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# Cascade time-scales for energy and helicity in homogeneous, isotropic turbulence

## Abstract

We extend the Kolmogorov phenomenology for the scaling of energy spectra in high-Reynolds number turbulence, to explicitly include the effect of helicity. There exists a time-scale $`\tau _H`$ for helicity transfer in homogeneous, isotropic turbulence with helicity. We arrive at this timescale using the phenomenological arguments used by Kraichnan to derive the timescale $`\tau _E`$ for energy transfer (J. Fluid Mech. 47, 525–535 (1971)). We show that in general $`\tau _H`$ may not be neglected compared to $`\tau _E`$, even for rather low relative helicity. We then deduce an inertial range joint cascade of energy and helicity in which the dynamics are dominated by $`\tau _E`$ in the low wavenumbers with both energy and helicity spectra scaling as $`k^{5/3}`$; and by $`\tau _H`$ at larger wavenumbers with spectra scaling as $`k^{4/3}`$. We demonstrate how, within this phenomenology, the commonly observed “bottleneck” in the energy spectrum might be explained. We derive a wavenumber $`k_h`$ which is less than the Kolmogorov dissipation wavenumber, at which both energy and helicity cascades terminate due to dissipation effects. Data from direct numerical simulations are used to check our predictions.

preprint: LA-UR 08-8194

Energy and helicity Moreau (1961); Moffat (1969) are the two known inviscid invariants of the Navier–Stokes equations. It was postulated in Brissaud et al. (1973) that in isotropic flows with helicity, these quantities cascade together from large to small scales. This joint forward cascade of energy and helicity has been verified by direct numerical simulations, most recently at a resolution of $`512^3`$ gridpoints Chen et al. (2003). Kraichnan Kraichnan (1971) defined the shear time-scale $`\tau _E`$ for energy transfer, based solely on energy dynamics. Assuming that helicity dynamics are also controlled by $`\tau _E`$, a $`k^{5/3}`$ inertial range scaling was established for both energy and helicity spectra Brissaud et al. (1973).

We would first like to ascribe spatial geometrical properties to the types of quantities used to derive the relevant timescales. We recall the spectral formulation $`\stackrel{~}{u}_i(𝐤)\stackrel{~}{u}_j^{}(𝐤)`$ of the two-point velocity correlation function in isotropic, homogeneous, statistically stationary turbulence. It may be decomposed into its index-symmetric and index-antisymmetric parts as

$`E_{ij}(𝐤)`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{u}_i(𝐤)\stackrel{~}{u}_j^{}(𝐤)+\stackrel{~}{u}_j(𝐤)\stackrel{~}{u}_i^{}(𝐤)\right),`$ (1)
$`\stackrel{~}{E}_{ij}(𝐤)`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\stackrel{~}{u}_i(𝐤)\stackrel{~}{u}_j^{}(𝐤)\stackrel{~}{u}_j(𝐤)\stackrel{~}{u}_i^{}(𝐤)\right),`$ (2)
where $`\stackrel{~}{𝐮}_i=\stackrel{~}{u}_i\widehat{𝐢}`$ and $`\stackrel{~}{u}_i`$ is the magnitude of the $`i`$th component of the velocity vector in a chosen cartesian coordinate system. Eq. (1) when contracted with the projection operator $`\delta _{ij}/2`$ and then averaged over $`\widehat{𝐤}`$ gives the energy spectrum $`E(k)`$. It is therefore clear that the types of correlations contributing to $`E(k)`$ are those in which $`i=j`$ and hence $`\widehat{𝐢}`$, $`\widehat{𝐣}`$ and the unit wavevector $`\widehat{𝐤}`$ all lie in the same plane. The corresponding picture in real space is to consider the index-symmetric two-point spatial correlation functions $`R_{ij}^S(𝐫)=\frac{1}{2}u_i(𝐱)u_j(𝐱+𝐫)+u_j(𝐱)u_i(x+𝐫)`$ which has the tensor representation $`A(r)\delta _{ij}+B(r)\frac{r_ir_j}{r^2}`$ for the isotropic case; the incompressibility constraint gives a relationship between $`A(r)`$ and $`B(r)`$. This index-symmetric correlation function thus has non-zero contributions when $`\widehat{𝐢}`$, $`\widehat{𝐣}`$ and $`\widehat{𝐫}`$ are co-planar. We will refer to these as ’in-plane’ correlations (see Fig. 2 for a sketch of these types of isotropic correlations). Similarly, Eq. (2) when contracted with the antisymmetric curl operator $`\widehat{i}\epsilon _{ijl}k_l`$, where $`\widehat{i}=\sqrt{1}`$, and then averaged over $`\widehat{𝐤}`$ gives the total helicity density $`H(k)=2k\stackrel{~}{E}(k)`$. (Note that this relationship is distinct from the Schwartz-inequality $`|H(k)|2kE(k)`$). Therefore, the types of correlations contributing to $`\stackrel{~}{E}_{ij}(k)`$ (and hence to $`H(k)`$) are those in which $`\widehat{𝐢}`$, $`\widehat{𝐣}`$ and unit wavevector $`\widehat{𝐤}`$ are mutually orthogonal. Again, the corresponding formulation in real space is the index-antisymmetric two-point spatial correlation functions $`R_{ij}^A(𝐫)=\frac{1}{2}u_i(𝐱)u_j(𝐱+𝐫)u_j(𝐱)u_i(𝐱+𝐫)`$ which has the tensor representation $`\epsilon _{ijl}r_l/r`$ and thus has non-zero contributions when $`\widehat{𝐢}`$, $`\widehat{𝐣}`$ and $`\widehat{𝐫}`$ are mutually orthogonal to each other (see Fig. 2 for a sketch). We will refer to these as ’out-of-plane’ correlations. Here $`E(k)=_{|𝐤|=k}\frac{1}{2}|\stackrel{~}{𝐮}(𝐤)|^2`$ and $`H(k)=_{|𝐤|=k}\stackrel{~}{𝐮}(𝐤)\stackrel{~}{𝝎}(𝐤)`$ where $`\stackrel{~}{𝐮}(𝐤)`$ and $`\stackrel{~}{𝝎}(𝐤)`$ are the fourier transforms of the velocity $`𝐮(𝐱)`$ and the vorticity $`𝝎(𝐱)=\times 𝐮(𝐱)`$ respectively.

The Kraichnan time-scale for energy transfer, $`\tau _E`$, corresponds to correlations of the type $`E_{ij}(𝐤)`$ (Eq. (1)) which arise due to shearing motions in the plane of coordinates $`i`$, $`j`$ and unit wavenumber $`\widehat{𝐤}`$ Kraichnan (1971). Such in-plane shearing motions cannot give rise to correlations of the type $`\stackrel{~}{E}_{ij}(𝐤)`$ (Eq. (2)) which relate orthogonal components $`u_i\widehat{𝐢}`$ and $`u_j\widehat{𝐣}`$ across the third mutually orthogonal direction $`\widehat{𝐤}`$. For this we require out-of-plane shearing motions as depicted in Fig. 2, which are provided by the presence of helicity Betchov (1961); Kurien (2003). We first derive the time-scale, $`\tau _H`$, associated with such an out-of-plane shear. The governing factor is the relative helicity $`|H(k)|/(2kE(k))`$ which will be shown to fall off linearly in wavenumber restoring parity as $`k`$ becomes very large. Crucially, we will show that the ratio $`\tau _E/\tau _H(|H(k)|/(2kE(k)))^{1/2}`$, which decays slower than the relative helicity. Therefore, the effect of $`\tau _H`$ cannot be neglected. We demonstrate the effect of this new timescale on energy and helicity spectra, and offer an interpretation of the “bottleneck” effect observed in measured energy spectra. Finally, the new dynamics reveal a dissipation scale which is larger than the Kolmogorov dissipation scale, suggesting that the joint cascade is truncated sooner in wavenumber space if helicity is present.

We performed two simulations of the three-dimensional (3-$`d`$), forced Navier-Stokes equation in a unit-periodic box with $`512`$ (data I), and $`1024`$ (data II) grid points to a side respectively. In these units, the wavenumber $`k`$ is in integer multiples of $`2\pi `$. Energy and helicity were injected into the flow for $`k2`$ at each time-step. The forcing scheme was the same as in Taylor et al. (2003). For case I we imposed maximum helicity in $`k2`$ Polifke and Shtilman (1989); Chen et al. (2003), resulting in a mean helicity over time of -26.8 in the units of our simulation. For case II the helicity input was uncontrolled and random, resulting in a mean helicity of -0.12 which is essentially zero compared to case I. The spectra for case I were averaged over 40 snapshots spanning 8 large-eddy turnover times after spin-up. The spectra for case II were averaged over 48 snapshots spanning 2 large-eddy turnover times after spin-up. The spin-up time in each case was defined to be when the input rate of energy matched the dissipation rate of energy, the flow having achieved statistically steady state. Additional parameters of the simulations are given in Table 1.

We recall the introduction in Kraichnan (1971) of the distortion timescale (or eddy-turnover time) of an eddy with wavenumber $`k`$

$$\tau _E^2\left(_0^kE(p)p^2𝑑p\right)^1\left(E(k)k^3\right)^1.$$
(3)
where Kraichnan asssumes that only wavenumbers $`k`$ will have a shearing action on wavenumbers of order $`k`$; the effects from wavenumbers $`>k`$ will average out. Notice that the local shear timescale thus defined depends on the in-plane correlations which contribute to the energy spectrum as described above. Analogously, we can define the time-scale $`\tau _H`$ for out-of-plane distortions of an eddy, from the antisymmetric co-spectrum,

$`\tau _H^2\left({\displaystyle _0^k}|\stackrel{~}{E}(p)|p^2𝑑p\right)^1`$ $``$ $`\left({\displaystyle \frac{1}{2}}|H(k)|k^2\right)^1.`$ (4)
The distortion or shear corresponding to $`\tau _H`$ is different from the distortion corresponding to $`\tau _E`$ of Kraichnan (1971). The shear in the former case derives from the out-of-plane correlations contributing to the antisymmetric co-spectrum and hence to the helicity spectrum. The shear motion in this case is an out-of-plane twist for which the time-scale is different than the in-plane shear rate corresponding to $`\tau _E`$.

We estimate the transfer rate (flux) of helicity through wavenumber $`k`$, $`F_H(k)k|H(k)|/\tau _Hk^2|H(k)|^{3/2}`$. Assuming steady-state, inertial range behavior with constant flux of helicity $`F_H(k)=h`$, the mean helicity dissipation rate, we obtain

$`H(k)`$ $``$ $`h^{2/3}k^{4/3}.`$ (5)
We compare $`\tau _H`$ with the time-scale for energy transfer of Eq. (3),

$$\frac{\tau _E}{\tau _H}\left(\frac{|H(k)|}{2kE(k)}\right)^{1/2}.$$
(6)
Since $`[|H(k)|/(2kE(k))]^{1/2}|H(k)|/(2kE(k))`$ as the latter tends to zero, Eq. (6) implies that even for small values of the relative helicity, the time-scales can become comparable. This is a fundamental point of difference from previous works in which the presence of helicity was considered inconsequential Brissaud et al. (1973). In previous arguments the fact that relative helicity must go to zero as $`1/k`$ in wavenumber space meant that helicity could not have an effect on the long term dynamics since it must eventually be dominated by energy, restoring parity. Our present analysis shows that while the relative helicity does indeed go rapidly to zero, the relative $`timescale`$ of helicity and energy transfer vanishes much slower. In other words, while the energy timescale is always faster, because of the Schwartz equality, the helicity timescale can remain comparable to it well into the large wavenumbers. (For the initial value problems (decaying turbulence), the evolution equation of the relative helicity $`H(k)/(2kE(k))`$ and its analytical bounds can be found in Constantin and Majda (1988).)

