text:
# The SZ Effect as a Probe of Non-Gravitational Entropy in Groups and Clusters of Galaxies

## 1 Introduction

The evolution of galaxies and galaxy systems may be understoood in terms of a competition between two processes. One is the dominant gravitational drive of the dark matter (DM) that leads to hierarchical clustering; this builds up “haloes” that grow larger and deeper by the merging of smaller clumps (see Peebles 1993), and yet remain closely self-similar, i.e., with central densities and profiles which are nearly scaled versions of each other (see Navarro et al. 1995). The other process is the active response of the baryons contained in such potential wells; this strives to drive the radiative structures away from self-similarity.

Groups and clusters of galaxies provide an ideal testing ground for such a picture. On the one hand, their deep gravitational wells are dominated by DM masses ranging from $`M10^{13}`$ to $`10^{15}M_{}`$. Their sizes may be defined by the virial radius $`R`$ where the DM density $`\rho `$ at formation exceeds by a factor of about $`\mathrm{2\hspace{0.17em}10}^2`$ the background value $`\rho _u(z)(1+z)^3`$; they scale as $`R(M/\rho _u)^{1/3}`$, and match or exceed $`R1.5h^1`$ Mpc for the rich clusters. The well depths may be measured in terms of the circular velocities $`v=(GM/R)^{1/2}M^{1/3}\rho _u^{1/6}`$, which attain or exceed 1400 km s-1 in rich clusters today.

On the other hand, such wells also contain large masses of diffuse baryons, of order $`M_b0.15M`$ (White et al. 1993; White & Fabian 1995; Fukugita, Hogan & Peebles 1998); these are in the state of a hot plasma, the intra-cluster medium or ICM.

Its temperatures may be estimated on assuming also the ICM to be in virial equilibrium; this provides the scaling $`kTkT_Vv^2`$, and values in the range $`kT0.5÷10`$ keV in going from poor groups to rich clusters. By and large, these results are confirmed by the observations of many high-excitation lines at keV energies and of the X-ray continuum.

In fact, the ICM is well observable at X-ray energies through its thermal bremsstrahlung emission $`Ln^2T^{1/2}R^3`$, which from groups to rich clusters ranges from $`10^{42}`$ to several $`10^{45}`$ erg s-1 for typical densities $`n10^{(3\pm 1)}`$ cm-3.

But the same hot electrons also inverse-Compton upscatter the photons of the CMB, and thus they tilt slightly the black-body spectrum toward higher energies; at microwave wavelengths the result toward individual clusters is an apparent intensity decrement $`\mathrm{\Delta }I/I2y`$ in terms of the Compton parameter $`ynkTR`$. Numerical values $`|\mathrm{\Delta }I/I|10^4`$ had been predicted by Sunyaev & Zel’dovich (1972) (hence the acronym SZ effect), and are being measured in a growing number of rich clusters; for reviews and recent data, see Rephaeli (1995), Birkinshaw (1999), Carlstrom et al. (2000), Saunders & Jones (2000). The computation of $`y`$ and of related observables from a comprehensive model for the thermal state of the ICM constitutes the main scope of the present paper; its plan is as follows. In §2 we discuss how the SZ probe fits into the current debate concerning the role of non-gravitational processes in setting the thermal state of the ICM. In §3 we describe how we compute such state, and how our model fits into the current efforts toward including star formation and other baryonic processes in the hierarchical clustering picture; at the end of the section we show how the SZ observables are computed on the basis of our specific model. In §4 we present our results and predictions concerning the $`yT`$ relation and the integrated SZ observables, namely, the source counts and the average Compton parameter $`y`$. In §5 we discuss the building blocks of our model, and make contact with other related works; we also stress the generic aspects of the link between the $`yT`$ and the $`LT`$ relations. In the final §6 we summarize our predictions and conclusions.

## 2 The State of the ICM

Before we embark into technical issues, we discuss the framework of observations and theories in which the present work is to fit.

### 2.1 The self-similar picture

The simplest picture of the ICM would have its thermal energy to be of purely gravitational origin; that is to say, originated only by gravitational energy released on large scales comparable with $`R`$ as the external gas falls into the self-similar potential wells provided by the DM (Kaiser 1986), and thermalized by some effective coupling. By itself, the process would establish temperatures $`TT_V`$ and produce self-similar ICM distributions in the wells, with central densities $`n`$ just proportional to the DM density $`\rho `$, hence to the external $`\rho _u`$. If so, the DM scaling recast into the form $`RT_V^{1/2}\rho ^{1/2}`$ easily yields that the resulting X-ray luminosity should scale as

$$L_{grav}\rho _u^{1/2}T_V^2.$$
(1)
However, this simple picture is challenged – especially at the scales from poor clusters to groups of galaxies – by several recent X-ray observations.

### 2.2 Broken self-similarity

First, the observed shape of the $`LT`$ correlation departs from $`LT^2`$ and bends down progressively in moving from very rich clusters down to poor groups (see Ponman et al. 1996; Helsdon & Ponman 2000), as if lower $`T`$ should imply considerably lower values of $`n`$ and thus much lower luminosities $`L`$. Second, the profiles of the X-ray surface brightness do not appear to be self-similar, rather they flatten out at low $`T`$ (Ponman, Cannon & Navarro 1999). Third, the X-ray luminosity function $`N(L,z)`$ shows little or no evidence of cosmological evolution (Rosati et al. 1998); if anything, weak negative evolution may affect the bright end of the LFs, but surely the data rule out the strong, positive “density evolution” that would prevail if the relation $`n\rho `$ held and kept $`L(z)`$ roughly constant.

All that points toward an ICM history more complex than pure, gravitational heating from infall into the forming DM potential wells, as already realized by Kaiser (1991). It rather suggests additional heating by injection of some non-gravitational energy, which ought to be more important for the shallower wells of the groups to the point of breaking there the simple assumption $`n\rho `$.

To single out the baryonic processes responsible for this, it is clearly useful (see Cavaliere 1980, and Bower 1997) to consider the ICM specific entropy (in Boltzmann units) $`S=lnp/n^{5/3}lnkT/n^{2/3}`$, the one combination of $`T`$ and $`n`$ that is invariant under pure adiabatic compressions of the gas falling into the wells. Data and N-body simulations (Lloyd-Davies, Ponman & Cannon 1999) concur to show that in moving from clusters to groups this quantity is far from behaving in the way suggested by the self-similar scaling

$$S_{grav}lnT_V\rho _u^{2/3}.$$
(2)
In fact, when the values averaged out to $`10^1R`$ are plotted as a function of $`T`$, they level off to a “floor” corresponding to $`e^SkT/n^{2/3}100`$ keV cm2. On the other hand, in clusters $`S`$ as a function of $`r`$ increases outwards (see Lloyd-Davies, Ponman & Cannon 1999). These behaviours indicate that the entropy is enhanced in two ways relative to the self-similar scaling, both in the present groups and during the history of the clusters.

### 2.3 Non-gravitational processes

One promising explanation of all these observational features goes back to heating/ejection of the ICM by thermal/mechanical feedback effects from star formation during the process of galaxy build up and clustering into groups (Cavaliere, Menci & Tozzi 1997, 1999; Wu, Fabian & Nulsen 1998; Valageas & Silk 2000; Fujita & Takahara 2000).

We shall adopt as a baseline the injections of momentum and of thermal energy contributed both by stellar winds (Bressan, Chiosi & Fagotto 1994) and by Type II Supernovae (SN) that follow the formation of massive stars in shallow wells. The latter include not only the current groups, but also the progenitors of current clusters; in fact, the hierarchical clustering paradigm envisages such events to take place also during the early phase of a cluster’s history when the progenitors were just groups, which subsequently grew by the progressive inclusion of additional mass lumps of comparable or smaller sizes.

Such combined feadback effects naturally imply the ICM to be not only pre-heated to about $`0.2÷0.3`$ keV, but also to be dynamically ejected outwards to the perifery of the DM haloes, at low densities $`n10^4`$ cm-3. This is how a relatively high entropy level corresponding to $`kT/n^{2/3}10^2`$ keV cm2 may be attained in groups as well as in the central regions of the forming clusters. In the latter, the subsequent evolution will include adiabatic compression of the gas accreted along with the DM into the deepening wells (Tozzi & Norman 2000), a process that conserves entropy. But the gas falling supersonically into such deep potential wells will also pass through strong accretion shocks at about the virial radius $`R`$, the process whereby the ICM is actually heated to the current high temperatures of order $`T_V`$. By the same token, much additional entropy is deposited in the outer regions, corresponding to shock conversion of the bulk inflows $`v_1v`$ into thermal energy.

This scenario leads one to expect in the groups not only lower densities, and much lower bremsstrahlung emission compared with the scaling $`LT^2`$, as observed; but it also leads to expect little cosmological evolution for the population of bremsstrahlung emitters constituted by groups and clusters. This is because in the X-ray luminosity function $`N(L,z)`$ the “density evolution” driven at medium-low $`L`$ by the hierarchical clustering is balanced by the lower luminosities corresponding to a steeper $`LT`$ correlation.

In fact, we have investigated and computed elsewhere in detail (Menci & Cavaliere 2000, hereafter MC2000; Cavaliere, Giacconi & Menci 2000, hereafter CGM2000) how the stellar feedbacks (heating combined with ejection) affect the ICM and its X-ray emission $`Ln^2R^3T^{1/2}`$, which is particularly sensitive to changes of the central ICM density.

### 2.4 The SZ probe

In the present paper we stress the complementary probe provided by the SZ effect. The CMB modulation $`\mathrm{\Delta }I/I2ynkTR`$ introduced in §1 provides another observable combination of $`T`$ and $`n`$ which depends on the thermal and on the mechanical feedback in a more balanced way.

In parallel with the scaling for $`L`$ provided by eq. (1), the self-similar scaling for $`y`$ reads

$$y_{grav}\rho _u^{1/2}T_V^{3/2}.$$
(3)
We shall investigate how the actual $`y`$ also departs away from $`y_{grav}`$ due to $`n\rho `$ and $`TT_V`$ holding at groups scales, and shall discuss how the relative relative strength $`y/y_{grav}`$ of the SZ signal is related to entropy. Our investigation will start with computations based upon specific semi-analytic modelling for the baryons in groups and clusters, in particular for those diffuse and hot constituting the ICM.

## 3 Semi-analytic Modelling of the ICM State and Evolution

In the scenario outlined in §2.3 the processes responsible for the non-gravitational entropy floor in groups in clusters are just the same as those governing the formation history of stars and galaxies. At galactic scales, they tend to suppress the star formation in the earlier and shallower potential wells. The observable consequences include flattening of the local, optical LF function at faint-intermediate luminosities, and a decline of the integrated star formation rate for $`z2`$; but the degree of such a decline sensitively depends on the feedback strength in the relevant wells.

The picture has been quantitatively implemented in the so-called semi-analytic models for star and galaxy formation (SAMs, see Kauffmann et al. 1993; Cole et al. 1994; Somerville & Primack 1999). These are built upon the notion of galaxies as baryonic cores located inside DM haloes (White & Rees 1978); they specify – though often in a phenomenological form – how the baryons are cycled among the condensed stellar phase, the cool gas phase and the hot gas phase, under the drive of the merging events that make up the hierarchical evolution of the DM haloes.

Since the very same DM and baryonic processes also play a key role in determining the state of the ICM on scales larger than galactic, we take up the SAM approach in its latest versions, and use it to evaluate the amount of non-gravitational heating of the ICM and to predict the corresponding SZ effect. Our model is necessarly complex as it comprises several processes and many computational steps, so we outline its frame and workings in the form of a flow chart in fig. 1.

