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# Very low shot noise in carbon nanotubes

## 1 Introduction

Metallic single wall carbon nanotubes (SWNT) are known to be model systems for the study of one dimensional(1D) electronic transport. Depending on diameter and helicity, SWNT have at most 2 conducting channels and in the absence of disorder their minimum resistance is predicted to be $`h/4e^26.5k\mathrm{\Omega }`$ Dresselhaus ; Hamada . In 1D, electronic interactions are expected to lead to a breakdown of the Fermi liquid state. Nanotubes should then be described by Luttinger Liquids (LL) theories Kane ; egger , with collective low energy excitations. Indications of the validity of LL description with repulsive interactions in SWNT were given by the measurement of a resistance diverging as a power law with temperature down to 10 K bockrath . It has been shown that another experimental signature of a Luttinger liquid is the existence of non integer charge excitations $`e^{}=ge`$ where g is the Luttinger parameter which depends on the interaction strength ( g=1 in the absence of interactions.) These excitations can in principle be detected in a 2-wire measurement on a sample containing an impurity in the weak backscattering regime blanter ; kanefrac . Indeed, non integer charge excitations create a current noise which has the form:

$$S_I=2e^{}i_b$$
(1)
where $`i_b`$ is the back-scattered current. Edge states in 2 D electron systems in the fractional quantum Hall regime have provided an elegant demonstration of this prediction exp . However carbon nanotubes, contrary to the edge states in the fractional quantum hall regime, are expected to constitute a non chiral Luttinger Liquid where forward and backward electrons are not spatially separated. Theoretical predictions for the non chiral LL are quite controversial. Although the initial prediction eq.1 kanefrac  was obtained for a non chiral infinite LL, it has been recently claimed jap ; trauz  that the shot noise in a LL between two reservoirs does not reveal the quasi-particle non integer charge and the authors in trauz  predict instead an integer charge of 1e, in the expression of shot noise. These calculations however rely on drastic hypothesis concerning screening of electron interactions and boundary conditions with the reservoirs which validity can be questioned lederer . The investigation of shot noise in carbon nanotubes is therefore an important issue. The measurements we present on SWNT show a surprisingly high shot noise reduction.

## 2 Experimental set-up

The SWNT are prepared by an electrical arc method with a mixture of nickel and yttrium as a catalyst Journet ; Vaccarini . SWNT with diameters of the order of 1.4 nm are obtained. They are purified by the cross-flow filtration method Vaccarini . The tubes usually come assembled in ropes of a few hundred parallel tubes, but individual tubes can also be obtained after chemical treatment with a surfactant burghard . Isolation of an individual rope and connection to measuring pads are performed according to the following nano-soldering technique. A target covered with nanotubes is placed above a metal-coated MetalCoating  suspended $`Si_3N_4`$ membrane, in which a roughly 1 $`\mu m`$ by 100 $`\mu m`$ slit has been etched with a focused ion beam. Following ref. Kasumov2  a focused UV laser beam pulse (power 10 kW) is applied for 10 ns, a nanotube drops from the target and connects the edges of the slit. Since the metal electrodes on each side of the slit are locally molten, the tube gets soldered into good contact. The resulting samples can then be characterized using transmission electronic microscopy. The measurement of large supercurrents when the tubes are soldered to superconducting electrodes Kasumov  indicate that the contact resistance is much smaller than the intrinsic resistance of the tubes.

Using this technique, we have obtained individual carbon nanotubes such as the sample presented in fig.(5), with resistances as low as $`10k\mathrm{\Omega }`$, that present a quasi metallic behavior down to very low temperature with less than a $`25\%`$ increase of resistance between 300 K and 1 K. Ropes containing few tens of nearly ordered carbon nanotubes soldered using the same technique present a wide range of measured resistances that can vary between $`100`$ and $`10^5\mathrm{\Omega }`$ at 300 K. These ropes are generally metallic when their resistances are below $`10k\mathrm{\Omega }`$ at room temperature. The data presented here are taken on ropes that have a resistance less than 1 $`k\mathrm{\Omega }`$. (More resistive ropes usually had a level of 1/f noise that prevents the measurement of shot noise.) The temperature dependence of these low resistance ropes (see inset of fig. 1) is also very weak but in contrast with what is observed in individual tubes, it is not monotonous as already reported in fisher . The resistance decreases linearly as temperature is lowered between room temperature and 30 K indicating the freezing-out of phonon modes, and then increases as T is further decreased, just as in individual tubes.

The noise was recorded as a voltage fluctuation $`\mathrm{\Delta }V(t)`$ across the samples biased with various DC currents $`I_{DC}`$. The spectrum of voltage noise power

$`P_V(f)=2\overline{\mathrm{\Delta }V(t)\mathrm{\Delta }V(O)}\mathrm{exp}(2i\pi ft)𝑑t`$ was averaged during over roughly 10 minutes and converted into a current noise according to $`P_I=h.P_V/R^2`$, where $`R`$ is the sample resistance and $`h=(1+R/Z)^2`$ is a correction factor which accounts for the finite impedance $`Z>>R`$ of the biasing circuit. For all the samples tested, this correction factor never exceeds the value $`1.2`$. In practice, a spectrum analyser calculated the noise power spectrum by correlating the output signals from two low noise differential preamplifiers (model LI-75A by NF Electronic Instruments) which were independently connected across the samples. The measuring procedure has been checked by replacing the samples with a $`560\mathrm{\Omega }`$ macroscopic resistor, for which zero shot noise is expected. The experiment, conducted at 4.2 K, gave the expected result within $`\pm 2eI/2000`$ (see fig. 2). Another validation of the apparatus and correlation procedure was provided by the measurement of the full shot noise 2eI across the PN junction of a commercial transistor at room temperature.

## 3 Results

Typical noise spectra obtained on a rope of 200 tubes, which resistance varies between $`1085\mathrm{\Omega }`$ and $`1100\mathrm{\Omega }`$ are shown on fig.1 for $`I_{DC}`$ currents up to $`260\mu A`$ (Rope A). On all spectra, we have eliminated parasitic peaks (due to harmonics of 50 Hz and radiations of monitors and screens), which are independent of $`I_{DC}`$. They represent about $`1\%`$ of the investigated frequencies. To increase the readability of the fig.1, the data used for the plot have been smoothed over a 600 Hz frequency window. One can note also the high frequency cutoff above 30 kHz which is due to input filters in the experiment.

Every sample exhibits three intrinsic noise contributions : Johnson Nyquist thermal noise, shot noise and low frequency noise. In addition, the major sources of background noise are the circuit resistances and preamplifiers voltage and current noise. These different parasitic contributions have been characterized independently with specific experiments, in particular at 140 mK in order to reduce the thermal noises. For all measurements, the total background noise is dominated by the amplifiers current noise ($`130fA.Hz^{0.5}`$ at 10 kHz) and it always remains smaller than the noise from the sample itself.

For $`I_{DC}=0`$ and beyond the low frequency region, the white noise $`P_I^0`$ is identified with Johnson Nyquist noise. Its level was determined after correction for the high frequency cutoff, which is due to knwon filter capacitances. This noise power can be expressed as an equivalent temperature $`T_{eq}`$ according to $`T_{eq}=P_I^0R/4k_B`$. The upper inset of fig.1 shows that $`T_{eq}`$ is always close to the measured value of T, which provides a basic experimental check.

The quantity we consider from now on is the difference between the noise power spectra obtained with and without DC current bias : $`P_I(I_{DC})P_I(O)`$. This difference only contains shot noise and low frequency noise. We find that the low frequency noise roughly scales as $`I^2/f`$, which is the basic signature of 1/f noise originating from the a population of active two-level systems in a metallic conductor dutta .

Note that the amplitude of 1/f noise we measure is very small compared to the values already published on carbon nanotubes paalanen ; postma . A possible explanation is the suspended character of our samples in contrast with deposited nanotubes which can interact with residual mobile charges present on any substrate. Following the analysis in postma we characterize the amplitude of 1/f noise by the dimensionless coefficient B defined as $`S_I/I_{dc}^2=B/f`$. For rope A, we find $`B10^{13}`$ nearly independent of temperature between 300 K and 1 K. For the highest currents (typically $`I_{DC}>350\mu A`$), an additional low frequency noise appears with a $`1/f^2`$ dependence which saturates at very low frequency. This behavior is typical of telegraphic noise which characteristic frequency increases with $`I_{DC}`$ (see fig. 1) and is similar to previous observations in nanometer scales metallic samples where the resistance noise is dominated by the activity of an individual or a very few number of two-level-systems.ralls . We fit the tail of the low frequency noise by a $`1/f^\alpha `$ power law, and the remaining white noise is identified to the shot noise $`S_I`$. Above 5-10 $`kHz`$, the amplitude of the white noise level is not found to depend on the details of the low frequency fit, at least for $`\alpha `$ arbitrarily chosen between 1 and 2.

We now focus exclusively on this shot noise. In fig. 2, $`S_I`$ is plotted as a function of $`I_{DC}`$ for Rope A. As expected we observe a roughly linear dependence. Interestingly, the current noise is strongly reduced (by more than a factor 150) compared to the full shot noise value $`S_I=2eI`$. For this reason it cannot be detected for currents below $`10\mu A`$. This strong reduction of shot noise is the central result of our paper. Note however that we cannot discriminate in these experiments the intrinsic noise of the tubes from the noise of the contacts. It is thus possible that the intrinsic noise of the nanotubes is even smaller than these measured values.

This small shot noise amplitude decreases systematically as temperature is increased between 1 and 20 K and is not measurable anymore at 77 K just like in a macroscopic resistor. Shot noise is indeed expected to disappear at temperatures for which inelastic electron phonon scattering takes place inside the sample, with scattering lengths much smaller than the sample length. (And indeed the increase of resistance measured above 30 K indicates that e-phonon scattering takes place inside the sample at this temperature).

Similar shot noise reductions where also seen (see fig.3) in the less resistive ropes B ($`R=495\mathrm{\Omega }`$) and C ($`R=186\mathrm{\Omega }`$) where reduction factors are respectively measured to be 270 and 150 at 1K. We have also performed noise measurements on an individual tube at 1 K (fig. 4)which resistance varies between 10.5 and $`12.5k\mathrm{\Omega }`$ between $`300K`$ and $`1K`$. The amplitude of 1/f noise measured in this sample is much higher than in ropes, and presents strong non-linearities with $`I_{dc}^2`$ above $`0.1\mu A`$as shown on fig.5. At current below $`0.1\mu A`$ it can be described by the coefficient $`B=10^9`$ which is about $`10^2`$ smaller than the value recently measured at 8 K in an individual tube 5 times more resistive by Postma et al. postma . The strong difference by more than a factor $`10^4`$ of the amplitude of 1/f noise between ropes containing 300 tubes and an individual tube may seem surprising. But it can be qualitatively understood considering that transport through a rope essentially probes the most conducting tubes which are also likely to be the less noisy ones. This large amount of 1/f noise in the individual tube sample makes the analysis of the shot noise component more difficult. The data shown in fig. 5 shows that there is barely no detectable shot noise in this sample. We can nevertheless give an upper-bound estimate of the amount of shot noise which are the data points shown.