With this second timescale at hand, we can now justifiably ask what the effect of $`\tau _H`$ will be on the energy spectrum. The energy flux $`\epsilon `$ through wavenumber $`k`$ is

$`\epsilon `$ $``$ $`{\displaystyle \frac{kE(k)}{\tau _H}}kE(k)H(k)^{1/2}k.`$ (7)
Using Eq. (5) in Eq. (7), we get

$$E(k)\epsilon h^{1/3}k^{4/3}.$$
(8)
To summarize thus far, the $`\tau _E`$ dynamics result in Kolmogorov $`k^{5/3}`$ scaling in both energy and helicity spectra, whereas $`\tau _H`$ dynamics result in $`k^{4/3}`$ scaling in both. Clearly, the steeper $`k^{5/3}`$ scaling should dominate in the low-wavenumbers while the $`k^{4/3}`$ should manifest in the higher wavenumbers. We emphasize that in order for the latter scaling to be visible in the high wavenumbers, $`\tau _H`$ cannot be too much slower than $`\tau _E`$. As shown above, according to Eq. (6), this may occur for very modest relative helicity in the high wavenumbers, contrary to previous assumptions. The main point of our paper is that in general, the helicity timescale $`\tau _H`$ may not be ignored.

Figure 3 shows the energy and helicity spectra from our simulations. Each of the spectra are compensated by $`k^{4/3}`$ and by $`k^{5/3}`$ in order to distinguish the dominant scaling. For the strongly helical case I, there is good agreement with $`k^{4/3}`$ scaling for both the energy and helicity spectra in approximately the same range (Figures 3(a) and (b)) of slightly less than a decade. Note that the compensation with $`k^{5/3}`$ results in the commonly observed ‘bottleneck’ phenomenon which we will discuss below. The energy spectrum of II (Fig. 3(c)) shows a range of $`k^{5/3}`$ scaling followed by a range of $`k^{4/3}`$ scaling (which appears as a bottleneck in the $`k^{5/3}`$ compensated plot). The scaling ranges are modest even at this high resolution of $`1024^3`$, but nonetheless the results are telling; the scaling is most certainly not $`k^{5/3}`$ throughout and the agreement with $`k^{4/3}`$ though over a short range, certainly indicates shallower than $`k^{5/3}`$ scaling behavior of the bottleneck region. The relative helicities in the range $`10<k<100`$, where the $`k^{4/3}`$ scaling is seen, are shown in Fig. 4. For I, the relative helicity falls from about 10% to about 3% corresponding to $`\tau _E/\tau _H`$ ranging from 32% to 17% according to Eq. (6). Despite the negligibly small total helicity $`H=0.12`$ of II, and its noisy helicity spectrum (not shown), its relative helicity values lie between $`1\%`$ and $`5\%`$. This implies that $`\tau _E/\tau _H`$ could be as much as $`22\%`$. In both cases $`\tau _H`$ might in fact not be much longer than $`\tau _E`$. It is important at this stage to comment on the appearance of a helicity-dependent scaling feature in flow II which is nominally helicity-free on average. The first point is that zero average helicity does not imply that the average helicity spectrum $`H(k)`$ is zero for all $`k`$. In fact, we only input energy and helicity in the low-wavenumbers, the Navier-Stokes dynamics determines the helicity in all other wavenumber, including the highest wavenumbers where in fact there is the well-known viscous helicity production. There is therefore no control of the helicity in an given wavenumber and the spectrum is generally not zero everywhere. The second point is that our analysis shows that it is not the total helicity but the $`relative`$ helicity which determines the trade-off between the two timescales. Given these two points it is not contradictory to measure $`k^{4/3}`$ spectral scaling in the flow with negligible mean helicity. In fact, this flow is probably more similar to most experimental flows which are close to helicity-free in the mean but with uncontrolled and often unknown helicity spectra Kholmyansky et al. (2001).

These results are the first indication of the possibility of $`k^{4/3}`$ scaling ranges in both energy and helicity spectra simultaneously. The possibility of a ‘pure’ or ’maximal’ forward cascade of helicity scaling as $`k^{4/3}`$ Brissaud et al. (1973), with inverse cascade of energy scaling as $`k^{7/3}`$ does not arise. This is because in our analysis we have retained the effect of the helical time-scale $`\tau _H`$ and allowed it to modify the spectral dynamics. Since the scaling corresponding to $`\tau _H`$ is $`k^{4/3}`$, a slower decay than $`k^{5/3}`$, its ‘signature’ in the spectra can dominate at large $`k`$ even as the overall parity is being restored.

Based on the analysis above, we propose that the bottleneck in the total energy spectrum is in fact a change in the scaling of the energy spectrum, from a $`k^{5/3}`$ regime in which the $`\tau _E`$ dynamics dominate to a less steep $`k^{4/3}`$ regime in which the $`\tau _H`$ dynamics become significant. We will use the kinematic arguments of Dobler et al. (2003) with our new phenomenology and dynamics to analyse the bottleneck for such a helical influence. In simulations, it is possible to compute the total energy spectrum $`E(k)=(1/2)_{|𝐤|=k}|\stackrel{~}{𝐮}(𝐤)|^2`$ as a sum over a shell of radius $`k`$ rather accurately. In experiments it is convenient to measure the one-dimensional (1-$`d`$) longitudinal and transverse spectra along the measurement direction, say $`z`$. In our 3-$`d`$ flow simulation we calculate the 1-$`d`$ spectra as follows. The 1-$`d`$ fourier transform in the $`z`$-direction of the velocity $`𝐮(𝐱)`$ is $`\stackrel{~}{\stackrel{~}{𝐮}}(x,y,k_z)=(1/N)_{n=1}^Ne^{ik_zz_n}𝐮(x,y,z_n)`$ where $`0k_z\pi /\delta z`$. The longitudinal (transverse) 1-$`d`$ spectrum, averaged over the $`x`$-$`y`$ plane, is defined by

$$E_{L(T)}(k_z)=\frac{1}{(2N^2)}\underset{p,q=1}{\overset{N}{}}|\stackrel{~}{\stackrel{~}{u}}_{z()}(x_p,y_q,k_z)|^2,$$
(9)
where $`|\stackrel{~}{\stackrel{~}{u}}_{}|^2=|\stackrel{~}{\stackrel{~}{u}}_x|^2+|\stackrel{~}{\stackrel{~}{u}}_y|^2`$. In isotropic flow, the 1-$`d`$ spectra should be independent of the direction in which the fourier transform is performed. Our time-averaged longitudinal spectra computed in the the $`x`$, $`y`$ and $`z`$ directions all collapse and the transverse spectra do the same. We average the 1-$`d`$ spectra in the three coordinate directions and drop the use of the subscript $`z`$ to denote the direction of the fourier transform. In isotropic flow there is a relation between the 1-$`d`$ and 3-$`d`$ spectra Monin and Yaglom (1987); Dobler et al. (2003),

$$E(k)=k\left(\frac{dE_L}{dk}+2\frac{dE_T}{dk}\right).$$
(10)
Our spectra satisfy Eq. (10) very well for $`k10`$ and fairly well in the lower wavenumbers. As emphasized in Dobler et al. (2003), Eq. (10) is a local relationship, wherein the functional form of the total spectrum $`E(k)`$ is fully determined by the local behavior of $`E_L`$ and $`E_T`$ at a given wave number. For homogeneous, isotropic flows with helicity, it is reasonable to suppose that $`E_L(k)`$ (see definition in Eq. (9)) would mainly carry contributions from the in-plane shear time-scale $`\tau _E`$. However $`E_T(k)`$, which is related to the transverse components of the velocity fourier transform, could be influenced by $`\tau _H`$ dynamics coming from $`\stackrel{~}{E}(k)`$. The correlation time between transverse components can be slowed down by the dynamics of $`\stackrel{~}{E}(k)`$ which arise due to the presence of helicity. Such coupling may not be deduced from kinematic arguments, it requires proper consideration of the new dynamics. Furthermore, it is not possible to see this coupling in the unclosed lowest-order Kármán-Howarth dyanamical equations wherein the symmetric and antisymmetric parts completely decouple for homogeneous flows Kurien (2003). It was pointed out in Betchov (1961) that higher-order statistical equations for helical turbulence should show the coupling. The coupling is seen explicitly in the EDQNM closure Andre and Lesieur (1977).

Figure 5 shows the compensated longitudinal and transverse spectra for simulation II. The bottleneck is greatly diminished in $`E_L(k)`$ (Fig. 5(a), solid curve) which shows close to $`k^{5/3}`$ scaling throughout the inertial range. In $`E_T(k)`$ (Fig. 5(b), solid curve), the bottleneck persists although its peak occurs slightly earlier in wavenumber than the bottleneck for the corresponding total spectrum. For completeness, we have also shown the 1-$`d`$ spectra compensated by $`k^{4/3}`$ (Fig. 5, dotted curves). Based on our arguments above, we might have expected a stronger $`k^{4/3}`$ scaling region of the transverse spectrum; such behavior is not clearly observed although there is a tendency towards a scaling shallower than $`k^{5/3}`$ in the bottleneck regime. We plan in future work to check the present indications that the bottleneck will be stronger in the transverse spectrum than in the longitudinal one because of the greater contamination of the former by the helical co-spectrum dynamics. This raises the intriguing possibility that $`\tau _H`$ affects the scaling of transverse structure functions, accounting for some of the observed difference between the scaling exponents of longitudinal and transverse structure functions in near-isotropic, high-Reynolds number turbulence data Sreenivasan and Dhruva (1998). Such contributions would appear as a parity-breaking in the $`isotropic`$ small-scales, and might not be easily disentangled by, for example, the SO(3) group decomposition methods (see Kurien and Sreenivasan (2001) and references therein) used to extract isotropic contributions to non-helical turbulence statistics. Although this aspect of the influence of helicity dynamics remains speculative we hope this work provides sufficient motivation for further investigation.

The bottleneck is a well-known phenomenon which has been observed in experimental measurements Saddoughi and Veeravalli (1994); Sreenivasan (1995) and Navier-Stokes simulations Martinez et al. (1997); Gotoh (2002). While the mean helicity of the flows in these investigations might be zero (although many do not report the mean helicity, using the often reasonable assumption that the flow is non-helical on average), their relative helicities might not be, and indeed have not been reported, because the connection between the Kolmogorov phenomenology, helicity dynamics and the bottleneck did not exist. There have been various different approaches taken to explain this phenomenon, including viscous effects Falkovich (1994) and various kinematic arguments used to fit to a parametrized form She and Jackson (1993); Lohse and Muller-Groeling (1995, 1996). To the best of our knowledge, there has thus far never been an association of the bottleneck with helicity. What we are proposing here is a fundamental physical cause of the bottleneck due to the helicity dynamics slowing down the cascade of energy and helicity, the two conserved quantities in turbulence. Further, our empirical evidence, particularly in case II, where the total helicity is negligibly small, indicates that this effect could occur even in flows with essentially zero mean helicity but with non-zero relative helicity spectra (i.e. $`H(k)`$ is $`not`$ zero everywhere). Said differently, even if $`H(k)𝑑k=0`$, there can be a range of $`k`$ where $`|H(k)|`$ and hence $`|H(k)|/2kE(k)`$ is finite and possibly large enough that $`\tau _E/\tau _H(|H(k)|/2kE(k))^{1/2}`$ is not negligible. This effect was reported in an experimental work investigating spontaneous reflection-symmetry breaking in boundary layer flows Kholmyansky et al. (2001). Such a scenario may occur since, while global helicity is statistically conserved in the inertial range, local helicity is not. Let $`\xi (𝐱)`$ be the local helicity $`\xi (𝐱)=𝒖(𝐱)𝝎(𝐱)`$. The equation for $`\xi `$ reads

$`_t\xi +u_j_j\xi `$ $`=`$ $`_j(\omega _jp)+{\displaystyle \frac{1}{2}}_j(\omega _j|𝒖|^2)`$ (11)
$`+\nu [^2\xi 2(_iu_j)(_i\omega _j)].`$
Locally, both the nonlinear and the viscous terms in the helicity dynamics might play a role in enhancing or diminishing the helicity. If the non-zero relative helicity in the scaling range arises from the nonlinear term, then the effects we see are indeed valid in the high-Reynolds number (inviscid) limit; if they arise from the viscous term then the effects we see would disappear at very high Reynolds numbers. This hypothesis is not testable at the present time but our work, which studies data from simulations which are similar to, or the same as, several performed before (see for example Sreenivasan et al. (1996); Gotoh et al. (2002); Taylor et al. (2003)), with comparable Reynolds number, gives substantial motivation to further examine these questions. We hope in particular to motivate measurements of the relative helicity and scaling behavior of the bottleneck region, in other flows which report the bottleneck phenomenon in order to further check this connection.

