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# The host galaxies of type Ia supernovae at 𝑧=0.6

## 1 Introduction

Observations of type Ia supernovae (SNe Ia) at high redshift has led to the astonishing deduction that the universal expansion is accelerating (Riess et al, 1998; Perlmutter et al, 1999). A key factor in this discovery has been the painstaking calibration of the relation between the SNe Ia luminosity and the behaviour of the light curves (Phillips, 1993; Hamuy et al, 1996; Riess, Press & Kirshner, 1996; Perlmutter et al, 1997; Tripp, 1997; Phillips et al, 1999; Saha et al, 1999). However, the size of the effect (about 0.25 mags) which indicates acceleration is several times smaller than the intrinsic range of luminosity in local SNe Ia i.e. the correction that has to be made using the calibration relation is large. Given that the calibration relation is derived empirically, and that the physics of SNe Ia is only partially understood, it is therefore important to exploit every opportunity to test for intrinsic differences in the SNe or in their environments between the local and high-z universe. In this letter we consider the rates, luminosities and extinction of SNe Ia at $`z0.6`$.

The current consensus on the diversity of SNe Ia is that it arises primarily from the mass of 56Ni produced in the explosion, with a higher relative 56Ni producing a more luminous and more slowly declining lightcurve. Close-binary evolutionary calculations (Umeda et al, 1999) of possible progenitors indicate that the C/O ratio is lower for higher mass CO cores. It has been suggested, although not demonstrated, that a smaller C/O ratio in the progenitor white dwarf yields less 56Ni and so a lower luminosity (Hoeflich, Wheeler & Thielemann, 1998; Umeda et al, 1999). Thus, CO white dwarf progenitors arising from higher mass main-sequence stars may yield less luminous SNe Ia. Metallicity can have a significant effect via the white dwarf wind which affects the minimum CO white dwarf mass that can accrete as far as the Chandrasekhar Limit (Kobayashi et al, 1998). A high metallicity implies a higher white dwarf wind. This allows white dwarfs with a lower CO mass to reach the Chandrasekhar Limit and hence produce brighter SNe Ia. Thus, there will be a tendency for a larger number of, and more luminous SNe Ia to occur in high metallicity populations and vice versa. It is predicted that metallicity in spirals will decrease with increasing redshift (Calzetti & Heckman, 1999). Such a decrease is not expected to occur in ellipticals since they have had essentially no star formation over this look-back time. Consequently we might expect that, relative to ellipticals, SNe Ia in high-$`z`$ spirals should exhibit reduced luminosities and lower rates.

Conversely, modelling of the total SNe Ia rate (per $`10^{10}`$ $`L_B`$) with redshift predicts little change in the total SNe Ia rate with increasing redshift up to $`z1.6`$ (Kobayashi, Tsujimoto & Nomoto, 2000). This prediction has been shown to be true up to at least $`z0.55`$ by independent observations (Pain et al, 2002). Moreover, Kobayashi, Tsujimoto & Nomoto (2000) also model the variation in SNe Ia rate with redshift for host galaxies of different morphological types, and find that significant changes are anticipated only beyond z$``$1.6. At lower redshifts, the absolute and relative rates are predicted to remain roughly the same as the local values for spirals and ellipticals.

Another important issue in current studies of high-$`z`$ SNe Ia is that of extinction. Both supernova search teams correct for galactic extinction but find that very few of their supernovae show a residual colour excess, implying negligible extinction in the host galaxies. No significant extinction is found in 14 out of 16 SNe Ia discovered by Riess et al (1998) and in 40 out of 42 SNe Ia discovered by Perlmutter et al (1999). Riess et al (1998) also argue against the presence of neutral extinction. They point out that the observed dispersion in MLCS-derived distances is substantially smaller than would be expected if grey dust extinction were the main cause of the lower brightness of high-$`z`$ SNe Ia. However, Leibundgut (2001) has highlighted inconsistencies in the treatment of host galaxy extinctions between the two SNe Ia search teams. Moreover, Rowan-Robinson (2002) has shown that by employing a consistent treatment of extinction and excluding those SNe Ia observed only after maximum light, a positive $`\mathrm{\Lambda }`$ is only required at the $`3\sigma `$ level.

The apparent lack of host galaxy extinction is, perhaps, surprising for two reasons. Firstly, local SNe Ia are observed with a range of host galaxy extinctions spanning $`0<E(BV)<2.0`$, with most lying in the range $`0<E(BV)<0.5`$ (Phillips et al, 1999; Meikle & Mattila, 2002). Secondly, the increasing gas content in galaxies with increasing redshift means that, contrary to the findings of the SN search teams, we might expect mean extinction levels to increase with redshift due to increased dust opacities caused by the higher gas column densities (Calzetti & Heckman, 1999). However, it is possible that the apparent lack of extinction at high-z is due to observational bias. SNe Ia behind a dust screen will be fainter, and thus would be selected against in searches near the magnitude limit. In addition, follow-up spectroscopy favours those SNe Ia that are a large distance from the host galaxy centres in order to minimise contamination from host galaxy light. These SNe Ia may be expected to have less extinction than those found near the host galaxy centres.

In this letter we use HST archive data, and previously published HST observations, to test whether or not SNe Ia rates and luminosities at $`z0.6`$ show a different distribution with host morphology. We also examine the issue of extinction via the radial distribution of the SNe, and by making use of colour maps of two of the high-z host galaxies. Sample selection, observations and data analysis are described in §2. Results are presented in §3, and discussion and conclusions are given in §4. We adopt $`H_0=65`$ km s-1 Mpc-1, $`\mathrm{\Omega }_0=0.3`$ and $`\mathrm{\Lambda }=0.7`$.

## 2 The Sample

Our sample, presented in Table 1, comprises 15 SNe Ia events discovered in the course of the two current high-$`z`$ SNe Ia search programmes, and also observed by the HST. All except one of the supernovae were firmly classified as type Ia events on the basis of their spectra, with SN 1997es being classified as a probable type Ia. The mean redshift of the sample is $``$$`z=0.57`$ with a range spanning $`0.42<z<0.86`$.

Galaxy images were obtained from the Wide Field Planetary Camera 2 (WFPC2) archive, in the F675W and F814W filters which correspond to the Cousins R and I bands respectively. Each supernova was observed at several epochs spaced a few weeks apart in order to sample the light curves, with the deeper images being in the F814W band. For each event, the F814W band data from these epochs were co-added to form a single deep image of the SN and host galaxy. Most of the supernovae were centred on the WF3 chip, with a few centred on the Planetary Camera. Data taken at each epoch were combined into a single frame using the STSDAS task CRREJ, which also performs sky subtraction. The images for each epoch were then aligned using the IRAF task CROSSDRIZ and combined into a single exposure. The final coadded images have effective exposure times of between 1000s and 2400s. This method of construction means that, although the SNe Ia are visible, their magnitudes cannot be measured here since the combined images comprise exposures taken over a range of epochs. It does however give very deep images of the host galaxies, allowing effective classification of the host galaxy types.

To investigate the dust content of the host galaxies, we constructed colour maps using the F675W and F814W images. The images in each filter were first scaled to a common exposure time, and then deconvolved with PSFs using the Richardson-Lucy algorithm (Lucy, 1974) as implemented in the IRAF task LUCY. The TinyTIM v6.0 software (Krist, 1994) was used to generate PSFs for the appropriate filter and chip positions. Any colour structure not due to colour differences in the images will be due to two effects. The first is differences in the effective PSF’s of the images achieved by the initial deconvolutions. To quantify this difference we performed simulations by constructing colour maps of stars visible in both images. It was found that the maps of these stars had a featureless colour structure across the diffraction disk. Colour structure due to PSF mismatch is therefore negligible compared to noise in the original images or large angle scattering within the WFPC2 optics. The second effect is that of deconvolution artifacts. It was found that deconvolution artifacts only became visible several iterations after convergence between the original image and the deconvolved image had been achieved. As we halted the deconvolution immediately upon attaining convergence, the effect of artifacts on the achieved colour structure is insignificant. We found that, due to the pixel scale of WFPC2, resolved colour structure was only attainable for galaxies which extended over more than $`1\mathrm{}`$ and which had deep imaging in both filters. Thus, the colourmap study was restricted to just two galaxies, the hosts of SN 2000ea and SN 2000eg.