## 4 Discussion

We now discuss the possible physical mechanisms which could be at the origin of the strong shot noise reduction.

i) Strong electron phonon scattering in the sample or at the contacts. Electron phonon scattering characterized by a typical scattering length $`l_{eph}`$ has been shown to induce a shot noise reduction of a factor $`l_{eph}/L`$ for a sample of length L much longer than $`l_{eph}`$ wees88 . However in order to explain the noise reduction factor observed in the present experiments an inelastic length as short as 5 $`nm`$ is needed which is quite unphysical at 1 K and at low current. Observation of proximity induced superconductivity in the same type of samples is a confirmation of long inelastic scattering lengths in the tubes and absence of inelastic scattering at the contacts. Of course, this electron phonon scattering is expected to increase at high currents, as has been invoked to explain the strong non-linearities observed in low temperature transport in individual tubes observed above $`I=5\mu A`$ per tube yao . We have checked that non linearities for all measured samples discussed here remain extremely small: less than 1 percent of resistance (see inset of fig. 3) and are opposite in sign compared to what is expected for current-induced electron phonon scattering where R should exhibit an increase with current instead of the small decrease observed here.

ii) Ballistic transport through the tubes in a Landauer type of picture landauer . Assuming that carbon nanotubes in a rope behave as independent 2 channel conductors characterized by their transmissions $`t_i^a`$ and $`t_i^b`$, the total conductance of a rope reads :

$$G=G_0\mathrm{\Sigma }_i(t_i^a+t_i^b)$$
(2)
where $`G_0=2e^2/h`$ is the conductance quantum. The shot noise spectral density through the sample biased with the voltage V in the limit $`eV>>k_BT`$ is:

$$S_I=2G_0eV\mathrm{\Sigma }_i\left[t_i^a(1t_i^a)+t_i^b(1t_i^b)\right]$$
(3)
From the dimensionless value of the conductance of Rope A, which varies with $`T`$ between $`𝒢=G/G_0`$=11.80 and $`𝒢`$=11.93 it is possible to deduce the configuration of $`t_i`$ which yields the minimum value of $`S_I`$. It is obtained assuming that all tubes except 6 are insulator which means $`N_G=12`$ conducting channels for the rope. If 5 tubes are perfectly conducting ($`t_i^1=t_i^2=1`$) and the sixth one is such that: $`t_6^a=1`$ then $`t_6^b=𝒢int(𝒢)=𝒢11`$. We deduce a shot noise reduction factor $`t_6^b.(1t_6^b)/𝒢`$ which yields $`S_I`$ between $`eI/70`$ and $`eI/200`$ when the resistance varies between 1085 $`\mathrm{\Omega }`$ and 1100 $`\mathrm{\Omega }`$ i.e. of the order of the observed value (see fig.6). It is interesting to consider also the situation in which all the conducting channels have the same transmission. The maximum noise reduction is obtained again when the number of conducting channels $`N_G`$ is minimum ($`N_G=Int(𝒢)+1`$). Fig.6 (thick dashed line) shows that reduction factor peaks for integer values of $`𝒢`$, which correspond again to a full transmission ($`t_i=1`$) for all conducting channels.

It is thus in principle nearly possible to explain the low level of shot noise measured in the ropes by considering them as a small number ($`Int(𝒢)+1`$ channels) of independent quasi ballistic conductors of non interacting electrons. For Rope A, this implies for all channels either a transmission $`t_i`$ equal to 0 or 1 within $`\delta t_i`$ ($`\delta t_i<0.1`$), with the very strong additional constraint that $`\mathrm{\Sigma }_i\delta t_i<0.1`$ The preliminary results obtained on the individual tube presented in fig.5 also indicate that the level of shot noise is reduced by more than a factor 3 compared to the maximum shot noise reduction obtained assuming that the nanotube consists of 2 independent channels of non interacting electrons. As discussed above the presence of electron-electron interactions can induce a Luttinger liquid state in a 1D system resulting in non-integer charge excitations with $`e^{}=ge`$ where g is the LL parameter estimated to be of the order of 0.3 in carbon nanotubes. Replacing e by e\* in (3) could help fit our experimental reduction of shot noise for all the samples. However we want to stress that the assumption we have made, that only a very small number of nearly perfectly ballistic conducting tubes contribute to transport through the ropes, implies that the current per tube in our experiments can exceed $`60\mu A`$ per tube within a rope without damaging the sample nor giving rise to observable non-linearities. This is in apparent contradiction with previous experiments both in individual tubes and ropes where non-linearities start to show up at $`5\mu A`$ and the maximum current which can be sustained by an individual SWNT is observed to be of the order of $`20\mu A`$ yao ; avouris . It is possible that the absence of non-linearities in our samples is due to their suspended character: emitted phonons can not leave the tubes via the substrate and are reabsorbed by other electrons as observed in point contacts kulik  which can also sustain very high currents.

Assuming instead that more that $`Int(𝒢)+1`$ channels participate to transport will yield a shot noise reduction factor which decreases very rapidly with $`Int(𝒢)+1`$. For example, let us assume that $`N_G`$ conducting channels have the same transmission $`𝒢/N_G`$. Fig.6 (thin lines) shows the noise reduction factor for $`N_G=Int(𝒢)+2`$ and $`N_G=Int(𝒢)+3`$. For all ropes, it falls well below the experimental values. For $`N_G=2Int(𝒢)`$, the effect is much more drastic with a reduction factor approaching 2. Such low reductions cannot explain our results. It therefore seems in this hypothesis that a much smaller effective charge is needed to explain the severe reduction we observe.

It may then be necessary to take into account strong correlations between the current noise in the different tubes constituting the rope or coupling between the two channels within each nanotube. The effect of inter-tubes correlations has been recently discussed theoretically by Trauzettel et al. trauz  in a more sophisticated experimental setup where coupled nanotubes can be independently addressed. These authors propose a scenario with a perfect locking of the noise in different tubes. Such positive correlations are expected to increase shot noise. Our experiments indicate instead strong anticorrelations.

Note that strong Coulomb repulsion between electrons in vacuum diodes or triodes have already been shown 60 years ago rack  to provide a very efficient mechanism for shot noise reduction. At this stage both more experimental and theoretical work are needed to understand our results.

We have benifited fom a number of fruitful discussions with Y. Blanter, M. Büttiker, K. Imura, P. Lederer, K.V. Pham and F. Piechon. A.K. thanks the Russian foundation for basic research and solid state nanostructures for financial support, and thanks CNRS for a visitor’s position. P.-E. R. is grateful to C. Glattli and B. Douçot for their comments.


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# The UV line spectrum of the soft X–ray transient XTE J1118+480: a CNO-processed core exposed

## 1 INTRODUCTION

The recently-discovered soft X–ray transient (SXT) XTE J1118+480 ( = KV UMa; Remillard et al 2000) lies at high galactic latitude, close to the Lockman Hole in the local ISM. The exceptionally low interstellar absorption permits unprecedented wavelength coverage (Mauche et al 2000, Hynes et al 2000, McClintock et al 2001b, Chaty et al 2002).

A low amplitude photometric modulation with period 4.1 hr was reported by Cook et al (2000) and Uemura et al (2000). Dubus et al (2000) present spectroscopy showing an emission line radial velocity ‘S-wave’ modulation at a period close to this. This period was recently confirmed as orbital, and a mass function of $`f(M)6\mathrm{M}_{}`$ was measured by McClintock et al (2001a) and Wagner et al (2001). Therefore the accretor clearly has to be a black hole.

We present the UV line spectrum of XTE J1118+480, which we compare with that of another recent SXT, XTE J1859+226. Full analyses of these HST spectra will be presented elsewhere (Hynes et al 2002a,b; Chaty et al 2002). Here we focus on the prior evolution of XTE J1118+480.

## 2 OBSERVATIONS

We obtained HST spectra of XTE J1859+226 near the peak of outburst on 1999 October 18 and 27 and November 6. At each epoch far-UV spectra were obtained using the low-resolution G140L grating and wide (0.5 arcsec) slit, yielding wavelength coverage 1150–1730 Å and resolution $`2.1`$ Å. We used the standard pipeline data products except that the spectral extraction was done by hand using the iraf implementation of optimal extraction. This gave a significantly cleaner removal of geocoronal emission lines (principally Ly $`\alpha `$ and O i 1302 Å). After extracting the one-dimensional spectra (with the pipeline wavelength and flux calibrations), we resampled them onto a common wavelength grid and took an exposure-time weighted average.

For XTE J1118+480, we obtained high-resolution (echelle) spectra using the E140M grating and 0.2 arcsec square aperture on 2000 April 8, 18 and 29, May 28, June 24, and July 8. The pipeline extraction was adequate, although a few high pixel values had to be replaced by hand. The extracted spectra were rebinned into 0.2 Å bins and averaged with exposure-time weighting. The process is clearly not perfect. In particular, there are a number of abrupt steps in the spectrum at longer wavelengths. These artefacts, at $`5`$ per cent level, arise from inconsistencies in the relative flux calibration of adjacent echelle orders.

Figure 1 gives the UV spectra of XTE J1118+480 and XTE J1859+226. Both show interstellar absorption features. In XTE J1118+480 these appear sharper because the spectral resolution was higher.

### 2.1 EMISSION LINES

The difference in the equivalent widths of the emission lines in the two systems is striking (Fig. 1, Table 1; Haswell et al 2000). In XTE J1859+226 C iv is the strongest line, with N v, C iii, O v, Si iv, and He ii also strongly present. These emission line strengths are roughly as expected for an X-ray bright LMXB (cf Sco X-1, Kallman, Boroson, & Vrtilek 1998). Compared to cataclysmic variables (CVs), the N v/C iv ratio is relatively large, while Si iv/C iv is small, as expected for a high ionisation parameter (Mauche, Lee & Kallman 1997). In contrast, for XTE J1118+480, the carbon and oxygen lines are undetectable, while the N v emission appears enhanced. A similar anomalous emission line spectrum is seen in the magnetic CV AE Aqr, in which the N v is much stronger than the C iv line (Jameson et al 1980, Eracleous et al 1994).

The N iv 1718$`\mathrm{\AA }`$ line would add a valuable additional constraint on the interpretation of the line spectrum in terms of the photo-ionisation conditions, so we carefully assessed our XTE J1118+480 spectra to determine whether it was present. Unfortunately our well-exposed E140M echelle spectrum stops at 1710$`\mathrm{\AA }`$ and our E230M echelle spectrum suffers from shorter total exposure and the low sensitivity of the NUV MAMA in this region. 1718$`\mathrm{\AA }`$ falls right on the boundary between the two STIS MAMA detectors, and consequently neither is optimised at this wavelength. We find no strong ($`3\times 10^{14}\mathrm{erg}\mathrm{s}^1\mathrm{cm}^2`$) line in the spectrum, but this upper limit provides a weak constraint due to the poor quality of our data at this wavelength.

### 2.2 ABSORPTION LINES

The Ly$`\alpha `$ absorption in XTE J1118+480 (Fig. 1) clearly has a sharp core, which is probably interstellar, with very broad wings. The continuum slope is well constrained by the spectrum longwards of $`1280\mathrm{\AA }`$. Extrapolating this continuum is suggestive of broad Ly$`\alpha `$ extending from $`1160\mathrm{\AA }`$ to $`1280\mathrm{\AA }`$. The combination of noise, N v emission, and absorption features hinder measurement of the Ly$`\alpha `$ wings, but they definitely extend at least from $`1180\mathrm{\AA }`$ to $`1230\mathrm{\AA }`$.

The broad absorption may be damped Ly$`\alpha `$ from the H i in our galaxy (Bowen, priv. comm.). If we assume, instead, that it is due to absorbing gas executing Keplerian motion around the black hole, and take the largest width suggested by our data, the full width implies velocities of $`0.05c`$ and absorbing material at distances as close as $`R_{\mathrm{in}}200R_{\mathrm{Sch}}`$. Taking the securely determined line width would imply absorption from Keplerian material at $`R_{\mathrm{in}}500R_{\mathrm{Sch}}`$.