### 3.1 Our SAM: the DM and stellar sectors

We base on an updated version of the SAM originally presented in Poli et al. (1998). In this approach the average over the many possible merging histories of a given structure is performed by convolution over the merging probability functions given by Lacey & Cole (1993) and tested, e.g., by Cohn, Bagla & White (2000); the average also includes the convolution with the probabilities for galaxy aggregations driven by dynamical friction inside common haloes. Toward computing the stellar observables, the model treats the following processes.

1) The DM haloes merge following the hierarchical clustering. The detailed merging histories are important for the problem at hands, since the gas carrying the non-gravitational entropy is pre-heated/expelled from condensations smaller than present-day systems, and is subsequently accreted by larger haloes. The time delays between heating/expulsion and accretion propagate up the structure hierarchy the aftermaths of the feedback.

2) Part of the hot gas mass $`m_h`$ diffused throughout the haloes cools down in all differently-sized potential wells, then condenses into stars on the timescale $`\tau _{}`$, see Table 1. The amount of cool gas is also controlled by the stellar feedback. This is because the condensation in stars of a mass $`\mathrm{\Delta }m_{}`$ eventually causes stellar winds and SN explosions to release a total non-gravitational energy $`E_{}=E_{SN}\eta _{SN}\mathrm{\Delta }m_{}`$ ergs, where $`E_{SN}10^{51}`$ erg is the energy of a Type II SN explosion, $`\eta _{SN}\mathrm{3.2\hspace{0.17em}10}^3/M_{}`$ is the efficiency in SNe for the Scalo IMF. Part of such energy is coupled to the gas and reheats an amount of cool gas $`\mathrm{\Delta }m_h`$; in the SAMs this is often related to $`\mathrm{\Delta }m_{}`$ by the phenomenological assumption $`\mathrm{\Delta }m_h=\mathrm{\Delta }m_{}(v/v_h)^{\alpha _h}`$, with typical values for the fraction of reheated gas given by $`f_{}\mathrm{\Delta }m_h/m_h10^1`$.

The importance of the thermal effects of the feedback is expressed in terms of the above parametrization by the “stellar” temperature

$$kT_{}=(1q_0)E_{}m_p/3\mathrm{\Delta }m_h,$$
(4)
where $`q_010^1`$ is the fractional energy going directly into bulk motion of the material; $`KT_{}`$ is to be compared with the virial temperature $`kT_V`$. In the way of a preliminary estimate, note that $`kT_{}=0.7\mathrm{\Delta }m_{}/\mathrm{\Delta }m_h0.2`$ keV holds for a stellar baryonic fraction exceeding $`1/5`$, the low value actually appropriate only for rich clusters. But $`kT_V0.2`$ keV is also the virial temperature corresponding to $`M\mathrm{5\hspace{0.17em}10}^{12}M_{}`$; so in galaxies and in poor groups the stellar heating is expected to cause the gas to flow out of the wells. In the numerical model the process is evaluated in detail for all haloes.

In fact, the scale dependence of the feedback is marked by the key parameter $`\alpha _h`$. To identify its relevant range consider the ratio between the work done in moving the gas out of the well and the actual bulk kinetic energy, given by $`ϵ_0=f_{}m_hv^2/q_0E_{}(v/v_h)^{2\alpha _h}`$. The proportionality constant turns out to be around $`0.5`$ for our fiducial values $`E_{SN}=\mathrm{5\hspace{0.17em}10}^{50}`$ erg, $`\eta _{SN}=\mathrm{5\hspace{0.17em}10}^3/M_{}`$ (with the contribution from stellar winds included after Bressan et al. 1994) and for $`q_0=0.1`$; so the reheated gas does escape from the relevant haloes with circular velocities $`vv_h`$ when one takes $`\alpha _h2`$, but it constitutes a fraction $`f_{}`$ that decreases with increasing $`v`$.

In the model development presented by MC2000 and CGM2000 we allowed this parameter to range from the extreme value $`\alpha _h=5`$ adopted by other workers to our fiducial value $`\alpha _h=2`$. The former value (hereafter case $`𝒜`$) yields $`ϵ_0v^3`$, which in the shallow early wells constitutes quite a strong feedback, well over and above the escape energy barrier; this leads to considerable depletion of the cool baryons and causes the star formation rate to decline sharply for $`z>\text{ }2`$. The latter value (hereafter referred to as case $``$) instead yields a moderate and “neutral” feedback corresponding to $`ϵ_0=`$ const; thus even the shallow, galactic haloes are allowed to retain considerable amounts of gas, and the resulting star formation rate is high and rather flat for $`z>\text{ }2`$.

The values of this and of other relevant parameters are collected in Table 1. These lead to the B-band luminosity functions of the galaxies and to the cosmic star formation rate presented in MC2000, when the critical universe dominated by Standard Cold Dark Matter is adopted. In the canonical $`\mathrm{\Lambda }`$-dominated flat universe the same set of parameters leads to the results presented by Poli et al. (1999) together with the related galaxy sizes and Tully-Fisher relation, and discussed by CGM2000.

### 3.2 Our SAM: the ICM sector

The SAM used in the present paper includes also the processes relevant to the ICM that have been developed and implemented in MC2000 and CGM2000. In those papers the baryonic component condensed into stars has been used to normalize the model parameters to the optical observations, and the cool gas component has been presented for a final check with relevant data; but our main focus was onto the hot gas identified with the ICM, and onto its X-ray emission $`L`$. The hot ICM gives also rise to the SZ effect of interest here, so the enumeration begun in §3.1 is continued next, to cover also the following processes relevant to the present scope.

3) The accretion of external gas into the potential wells of groups and clusters sets the boundary condition for the internal gas disposition. To this aim, we compute the density and temperature of groups and clusters at their virial radius $`R`$. This is done in terms of the external temperature $`T_1`$ of the gas to be accreted during the merging histories of groups and clusters; $`T_1`$ is set not only by the virial equilibrium inside the merging lumps but also by the feedback, and the more strongly so the closer to $`T_{}`$ are the virial values. Our computation comprises the following steps.

First, we assume that the DM density $`\rho (r)`$ inside the cluster has the form given by Navarro, Frenk & White (1997), and that the density $`n_1`$ external to the virial radius $`R`$ is related to the baryon density $`\mathrm{\Omega }_b`$ by $`n_1=\rho (R)\mathrm{\Omega }_b`$.

Next, for a group or cluster of mass $`M`$ we compute the temperature $`T_1`$ of the external infalling gas. In particular, for each lump of mass $`M^{}`$ accreted onto $`M`$ we consider two contributions: the fraction $`1f_{}(M^{})`$ remains inside the potential well of $`M^{}`$ at the virial temperature $`T_V(M^{})`$, while the fraction $`f_{}(M^{})`$ is ejected by the winds and the SNe gone off within $`M^{}`$, and is heated to the temperature $`T_{}`$ given by eq. (4).

Last, we assume that the external gas is incorporated into the mass $`M`$ passing through a shock front at a position close to the virial radius $`R`$. This is expected because the latter separates the region which is in hydrostatic equilibrium from the outer regions where the motion is dominated by infall (see also Bower et al. 2000), and so defines the transition from infall kinetic to thermal energy of the gas. Shock positions close to $`R`$ are confirmed by many 1-D and 3-D N-body simulations (e.g., Knight & Ponman 1997; Takizawa & Mineshige 1998; Pantano, Gheller & Moscardini 1998; Governato et al. 2001, in preparation).

Then we compute the density $`n_2`$ and the temperature $`T_2`$ of the ICM at the boundary $`R`$ of a group or cluster from the jump conditions at the shock; these are derived from mass and momentum conservation across the shock (the classic Rankine-Hugoniot conditions), and are expressed here in terms of the cluster potential $`\varphi _2`$ at the boundary, and of the temperature of the incoming gas. The thermal energy $`kT_1`$ associated with an accreted lump $`M^{}`$ is contributed by the virialized component at $`T_V^{}`$ and by the ejected component at $`T_{}^{}`$, with their weigths $`1f_{}^{}`$ and $`f_{}^{}`$ introduced above. Thus, the weighted density jump $`Gn_2/n_1`$ at the shock in the ICM of the considered group/cluster of mass $`M`$ is given by

$$G(M,M^{})=f_{}^{}g(T_{}^{})+(1f_{}^{})g(T_V^{});$$
(5)
the density jump for either component has the form (Cavaliere, Menci & Tozzi 1999) $`g(t)=2(1t)+[4(1t)^2+t]^{1/2}`$ in terms of variable $`t=T_{}^{}/T_2`$ or $`t=T_V^{}/T_2`$, respectively. The full expression for $`T_2`$ is given by the same authors (see their eq. 8), but for strong shocks it reads simply

$$kT_2(M)\mu m_p\varphi _2(M)/3+3kT_1/2,$$
(6)
in the approximation of small bulk kinetic energies downstream. Note that for given $`M^{}`$ the weighted jump $`G(M)`$ increases with $`M`$, but saturates to the value 4 when $`MM^{}`$, that is, for strong shocks.

For a cluster or group of mass $`M`$ we obtain the average values of the weighted density jump and of the boundary temperature $`T_2`$ by integrating over the merging histories; that is, we sum over all accreted lumps $`M^{}`$ with their relative merging probabilities by inserting the above expressions eqs. (4) – (6) in the semi-analytic context. This will introduce dispersion in the boundary conditions due to the intrinsic spread of the merging histories; we recall (Cavaliere, Menci & Tozzi 1997, 1999) that the scatter we predicted for the $`LT`$ correlation agrees with the findings by Markevitch (1998) and by Allen & Fabian (1998).

We have numerically checked that for weaker and weaker feedback the average of $`G`$ over the merging histories goes to a constant, so that the self-similar scaling $`LT^2`$ is recovered as expected.

4) The final process relevant to the ICM is the hydrostatic equilibrium, from which we compute the internal gas density profile, given the above boundary conditions. The gas density run $`n(r)/n_2`$ is related to the DM density profile $`\rho (r)`$ in terms of the parameter $`\beta =\mu m_H\sigma _2^2/kT_2T_V/T_2`$, the ratio of the DM to the gas specific energy ($`\sigma _2`$ is the 1-D velocity dispersion of the DM at the boundary, related to $`\varphi _2`$). While in the case of isothermal ICM and of constant $`\sigma (r)`$ the run is simply given by $`n(r)/n_2=\rho ^\beta (r)/\rho _2^\beta `$ (Cavaliere & Fusco Femiano 1976, Jones & Forman 1984), here we use the expressions given by Cavaliere, Menci & Tozzi (1999) for the potential of Navarro et al. (1997) and for a polytropic, but nearly isothermal ICM. 111Because $`T(x)`$ is observed to be close to constant, we distinguish $`T_V,T_2`$ and $`T`$ (the latter may be taken to be the emission-weighted temperature) only when relevant. Thus, for a mass $`M`$ at the redshift $`z`$ we compute the inner ICM profiles $`n(x)/n_2`$ and $`T(x)/T_2`$ in terms of the normalized radius $`x=r/R`$. This is achieved basically with no free parameters (see §5 for a discussion) since the profiles are defined in terms of the boundary conditions and of the depth of the DM potential wells. In particular, for rich clusters $`T_2T_1`$ holds and the shocks are strong, so the expression of $`\beta `$ obtains simply on using the expression (6) for $`T_2`$ to obtain $`\beta 1/(1+3/2T_1/T_V)`$. On the other hand, for decreasing $`M`$ the value of $`\beta `$ decreases to attain values $`1/2`$ for small groups, which yield gas density profiles significantly shallower than in clusters in agreement with Ponman, Cannon & Navarro (1999).

