function assumes the two to be independent, which is clearly not the case when the stellar surface parameters (i.e., $`T_{\mathrm{eff}}`$ & $`g_{\mathrm{eff}}`$) vary with latitude as a result of gravity darkening.

Both techniques imply the assumption of a single-valued, (approximately) linear relationship between line width and $`v_\mathrm{e}\mathrm{sin}i`$. As we demonstrate below, the true situation is significantly more complicated. In particular, for a rigidly rotating star with radiative envelope that follows the von Zeipel (1924) form for gravity darkening,

$$T_{\mathrm{eff}}g_{\mathrm{eff}}^{0.25},$$
(2)
the contribution of the cooler (and hence fainter) equatorial regions to the observed spectrum may be reduced to the point where they are effectively invisible. A necessary consequence of such behaviour is that $`v\mathrm{sin}i`$ values determined without proper attention to gravity darkening will systematically underestimate true projected equatorial velocities. This point is developed in the following sections, through the use of illustrative calculations and by a critical review of observational studies.

## 3 Models

In Table 1 we introduce parameters for thirteen stellar models, representative of the spectral types222We stress that here, and throughout, our use of the term ‘spectral type’ in reference to our models is little more than a notational convenience: although, for instance, a non-rotating star with the same parameters as our B0 model will exhibit a spectrum loosely resembling a star with MK type B0, it should always be remembered that the MK scheme (e.g., Morgan & Keenan, 1973) is *two-dimensional*, and variations in a third parameter, such as rotation, negate any direct correspondence with physical parameters. spanning the B0-B9 interval. The mass and polar radius of the models in Table 1 are taken from Porter (1996), with the critical velocity evaluated using equation (1). To obtain the accompanying luminosity data we use the Warsaw–New Jersey code333Details of this code are given by Dziembowski et al. (1993) and Dziembowski & Pamyatnykh (1993), the only significant difference in the present work being the adoption of more-recent opal tabulations for opacity (Iglesias & Rogers, 1996) and equation of state (Rogers et al., 1996). to calculate evolutionary tracks at the masses tabulated by Porter, determining $`L_{}`$ from the epoch at which the radius coincides with Porter’s values.

For each of the thirteen stellar models, we construct two sequences, differing only in the treatment of the centrifugal force due to rotation. For the ‘complete’ set of models, the effects of this force are fully accounted for: the surface geometry is that of a gravitational equipotential within the Roche approximation, and the surface temperature distribution follows the von Zeipel (1924) gravity-darkening law appropriate to radiative envelopes (cf. equation 2). The luminosity $`L_{}`$ is preserved under changing model geometry by adjusting the polar effective temperature in accordance with the relation

$$T_\mathrm{p}=\left(\frac{g_\mathrm{p}L_{}}{\sigma \mathrm{\Sigma }_1}\right)^{0.25};$$
(3)
here, $`\sigma `$ is the Stefan-Boltzmann constant, and $`\mathrm{\Sigma }_1`$ is the surface-area weighted gravity of the rotating star (e.g., Cranmer, 1996).

In contrast, for the ‘uniform’ set of models the centrifugal force is neglected, so that the star remains spherical in shape, and exhibits a uniform surface temperature and gravity; these models mimic the traditional methodology developed by Carroll (1928) and Shajn & Struve (1929), which is the basis for the convolution approach described by Gray (1992) and used by many authors (e.g., Howarth et al. 1997; Chauville et al. 2001).

## 4 Spectroscopic Simulations

### 4.1 Method

For both sets of surface models, we synthesize profiles for He i $`\lambda `$4471 and Mg ii $`\lambda `$4481 Å (including doublet and forbidden components), the lines most commonly used by observers to determine B-star $`v\mathrm{sin}i`$ values. The calculations use the bruce code (Townsend, 1997), which is readily adapted from its original intended application in modeling nonradial pulsation by simply setting the pulsation amplitudes to zero.

A large grid of precomputed conventional model spectra is required by bruce, to describe the angular and wavelength dependences of the photospheric radiative intensity over the range of $`T_{\mathrm{eff}}`$, $`\mathrm{log}g`$ values encountered between pole and equator. We construct such a grid using the synspec spectral-synthesis code by I. Hubeny and T. Lanz. For the B0–B5 models, the underlying atmospheric structure is calculated using the non-LTE tlusty code (Hubeny, 1988; Hubeny & Lanz, 1995), under the assumption that hydrogen and helium are the only sources of line opacity; for the later subtypes, atmospheric models are taken from the line-blanketed LTE grids published by Kurucz (1993).