We finally present a key result from analysis of the convergence of the dissipation integrals for a two-timescale cascade. In Chen et al. (2003) the same analysis was performed assuming a single timescale $`\tau _E`$. The total dissipation of energy and helicity may be written as

$`D_E`$ $`=`$ $`2\nu \left({\displaystyle _0^{k_c}}𝑑kk^2E(k)+{\displaystyle _{k_c}^{k_d}}𝑑kk^2E(k)\right)`$ (12)
$`D_H`$ $`=`$ $`2\nu \left({\displaystyle _0^{k_c}}𝑑kk^2H(k)+{\displaystyle _{k_c}^{k_d}}𝑑kk^2H(k)\right),`$ (13)
where

$`E(k)`$ $`=`$ $`\{\begin{array}{cc}C_E\epsilon ^{2/3}k^{5/3}\hfill & \text{for }k<k_c\text{;}\hfill \\ C_H\epsilon h^{1/3}k^{4/3}\hfill & \text{for }k_c<k<k_d\text{,}\hfill \end{array}`$ (14)
$`H(k)`$ $`=`$ $`\{\begin{array}{cc}c_E\epsilon ^{1/3}k^{5/3}\hfill & \text{for }k<k_c\text{;}\hfill \\ c_Hh^{2/3}k^{4/3}\hfill & \text{for }k_c<k<k_d\text{,}\hfill \end{array},`$ (15)
and $`C_E,C_H,c_E`$ and $`c_H`$ are constants. The precise estimate of the transition wavenumber $`k_c`$ is unimportant to what follows. The upper wavenumber $`k_d`$ denotes the maximum beyond which the cascade is completely suppressed by viscosity. We obtain

$`D_E\nu \epsilon h^{1/3}k_d^{5/3}`$ (16)
$`D_H\nu h^{2/3}k_d^{5/3}.`$ (17)
In Chen et al. (2003) $`k_d=k_\epsilon (\epsilon /\nu ^3)^{1/4}`$ (the Kolmogorov dissipation wavenumber). In our case, setting $`k_d=k_\epsilon `$ causes the integrals to diverge as $`\nu ^{1/4}`$ in the limit $`\nu 0`$. The choice $`k_d(h/\nu ^3)^{1/5}`$ ensures that the integrals converge to their correct values for statistically steady-state, $`D_E=\epsilon `$ and $`D_H=h`$. We will call this new wavenumber $`k_h`$ since it depends solely on the helicity dissipation rate. It must be distinguished from the $`k_H`$ of Ditlevsen and Giuliani (2001) which depends on both energy and helicity dissipation rates. In the limit $`\nu 0`$, $`k_\epsilon k_h`$. In our simulations $`k_\epsilon >k_h`$ by a factor of about 2.5. While in agreement with our analysis, we cannot really distinguish between the two wavenumbers in this data. However, we suggest that the resolution requirement for measurements in turbulence with helicity, or more precisely, with non-zero helicity spectra, might be weaker than that in turbulence without helicity.

###### Acknowledgements.

We are grateful to U. Frisch and K. Ohkitani for useful discussions and for bringing our attention to Refs. Dobler et al. (2003) and Constantin and Majda (1988) respectively. Part of this work was completed during the visit of two of the authors (SK and TM) at the Observatoire de la Côte d’Azur, Nice, France.


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# FUSE observations of G226-29: First detection of the H2 quasi-molecular satellite at 1150 Å

## 1 Introduction

DA white dwarfs have hydrogen-rich atmospheres whose FUV spectra show the Lyman series lines. Spectra of these high gravity stars are modeled by theoretical spectra based on the Stark broadening of the hydrogen lines (see, e.g., Vidal, Cooper, & Smith 1973; Finley et al. 1997; Barstow et al. 2003). FUV and UV observations of some DA white dwarfs show, however, strong deviations from the Stark broadening. Greenstein (1980) and Holm et al. (1985) reported that International Ultraviolet Explorer (IUE) spectra of cool white dwarfs show strong absorption features in the far wing of Ly-$`\alpha `$ near 1400 Å and 1600 Å. Koester et al. (1996) announced the presence of similar features in the red wing of Ly-$`\beta `$ by analyzing observations of Wolf 1346 obtained with the Hopkins Ultraviolet Telescope. More recently, absorption features in the wing of Ly-$`\gamma `$ were detected in the Orbiting and Retrievable Far and Extreme Ultraviolet Spectrometers (ORFEUS) and Far Ultraviolet Spectroscopic Explorer (FUSE) spectra of white dwarfs (Koester et al. 1998; Wolff et al. 2001; Hébrard et al. 2003; Dupuis et al. 2003). All these absorption features are interpreted as quasi-molecular satellites of Ly-$`\alpha `$ (Koester et al. 1985; Nelan & Wegner 1985), Ly-$`\beta `$ (Koester et al. 1996), or Ly-$`\gamma `$ (Hébrard et al. 2003). Quasi-molecular lines arise from radiative collisions of excited atomic hydrogen with unexcited neutral hydrogen atoms or protons.

Theoretical calculations of the complete Ly-$`\beta `$ line profile which include perturbations by both neutral hydrogen and protons (Allard et al. 2000) have been used recently to improve theoretical modeling of synthetic spectra for cool DA white dwarfs (Hébrard et al. 2002a). These new calculations reveal in particular a broad H2 collision-induced satellite in the red wing of Ly-$`\beta `$ at 1150 Å. This satellite appears in models covering a narrow range of effective temperatures and is strong enough to be detected in spectra of cool DA white dwarfs with $`10000T_{\mathrm{eff}}13000`$ K. In addition to that, the H2 $`\lambda `$1150 satellite is very sensitive to the degree of ionization and represents a potentially important means to diagnose the convective mixing efficiency in DA white dwarfs, especially in this range of effective temperatures (see, e.g., Bergeron et al. 1992). Even in laboratory work, where a laser-produced plasma generates controlled conditions similar to those encountered in stellar atmospheres of cool white dwarfs, this transition has yet to be detected.

The effective temperature domain in which the H2 $`\lambda `$1150 satellite is the strongest includes an important class of stars: the ZZ Ceti stars. ZZ Ceti stars are a class of hydrogen-rich atmosphere white dwarfs exhibiting multi-periodic variations with period ranging from 100 to 1000 s that are produced by non-radial g-modes (see, e.g., the recent review by Fontaine, Brassard, & Charpinet 2003). According to Bergeron et al. (1995) all ZZ Ceti stars occupy an empirical instability strip delimited by $`11100\mathrm{K}\mathrm{T}_{\mathrm{eff}}12500\mathrm{K}`$. These objects have a great astrophysical interest because seismological studies allow to probe their interiors and therefore provide insights for constraining the stellar structure and evolution of white dwarfs. ZZ Ceti stars represent an evolutionary phase through which all DA stars must evolve. Hébrard et al. (2002a) have predicted that both H2 and H$`{}_{}{}^{+}{}_{2}{}^{}`$ satellites of the Ly-$`\alpha `$ and Ly-$`\beta `$ lines should be detectable in ZZ Ceti stars.

Far-UV spectra have never been explored for any ZZ Ceti star. The observations obtained with IUE and HST were limited to the red wing of Ly-$`\alpha `$. Here, we present a far-UV spectrum (down to 1000 Å) of the brightest object of this class, G226$``$29. These data allow us to report the first detection of the H2 Ly-$`\beta `$ collision-induced (CI) satellite at 1150 Å.

## 2 The collision-induced satellite at 1150 Å

Based on a theoretical study of the Ly-$`\beta `$ profile of atomic hydrogen perturbed by collisions with neutral hydrogen atoms and protons (Allard et al. 2000), we predict a CI satellite feature of H2 at 1150 Å. In summary, our theoretical approach is based on the quantum theory of spectral line shapes of Baranger (1958a, 1958b) developed in an adiabatic representation to include the degeneracy of atomic levels (Royer 1974; Royer 1980; Allard et al. 1994). Key ingredients in our calculations are the potential energies $`V(R)`$ for each electronic state of the H$`{}_{}{}^{+}{}_{2}{}^{}`$ or H2 molecule ($`R`$ denotes the internuclear distance between the radiator and the perturber). For H-H+ collisions, we have used the H$`{}_{}{}^{+}{}_{2}{}^{}`$ potentials calculated by Madsen & Peek (1971) and, for H-H, the H2 potentials calculated by Detmer et al. (1998) and Schmelcher (2000). The resulting complete Ly-$`\beta `$ profile is shown in Fig. 1. The broad line satellite near 1150 Å is due to the perturbation in an atomic hydrogen collision corresponding to the $`\mathrm{B}^{\prime \prime }\overline{\mathrm{B}}^1\mathrm{\Sigma }_u^+\mathrm{X}^1\mathrm{\Sigma }_g^+`$ transition of H2.

The properties of the H2 $`\lambda 1150`$ CI satellite can be better understood by studying Fig. 2, which illustrates the difference potential energies $`\mathrm{\Delta }V(R)`$ for this transition:

$$\mathrm{\Delta }V(R)=V_{e^{}e}(R)=V_e^{}(R)V_e(R),$$
(1)
where $`e`$ and $`e^{}`$ label the energy surfaces on which the interacting atoms approach the initial and final atomic states of the transition as $`R\mathrm{}`$. The most significant characteristic of the potential curve is the existence of the double wells. Each extremum in the difference potential leads, in principle, to a corresponding satellite feature in the wing of Ly-$`\beta `$. Another important feature is that at larger internuclear separation, up to $`R=19`$ Å, the state has an ionic character. The ionic interaction weakens slowly ($`1/R^2`$ versus $`1/R^6`$ dependence) thus making the potential energy difference broad compared to the steep well of the B-X transition which gives rise to the 1600 Å satellite in the Ly-$`\alpha `$ wing. This different shape is important because the position of the extremum and the functional dependence of the potential difference on internuclear separation determine the amplitude and shape of the satellites (Allard et al. 1994).

The satellite amplitude depends also on the value of the electric dipole transition moment $`D(R)`$ (dashed line on Fig. 2) taken between the initial and final states of the radiative transition. The dependence of the moment on the separation of the atoms during a collision modifies relative contributions to the profile along the collision trajectory. Line profile calculations have been done in a classical path theory which takes into account the variation of the electric dipole moment during a collision (see, Allard et al. 1999). For the transitions contributing to Ly-$`\alpha `$ and Ly-$`\beta `$, we used the dipole moments for H$`{}_{2}{}^{}{}_{}{}^{+}`$ and H2 that Ramaker & Peek (1972) and Spielfiedel (2003) calculated as a function of internuclear distances.

The qualitative effects of the $`\mathrm{B}^{\prime \prime }\overline{\mathrm{B}}\mathrm{X}`$ transition can be discerned in Fig. 2, which shows the radiative dipole transition moment and the difference potential energies as a function of $`R`$. The transition dipole moment is small for most values of $`R`$ but shows a broad maximum at 4.5 Å, close to the broad minimum of the outer well in the potential difference. In contrast the dipole moment is small in the vicinity of the inner well in the potential difference. As a result, the main contribution from this transition is a CI satellite in the far wing centered at a frequency corresponding to the broad minimum (Allard and Kielkopf 1982).