An independent line of argument based on the shape of the spectral energy distribution, and dependent on the value of the neutral hydrogen column density, $`N_\mathrm{H}`$, has been used to estimate the disc inner radius (Hynes et al 2000, McClintock et al 2001, Chaty et al 2002). Hynes et al (2000) estimate $`N_\mathrm{H}=0.75\times 10^{20}\mathrm{cm}^2`$, a choice which suggests the disc is terminated at $`10^3R_{\mathrm{Sch}}`$. This is inconsistent with the Keplerian interpretation of the broad Ly$`\alpha `$ absorption. Alternatively, informed by the Chandra data, McClintock et al (2001) suggest that $`N_\mathrm{H}`$ could be as high as $`1.3\times 10^{20}\mathrm{cm}^2`$, with $`R_{\mathrm{in}}65R_{\mathrm{Sch}}`$. Chaty et al (2002) adopt $`N_\mathrm{H}=1.0\times 10^{20}\mathrm{cm}^2`$, which leads to $`R_{\mathrm{in}}350R_{\mathrm{Sch}}`$. The latter two values are consistent with the Keplerian interpretation of the broad Ly$`\alpha `$ absorption.

The feature near $`1425\mathrm{\AA }`$ does not have an obvious identification and we believe it may be spurious, although it does not correspond to any known instrumental artefacts (Sahu 2001 priv. comm.). This issue is under investigation.

## 3 IONISATION DIFFERENCES VERSUS ABUNDANCE ANOMALIES

The C iv 1550$`\mathrm{\AA }`$ and the N v 1240$`\mathrm{\AA }`$ lines are both resonance lines of lithium-like ions, and are produced under essentially the same physical conditions. Kallman and McCray (1982, hereafter KM82) present theoretical models of compact X-ray sources predicting the ionisation structure expected in a wide variety of astrophysical situations, including galactic X-ray binaries. KM82 present 8 distinct models; in each one the source luminosity, $`L`$, spectral shape, and gas density, $`n`$, are fixed. For each model the output includes the dependence on ionisation parameter,

$$\xi =\frac{L}{nR^2},$$
(1)
(where $`R`$ is the distance from the central source) of the abundances (as a fraction of the total elemental abundance) of the ions of common elements.

KM82 consider (i) three species detected in both XTE J1118+480 and XTE J1859+226: He ii, Si iv, and N v; and (ii) three species detected only in the spectrum of XTE J1859+226: C iv, C iii, and O v. Strikingly similar ionisation parameters were required for the two sets of lines in all models. In almost all cases the presence of N v places the tightest constraint on $`\xi `$, and almost invariably this is encompassed within the range producing C iv. In the minority of cases where there exists an ionisation parameter which produces N v and not C iv, this range also produces O v. Consequently, KM82 give no set of photoionisation parameters which would predict production of N v in XTE J1118+480 while suppressing the C iv and O v.

The X-ray spectrum of XTE J1118+480 is clearly different from that of XTE J1859+226: the former is an extended power-law (Hynes et al 2000, McClintock et al 2001, Frontera et al 2001, Chaty et al 2002) with a cut-off at $`100`$ keV indicative of the low-hard state, and often attributed to an advection-dominated accretion flow (ADAF; e.g. Esin et al 2001); while in the early stages of the outburst the latter was dominated by the soft thermal black-body disk spectrum which turned over by $`4`$ keV (Hynes et al 2002a), typical of the high-soft state. Ho et al (2000) note that the characteristically harder ionising spectrum of an ADAF lowers the effective ionisation parameter, and hence favours the production of lower ionisation species. Hence, if anything, the differences in the X-ray spectra should cause C iv to be relatively prominent (compared with N v) in XTE J1118+480, rather than being suppressed as we observe.

Hamann and Ferland (1992) used the observed C iv 1550$`\mathrm{\AA }`$ and N v 1240$`\mathrm{\AA }`$ lines to estimate the N/C abundance ratio in high redshift QSOs. Their photionisation calculations show that for a broad range of ionisation parameters the N v 1240$`\mathrm{\AA }`$ / C iv 1550$`\mathrm{\AA }`$ line ratio is lower at lower metalicities even when the N/C abundance ratio is kept constant. This means that if anything we should expect the N v 1240$`\mathrm{\AA }`$ line to be suppressed relative to C iv 1550$`\mathrm{\AA }`$ in XTE J1118+480 which is a halo object, and consequently might be expected to have a lower metalicity than that of XTE J1859+226.

A definitive abundance analysis for XTE J1118+480 would require exact knowledge of the geometry, densities, and ionising spectrum in the regions emitting the UV lines. While Hynes et al (2000, 2002b) gives some information on the geometry, and Chaty et al. (2002) gives good coverage of the X-ray spectrum, the EUV spectrum remains open to significant uncertainty (compare the range of dereddened EUV spectra in Chaty et al 2002, McClintock et al 2001, Esin et al 2001, Hynes et al 2000, Merloni et al 2000). Furthermore the range of densities present in the UV line emitting gas is difficult to determine. Consequently a quantitative abundance determination of the type carried out in stellar photospheres, where the physical conditions are well-known, is not possible.

Hence it is impossible to rule out definitively a contrived spectrum and gas distribution which would produce the set (i) lines while suppressing the set (ii) lines. However as

* set (i) and set (ii) ions require essentially identical ranges of $`\xi `$
* the ionising spectrum of XTE J1118+480 might be expected to favour C iv relative to N v
* the lower metallicity expected for XTE J1118+480 might be expected to boost the C iv1550$`\mathrm{\AA }`$ / N v 1240$`\mathrm{\AA }`$ line ratio

by far the simplest explanation of our observed UV line spectra is that a substantial underabundance of carbon is present in the surface layers of the mass donor star in XTE J1118+480.

In XTE J1118+480 (as in AE Aqr), the underabundance of carbon compared to nitrogen strongly suggests that the material in the accretion flow is substantially CNO processed (Clayton 1983). If the CNO bi–cycle achieves equilibrium, it converts most CNO nuclei into 14N. At the lower temperatures typical in $`1.5\mathrm{M}_{}`$ MS stars (which we shall suggest as the progenitor of the companion in XTE J1118+480) this conversion is much more at the expense of 12C than 16O, and in fact 17O increases. Hence the oxygen abundance is not expected to decrease by much in XTE J1118+480 and this argument does not of itself explain the observed weakness of O v 1371$`\mathrm{\AA }`$. However C iv1550$`\mathrm{\AA }`$, N v 1240$`\mathrm{\AA }`$ are resonance lines, whose ratio must be regarded as a robust indicator of conditions in the line emitting gas, whereas O v 1371$`\mathrm{\AA }`$ is a subordinate line, which may not be formed efficiently in a low density photoionized gas. We thus regard the spectrum of XTE J1118+480 as indicating CNO processing.

## 4 THE EVOLUTION OF XTE J1118+480

The spectrum shown in Figure 1 implies that the companion star in XTE J1118+480 must be partially nuclear–evolved and have lost its outer layers, exposing inner layers which have been mixed with CNO–processed material from the central nuclear–burning region.

Mass transfer must therefore have been initiated from a somewhat evolved and sufficiently massive donor of $`M_{2i}1.5\mathrm{M}_{}`$, and thus with an initial period $`P_i12`$ hr. The main difficulty in understanding the current status of XTE J1118+480 is to explain its observed short orbital period; in general, significant nuclear evolution is associated with a period increase, rather than the inferred decrease.

There are two ways in which this decrease could have occurred:

(i) the system came into contact with initial secondary/primary mass ratio $`q_i=M_{2i}/M_{1i}1`$ and underwent a phase of thermal–timescale mass transfer until $`q1`$. At the end of this phase the period would have either decreased or not increased greatly. Subsequent orbital angular momentum loss could then pull the system in to the observed $`P_{\mathrm{orb}}=4.1`$ hr. This case is similar to the likely evolution of AE Aqr (Schenker et al., 2002a).

(ii) the system came into contact with $`q_i<1`$ already, and subsequent evolution was driven by angular momentum loss towards shorter periods. This case resembles that proposed for A0620–00 by de Kool et al (1983), with a severe additional constraint: the donor must be sufficiently evolved to provide the observed surface abundance ratios. This requires a near–equality of the nuclear and orbital angular momentum loss timescales $`t_{\mathrm{nuc}},t_{\mathrm{AML}}`$ (cf Fig. 2). Put another way, $`P_i`$ must have been very close to the ‘bifurcation period’ defined by Pylyser & Savonije (1988).

Case (i) above can be ruled out by the current system parameters. At the end of thermal timescale mass transfer we must have $`q1`$, which would require a donor mass $`M_26\mathrm{M}_{}`$ and an orbital period $`15`$ hr. But for such a system $`t_{\mathrm{nuc}}<<t_{\mathrm{AML}}`$ (cf Fig. 2), implying evolution to longer periods, in stark contrast to the current 4.1 hr. Put another way, there is an upper limit on the binary mass $`M=(1+q^1)M_2`$ for case (i) evolution to give nuclear–evolved donors at short orbital periods. The near equality $`t_{\mathrm{nuc}}t_{\mathrm{AML}}`$ can only realistically hold if magnetic braking dominates angular momentum loss, so we require $`M_21.5\mathrm{M}_{}`$ at the end of the thermal–timescale episode. But since $`q1`$ there, we must have total binary mass $`M3\mathrm{M}_{}`$ in case (i) evolutions.

We are therefore left only with case (ii) above. The secondary mass when the system came into contact is now constrained to be close to $`1.5\mathrm{M}_{}`$: CNO processing excludes significantly lower masses, while the requirement for $`t_{\mathrm{AML}}t_{\mathrm{MB}}>t_{\mathrm{nuc}}`$ excludes significantly higher masses. Figs. 3, 4 show the evolution of such a system: a $`1.5\mathrm{M}_{}`$ MS star was allowed to evolve and fill its Roche lobe in a 15 hr binary with a $`7\mathrm{M}_{}`$ BH. The predicted mass transfer rate throughout the evolution, including its current value $`3\times 10^{10}\mathrm{M}_{}\mathrm{yr}^1`$, shows that the system would indeed have appeared as a soft X–ray transient, according to the irradiated–disc criterion for black–hole systems given by King, Kolb & Szuszkiewicz (1997). It should be noted that the change in C/N is mostly due to a drastic depletion of 12C, supplemented by a more modest increase in 14N. The total O abundance at the surface has only decreased very little; in fact the O/N ratio is reduced by only a factor of 3 to 5 at most, predominantly due to the increase of N. Interestingly, this model also passes through $`P_{\mathrm{orb}}=7.75\mathrm{hr}`$ at around $`M_20.6\mathrm{M}_{}`$, showing much weaker N enhancements (i.e. almost normal abundances, cf Fig. 3). Thus it can also be considered a reasonable model for A0620–00. A subsequent paper (Schenker et al., 2002b) will explore this and related evolutions in detail.

Finally we can compare further properties of the secondary in our model to observations: Figure 4 shows the evolution of effective temperature with orbital period, together with a simple mapping to spectral types. The procedure is based on a conversion of observed colours to spectral types (Beuermann et al., 1998) and a set of non-grey stellar atmospheres (Hauschildt et al., 1999) providing the colours for each set of stellar boundary conditions. For solar metallicity the resulting SpT turns out to be only a function of effective temperature with a very weak dependence on surface gravity. However this mapping should only be considered a first estimate, as the evolutionary code in its current form still uses grey atmospheres. Furthermore the whole conversion is based on an observed set of unevolved stars and theoretical ZAMS models, i.e. no fully self-consistent application to a partially evolved MS star such as shown in Fig. 4 is possible for the time being. Allowing for the uncertainties described above, our model may be slightly too cool (M2 rather than K5-M1 as mentioned in McClintock et al (2001), or K7-M0 by Wagner et al (2000). Similar evolutionary tracks of strongly evolved CVs are known to get hotter again (Baraffe & Kolb, 2000) at short periods, so a confirmed secondary spectral type would provide insight as to the state of nuclear evolution in the donor star of XTE J1118+480. Figure 4 shows that in any case that the donor will currently appear to be close to the ZAMS, and thus that the distance estimate derived by McClintock et al (2000) on this basis is likely to be quite good.