## 3 Results

The final F814W host galaxy images are presented in Figure 1 and morphological classifications are given in Table 1. Spectra for several of the supernovae in our sample have been published (Riess et al, 1998; Leibundgut & Sollerman, 2001), although no spectra of the host galaxies themselves have been published. Where possible we have used the contamination from host galaxy light in the published SNe Ia spectra to refine the morphological classifications further. We note however that classification of host galaxy type based on the observed morphology only is still robust in distinguishing between elliptical and spiral systems. However, the images on their own are insufficiently detailed to be used to divide the spiral systems into subtypes (e.g. Sbc, SBbc etc.).

The sample exhibits morphologies ranging from pure ellipticals (e.g. the hosts of SN 1997cj, SN 2000ec) to systems with clear signs of spiral structure (the hosts of SN 1997ce, SN 1997ek, SN 1998bi). The host galaxy of SN 1997es appears to be disturbed. Overall, four hosts have a morphology consistent with an E/S0 classification, while the remaining eleven either exhibit spiral structure or are disturbed. A wide range of SN distances from the galaxy centres is also found, ranging from $`3`$kpc (SN 1997es, SN 2000ee) to $`30`$kpc (SN 1998M. Note that the object directly above the supernova is a foreground galaxy.) The projected distances are presented in Table 1.

The colour maps for the host galaxies of SN 2000ea and SN 2000eg are presented in Figure 2. Sky background regions in both maps have been masked out. In the rest frame of the galaxies, the colour corresponds closely to $`BV`$. We note that, owing to the way in which the maps were constructed, they cannot be used to accurately measure the supernova colours. Large-scale, irregular colour variation of order $`BV=0.5`$ is seen across both galaxies, with extreme differences as high as $`BV=1.4`$.

## 4 Discussion and Conclusions

### 4.1 Supernova rates

To improve the statistics we added seven more SNe Ia host galaxies at a similar redshift, imaged by Ellis & Sullivan (2001) using STIS on HST. These galaxies are presented in Table 2. Two of these are classified as E/S0 and five as spirals. An eighth galaxy from Ellis & Sullivan (2001), the host of SN 1997eq, is common to both samples. We agree with Ellis & Sullivan (2001) that it is a spiral type. Thus, for a combined sample of 22 SNe Ia host galaxies, $`30\%`$ are E/S0 systems and $`70\%`$ are spirals or disturbed systems. These proportions are similar to that observed locally by Cappellaro, Evans & Turatto (1999). These authors also find a ratio of about $`30\%`$ to $`70\%`$ when their results are expressed as SN rate per unit bolometric luminosity of the host galaxy. Adopting the same conversion between SNe Ia counts per galaxy type and SNe Ia rates per unit galaxy luminosity as Cappellaro, Evans & Turatto (1999), we infer that the relative SNe Ia rate in spirals and ellipticals has not changed between $`z0.6`$ and the local universe. This is consistent with the prediction of Kobayashi, Tsujimoto & Nomoto (2000) that the relative rates should be unchanged in going from z=0.6 to the local universe.

### 4.2 Supernova peak magnitudes

Peak rest-frame B band magnitudes for the SNe in our sample have so far been published for only two objects (Riess et al, 1998); SN 1997ce ($`M_B^{peak}`$=–19.26) and SN 1997cj (–19.25). These are the magnitudes obtained following application of MLCS correction. However, stretch-factor-corrected B band peak magnitudes for 7 out of the 8 host galaxies presented in Ellis & Sullivan (2001) have been published in Perlmutter et al (1999). These magnitudes are listed in Table 2. The total of 9 SNe Ia comprises 3 in ellipticals and 6 in spirals. Although the two teams observe their supernovae using different filter sets, the light curve fitting methods employed by both teams give stretch factor corrected magnitudes in the same filter, namely B band in the rest-frame of the supernovae. We thus intercompare published magnitudes from both teams. The mean peak B band magnitude for the SNe Ia in the 6 spiral systems is $`19.22_{+0.14}^{0.13}`$. For the 3 SNe Ia in elliptical systems the mean peak B band magnitude is $`19.53_{+0.19}^{0.15}`$. Thus, we find no significant difference in the average light-curve-shape-corrected $`M_B^{peak}`$ for high-z SNe Ia between spirals and ellipticals. We thus find that light-curve shape correction methods (Schmidt et al, 1998) appear to be valid for SNe Ia at $`z0.6`$ in all host galaxy types.

### 4.3 Extinction

The irregular colour structure in two of the host galaxies (Figure 2) is most plausibly interpreted as being due to variation in a significant dust extinction (this also supports their classification as spirals). We also note that simulations of host galaxy extinctions and radial distributions of supernovae (Hatano, Branch & Deaton, 1998) have shown that SNe Ia within $`10`$kpc of the centres of spiral galaxies will be observationally dimmer and have a larger magnitude dispersion than SNe Ia in the outer regions, although part of the observed dispersion will probably be due to projection effects. Inspection of Figure 1 shows that the SNe Ia are found over a range of projected distances from the host galaxy centre. These distances are listed in Table 1. It is possible that the real distances from the host galaxy centres are in fact all $`>10`$kpc and that the observed distances are simply due to projection effects, however we argue against this for two reasons. Firstly, 10 out of the 15 SNe in our sample have projected distances from the host galaxy nuclei of $`<7`$kpc, which argues against a distribution in a ’shell’ of $`>10`$kpc in radius. Secondly, the distances from galaxy centres for local SNe Ia range from $`1`$kpc to $`30`$kpc, and there is no compelling physical reason why the distribution of galactocentric distances of SNe Ia at z=0.6 should differ from the distribution observed locally.

Overall, our results are consistent with a similar range of real separations of SNe Ia from the centres of their host galaxies as is observed locally. We find no evidence to suggest that SNe Ia at $`z0.6`$ are found preferentially far out in the host galaxies where extinction levels might be expected to be small. Moreover, current observational and theoretical evidence does not favour any significant changes in typical galaxy size at $`z0.6`$ relative to that observed locally (Lilly et al, 1998; Boissier & Prantzos, 2001). Consequently we can also state that there is no difference in the distribution with galaxy scalelength between local SNe Ia and those at $`z0.6`$. We are led to suspect that a significant fraction of the 22 events may be subject to some extinction. Given that dustier environments at higher redshifts are also to be expected (Eales & Edmunds, 1996; Fox et al, 2002), the general lack of extinction found in high-$`z`$ SNe Ia discovered by Riess et al (1998) and Perlmutter et al (1999) remains puzzling. We do however note the following two caveats. Firstly, the possibility of some observational bias (cf. Section 1) operating within a region closer than $``$10 kpc is not ruled out. Secondly, details about the SNe Ia in our two “dusty” spirals (Figure 2) have yet to be published, and so we are unable to comment directly on the degree of extinction that these events might have encountered.

In summary, we find that, at $`z0.6`$, the observed relative rates and relative luminosities of type Ia supernovae in elliptical and spiral galaxies are consistent with predictions based on the locally-derived understanding of SNe Ia physics and the influence of progenitor mass and metallicity (Umeda et al, 1999; Kobayashi, Tsujimoto & Nomoto, 2000). We find no reason to question this understanding. Unless some level of observational bias is present, there is however still some difficulty with the apparently low observed extinction towards SNe Ia at high-z.

## 5 Acknowledgments

We thank Bruno Leibundgut for helpful discussions. We would like to thank the referee for very helpful comments. The data were obtained from the Multimission Archive at the Space Telescope Science Institute (MAST). STScI is operated by the Association of Universities for Research in Astronomy, Inc., under NASA contract NAS5-26555. Support for MAST for non-HST data is provided by the NASA Office of Space Science via grant NAG5-7584 and by other grants and contracts. The NASA/IPAC Extragalactic Database (NED) is operated by the Jet Propulsion Laboratory under contract with NASA. The Digitized Sky Surveys were produced at the Space Telescope Science Institute under U.S. Government grant NAG W-2166. The images of these surveys are based on photographic data obtained using the Oschin Schmidt Telescope on Palomar Mountain and the UK Schmidt Telescope. This work was in part supported by PPARC (grant number GR/K98728). Financial support was provided to S.M. by Osk. Huttusen Säätiö


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# Noise activated granular dynamics

## Abstract

We study the behavior of two particles moving in a bistable potential, colliding inelastically with each other and driven by a stochastic heat bath. The system has the tendency to clusterize, placing the particles in the same well at low drivings, and to fill all of the available space at high temperatures. We show that the hopping over the potential barrier occurs following the Arrhenius rate, where the heat bath temperature is replaced by the granular temperature. Moreover, within the clusterized “phase” one encounters two different scenarios: for moderate inelasticity, the jumps from one well to the other involve one particle at a time, whereas for strong inelasticity the two particles hop simultaneously.