The CI absorption depends strongly on the internuclear separation and produces a broad spectral feature with a characteristic width of the order of the inverse of the duration of the close collision.

The line satellite shown in Fig. 1 presents a shoulder at 1120 Å, a similar shape has been obtained for the 1600 Å satellite. In Fig. 6 of Allard et al. (1999) both theory and experiment show an oscillatory structure between the satellite and the line, with a minimum at about 1525 Å. These oscillations are an interference effect (Royer 1971; Sando & Wormhoudt 1973), and are expected to depend on the relative velocity of the collision and therefore on temperature. To conclude, we emphasize the importance of the accuracy of both the potential energies and the dipole moments for the line shape calculations and of a theory that takes into account the variation of the dipole moment during an atomic collision.

## 3 FUSE observation of G226$``$29

G226$``$29 (WD1647+591, DN Dra) is the brightest ZZ Ceti star. It was originally discovered to be variable by McGraw & Fontaine (1980) but the first detailed analysis of the light curve had been published by Kepler, Robinson, & Nather (1983). This is one of the best studied ZZ Ceti stars, for which Fontaine et al. (1992) proposed that pulsation properties could be interpreted assuming a “thick” hydrogen layer mass of $`\mathrm{log}q(\mathrm{H})4.4`$. Subsequent observations by the Whole Earth Telescope consortium (Kepler et al. 1995) and by HST/FOS (Kepler et al. 2000) allowed unequivocal mode identification and supported Fontaine et al.’s (1992) contention that G226$``$29 has a thick hydrogen layer. G226$``$29 defines the blue (hot) edge of the instability strip according to optical determination of Bergeron et al. (1995).

G226$``$29 was observed by FUSE as part of our Cycle 4 Guest Investigator Program D101. This ZZ Ceti star is the coolest white dwarf observed with this instrument so far. Two observations of four exposures each were obtained on 2003 March 11 and 12 in time-tagged photon address mode (TTAG) with the object in the 30”$`\times `$30” aperture (LWRS). The total duration was 29.1 ksec ($`8`$ h). Details of the FUSE instrument may be found in Moos et al. (2000) and Sahnow et al. (2000).

The one-dimensional spectra were extracted from the two-dimensional detector images and calibrated using version 2.4.1 of the CalFUSE pipeline. The FUSE detector segments of the two observations were co-added and projected on a $`0.6`$ Å-pixel base, i.e. pixels about 100 times larger than the original FUSE detectors pixels. This degradation of the FUSE spectral resolution (typically $`\lambda /\mathrm{\Delta }\lambda 15000`$ for this kind of target in the large slit; see Hébrard et al. 2002b; Wood et al. 2002) is of no effect on the shapes of the large stellar features that we study and allows us to increase the signal-to-noise ratio. At this resolution, no spectral shifts were detected between the different co-added spectra.

The two shorter wavelength segments (SiC1B and SiC2A, $`905`$ Å$`1000`$ Å) were not used as no significant stellar spectrum was detected on them. We also did not use the LiF1B segment in our final spectrum, which is known to present a large-scale distortion (the worm) in the flux calibration that spans the region of interest (see, e.g., Hébrard et al. 2002a). Thus, the range $`1105`$ Å$`1180`$ Å, in which the H2 satellite is detected (Sect. 4), comes from the LiF2A segment only. We checked that the H2 satellite is also detected on LiF1B, despite the alteration of the worm. This redundancy in the FUSE spectral coverage allow us to conclude that the feature around 1150 Å is real, and not the result of an instrumental artifact.

The final reduced spectrum is plotted in Fig. 3.

## 4 Synthetic spectra and comparison with the observation

We computed a small grid of LTE model atmospheres with pure hydrogen composition that explicitly include the Ly-$`\alpha `$ and Ly-$`\beta `$ quasi-molecular opacities. These are determined for $`T=12000`$ K, computed from absorption profiles that take into account a variable dipole, modulated by the Boltzmann factor (Allard et al. 1999). The atmosphere models have been calculated using the program TLUSTY (Hubeny 1988; Hubeny & Lanz 1992, 1995). The synthetic spectra were computed by using the spectral synthesis code SYNSPEC. The line satellites have a strong blanketing effect and have been included in both the atmosphere model and synthetic spectra calculations. Convection was treated within the usual framework of the mixing length approximation (MLT), where we used ML2/$`\alpha `$=0.6 (Bergeron et al. 1995).

Fig. 3 compares our best model to the FUSE spectrum of G226$``$29. The observed feature at 1150 Å is well reproduced by the predicted H2 satellite, both in terms of shape and wavelength position. This is the first detection and identification of that feature. We also computed a model without including the H-H interactions to appreciate how these interactions affect the far wing of Ly-$`\beta `$. Fig. 3 shows that this model (dotted line) neither produces the H2 $`\lambda `$1150 absorption feature nor the significant flux absorption down to 1085 Å. This illustrates that an accurate fit of the observed FUV spectra cannot be obtained without using the improved theoretical profile calculations including perturbations by both protons and neutral hydrogen presented by Allard et al. (2000).

As expected in that temperature range, the H$`{}_{}{}^{+}{}_{2}{}^{}`$ satellite at 1076 Å is also detected in spite of the low flux level. The H$`{}_{}{}^{+}{}_{2}{}^{}`$ satellite at 1058 Å is not clearly detected because of the too low signal-to-noise ratio. The H- absorption at 1130 Å (Wishart 1979) is detected; that H- feature was already detected in the FUSE spectrum of the cool DA white dwarf G 231$``$40 (Hébrard et al. 2002a).

The best fit is obtained for $`T_{\mathrm{eff}}`$$`=12000`$ K and $`\mathrm{log}g`$$`=7.9`$. That temperature is slightly lower than the one that Bergeron et al. (1995) determined from optical observations ($`T_{\mathrm{eff}}`$$`=12460\pm 230`$ K), and it is similar to the one reported by Koester & Holberg (2001), who fitted the HST/FOS data by adding the constraints of the V magnitude and the trigonometric parallax ($`T_{\mathrm{eff}}`$$`=12020`$ K). Our gravity, however, is significantly lower than those obtained in both studies ($`\mathrm{log}g`$$`=8.28.3`$). The causes of this difference are not fully understood yet. We are now investigating these causes and hope to resolve the discrepancy between our value of the gravity and those of Bergeron et al. (1995) and Koester & Holberg (2001). This work is beyond the scope of the present paper and will be presented elsewhere. In any case, that does not jeopardize our detection and identification of the quasi-molecular lines reported in this paper.

The model plotted in Fig. 3 was normalized by a free parameter in order to fit the FUSE spectrum. With that normalization, our model fits as well the shape of the IUE data of G226$``$29, at longer wavelengths ($`1250`$ Å$`2000`$ Å). However, we should point out that we need to divide the IUE flux by a factor of $`1.3`$ to bring it to the model. Small uncertainties in the background subtraction or misalignment of the target on the slit during the FUSE and IUE observations or both, could account for the flux discrepancy. It is worth mentioning that Hébrard et al. (2002a) fitted the FUSE and IUE data of the cool DA white dwarf G231$``$40 without applying any correction factors to the fluxes. Given that the flux of G231$``$40 is more than 20 times higher than the flux of G226$``$29, systematic uncertainties in the background subtraction are significantly reduced. It is also easier to quantify the alignment of the target on the slit as a function of time and maintain a reasonable photometric accuracy for a relatively bright target such as G231$``$40. We considered that a difference by a factor $`1.3`$ in the flux calibration of observations performed with 2 different instruments of a faint target is acceptable. Our model with $`T_{\mathrm{eff}}`$$`=12000`$ K and $`\mathrm{log}g`$$`=7.9`$ fits as well the UV spectra ($`1250`$ Å$`2500`$ Å) obtained with HST/FOS and presented by Kepler et al. (2000). We note that this HST/FOS spectrum was normalized in order to fit the IUE spectra.

## 5 Conclusions

We have presented the first far-UV spectrum of a ZZ Ceti star, namely G226$``$29, performed with FUSE. We fitted these data using theoretical calculations of stellar profiles that include perturbations by both neutral hydrogen and protons. The observed spectrum is well fitted, allowing us to reproduce the global shape of the stellar continuum, together with the H- absorption at 1130 Å, the H$`{}_{}{}^{+}{}_{2}{}^{}`$ quasi-molecular satellite 1076 Å (and marginally the one at 1058 Å), and a broad H2 CI satellite at 1150 Å. This is the first detection and identification of that H2 quasi-molecular satellite of Ly-$`\beta `$. This feature has been predicted but never observed up to now. The quality of the fit allows that absorption feature to be unambiguously identified.

This discovery confirms our theoretical prediction and gives confidence concerning the accuracy of the fundamental molecular data we used. In combination with existing optical and ultraviolet data, fits using such models will be used in the future to allow stellar parameters (temperature, gravity) to be constrained more accurately, and will provide insights crucial in the modeling of cool white dwarf atmospheres.

This work is based on observations made with the NASA-CNES-CSA Far Ultraviolet Spectroscopic Explorer. FUSE is operated for NASA by the Johns Hopkins University. Financial support to U.S. participants has been provided by NASA contracts NAS5–32985, NAG5–13714, NAG5–13715, and NAG5–11844 (JD). French participants are supported by CNES.


text:
# ECFA-Summary

## 1 Introduction

The recents results obtained within ECFA/DESY and ECFA Study for a Linear Collider (LC) for Higgs search in $`e^+e^{}`$ mode and in $`\gamma \gamma /e\gamma `$ option (Photon Linear Collider - PLC) are presented. For $`e\gamma `$ option results for testing anomalous gauge couplings are also shown. The extensive summary of the studies of Higgs physics in $`e^+e^{}`$ collisions and on physics at PLC can be found in Desch:2003xq  and DeRoeck:2003gv , respectively.

## 2 Higgs studies for an $`e^+e^{}`$ Linear Collider

The Linear Collider is considered as a tool for precision Higgs measurements, as it was shown in TESLA TDR tdr . The further study was concentrated on more realistic simulations of essential processes, and studying of new theoretical ideas and LHC-LC synergy.

### Higgs Quantum Numbers

New ideas how to test the spin and CP-parity of Higgs bosons were presented recently. One bases on Higgs boson decay into $`ZZ`$ mill  (results for PLC based on this idea are shown below). The other method uses the decay $`H\tau \overline{\tau }`$, with further decay of tau’s into $`\rho `$, where the correlation of the decay products of $`\tau `$’s allows to establish the CP-parity of a Higgs boson. The study of the process $`e^+e^{}HZ\tau \overline{\tau }X`$ for CM energy equal to 350 GeV and luminosity 1 $`ab^1`$ worek  shows that one can discriminate the scalar SM-Higgs with mass 120 GeV from the pseudoscalar one (with the same production rate as for $`H`$) at the 8 $`\sigma `$ level, see Fig. 1 (Left).

### Top Yukawa coupling

New analysis top  of the measurement of the Yukawa coupling of the SM Higgs particle $`h`$ to top quarks is extended to higher masses, up to 200 GeV, with inclusion of the $`hWW`$, and with full 6-fermion background (BG). The results for expected relative precision for $`g_{tth}`$ are presented in Fig. 1 (Right), for the energy of collision of 800 GeV, luminosity of 1 $`ab^1`$ and various final states (for two different background normalizations). Combining channels the precision can reach 6 to 14 %.

### Supersymmetric Higgs Bosons

The study of heavy Higgs bosons $`H`$ and $`A`$ has been performed for a particular MSSM scenario susy , in which the lighest Higgs boson $`h`$ couples to gauge bosons with a full strength ($`\mathrm{sin}(\beta \alpha )=1`$). Then $`H`$, with couplings to gauge bosons proportional to $`\mathrm{cos}(\beta \alpha )`$, is produced in $`e^+e^{}`$ collision predominanty in pair with $`A`$, with cross section $`\mathrm{sin}^2(\beta \alpha )`$. The decays of $`H`$ and $`A`$ are mainly to fermions $`b`$ and $`\tau `$’s, and both $`H`$ and $`A`$ are nearly degenerate in masses. The reconstructed difference and sum of masses, for the $`b\overline{b}`$ final state, with $`Br(H,Ab\overline{b})=`$0.9, presented in Fig. 2 for energy of $`e^+e^{}`$ collider of 500 GeV with luminosity of 500 $`fb^1`$ correspond to a precision 0.2 to 2.8 GeV.