## 5 Conclusions

We have compared the UV spectra of XTE J1118+480 and XTE J1859+226. The former shows strong evidence of CNO processing, which tightly constrains the evolution of the system. XTE J1118+480 must have first reached contact with the donor star having a significantly nuclear–evolved core, at a period where nuclear and angular momentum loss timescales were comparable. This in turn constrains the end point of the earlier common–envelope phase: immediately after the common–envelope phase the system had a wide enough separation that significant nuclear evolution could occur before contact was achieved. In a future paper we will investigate such evolutions systematically.

## 6 Acknowledgments

CAH and RIH gratefully acknowledge the superb support of Tony Roman, Kailash Sahu, and all involved in the implementation of our time-critical HST observations. Support for proposals GO-08245 and GO-08647 was provided by NASA through a grant from the Space Telescope Science Institute, which is operated by the Association of Universities for Research in Astronomy, Inc., under NASA contract NAS5-26555. This work was supported by the Leverhulme Trust F/00-180/A. Theoretical astrophysics research at Leicester is supported by a PPARC rolling grant. We thank Christian Knigge for discussion about the nature of the $`1425\mathrm{\AA }`$ feature, and an anonymous referee for useful comments.


text:
# 1 Introduction

## 1 Introduction

Well known concepts of a quark confinement and quantum mechanical tunneling of quark-antiquark pair from the vacuum are used actively in many models of multiparticle production -. An example of quantitative description of quark confinement was given in the models - where the evolution in space and time for quark and antiquark at the endpoints of string occurs according to classical string theory and the quark-antiquark colourless system is confined by constant magnitude force which determines the breakpoint of string. The other description for evolution of same colourless system of confined quarks is given in the models - where already the momentum energy representation and scaling distributions111i.e. these distributions do not depend on the energy of the (anti)(di)quark at the endpoint of string. are used to describe the string breaking. In this fragmentation procedure there is the parton approach, but in that way a quark confinement means also that an interaction has to be between the quark and antiquark at the endpoints of string. So, we are going now to construct a Monte Carlo model which takes into account a quantitative description for interaction between the quark and antiquark at the endpoints of string according to concepts of the models -. It has to be stressed, our new point of view on the process is that we suppose the interaction between the both endpoints of string precedes each break of string into daughter string and hadron222or into two daughter hadrons.

Let us remind the Monte Carlo string breaking scheme exploited in well-known models - where a conversion of quark $`q`$, which is endpoint of primary string, into hadrons $`h`$ (Fig.1a) is an iteration of an elementary process presented in Fig.1b : quark $`q`$ is converted into hadron $`h`$ and quark $`q^{}`$ via the vacuum pair production. Therefore the produced $`q^{}`$ does not lie on the mass shell333In the Monte Carlo models - the energy and momentum vector of produced quark $`q^{}`$ are determined as the differences between energies and momentum vectors of $`q`$ and $`h`$., and so in the next conversion presented in Fig.1c ($`q^{}h+q^{\prime \prime }`$) the virtuality444In the models - there is not conversion of quark (into hadron and quark), if it has the negative energy. Therefore we can choose the quark mass squared invariant $`m_q^2=E_{quark}^2\stackrel{}{P}_{quark}^2`$ as a quantitative characteristic for virtuality of quark. of quark $`q^{\prime \prime }`$ rises above the virtuality of quark $`q^{}`$, i.e. the virtuality of each produced quark grows with the number of conversions presented in Fig.1a. It does not take into account in the models - where the scaling distributions for the fraction $`z`$ of the longitudinal and transverse momentum projections carryed by hadron555In the model  the fraction of longitudinal end transverse energy carryed by hadron $`h`$ are generated instead of fraction of longitudinal end transverse momentum. $`h`$ do not depend on virtuality of quark $`q`$ (Fig.1b) converted into daughter hadron $`h`$ and quark $`q^{}`$. Hovewer, as it is shown in Fig.2, the produced quark $`q^{}`$ (diquark $`qq^{}`$) has wide distribution for its mass squared invariant $`m_{q^{}\left(qq^{}\right)}^2=E_{q^{}\left(qq^{}\right)}^2\stackrel{}{P}_{q^{}\left(qq^{}\right)}^2`$ in negative region even if quark $`q`$ (see Fig.1b) lies on the mass shell in each its conversion into daughter hadron $`h`$ and quark $`q^{}`$ (diquark $`qq^{}`$). For example, if quark $`q`$ is on the mass shell in each conversion (Fig.1b), the average values of the quark mass squared invariants $`m_{q^{}\left(qq^{}\right)}^2`$ for daughter $`u`$-quark, $`s`$-quark and diquark produced in the processes $`qh+q_u^{}`$ , $`qh+q_s^{}`$ and $`qh+qq^{}`$ are $`\left(0.724\pm 0.009\right)GeV^2`$, $`\left(1.020\pm 0.012\right)GeV^2`$ and $`\left(1.940\pm 0.022\right)GeV^2`$ respectively666These numbers will move farther into negative region, if quark $`q`$ does not lie on the mass shell in the conversion $`qh+q^{}`$..

Furthermore, in the fragmentation schemes of the Monte Carlo models - two partons at the ends of primary string are converted into two jets of hadrons independently (Fig.1d), i.e. any interaction between partons at the ends of each daughter string does not take into account.

Therefore we try to describe here a Monte Carlo version for these interactions included in the model without contradiction to a set of concepts of the string model formulated by B.Andersson and A.Nilsson in the paper , which are :

quarks, $`q`$, and antiquarks, $`\overline{q}`$, are treated as excitations at the

endpoints of the force field and gluons, $`g^,`$s, are internal exci-

tations. The massless relativistic string is used as a (semi-

classical) model for the force field. The above-mentioned exci-

tations move like localised particles carrying energy momen-

tum.

Even for that quasi-classical approximation the string interaction is realised by gluons, $`g^,`$s, which move like localised particles carrying energy momentum between the endpoints of string. It is like a classical parton model approximation777where quarks and gluons are localised particles carrying some parts of energy-momentum of hadron and it gives us a way to construct a some model for confinement interaction. Therefore let us suppose the following scenario for confinement interaction and string breaking. The endpoints of string are quark, $`q^{}`$, and antiquark, $`\overline{q}`$. They interact each other via gluon exchange. The gluons, $`g^,`$s, carry energy momentum, so the energy momentum of partons at the endpoints of each daughter string is changed. As a result both partons turn out to be on the mass shell888If one of them had been produced from the vacuum ($`q^{}`$ in Fig.1b), it would not have lain on the mass shell (Fig.2) before gluon excange (circle in Fig.3b) occurs between both partons ($`q^{}`$ and $`\overline{q}`$ in Fig.3b) at the endpoints of string. that allows to find their new energies and momenta in the rest frame of the string where then a conversion (for example999The conversions of quark $`q^{}h+q^{\prime \prime }`$ and antiquark $`\overline{q}h+\overline{q}^{}`$ at the endpoints of string are generated with equal probabilities.) of quark $`q^{}h+q^{\prime \prime }`$ is generated. This algorithm for produced daughter string tensed already by antiquark $`\overline{q}`$ and quark $`q^{\prime \prime }`$ produced from vacuum is repeated up to the mass of string becomes low (see Sect.4) and decay of string into two hadrons occurs. In frame of this scenario (anti)(di)quark (parton at the endpoint of string) turns out to be on the mass shell before it is converted into hadron and quark (Fig.1b). So, there is not any problem connected with virtuality and simultaneously we take into account the interaction between quark and antiquark at the endpoints of each daughter string produced during cascade decay (Fig.3b) of primary string.

The mechanism for string breaking is visioned via the tunneling of $`q^{}`$-$`\overline{q}^{}`$ pair from vacuum (Fig.1b). Usually the Gauss law is used to describe the distribution for the transverse momentum projections $`p_x`$ , $`p_y`$ of vacuum quark. So, if we use the Gaussian distribution which has zero center parameter101010i.e. the summary transverse momentum of the vacuum quark-antiquark pair is equal to zero., we have to generate $`p_x`$ and $`p_y`$ of vacuum quark $`q^{}`$ in the system where the transverse momentum of converted quark $`q`$ (Fig.1b) is zero111111it is the $`K_{decay}`$ frame determined in Sect.4. To generate the $`x`$\- and $`y`$-projections for $`u\left(d\right)`$-quark, $`s`$-quark and diquark from vacuum pair we use, for Gaussian distribution, the widths

$$\sigma _{u\left(d\right)}^{vac}=0.15GeV,\sigma _s^{vac}=0.25GeV,\sigma _{diquark}^{vac}=0.35GeV$$
(1)
respectively.

The other process is gluon exchange between the quarks at the endpoints of string. The gluons carry also the transverse momentum $`p_T`$. The Gauss law usually is used to describe the distributions of the $`p_{Tx}`$ and $`p_{Ty}`$ projections in the non-perturbative process, if the transverse momentum exchanges are considered as uncorrelated. However the string interaction is gluon exchange between partons having long tail distributions for (di)quark mass squared invariant $`m_{q^{}\left(qq^{}\right)}^2`$ (see Fig.2). Therefore if we use the Gauss law to descbibe $`p_T`$ distribution for the gluon exchange process121212in string rest frame where quark and antiquark at the endpoints of string have zero transverse momenta and move in opposite directions (it is $`K_{exchange}`$ frame determined in Sect.3)., the Gauss width parameter might be connected with spacelike virtuality of partons at the endpoints of string. It seems to be reasonable. Namely, gluon exchange between partons, having big spacelike virtuality (Fig.2), can lead to different $`p_T`$ because after interaction each other the both partons turn out to be on the mass shell. However, the essence of the parton model is to regard a high energy claster (hadron, string) as a collection of quasifree partons. So, if both partons at the ends of string are on the mass shell, the transfered $`p_T`$ of gluons has to be zero. The variable which has the similar properties is the difference between the quark mass squared invariant $`m_q^2=E_{quark}^2\stackrel{}{P}_{quark}^2`$ and the fixed quark mass squared $`m_q^2`$ taken from  at the given type of quark $`q`$. This difference equals to zero (i.e. $`m_q^2=m_q^2`$), if quark is on the mass shell, and so the variable131313Here $`q`$ is parton which does not lie on the mass shell before gluon exchange occurs.

$$\sigma _q=m_q^2m_q^2^{0.5}$$
(2)
could be chosen as the width parameter for Gaussian distribution of $`x`$-, $`y`$-projections of parton transverse momentum after gluon exchange. Of course, this approximation is discussionable, so in our calculations we chose more simple approximation. Instead of the variable $`m_q^2`$ we took its average values $`<m_q^2>`$ given above. Namely, instead of eq.(2) we used

$$\sigma _q=<m_q^2>m_q^2^{0.5},$$
(3)
where $`<m_q^2>`$ equals to $`\left(0.724\pm 0.009\right)GeV^2`$, $`\left(1.020\pm 0.012\right)GeV^2`$ and $`\left(1.940\pm 0.022\right)GeV^2`$ for $`u\left(d\right)`$-quark, $`s`$-quark and diquark respectively. Now from eq.(3) one can get141414A (di)quark at the endpoint of strig occurs from the vacuum pair where usual relation between quark flavours is $`u:d:s=3:3:1`$, and so the average mass of diquark is 0.49 GeV. To calculate this average value we put $`m_{ud}=0.45GeV`$, $`m_{ds}=0.62GeV`$, $`m_{ss}=0.79GeV`$ .

$$\sigma _{u\left(d\right)}=0.92GeV,\sigma _s=1.13GeV,\sigma _{diquark}=1.48GeV.$$
(4)
These values, describing the $`p_T`$ distribution of quark after gluon exchange, are in a few times more than the same values (see (1)) describing the $`p_T`$ distribution of quark from vacuum pair. Therefore in our calculations we put the relations

$$\sigma _{u\left(d\right)}=3\sigma _{u\left(d\right)}^{vac},\sigma _s=3\sigma _s^{vac},\sigma _{diquark}=3\sigma _{diquark}^{vac}.$$
(5)
## 2  The formation of primary strings