Granular gases gases , i.e. assemblies of inelastic particles losing a little kinetic energy at each collision, exhibit a variety of complex behaviors, such as clustering goldhirsch , spontaneous formation of vortices bal , lack of energy equipartition Ioepug , non-Maxwellian velocity distributions Nogauss , and so on, which provide new challenges to statistical mechanics. Analogies between standard condensed matter and granular matter remain a valuable route to improve our knowledge of the latter jaeger . As an instance, we mention the analogy between the granular temperature, $`T_G`$, defined as the average kinetic energy per grain, and the temperature of molecular gases. It has been observed that the equality of the granular temperatures of two granular gases is not the condition for thermal equilibrium between them Ioepug . This is not too surprising since it reflects the non-equilibrium nature of granular systems. Nevertheless, one can ask whether $`T_G`$ possesses other useful properties of the thermodynamic temperature, such as that of controlling the rates of activated processes and the direction of energy fluxes. The answer is relevant in the construction of the hydrodynamics of granular systems.

The present work is inspired by the experiment probing the behavior of vibrated sand in a vertical box made up of two identical compartments communicating through a small orifice located at a certain height. One observes that for vigorous shaking the two halves are equally populated, whereas below a critical driving intensity the symmetry is broken experiment . The existing theoretical explanations are based on hydrodynamic descriptions. According to Refs. Eggers ; Brey ; Lohse , the behavior can be captured by a phenomenological mesoscopic flux model, depending on a parameter which is a function of the inelasticity, the driving intensity and the number of particles. One assumes the existence of a stationary state and, focusing on slow variables, neglects the role of temporal and spatial fluctuations.

Our treatment, instead, represents a shift from the hydrodynamic to the statistical mechanical level, in which quantities such as temperature and density fluctuations are obtained in terms of the microscopic coordinates of the particles and their interactions. In a simplified model, we relate the crossover from the equally populated phase to a broken symmetry phase to the existence of two different kinds of thermally activated processes. This is a strong indication that the kinetic temperature is a parameter characterizing, not only velocity fluctuations, but also the activation dynamics across energy barriers.

Futhermore, the simplicity of the model allows us to make explicit the dependence of the kinetic temperature on the relevant parameters of the model.

Our model is closely connected to that, proposed over sixty years ago by H.A. Kramers Kramers ; Hangi , describing a reaction occuring via a thermally activated barrier crossing. We consider two inelastic hard rods (the simplest granular gas) bound to move on a line in the presence of a bistable external potential $`U(x)=ax^2/2+bx^4/4`$, (mimicking the compartimentalized box). The particles are coupled to a bath which exerts upon them a velocity dependent friction and a random force. In the absence of collisions the particles evolve according to:

$$M\frac{d^2x_i}{dt^2}=M\gamma \frac{dx_i}{dt}U^{}(x_i)+\xi _i(t)$$
(1)
where, prime indicates the spatial derivative, $`x_i`$ ($`i=1,2)`$ represents the position of particles and $`\gamma `$ is a friction coefficient. The Gaussian noise $`\xi _i(t)`$, with $`<\xi _i(t)>=0`$ and $`<\xi _i(t)\xi _j(s)>=2MK_b\gamma T_b\delta _{ij}\delta (ts)`$, describes the exchange of energy with the surroundings tradition  schematized by a heat-bath of temperature $`T_b`$. In the following we set $`M=1`$, $`K_B=1`$, $`a=1.5`$, $`b=0.05`$ and $`\gamma =0.1`$. The relevant parameters are: the positions of minima $`x_{min}=\pm \sqrt{a/b}=L/2`$, the location of the maximum, $`x_{max}=0`$, and the energy barrier, $`\mathrm{\Delta }U=a^2/4b=11.25`$, together with the curvatures $`\omega _{min}^2=U^{\prime \prime }(x_{min})=2a`$ and $`\omega _{max}^2=U^{\prime \prime }(x_{max})=a`$.

Upon taking into account collisions, the velocities of particles change instantaneously when their separation $`x_2x_1`$ equals the hard core diameter, $`d=1`$, according to the rule:

$$v_i^{}=v_i\frac{1+r}{2}(v_iv_j)$$
(2)
where $`0r1`$ is a restitution coefficient and $`ij=1,2`$. Let us recall that in the non-interacting case (no collisions), each particle on the average sojourns a time given by

$$\tau =A\mathrm{exp}(\mathrm{\Delta }U/T_b),$$
(3)
where the prefactor $`A`$ has been calculated by many authors since the work of Kramers Hangi .

The basic phenomenology of the model is illustrated in Fig. 1. The relative distance, $`y=x_2x_1`$, between particles fluctuates in time showing time intervals of average lifetime $`\tau _2`$, when they are confined to the same well ($`yd`$) alternated with intervals, of average lifetime $`\tau _1`$, when they sojourn in separate wells ($`yL`$). Thus, the system behaviour shows the existence of two different time scales $`\tau _1`$ and $`\tau _2`$ employed to characterize two regimes.

We shall see that, as the driving intensity, $`T_b`$, or inelasticity, $`r`$, are varied, the system undergoes a crossover from the regime in which particles are far apart most of the time (i.e. $`\tau _1>\tau _2`$), to a clusterized regime characterized by $`\tau _1<\tau _2`$. Moreover, we shall show that the dependence of $`\tau _2`$ and $`\tau _1`$ on the model parameters can be captured by a simple extension of formula (3), replacing $`T_b`$ by the two different kinetic temperatures

$`T_2`$ $`=`$ $`\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{2t_2}}{\displaystyle _0^t}𝑑s\left(v_1^2(s)+v_2^2(s)\right)\mathrm{\Theta }[x_1(s)x_2(s)]`$ (4)
$`T_1`$ $`=`$ $`\underset{t\mathrm{}}{lim}{\displaystyle \frac{1}{2t_1}}{\displaystyle _0^t}𝑑s\left(v_1^2(s)+v_2^2(s)\right)\mathrm{\Theta }[x_1(s)x_2(s)]`$ (5)
where $`t_1`$ and $`t_2`$ are the times the particles spend, during $`[0,t]`$, in different wells or in the same one respectively. The temperature $`T_2`$ represents the velocity variance conditioned to the fact that the two particles belong to the same well, whereas $`T_1`$ is the same quantity when these move in different wells.

Two physical effects are present: the hard core repulsion and the inelasticity of collisions. For the sake of clarity, let us begin the dicussion with the elastic system ($`r=1`$). In this case, we deal with an equilibrium system \- the measured $`T_2`$ and $`T_1`$ coincide with the heat bath temperature $`T_b`$ distribuz  \- and therefore, we expect that the most probable configuration minimizes the free energy. This configuration is constituted by a single particle in each well, and corresponds to the condition $`\tau _1>\tau _2`$. The results of simulations, shown in Fig. 2, verify this scenario. How do we quantify these escape times? As displayed in Fig. 2, $`\tau _2`$ and $`\tau _1`$ still follow the Arrhenius exponential behavior of Eq. (3), however, with a suitable paremeter renormalization:

$$\tau _k\mathrm{exp}\left[\frac{W_k}{T_k}\right],$$
(6)
where $`k=(1,2)`$ indicates single or double occupation, $`W_1=\mathrm{\Delta }U`$ and $`W_2=\mathrm{\Delta }U\delta U<\mathrm{\Delta }U`$. The correction $`\delta U`$ takes into account the effect of the excluded volume repulsion: when two grains belong to the same well their center of mass lies higher than if they were in separate wells. This determines a reduction $`\delta U=a(d/2)^2+b/4(d/2)^4`$ of the effective energy barrier and makes $`\tau _2<\tau _1`$. This is a typical correlation effect, because the repulsion renders less likely, with respect to the non interacting case, the double occupancy of a well. The smaller the ratio between the well width and the particle diameter, the stronger the reduction of the escape time Tarazona .