## 3 Higgs resonance at Photon Linear Collider

A resonant production of Higgs boson(s), a unique feature of PLC, was studied in detail for Standard Model (SM), MSSM and Two Higgs Doublet Model (2HDM).

### $`b\overline{b}`$ final state

The realistic simulations of the production of SM Higgs boson with mass between 120 to 160 GeV decaying into $`b\overline{b}`$ were performed Niezurawski:2003iu ; Rosca:2003wa , including effect of overlaying events (OE) Niezurawski:2003iu . The accuracy of extraction of the $`\mathrm{\Gamma }_{\gamma \gamma }Br(Hb\overline{b})`$ is between 2 to 7 % (with OE) (Fig. 3).

The realistic analysis Niezurawski:2003ir  of production of heavy Higgs bosons $`H`$ and $`A`$ in MSSM, with parameters Muhlleitner:2001kw  corresponding to a case where only one SM-like Higgs particle $`h`$ can be seen at LHC (“LHC wedge”), shows large potential of PLC in search of $`H/A`$ (Fig. 4 (Left and Middle)).

### WW and ZZ final states

A detailed study of Higgs boson $`\varphi `$, with or without defined CP-parity, in processes $`\gamma \gamma \varphi WW/ZZ`$ is presented in Niezurawski:2002jx . It was found that interference with background allows to measure besides the decay width $`\mathrm{\Gamma }_{\gamma \gamma }`$ also the phase of amplitude $`\varphi _{\gamma \gamma }`$. This enlarges a discrimination power for various SM-like extensions (Fig. 4 (Right)), it is also useful to combine WW and ZZ channels. Parameters of CP-violation effects can be measured precisely: mixing angle $`\varphi _{HA}`$ in 2HDM and couplings $`\lambda _{A,H}`$ for a generic case, shown in Fig. 5.

## 4 Anomalous gauge coupling in $`e\gamma `$ collision

A study of measuring trilinear gauge couplings, $`\kappa _\gamma `$ $`\lambda _\gamma `$, from the hadronic decay of W at an $`e\gamma `$ \- collider at energy 450 GeV was performed in monig . An expected error are $`10^3`$ for $`\kappa _\gamma `$ and $`10^4`$ for $`\lambda _\gamma `$ if fit includes the azimuthal angle $`\varphi `$ of final fermion (Fig. 6(Left)). The contour plot for the deviation from SM for both couplings is given in Fig.6 (Right). It was found, that the uncertainty due to the variable photon beam polarizations is large for $`\kappa _\gamma `$, while negligible for $`\lambda _\gamma `$.

## 5 Outlook

A new ECFA Study continues precision theoretical and experimental studies of potential of LC for Higgs search and effects of new physics for $`e^+e^{}`$ and $`\gamma \gamma `$ and $`e\gamma `$ options.

Acknowledgment: I am grateful to K. Desch,P. Nie-
żurawski, F. A. Żarnecki, K. Moenig and J. Sekaric for valuable contributions to this summary.


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# The First Detailed X-ray Observations of High-Redshift, Optically-Selected Clusters: XMM-Newton Results for Cl 1324+3011 at 𝑧=0.76 and Cl 1604+4304 at 𝑧=0.90

## 1 Introduction

Clusters of galaxies provide a powerful probe of the nature of galaxy formation and the origin of structure; thus, quantifying their abundance and dynamical state is key to understanding the evolution of galaxies and their environment. Because X-ray luminosity ($`L_x`$) scales as $`(\mathrm{density})^2\times (\mathrm{temperature})^{1/2}`$, cluster identification based on $`L_x`$ preferentially selects the highest gas density regions; however, according to hierarchical structure formation, we expect, at early times, to observe clusters comprised of smaller “proto-clusters” with cooler gas (e.g., Frenk et al. 1996). Some evidence for this may be the breakdown in the X-ray–optical relations of moderate-to-high–redshift clusters which are selected optically. Specifically, X-ray observations of all optically-selected clusters at $`z0.4`$ indicate that they are weak X-ray sources, regardless of their measured richness or velocity dispersion, with luminosities of less than a few $`\times 10^{44}`$ erg s-1 (Castander et al. 1994; Bower et al. 1994, 1997; Holden et al. 1997; Lubin, Oke & Postman 2002). As a result, optically-selected clusters at $`z0.4`$ do not obey the local relation between X-ray luminosity and velocity dispersion. Their X-ray luminosities are low for their velocity dispersions, indicating that optically-selected clusters at these redshifts are underluminous (by up to a factor of $`40`$) compared to their X-ray–selected counterparts (see Figures 5 of Bower et al. 1997 and Lubin et al. 2002).

Very little is known about the specific causes of these differences as only the X-ray–selected clusters at high redshift, and largely the most luminous ($`3\times 10^{44}h_{70}^2`$ erg s-1) of these, have been the subject of more detailed X-ray studies (e.g., Donahue et al. 1999; Gioia et al. 1999; Ebeling et al. 2001; Stanford et al. 2001, 2002; Vikhlinin et al. 2002; Arnaud et al. 2002; Jones et al. 2003; Valtchanov et al. 2003). To address this issue, we have begun an XMM-Newton program to obtain structural and spectral data on the most well-studied sample of optically-selected clusters at $`z0.6`$, that of Oke, Postman & Lubin (1998). In this paper, we present the results from observations of Cl 1324+3011 at $`z=0.76`$ and Cl 1604+4304 at $`z=0.90`$. We adopt $`\mathrm{\Omega }_m=0.3`$, $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$, and $`H_0=70h_{70}`$ km s-1 Mpc-1.

## 2 The XMM-Newton Observations

Cl 1324+3011 was observed by XMM-Newton on December 12-13, 2001 for a total exposure of 39.6 ksec, while Cl 1604+4304 was observed on February 9-11, 2002 for a total exposure of 43.2 ksec. All data reduction and calibration was carried out using the XMM-Newton Science Analysis System. Light curves were created to identify times of high background. Time intervals with count rates greater than 5 ct/s in the MOS cameras and 10 ct/s in the PN camera were discarded. For Cl 1324+3011, the final exposure time is $`32`$ ksec. The Cl 1604+4304 observations suffered from major flaring activity resulting in total usable exposure times of only $``$ 15 ksec for the PN and $``$ 20 ksec for the MOS cameras.

Total images in the 0.3–10 keV band were created by combining the events from all three cameras. Both clusters are clearly detected as extended sources. To determine the extent of the emission, we produced azimuthally-averaged surface brightness profiles for each group with point sources masked out. At a level corresponding to 3-sigma above the background, X-ray emission is detected out to a radius of $``$ 100′′ (514 $`h_{70}^1`$ kpc) and $``$ 90′′ (490 $`h_{70}^1`$ kpc) for Cl 1324+3011 and Cl 1604+4304, respectively. The total number of source counts within these apertures is $``$ 900 for Cl 1324+3011 and $``$ 500 for Cl 1604+4304. Figures 1 and 2 show the XMM-Newton contours overlaid on Keck $`R`$-band images. As can be seen from Figure 2, there is another extended source to the southeast of Cl 1604+4304. Because there is no redshift information on the galaxies coincident with this emission, the nature of this source is unclear, and we have not included this region in our analysis. We fit the two-dimensional surface brightness profile of each cluster using the fitting routine Sherpa, which is part of the Chandra Interactive Analysis of Observations software package. The model was first convolved with the point spread function. The free parameters in the fit are the core radius ($`r_c`$), $`\beta `$, and the background constant. For Cl 1324+3011, there were enough counts to allow the ellipticity of the $`\beta `$ model to vary. Both clusters are well-described by a $`\beta `$ model, and the best-fit parameters (see Table 1) are consistent with values found for other rich clusters (e.g., Mohr, Mathiesen & Evrard 1999).

X-ray spectra were extracted for each camera using the apertures described above. A local region was used for the background. To derive the spectral properties of the diffuse gas, we fit the spectra with an absorbed MekaL model (Mewe, Gronenschild & van den Oord 1985; Kaastra & Mewe 1993; Liedahl, Osterheld & Goldstein 1995) using the software package XSPEC. In each case, we fixed the absorbing column to the Galactic value given in Dickey & Lockman (1990) and the gas metallicity to 0.3 solar. The results of the spectral fits are summarized in Table 1, where all errors correspond to 1 sigma.

The X-ray and optical centers of the clusters are well matched. The optical center, defined as the mean position of all spectroscoptically-confirmed cluster members (Postman, Lubin & Oke 1998; Lubin et al. 2002), is within $`8^{\prime \prime }`$ and $`11^{\prime \prime }`$ of the center of the X-ray contours for Cl 1324+3011 and Cl 1604+4304, respectively. The X-ray contours of both clusters are reasonably circular, although Cl 1604+4304 is slightly elongated in the north-south direction. Both clusters show indications of more complex morphologies similar to X-ray–selected clusters at these redshifts (e.g., Gioia et al. 1999; Stanford et al. 2001, 2002; Holden et al. 2002; Jones et al. 2003).

Both clusters are modest X-ray emitters with bolometric luminosities of only $`1.4`$ and $`2.0\times 10^{44}h_{70}^2`$ erg s-1 for Cl 1324+3011 and Cl1604+4304, respectively (see also Castander et al. 1994). Their measured temperatures are less than 3 keV (see Table 1), consistent with the expectation from the local $`L_xT`$ relation (Mushotzky & Scharf 1997; Markevitch 1998; Horner 2001). Modest cooling in the central cores of both clusters is likely, with cooling radii of $`100`$ kpc and cooling rates of $`10`$ M/yr. For Cl 1324+3011, we have sufficient counts to re-analyze the data excluding the central cooling regions. The resulting temperature is only 14% larger than, and well within the errors of, our original measurement, suggesting that the effect of cooling is not large.

## 3 Comparison to X-ray–Selected Clusters

### 3.1 The $`L_xT`$ Relation

Figure 3 shows the relation between bolometric luminosity and temperature for Cl 1324+3011 and Cl 1604+4304, as well as X-ray–selected clusters at $`z0.5`$. The two optically-selected clusters have X-ray properties which are consistent with those of the X-ray–selected clusters, and they follow well the high-redshift relation between luminosity and temperature. We observe no significant differences, at least with these two systems, between the $`L_x^{\mathrm{bol}}T`$ relation for X-ray versus optically-selected clusters at these redshifts.

We compare the high-redshift data to a large sample of clusters at low-to-moderate redshifts observed by ASCA and uniformly analyzed by Horner (2001). The sample contains 273 groups and clusters, selected in both the optical and X-ray, which vary significantly in galaxy and gas properties. Clusters with known substructure and cooling flows are not excluded. In Figure 3, we plot the best-fit $`L_x^{\mathrm{bol}}T`$ relation measured from 233 clusters in this sample, all of which have redshifts of $`z<0.5`$ and luminosities of $`L_x^{\mathrm{bol}}>10^{43}h_{70}^2`$ erg s-1. Although Horner (2001) does not attempt to minimize the effect of cooling flows on his measurements, the best-fit relation to these data are consistent with previous measurements made from smaller samples where the cooling regions have been excluded (e.g., Markevitch 1998). As noted previously, Figure 3 implies evolution in the $`L_x^{\mathrm{bol}}T`$ relation, with the high-redshift relation having a larger luminosity for a fixed temperature (see also Fairley et al. 2000; Holden et al. 2002; Novicki, Sorrig & Henry 2002; Vihklinin et al. 2002). However, the data points of the two optically-selected clusters are still consistent with, and well within the measured rms scatter about, the best-fit $`L_x^{\mathrm{bol}}T`$ relation at low redshift.