Fig. 1 provides a representation and a summary of the processes and of the computational steps we use to set the boundary conditions and the internal structure of the ICM. Our assumptions and fiducial choices are discussed in §5.

We refer to our previous papers MC2000 and CGM2000 for added details and for the results concerning the X-ray observables. In short, these include: $`\beta `$ decreases and the relation $`LT`$ bends down in moving toward systems of lower $`T`$, while $`N(L,z)`$ shows little or no cosmological evolution, all in good agreement with the observations. In addition, the counts of X-Ray sources from the ICM are predicted to be enhanced corresponding to high values of the star formation rate at $`z>\text{ }1.5`$.

Here we epitomize the effectiveness of our model by showing in fig. 2 the central ICM entropy as a function of the X-ray temperature $`T`$. Such entropy is given by the ratio $`T(r)/n(r)^{2/3}`$ and is computed on using the profiles discussed above. Ultimately, these are determined by the global gravitational and by the feedback-induced energies associated with the gas in the infalling clumps.

The result is compared with the data presented by Ponman, Cannon & Navarro (1999) and by Lloyd-Davies, Ponman & Cannon (2000). We recall that entropy is of special value as a state variable for the ICM; in fact, in conditions of long cooling times it keeps the archive - as it were - of the thermal events (different from adiabatic compressions) which are associated with the ICM gravitational heating/compression and with the non-gravitational heating/ejection.

### 3.3 The SZ effect from our SAM

Here we focus on how we use the above model to compute the SZ effect from the ICM in groups and clusters. The basic relations will be just recalled, having been covered in many excellent reviews beginning with Sunyaev & Zel’dovich (1980) and including Rephaeli (1995) and Birkinshaw (1999).

The Compton parameter induced by the ICM column displaced from the center by the distance $`w`$ on the plane of the sky may be written as

$$y(w,M)=2\frac{\sigma _Tk}{m_ec^2}𝑑lT(r)n(r)=2\frac{\sigma _T}{m_ec^2}kT_2n_2R𝑑x\frac{x}{\sqrt{x^2w^2}}\frac{T(x)}{T_2}\frac{n(x)}{n_2},$$
(7)
where $`\sigma _T`$ is the Thompson cross-section, and $`dl`$ is the path element through the structure along the line of sight. Our SAM provides $`T_2`$, $`n_2`$ at the boundary and the profiles $`T(x)/T_2`$, $`n(x)/n_2`$ all depending on the structure mass $`M`$, as described in §3.2. We extend the integrations to infinity, but take into account the temperature and density jumps at $`r=R`$ across the shock.

The SZ distortion of the CMB spectrum at a frequency $`\nu `$ is given by

$$\mathrm{\Delta }I/I=yj(\xi ).$$
(8)
The function $`j(\xi )`$ depending on $`\xi h\nu /kT_B`$ is given by Sunyaev & Zel’dovich (1980) in terms of the temperature $`T_B`$ of the CMB black-body spectrum; $`j2`$ holds in the Rayleigh-Jeans limit $`h\nu kT_B`$, appropriate for $`\mu `$wave observations. On the other hand, $`j(\xi )`$ becomes positive beyond $`\nu 220`$ GHz; so the SZ effect offers a second chance to measure or check $`y`$ in the sub-mm band, which is clean of radiosources and is now coming of age with the recent or planned sub-mm instrumentation.

The signal from a individual structure at a redshift $`z`$ in a detector beam with effective aperture $`\theta _b`$ and angular response $`\psi (\theta /\theta _b)`$ produces the equivalent flux

$$S_\nu =2\frac{(kT_B)^3}{(hc)^2}J(\xi )\mathrm{\hspace{0.17em}2}\pi _0^{\mathrm{}}𝑑\theta \theta \psi (\theta /\theta _b)y(\theta )=J(\xi )\left[\frac{\overline{y}}{\mathrm{5\hspace{0.17em}10}^6}\right]\left[\frac{\theta _b}{1.5^{}}\right]^2\mathrm{mJy}.$$
(9)
Here the function $`J(\xi )`$ is related to $`j(\xi )`$ as described by Sunyaev & Zel’dovich (1980); angles $`\theta `$ correspond to $`w`$ as given by $`\theta =w/D_A`$, $`D_A`$ being the angular diameter distance; the area averaged Compton parameter is given by $`\overline{y}=2\pi _0^{\mathrm{}}𝑑\theta \theta \psi (\theta /\theta _b)y(\theta )/\pi \theta _b^2`$. For an individual structure the interesting condition occurs when it fills the aperture, that is, when $`\theta _b<\text{ }R/D_A`$.

A related observable is provided by the cosmic average of the Compton parameter, that is, the integrated distortion of the CMB spectrum produced by all groups and clusters distributed in a given beam along the line of sight out to the redshift $`z`$. This is given by

$$y=_0^z𝑑z^{}\frac{dV(z^{})}{dz^{}}𝑑MN(M,z^{})\left(\frac{R}{D_A}\right)^2_0^{\mathrm{}}𝑑\theta \theta \psi (\theta /\theta _b)y(M,\theta ),$$
(10)
where $`V(z)`$ is the cosmological volume, and we take the mass function $`N(M,z)`$ to have the Press & Schechter form that lies at the base of the all SAM descriptions of DM merging process.

Finally, the source counts corresponding to fluxes larger than $`S_\nu `$ (Korolëv, Sunyaev & Yakubtsev 1986) are given by

$$N(>S_\nu )=_0^{\mathrm{}}𝑑z\frac{dV(z)}{dz}_{\overline{M}(S_\nu ,z)}^{\mathrm{}}𝑑MN(M,z),$$
(11)
where $`\overline{M}(S_\nu ,z)`$ is the mass of a cluster (or group) that at the redshift $`z`$ produces the flux $`S_\nu `$, computed after eqs. (8) and (9).

## 4 Results

We plot in figs. 3 and 4 the relation $`yT`$ that relates the Compton parameter $`y`$ for individual groups or clusters to their ICM temperature. The values provided by the self-similar scaling are shown by dotted lines, while dashed and solid lines represent what we predict for moderate (case $``$) and strong (case $`𝒜`$) feedback, respectively.

Fig. 3 refers to the critical universe with $`h=0.5,\mathrm{\Omega }_b=0.06`$ and with DM perturbation amplitude $`\sigma _8=0.67`$ (SCDM cosmology/cosmogony hereafter). Fig. 4 refers to a flat universe with $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7,\mathrm{\Omega }_0=0.3,h=0.7,\mathrm{\Omega }_b=0.04`$ and $`\sigma _8=1`$ (in the following, $`\mathrm{\Lambda }`$CDM cosmology/cosmogony). In both figures the bottom panel shows the $`yT`$ relation with $`y`$ normalized to the self-similar scaling $`y_{grav}T^{3/2}\rho ^{1/2}`$. The latter would yield a horizontal line in this plot, so that departures from this behaviour mark the effects of non-gravitational processes; it is seen that the stronger is the feedback at group scales, the larger is the departure .

As to observability, note from figs. 3, 4 and from eqs. (9), (10) that the difference $`\mathrm{\Delta }y=yy_{grav}`$ expected at the scale of galaxy groups ($`T1`$ keV) is of order $`\mathrm{5\hspace{0.17em}10}^6`$ or smaller, corresponding to $`\mathrm{\Delta }T/T<\text{ }25\mu `$K. Observing such values constitutes a challenging proposition, but one becoming feasible for groups and poor clusters with size $`R0.5÷0.7h^1`$ Mpc at $`z\mathrm{5\hspace{0.17em}10}^2`$ (and containing only weak radiosources), in the following instrumental conditions: last generation radiotelescopes (see Komatsu et al. 2000), with low internal noise and beams of a few arcminutes, using long integrations (the subtraction of atmospheric noise is favoured by the narrow throws required for these objects); in the near future, arrays like AMiBA (see Lo, Chiueh, & Martin 2000); in perspective, many superposed orbits of the planned PLANCK Surveyor mission within its apertures of $`5^{}÷10^{}`$ (see De Zotti et al. 2000), and ALMA with its $`\mu `$ K sensitivity over angular scales from a few to tens of arcseconds (see www.ALMA.nrao.edu).

The detection of $`y`$ in groups may be disturbed by surrounding large scale structures aligned along the line of sight. However, the probability for this to occur is low, since such structures compared with virialized condensations have lower temperatures and densities lower by factors $`30`$ at least; only when their extension along the line of sight exceeds the size of a galaxy group by factors larger than $`30`$ a comparable SZ signal will be produced. We add that the scatter we find in the $`yT`$ relation is smaller than $`\mathrm{\Delta }y/y=0.15`$ for all temperatures; so even in our moderate feedback case $``$ the predicted trend of $`yT`$ departs neatly from $`y_{grav}`$ below a few keVs, and even upper bounds to $`y`$ may be of value.

In fig. 5 we plot (for both the SCDM and the $`\mathrm{\Lambda }`$CDM cosmology/cosmogony) the predicted SZ source counts, and in fig. 6 we show also the contribution to the cosmic Compton parameter from all virialized structures distributed along the line of sight. Note that the difference bewteen the two feedback cases $`𝒜`$ and $``$ (solid lines and dashed lines, respectively) is small for such integrated observables (the curves corresponding to the self-similar case would closely overlap those relative to the moderate feedback case $``$). This is because small and/or distant structures not filling a telescope beam contribute to these two observables with weights given by the system radius squared (see eq. 10-11); this circumstance underplays the contribution of the groups, the structures most sensitive to feedback effects. On the other hand (see Cavaliere, Menci & Setti 1991; Bartlett & Silk 1994), this very feature makes $`N(>S_\nu )`$ suitable as a cosmogonical probe, since the contributions of the cosmogonical parameters like the amplitude $`\sigma _8`$ of the spectrum of the initial DM perturbations override those from the state and evolution of the ICM.

Similar results concerning $`y`$ from the virialized structures have been found by Valageas & Silk (1999) (see also Valageas & Schaeffer 2000). These authors add the contributions produced by the gas inside lower density structures and by truly intergalactic gas , which they find to depend sensitively on the heating model; this is not unexpected from non-virialized gas that fills bigger volumes and can absorb larger energies.

## 5 Discussion

Here we focus the basic features shared by a number of current models of the ICM (MC2000, CGM2000; Wu, Fabian & Nulsen 1998; Valageas & Silk 1999; Bower et al. 2000), in order to discuss to what extent our predictions concerning the SZ effect are robust. We first stress the basic blocks shared by such models. Next we discuss our specific treatement of the boundary conditions in terms of shock jumps. Then we discuss why the shocks are effective in amplifying the impact of non-gravitational energy injections. Finally, we show how the departure of the $`yT`$ relation from its gravitational counterpart is related to the corresponding departure of the $`LT`$ relation; the model-independent link is constituted by the entropy discharged by the injection of non-gravitational energy, but the actual size of such departures depends on the feedback strength.

### 5.1 Basic blocks

a) Part of the baryons are subtracted out of the hot phase by cooling and are locked in the stars formed, to be only in part recycled by stellar winds.