The above scenario changes in the presence of inelasticity ($`r<1`$) because dissipation tends to promote the double occupation of a well. Thus, upon lowering the temperature $`T_b`$, we expect a crossover from the regime, where the double occupancy of a well is unfavoured (i.e. $`\tau _2<\tau _1`$), to the regime, where particles spend most of the time together in the same well i.e. $`\tau _2>\tau _1`$. In Fig. 2, for inelasticity $`r=0.9`$, this crossover is observed and occurs at $`T_b10.0`$ (upper inset). This behavior is the analogue of that reported by several authors Eggers ; Brey . The origin of the crossover lies on the fact that, in the inelastic system, temperatures $`T_2`$ and $`T_1`$ are no more equal to $`T_b`$ and furthermore $`T_2<T_1`$. Thus, the mean lifetime of the clusterized and non clusterized regimes can be still described by expressions (6), but now the temperature difference competes with the excluded volume correction, eventually leading to $`\tau _2>\tau _1`$. A simple argument can be used to estimate the shift of $`T_2`$ from $`T_b`$. For moderate driving intensity, $`T_1`$ is nearly equal to $`T_b`$, while $`T_2`$ is lower than $`T_b`$ by a factor which depends on the inelasticity. In Fig. 3 we show these temperatures as functions of $`T_b`$. It can be observed in Fig. 3 that $`T_2`$ varies linearly with $`T_b`$ and its slope is a decreasing function of the inelasticity $`(1r)`$. A good estimate of temperature $`T_2`$ can be obtained by considering the two particles in a single harmonic well $`V(x)=\omega _{min}^2x^2/2`$. Balancing the power dissipated by collisions $`(1r^2)\nu \overline{(v_2v_1)^2}/4`$ and viscous damping ($`2\gamma T_2`$) with the power supplied by the external source ($`2\gamma T_b`$) we arrive to the expression:

$$T_2=\frac{T_b}{1+\frac{\nu }{4\gamma }(1r^2)}$$
(7)
where the collision frequency $`\nu `$ is estimated as $`\omega _{min}/\pi `$ (the factor $`2`$ stems from the excluded volume effect). We have assumed that the precollisional relative velocity $`\overline{(v_2v_1)^2}(<v_1^2>+<v_2^2>)=2T_2`$. An improved value of $`T_2`$ results when using the value of $`\nu `$ obtained from the simulation. The dependence of the formula on the restitution coefficient is shown in the inset of Fig. 3.

In the lower inset of Fig. 2 we plot the probability distributions of escape times $`\tau _1`$ and $`\tau _2`$ for several simulations. All the distributions are characterized by a peak at the origin and an exponential tail. When rescaled to have the same average, all the tails collapse to a single curve. Such exponential tails are typical of the original Kramers model for thermally activated barrier crossing.

A new non trivial phenomenon occurs at low temperature and small restitution coefficient. The escapes from a doubly occupied well become correlated, i.e. the transition takes place as a collective motion of the two particles. In other words, when the inelasticity is strong the relative motion of the two particles, due to repeated collisions, becomes frozen and they tend to form a “molecule”. It is easy to show (within an harmonic treatment of the potential) that the noise acting on the center of mass coordinate corresponds to a reduced heat bath temperature $`T_b/2`$. We computed the exit time $`\tau _m`$ for the “molecule” and compared it with the characteristic times $`\tau _2`$ for several values of the inelasticity. As shown in Fig. 4, when the driving temperature decreases, $`\tau _2`$ corresponding to a strongly inelastic system ($`r=0.5`$) exceeds $`\tau _m`$. This is the signature that the most probable evolution of a doubly occupied state involves the simultaneous hopping of the two particles in the adjacent well, without breaking the pair. This freezing of the internal motion, is related to the problem of the dynamics of two randomly accelerated particles on a line considerd in Refs. Bray ; Burkhardt , or equivalently, to the problem of a single particle moving on the half line ($`x>0`$) in the presence of an inelastic (impenetrable) wall. The authors predicted that at fixed driving intensity and for $`r`$ below a critical value, $`r=r_c`$, the particle localises at the wall. We argue that the localization mechanism is identical to that leading to the formation of the “molecule” in our model.

In summary, whereas previous studies on compartimentalized systems were based on coarse grained descriptions of granular gases, our approach focuses on the statistical description of particle motions by means of a characterization of their stochastic fluctuations. The basic phenomenology illustrated above, suggests that after a suitable redefinition of parameters ($`T_b`$ replaced by $`T_2`$ and $`\mathrm{\Delta }U`$ by $`W_2`$) the present problem can be mapped onto that of a single particle hopping between two wells at different temperatures $`T_1`$ and $`T_2`$. We have shown how $`T_2`$ decreases with the inelasticity. The local granular temperature is the relevant control parameter in determining the direction of the energy flux (particles flow from hot places to cold places). The activation rates, $`\tau _2^1`$ and $`\tau _1^1`$ display an Arrhenius dependence on the temperatures $`T_1`$ and $`T_2`$, respectively. However, as $`r`$ decreases further, a deeper scrutiny reveals a more complex scenario. The model displays a further “transition” at even low temperatures because the two rods form a “bound” pair as a result of extremely frequent collisions. The escape from the wells can occur only “in tandem”.

As a natural extension of the present model, due to the continuous interest on transport properties on rough surfaces, compartimentalized systems and ratchets, one could examine the dynamics of an ensemble of grains in a larger number of wells. This would allow to determine explicitly the variation of the granular temperature and of the transition rates with the occupation number of the wells. The latter are key ingredients in hydrodynamic descriptions.

We are in debt to G. Jug for his suggestions and remarks. We acknowledge the support of the Cofin MIUR “Fisica Statistica di Sistemi Classici e Quantistici”.


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# Excitation and damping of collective modes of a Bose-Einstein condensate in a one-dimensional lattice

## Abstract

The mode structure of a Bose-Einstein condensate non-adiabatically loaded into a one-dimensional optical lattice is studied by analyzing the visibility of the interference pattern as well as the radial profile of the condensate after a time-of-flight. A simple model is proposed that predicts the short-time decrease of the visibility as a function of the condensate parameters. In the radial direction, heavily damped oscillations are observed, as well as an increase in the condensate temperature. These findings are interpreted as a re-thermalization due to dissipation of the initial condensate excitations into high-lying modes.

Studying collective modes in a Bose-Einstein condensate (BEC) is an efficient method for obtaining information about the dynamics of this quantum system . So far, both experimental and theoretical results have been obtained for low-lying modes of a condensate in a magnetic trap, including breathing modes , surface modes  and the scissors mode . Typically, in these experiments the collective modes were excited by a sudden change in the trap frequency or geometry, and the frequency and damping rate  of the subsequent oscillations were measured either in situ or after a time-of-flight.

In this paper we present experimental results and some preliminary theoretical considerations on the mode structure of a Bose-Einstein condensate inside a one-dimensional periodic potential. In experiments to date, BECs have been loaded into optical lattices mainly in the adiabatic regime in order to study, e.g., number squeezing  and the Mott-insulator transition . In this context, ‘adiabatic’ refers to the modes of the entire condensate rather than the single-well oscillation frequency. Therefore, the condition for adiabaticity is $`\tau _{ramp}>(\mu /\mathrm{})^1`$, where $`\tau _{ramp}`$ is the time over which the periodic potential is ramped up, and $`\mu `$ is the chemical potential of the condensate . By violating this condition (but still satisfying $`\tau _{ramp}>2\pi /\omega _{lat}`$, with $`\omega _{lat}`$ the single-well harmonic oscillator frequency), collective modes are excited in the condensate.

Our experimental setup is described in detail elsewhere . After creating BECs of $`N_0=1.5(5)\times 10^4`$ 87Rb atoms in a triaxial time-orbiting potential trap, we adiabatically lower the trap frequency $`\overline{\nu }_{trap}`$ to the desired value and then superimpose onto the magnetic trap an optical lattice along the vertical trap axis (for which the trap frequency $`\nu _{long}\overline{\nu }_{trap}`$) created by two linearly polarized Gaussian laser beams intersecting at a half-angle $`\theta =18`$ degrees and detuned by $`30\mathrm{GHz}`$ above the rubidium resonance line. The periodic potential $`V(z)=V_0\mathrm{sin}^2(\pi z/d)`$ thus created has a lattice spacing $`d=1.2\mu \mathrm{m}`$, and the depth $`V_0`$ of the potential (measured in lattice recoil energies $`E_{rec}=\mathrm{}^2\pi ^2/2md^2`$) can be varied between $`0`$ and $`20E_{rec}`$ by adjusting the laser intensity using acousto-optic modulators. The number of lattice sites occupied by the condensate lay between $`10`$ and $`15`$, depending on the trap frequency.