The rotating-star spectral synthesis is undertaken over a range of equatorial velocities $`0<v_\mathrm{e}<v_\mathrm{c}`$, and at four differing inclinations: $`\mathrm{sin}i=\{0.25,0.50,0.75,1.00\}`$. We characterize the line widths of the resulting profiles by using the first zero, $`\xi _1`$, of the Fourier transform of the flux spectrum (Smith & Gray, 1976); specifically, we use $`\mathrm{\Delta }\xi _1^1`$. These characteristic widths $`\mathrm{\Delta }`$ have a nearly linear relationship with full-width at half depth, but in any case our results are largely insensitive to the particular approach used to characterize line width.

To examine the robustness of our calculations, we computed a number of variants on the basic models, including different choices of stellar parameters (e.g., those published by Slettebak et al., 1992), and alternative parameterizations of the effects of rotation (e.g., fixing the polar temperature, rather than varying it in accordance with equation 3). These variants introduce only small quantitative changes in the results.

### 4.2 Results: B2 subtype

We first consider the surface models for the B2 subtype, the most common in the sample of known Be stars (see, e.g., Porter, 1996). Fig. 1 shows the characteristic widths of the He i $`\lambda `$4471 Å line as a function of $`v_\mathrm{e}\mathrm{sin}i`$, at each of the four $`\mathrm{sin}i`$ values considered herein, for both the uniform ($`\mathrm{\Delta }_\mathrm{u}`$) and complete ($`\mathrm{\Delta }_\mathrm{c}`$) models. We note that the four solid lines each span a different $`v_\mathrm{e}\mathrm{sin}i`$ range because the domain $`v_\mathrm{e}=[0,v_\mathrm{c}]`$ has been scaled by the four different $`\mathrm{sin}i`$ values; a similar effect is not apparent in the dotted lines, because the $`\mathrm{\Delta }_\mathrm{u}`$ curves of the uniform models are self-similar444By this, we mean that one curve can be transformed into another by scaling both $`\mathrm{\Delta }_\mathrm{u}`$ and $`v_\mathrm{e}\mathrm{sin}i`$ by the same amount, and lie atop one another. The latter result is a corollary of the fact that line widths for the uniform model follow a linear relationship with $`v_\mathrm{e}\mathrm{sin}i`$.

Unlike the uniform models, the characteristic width curves for the gravity-darkened ‘complete’ models (which furnish a better representation of real stars) are *not* self-similar, an embodiment of departures from a linear $`\mathrm{\Delta }_\mathrm{c}`$-$`v_\mathrm{e}\mathrm{sin}i`$ relationship. Such departures arise from a number of effects, including the variations of both line and continuum strength with latitude, but the dominant factor for fast rotators is the decrease in continuum emission near the equator resulting from von Zeipel darkening. This leads to a relatively small contribution from the fast-rotating equatorial regions to the spatially integrated spectrum, and in turn to a systematic reduction in line widths relative to the uniform model. Thus if $`v\mathrm{sin}i`$ values are calculated using the calibration found for the uniform model, they may underestimate the true value of $`v_\mathrm{e}\mathrm{sin}i`$ by $``$20%, or more. Moreover, the near-invisibility of the equatorial regions in near-critical rotators means that increasing $`v_\mathrm{e}`$ has almost no effect on line width for such stars.

We illustrate this line-width redundancy in Fig. 2, for models with $`v_\mathrm{e}=395`$ and $`460\mathrm{km}\mathrm{s}^1`$ (0.83 and 0.97 $`v_\mathrm{c}`$, respectively). Clearly, even with our effectively noise-free synthetic data, the helium profiles are almost indistinguishable in terms of their widths; there is no practicable means of ascertaining that the two profiles shown belong to models with equatorial velocities that differ by almost 20%. This underlines the point that the degeneracy of $`\mathrm{\Delta }_\mathrm{c}`$ as a function of $`v_\mathrm{e}`$ must seriously compromise any attempt at devising a $`v\mathrm{sin}i(\mathrm{\Delta })`$ calibration, and particularly a single-valued, near-linear calibration, for stars strongly affected by gravity darkening.