### 3.2 The $`\sigma T`$ Relation

While we observe no differences between our optically-selected clusters and their X–ray–selected counterparts when examining the X-ray–X-ray relations, we do observe strong differences in the X-ray–optical relations. Using spectroscopy taken at Keck, both Cl 1324+3011 and Cl 1604+4304 have accurately measured velocity dispersions of $`1016_{93}^{+126}`$ km s-1 (47 redshifts) and $`1226_{154}^{+245}`$ km s-1 (22 redshifts), respectively. These velocity dispersions were measured using a 3-sigma clipping technique on the full redshift distribution of galaxies within a $`2^{}\times 8^{}`$ region centered on each cluster. The average separation of the member galaxies from each cluster center is $`0.5h_{70}^1`$ Mpc, the radius out to which we detect the X-ray emission. Dispersions measured within smaller, fixed apertures have much larger uncertainties due to the smaller number of velocities used; however, they do agree, within the errors, with the measurements made using the full redshift data (Postman et al. 1998; Lubin et al. 2002). Based on the measured velocity dispersions and the local $`L_x^{\mathrm{bol}}\sigma `$ relation, the X-ray luminosities of these clusters are low by a factor of 3–40 (Postman et al. 1998; Postman, Lubin & Oke 2001; Lubin et al. 2002).

With the XMM-Newton data, we can now measure the relation between velocity dispersion and temperature for these clusters. This comparison is more physically meaningful since both the velocity dispersion of the galaxies and the temperature of the intracluster medium provide a measure of the overall mass of the system. Although the local $`\sigma T`$ relation shows a large, non-statistical scatter, the average relation is consistent with $`\sigma T^{1/2}`$, indicating that both the galaxies and the gas are isothermal and in hydrostatic equilibrium within a common potential (e.g., Edge & Stewart 1991; Lubin & Bahcall 1993). Moderate-redshift clusters up to $`z0.5`$ exhibit a similar $`\sigma T`$ relation (Mushotzky & Scharf 1997).

This correlation, and its significant scatter, is obvious in Figure 4 where we show the $`\sigma T`$ relation for clusters at low-to-moderate redshift taken from the Horner (2001) sample. For comparison, we plot our two optically-selected clusters, as well as all X-ray–selected clusters at $`z0.5`$ with measured velocity dispersions. The 11 high-redshift, X-ray–selected clusters are consistent, within the errors, with the local $`\sigma T`$ relation; however, there is an indication of a systematic offset from this relation, with a temperature that is higher, on average, by a factor of $`1.4`$ for a given velocity dispersion. Because the errors on most of the velocity dispersions, and some of the temperatures, are large, we cannot ascertain this difference for certain.

Our optically-selected clusters, on the other hand, appear as clear outlyers in this figure, with both clusters having a significantly lower temperature than expected from their velocity dispersions. Based on the best-fit relation to the data at $`z<0.5`$, we estimate that Cl 1324+3011 is cooler by a factor of 2–4, while Cl 1604+4304 is cooler by a factor of 3–9. However, if we include both the intrinsic scatter in the low-redshift $`\sigma T`$ data and the uncertainties in our temperature and velocity dispersion measurements, these results may be only a 4-sigma effect for Cl 1324+3011 and 5-sigma effect for Cl 1604+4304. We clearly need accurate temperature measurements for a larger sample of high-redshift, optically-selected clusters to determine if they all systematically fall above the local $`\sigma T`$ relation.

## 4 Conclusions and Discussion

We have presented the first detailed spatial and spectral studies of the intracluster medium in optically-selected clusters at high redshift using observations from XMM-Newton. The two clusters, Cl 1324+3011 at $`z=0.76`$ and Cl 1604+4304 at $`z=0.90`$, have very modest X-ray luminosities and are significantly underluminous for their measured velocity dispersions when compared to the local $`L_x\sigma `$ relation. Each cluster has a correspondingly low temperature which is consistent with both the low-redshift $`L_xT`$ relation and the high-redshift relation measured previously from purely X-ray–selected clusters at $`z0.5`$. This result suggests that the intracluster medium behaves similarly in both optically and X-ray–selected clusters.

The most obvious differences between the X-ray and optically-selected clusters at high redshift occur in the X-ray–optical relations, such as the $`L_x\sigma `$ mentioned above. We have now measured the $`\sigma T`$ relation for Cl 1324+3011 and Cl 1604+4304. Both clusters are outlyers when compared to cluster data at $`z<0.5`$. While X-ray–selected clusters at $`z0.5`$ are more consistent with the best-fit $`\sigma T^{1/2}`$ relation, both optically-selected clusters fall well above this relation, with temperatures that are cooler by factors of 2–9.

The exact cause of these results is still unclear. The evolution in the X-ray–optical relations may result from the fact that clusters at these epochs are still in the process of forming. On the optical side, we may measure an artificially high velocity dispersion because the cluster is embedded in a filament oriented along the line-of-sight or because there is a high rate of infall into the cluster environment (see Bower et al. 1997). While no obvious substructure is observed in either the angular or the redshift distribution of Cl 1324+3011 and Cl 1604+4304, it is not possible to determine whether these systems are truly virialized using the current data (Postman et al. 1998; Lubin et al. 2002). However, we know that at least one of the clusters, Cl 1604+4304, is a member of a large scale structure (Lubin et al. 2000), and we expect, based on semi-analytic models, that the infall rate increases strongly with look-back time (Kauffmann 1995).

On the X-ray side, the existence of substructure and/or the merging of subclumps can cause substantial changes in the properties of the intracluster medium. Simulations of cluster formation between $`z=1`$ and the present indicate a complex evolution in the emission-weighted temperature and surface brightness maps. Initially, the gas is distributed among many smaller, cooler subclumps, while, at intermediate times, incomplete relaxation results in substantial substructure in the system (e.g., Figures 2 & 3 of Frenk et al. 1996). For mergers of relatively equal-mass subclumps, the temperature and luminosity of the gas component are significantly boosted, with $`T/L_x`$ changing by several factors during the merger (Ricker & Sarazin 2001). Because of the complexity of these physical processes, we require considerably larger samples of well-studied clusters at $`z0.5`$, including lower luminosity systems such as the optically-selected clusters studied here, in order to characterize the effects of dynamical evolution on the observed X-ray and optical properties.

We would like to thank the anonymous referee, C.D. Fassnacht, and J.B. Oke for their useful comments and essential contributions to this paper. Support for this work was provided by NASA through grant NAG5-12373.


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# Electron Scattering in AlGaN/GaN Structures

## Abstract

We present data on mobility lifetime, $`\tau _t`$, quantum lifetime, $`\tau _q`$, and cyclotron resonance lifetime, $`\tau _{CR}`$, of a sequence of high-mobility two-dimensional electron gases in the AlGaN/GaN system, covering a density range of $`14.5\times 10^{12}`$cm-2. We observe a large discrepancy between $`\tau _q`$ and $`\tau _{CR}`$ ($`\tau _q\tau _{CR}`$/6) and explain it as the result of density fluctuations of only a few percent. Therefore, only $`\tau _{CR}`$ –and not $`\tau _q`$ – is a reliable measure of the time between electron scattering events in these specimens. The ratio $`\tau _t`$/$`\tau _{CR}`$ increases with increasing density in this series of samples, but scattering over this density range remains predominantly in the large-angle scattering regime.

In contrast to the extensively studied two-dimensional electron system (2DES) in AlGaAs/GaAs heterojunctions, the transport properties of 2DES in the more recently developed AlGaN/GaN system remain much less well understood. In particular the qualitative nature of the scattering mechanisms at low temperatures in this material remain controversial and the degree to which electron scattering is preferentially large- or small-angle is still under discussion. Electron scattering can be characterized by an average lifetime, $`\tau `$, between events and an average scattering angle, $`\varphi `$. Since each scattering event dephases the wavefunction, the quantum lifetimes, $`\tau _q`$, deduced from Shubnikov de Haas (SdH) measurement and from cyclotron resonance (CR) measurements, $`\tau _{CR}`$, are not expected to depend on $`\varphi `$, and both to be close to $`\tau `$. In contrast, the transport lifetime, $`\tau _t`$, deduced from mobility, measures the time for electron backscattering to occur. It depends heavily on $`\varphi `$ and must always exceed $`\tau _q`$ and $`\tau _{CR}`$. For large angle scattering, $`\varphi `$ is large and $`\tau _t`$ is very similar to $`\tau _q`$ and $`\tau _{CR}`$. If small angle scattering dominates, then $`\tau _t\tau _q,\tau _{CR}`$. Hence, the ratio of $`\tau _t`$ and $`\tau _q,\tau _{CR}`$ provides insight into the dominant electron scattering events Coleridge (1991); Sarma and Stern (1985).

A few groups have assessed the significance of one type of scatterers over another in AlGaN/GaN heterostructures Elhamri et al. (2000); Dimitrov et al. (2000); Brana et al. (2000); Harris et al. (2001); Frayssinet et al. (2000). Using a sample grown by molecular beam epitaxy (MBE) on a GaN template, Elhamri et al. Elhamri et al. (2000) measured a $`\tau _t/\tau _q`$ ratio of $``$20, suggesting the dominance of small-angle scattering in their specimen. Data from a single heterostructure grown on single-crystal GaN with $`n_{2D}`$ = 2.4$`\times 10^{12}`$cm-2 and mobility 60, 000cm2/Vs indicated $`\tau _t/\tau _q`$ 20, again suggesting that weak scatterers play the dominant role Frayssinet et al. (2000). A common feature of all these studies is the reliance on SdH data to asses the inter-event lifetime, $`\tau `$, which, as we will show in this report, can be unreliable in samples with even small density inhomogeneity. Also, so far there exist no data for $`n_{2D}<`$ 2$`\times 10^{12}`$cm-2. And even in the mid-$`10^{12}`$cm-2 range, only sparse data exist. Lastly, there are only a few reports on CR lifetime, $`\tau _{CR}`$. None of them compares the CR lifetime data to values of $`\tau _t`$ or $`\tau _q`$ of their specimens Wang et al. (1996); Knap et al. (1996, 1997); Li et al. (2002).

Here we report on data for $`\tau _t`$, $`\tau _q`$, and $`\tau _{CR}`$ measured on heterostructures with $`n_{2D}`$ ranging from 1 to 4.5$`\times 10^{12}`$cm-2. All measurements are performed at $``$4K where, in our specimens, only scattering from static scatterers (defects, interface roughness, residual impurities, etc.) contribute, and scattering by phonons is negligible pho . Our results from modeling SdH oscillations clearly indicate that $`\tau _q`$ is severely affected by density inhomogeneities. We propose it not to be a good measure for the time between scattering events in our samples. Instead, $`\tau _{CR}`$ provides a good measure for this inter-event lifetime and we can use it, in combination with $`\tau _t`$, to deduce the average scattering angle, $`\varphi `$. Our analysis shows that the scattering events in our samples are predominantly large-angle.

Our heterostructures are grown by MBE on GaN templates prepared by hydride vapor phase epitaxy (HVPE) on sapphire substrates. These templates have a typical dislocation density of $``$0.5-1$`\times 10^9`$cm-2. The 2D density, $`n_{2D}`$ was established during growth by controlling the thickness and Al$`\%`$ of the barrier layer. The sample parameters are listed in Table 1. Evaporated Ti/Al contacts were used to perform van der Pauw, low-field Hall and SdH measurements in the same cooldown. The first two measurements were used to determine the classical transport lifetime, $`\tau _t`$, from the Drude mobility $`\mu =e\tau _t/m^{}`$. The quantum lifetime, $`\tau _q`$, was derived from SdH data using the customary expression Coleridge (1991) for the oscillatory part of the magneto-resistance. CR experiments using a Fourier transform spectrometer were performed in a separate cooldown. The CR carrier lifetime, $`\tau _{CR}`$ is deduced from the half-width-at-half-maximum (HWHM=$`\mathrm{}/\tau _{CR}`$) of the broadened CR line. The magnetic field was applied perpendicular to the 2DES and the carrier density was measured in situ from the SdH oscillations.