This actually constitutes a minor negative contribution to the mass of the hot phase.

b) The energy fed back by the condensing baryons, either to fuel black holes at the galactic centers or to form massive stars followed by winds and SNe, heats up a fraction of the intergalactic medium. In our model the energy injection is $`E_{}\mathrm{3\hspace{0.17em}10}^{48}`$ erg per solar mass of stars formed, the fraction is $`f_{}<\text{ }0.15`$ and the stellar heating temperatures are $`kT_{}0.2`$ keV; the net outcome is to produce in groups a central density $`n10^4`$ cm-3, lower than in clusters. Since such gas is recovered by larger haloes during later merging events (with the delays described in §3.1), the effects propagate a number of steps up the mass hierarchy, so that the $`LT`$ relation departs away from $`L_{grav}T_V^2`$ at temperature considerably higher than $`0.5`$ keV. A corresponding feature is also present, e.g., in the elaborate model used by Bower et al. (2000); in their model, as well as in ours, the gas fraction inside the virial radius is lower in groups than in clusters.

c) Equilibrium is re-established soon after minor and intermediate merging events, that is, over sound crossing times which are somewhat shorter than the structures’ dynamical times. In such conditions, the pressure gradient balances gravity and a $`\beta `$-model holds.

d) Once equilibrium is assumed, a key role is played by the boundary conditions that set normalization and shape (specifically, the values of $`\beta `$) of the ICM density profiles. In particular, the pressure balance at the boundary $`rR`$ clearly constitutes the key condition; we add that such a balance is to include the ram pressure due to the bulk motion $`v_1`$ of the infalling gas out of equilibrium, to read $`p_2p_1+n_1m_Hv_1^2`$ in conditions with low bulk kinetic energy downstream.

e) Since the ICM state is observed to be close to isothermal ($`T`$ may decrease out to $`R`$ hardly by a factor 2, see Nevalainen, Markevitch, & Forman 2000) a sharp boundary – that is, some sharp drop or discontinuity of $`T`$ and/or $`n`$ – is to take place at $`rR`$, lest the thermal exceeds the integrated gravitational energy.

Model-dependent features, which however affect to a lesser extent the profiles of the ICM in virialized structure, include: the exact value of the polytropic index (close to 1 anyway) and the detailed form of the underlying DM potential (see the discussion by Cavaliere, Menci & Tozzi 1999); the parameters other than the feedback exponent $`\alpha _h`$ that are introduced in the various SAMs only to tune the optical luminosity function and the Tully-Fisher relation for the galaxies (cf. Cole et al. 1994 with Cole et al. 2000).

### 5.2 Large-scale shocks

It is also widely agreed that shocks provide an effective coupling of the gravitational to the thermal energy in the ICM.

In our picture, we take up from the results of the simulations referred to in §3.2 the notion that external accretion shocks do establish a discontinuity at about $`rR`$, with low bulk velocities left downstream; observational evidence of large scale shocks related to violent merging events is reported by Roettiger, Stone & Mushotzky (1998); Roettiger, Burns & Stone (1999); Markevitch, Sarazin & Vikhlinin (1999). Across such shocks the above stress conservation combined with with mass conservation yields the classic Rankine-Hugoniot jump conditions for $`T`$ and $`n`$. Without further ado these produce a non-linear increase of $`Gn_2/n_1`$ from $`1`$ to $`4`$ as the infall flows become increasingly supersonic, that is, as $`T_V/T_1`$ increases.

Note that the merging events that yield the largest contributions to $`G(T_2/T_1)`$ are the numerous ones (more than 90%) with minor partners having mass ratios smaller than $`1/4`$, which may be appropriately described as constituting an “accretion” inflow of the DM component as well as of the baryonic component (see Raig, Gonzalez-Casado & Salvador-Sole 1998). Such minor events contribute the majority of the mass increase (more than 50%), and imply lower temperatures $`kT_1<\text{ }1`$ keV (whether of gravitational or of stellar origin) for the external gas they involve, leading to more supersonic gas inflows. The summed action of these events is as close to isotropic as permitted by the surrounding large scale structure (see Tormen 1997; Colberg et al. 1999); re-establishing the equilibrium then is more like a continuous re-adjustement to the accretion inflow.

On the other hand, given the external conditions the gas inflow is bound to be more supersonic on average when it takes place into the deeper wells provided by the richer clusters where $`v_1>\text{ }1000`$ km s-1 is attained; this leads to expect larger entropy depositions in the outer regions of rich clusters, as in fact observed (Lloyd-Davies, Ponman & Cannon 1999). In poor groups, instead, where the stellar heating temperatures match the virial ones to give $`kT_{}0.30.5`$ keV, the shocks degenerate into sonic, adiabatic transitions; here all internal densities scale down proportionally to $`n_2n_1`$, so $`Ln_2^2`$ is bound to plunge down toward $`Ln_1^2n_2^2/16`$.

To see how the departures from the self-similar scalings begin and end, one can make use of two opposite approximations, rather crude but simple: when the pre-shock temperature $`T_1`$ is low, the strong shock approximation yields $`kT_2kT_V+3kT_1/\mathrm{\hspace{0.17em}2}`$, see eq. (6); on the other hand, the lower bound to all temperatures is constituted by $`T_{}`$. For decreasing depths of the wells these approximations show that the decline of $`\beta T_V/(T_V+3T_1/2)`$ begins slowly, then becomes faster like $`\beta T_V/T_{}`$ in shallow wells; this implies correspondingly flatter density profiles. Similarly but more strongly, $`Ln_1^2g^2(T/T_1)16n_1^2(115T_1/8T_2)`$ departs from $`L_{grav}16n_1^2`$ slowly at first in deep wells, but eventually plunges toward $`Ln_1^2`$ in shallow wells.

A final remark concerns the normalization of the Compton parameter $`y`$ related to the shock condition. In our model, the boundary values for the density and the temperature are fixed by the shock jumps in terms of the external density $`n_1`$ and of the gravitational potential $`\varphi _2`$ at $`r=R`$ (see eq. 7). Now, $`n_1\mathrm{\Omega }_b`$ holds, while $`\varphi _2`$ depends both on the shape of the gravitational potential and on the location of the boundary at $`rR`$. For our fiducial choice of $`\mathrm{\Omega }_b=0.04`$ and of the Navarro et al. (1995) potential, our shock or boundary location (supported by the N-body simulations referred to in §3.2) leads to a normalization of the $`y`$ parameter in agreement with the observed values; for example, for a Coma-like cluster with $`T_V8`$ keV, we obtain $`y10^4`$, closely independent of the feedback, see fig. 4; this is in good agreement with the measured value, see Herbig et al. (1995). The same normalization can be obtained on changing the value of $`\mathrm{\Omega }_b`$ in the range $`0.020.06`$ allowed by the canonical primordial nucleosynthesis, and on retaining the same DM potential but readjusting the shock position within the range $`0.851.15R`$ compatible with the N-body simulations.

### 5.3 Amplification and feedback

It is intrinsic to the present model that the departures from the gravitational scaling are non-linearly amplified, due to the varying shock strengths set by the depth $`kT_V`$ of the potential wells compared with $`kT_{}`$. For a given departure, such an amplification lowers the requirements for the non-gravitational energy injection. Indeed, the excess central entropy $`e^SkT/n^{2/3}`$ observed in groups over the self-similar expectations (see fig. 2) can be obtained with a moderate energy injection $`E_{}`$ leading to $`TT_V+T_{}`$ with $`kT_{}0.3`$ keV, provided the central density at the group scale is decreased relative to clusters by a factor around $`10`$. In our model such a decrement results in part from the boundary density jump (lower than in clusters by a factor 4), and in part from the shallow gas density profile due to the lower values of $`\beta `$ (about half than in clusters).

Thus, the presence of shock amplification allows us to consider conservative quantities for the feedback, namely, energy contributed by stellar winds plus by SN explosions adding up to $`E_{}=\eta _{SN}\mathrm{\hspace{0.17em}5\hspace{0.17em}10}^{50}\mathrm{3\hspace{0.17em}10}^{48}`$ erg per $`M_{}`$ of stars formed. Note also that the two contributions are largely separated and undergo different amounts of cooling, lesser (if anything) for the winds.

Stellar winds and amplification go a couple of steps toward meeting the concerns about prompt radiative cooling of the SN outputs which may limit the fraction available for action at galactic or group scales. As is well known, the issue is a thorny and debated one. On the one hand stands the intrinsic sensitivity of the cooling to density clumpiness (see, e.g., Thornton et al. 1998). On the other hand, momentum and thermal energy are carried outward of the sites of star formation in the form of blast waves and shocks, in fact as SN Remnants. It is widely agreed (see Ostriker & McKee 1988) that these may easily overlap before they enter a strong radiative phase, especially when they are driven by type II SNe produced by correlated massive star formation, and when they are helped by the tunnel network in the ISM. So they merge their hot and thin interiors, break out of the galaxies in the form of superbubbles, and discharge their high entropy content into the galaxian outskirts; this is then mixed throughout the ICM.

Additional sources of non-gravitational heating may be provided by Active Galactic Nuclei shining at the center of developing galaxies (see Wu, Fabian & Nulsen 1999; Valageas & Silk 1999; Aghanim, Balland & Silk 2000). The AGNs are fed at sub-pc scales by accreting black holes; their outputs are huge, but the effective coupling within galaxies or groups of such energy to the ICM within galaxies or groups is even more uncertain than for the SNe. Such coupling would require quite some tuning to yield just the observed $`LT`$ correlation (P. Madau, private communication); the intrinsic instability of the cooling may easily drown any correlation into a large intrinsic scatter. Treating such processes in full is beyond the scope of the present paper and will be undertaken elsewhere.

### 5.4 SZ effect vs. X-ray emission

As can be noted from figs. 3 and 4, the departure from self-similarity we find from our model in the $`yT`$ relation for groups and clusters features an inverse $`y`$-dependence on the strength of the feedback, which sets in below $`T1`$ keV. This behaviour is similar to that of the $`LT`$ relation for groups and clusters of galaxies.

The correspondence is explained by the model-independent relation which follows from combining the definitions of $`S`$ and of the Compton parameter $`y`$ with its self-similar scaling given by by eq. (3), to read

$$e^{SS_{grav}}=(y/y_{grav})^{2/3}(T/T_V)^{5/3}.$$
(12)
We recall from §5 that $`T`$ exceeds $`T_V`$ due to the non-gravitational heating, and the excess becomes more and more relevant in moving from rich clusters to poor groups. The above eq. shows than that an internal heating source rising the entropy content will result in lower values of $`y`$ compared to the self-similar expectations at the scale of groups.

The counterpart of eq. (12) for the X-ray emission reads

$$e^{SS_{grav}}=(L/L_{grav})^{1/3}(T/T_V)^{7/6},$$
(13)
again model-independently. Assuming the two observables are associated (albeit with different shape factors) with ICM confined within comparable sizes, the two equations combine to yield

$$y/y_{grav}=(L/L_{grav})^{1/2}(T/T_V)^{3/4}.$$
(14)
The above equations highlight in a model-independent way the inverse nature of both the $`Sy`$ and the $`SL`$ relations. So the entropy excess observed in groups of galaxies implies a related deficit of both the X-ray luminosity as indeed is found in the observed $`LT`$ correlation, and of the SZ effect as here predicted. In both cases the dependence on the temperature is instead direct, and actually stronger in the $`Sy`$ relation.

The point to emphasize is that these two probes are independent observationally; in fact, they are measured in such distant bands as X-rays and microwaves, with very different instrumentations subject to different systematics. In addition, the SZ effect can be measured also at sub-mm wavelengths, which provide a positive $`\mathrm{\Delta }I/I`$ with systematics different yet. Finally, the selections are intrisically different in the $`\mu `$w/sub-mm and in the X-ray bands, with the SZ signal being much less sensitive than the X-ray emission to internal density clumpiness or enhancements. Thus, while either observable may be subject to its own observational biases, background subtraction or scatter (see Mahdavi et al. 1997; Roussel, Sadat & Blanchard 2000), the combined evidence will be highly significant and strongly constraining for the non-gravitational heating mechanisms.