Also shown in Fig. 2 are the Mg ii $`\lambda `$4481 Å profile for the same $`v_\mathrm{e}=395`$ and $`460\mathrm{km}\mathrm{s}^1`$ models. The equivalent width (EW) of this line increases with decreasing temperature (by a factor two from pole to equator in our $`v_\mathrm{e}=0.95v_\mathrm{c}`$ models), unlike the He i lines. This increase in relative line strength partly offsets the decline in continuum flux (which falls by factor of nearly four, from pole to equator), and as a result the Mg line widths show a somewhat greater (though still small) response to increasing equatorial rotation.

### 4.3 Results: other subtypes

The surface models for the other subtypes exhibit behaviour similar to the B2 models discussed above: with the onset of gravity darkening, the widths of line profiles saturate, and become insensitive to any further increase in the equatorial velocity. To quantify succinctly the degree of this effect, we measure the line width for complete models at $`\mathrm{sin}i=1`$, $`v_\mathrm{e}/v_\mathrm{c}=0.95`$, and then use the uniform models to infer a $`v\mathrm{sin}i`$ value for that width. We denote the difference $`(v_\mathrm{e}\mathrm{sin}iv\mathrm{sin}i)`$ as a ‘velocity deficiency’, $`\delta V`$, which we list in Table 2 for each of the 13 subtypes considered.

In both the He i and Mg ii lines, there is a systematic increase in the velocity deficiency (expressed as a fraction of $`v_\mathrm{c}`$) toward later spectral types. For the most part, this increase arises from an enhancement of the continuum gravity darkening effect, as measured by the ratio between polar and equatorial continuum fluxes: in the $`\lambda \lambda `$4471–4481Å region appropriate to the He i and Mg ii lines, this ratio is 3.7 for the B0 models, but grows to 7.0 for the B9 models. We note in passing that when *bolometric* fluxes are considered, the flux ratio is fixed at $`14.7`$ by dint of the fact that $`v_\mathrm{e}/v_\mathrm{c}=0.95`$, irrespective of which model is under consideration.

The overall increase in $`\delta V/v_\mathrm{c}`$ toward later spectral types is modulated by the dependence of line EW on temperature. As discussed in the preceding section, the EW variation of the Mg ii line tends to counteract the continuum gravity darkening effect. This explains why the velocity deficiencies exhibited by the line are smaller than those of the He i line, and also why the growth in $`\delta V/v_\mathrm{c}`$ is seen to reverse itself temporarily around subtype B5.

## 5 Photometric Simulations

### 5.1 Method

In the preceding section, we have demonstrated how gravity darkening can make a near-critical star appear, when observed spectroscopically, to be rotating at an ostensibly slower rate. In this section, we broaden our investigation by examining the impact of gravity darkening on the *photometric* signatures of rapidly rotating stars.

For the complete surface models (cf. Section 3), we synthesize absolute magnitudes in the Johnson $`B`$ and $`V`$ bands. The calculations use our rotcolor code, which is based on the bruce code but oriented toward photometric rather than spectroscopic modeling. rotcolor requires an input grid of precomputed photometric fluxes, which we obtain by combining the four-coefficient limb-darkening data published by Claret (2000) with normal-emergent absolute flux data made available to us by Claret (personal communication); both data are based on the Kurucz (1993) atmosphere grids. To convert synthetic fluxes into absolute magnitudes, we use the observed values for the Sun, $`M_B=5.48`$ and $`M_V=4.83`$ (Allen, 1976).

Our calculations are undertaken for five rotation velocities $`v_\mathrm{e}/v_\mathrm{c}=\{0.00,0.24,0.48,0.71,0.95\}`$, and at three differing inclinations $`i=\{0\mathrm{°},45\mathrm{°},90\mathrm{°}\}`$. For comparison purposes, we also synthesize colours for the evolutionary tracks calculated in Section 3; each track extends from zero-age main sequence (ZAMS) through to terminal-age main sequence (TAMS, defined by the cessation of core hydrogen burning).