The initial stage of soft151515In the presented model we do not take into account the (semi)hard interactions between the partons of projectile and target. hadron-hadron collision is the formation of colourless strings. In our calculations we use the Dual Parton Model (DPM) - to forme the primary strings. In DPM the primary colourless strings are stretched by partons of target and projectile (see Fig.4). In our model the number $`l`$ of pair of primary strings is generated firstly according to theoretical distribution  (see Appendix 1). The flavours of sea quarks in projectile and target (see Fig.4) and the flavours of quarks, produced from vacuum at the decay of string (see Sect.4), are generated according to relation

$$u:d:s=3:3:1.$$
(6)
The initial multidimensional distribution of partons on the part $`x_i`$ of longitudinal momentum of projectile in the centre mass system is given by ,

$$x_1^{0.5}\left(x_2^2+\mu _2^2/P^2\right)^{0.5}\mathrm{}\left(x_{2l1}^2+\mu _{2l1}^2/P^2\right)^{0.5}x_{2l}^{1.5}dx_1dx_2\mathrm{}dx_{2l}$$
(7)
at $`0x_i1`$ , where $`P`$ is the momentum of proton in c.m.s.; indeces $`1`$ and $`2l`$ are related to the valence quark and diquark correspondingly, the remaining indices are related to sea quarks and antiquarks; $`\mu _i`$ is the mass of $`i`$-th quark or antiquark ($`\mu _u`$ = $`\mu _d`$ = 0.34 GeV, $`\mu _s`$ = 0.51 GeV). The $`x_i^{}`$-values of target partons are generated identically. For realization of longitudinal momentum conservation after $`x_i`$ and $`x_i^{}`$ generation we substitute

$$x_i/\underset{j=1}{\overset{2l}{}}x_jx_i,x_i^{}/\underset{j=1}{\overset{2l}{}}x_j^{}x_i^{}.$$
(8)
Taking into consideration the energies of projectile quark (antiquark) $`\epsilon _i=\left(\mu _i^2+x_i^2P^2\right)^{0.5}`$ and target quark (antiquark) $`\epsilon _i^{}=\left(\mu _{i}^{}{}_{}{}^{2}+x_{i}^{}{}_{}{}^{2}P^2\right)^{0.5}`$ , one can find the energy $`E_i`$ , longitudinal momentum $`P_i`$ and mass $`M_i`$ of every $`i`$-th string. The transverse momenta of partons are not accounted for. Then we control for every $`i`$-th string the fulfilment of inequalities

$$E_i>\left|P_i\right|,M_i>\mu _{i1}+\mu _{i2},M_i>M_{i1}^{min}+M_{i2}^{min},$$
(9)
where $`\mu _{i1}`$ and $`\mu _{i2}`$ are masses of the partons, stretching the string, and the $`M_{ij}^{min}`$ is minimum mass of the $`j`$-th hadron with the fixed quark composition, which can be produced by decay of the $`i`$-th string161616See Sect.4.. The Monte Carlo event is rejected, if only one inequality in eq.(9) is not fulfiled. The share of rejected events depends on the $`l`$ value, so the distribution of unrejected events over $`l`$ differs from the initial distribution . Hovewer the share of rejected MC events grows with the number $`l`$ of primary strings. Therefore the difference between the theoretical distribution and the distribution for Monte Carlo events on $`l`$ is only for large $`l`$ which have a little share (about a few percents) in theoretical distribution. So, for a first approximation the both distributions are same171717For example, the share of rejected Monte Carlo events is 0.10 at $`\sqrt{s}`$=27 GeV and 0.03 at $`\sqrt{s}`$=540 GeV.  each other.

## 3 Gluon exchange

There are many feasible ways to calculate the gluon exchange between both partons at the ends of string. One of them is given in this Section.

Before every break, for example, of secondary string of mass $`M`$, occurs, we know following its characteristics (in the $`K_0`$ c.m.s. of antiproton-proton collisions): the scheme of the decay of secondary string (see Sect.4 and Figs.3,5), the flavours of the partons participating in this decay, the mass $`M`$, the energy $`E_0`$ and the momentum vector $`\stackrel{}{P_0}`$ of the string and the energies $`\epsilon _{01}`$, $`\epsilon _{02}`$ and momentum vectors $`\stackrel{}{p}_{01}`$, $`\stackrel{}{p}_{02}`$ of first and second partons181818One of them can have a big specelike virtuality., stretching the string191919Of course, the energies and momentum vectors of partons determine the mass $`M`$, the energy $`E_0`$ and the momentum vector $`\stackrel{}{P}_0`$ of the string..

As it was discussed in Sect.1, it is convenient way to generate the gluon exchange in the string rest frame. So, the kinematical characteristics of both partons should be transformed from $`K_0`$ to string rest frame. It is described below in details :

Transformation from $`K_0`$ to $`K_L`$ frame where the longitudinal momentum $`P_{z0}`$ of string is equal zero :

This $`K_L`$ frame moves with $`\beta _{z0}=P_{z0}/E_0`$ velocity along the $`z_0`$ axis in the $`K_0`$ frame and with Lorentz-factor $`\gamma _0=E_0/M_{}=E_0/\left(E_0^2P_{z0}^2\right)^{0.5}`$ , where $`M_{}=\left(M^2+P_0^2\right)^{0.5}`$ is transverse mass of string.

Transformation from $`K_L`$ to $`K^{}`$ frame where the longitudinal momentum $`P_{z0}`$ of string is equal zero and $`x^{}`$ axis is along the transverse momentum vector of string :

In the $`K_L`$ frame, the string has transverse momentum $`\stackrel{}{P}_0`$ with projections $`P_{x0}`$ and $`P_{y0}`$. We turn the $`K_L`$ frame (in the transverse $`xy`$ plane) to obtain the $`x_L`$ axis along the vector $`\stackrel{}{P}_0`$. The parameters for this transformation are $`\mathrm{cos}\phi _{}=P_{x0}/P_0`$, $`\mathrm{sin}\phi _{}=P_{y0}/P_0`$.

Transformation from $`K^{}`$ to $`K_{rest}`$ frame where the momentum of string is equal zero : Let the $`K^{}`$ frame move with $`\stackrel{}{\beta }_0=\stackrel{}{P}_0/M_{}`$ velocity and with Lorentz-factor $`\gamma _0=E_0/M=M_{}/M`$ , where $`E_0`$ is energy of string in $`K_L`$ frame. Thereby we obtain the $`K_{rest}`$ rest frame of the string.

Transformation from $`K_{rest}`$ to $`K_{exchange}`$ frame where the $`z_{exchange}`$ axis is along one of two parton momentum vectors which are before gluon exchange occurs : The momentum vectors of partons are transformed from $`K_0`$ to $`K_{rest}`$ frame. The longitudinal $`z_{rest}`$ axis of $`K_{rest}`$ frame is parallel to the longitudinal $`z_0`$ axis of $`K_0`$ c.m.s. of both collising particles. We turn the $`K_{rest}`$ frame to obtain the $`z_{exchange}`$ axis along to the momentum vector of one of two partons and the $`y_{exchange}`$ axis along to the vector product $`\stackrel{}{z}_{exchange}\times \stackrel{}{z}_{rest}`$. Thereby we obtain the $`K_{exchange}`$ frame202020The parameters for transformation of momentum projections from $`K_{exchange}`$ to $`K_{rest}`$ frame are given in Appendix 2. where we can determine the new parton momentum vectors arising after gluon exchange, which leads to transition of two partons on the mass shell (see Sect.1).

At the transition of both partons on the mass shell the modulus of momentum of the parton in the $`K_{exchange}`$ frame changes. The energies of the partons in the rest frame of string $`K_{exchange}`$ become equal to

$$\epsilon _1^{exchange}=\frac{M^2+\mu _1^2\mu _2^2}{2M},\epsilon _2^{exchange}=\frac{M^2+\mu _2^2\mu _1^2}{2M},$$
(10)
where $`\mu _1`$ and $`\mu _2`$ are the masses of partons. The diquark masses: $`m_{du}=0.45GeV`$, $`m_{us}=0.62GeV`$, $`m_{ss}=0.79GeV`$  are used.

As it has been discussed above in Sect.1, the Gauss parameter should be connected with space like virtuality of parton, for example it might be the law similar to one given by (2). However, in our calculations we have taken an approximation (5). It means that Gauss parameter should be connected with flouver of parton which does not lie on the mass shell before gluon exchange. Therefore the $`p_{x\mathrm{\hspace{0.33em}1}}^{exchange}`$ and $`p_{y\mathrm{\hspace{0.33em}1}}^{exchange}`$ components of the transverse momentum of one of two partons in the rest frame of string $`K_{exchange}`$ are generated according to Gauss law

$$r_1\left(r_2\right)=\sigma ^1\left(2\pi \right)^{0.5}_{\mathrm{}}^{p_x^{exchange}\left(p_y^{exchange}\right)}exp\left(x^2/2\sigma ^2\right)𝑑x,$$
(11)
where $`r_i`$ is uniformly distributed random number in the range (0,1) and $`\sigma `$ is parameter, which is $`\sigma _{u\left(d\right)}`$, $`\sigma _s`$ or $`\sigma _{diquark}`$ from (5).

Now one can determine new longitudinal projections of the parton momentum vectors in the rest frame of string $`K_{exchange}`$ and transform the momentum vectors of both partons from $`K_{exchange}`$ to $`K_{rest}`$ (see Appendix 3).

## 4 The decay of string

We follow the models - and suppose that the cascade breaking of string is described by the iteration of decay of string into hadron and string (Fig.3), i.e. by the iteration of conversion of (di)quark into hadron and (di)quark (see Fig.5) via vacuum pair production.

As it has been discussed in Sect.1, we should generate the transverse projections $`p_x`$ and $`p_y`$ of vacuum quark $`q^{}`$ in the system where the transverse momentum of parent quark212121It might be either of the two partons taken with equal probability. $`q`$ (Fig.1b) is zero. So, the kinematical characteristics of both partons should be transformed from $`K_{rest}`$ to this ”decay” frame. The possible way to do that is :

Transformation from $`K_{rest}`$ to $`K^{\prime \prime }`$ frame where $`x^{\prime \prime }`$ axis is along the transverse momentum vector of quark $`q`$ in the $`K_{rest}`$ system :

In the $`K_{rest}`$ frame, the quark $`q`$ has transverse momentum $`\stackrel{}{p}_{rest}`$ with projections $`p_x^{rest}`$ and $`p_y^{rest}`$. We turn the $`K_{rest}`$ frame (in the transverse $`xy`$ plane) to obtain the $`x_{rest}`$ axis along the vector $`\stackrel{}{p}_{rest}`$. The parameters for this transformation are $`\mathrm{cos}\phi =p_x^{rest}/p_{rest}`$, $`\mathrm{sin}\phi =p_y^{rest}/p_{rest}`$.

Transformation from $`K^{\prime \prime }`$ to $`K_{decay}`$ frame where the transverse momentum of quark $`q`$ is equal zero :

Let the $`K^{\prime \prime }`$ frame move with $`\stackrel{}{\beta }^{^{\prime \prime }}=\stackrel{}{p}_{rest}/\epsilon ^{^{\prime \prime }}`$ velocity where $`\epsilon ^{^{\prime \prime }}`$ is the energy of quark $`q`$ in $`K^{\prime \prime }`$ ($`K_{rest}`$) frame. Thereby we obtain the $`K_{decay}`$ frame, where the conversion $`qh+q^{}`$ is generated and where the transverse momentum of quark $`q`$ is equal zero, and so we are sure that the functions, describing this conversion, can not depend on the transverse momentum of quark $`q`$.