## 6 Conclusions

In this paper we have computed and presented three observables related to the SZ effect from the ICM in groups and clusters of galaxies, namely, the $`yT`$ correlation, the source counts and the contribution to the cosmic SZ effect. We based our computations on the specific semi-analytic model (SAM) described in §3; this is built upon the hierachical merging histories of the DM component of such structures, and provides stellar and X-ray observables in agreement with the data. The picture underlying our SAM is widely shared, and its main blocks are common (as discussed in §5) to other SAMs also aimed at explaining the optical and X-ray observations.

One key feature is the energy and momentum fed back into the ICM by the condensing baryons. This has the effect of pre-heating the baryons that fall into groups and clusters during their merging history. The shock front forming between the infalling and the internal gas amplifies the effect of the non-gravitational heating on the density distribution of the gas in a way which depends on the cluster or group temperature $`T`$. The net effect is to break the (approximate) scale-invariance of the DM quantities in virialized structures, particulary in galaxy groups with $`kT<\text{ }1`$ keV compared to rich clusters. The effect of such processes on the X-ray properties of groups and clusters has been investigated in our previous papers; here we have shown that the SZ effect constitutes a complementary probe of the non-gravitational heating of ICM. In particular we emphasize the following results.

$``$ The measure of the Compton parameter $`y`$ from deep, targeted observations of groups and clusters and the resulting $`yT`$ correlation provide a direct probe of the energy discharged into the ICM and archived there in conditions of long cooling times. Specifically, for energy injections dumped into the ICM within galaxies or groups we predict the $`yT`$ correlation to bend down systematically relative to the self-similar expectations (see §4, figs. 3-4). In §5 we discuss the generic aspects of the trend: larger injection - smaller $`y`$ at group scales, that we expect from any reasonably complete model. The level of such departures will be similar to ours for feedback models able to reproduce the bent shape of the $`LT`$ relation in X-rays. This conclusion is substantiated by eqs. (12)-(14) which show model-independently that heating sources rising the internal entropy in groups to the observed “floor” will result in observably low values of $`y`$ compared to the self-similar expectations.

$``$ The integrated SZ effects from structures (i.e., the counts $`N(>S_\nu )`$ of SZ sources associated with virialized structures and their contribution $`y`$ to cosmic SZ effect (see figs. 5-6) are dominated by clusters less affected by the feedback, even less by its details.

To conclude, the emerging picture is one where the close scale-invariance of the gravitational energy released over large scales under the drive of the DM dynamics is broken by the nuclear energy that at small scales drives the stellar life and death; the break-even point should occur at the transitional mass scale $`M10^{13}M_{}`$ where $`kT_VkT_{}0.3`$ keV holds. The specific way in which baryons break the DM scale-invariance can be probed with several complementary but observationally independent observables which include: the bent X-ray luminosity-temperature correlation; the weak or absent evolution of the X-ray luminosity functions; excess counts of the ICM X-ray sources correlated with high rates of cosmic star formation at $`z>\text{ }1.5`$; the shape and evolution of the optical luminosity function of the galaxies; finally, the SZ effect as proposed here, and in particular the bent $`yT`$ relation from clusters to groups.

Acknowledgements. This work benefited at all stages from helpful exchanges with G. De Zotti. We are grateful to F. Melchiorri for discussions of his observational strategies with MITO, to A. Lapi for critical reading, and to our referee for constructive and helpful comments. Partial grants from ASI and MURST are acknowledged.

## FIGURE CAPTIONS

Fig. 1. We show in the form of a flow chart diagram the processes we consider and the computational steps we use to compute in the DM haloes the ICM profile and its boundary conditions.

Fig. 2. As a preliminary test of our SAM model, we show the predicted central entropy of the ICM as a function of the temperature for the strong feedback case $`𝒜`$ (solid line) and the moderate feedback case $``$ (dashed line), compared with the data from Ponman, Cannon & Navarro (1999). We also show as a dotted line the result from the self-similar scaling, eq. (2). All lines refer to the SCDM cosmogony/cosmology with $`\mathrm{\Omega }=1`$, $`\mathrm{\Lambda }=0`$, $`h=0.5`$, $`\mathrm{\Omega }_b=0.06`$, and $`\sigma _8=0.67`$. The $`\mathrm{\Lambda }`$CDM case yields similar results.

Fig. 3. The top panel shows the relation we predict between the (area averaged) Compton parameter $`y`$ for individual groups and clusters and the temperature; the solid line refers to the strong feedback case $`𝒜`$, the dashed line to the moderate feedback case $``$, while the self-similar scaling is plotted as a dotted line. SCDM cosmology/cosmogony. The bottom panel shows the same correlation but with the Compton parameter normalized to its self-similar scaling given by eq. (3)

Fig. 4. Same as fig. 2 but for the $`\mathrm{\Lambda }`$CDM cosmogony/cosmology.

Fig. 5. The predicted source counts as a function of the SZ flux at 100 GHz, see eqs. (10) and (11). Solid and dashed lines refer to the feedback cases $`𝒜`$ and $``$, respectively. The curve relative to the self-similar case would overlap that referring to case $``$. The bottom line is computed for the SCDM cosmogony/cosmology, while the one on top refers to the $`\mathrm{\Lambda }`$CDM case.

Fig. 6. The contribution to the cosmic Compton parameter (see eq. 11) from the ICM inside virialized structures, groups and clusters of galaxies, distributed out to the redshift z; SCDM (bottom lines), and $`\mathrm{\Lambda }`$CDM universe (top lines) are considered. The solid and dashed lines refer to the feedback strengths $`𝒜`$ and $``$, respectively.


format: text

text:
# The upper critical field problem in MgB2.

## Abstract

The upper critical field $`H_{c2}(T)`$ for MgB2 is analyzed in terms of single and multi-band Eliashberg models. The relatively high value of $`H_{c2}(0)`$ 14 to 18 T can be understood, if a strongly coupled subgroup of heavy quasiparticles is involved in the superconductivity. The sizable coupling to both low- and high-frequency bosons is essential. This picture is supported by LDA calculations of Fermi velocity distribution over different sheets of the Fermi surface with special emphasis on the hole tubes. The possible origin of anharmonic soft modes is briefly discussed. Similarities and differences with transition metal borocarbides are figured out.

The recent discovery of superconductivity in MgB2 has initiated an immediate broad research activity due to the high transition temperature $`T_c`$ 40 K in a seemingly ordinary $`sp`$ metal. The present discussions mainly focus on measured quantities $`T_c`$ and the gap $`2\mathrm{\Delta }_0`$ with respect to the topics: (1) weak or strong coupling in terms of standard BCS theory, (2) its possible relationship to the superconductivity in transition metal borocarbides, (3) symmetry of the order parameter, and (4) electron-phonon (el-ph) interaction or Coulomb repulsion based mechanisms of pairing . In context of the standard phonon mechanism: (i) a dominant role of intermediately coupled high-frequency boron phonons is assumed (the simple “metallic hydrogen scenario”); or (ii) a strong coupling scenario is discussed. In all those discussions, essentially the validity of the standard isotropic single band (ISB) picture is implicitly assumed. However, the low temperature value of the upper critical field $`H_{c2}(0)`$, the fundamental quantity of a type-II superconductor, has not analyzed so far. In this context we would like to point out an interesting puzzle: with the computed and commonly accepted average band Fermi velocity $`v_F`$=8.9$`\times 10^7`$ cm/s and the plasma frequency $`\omega _{pl}`$=7 eV, the resulting clean-limit London penetration depth $`\lambda _L=c/\omega _{pl}`$=29 nm nearly equals the BCS coherence length $`\xi _0=0.18\mathrm{}v_F/k_BT_c`$=29 nm while experiments on $`H_c`$ and $`H_{c2}`$ yield a Ginzburg - Landau parameter $`\kappa `$=26 .

The ISB model  is the most developed part of the theory of superconductivity. It describes quantitatively the renormalization of the physical properties of metals due to the electron-phonon interaction. The input material parameters are the density of states at $`E_F`$, $`N(0)`$, the Fermi velocity $`v_F`$, the impurity scattering rate $`\gamma _{imp}`$, the paramagnetic impurity scattering rate $`\gamma _m`$, the Coulomb pseudopotential $`\mu ^{}(0.1)`$, and the electron-phonon spectral function $`\alpha ^2F(\mathrm{\Omega })`$. The temperature dependencies of physical properties are determined mainly by the first inverse moments of the spectral function - the coupling constant $`\lambda `$=2$`𝑑\mathrm{\Omega }\alpha ^2F(\mathrm{\Omega })/\mathrm{\Omega }`$ and the average boson energy $`\mathrm{\Omega }_{log}=\mathrm{exp}[(2/\lambda )_0^{\mathrm{}}𝑑\mathrm{\Omega }\text{ }log(\mathrm{\Omega })\alpha ^2F(\mathrm{\Omega })/\mathrm{\Omega }]`$.

Our analysis is based on numerical calculations of $`H_{c2}(T)`$ solving equations first presented by Prohammer et al. . In the intermediate and weak coupling cases, the clean limit value of the calculated orbital $`H_{c2}(0)`$ practically does not depend on the shape of the spectral function . In the spirit of Langmann  the $`s`$-wave clean limit ISB-$`H_{c2}(0)`$ can be approximated by the following factorized formula

$$H_{c2}(0)[\mathrm{T}]0.02T_c^2[\mathrm{K}](1+\lambda )^{2.4}/v_F^2[10^7\mathrm{cm}/\mathrm{s}].$$
(1)
It is convenient to express $`v_F^2`$ in Eq. 1 using the related experimentally available quantities: the cell volume $`V`$, the Sommerfeld constant (per mole) $`\gamma _S=\pi ^2k_B^2N(0)(1+\lambda )N_AV/3`$ and the bare plasma frequency $`\omega _{pl}^2=4\pi e^2N(0)v_F^2/3`$

$$v_F^2=\frac{\pi N_AVk_B^2(1+\lambda )\omega _{pl}^2}{4e^2\gamma _S}.$$
(2)
Substituting Eq. 2 into Eq. 1 one arrives at the relevant ratio

$$Q=\frac{3.6\omega _{pl}^2\text{ }[\mathrm{eV}^2]\text{ }H_{c2}(0)[\mathrm{T}]V[\mathrm{\AA }^3]}{\gamma _S[\mathrm{mJ}/\mathrm{mol}\times \mathrm{K}^2]T_c^2[\mathrm{K}](1+\lambda )^{1.4}},$$
(3)
the value of which must be $`Q`$1 in a ISB-like case. A strong deviation $`Q`$ from unity indicates the inapplicability of the $`s`$-wave ISB model.

To proceed within the $`Q`$-check, let us estimate the coupling constant $`\lambda `$ and the corresponding averaged boson frequency $`\mathrm{\Omega }`$. Recent neutron data  show phonon density of states (PDOS) extending to above 100 meV with main peaks at about 90, 55, 37, and 32 meV, as well as an unexpected anomalous soft mode near 17.5 meV below the maxima of acoustic modes. The measured PDOS is in agreement with $`\mathrm{\Theta }_D`$=65 meV, estimated from specific heat data. The values for zone-center optical mode obtained from density-functional theory based calculations 58 meV , 62 meV , 73 meV  are rather similar and for our goal we adopt an Einstein spectrum with $`\mathrm{\Omega }`$=60 meV. With the standard value $`\mu ^{}`$=0.1 at the cutoff frequency of 6$`\mathrm{\Omega }`$ one needs $`\lambda `$=0.86 to obtain $`T_c`$=40 K. If the dominating coupling were that by the 17.5 meV feature $`\lambda `$=2.5 would be needed.