### 5.2 Results

In Fig. 3 we plot the results of our photometric simulations in a colour-magnitude diagram. The general effect of rotation is to displace models away from their zero-rotation loci, moving them along trajectories in the $`M_V`$/$`(BV)`$ plane that are, to a first approximation, straight lines. The differential rate of displacement varies in step with $`v_\mathrm{e}`$, being largest close to critical rotation, and so small for the slowly rotating models ($`v_\mathrm{e}=0.24v_\mathrm{c}`$) that they can barely be distinguished from their non-rotating neighbours.

The most striking aspect of Fig. 3 is the strong inclination ($`i`$) dependence of the trajectories’ orientation in the $`M_V`$/$`(BV)`$ plane. For the $`i=0\mathrm{°}`$ models, rotation increases the observed brightness, due to beaming of radiation from the hot pole; however, this increase happens without any appreciable variation in colour, leading to trajectories that are close to vertical. The converse occurs when $`i=90\mathrm{°}`$: the centrifugal distention of equatorial regions produces a drop in the surface-averaged effective temperature, reddening the colours at approximately constant brightness, and so resulting in nearly horizontal trajectories. For intermediate $`i=45\mathrm{°}`$ case, a combination of brightening and reddening produces diagonal trajectories, coincidentally nearly parallel to those produced by the process of stellar evolution.

The increase in brightness for the pole-on models is approximately independent of subtype, being $`\mathrm{\Delta }M_V0\stackrel{m}{.}65`$ at $`v_\mathrm{e}=0.95v_\mathrm{c}`$, while the reddening of the equator-on models, at the same rotation rate, shows a modest increase from $`\mathrm{\Delta }(BV)=0\stackrel{m}{.}032`$ at B0 to $`\mathrm{\Delta }(BV)=0\stackrel{m}{.}066`$ at B9. By chance, the ratios between these brightening and reddening values correspond closely to the colour-magnitude slope of the main sequence throughout the B spectral type. Therefore, for an ensemble of randomly oriented B stars, the effect of gravity darkening due to rotation at fixed $`v_\mathrm{e}/v_\mathrm{c}`$ is to shift the main sequence up and to the right in the colour-magnitude diagram, but to leave it otherwise undistorted. We will return to this point in Section 6.3.

## 6 Discussion

The calculations in Section 4 are intended to underline our central point that line widths are a rather poor indicator of $`v_\mathrm{e}\mathrm{sin}i`$ at near-critical rotation. Although this basic idea has been previously noted in the literature (Stoeckley 1968; Hardorp & Strittmatter 1968a; Collins & Truax 1995), in practice it has been almost entirely ignored by observers (cf. Howarth, 2002). For example, in the course of writing up this work we discovered that Stoeckley (1968, his Fig. 4) gives a diagram that is very similar to our Fig. 1, while also addressing the implications for Be stars. However, the low citation rate for this paper (at the time of writing, a single citation555Collins & Truax (1995) cite Stoeckley’s work, and also give a similar diagram to our Fig. 1 (their Fig. 4); but we disagree with their conclusion that an approximate treatment of limb darkening is the major factor in departures from the results of the uniform model. Note that even our simple, uniform models incorporate a detailed treatment of non-linear, wavelength-dependent limb darkening. in the ADS database since 1975) suggests that the significance of this result for Be-star physics has been largely overlooked. In this section, therefore, we critically review the historical basis for the canonical view that $`v_\mathrm{e}`$/$`v_\mathrm{c}`$ does not exceed $``$0.8 for Be stars.

### 6.1 Line profiles

The basic method for determinations of $`v\mathrm{sin}i`$ is, of course, line-profile measurements. Slettebak’s (1982) observational study of rotation in a sample of 163 Be stars has been particularly influential; many authors have relied directly on his $`v\mathrm{sin}i`$ data (e.g., Porter, 1996), or have used them to calibrate (e.g., Balona, 1975; Halbedel, 1996; Steele et al., 1999; Yudin, 2001; Abt et al., 2002) or to validate (e.g., Howarth et al., 1997; Chauville et al., 2001) their own measurements.