Three schemes of conversions of the (di)quark into hadron and (di)quark are taking into consideration in our modeling (see Fig.5). The $`a`$ and $`b`$ types of conversions is generated according to the relation $`a:b=0.85:0.15`$.

The flavours of quarks, produced from vacuum at the decay of string, are generated according to the relation (6) .

In Monte Carlo simulation of decay (conversion) of a parton into another parton and hadron (Fig.1b) we have to take into account that fixed quark content of hadron might correspond to a few types of particles. Therefore there are some decay modes for the given quark content of hadron. We attribute a weight to aech decay mode. This weight is equal to the product of two factors. The spin factor is equal to $`\left(2J+1\right)`$, where $`J`$ is spin of the hadron. The $`SU_3`$-factor is taken into consideration, if there are several hadrons with the same quark content, spin and parity. For example, $`SU_3`$-factor of $`\eta `$-meson which is formed from $`\overline{u}u`$-pair is equal to $`1/6`$ , and the same $`SU_3`$-factor of $`w`$-meson is equal to $`1/2`$.

If the hadron $`h`$ is resonanse, its mass is generated, after the generation of the decay mode, according to the Breit-Wigner distribution.

In the $`K_{decay}`$ frame the $`P_{xhad}^{decay}`$ and $`P_{yhad}^{decay}`$ components of the transverse momentum $`p_{had}^{decay}`$ of daughter hadron $`h`$ are generated according to the Gauss law (see Sect.1)

$$r_1\left(r_2\right)=\sigma ^1\left(2\pi \right)^{0.5}_{\mathrm{}}^{P_{xhad}^{decay}\left(P_{yhad}^{decay}\right)}exp\left(x^2/2\sigma ^2\right)𝑑x,$$
(12)
where $`r_i`$ is uniformly distributed random number in the range (0,1) and $`\sigma `$ is parameter taken from (1).

At the convertion of parton $`q`$ (Figs.1b,3a) of the string $`S`$ (Fig.3a) into daughter hadron $`h`$ in the $`K_{decay}`$ system we generate the convenient Lorentz-invariant variable

$$z=\frac{E_{had}^{decay}+P_{zhad}^{decay}}{\epsilon _{parton}^{decay}+p_{zparton}^{decay}}.$$
(13)
In (13) $`E_{had}^{decay}`$ and $`P_{zhad}^{decay}`$ are the energy and the momentum projection (on $`z_{decay}`$ axis) of daughter hadron, $`\epsilon _{parton}^{decay}`$ and $`p_{zparton}^{decay}`$ are the same values of the parton.

The distribution density of $`z`$ variable is parameterized by the form

$$F\left(z\right)z,\mathrm{\hspace{0.33em}\hspace{0.33em}\hspace{0.33em}\hspace{0.33em}0}<z<1.$$
(14)
After determination of the momentum and energy of $`q^{}`$ we know all kinematical characteristics of both partons ($`\overline{q}`$ and $`q^{}`$) at the ends of daughter string $`S^{}`$ (Fig.3a), and so we can find its energy $`E^{}`$ and momentum vector $`\stackrel{}{P^{}}`$ and control the inequality

$$E^{}>P^{}.$$
(15)
If the inequality (15) is fulfilled for daughter string $`S^{}`$, we determine its mass $`M^{}=\sqrt{E^2P^2}`$ and control the inequality

$$M^{}>\mu _1+\mu _2,$$
(16)
where $`\mu _1`$ and $`\mu _2`$ are fixed (di)quark masses (taken from ) of the partons ($`q^{}`$ and $`\overline{q}`$ in Fig.3a), tensing the daughter string ($`S^{}`$ in Fig.3a).

If the inequality (16) is fulfilled, we control the possibility to be decay of daughter string into two hadrons. So, the decay scheme of daughter string $`S^{}`$ (Fig.6) into two hadrons and the flavours of quarks, produced in this decay from vacuum are generated222222The decay scheme (Fig.6) is generated according to the relation $`a:b=\mathrm{\hspace{0.33em}0.85}:\mathrm{\hspace{0.33em}0.15}`$.. Then we control the inequality

$$M^{}>M_1^{min}+M_2^{min},$$
(17)
where $`M_1^{min}`$ and $`M_2^{min}`$ are minimum masses of the 1-st and 2-nd hadrons with the fixed quark composition, which can be produced by decay of the daughter string $`S^{}`$.

If the inequalities (15)-(17) are fulfilled, the energies and momentum vectors of daughter hadron and partons of daughter string are transformed from the $`K_{decay}`$ to $`K_0`$ frame.

If one of three inequalities (15)-(17) is not fulfilled, instead of the decay of mother string $`S`$ into daughter string and hadron (Fig.3a), the decay of mother string into two hadrons (Fig.6) is generated in the $`K_{rest}`$ frame. In that case there are some decay modes for the given quark content of these hadrons as it was already discussed above.

The $`M_1`$ and $`M_2`$ masses of resonances are generated after the generation of the decay mode. For example, if string decays into two resonances and the mass of first resonance must be generated at first, the $`M_1`$ and $`M_2`$ masses can be generated according to the Breit-Wigner distributions in intervals

$`M_1^{min}<M_1<MM_2^{min},`$
$`M_2^{min}<M_2<MM_1,`$
where $`M_i^{min}`$ is maximum sum of masses of particles produced by the decay of $`i`$-th resonance. In the $`K_{rest}`$ frame the square of transverse momentum of resonance $`\left(P_{}^{rest}\right)^2=\left(P_{x1}^{rest}\right)^2+\left(P_{y1}^{rest}\right)^2`$ is generated in the interval $`(0,P^2)`$, and the azimuthal angle is generated uniformly in the interval $`(0,2\pi )`$. The momentum of resonance is supposed to have the sharp angle with momentum vector of its parent parton. The decays of unstable hadrons into stable and quasistable particles are generated, for example, according to algorithm given in the Appendix 2 from Ref.  . The momenta of stable and quasistable particles are transformed from the $`K_{rest}`$ to $`K_0`$ frame.

The decay of the daughter string is generated also as the decay of the mother string. The cascade is generated up to the decay of all strings into hadrons.

## 5 Conclusion

The string decay is based on the vacuum pair production which could be understood as a result of the confinement interaction. A quantitative description for quark confinement was given in the models - of muliparticle production where the quark-antiquark colourless system is confined by constant magnitude force which determines the breakpoint of string. Here we try to constract a possible scenario for quantitative description of the quark confinement interaction which is reason for vacuum pair production in the widely explored process of conversion of quark $`q`$ into hadron $`h`$ and quark $`q^{}`$ (Fig.1b). In other words, instead of the process described by the diagram232323It is an independent conversion of both partons $`q`$ and $`\overline{q}`$ at the ends of string into two jets of hadrons $`h`$. in Fig.1d we use the diagram in Fig.3 where we add an interaction (marked by the circle) to the process of coversion $`qh+q^{}`$ which is seemed as a result of the confinement interaction. To describe the confinement interaction we try to use an essential idea of the parton model which regards a high energy claster (hadron,string) as a collection of quasifree partons , and we try to follow some concepts of the string model formulated in  where the gluons move like localised particles carrying energy momentum between quark and antiquark at the endpoints of string, and so we take into account they go on the mass shell before the break of daughter string occurs (Fig.3). In the frame of that scenario there is not any problem connected with virtuality242424The quark $`q^{}`$ is produced from vacuum and so even if a quark $`q`$ (Fig.1b) is on the mass shell, the quark $`q^{}`$ has wide distributed spacelike virtuality (see Fig.2) in its conversion $`q^{}h+q^{\prime \prime }`$ in the models based on the diagram shown in Fig.1d. and simultaneously we try to take into account the interaction between the partons at the ends of each string (colourless system). At the gluon exchange the gluons carry also transverse momentum which could be connected with spacelike virtuality of quark (Fig.2) at the end of string. To describe the transverse $`x`$\- and $`y`$-projections of parton momentum at string rest frame (see Sect.3) after gluon exchange we choose252525See Sect.1 the Gauss law and an approximation (5).

Some results of Monte Carlo calculations for antiproton-proton interactions are given in Fig.7, where the transverse momentum distribution for the secondary Monte Carlo particles depends on the energy of interaction. It is because of kinematical correlations between the ends of string (confinement interaction). Namely, in frame of presented scenario, there are two Gauss laws which describe the distributions for the transverse momentum projections in two different processes. The first Gauss law is applyed to the processes given in Figs.5,6 (the vacuum pair production). The second one is applyed to the gluon exchange (circle in Fig.3). At the small energy of interaction of primary proton and antiproton the most part of number of all primary strings (Fig.4) have the decays directly into two hadrons (Fig.6). If the c.m. energy $`\sqrt{s}`$ grows, the average number of gluon exchanges (confinement interactions) grows with the number of cascade decays (Fig.3) of each primary string (Fig.4). According to the approximation (5), that means, more big $`p_T`$ of particles occur.

ACKNOWLEDGMENTS

The author would like to express his sincere thanks to V.M.Chudakov for many discussions.

Appendix 1

The inelastic nondiffractive cross section corresponding to formation of $`l`$ pairs of primary quark-gluon strings at the energy $`\sqrt{s}`$ in c.m.s. has been taken from  :

$`\sigma _l={\displaystyle \frac{\sigma _P}{lz}}\left(1\mathrm{exp}\left(z\right){\displaystyle \underset{k=0}{\overset{l1}{}}}{\displaystyle \frac{z^k}{k!}}\right),`$
where $`\sigma _P=8\pi \gamma \mathrm{exp}\left(\epsilon \mathrm{\Delta }\right)`$ , $`\gamma =3.64GeV^2`$ , $`\epsilon =ln\left(s/s_0\right)`$ , $`s_0=1GeV^2`$ , $`\mathrm{\Delta }=0.068`$ , $`z=2c\gamma \mathrm{exp}\left(\epsilon \mathrm{\Delta }\right)/\left(R^2+\alpha _P^{}\epsilon \right)`$ , $`c=1.5`$ , $`R^2=3.56GeV^2`$ , $`\alpha _P^{}=0.25GeV^2`$ .

In calculation of probabilities $`W_l=\sigma _l/\sigma `$ the inelastic nondiffractive cross section $`\sigma `$ has been determined by formula

$`\sigma =\sigma _P{\displaystyle \underset{\nu =1}{\overset{\mathrm{}}{}}}{\displaystyle \frac{\left(z\right)^{\nu 1}}{\nu \nu !}},`$
and at any energy $`\sqrt{s}`$ in c.m.s. it is taken into account up to $`l`$=15 pairs of primary strings.

Appendix 2

The parameters to transformation of momentum projections from $`K_{exchange}`$ to $`K_{rest}`$ frame are

$`cos\theta ={\displaystyle \frac{p_z^{rest}}{\sqrt{\left(p_x^{rest}\right)^2+\left(p_y^{rest}\right)^2++\left(p_z^{rest}\right)^2}}},`$
$`cos\phi ={\displaystyle \frac{p_x^{rest}}{\sqrt{\left(p_x^{rest}\right)^2+\left(p_y^{rest}\right)^2}}},`$
$`sin\phi ={\displaystyle \frac{p_y^{rest}}{\sqrt{\left(p_x^{rest}\right)^2+\left(p_y^{rest}\right)^2}}},`$
where $`p_x^{rest}`$, $`p_y^{rest}`$, $`p_z^{rest}`$ are the momentum projections (in the $`K^{rest}`$ frame) of one of two partons before gluon exchange.