Fig.1 shows the three lifetimes plotted against 2D electron densities. In spite of the sample-to-sample scatter in the data, there are several important observations that can be made. In this series of samples, the mobility lifetime, $`\tau _t`$, is roughly constant up to $`n_{2D}2\times 10^{12}`$cm-2 and then increases as the density rises to 4.5$`\times 10^{12}`$cm-2 The CR lifetime, $`\tau _{CR}`$, is very similar to $`\tau _t`$ for $`n_{2D}<`$2.5$`\times 10^{12}`$cm-2 and then decreases slightly for higher $`n_{2D}`$. The quantum lifetime, $`\tau _q`$, is found to be the shortest over the entire density range studied. The dashed lines drawn through the lifetimes are guides to the eye and are used for parameterization. The parameterizations are required since $`\tau _{CR}`$ was measured in cooldowns separate from those for SdH and mobility measurements. This produces slightly different densities, as seen in Fig.1 and a parameterization of the data helps us compare the $`\tau `$’s.

We first address the central result of our work: the huge discrepancy between $`\tau _{CR}`$ and $`\tau _q`$. Since we have observed shifts in SdH oscillations recorded at different contacts at the sample periphery, there is strong evidence that our specimens are inhomogeneous. Different local densities contribute slightly shifted oscillations in SdH and can affect the deduced $`\tau _q`$ in a very significant way. On the other hand, $`\tau _{CR}`$ is practically immune from density inhomogeneities across the specimen. The position of the CR resonance line $`\omega _c=eB/m^{}`$, depends only on the electron mass, $`m`$\*, which is essentially density independent non .The line broadening is caused almost exclusively by carrier scattering. Hence, $`\tau _{CR}`$, and not $`\tau _q`$, is a good measure of the inter-event lifetime, $`\tau `$.

In order to model the effect of inhomogeneities we assume a Gaussian distribution of densities of given width, $`\mathrm{\Delta }n`$. The “total SdH oscillations” are then modeled as the sum of the distribution of all “partial SdH oscillations”. Mathematically this amounts to a convolution of the magnetoresistance for the central density with a Gaussian of width $`\mathrm{\Delta }n`$. Fig. 2 shows a computer generated SdH trace for a density of $`n_{2D}`$= 4$`\times 10^{12}`$ cm-2 and a lifetime, $`\tau _q^0`$=1ps together with the results of a convolution with $`\mathrm{\Delta }n`$ = 0.02$`n_{2D}`$. Note that the convoluted trace is heavily damped but free of “beating”. It demonstrates that the absence of beating in data from such high density specimens does not guarantee a homogenous electron density. Interpreting the convoluted trace as single-density experimental data yields the correct average electron density of $`n_{2D}`$= 4$`\times 10^{12}`$ cm-2, but a lifetime, $`\tau _q`$= 0.18 ps, six times lower than the actual lifetime, $`\tau _q^0`$. Assuming $`\tau _{CR}`$ to reflect the true $`\tau `$ we performed simulations on all our specimens and deduce density inhomogeneities that decrease from $`\mathrm{\Delta }n`$=6$`\%`$ to 2$`\%`$ of $`n_{2D}`$ as the density increases from $`n_{2D}`$= 1 to 4.5$`\times 10^{12}`$ cm-2. From our SdH simulations, we conclude that the $`\tau _q`$’s determined from SdH measurements are not the true quantum lifetime of the 2DES. Instead, their relatively low value is caused by small ($``$2-6$`\%`$) density modulations in our samples. We emphasize that the 2DES in AlGaN/GaN is particularly susceptible to this effect due to its comparatively high electron density. In AlGaAs/GaAs systems, typically $`n_{2D}`$2$`\times 10^{12}`$ cm-2 and the required $`\mathrm{\Delta }n`$ for a similar suppression of $`\tau _q`$ is $`11\%`$. This is much larger than the observed inhomogeneity ($`<2\%`$) in AlGaAs/GaAs structures.

For the remainder of our discussion we take $`\tau _{CR}`$, to be a good measure of the inter-event lifetime, $`\tau `$. We compare it with $`\tau _t`$ to learn about the average scattering angle and wavevector, $`\varphi `$ and $`q`$, respectively. Since the 2DES is degenerate, all scattering occurs at the Fermi energy, $`E_F`$, between states of Fermi wavevector, $`k_F=\sqrt{2\pi n_{2D}}`$. Using a simple model pictured as an inset of Fig. 1, we can write $`sin(\varphi /2)=q/2k_F`$. Moreover, modeling the electron motion as a random walk, $`N^2`$ scatterings with average angle $`\varphi =180^0/N`$ are required for backscattering to occur and hence $`\tau _tN^2\tau (180^0/\varphi )^2\tau _{CR}`$. For $`\varphi =180^0`$ each scattering event reverses the momentum. In this limit, $`q=2k_F`$ and $`\tau _t\tau _{CR}`$. For $`\varphi 180^0`$, many scattering events are required for momentum reversal. Hence, $`q2k_F`$ and $`\tau _t\tau _{CR}`$. Using the above expressions, we can deduce $`\varphi `$ and $`q`$ from our data. To this end we have parameterized the data of Fig. 1 and show their ratio, $`\tau _t/\tau _{CR}`$, in Fig. 1 (see solid line). The variation of $`\tau _t/\tau _{CR}`$ 1 to 4.5 reveals that the average scattering angle $`\varphi `$ varies from $`180^0`$ to $`90^0`$ as $`n_{2D}`$ increases from 1 to 4.5$`\times 10^{12}`$cm-2. It indicates that large angle scattering dominates in the density regime of our samples. This observation is contrary to most reports on AlGaN/GaN and is a result of our usage of $`\tau _{CR}`$ rather than $`\tau _q`$ as a measure for the time between scattering events. Had we used $`\tau _q`$ instead, the average $`\varphi `$ would decrease to a range of $`73^0`$ to $`37^0`$. Using the above expressions and our $`\tau _t/\tau _{CR}`$ data, we can also derive the density dependence of the wavevector $`q`$. Beyond $`n_{2D}`$ 2.5$`\times 10^{12}`$cm-2 where the parameterization of our data is quite reliable (see Fig. 1) we find $`q`$ not to vary significantly. This indicates that scattering events of approximately constant $`q`$-value, whose average angle – and hence effectiveness – decreases with increasing density, are dominant throughout this regime.

Finally, we compare our data with available theoretical results. From Fig.3 of the work of Hsu and Walukiewicz Hsu and Walukiewicz (2002) we can estimate that for $``$10$`\%`$ Al, $`\tau _t`$/$`\tau `$ increases from $``$10 to $``$20 as $`n_{2D}`$ increases from 1 to 2$`\times 10^{12}`$cm-2 and drops as the density increases further. In contrast, we measure much smaller lifetime ratios that rise continuously from $``$1 to $``$4.5 as $`n_{2D}`$ increases from 1 to 4.5$`\times 10^{12}`$cm-2 (see our Fig. 1). The discrepancies may be due to the fact that large angle scatterers such as interface roughness and dislocations were not considered in Ref. Hsu and Walukiewicz (2002). Lifetime ratios limited by charged dislocations calculated by Jena and Mishra Jena and Mishra (2002) are found to be $`<`$10 (Ref.Jena and Mishra (2002), Fig.3 for $`\theta _c=\pi /10`$) and monotonically increasing up to $`n_{2D}`$ 10$`\times 10^{12}`$cm-2. The similarities between our data and these calculations support our model in which large angle scattering dominates. In fact, the average spacing of dislocations in our specimens is $``$400 nm as determined from AFM measurements. The mean free path deduced from the $`\tau _{CR}`$ and the Fermi velocity $`v_F=\sqrt{2E_F/m^{}}`$ values ranges between 200 and 300 nm. This suggests dislocations to be a major contributor to the overall low temperature scattering.

###### Acknowledgements.

We would like to thank L.N. Pfeiffer, K.W. West, S. Das Sarma, A. Millis and A. Mitra for helpful discussions. A portion of the work was performed at the National High Magnetic Field Laboratory, which is supported by NSF Cooperative Agreement No. DMR-0084173 and by the State of Florida. Financial support from the W. M. Keck Foundation and the Office of Naval Research is gratefully acknowledged.


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# Phase-dependent decoherence of optical transitions in 𝐏𝐫^limit-from𝟑+:𝐋𝐚𝐅_𝟑 in the presence of a driving field

(23 September 2003)

## Abstract

The decoherence times of orthogonally phased components of the optical transition dipole moment in a two-level system have been observed to differ by an order of magnitude. This phase anisotropy is observed in coherent transient experiments where an optical driving field is present during extended periods of decoherence. The decoherence time of the component of the dipole moment in phase with the driving field is extended compared to $`T_2`$, obtained from two-pulse photon echoes, in analogy with the spin locking technique of NMR. This is the first phase-dependent investigation of optical decoherence in the presence of a driving field.

There is strong and growing interest in the use of the coherence of optical transitions for quantum information and quantum technology applications. The realization of quantum computing with optical transitions is being pursued in a number of systems (Refs. Longdell and Sellars (2002); Hemmer et al. (2001); Cirac and Zoller (1995); Domokos et al. (1995), for example); there have been dramatic demonstrations of slow light and light storage Turukhin et al. (2002); Phillips et al. (2001); Liu et al. (2001) and there also exists a well-established program to develop optical coherent processing techniques (Refs. Cole et al. (2002); Tian et al. (2001), for example). Perhaps the most critical parameter in developing these technological ideas is the decoherence time of the transition dipole moment (TDM). Rare-earth doped crystals are especially interesting for these applications because of the long optical decoherence times that can be achieved.

Although it is typical to quote a value for the decoherence time $`T_2`$ (as measured using photon echoes), decoherence in these optical impurity sites cannot adequately be described using a single parameter. This was first demonstrated by DeVoe and Brewer DeVoe and Brewer (1983), when the decoherence rate for the 3H4 $``$ 1D2 optical transition of Pr3+:LaF3 in the presence of an optical driving field was found to be radically intensity dependent, in violation of the optical Bloch equations. Similar effects have since been observed for a number of optical transitions Szabo and Muramoto (1989); Sellars and Manson (1998); Yodh et al. (1984). Given that, in many systems, the applications listed above will require optically driving transitions for periods comparable to the decoherence time of the transition, it will be important to develop a detailed understanding of the effect of the driving field on the decoherence mechanisms. There is also a strong fundamental interest in forming a complete picture of decoherence in optical transitions generally.

Since both the optical driving field and TDM are quantities described by complex numbers, it is necessary to map out the intensity dependence as a function of their relative phase to fully characterize decoherence during interaction with the field. Until now, the possibility of a dependence of the dynamics on the relative phase of the driving field and the TDM has been experimentally neglected, despite the example of NMR (Ref. Redfield (1955)) and the suggestions of Sellars and Manson Sellars and Manson (1998) and Shakhmuratov Shakhmuratov (1999). We examine a well known system, Pr3+:LaF3 Wald et al. (1992), which like the majority of the transitions of interest in well ordered crystalline hosts at temperatures below 2 K, has a decoherence rate significantly in excess of that predicted from the lifetimes of the states. It is proposed that the extension of the observed decoherence time due to the driving field is independent of the specific decoherence mechanism, making these results applicable to any system where $`T_2`$ is not limited by $`T_1`$.