Slettebak (1982) used visual inspection of photographic spectra to estimate the line widths in his targets, calibrating his results with standards from Slettebak et al. (1975). This approach assumes a single-valued correspondence between line width and $`v\mathrm{sin}i`$, and neglects the redundancy between these parameters that we have emphasized. Slettebak is universally acknowledged as an exceptionally skilled observer, and we believe that his careful and conservative approach would have led him to adopt the minimum $`v\mathrm{sin}i`$ value consistent with his observations (rather than some arbitrarily larger value), which, as we have shown, will generally underestimate $`v_\mathrm{e}\mathrm{sin}i`$.

Furthermore, the $`v\mathrm{sin}i`$ values of the underpinning Slettebak et al. (1975) standard stars were themselves calibrated against theoretical profiles from Collins (1974). The latter’s pioneering calculations required computations that were, by the standards of the day, sophisticated and demanding. Unfortunately, subsequent results, including his own (cf. Collins & Truax, 1995) and those we present here, shed some doubt on this fundamental calibration. For example, Collins (1974) found line broadening to be relatively unaffected by gravity darkening. Indeed, his paper explicitly notes a “remarkably good linear correlation between the theoretical value for $`v_\mathrm{e}\mathrm{sin}i`$ and the half-width of the line” – a correlation from which our gravity-darkened, complete models depart, quite significantly, in the crucial limit of large $`v_\mathrm{e}\mathrm{sin}i`$ (Fig. 1).

Collins’ remark was illustrated by calculations of the He i $`\lambda `$4471 Å profile for a B0-type stellar model (his Fig. 5). That figure indicates line half-widths at half depth that are systematically *broader* for critical rotators than for sub-critical rotators at the same $`v_\mathrm{e}\mathrm{sin}i`$. We find it difficult to devise any physical explanation for such behaviour, and suspect that it may indicate some procedural or coding error in his study. Indeed, later work by, e.g., Collins & Truax (1995) gives findings broadly consistent with our own, and also contradicts the linear correlation found by Collins (1974). In any event, our Table 2 indicates that the B0 subtype exhibits the smallest velocity deficiencies of any of the stellar models that we have considered. Therefore, notwithstanding any putative problems with Collins’ early calculations, we expect the data plotted in his Fig. 5 to provide the poorest illustration of the degree to which gravity darkening can influence line broadening.

From the point of view of both observational procedure and underlying calibration, we are therefore led to the conjecture that the system of Be-star velocities underpinned by the work of Slettebak et al. (1975) and Slettebak (1982) may systematically underestimate $`v_\mathrm{e}\mathrm{sin}i`$ values, particularly at the upper end of the rotation scale. This conjecture is given credence by the recent investigation by Chauville et al. (2001), who obtained $`v\mathrm{sin}i`$ values for 116 Be stars by least-squares fits of synthetic spectra to observed He i $`\lambda `$4471 Å line profiles. As for our uniform models, Chauville et al.’s synthetic profiles were calculated under the assumption of no rotational distortion or gravity darkening, and they therefore certainly underestimate $`v_\mathrm{e}\mathrm{sin}i`$. However, they obtained $`v\mathrm{sin}i`$ values in excellent overall agreement with those of Slettebak (1982), encouraging the view that there is also a systematic error in the latter’s results (and hence in all subsequent work built on them).

### 6.2 Statistics

Chauville et al. (2001) measured a mean projected equatorial velocity $`v\mathrm{sin}i/v_\mathrm{c}=0.65`$ for their sample of Be stars. Using the Chandrasekhar & Münch (1950) relations between projected and intrinsic rotation velocities, they inferred from their data a mean equatorial velocity $`v_\mathrm{e}/v_\mathrm{c}=0.83\pm 0.03`$. This extremely small apparent intrinsic scatter led them to conclude that “all studied Be stars rotate at nearly the same ratio \[of\] $`v_\mathrm{e}/v_\mathrm{c}`$”.

We know of no physical reason why all Be stars should rotate at the same $`v_\mathrm{e}/v_\mathrm{c}0.8`$, but examination of our Fig. 1 shows that at and above $`v_\mathrm{e}/v_\mathrm{c}0.8`$ there is effectively no change in line width with increasing $`v_\mathrm{e}`$. It is therefore reasonable to suppose that the observations may be consistent with any value (or a range of values) $`0.8`$, and particularly with near-critical rotation – an obvious limiting value.