In a typical experiment, the optical lattice was ramped up in $`\tau _{ramp}15\mathrm{ms}`$, after which the potential was kept at its maximum value $`V_0`$ for a holding time $`t_{hold}`$. At the end of the holding time, the lattice was accelerated in $`1\mathrm{ms}`$ to one (lattice) recoil velocity by chirping the frequency difference between the lattice beams. Immediately after that, both the lattice and the magnetic trap were switched off. After a time-of-flight of $`2022\mathrm{ms}`$, the expanded condensate was imaged using a resonant probe flash. Figure 1 shows typical integrated absorption images obtained in this manner for different holding times. For short times, a clean double-peak structure is visible, as expected from the interference between the condensates expanding from the individual lattice wells (with a $`\pi `$ phase difference between them due to the final acceleration). During the first few milliseconds, this pattern evolves into a more complicated structure featuring several additional peaks, and finally washes out completely, resulting in a single Gaussian-shaped lump. In an intermediate regime ($`t_{hold}20100\mathrm{ms}`$), the interference pattern again becomes complex, with multiple peaks. For longer waiting times, the two-peaked structure reappears.

We analyzed our experimental data in two different ways. In the lattice direction, we characterized the interference pattern (integrated perpendicular to the lattice direction) through a visibility $`\xi `$ calculated as

$$\xi =\frac{h_{peak}h_{middle}}{h_{peak}+h_{middle}},$$
(1)
where $`h_{peak}`$ is the mean value of the absorption image at the position of the two peaks, and $`h_{middle}`$ is the value of the absorption image mid-way between the two peaks (averaged over a range of $`1/5`$ of the peak separation). In the direction perpendicular to the optical lattice, we fitted a bimodal Gaussian function to the (longitudinally) integrated absorption profile and extracted from this fit the condensate fraction and the width $`\rho _{perp}`$ of the condensate part.

Figure 2 shows examples of the short-term and long-term behaviour of $`\xi `$. Initially, $`\xi `$ rapidly decreases from a value of $`0.60.9`$ to roughly $`0`$ within $`520\mathrm{ms}`$, depending on the trap frequency $`\overline{\nu }_{trap}`$. Subsequently, $`\xi `$ typically rises again and begins to fluctuate in an apparently random manner for a few tens of milliseconds. Finally, these fluctuations die out and $`\xi `$ stabilizes at a value close to the initial visibility.

The corresponding behaviour of the condensate width $`\rho _{perp}`$ and temperature (calculated from the condensate fraction) is shown in Fig. 3. One clearly sees radial oscillations of $`\rho _{perp}`$ at a frequency $`\nu _{osc}=2\nu _{perp}`$, where $`\nu _{perp}=\sqrt{2}\overline{\nu }_{trap}`$ is the trap frequency perpendicular to the lattice direction. These oscillations are heavily damped with a quality factor $`Q=2\pi \nu _{osc}/\gamma _{damp}1030`$. Simultaneously, the condensate temperature expressed as $`T/T_c`$ (where $`T_c`$ is the critical temperature for the BEC transition) increases and approaches a new steady-state value on a time scale comparable to $`1/\gamma _{damp}`$.

The short-term decrease in $`\xi `$ can be explained using a simple model. We take the Bose-Einstein condensate wavefunction to evolve according the Gross-Pitaevskii equation

$`i\mathrm{}{\displaystyle \frac{}{t}}\psi `$ $`=`$ $`[{\displaystyle \frac{\mathrm{}^2}{2m}}^2+{\displaystyle \frac{1}{2}}m{\displaystyle \underset{j}{}}\omega _j^2x_j^2`$ (3)
$`+V_0(t)\mathrm{sin}^2\left({\displaystyle \frac{\pi z}{d}}\right)+U|\psi |^2]\psi ,`$
where $`x_j=\{x,y,z\}`$ are the spatial coordinates along which the respective trap frequencies are $`\omega _j`$ ($`=2\pi \nu _j`$), $`U=4\pi a\mathrm{}^2/m`$ is the collisional interaction strength with $`a5.4\mathrm{nm}`$ the $`s`$-wave scattering length.

The rate at which the lattice is raised is slow enough that band excitations can be ignored and the condensate density will be reshaped to lie at the potential minima of each lattice site. Because we are interested in the phase properties of the entire condensate, it is convenient to consider a continuous Wannier  or envelope representation  of the wavefunction, where we define the envelope $`f(𝐱,t)`$ to represent the slowly varying amplitude of the Gross-Pitaevskii wavefunction $`\psi (𝐱,t)`$, in which the rapid density variation along the lattice is smoothed out (also see ). The evolution equation for $`f`$ is of a similar form to Eq. (3) except that the lattice potential no longer appears explicitly; the diffusion along $`z`$ is generated by the Bloch dispersion relation reflecting the modified tunneling properties in this direction; and the mean-field term is renormalized as $`U|\psi |^2(1+\stackrel{~}{c})U|f|^2`$ resulting from the compressed condensate density in the lattice. In the tight binding limit the Wannier states are localized and can be approximated by the harmonic oscillator orbital $`w(z)=\mathrm{exp}(z^2/2a_{ho}^2)/\sqrt[4]{\pi a_{ho}^2}`$, where $`a_{ho}=\sqrt{\mathrm{}/m\omega _{lat}}`$ is the oscillator length and $`\omega _{lat}=\pi \sqrt{2V_0/md^2}`$ is the oscillation frequency about the lattice minima. In this limit the renormalized mean-field term is given by $`\stackrel{~}{c}=(d|w(z)|^4𝑑z1)=(\sqrt[4]{mV_0d^2/2\mathrm{}^2}1)`$ , with the validity condition $`aa_{ho}d`$.

To develop an approximate expression for the short time dephasing behavior of the condensate we assume that during the lattice loading and subsequent time over which the dephasing occurs density transport in the condensate is negligible, i.e. the evolution occurs in the phase of the wavefunction. In the lattice direction the tunneling frequency determines the time scale over which this assumption will be valid, which is typically of order $`100\mathrm{ms}`$ in experiments where dephasing is observed. We also find that for a given trap frequency, there always exists a minimum lattice depth below which no dephasing occurs.

Expressing the envelope function in terms of amplitude and phase as $`f=|f|\mathrm{exp}(iS)`$, and neglecting the effects of spatial diffusion, the envelope equation of motion reduces to

$`\mathrm{}{\displaystyle \frac{}{t}}S(𝐱,t)`$ $`=`$ $`{\displaystyle \frac{1}{2}}m{\displaystyle \underset{j}{}}\omega _j^2x_j^2+U(1+\stackrel{~}{c})|f|^2.`$ (4)
Ignoring density transport $`|f|^2`$ can be approximated by the Thomas-Fermi density profile for the condensate in the initial harmonic trap, which is of the form $`|\psi _{\mathrm{TF}}(𝐱)|^2=n_0[1_j(x_j/R_j)^2]`$, where $`n_0`$ is the peak density and $`R_j=\{R_x,R_y,R_z\}`$ are the Thomas-Fermi radii . With this substitution the phase evolves as

$$S(𝐱,t)=\left(\frac{\stackrel{~}{c}n_0Ut}{\mathrm{}}\right)\left(\frac{z}{R_z}\right)^2+S_0(t),$$
(5)
where $`S_0(t)`$ is a spatially constant phase. This result shows that the condensate develops a quadratic phase profile along the lattice arising from the imbalance of meanfield and harmonic trap potential energy in the lattice, and is equivalent to a spread in the quasi momentum distribution of the system.