Now we are in a position to apply our $`Q`$-test to selected superconductors. The results are presented in Table 1 I. For the weakly anisotropic transition metal Nb it is approximately fulfilled, whereas strong deviations do occur both for the transition metal borocarbide YNi2B2C and for MgB2 under consideration. The latter one is checked in the weak and as well as in the strong coupling cases.

These difficulties can be resolved in the framework of a more complex effective $`N`$-band model. For an anisotropic system it is obtained by dividing the Fermi surface into $`N`$ parts and approximating the k-dependent quantities in each part by their mean values . The input material parameters of such a model are the densities of states at $`E_F`$ $`N_i(0)`$, the Fermi velocities $`v_{F,i}`$, the impurity scattering rates $`\gamma _{imp,ij}`$, the Coulomb pseudopotentials $`\mu _i^{}(0.1)`$, and the electron-phonon spectral functions $`\alpha _{ij}^2F(\omega )`$. For the sake of simplicity, as a first step, we consider here such effects in the frame of an effective two-band model. Recently it was successfully applied to transition metal borocarbides in a combined study of Eliashberg theory and de Haas van Alphen effect. Unfortunately, due to the lack of single crystals, at present there is no available experimental information on the electronic structure near the Fermi surface of MgB2. For this reason, we performed electronic structure calculations on a very dense $`\stackrel{}{k}`$-mesh using the full-potential nonorthogonal local-orbital minimum-basis scheme . Thus we get more detailed information on the Fermi velocities compared with published data .

The Fermi surface of MgB2 (see Fig. 1) consists of four disjoint sheets: two hexagonal heavy hole tubes around the $`\mathrm{\Gamma }A`$ line and a light hole and an electron honeycombs. In the spirit of a two-band model we divide the quasiparticles into subgroups with approximately similar material parameters. We choose the heavy-hole tube as the first effective band (central blue piece in the middle of Fig. 1). Its DOS contribution $`N_h(0)N_1(0)`$ is about a third of the total DOS: $`N(0)/N_1(0)`$3 and we adopt $`N_2(0)/N_1(0)`$=2. The average Fermi velocity over this hole tube is $`v_{F1}`$=4.5$`\times `$107 cm/s while for the remaining fast Fermi surface sheets we choose $`v_{F2}`$=11$`\times `$107 cm/s. In the clean limit the scattering rates $`\gamma _{imp,ij}`$ can be set to 0. Lets start with weak-coupling scenario. If one could ignore the fast quasiparticles entirely, one would return to the ISB case, considered above, with $`\lambda `$ = 0.8 and $`v_F`$=4.5$`\times `$107. From Eq.1 one then gets $`H_{c2}(0)`$=6.5 T which is still much smaller than the experimental value. Moreover, within a consequent isotropic coupling scenario the interband coupling cannot be ignored. As a result, we arrive at 2T, only (see Fig. 2). For comparison the ISB case for the same $`\lambda `$ and $`v_F`$=8.9 $`\times `$ 107cm/s is shown, too. For this moderate anisotropy of $`v_F`$, the two-band effect is practically unimportant. Hence, to describe $`H_{c2}(T)`$ quantitatively, an enhanced coupling of the heavy holes would be needed. Deformation potential calculations provide support for such an enhancement for the larger heavy-hole tube .

It was shown above, that at given $`T_c=40`$ K and el-ph interaction with high-frequency phonons, only, the coupling constant cannot exceed unity and $`H_{c2}(0)`$ doesn’t exceed several Tesla at most. To increase the coupling constant, we are forced to adopt strong coupling to low-frequency mode(s). Hence, we adopt a two-peak spectral function containing for instance a low-frequency peak at 17.5 meV as well as an effective high-frequency peak at 60 meV with comparable spectral weights. We adopt $`\lambda _{60meV}/\lambda _{17.5meV}`$=0.33. Then reasonable agreement with available experimental data for $`H_{c2}(T)`$  can be achieved with $`\lambda _{11}`$=1.5, $`\lambda _{22}`$=0.4 and $`\lambda _{21}`$=0.5 (see Fig.2). With the bare band value N(0)=1.7 mJ/mol K2  we arrive at $`\gamma _S`$=4.1 mJ/mol K2 and $`\omega _{pl}`$=7.5 eV in accord with experimental data . The calculated gap values $`2\mathrm{\Delta }_1`$=5$`k_BT_c`$ and $`2\mathrm{\Delta }_2`$=3$`k_BT_c`$ above and below the BCS value 3.5$`k_BT_c`$, respectively, can be compared with the experimental values taken from tunneling (3.4$`k_BT_c`$, 4.83$`k_BT_c`$)  and specific heat (2.4$`k_BT_c`$)  and NMR data (2.5$`k_BT_c`$,5.$`k_BT_c`$) .

It is interesting to realize, that switching off the soft mode at fixed remaining parameters results in $`T_{c,hard}`$ 7K, only. However, switching off instead the high-frequency modes, we would arrive at $`T_{c,soft}`$ 20K at least. Alternatively, if the spectral functions differ significantly for various Fermi surface sheets, the contribution of the high-frequency modes to $`T_c`$ can enhanced up to about 20 K. Anyhow, this means, that the “medium” high $`T_c`$ superconductivity of MgB2 within our model is not provided by a simple “hydrogen-like” scenario as frequently discussed in the literature, but by a more complex scenario, where both $`T_c`$ and $`H_{c2}`$(0) do depend very sensitively on the coupling with the soft-mode. A somewhat similar interplay of high- and low-frequency phonons occurs in the well-known PdH(D) palladium hydrides (deuterides).

The strong coupling in the heavy-hole band due to interaction with the soft mode needs some interpretation and discussion. A simple down-tuning of the calculated $`E_{2g}`$-mode frequency from 58.5 meV  to 17.5 meV, preserving thereby the harmonic approximation, would result in large zero-point fluctuations amplitudes for which there is not enough space in a real crystal. In addition we would arrive at an unrealistic super strong coupling limit: $`\lambda _1`$=10.4 adopting the estimated Hopfield parameter $`\eta _1=`$ 8.2eV/Å2 . These difficulties can be resolved adopting an anharmonic model for the lattice vibrations. Within its extreme anharmonic two-level system approximation (deep double- or multiple wells)  the corresponding anharmonic electron-boson coupling constant reads

$$\lambda _1(T)=\frac{2}{3}\eta _1d_0^2\mathrm{tanh}(\mathrm{}\omega _1/2k_BT)/\mathrm{}\omega _1,$$
(4)
where $`d_00.1`$ Å is a typical double-well distance. It is sizable and at the same time not too large: thus we arrive at $`\lambda _1`$=2 in accord with $`\lambda _{11}+\lambda _{12}`$ obtained above phenomenologically. Quite interestingly, in this limit the boson frequency remains constant whereas the intensity of its spectral density increases with decreasing $`T`$ like in the experimental neutron data until saturation at low $`T`$ is achieved. For the adopted value of $`\omega _1`$=17.5 meV this occurs below 50 K, i.e. only slightly above $`T_c`$. Alternatively, in principle, a softening of other modes than the $`E_{2g}`$ mode should be considered, too. Guided by the experience obtained from the somewhat related transition metal borocarbides (see below), a softening of the acoustic modes  is worthy to be considered. On the other hand, despite the soft mode the general features of the phonon density of states till 60 meV are reasonably well described by the model .

There is an interesting similarity between the picture we arrived at above for MgB2 and the picture based on the present knowledge on transition metal borocarbides such as YNi2B2C. The latter exhibit pronounced nesting properties of a rather complex Fermi surface (FS). There the strongly coupled slow electrons stem from the nested parts of the FS. The anisotropy of the FS in borocarbides is somewhat larger than in the present case but the anisotropy of the coupling in MgB2 seems to be larger. In this context the $`q`$-dependent measurement of the soft phonon near 17 meV in the superconducting state is of great interest. Analogous behavior as for the anomalous 7 meV mode for YNi2B2C  might be expected. The $`H_{c2}(0)`$, the positive curvature of $`H_{c2}(T)`$ near $`T_c`$, and the sizeable deviations of the shape of $`H_{c2}(T)`$ at low $`T`$ from the parabolic WHH (Werthamer-Helfand-Hohenberg) -shape in both systems can be ascribed to the interband coupling with the remaining weakly coupled fast quasiparticles.

In conclusion, the proposed ISB criterion excludes the applicability of the frequently used isotropic single band model. The shape and the magnitude of the upper critical field in MgB2 can be successfully described within a multi-band Eliashberg model with two options. Provided the modern band structure calculations describe correctly the electronic structure near the Fermi surface, then there should be a sizeable coupling to some soft bosonic modes, not necessarily phonon-like, not predicted by harmonic phonon calculations but seen possibly in the neutron data. Otherwise the bare quasiparticle Fermi velocities should be considerably smaller than the band structure predictions.

We thank O. Dolgov, M. Richter, W. Weber, and T. Mishonov for discussions and J. Freudenberger for technical support. This work was supported by the SFB 463 and the Deutsche Forschungsgemeinschaft.


text:
# Optimal Conclusive Discrimination of Two Non-orthogonal Pure Product Multipartite States Locally

## Abstract

We consider one copy of a quantum system prepared in one of two non-orthogonal pure product states of multipartite distributed among separated parties. We show that there exist protocols which achieve optimal conclusive discrimination by means of local operations and classical communications(LOCC) as good as by global measurements. Also, we show a protocol which minimizes the average number of local operations. Our result implies that two pure product multipartite states might not have the non-local property although more than two can have.

It is a key point that it is impossible to discriminate perfectly between non-orthogonal quantum states if only one copy is provided. Generally, orthogonal states may be distinguished with certainty by means of global operations since quantum information of orthogonality may be encoded in entanglement which may not be extracted by LOCC operations. Recently, Walgate et.al.  demonstrated that any two orthogonal multipartite pure states can be distinguished perfectly by only LOCC operations. Virmani et.al.  utilized their result to show that optimal discrimination of two non-orthogonal pure states can also be obtained by LOCC in the sense of inclusive discrimination. They also mentioned conclusive discrimination of certain regimes. Bennett et.al.  demonstrated that there exist bases of orthogonal product pure states which can not be locally reliably distinguished despite the fact that each state in the basis contains no entanglement. So product pure states may also have non-local property. In this note, we consider the problem of conclusive discrimination of two non-orthogonal product pure states by LOCC operations and show that the optimal disrimination achieved by global measurements can also be obtained by LOCC. This may implies that two product pure multipartite states might not have non-local property.

The problem of identifying two non-orthogonal states has been considered by Ivanovic , Dieks , Peres , Jaeger and Shimony  by global measurements. Since we utilize their results especially Jaeger and Shimony’s, we recall their results in brief and point out some properties which is implicit in their results. Suppose one copy of quantum state prepared as $`|p>`$ or $`|q>`$, generally non-orthogonal, occurring with probabilities $`r`$ and $`s`$ respectively, where $`r+s=1`$. The conclusive discrimination means that our measurement on the copy gives three outcomes which allow us to determine the prior state is $`|p>`$ or $`|q>`$ with certainty or ”don’t know”. The optimization of conclusive discrimination is to obtain the maximal probability of decisive outcomes.