To investigate this possibility in a heuristic way, we consider a population of complete B2-star models with equatorial velocities distributed uniformly between $`v_\mathrm{e}=0.93v_\mathrm{c}`$ and $`v_\mathrm{e}=0.97v_\mathrm{c}`$, and with rotation axes oriented randomly. Analyzing this population with He i $`\lambda `$4471 Å line profiles derived from our uniform models (thereby effectively mimicking Chauville et al.’s procedure), we obtain a mean projected equatorial velocity $`v\mathrm{sin}i/v_\mathrm{c}=0.635`$, from which the Chandrasekhar & Münch (1950) relations suggest a mean equatorial velocity $`v_\mathrm{e}/v_\mathrm{c}=0.809`$, with a variance $`\sigma ^2(v_\mathrm{e}/v_\mathrm{c})=9\times 10^3`$. These *inferred* values666Note that the variance for our synthetic population is less than zero due to the marginal breakdown of the assumption by Chandrasekhar & Münch (1950) that the $`v\mathrm{sin}i`$ distribution arises from the spatial projection of an intrinsic distribution. are remarkably close to those obtained by Chauville et al., even though our synthetic population rotates at significantly more-rapid rates than the $`v_\mathrm{e}/v_\mathrm{c}=0.83`$ advanced by those authors. Of course, this simulation is not particularly realistic, but it nonetheless clearly establishes that statistical studies that do not adequately treat the effects of gravity darkening must inevitably lead to systematic underestimates of $`v_\mathrm{e}\mathrm{sin}i`$.

### 6.3 Photometry

The calculations in Section 5 indicate that near-critical rotation (by which we mean $`v_\mathrm{e}/v_\mathrm{c}0.95`$) displaces stars toward brighter magnitudes or redder colours, depending on the inclination. This phenomenon, first discovered by Roxburgh & Strittmatter (1965), has been investigated and confirmed by a number of authors (e.g., Collins, 1966; Faulkner et al., 1968; Hardorp & Strittmatter, 1968b; Maeder & Peytremann, 1970). Our qualitative findings are very similar to these studies, although we obtain smaller changes in brightness ($`\mathrm{\Delta }M_V0\stackrel{m}{.}6`$) and colour ($`\mathrm{\Delta }(BV)0\stackrel{m}{.}06`$) than found historically (for reasons we discuss below).

Evidently, if Be stars are indeed near-critical rotators, they should naturally occupy a brighter/redder position in the colour-magnitude diagram than normal B-type stars. A search through the relevant literature reveals substantive evidence for such an anomalous position: Zorec & Briot (1991) find their sample of Be stars to be over-luminous with respect to main sequence stars, and of the fourteen previous studies that they cite, eleven disclose similar behaviour.

In the era when the observational consequences of gravity darkening were first being investigated, it was natural to attribute this observed over-luminosity to rapid rotation (e.g., Stoeckley, 1968). However, many of the studies from the 1960’s period (including the majority of those we cite above) were based on interior calculations by Roxburgh et al. (1965), which were found by Sanderson et al. (1970) to contain a serious error. Correction of this error resulted in a reduction of the brightness/reddening change caused by rotation (towards values commensurate with those we found in Section 5), to such an extent that rotation alone was hard-pushed to explain the luminosity anomaly.

Ever since the discovery of the error by Roxburgh et al. (1965), there has been a shift towards interpreting the anomaly as a consequence of the circumstellar emission (CE) produced by the disks of Be stars (e.g., Fabregat et al., 1996). This hypothesis certainly seems promising, but it has never been established whether CE can explain the observations *in toto*; as Zorec & Briot (1997) point out, it may be the case that multiple mechanisms (including rapid rotation) are required to explain the anomalous position of Be stars in the colour-magnitude diagram. Indeed, it is still not clear what the effects are of the intrinsic ‘rotation reddening’ discussed by Maeder (1975), which arise from the distention of the envelope around the equatorial regions of a rapidly rotating star (such that the local atmospheric structure departs from that predicted by plane-parallel models).

### 6.4 Future Approaches

Having presented evidence that current measurements of Be star rotation are underestimates, let us briefly consider what approaches might be deployed in the future to address this problem. To reiterate, the essence of the problem is this: when a star rotates at a significant fraction of its critical velocity $`v_\mathrm{c}`$, the insensitivity of line widths toward any further increase in the rotation rate means that these widths are poor indicators of the star’s true projected equatorial velocity $`v_\mathrm{e}\mathrm{sin}i`$. How might this degeneracy be lifted?