Appendix 3

New parton momentum projections, arising after gluon exchange, are transformed from the $`K_{exchange}`$ to $`K_{rest}`$ frame according to formulas

$`\left(p_x^{rest}\right)_{new}=p_x^{exchange}cos\theta cos\phi p_y^{exchange}sin\phi p_z^{exchange}sin\theta cos\phi ,`$
$`\left(p_z^{rest}\right)_{new}=p_x^{exchange}sin\theta p_z^{exchange}cos\theta ,`$
$`\left(p_y^{rest}\right)_{new}=p_x^{exchange}cos\theta sin\phi +p_y^{exchange}cos\phi p_z^{exchange}sin\theta sin\phi ,`$
where $`p_x^{exchange}`$, $`p_y^{exchange}`$, $`p_z^{exchange}`$ are the momentum projections of one of two partons arising after gluon exchange in the $`K_{exchange}`$ frame , and $`\theta `$, $`\phi `$ angles are determined in Appendix 2.

Figure Captions

Fig.1.  a The diagram of conversion of the fast quark $`q`$ into hadrons $`h`$ in the models -. b. An elementary Monte Carlo process of the models -: $`qh+q^{}`$ . c. An elementary Monte Carlo process $`q^{}h+q^{\prime \prime }`$. d. The diagram of independent conversion of the quark and antiquark at the ends of string into two jets of hadrons in the models -. The double line is the diquark.

Fig.2  a,b. The distributions for the mass squared invariant $`m_q^{}^2=E_q^{}^2\stackrel{}{P}_q^{}^2`$ of $`q_u^{}`$-quark (a) , $`q_s^{}`$-quark (b) produced in the process $`qh+q^{}`$, if quark $`q`$ (see Figs.1b,5a) lies on the mass shell in each its conversion into daughter hadron $`h`$ and quark $`q^{}`$. c. The distribution for the mass squared invariant $`m_{qq^{}}^2=E_{qq^{}}^2\stackrel{}{P}_{qq^{}}^2`$ of diquark $`qq^{}`$ produced in the process presented in Fig.5b, if quark $`q`$ lies on the mass shell in each its conversion into daughter hadron $`h`$ and diquark $`qq^{}`$.

Fig.3  a The diagram of the gluon exchange (marked by circle) between the quark $`q`$ and antiquark $`\overline{q}`$ at the ends of secondary string $`S`$ which then has decay into daughter hadron $`h`$ and string $`S^{}`$ via conversion $`qh+q^{}`$. b The diagram of the process $`S^{}S^{\prime \prime }+h`$ which is like one given in a .

Fig.4  The formation of four ($`l`$=2) primary strings $`S_1`$, $`S_2`$, $`S_3`$, $`S_4`$ by partons of projectile and target in inelastic $`\overline{p}p`$-interaction. The double line is the diquark.

Fig.5  Three schemes of conversion of the quark into meson and quark (a), quark into baryon and diquark (b), diquark into baryon and quark (c), via vacuum pair production. The double line is the diquark.

Fig.6 Three schemes of decay of string into two daughter hadrons $`h_1`$ and $`h_2`$ via vacuum pair production. The double line is the diquark.

Fig.7  Transverce momentum distribution for charged particles produced in $`\overline{p}p`$-interactions at $`\sqrt{s}`$=546 GeV. Experimental data are from .


text:
# Transition Spectra for a BCS Superconductor with Multiple Gaps: Model Calculations for MgB2

\[

## Abstract

We analyze the qualitative features in the transition spectra of a model superconductor with multiple energy gaps, using a simple extension of the Mattis-Bardeen expression for probes with case I and case II coherence factors. At temperature $`T=0`$, the far infrared absorption edge is, as expected, determined by the smallest gap. However, the large thermal background may mask this edge at finite temperatures and instead the secondary absorption edges found at $`\mathrm{\Delta }_i+\mathrm{\Delta }_j`$ may become most prominent. At finite $`T`$, if certain interband matrix elements are large, there may also be absorption peaks at the gap difference frequencies $`|\mathrm{\Delta }_i\mathrm{\Delta }_j|/\mathrm{}`$. We discuss the effect of sample quality on the measured spectra and the possible relation of these predictions to the recent infrared absorption measurement on MgB2 .

\]

Among the unusual features of superconductivity in MgB2 is the widely discussed possibility that there may exist several distinct energy gaps. The larger gap or gaps are thought to be associated with electrons in the boron $`p_{xy}`$ bands, frequently referred to as “2D-bands” because of their very weak dependence on $`k_z`$, the component of $`𝐤`$ parallel to the $`c`$ axis. These bands appear to be strongly coupled to a particular ($`E_{2g}`$) phonon mode, and are believed primarily responsible for the high superconducting $`T_c`$ ($`40`$K). Interactions between these 2D electrons and those in other bands (specifically, the “3D” bands formed by the B $`p_z`$ states) lead to superconducting gaps in the spectra of these other electrons. A multiple-gap structure can be described either with a simple BCS framework, or by more detailed ab initio calculations using the Eliashberg theory. The result of such theories is that the average 2D gap, $`\mathrm{\Delta }_{2D}`$, is about three times larger than $`\mathrm{\Delta }_{3D}`$. These predictions are supported experimentally by heat capacity , tunneling , photoemission, and penetration depth measurements.

In this work, we present a simple model calculation of the transition spectra in a superconductor with multiple gaps, using a natural extension of the Mattis-Bardeen (MB) formulae. We find that this model is not only consistent with the observed infrared absorption edge in MgB2 , which occurs at anomalously low frequencies relative to the single-gap BCS prediction, but also predicts that a characteristic additional structure in the absorption may be observed under certain conditions.

In our calculations, we consider only the effects of multiple gaps on coherence phenomena, and on the superconducting density of states, and neglect nonlocal electrodynamic effects. Such an approximation is known to become exact in either the dirty limit ($`\mathrm{}\xi _0`$, where $`\mathrm{}`$ is the quasiparticle mean-free path and $`\xi _0`$ is the coherence length), or the “extreme anomalous” limit ($`k\xi _01`$, where $`k`$ is the wave vector of the perturbation). In fact, neither of these limits may actually be applicable to samples of MgB2 with multiple gaps (in particular, a single gap would normally be expected in the dirty limit). Nevertheless, previous calculations suggest that the MB formalism gives at least a reasonable qualitative description of experiment in single-gap superconductors, even when used beyond its nominal validity limit. The calculation is also very easy. Thus, it is reasonable to do such a calculation as a first step in understanding the absorption spectra in MgB2. Various further corrections should be included in the strong-coupling limit, although they may not change the calculated absorption spectra qualitatively.

We adopt a BCS-like multiple gap model proposed by Liu et al. In this model, the self-consistent gap equation is written as

$$\mathrm{\Delta }_i=\underset{j}{}U_{ij}\mathrm{\Delta }_j\underset{\omega _D}{\overset{\omega _D}{}}N_j(\xi )\frac{\mathrm{tanh}(\beta E_j(\xi )/2)}{E_j(\xi )}𝑑\xi ,$$
(1)
where $`\beta =1/k_BT`$, with $`T`$ the temperature, $`\mathrm{\Delta }_i`$ is one of the $`n`$ gaps, $`U_{ij}`$ is the corresponding $`n\times n`$ effective phonon-mediated electron-electron interaction matrix calculated in , $`N_i(\xi )`$ is the normal density of states for the $`i`$th band, and $`E_i(\xi )=\sqrt{\mathrm{\Delta }_i^2+\xi ^2}`$, $`\xi =ϵ\mu `$ (where $`ϵ`$ is the single-particle energy and $`\mu `$ is the Fermi energy). Finally, $`\omega _D`$ is a cutoff energy, which is assumed to be the same for all $`n`$ bands. The solution of the $`n`$ equations (1) gives $`\mathrm{\Delta }_i(T)`$. In a single-gap BCS superconductor $`\omega _D`$ is of order the Debye frequency. In MgB2 the value $`\omega _D7.5`$meV needed to produce $`T_c40`$K is much smaller than the physically relevant logarithmically averaged phonon frequency $`\omega _{\mathrm{ln}}=56.2`$meV); this discrepancy would probably be removed by the inclusion of strong-coupling corrections omitted from eq. (1). In any case, the BCS model predicts gaps in MgB2 whose ratio and temperature dependence agree fairly well with detailed calculations employing the Eliashberg theory of superconductivity (cf. Fig. 1(a) below). We therefore use the model of eq. (1) to calculate absorption spectra in MgB2 , in the hope that the results will apply at least qualitatively.

To calculate the absorption coefficients, we use the canonical transformation approach as described, for example, in Tinkham. If there are multiple gaps, one may generalize the standard single-gap expression for the coherence factors $`(u\nu ^{}\pm \nu u^{})^2`$ and $`(uu^{}\nu \nu ^{})^2`$ by replacing $`\mathrm{\Delta }^2`$ in these expressions by $`\mathrm{\Delta }\mathrm{\Delta }^{}`$ (in the notation of ), so that, e. g.,

$$(uu^{}\nu \nu ^{})^2=\frac{1}{2}\left(1+\frac{\xi \xi ^{}}{EE^{}}\frac{\mathrm{\Delta }\mathrm{\Delta }^{}}{EE^{}}\right).$$
(2)
Here the upper and lower signs correspond to the so-called case I and case II coherence factors determined by the time-reversal symmetry of the matrix elements. If the $`N_j(\xi )`$’s near the Fermi level are constant for each band, and equal to $`N_j(0)`$, and if the electron-phonon interaction is linear (both in $`\xi `$ and in the ionic displacements $`u`$), so that the upper and lower limits of integration in eq. (1) are equal, then the terms linear in $`\xi `$ and $`\xi ^{}`$ cancel when the integral over the coherence factors is carried out. Both of these assumptions may fail to some extent in MgB2 (in particular, the electron-phonon interaction in MgB2 is exceptionally nonlinear in $`u`$). We will nevertheless assume that the cancellation is almost complete and neglect the terms linear in $`\xi `$ and $`\xi ^{}`$ in eq. (2). We also assume that the matrix elements $`M_{ij}`$ for a one-electron transition between an electronic state in band $`i`$ and a state in band $`j`$ are the same for all states in given bands $`i`$ and $`j`$. The transition rate in the superconducting state induced by a perturbation of frequency $`\omega `$ is then found to be proportional to

$`\alpha _S=`$ $`{\displaystyle \underset{ij}{}}|M_{ij}|^2N_i(0)N_j(0)I_{ij},`$ (3)
$`I_{ij}`$ $`{\displaystyle \frac{|E(E+\mathrm{}\omega )\mathrm{\Delta }_i\mathrm{\Delta }_j|}{\sqrt{E^2\mathrm{\Delta }_i^2}\sqrt{(E+\mathrm{}\omega )^2\mathrm{\Delta }_j^2}}}`$ (5)
$`\times \left[f(E)f(E+\mathrm{}\omega )\right]dE.`$
Here $`f(E)=1/[e^{E/k_BT}+1]`$ is the Fermi function, and the integration in (5) extends from $`\mathrm{}`$ to $`+\mathrm{}`$, except for the regions where the argument of either square root becomes negative. The absorption coefficient in the normal state, $`\alpha _N`$, is given by the same formula but with all $`\mathrm{\Delta }_i=0`$.

In the single-gap case, the ratio $`\alpha _S/\alpha _N`$ calculated from eqs. (3) and (4) is usually referred to as the Mattis-Bardeen formula. The corresponding ratio for the multiple-gap case is readily calculated using eqs. (3) and (4). The normal state value is just $`\alpha _N=_{ij}|M_{ij}|^2N_i(0)N_j(0)\mathrm{}\omega `$, and hence

$$\frac{\alpha _S}{\alpha _N}=\frac{_{i=1}^n_{j=1}^n|M_{ij}|^2N_i(0)N_j(0)I_{ij}}{_{i=1}^n_{j=1}^n|M_{ij}|^2N_i(0)N_j(0)\mathrm{}\omega },$$
(6)
with $`I_{ij}`$ given by (5).