For a large lattice the quasi momentum distribution of the condensate and the momentum distribution of the envelope function are identical if the momentum distribution lies entirely within the first Brillouin zone. We have calculated the rms-width of the $`z`$-component of momentum $`\sigma _{pz}`$ for a wavefunction of the form $`\psi (𝐱,\beta )=\psi _{\mathrm{TF}}(𝐱)\mathrm{exp}\left(i\beta \left(z/R_z\right)^2\right)`$, where $`\beta `$ is the total phase difference between the center and the outside of edge of the condensate. The results (shown in Fig. 4) indicate that for $`\beta 2`$, the momentum width linearly increases with $`\beta `$ and is well approximated by $`\sigma _{pz}(\beta )0.73\mathrm{}\beta /R_z`$. Identifying $`\beta `$ with the coefficient of the quadratic spatial phase term in Eq. (5), we see that the width of the momentum distribution increases linearly with time.

The condensate will initially appear dephased when the quasi momentum width significantly fills the first Brillouin zone, which has a half width of $`h/2d`$. The exact portion of the Brillouin zone which must be filled depends on the observable used to determine the dephasing and may be taken as a fitting parameter. Here we take $`\sigma _{pz}=h/4d`$ as the requirement for dephasing, which can be inverted using expression (5) to yield the dephasing time

$$\tau _{deph}=\frac{R_zh}{2.9\stackrel{~}{c}dn_0U}.$$
(6)
Figure 5 shows $`\tau _{deph}`$ as a function of $`\nu _{long}`$ (which determines $`R_z`$ and $`n_0`$) together with experimentally measured dephasing times. Equally good agreement with experiment is found when calculating $`\tau _{deph}`$ for the parameters of .

For the intermediate and long-term behaviour of the visibility, the phase-winding model predicts partial and complete revivals of the relative phases, leading to a complicated time-evolution of $`\xi `$. Experimentally, we see a rather erratic behaviour of $`\xi `$ for intermediate times, with the visibility fluctuation between $`00.2`$ and $`0.50.6`$, followed by a stabilization at a high value around $`0.6`$. The fact that this stabilization takes place on the same time-scale as the damping of the radial oscillations and the increase in temperature of the condensate leads us to speculate that all these phenomena are related through a dissipation mechanism whereby the the initial excitations in the longitudinal direction (i.e. reflected in the phase differences between adjacent lattice sites) and in the radial directions lead to a re-thermalization of the system at a higher temperature and hence lower condensate fraction, with the remaining condensate now in the ground state of the combined harmonic and periodic trapping potentials. More detailed theoretical investigations in this direction are planned for the future.

We also note here that the tunneling time between adjacent wells is also comparable to the damping time of the visibility fluctuations for the parameters of our experiment. In order to understand better the importance of the various mechanisms, i.e. damping with a possible coupling between the different modes, and re-phasing due to tunneling, it will be important in future to conduct experiments for a range of different parameter combinations for the trap and the lattice. Also, repeating our experiment in a configuration in which more lattice sites are occupied by the condensate will most likely eliminate the intermediate revivals (which require a large fraction of the sites to be in phase, which is less likely for a large number of sites) and leave only the lower envelope (see Fig. 2) of the visibility evolution. Finally, the role of the finite temperature ($`T0.7T_c`$) at which we start our experiment will have to be investigated more closely.

In summary, we have studied the behaviour of a Bose-Einstein condensate non-adiabatically loaded into a one-dimensional optical lattice. The time-evolution of the collective modes thus excited has been characterized through the visibility of the interference pattern as well as its radial width. Both quantities exhibit large initial variations that are strongly damped on a time-scale comparable to the relaxation time of the condensate temperature.

This work was supported by the MURST (PRIN2000 Initiative), the INFM (Progetto di Ricerca Avanzata ‘Photonmatter’), and by the EU through the Cold Quantum Gases Network, Contract No. HPRN-CT-2000-00125. P.B.B., C.J.W., and P.S.J. acknowledge support from the U.S. Office of Naval Research. O.M. gratefully acknowledges financial support from the EU within the IHP Programme.


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# LOW 𝑥 PHYSICS AT HERA

## 1 Introduction

HERA remains a unique facility, the only $`e^\pm p`$ collider. With $`27.5`$GeV $`e^\pm `$ beams on $`920`$GeV protons the centre of mass energy is $`318`$GeV which also gives the upper bound on momentum transfer and thus the scale to which proton structure can be probed. Apart from extending the study of deep inelastic scattering and partonic physics, HERA also allows $`\gamma ^{}p`$ interactions to be study over a wide range of photon virtuality down to almost real photons. It provides a laboratory in which the high energy behaviour of cross-sections may be studied as a function of the transverse size of the projectile. This is the realm of ‘low $`x`$’ physics. This brief survey covers: data from H1 and ZEUS on inclusive and diffractive processes: their analysis using perturbative QCD and other models, particularly colour diople models; the evidence or otherwise for universality and gluon saturation at low $`x`$.

## 2 Formalism and phase space

Inclusive electron–proton scattering at HERA $`epeX`$ is shown in Fig. 1 – LH. At a fixed centre of mass energy, $`\sqrt{s}`$, where $`s=(k+p)^2`$) the process is described by two kinematic variables, $`Q^2`$, the four-momentum transfer squared and Bjorken $`x`$ where

$$Q^2=q^2=(kk^{})^2:x=Q^2/(2p.q).$$
(1)
The inelasticity, $`y=(p.q)/(p.k)`$, the fractional energy loss of the electron in the proton rest frame, is related to $`x`$ and $`Q^2`$ by $`Q^2=sxy`$. The primary measured quantity is the double differential cross-section which, for $`Q^2<<M_Z^2`$, may be written in terms of two structure functions

$$\frac{d^2\sigma }{dxdQ^2}=\frac{2\pi \alpha ^2}{xQ^4}\left[(1+(1y)^2)F_2(x,Q^2)y^2F_L(x,Q^2)\right].$$
(2)
The contribution from $`y^2F_L`$, the longitudinal structure function, is small and will be ignored in most of what follows. The inclusive scattering process may also be considered in terms of the total cross-section for $`\gamma ^{}p`$ scattering. At small $`x`$

$$\sigma _{\gamma ^{}p}^{tot}(W^2,Q^2)=\frac{4\pi ^2\alpha }{Q^2}F_2(x,Q^2),\mathrm{and}W^2Q^2/x,$$
(3)
where $`W^2=(p+q)^2`$ is the centre of mass energy squared of $`\gamma ^{}p`$ system. So the structure function at small $`x`$ gives $`\sigma _{\gamma ^{}p}^{tot}`$ at high CM energies.

The $`x,Q^2`$ region in which inclusive measurements have been made is shown in Fig. 1 – RH. The strong correlation between $`x`$ and $`Q^2`$

follows from the constraint $`Q^2=sxy`$ and the kinematic limit at HERA is given by the line $`y=1`$. Fixed target measurements are in the lower right-hand quadrant of the plot. The region of interest for this talk is roughly $`x<0.01`$, and $`Q^2<250`$GeV2.

## 3 Contexts

The study of deep inelastic lepton scattering (DIS) and the development of QCD have been intimately related and this continues in the low $`x`$ region opened up by HERA.111Much more detail and references to original papers may be found in review article of ref. . The success of pQCD for hard processes relies on factorisation theorems which, in the case of DIS, enables the structure function $`F_2`$ to be written in the form

$$F_2(x,Q^2)=\underset{f}{}e_f^2xq_f(x,Q^2),\mathrm{with}\frac{q_i(x,Q^2)}{\mathrm{ln}Q^2}\underset{j}{}q_jP_{ij},$$
(4)
where $`q_f`$ is the momentum density function for quark of flavour $`f`$ and charge $`e_f`$, $`P_{ij}`$ are the QCD splitting functions and the sums run over $`q`$ and $`\overline{q}`$. At low $`x`$ $`F_2`$ is largely given by the flavour singlet $`q\overline{q}`$ sea contribution and the evolution of this term is coupled to that of the gluon. The behaviour of both is dominated by the singular behaviour of the gluon splitting function $`P_{gg}1/x`$, giving rise to an increase in the gluon density, the $`q\overline{q}`$ sea and hence $`F_2`$ at low $`x`$.