The procedures suggested by Dieks , Peres , Jaeger and Shimony  are the following: prepare an auxiliary system in a state $`|s_0>`$ and choose a unitary evolution which yields

$`|s_0>|p>\alpha |s_1>|p_1>+\beta |s_2>|p_2>,`$ (1)
$`|s_0>|q>\gamma |s_1>|q_1>+\delta |s_2>|q_2>,`$ (2)
where $`<p_1|q_1>=0,<s_1|s_2>=0`$ and $`|q_2>`$ is identical with $`|p_2>`$ except for a phase factor. The measurement on the auxiliary system gives two outcomes: if $`|s_1>`$ occurs, a measurement between $`|p_1>`$ and $`|q_1>`$ gives the prior state $`|p>`$ or $`|q>`$ with certainty; if $`|s_2>`$ occurs, we get the outcome ”don’t know”. The aim is to maximize the probability $`P=r|\alpha |^2+s|\gamma |^2`$ with the constraint of the procedures.

Without loss of any generality, $`rs`$, Jaeger and Shimony’s optimal result is: If $`\sqrt{\frac{s}{r}}|<p|q>|`$, then

$`|\beta |^2`$ $`=`$ $`|<p|q>|\sqrt{{\displaystyle \frac{s}{r}}},`$ (3)
$`|\delta |^2`$ $`=`$ $`|<p|q>|\sqrt{{\displaystyle \frac{r}{s}}},`$ (4)
$`P_{max}`$ $`=`$ $`12\sqrt{rs}|<p|q>|.`$ (5)
If $`\sqrt{\frac{s}{r}}|<p|q>|`$, then

$`|\beta |^2`$ $`=`$ $`|<p|q>|^2,`$ (6)
$`|\delta |^2`$ $`=`$ $`1,`$ (7)
$`P_{max}`$ $`=`$ $`r(1|<p|q>|^2).`$ (8)
In the above procedures, we notice that the outcome of ”don’t know” occurs with probability $`P_E=r|\beta |^2+s|\delta |^2`$, resulting from two states with equal probability in the former case while with unequal probability in the latter case. At first glance, they may be incompatible, but we will show that indeed they are compatible. Let’s firstly express $`P_E`$ explicitly in respective case. Once the error occurs, in the former case, the error results from $`|p>`$ with probability

$$P_{|p>|E}=\frac{r|\beta |^2}{P_E}=\frac{1}{2},$$
(9)
from $`|q>`$ with

$$P_{|q>|E}=\frac{s|\delta |^2}{P_E}=\frac{1}{2};$$
(10)
in the latter case, the error from $`|p>`$ with

$$P_{|p>|E}=\frac{r|\beta |^2}{P_E}=\frac{r|<p|q>|^2}{P_E},$$
(11)
from $`|q>`$ with

$$P_{|q>|E}=\frac{s|\delta |^2}{P_E}=\frac{s}{P_E}.$$
(12)
Now we apply the result to two non-orthogonal pure product bipartite states. Suppose Alice and Bob are provided with one pure product state, $`|u>=|u_1>|u_2>`$ or $`|v>=|v_1>|v_2>`$ with probabilities $`r`$ and $`s`$ respectively, where $`r+s=1`$. Each half is available to one of them who are separated from each other and can communicate classical information only. Their aim is to identify the shared product state optimally in the sense of conclusive discrimination by means of local operations and classical communications. Our protocol is that Bob carries out the procedures which distinguish $`|u_2>`$ from $`|v_2>`$ with corresponding probabilities $`r`$ and $`s`$ optimally, while Alice performs those which distinguish $`|u_1>`$ from $`|v_1>`$ with conditional probabilities in which case Bob gets the error outcome even without obtaining information about Bob’s outcome, or vice versa. The two protocols are equivalent. We set $`|<u_1|v_1>||<u_2|v_2>|`$ and $`rs`$ with no loss of generality.

If

$$\sqrt{\frac{s}{r}}|<u_2|v_2>|,$$
(13)
then

$$\sqrt{\frac{s}{r}}|<u|v>|,$$
(14)
and the optimal discrimination by global operation is

$$P^G=12\sqrt{rs}|<u|v>|.$$
(15)
Now by local operations, Bob first discriminates between $`|u_2>`$ and $`|v_2>`$ with $`r`$ and $`s`$ respectively. His error probability is

$$P_{E2}=2\sqrt{rs}|<u_2|v_2>|.$$
(16)
and when the error outcome occurs, the conditional probabilities from two prior states are equal. That is

$$P_{|u_2>|E2}=P_{|v_2>|E2}=\frac{1}{2}.$$
(17)
Alice then discriminates between $`|u_1>`$ and $`|v_1>`$ with equal probabilities. Her error probability is

$$P_{E1|E2}=|<u_1|v_1>|.$$
(18)
So the total error is

$$P_E=P_{E2}P_{E1|E2}=2\sqrt{rs}|<u|v>|.$$
(19)
and the probability of successful discrimination is

$$P^L=1P_E=12\sqrt{rs}|<u|v>|,$$
(20)
the same as that achieved by the global scheme. That means it is optimal.

If

$$\sqrt{\frac{s}{r}}|<u_2|v_2>|,$$
(21)
then

$$P_{E2}=r|<u_2|v_2>|^2+s.$$
(22)
and

$`P_{|u_2>|E2}`$ $`=`$ $`{\displaystyle \frac{r|<u_2|v_2>|^2}{P_{E2}}},`$ (23)
$`P_{|v_2>|E2}`$ $`=`$ $`{\displaystyle \frac{s}{P_{E2}}},`$ (24)
$`P_{|u_2>|E2}`$ $``$ $`P_{|v_2>|E2}.`$ (25)
Now it’s Alice’s turn to discriminate between $`|u_1>`$ and $`|v_1>`$ with probabilities $`r^{}=\frac{r|<u_2|v_2>|^2}{P_{E2}}`$ and $`s^{}=\frac{s}{P_{E2}}`$.

If

$$\sqrt{\frac{s^{}}{r^{}}}|<u_1|v_1>|,$$
(26)
then

$$\sqrt{\frac{s}{r}}|<u|v>|,$$
(27)
and the global scheme gives the optimal discrimination

$$P^G=12\sqrt{rs}|<u|v>|.$$
(28)
In LOCC protocol, Alice error probability is

$$P_{E1|E2}=2\sqrt{r^{}s^{}}|<u_1|v_1>|.$$
(29)
So the total error probability is

$$P_E=P_{E2}P_{E1|E2}=2\sqrt{rs}|<u|v>|,$$
(30)
so the probability of decisive outcomes is also equal to $`P^G`$.

If

$$\sqrt{\frac{s^{}}{r^{}}}|<u_1|v_1>|,$$
(31)
then

$$\sqrt{\frac{s}{r}}|<u|v>|,$$
(32)
and the optimal discrimination by global scheme is

$$P^G=r(1|<u|v>|^2).$$
(33)
By means of LOCC, Alice error probability is

$$P_{E1|E2}=s^{}+r^{}|<u_1|v_1>|^2.$$
(34)
So the total error probability is

$$P_E=P_{E2}P_{E1|E2}=s+r|<u|v>|^2,$$
(35)
and $`P^G`$ is also achieved by LOCC.

It is explicit that we can achieve the same optimal discrimination by varying the order of operations performed by Alice and Bob. Further, it is easy to generalize to two non-orthogonal pure product multipartite states and also to achieve the optimal discrimination same as the global scheme. As to two pure product tripartite states, we can group bipartite as one and the third as another and perform the optimal discrimination between two parties. This can be realized by local discrimination, further the discrimination between the first two can also be realized locally. That completes our proof.

Our protocol implies that there exist many different local procedures that can achieve the same optimal discrimination. Among them, it is straightforward that we can select the protocol which minimizes the average number of local operations needed. We perform the local discrimination optimally in ascending order of $`|<u_i|v_i>|`$. Only if the former party obtains the error outcome, the successive party perform his local discrimination. It is explicit this protocol minimizes the average number of local operations.

In the paper , optimal inconclusive discrimination of two non-orthogonal pure product states is also achieved by LOCC. This is also true in conclusive discrimination. These results may imply that two pure product multipartite states might have no non-local property although more than two can have .

D. Yang thanks S. J. Gu and H. W. Wang for helpful discussion. The work is supported by the NNSF of China (Grant No.19875041), the Special NSF of Zhejiang Province (Grant No.RC98022) and Guang-Biao Cao Foundation inZhejiang University.


text:
# Characterization of the Distribution of Twin Primes

## 1 Introduction

Prime numbers , with their many wonderful properties, have been an intriguing subject of mathematical investigation since ancient times. The “twin primes,” pairs of prime numbers $`\{p,p+2\}`$ are a subset of the primes and themselves possess remarkable properties. In particular, we note that the Twin Prime Conjecture, that there exists an infinite number of these prime number pairs which differ by 2, is not yet proven .

In recent years much human labor and computational effort have been expended on the subject of twin primes. The general aims of these researches have been three-fold: the task of enumerating the twin primes  (i.e., identifying the members of this particular subset of the natural numbers, and its higher-order variants “$`k`$-tuples” of primes), the attempt to elucidate how twin primes are distributed among the natural numbers  (especially searches for long gaps in the sequence ), and finally, the precise estimation of the value of Brun’s Constant .

Many authors have observed that the twin primes, along with the primes themselves, generally become more sparse or diffuse as their magnitude increases. In fact the Prime Number Theorem may be rephrased to state that the number of prime numbers less than or equal to some large (not necessarily prime) number $`N`$ is approximately333In fact, more accurate approximations are known, but the formulae we quote suffice for our purposes.

$$\pi _1(N)_2^N\frac{1}{\mathrm{ln}(x)}𝑑x.$$
(1)
A similar result is believed to hold for the number of twin primes where each element of the pair is less than or equal to large $`N`$

$$\pi _2(N)2c_2_2^N\frac{1}{\left(\mathrm{ln}(x)\right)^2}𝑑x,$$
(2)
where the “twin prime” constant  $`c_2`$ has the numerical value $`c_2=0.661618\mathrm{}`$, and is currently known to many decimal places . The expression (2) is the first instance of the Hardy–Littlewood conjectures which estimate the multiplicity of $`k`$-tuples of primes smaller than natural number $`N`$ .

In our investigation, we sought to account for the effect of the primes themselves becoming more rarefied by examining the distribution of twin primes within the prime numbers. We have done this for the set of prime numbers less than approximately $`4\times 10^9`$, and have observed that within this range the occurrence of twin primes may be characterized as slowly-varying-probability random events.

## 2 Method and Results

To ensure that there is no confusion, let us first make very clear our methodology. We generated prime numbers in sequence, viz, $`P_1=2,P_2=3,P_3=5\mathrm{}`$, and within this sequence identified twin primes and their prime separations as illustrated somewhat schematically below.

$$\mathrm{}P_i\left(P_{i+1}P_{i+2}\right)P_{i+3}P_{i+4}\left(P_{i+5}P_{i+6}\right)P_{i+7}P_{i+8}P_{i+9}P_{i+10}\left(P_{i+11}P_{i+12}\right)P_{i+13}\mathrm{}$$

We say that the first pair of twins in the above sequence has a prime separation of 2. There are two non-twin prime numbers, i.e., singletons, which occur between the second prime element, $`P_{i+2}`$, of the first twin and the first prime element, $`P_{i+5}`$, of the subsequent twin. Similarly, the second pair of twins has prime separation 4. Note that there are many twins with prime separation equal to zero: for example $`(\mathrm{5\; 7})(\mathrm{11\; 13})`$, or $`(\mathrm{137\; 139})(\mathrm{149\; 151})`$. Actually, all of the prime 4-tuples $`(P,P+2,P+6,P+8)`$ are comprised of a pair of twins with zero separation in primes.