To map out the dependence of the decoherence rates on the optical field, two optical coherent transient techniques were employed: rotary echoes (RE) and radiation locking (RL). Figure 1 shows these pulse sequences and their effect in Bloch space. Two pulse photon echoes (2PE) were used to measure the decoherence time in the absence of a driving field, since the pulses in the 2PE sequence are brief compared to the evolution time of the system. The coherent transient experiments were conducted using a frequency-stabilized dye laser with a stability of 200 Hz over hundred-millisecond time scales and a Mach-Zehnder interferometer, with a frequency shift in one arm, to obtain phase sensitive heterodyne detection of the coherent transient signals Pryde et al. (2000). The crystal, immersed in a liquid He cryostat at 1.6 K, was oriented with the light propagating along the C3 axis with a static magnetic field of 500 G perpendicular to C3, to allow standardization with the experiments of DeVoe and Brewer DeVoe and Brewer (1983). The interaction strength of the field and the transition (Rabi frequency) was controlled using the laser intensity.

The RL pulse sequence Sellars and Manson (1998) consists of a $`\pi /2`$ pulse followed by a long (locking) pulse, shifted in phase (see Fig. 1). Although it was possible to observe the coherence as an FID at the end of the locking pulse, switching transients tended to distort the signal. To avoid this problem, a $`\pi `$ pulse was used to rephase this coherence of the TDM and observe it as an echo. It is normal to use a phase shift of $`90^{}`$ between the $`\pi /2`$ and locking pulses in the RL sequence. The resonant ions are promoted to an equal superposition of the ground and excited states by the first pulse, represented by their Bloch vectors lying along the $`v`$ axis. The locking field then holds the Bloch vector along $`v`$, analogous to spin locking in NMR Solomon (1959). Bloch vectors corresponding to nonresonant ions do not lie strictly along $`v`$ after the $`\pi /2`$ pulse and they precess in a cone about the locking field. During the locking period, the component of the off-resonant Bloch vectors in-quadrature with the driving field dephases, but the in-phase component is locked in the same way as for resonant ions. The coherence observed in the echo is from the component of the TDM in phase with the driving field, the other component having dephased. An artifact is observed in the coherent transient signal due to the inhomogeneous broadening - the locking and rephasing pulses together contribute a two pulse “echo” that appears entirely in the quadrature component. This artifact is easily separated from the real signal with phase sensitive detection.

In the current work, phase shifts (between $`\pi /2`$ and locking pulses) other than $`90^{}`$ were also employed. In this case, even the resonant ions have Bloch vectors with some component in-quadrature with the driving field. By varying the angle, $`\theta `$, between the TDM and the driving field, we could test for a dependence of the decoherence on $`\theta `$. Regardless of $`\theta `$, the real signal observed corresponds to the component of the TDM in-phase with the driving field.

The RE pulse sequence Wong et al. (1980) consists of two oppositely-phased pulses as shown in Fig. 1. Bloch vectors corresponding to resonant ions are rotated in the $`vw`$ plane by the first pulse. The phase-inverted pulse also achieves rotation in the $`vw`$ plane, but in the opposite sense. An echo is observed when the second pulse has rotated the Bloch vectors back to their original state and rephases them. Bloch vectors corresponding to non-resonant ions have non-zero $`u`$ components during the pulses, but these average to zero for a frequency-symmetric ensemble of ions. The RE was used to observe the effect of having the TDM in-quadrature with the driving field, since the ensemble-average Bloch vector is always in-quadrature.

The measurements of decoherence during driving, observed in the coherent transient experiments and presented in Fig. 2, can be easily summarized. The 2PE experiments define $`T_2`$ in the limit of zero Rabi frequency, and the data shows that they produce a decoherence time that is approximately equal to $`T_2`$ for all Rabi frequencies. The RE experiments yield a decoherence time that is approximately equal to $`2T_2`$ for all Rabi frequencies, as predicted by the optical Bloch equations (OBEs). The RL experiments yield decoherence times that are not predicted by the OBEs and are extended by up to a factor of 9.2 relative to $`T_2`$, demonstrating a large suppression of decoherence in the TDM component in-phase with the driving field. This is a clear demonstration that the orthogonally-phased components of the TDM decohere at different rates in the presence of a driving field.

The dependence of the decoherence of the in-phase component of the RL as the phase angle of the driving field is varied is also shown in Fig. 2. Here, the Rabi frequency of the driving field is held constant at 225 kHz. It can be seen that the dependence of the decoherence time of the in-phase component is nearly independent of the phase of the driving field with respect to the TDM.

The combined result that can be derived from Fig. 2 is that for a given Rabi frequency, the decoherence time of the in-phase component of the TDM is extended uniformly regardless of the relative phase of the TDM and driving field, while the in-quadrature component of the TDM decoheres, in the case of in-quadrature driving, at the expected rate based on 2PE measurements. Unfortunately, the artefacts due to inhomogeneous broadening prevent making a statement on the decoherence of the in-quadrature component for driving fields not in-quadrature with the TDM .

The elongation of the decoherence time of the in-phase component can be attributed to radiation locking, the optical analogy of spin locking in NMR. The term locking refers to the fact that the driving field maintains, or locks, the in-phase component of the Bloch vector at a fixed phase (the projection of the Bloch vector onto the coherence plane $`uv`$ represents the TDM in the optical experiment.) Fluctuations in the transition frequency that tend to disturb this phase are averaged out by the locking field when $`\chi /2\pi >\delta `$, where $`\chi /2\pi `$ is the Rabi frequency and $`\delta `$ is the amplitude of the fluctuations Redfield (1955); Shakhmuratov (1999). The component of the TDM that is in-quadrature with the driving field is expected to be unaffected by the presence of the driving field - no locking takes place because of the orthogonality. The observed results correlate with the results of Redfield, who observed the same phase anisotropy for NMR saturation experiments performed on metals Redfield (1955). In Pr3+:LaF3 at low temperature, $`\delta `$ 8-10 kHz Kessel’ et al. (1988). This interpretation is clearly consistent with the RL results presented here. It was not possible to use the RL sequence with Rabi frequencies at the 10 kHz level or below, because of signal-to-noise concerns (particular to the present experimental realization, and not generally limiting at this level). However, the turn-on of radiation locking effects at approximately this Rabi frequency is observed in FID experiments DeVoe and Brewer (1983), where the decay time begins to deviate from the OBE prediction at $`\chi /2\pi `$4 kHz. Sellars and Manson have explained that, in practice, saturation causes the driving field in a FID experiment to be largely in-phase with the TDM, as in RL experiments Sellars and Manson (1998).

Inhomogeneous broadening plays a significant, although not dominant, part in all of the coherent transient experiments reported. The 2PE and RE are least affected by the inhomogeneous broadening, since the concept of an echo is to completely reverse the dephasing due to inhomogeneous broadening, leaving only effects independent of the inhomogeneous broadening as contributors to the measured decoherence time. The main disadvantage of the inhomogeneous broadening in the present measurements is that it complicates the interpretation of RL experiments. The driving field and Bloch vectors corresponding to ions of all frequencies are at an angle $`90^{}\theta `$ in the ideal experiment, leading to output coherent transient components in both phases. In principle, one could extract the in-quadrature component of the coherent transient signal by inverting the phase of the driving field mid-pulse, and observing a rotary echo in-quadrature as well as the in-phase RL signals. This would lead to simultaneous decoherence time measurements for the two phases. However, in the real RL experiment, we observe that the effects of inhomogeneous broadening dominate the in-quadrature signal, masking the in-quadrature signal due to resonantly excited ions (off-resonant ions make no net contribution to the in-phase signal.) Furthermore, simple calculations, based on the assumptions of our interpretation of the lengthened in-phase decoherence time, indicate that the high power rolloff of the decoherence time, shown in fig. 2 (filled circles), for the RL is an a artefact of inhomogeneous broadening. Despite the complications of inhomogeneous broadening, the experiments presented here clearly demonstrate the anisotropy of the decoherence of the two orthogonal components of the TDM in the presence of a driving field, and the independence of the decoherence time of the in-phase component of the TDM from the relative angle of the TDM and the driving field. This latter conclusion supports the hypothesis that it is reasonable to resolve the TDM into its in-phase and in-quadrature components and think of the driving field acting on these components separately.

It is important to note that neither the phase dependence of decoherence during driving, nor the effects of inhomogeneous broadening, are peculiar to impurity-ion solids. The arguments also apply to atomic vapour spectroscopy where collisional dephasing and Doppler broadening are the decoherence and inhomogeneous broadening mechanisms respectively, and to other solid state systems such as quantum dots. In this respect, the present phase dependent study yields important general results. Although the simple radiation locking picture gives an adequate description of the extension of one component of $`T_2`$ in many systems, a detailed description of the system-dependent decoherence effects under general conditions may require a more complicated approach. The example of Pr3+:LaF3 is a case in point.

A series of stochastic models Kessel’ et al. (1988) have been proposed to account for the previous FID and rotary echo studies in Pr3+:LaF3 and ruby DeVoe and Brewer (1983); Szabo and Muramoto (1989). The starting point for all these models is the assumption that the system can be treated as an optically active two-level ion perturbed by a time dependent field which, it turn, is generated by a bath composed of the coupled spins in the host. These models do not explain consistently the complete set of observed experimental results, possibly because of the neglect of the phase dependence of the decoherence on the driving field. Kessel’ et al. have produced a model Kessel’ et al. (1988) that qualitatively agrees with the Redfield result and also with the work presented here and includes the idea of different decoherence times for the two components of the TDM. However, all the various models should be treated with caution since, in practice, the interaction between the optically active ion and the nearby host spins is stronger than the interactions between the host spins, making the ion/bath approximation invalid.

The typical interaction strength between the Pr and the nearest neighbour F is of the order 10 kHz Wald et al. (1992), whilst the interaction between neighboring Fluorines is in the range 1 - 10 kHz Muramoto et al. (1992). These relative interaction strengths allow the possibility of driving one or more Fluorine nuclear spin flips whilst optically driving the 3H4 $``$ 1D2 transition. We have calculated the approximate energy level structure and transition probabilities arising from the coupling of the Pr3+ ion to the nuclei of five of the nearest-neighbour fluorines in the lattice and observed that there are multiple ($`>15`$) coherence pathways (i.e. optical transitions from a manifold of superhyperfine levels to another such manifold) with transition strengths on the same order. This result is not strongly dependent on which five nearest neighbour nuclei are chosen. This calculation would be enhanced by inclusion of many more F neighbours, but it gives an indication of the importance of the superhyperfine interaction. In addition, hole burning experiments have displayed side hole structure arising from the superhyperfine interaction, showing up to 20% of the transition strength associated with the flipping of nearest neighbour F nuclei Sellars (1995). It would therefore seem necessary that any theory of optical decoherence in Pr3+:LaF3 must incorporate optical excitation from one superhyperfine manifold to another. It would also be possible to address the description of decoherence in these systems from an experimental perspective, by repeating the experiments presented in this paper in systems where the interactions within the bath are much stronger than the optically active ion’s interaction with the bath, and vice versa. Examples of appropriate rare-earth doped solids would be Eu3+:LaF3 for the former case and Pr3+:Y2SiO5 for the latter, since Eu3+-F interactions are much weaker than Pr3+-F interactions and the Y-Y nuclear interaction is much weaker than that for F-F. Experimental data from two systems such as this, coupled with the Pr3+:LaF3 data presented here, would form the basis for a detailed theory of optical decoherence due to magnetic couplings in solids; a theory that did not rely on the approximation of a two-level ion interacting with a bath.

In conclusion, the results presented form the first explicit phase-dependent study of optical decoherence in the presence of a driving field. The decoherence time of the component of the TDM in phase with a driving field has shown to be extended by nearly a factor of 10 relative to the photon echo measurement. The decoherence time of the TDM in quadrature with the driving field is not extended. These results are unaffected by the relative phase of the driving field and the prepared phase of the resonant ions. In analogy with spin locking in NMR, these results are interpreted as the rapid averaging out of the perturbations limiting the $`T_2`$ measured by photon echo or rotary echo experiments. This interpretation leads to a consistent explanation of the observed optical non-Bloch behaviour in Pr3+:LaF3 and ruby. The results will play an important part in the construction of quantum information demonstrations using optical transitions, and the fundamental understanding of the decoherence of transition dipole moments.