The DGLAP equations (Eq. 4), which have been calculated to next-to-leading order (NLO) in $`\alpha _S`$ and partially to next-to-next-to-leading (NNLO), represent a particular, physically motivated, choice of how higher order corrections are summed. The most general behaviour of the splitting functions may be represented by double sum over terms of the form $`(\mathrm{ln}Q^2)^n(\mathrm{ln}1/x)^m`$ and there are other possible choices of summation that may be relevant at low $`x`$. One of earliest results of pQCD as applied to DIS was derived by taking the leading log terms in both $`Q^2`$ and $`1/x`$, giving

$$F_2(x,Q^2)\mathrm{exp}\sqrt{(12\alpha _s/\pi )\mathrm{ln}(1/x)\mathrm{ln}(Q^2/Q_0^2)}.$$
(5)
Another approach, taken by Balitsky et al (BFKL), involves summing the $`\mathrm{ln}(1/x)`$ terms and gives the striking prediction that $`F_2x^\lambda `$, where $`\lambda 0.5`$ at leading order and fixed $`\alpha _S`$. For running $`\alpha _S`$ and NLO, the corrections to this result are large and are still subject to much debate. Despite the uncertainty surrounding the exact prediction, the BFKL approach has been of seminal importance in low $`x`$ QCD dynamics. The DGLAP and BFKL approaches represent two ‘extreme’ choices in how the transverse momenta of the radiated gluons are ordered. All calculations agree that gluon dynamics dominates at low $`x`$ and that the gluon density will increase as $`x`$ decreases. At some point the gluon density will be so large that non-linear gluon recombination effects will need to be taken into account. A simple estimate suggests that such effects may occur for $`Q^2`$ values for which the gluon-gluon cross-section times the gluon density is of order the proton size:

$$\frac{\alpha _S(Q^2)}{Q^2}xg(x,Q^2)\pi R^2,$$
(6)
where $`R`$ is the proton radius and $`xg`$ the gluon density, thus slowing the rise of $`F_2`$.

Hadronic total cross-sections involve soft physics which cannot be calculated perturbatively. Regge theory provides a framework for describing the high energy behaviour of total cross-sections. One expects $`\sigma _{hadrons}^{tot}AW^{2(\alpha _P(0)1)}`$, where $`A`$ is a process dependent constant and $`\alpha _P(0)`$, the intercept of the ‘Pomeron trajectory’222In principle $`\alpha _P`$ is determined by the exchange of states with vacuum quantum numbers in the crossed channel., is process independent. Although the value of $`\alpha _P(0)`$ is not given, the model has been successfully applied to a wide range of hadron-hadron and real photoproduction data, giving a fitted value of $`1.093(2)`$ . If these ideas also apply to $`\gamma ^{}p`$ scattering, using Eq. 3, one might expect $`F_2x^{1\alpha _P(0)}`$ at small $`x`$. Using the hadronic value of $`\alpha _P(0)`$ predicts a rather gradual rise $`F_2x^{0.09}`$, with the exponent independent of $`Q^2`$. The BFKL calculation may be viewed as an attempt to calculate $`\alpha _P(0)`$ perturbatively. Quasi-elastic scattering processes, such as diffraction, should also be dominated by the exchange of vacuum quantum numbers and the Pomeron, which is why they are important in unravelling the secrets of low $`x`$ dynamics.

## 4 $`F_2`$ at low $`x`$

Fig. 2 shows $`F_2`$ data from H1, ZEUS and the NMC fixed target experiments, plotted as a function of $`x`$ in bins of $`Q^2`$. The RH plot, for $`Q^2=15`$GeV2 well into the deep inelastic range, shows $`F_2`$ rising steeply as $`x`$ decreases. The LH plots show bins with $`Q^2`$ decreasing from $`3.5`$ to $`0.35`$GeV2. Here the rise is still evident at the larger $`Q^2`$ values, but diminishes rapidly as $`Q^2`$ decreases below $`1`$GeV2. From Eq. 3 the rapid rise of $`F_2`$ at small $`x`$ implies that $`\sigma _{\gamma ^{}p}^{tot}(W^2,Q^2)`$ increases more rapidly with $`W^2`$ as $`Q^2`$ increases, which is not expected in the hadronic Regge framework.

H1 have made a model independent study of the rise of $`F_2`$ . Using data with $`x<0.01`$, the logarithmic slope with respect to $`\mathrm{ln}x`$ is calculated using

$$\lambda (Q^2)=\frac{\mathrm{ln}F_2}{\mathrm{ln}x}|_{Q^2},\mathrm{or}F_2(x,Q^2)=c(Q^2)x^{\lambda (Q^2)}.$$
(7)
The data from HERA are now sufficiently extensive and precise for $`\lambda `$ to be measured in bins of $`Q^2`$ over a range of $`x`$ values. At fixed $`Q^2`$, $`\lambda `$ is found to be independent of $`x`$ for $`x<0.01`$. Fig. 3 shows $`\lambda `$ and $`c`$ as functions of $`Q^2`$ where the errors have been calculated using the full systematic and statistical errors of the $`F_2`$ data including correlations. At low values of $`Q^2<1`$GeV2, the value of $`\lambda `$ is not far above the value expected from the hadronic Regge parameterisation, whereas at larger values of $`Q^2`$, $`\lambda `$ rises almost linearly with $`\mathrm{ln}Q^2`$ to a value around $`0.3`$ at $`Q^2100`$GeV2. The results for $`c(Q^2)`$ are roughly independent of $`Q^2`$ with a value of about $`0.18`$. The data show no indication that the rate of rise is starting to moderate at larger $`Q^2`$, as might be expected from gluon saturation. Similar results for the logarithmic slope have been found in a preliminary analysis of ZEUS data .

Although the results from the $`\lambda `$ analysis support the hypothesis of gluon dominance at low $`x`$, it is not possible from this study alone to say which of the pQCD approaches fits best. More information may be gained by applying the models discussed in Sec. 3 to the $`F_2`$ data over the full range of HERA and fixed target measurements. The most detailed fits are those using NLO DGLAP to determine the nucleon parton momentum densities. More details are given in the talk by Milstead , but the quality of the fits may be judged from Fig. 2 which shows that NLO DGLAP can describe $`F_2`$ for $`Q^2`$ values larger than $`1.52`$GeV2 and all $`x`$ values. For other pQCD approaches, fits to the low $`x`$ $`F_2`$ data of comparable quality are obtained but the predictions for other observables, for example $`F_L`$, differ quite considerably. Although $`F_L`$ has been extracted in the HERA kinematic region , the data do not yet have the precision to distinguish between the models.

## 5 Universality at low $`x`$?

The $`F_2`$ data show gluon and $`q\overline{q}`$ sea dominance at low $`x`$. As the influence of the valence quarks is also small, the possibility arises that this behaviour could, in some sense, be ‘universal’. To test this idea the structure function of another hadron must be extracted. Both ZEUS and H1 have

published data on the process $`epenX`$ (). The neutron emerges at a very small angle with respect to the proton beam direction and is measured in a dedicated neutron counter at a distance of the order of $`100`$m downstream from the main detectors. Knowing the energy and angle of the neutron allows the momentum transfer squared at the $`pn`$ vertex, $`t`$, to be calculated. At very small values of $`t`$, the process is dominated by charged pion exchange as shown in the LH diagram of Fig. 4. In this region of phase space the cross-section for $`\gamma ^{}pnX`$ may be written as a convolution of the flux of pions in the proton $`f_{\pi /p}`$ with the pion structure function $`F_2^\pi `$. The largest uncertainty in the measurement of $`F_2^\pi `$ is the pion flux. Current models differ by up to a factor of two, but this does not affect the $`x`$ dependence which is shown in the RH plots of Fig. 4 \- in this case $`f_{\pi /p}`$ has been estimated using the additive quark model. The data show very clearly that $`F_2^\pi `$ rises strongly for $`x`$ values below 0.01. Thus at a qualitative level the data support the idea of a universal behaviour at small $`x`$.

## 6 Diffraction

The diffractive process $`epepX`$ is shown in Fig. 5, together with the additional variables needed to describe it beyond $`x`$, $`Q^2`$ and $`W^2`$ already defined: $`x_P1p_z^{}/p_z`$, the fractional longitudinal momentum loss of the proton; $`M_X`$ the invariant mass of the diffractive final state at the $`\gamma ^{}`$ vertex; $`\beta =Q^2/(2q.(pp^{}))`$ is the equivalent of Bjorken $`x`$ in the fully inclusive case. Here the focus is on the $`W^2`$ and $`Q^2`$ dependence of two classes of diffractive processes: vector meson production for which $`M_X=M_V`$; inclusive diffraction with $`M_X>3`$GeV. Diffractive events are identified either by direct measurement of the scattered proton using a ‘leading proton spectrometer’ placed very close to the beam line at a large distance from the primary interaction or by the presence of a large rapidity gap in the main detector between the proton direction and the first energy deposits from the particles making up the $`M_X`$ system. As already mentioned, diffraction is a quasi-elastic process and in many models the underlying physics is closely related to that of the elastic process. In particular in the Regge approach, the high energy behaviour of the total diffractive cross-sections should be controlled by Pomeron exchange.