There is an irregularity with our definition of separation for the first few primes: $`2(\mathrm{3\; 5})(\mathrm{5\; 7})`$, where the pairs in fact overlap, yielding a prime separation of $`1`$. Fortunately, for very well-known reasons such overlapping twins do not ever recur and we choose to begin our analysis with the twin $`(\mathrm{5\; 7})`$. For instance, in the set of seven twins between 5 and 100,

$$\left\{(\mathrm{5\; 7})(\mathrm{11\; 13})(\mathrm{17\; 19})(\mathrm{29\; 31})(\mathrm{41\; 43})(\mathrm{59\; 61})(\mathrm{71\; 73})\right\},$$

there are 6 separations. Three of these happen to be 0, two are 1, and one is 2, so the relative frequencies for separations $`s=0,1,2`$ are $`\frac{1}{2},\frac{1}{3}`$, and $`\frac{1}{6}`$, respectively.

From the set of primes, all separations between pairs of twins up to a fixed number $`N`$ were computed and tabulated. \[We chose certain values of $`N`$ in the range $`79561`$ to $`4020634603`$. These particular numbers are the second prime elements of the thousandth and twelve-millionth twins respectively. Many of our $`N`$’s were chosen such that our analysis started and ended on twins. However the behavior that we observe holds for all $`N`$, sufficiently large, with the understanding that the singleton primes between the last twin and the upper bound $`N`$ are ignored.\] The logarithm of the relative frequency of occurrence of each separation in each of our analyses appears to obey a surprisingly simple relation as illustrated schematically in Figure 1.

Two comments must be made. The first is that this remarkable behavior is perfectly characteristic of a completely random system. We infer that as one approaches each prime member in the sequence of primes following a twin, the likelihood of it being the first member of the next twin prime is constant! By way of analogy, we can consider a radioactive substance. The likelihood of one of its atoms decaying in any short time interval is fixed, with the effect that the probability that the next decay occurs at time $`t`$ is just $`𝒩e^{\gamma t}`$, where $`\gamma `$ is the decay rate, and $`𝒩`$ is a constant to ensure appropriate normalization. The measured slope of the line fit to our data provides a decay constant which is particular to the twin primes. Again, recourse to our analogy is warranted. The decay rate of a radioactive element is a defining characteristic of that element. We appear to have the occurrences of twin primes governed by a similar sort of “prime constant.”

We qualify this statement, however, since the curve in Figure 1 is only illustrative because the slope varies inversely with $`N`$. Figure 2 displays curves (with associated best-fit straight lines) for the twin prime separation data for ranges $`[5,10^6]`$, $`[5,10^8]`$ and $`[5,10^9]`$, illustrating the variation with $`N`$.

Were it not the case that the magnitude of the slope diminished for larger values of $`N`$ then the Hardy–Littlewood Conjecture for twins would certainly fail to hold. If the slopes of our lines were indeed the same value for all $`N`$, meaning that the probability of a given prime being a member of a twin pair is a universal constant, then the number of twin primes $`\pi _2(N)`$ would just be a fixed fraction of $`\pi _1(N)`$ in disagreement with Hardy–Littlewood and the empirical data.

The linear fits that we employed were constrained to ensure that the relative frequencies are properly normalized. That is, if the relative frequency with which separation $`s`$ occurs obeys the exponential relation consistent with our data, then for the sum of frequencies to be normalized to $`1`$, we must have

$$+\text{(intercept)}\mathrm{ln}(\text{(slope)}),$$
(3)
so the fit that we performed was constrained by the one-parameter Ansatz

$$f(s)=ms+\mathrm{ln}(m).$$
(4)
Table 1 gives the best-fit values of this probability-conserving slope ($`m`$) for various $`N`$, along with simple statistical estimates of the uncertainty. The quoted error estimates measure only the quality of the estimate of $`m`$ and and does not account for effects resulting from our arbitrary choices of $`N`$. It may very well be the case that a more realistic assessment of error would double the values quoted in the table.

Two comments must be made. The first is that all of the separations which appeared in the data received equal (frequency-weighted) consideration in our computation of best-fit slopes. This has a consequence insofar as the large-separation, low-frequency events constituting the tail of the distribution reduce the magnitude of the slope, as is readily seen in Figures 1 and 2. One might well be inclined to truncate the data by excising the tails and fixing the slopes by the (more-strongly-linear) low-separation data for each $`N`$. We did not do this because it would have entailed a generally systematic discarding of data from pairs appearing near the upper limit of the range, and thus would nearly correspond to the slope with greater magnitude that one would expect associated with an effective upper limit $`N_{\text{eff}}<N`$. Viewed from this perspective, it is better to consider all points rather than submit to this degree of uncertainty. The second comment is that we have thus far adhered to the convention of expressing all of our results in terms of the natural number $`N`$. We shall now pass over to a characterization in terms of $`\pi _1`$ – itself a function of $`N`$ – which better suits our viewpoint that the analysis of the distribution of twins is most meaningful when considered in terms of the primes themselves.

In light of the above comments, we sketch in Figure 3 a plot of the slopes (computed in the manner described) versus $`\mathrm{log}(\pi _1)`$. The trend seen on the graph may be well-described by the function (remember that the error bars are understated)

$$m(x)(1.321\pm 0.010)/x,\text{for }x=\mathrm{log}(\pi _1(N)).$$
(5)
There are two amazing features of this functional form for the dependence of the slope on $`\pi _1`$. The first is that the factor which appears looks suspiciously like $`2c_2`$, the twin primes constant! This result will be confirmed in the next section. The second feature is that

$$\underset{x\mathrm{}}{lim}m(x)=0^{},$$

i.e., as one progresses through the infinite set of primes, the slope which governs the distribution of twins does not crash through zero. This is consistent with the Hardy–Littlewood conjecture insofar as the twins become progressively more sparse within the set of primes. In addition, it is consistent with the Twin Prime Conjecture in that the reciprocal of the slope admits the interpretation of being the “expected number of primes interspersed between a given twin and the next twin in order.”

$$\overline{s}=\frac{1}{m},\text{for random fixed probability events.}$$
(6)
Since $`\overline{s}`$ remains finite for all $`\pi _1`$, then we can conjecture that wherever one happens to be in the infinite set of primes it is possible to characterize the expected number of primes that will be encountered on the way to the next twin. This is also consistent with the Twin Prime Conjecture, although unfortunately it is empirical and does not constitute a proof.

## 3 Interpretive Framework

Recall that, up to this point, all of our results have been purely empirical. Now, we will argue for their essential truth and consistency beyond the range of our data.

Consider our approximation (1) for $`\pi _1(N)`$. Making the additional draconian approximation that the integrand is constant at its minimum value, and discarding a small term, we get the oft-quoted estimate

$$\stackrel{~}{\pi }_1(N)\frac{N}{\mathrm{log}(N)}.$$
(7)
In precisely the same manner we get

$$\stackrel{~}{\pi }_2(N)2c_2\frac{N}{\left(\mathrm{log}(N)\right)^2}.$$
(8)
The entire set of prime numbers less than $`N`$ consists of the $`2\times \pi _2(N)`$ elements which occur together in twins and $`\pi _1(N)2\times \pi _2(N)`$ singletons. Now, let us suppose that the set of twins is randomly interspersed among the singletons. This would imply that between each twin pair there will appear, on average, $`s_0(N)`$ singletons, where

$$s_0(N)=\frac{\pi _12\pi _2}{\pi _2}.$$
(9)
Note that there is an essential distinction between $`\overline{s}`$ which arises from the actual distribution of separations and $`s_0`$ which, in effect, assumes that the twins are evenly spaced. That is, from a value of $`\overline{s}(\pi _1(N))`$ one can infer $`m`$ and thus the probability distribution of twin prime separations characteristic of the set of primes less than $`N`$. On the other hand, $`s_0(N)`$ is an average value in which no account is taken of the details of the distribution and thus no more information is contained in it.

In the approximation scheme developed in (7) and (8),

$$\stackrel{~}{s}_0=\frac{\mathrm{log}(N)4c_2}{2c_2}\frac{\mathrm{log}(N)}{2c_2}.$$
(10)
Furthermore, to very lowest-order

$$\mathrm{log}(N)\mathrm{log}(\stackrel{~}{\pi }_1)+\mathrm{log}(\mathrm{log}(\stackrel{~}{\pi }_1)),$$
(11)
and hence

$$\stackrel{~}{s}_0\frac{\mathrm{log}(\stackrel{~}{\pi }_1)}{2c_2}.$$
(12)
Finally, taking this as the expected number of singleton primes occurring between twin prime pairs for numbers less than or equal to $`N`$ we see immediately that

$$\stackrel{~}{m}=\frac{1}{\stackrel{~}{s}_0}\frac{2c_2}{\mathrm{log}(\stackrel{~}{\pi }_1)}$$
(13)
is completely consistent with the Prime Number Theorem, the Hardy–Littlewood Conjecture, and with our empirical results.

As an aside, one might consider the effect of attempting to improve upon the draconian approximation. It turns out that any reasonable improvement merely results in the addition of (small) constant terms which may be neglected in the limit of large $`N`$.

We are quite surprised that our empirical results yield the large $`N`$ limit with such accuracy.

Another test of the general consistency of our model is by comparison with $`m_0`$, where

$$m_0(N)=\frac{1}{s_0(N)}=\frac{\pi _2(N)}{\pi _1(N)2\pi _2(N)}.$$
(14)
Bearing in mind that we are modeling more accurately the actual distribution of prime separations with $`\overline{s}`$ than with $`s_0`$, we do not expect perfect agreement, but rather that the general trend exposed by $`s_0`$ will be followed by $`\overline{s}`$ if investigated beyond the range thus far examined. We sketch below a plot of $`m_0`$ vs. $`\mathrm{log}\pi _1`$ using precise values for $`\pi _1`$ and $`\pi _2`$ computed by T.R. Nicely . Note that we have made the small adjustments of decrementing the published $`\pi _2`$’s by one and decrementing the $`\pi _1`$ by two to take into account our skipping the anomalous prime $`2`$ and twin $`(\mathrm{3\; 5})`$. We are quite encouraged by the correspondence of the data on graph, and believe that the distributional model does extend itself well beyond the range of our present data.

## 4 Conclusion

We believe that we have constructed a novel characterization of the distribution of twin primes. The most essential feature of our approach is that we consider the spacings of twins among the primes themselves, rather than among the natural numbers. Secondly, we modeled the distribution empirically – without preconceptions – and argued that for any given $`N`$ (larger than $`10^4`$, say) the twin primes appear amongst the sequence of primes in a manner characteristic of a completely random, fixed probability system. Again working empirically, we noted that the “fixed” probability varied with $`N`$, in a manner consistent with Theorems and with Conjectures that are believed to hold. We have parameterized the variation of the “separation constant” in terms of $`\pi _1`$, as suggested by our outlook, and have discovered that it has a particularly simple functional form and is also consistent with the established Theorems and Conjectures.

With this model for the distribution now in hand and assumed viable, we are beginning to investigate other consequences. These will be reported upon in a forthcoming paper .

## 5 Acknowledgements

PFK and TP thank J. Calvo and J. Coykendall for commenting upon a draft version of this manuscript. This work was supported in part by the National Science Foundation (USA) under grant #OSR-9452892 and a Doctoral Dissertation Fellowship.