One possible approach lies in leveraging the combined temperature/wavelength dependence of the continuum flux. From far ultraviolet (FUV) observations of Be stars, Heap (1976) discovered the line broadening at these wavelengths to be significantly less than at visible wavelengths. As pointed out by Hutchings (1976), this effect can be understood as a result of the different surface brightness distributions at visible and FUV wavelengths, caused by gravity darkening. Hutchings & Stoeckley (1977) subsequently suggested that the effect might be used to obtain reliable values for $`v_\mathrm{e}/v_\mathrm{c}`$ and $`i`$. Such an approach certainly looks promising, but suffers from the drawback of requiring simultaneous visible, FUV and (if possible) infrared observations, which are often difficult to secure.

An alternative technique for lifting the degeneracy lies in exploiting the differing temperature sensitivities of different spectral lines. As we demonstrated in Sections 4.24.3, the inverse temperature/EW dependence exhibited by the Mg ii $`\lambda `$4481 Å line partly counteracts the effect of gravity darkening in the continuum, and lessens the impact of the degeneracy. In the case of an individual line such as this, the effect will probably be too small to be of practical use777We also note on more general grounds that the Mg ii $`\lambda `$4481 Å line is a poor choice for $`v_\mathrm{e}\mathrm{sin}i`$ determination, due to blending with the adjacent He i $`\lambda `$4471 Å line., but the effect could be exploited by simultaneous modelling of *multiple* lines. In principle, the different temperature/EW dependence of each line means that a good fit for *all* lines will occur only at a single point in parameter space (that is, a single combination of $`v_\mathrm{e}`$, $`i`$, $`M_{}`$ etc.). In reality, of course, noise and other factors will limit the precision of this approach; nevertheless, the approach certainly appears promising, and has already been applied with success to rapidly-rotating O stars (see Howarth & Smith, 2001).

The most direct method for examining rotational distortion is through direct imaging. Once the aspect ratio $`xR_\mathrm{e}/R_\mathrm{p}`$ of the centrifugally-distorted star is known, its equatorial velocity can be calculated in the Roche approximation from the expression

$$\frac{v_\mathrm{e}}{v_\mathrm{c}}=x\sqrt{\frac{3(x1)}{x^3}},$$
(4)
where we note that $`x=1.5`$ corresponds to $`v_\mathrm{e}/v_\mathrm{c}=1`$. Recently, Domiciano de Souza et al. (2003) applied this approach to the Be star $`\alpha `$ Eri; their *VLTI* observations indicate an aspect ratio entirely consistent with near-critical rotation. Clearly, the power of this approach lies in its ability to avoid the need for complex modelling of stellar atmospheres or interiors. Unfortunately, its applicability is limited to those stars which are resolvable via interferometry.

## 7 Conclusion

We have argued that the available observations, and their interpretation, leave open the possibility that Be stars rotate at or near to their critical velocities, contrary to the previous consensus. In questioning the canonical view that Be-star rotation is substantially sub-critical, we have been motivated by the issue of the fundamental physical processes responsible for the Be phenomenon. A range of phenomenological models have been developed to account for various aspects of Be-star behaviour, some quite detailed and sophisticated (e.g., Okazaki 1991), but the mechanisms underlying the formation of circumstellar disks remain elusive. This is largely due to the substantial energetic requirements for levitating material in a strong gravitational field.

Near-critical rotation alleviates this problem to the point where known processes, such as pulsation or gas pressure, may readily provide sufficient energy and angular momentum. Our critique argues that such near-critical rotation *has not* been ruled out by existing studies, be they spectroscopic *or* photometric. Indeed, these studies furnish *necessary* evidence that the Be stars *are* rotating close to critical; we hope that this paper will provide a motivation towards obtaining, perhaps using one of the approaches we suggest in Section 6.4, *sufficient* evidence in support of the same conclusion.

## Acknowledgments

We thank Dietrich Baade and Thomas Rivinius for their helpful suggestions toward improving this paper. RHDT acknowledges PPARC support. SPO received support from a PPARC fellowship for sabbatical research in the UK, and from NSF grant AST00-97983 to the University of Delaware. IDH is a Jolligoode fellow.