The required integrals take very simple forms at $`T=0`$. In this case, $`f(E)=1`$ for $`E<0`$ and $`f(E)=0`$ otherwise, and eq. (5) becomes

$$I_{ij}^{T=0}=_{\mathrm{\Delta }_j\mathrm{}\omega }^{\mathrm{\Delta }_i}\frac{|E(E+\mathrm{}\omega )\mathrm{\Delta }_i\mathrm{\Delta }_j|dE}{\sqrt{E^2\mathrm{\Delta }_i^2}\sqrt{(E+\mathrm{}\omega )^2\mathrm{\Delta }_j^2}}.$$
(7)
Introducing $`k_{ij}^{(+)}(\mathrm{}\omega )^2(\mathrm{\Delta }_i+\mathrm{\Delta }_j)^2`$ and $`k_{ij}^{()}(\mathrm{}\omega )^2(\mathrm{\Delta }_i\mathrm{\Delta }_j)^2`$, we can write this integral in terms of complete elliptic integrals $`E`$ and $`K`$. For the case I coherence factors, (7) simply reduces to

$$I_{ij}^{I,T=0}=\theta (k_{ij}^{(+)})\sqrt{k_{ij}^{()}}E\left(\frac{k_{ij}^{(+)}}{k_{ij}^{()}}\right),$$
(8)
whereas for the case II factors

$`I_{ij}^{II,T=0}=\theta (k_{ij}^{(+)})`$ $`[\sqrt{k_{ij}^{()}}E\left({\displaystyle \frac{k_{ij}^{(+)}}{k_{ij}^{()}}}\right)`$ (10)
$`{\displaystyle \frac{4\mathrm{\Delta }_i\mathrm{\Delta }_j}{\sqrt{k_{ij}^{()}}}}K\left({\displaystyle \frac{k_{ij}^{(+)}}{k_{ij}^{()}}}\right)]`$
\[the step function $`\theta (x)`$ appears because the upper integration limit in (7) should always be larger than the lower one\].

In order to demonstrate the qualitative features of this model, we have carried out the numerical integration for the two-gap model of MgB2 . Even using this model, the matrix elements $`M_{ij}`$ still remain to be calculated. Now in MgB2, these two gaps are thought to come from two disconnected Fermi surfaces. Since these are disjoint, the normal-state resistivity is likely to be determined primarily by intraband scattering. If so, the off-diagonal matrix elements $`M_{ij}`$ would be very small. Various scattering processes (e. g. impurity-scattering, electron-phonon scattering involving a large-wave-vector phonon) could, however, produce non-zero off-diagonal matrix elements in principle. We have therefore carried out two model calculations, based on eq. (6. In the first, we have simply made the crude assumption that all the factors $`M_{ij}N_i(0)N_j(0)`$ are equal, so that the Eq. (6) becomes simply

$$\frac{\alpha _S}{\alpha _N}=\frac{_{ij}I_{ij}}{n^2\mathrm{}\omega },$$
(11)
where $`n`$ is the number of bands. In the second, we have taken $`M_{ij}=0`$ for $`ij`$, as suggested by the above argument, but still assuming all diagonal elements $`M_{ii}N_i(0)^2`$ to be equal, so that

$$\frac{\alpha _S}{\alpha _N}=\frac{_iI_{ii}}{n\mathrm{}\omega }.$$
(12)
In Figs. 1(b-e), we show the transition rates as calculated from these expressions, for processes with case I (dashed lines) and case II (solid lines) coherence factors, and making either of the assumptions (11) or (12) at $`T=0.05T_c`$ and $`T=0.5T_c`$, as indicated. The case II coherence factors correspond to ordinary far-infrared absorption, or equivalently, the real part of the frequency-dependent conductivity. We consider two temperatures: $`T2`$ and $`20`$K. At very low temperatures, the absorption spectra for assumption (11) resemble a sum of three single-gap spectra which become nonzero at the three different possible values of $`\mathrm{\Delta }_i+\mathrm{\Delta }_j`$. If the matrix elements are diagonal, the spectra would resemble the sum of two single-gap spectra. In either case, the lowest frequency where absorption occurs is determined by the smallest gap, which we denote $`\mathrm{\Delta }_{i_0}`$, and occurs at frequency $`\omega =2\mathrm{\Delta }_{i_0}/\mathrm{}`$. Other absorption edges, where $`\alpha _S/\alpha _N`$ has a slope discontinuity at $`T=0`$, occur at other values of $`\mathrm{\Delta }_i+\mathrm{\Delta }_j`$, but are not very prominent, especially for the case II spectra. For the present model, the smaller gap $`\mathrm{\Delta }_{3D}2.5`$meV, and the corresponding absorption edge is at $`2\mathrm{\Delta }_{3D}/k_BT_c1.4`$, well below the BCS value.

The case II absorption coefficients at finite temperatures \[Fig. 1(c) and 1(d)\] show features not present in the lowest temperature plots, whether the transition matrix elements are assumed to obey eq. (11) or eq. (12). First, there is a weak below-gap absorption for all frequencies $`\mathrm{}\omega <2\mathrm{\Delta }_{i_0}`$. This absorption is also present in the single-gap case. But in the multiple gap superconductor, this background absorption, together with the peak feature discussed below, may mask the case II absorption edge at $`2\mathrm{\Delta }_{i_0}`$. (This edge is still visible for case I spectra, even at finite T.) Instead, for case II spectra, one of the secondary edges at $`\mathrm{\Delta }_i+\mathrm{\Delta }_j>2\mathrm{\Delta }_{i_0}`$ may become more prominent than the minimum absorption edge. In addition, if the nondiagonal matrix elements are substantial as in eq. (11), there is an extra peak at the frequency of the gap difference, $`\mathrm{}\omega _{ij}=|\mathrm{\Delta }_i\mathrm{\Delta }_j|`$. At this frequency, the integrand in eq. (5) has two multiplicative singularities \[square roots in the denominator of (5)\] As a result, the $`\alpha _S`$ calculated from eqs. (3) and (4) is proportional to $`\mathrm{ln}|\omega \omega _{ij}|`$), with a coefficient which is proportional to the number of thermally excited quasiparticles. However, if the matrix elements satisfy the diagonality assumption (12), this extra peak is absent. The origin of this peak(s) is the same as that of the better-known peak at $`\omega =0`$ in the single-gap case. This latter peak is responsible for the rise of the nuclear relaxation rate $`1/T_1`$ to a value exceeding the normal-state value as the superconductor is cooled through $`T_c`$. As in the $`1/T_1`$ case, the actual height and width of the peak at $`|\mathrm{\Delta }_i\mathrm{\Delta }_j|`$ can be determined only when the $`𝐤`$-dependence of the superconducting gaps, $`\mathrm{\Delta }_i(𝐤)`$, is included.

We now move on to discuss the recent measurements of the infrared conductivity in MgB2 films. In Fig. 2 (adapted from Fig. 2 of Ref.), we show the measured real part of the optical conductivity, $`\sigma _1(\omega )`$, normalized to its value in the normal state at 40K, $`\sigma _{1N}(\omega )`$. These data show several unusual features. First, there is an apparent absorption edge at 5meV (well below both the weak- and strong-coupling single-gap BCS values), and a large background absorption below this edge. Second, the experimental data show a weaker and more slowly rising $`\sigma _{1S}/\sigma _{1N}`$ ratio above the apparent absorption edge than a single-gap Mattis-Bardeen calculation (shown for $`2\mathrm{\Delta }=5`$ meV and $`T=6`$ K as a dashed line). Finally, these spectra appear to have a characteristic structure between 3 and 4 meV, present only in the superconducting state and reminiscent of the peak structure discussed above. However, this experimentally observed structure could lie within the experimental uncertainty, which is largest at low frequencies, where it is comparable to the scatter in the data points. Indeed, earlier data by Pronin et al is inconclusive regarding the presence of such 3-4 meV structure. More accurate measurements are needed to determine whether the peak structure is actually present in the MgB2 spectra.

Clearly, the simple model of in Fig. 1 cannot be directly applied to the measurements shown in Fig. 2. First, the the $`\omega _D`$ parameter of the BCS model (1) was chosen to give $`T_c40`$ K, whereas the sample of Fig. 2 has $`T_c30.5`$ K. At minimum, we should multiply all the energy and temperature parameters used to obtain Fig. 1 by a factor of $`3/4`$, to account for this lower $`T_c`$. Also, the factors $`M_{ij}N_i(0)N_j(0)`$ need not be independent of $`i`$ and $`j`$, as was assumed for Fig. 1 (b) and (c), and the factors $`M_{ii}N_i(0)^2`$ need not be independent of $`i`$ as assumed in Fig. 1(d); these factors could also depend on the polarization of the radiation. Finally, the actual distribution of gap values should be included. In the clean limit this distribution \[$`\mathrm{\Delta }_i(𝐤)`$\] is predicted to be broad and to have several peaks in both “2D” and “3D” regions. But impurity scattering should lead to “averaging” of the gap values in the experimental sample ($`\mathrm{}100`$ Å). The resulting gap distribution depends strongly on the relative magnitudes of various scattering rates, and in MgB2 these rates are thought to be small for scattering between 2D and 3D states, thus justifying the use of a “two-gap” model, as mentioned above. But for relatively small impurity concentrations, the gap values should still have some dispersion around the average $`\mathrm{\Delta }_{2D}`$ and $`\mathrm{\Delta }_{3D}`$. The clean-limit results of Ref.  suggest that two slightly different gaps, $`\mathrm{\Delta }_{2D,1}`$ and $`\mathrm{\Delta }_{2D,2}`$, might form on the two 2D Fermi surfaces if the intraband scattering is stronger than scattering between two different 2D bands, for relatively clean samples.

To illustrate these effects, we have calculated $`\alpha _S/\alpha _N`$ for case II coherence factors using eqs. (4) and (5), with parameters arbitrarily chosen so as to give a reasonable fit between the calculated results and the measured $`\alpha _S/\alpha _N`$. To illustrate possible effects of nontrivial gap value distribution, we used either two gaps ($`\mathrm{\Delta }_{2D}`$ and $`\mathrm{\Delta }_{3D}`$), or three gaps ($`\mathrm{\Delta }_{2D,1}`$, $`\mathrm{\Delta }_{2D,2}`$ and $`\mathrm{\Delta }_{3D}`$). In both cases, we have assumed that the off-diagonal matrix elements are substantial. The calculated curves shown in the insets of Fig. 2 (solid line) have most of the features of experiment: an apparent absorption edge at a frequency well below the single-gap BCS value; a large background absorption below this edge at finite $`T`$; and a more slowly rising $`\alpha _S(\omega )/\alpha _N(\omega )`$ with increasing frequency above the absorption edge than is predicted by the single-gap BCS model (inset of Fig. 2, dashed line). However, we emphasize that the extra sharp peaks in the insets are present only if the off-diagonal matrix elements $`M_{ij}`$ are substantial, which may well not be the case in MgB2.

In conclusion, we have presented a simple calculation of far-infrared absorption in a model for MgB2, using a generalization of the Mattis-Bardeen formula to several gaps. The resulting absorption ratio $`\alpha _S(\omega )/\alpha _N(\omega )`$ shows a qualitative resemblance to the measured results. Specifically, the onset of absorption at a frequency well below the onset predicted by isotropic BCS theory, large background absorption below the apparent absorption edge, and a slower rise of $`\alpha _S(\omega )/\alpha _N(\omega )`$ than in the single-gap case are all easily reproduced by the multiple-gap model. Thus, the recent optical conductivity measurements appear to be consistent with the hypothesis of multiple superconducting gaps in MgB2 . If certain interband transition matrix elements are sufficiently large, the multiband model would lead to a peak at a frequency corresponding to the gap difference $`\mathrm{\Delta }_{2D}\mathrm{\Delta }_{3D}`$, which might be observable at finite temperatures in moderately dirty samples.

This work has been supported by NSF through Grant DMR 01-04987 and the U. S.-Israel Binational Science Foundation, and also benefited from the computational facilities of the Ohio Supercomputer Center. We thank T. R. Lemberger for valuable conversations.