### 6.1 Vector Mesons

First consider the data shown in the LH plot of Fig. 6, $`\sigma _{tot}(\gamma pVp)`$ for real photoproduction of vector mesons and $`\sigma _{tot}(\gamma pX)`$ and for $`W>10`$GeV the data are fit to a power law dependence $`\sigma W^\delta `$. For the light vector mesons ($`\rho ^0,\omega ,\varphi `$) $`\delta 0.22`$, not inconsistent with the value expected from Regge theory. For $`\gamma pJ/\psi p`$ the energy dependence is much steeper, giving $`\delta 0.8`$. The RH plot shows

$`\delta `$ from the energy dependence of $`\gamma ^{}p\rho ^0p`$ in fixed $`Q^2`$ bins from 0 to $`27`$GeV2. Although the errors are large, there is a clear tendency for the energy dependence to steepen as $`Q^2`$ increases. In both cases the trend is clear, when there is a hard scale present, either a large $`M_V`$ or a large $`Q^2`$, then the cross-section rises more quickly with energy than expected from soft hadronic physics.

### 6.2 Inclusive Diffraction

Fig. 7 – LH shows a ZEUS measurement of the ratio of the diffractive cross-section to the total $`\gamma ^{}p`$ cross-section for two values of $`M_X`$ and 8 values of $`Q^2`$ between $`0.27`$ and $`60`$GeV2 as a function of $`W`$ . Assuming Pomeron dominance, Regge theory predicts that the energy dependence of the ratio is given by $`(W^2)^{2\overline{\alpha }_P\alpha _P(0)1}`$ where $`\overline{\alpha }_P`$ is the value of the Pomeron trajectory evaluated at the mean $`t`$ of the diffractive data, for the hadronic Pomeron this gives an expectation of $`W^{0.19}`$. Fitting the ratio data at fixed $`M_X`$ and $`Q^2`$ to a form $`W^\delta `$ gives the results $`\delta =0.24\pm 0.07`$ for data with $`Q^2<1`$GeV2 and $`\delta =0.00\pm 0.03`$ for data with $`Q^2>1`$GeV2. Thus, once again, at $`Q^2`$ close to zero the data follows the expectation derived from soft hadronic physics, whereas in the deep inelastic region this is not the case and the diffractive cross-section (at fixed $`M_X`$ and $`Q^2`$) follows the energy dependence of $`\sigma _{\gamma ^{}p}^{tot}`$.

## 7 Colour Dipole Models

Many models have been proposed to describe the transition from the soft hadronic-like energy dependence at $`Q^20`$ to the harder behaviour seen at larger $`Q^2`$. A particularly appealing approach is that offered by colour dipole models. In the rest frame of the proton the virtual photon splits into a $`q\overline{q}`$ pair a long time (or equivalently a large distance) before the interaction. The $`q\overline{q}`$ pair, characterised by a transverse size $`r`$ and sharing the longitudinal momentum of the proton in the ratio $`(1z):z`$, then interacts with the proton with the cross-section $`\sigma _{qq}(x,r)`$ giving

$$\sigma _{\gamma ^{}p}^{tot}(W^2,Q^2)=d^2𝐫𝑑z\mathrm{\Psi }_\gamma ^{}^{}(𝐫,z,Q^2)\sigma _{qq}(x,r)\mathrm{\Psi }_\gamma ^{}(𝐫,z,Q^2),$$
(8)
where $`\mathrm{\Psi }_\gamma ^{}`$ is the known wave function for $`\gamma ^{}q\overline{q}`$. The dipole cross-section has to be modelled

and a number of formulations have been proposed (see  and references therein). Here the version of Golec-Biernat & Wüsthoff (GBW)  is followed, partly for its simplicity, but also because it builds in the constraint of saturation. In their approach, the dipole cross-section is given by

$$\sigma _{qq}(x,r)=\sigma _0\left[1\mathrm{exp}(r^2/4R_0^2(x))\right],R_0(x)=(x/x_0)^{\lambda /2},$$
(9)
where $`\sigma _0,x_0,\lambda `$ are three parameters to be determined from data. The interesting features of Eq. 9 are: for small dipole sizes $`r<<R_0,\sigma _{qq}r^2x^\lambda `$; for large dipoles $`r>>R_0,\sigma _{qq}\sigma _0`$ and that the parameter $`R_0`$ setting the scale depends on $`x`$. This last feature means that the approach to the ‘saturation limit’ occurs for smaller dipole sizes as $`x`$ decreases. The parameters of the model are fixed by fitting the HERA low $`x`$ $`F_2`$ data. Another very compelling feature of the dipole approach is that diffraction may also be described. The diffractive cross-section is given by

$$\frac{d\sigma _{\gamma ^{}p}^{Diffr.}}{dt}|_{t=0}=\frac{1}{16\pi }d^2𝐫𝑑z|\mathrm{\Psi }(𝐫,z)|^2\sigma _{qq}^2(x,r).$$
(10)
Thus no new parameters are required beyond those needed to describe the total $`\gamma ^{}p`$ cross-section. The successes of this simple model are a reasonable fit to the low $`x`$ and low $`Q^2`$ (including the transition to the non pQCD region - see Fig. 7-RH) and the energy independence of the ratio $`\sigma _{\gamma ^{}p}^{Diffr.}/\sigma _{\gamma ^{}p}^{tot}`$ . An obvious deficiency of the model is that it does not contain any mechanism for pQCD $`Q^2`$ evolution of the structure function. An attempt to remedy this has been made by Bartels et al. , the dipole cross-section for small $`r`$ is modified and related to the gluon density by

$$\sigma _{qq}(r,x)\frac{\pi ^2}{3}r^2\alpha _Sxg(x,\mu ^2),$$
(11)
where the scale $`\mu ^2C/r^2`$ and $`C`$ is a parameter. The modified model now has 5 parameters to be determined by the $`F_2`$ data. The fit to the higher $`Q^2`$ data is improved and $`\lambda (Q^2)`$ (Eq. 7) is well described for all $`Q^2`$, whereas for the non-evolving model $`\lambda `$ falls below the slope data for $`Q^2>10`$GeV2. The success of the GBW dipole model cannot be taken to imply that saturation is required by the HERA data as other models without saturation, e.g. the dipole model of Forshaw et al. , give as good a representation of the data.

## 8 Summary

HERA has provided high precision data on the proton structure function $`F_2`$ over a wide range of $`x`$ and $`Q^2`$. In the low $`x`$ region the bulk of the data is now systematics limit (typical uncertainties $`2`$%). HERA has also provided a wide range of measurements on hard diffractive scattering and quasi-elastic vector meson production. The striking feature of $`F_2`$ at low $`x`$ – the strong rise – is mirrored in diffractive processes when there is a hard scale. The first measurement of the pion structure function at low $`x`$ shows that it too rises strongly as $`x`$ decreases, which hints at universality in low $`x`$ dynamics. The behaviour of low $`x`$ $`F_2`$, or equivalently high energy $`\sigma _{\gamma ^{}p}^{tot}`$, is dominated by gluon dynamics. Although some of the important calculations were completed well before HERA started operations, there is no doubt that HERA has opened up new avenues in strong interaction physics. Particularly the determination of the gluon density at low $`x`$, the refinement of high density perturbative gluon dynamics and the deepening of the relationship between diffractive scattering and the physics underlying the rise of total cross-sections with energy. The HERA measurements and the related theoretical developments provide essential input for Run II at the Tevatron, RHIC333See the contribution by Steinberg . and the LHC.

## 9 Acknowledgements

Thanks to my colleagues in ZEUS, H1 and the HERA ‘low $`x`$ club’ for providing real and virtual help in the preparation of this talk.

## 10 References


text:
# On the Normal state electronic properties of Layered 𝑆𝑟₂𝑅𝑢𝑂₄.

\[

## Abstract

Based on a comprehensive perusal of experimental results, we construct a microscopic model describing the normal state of layered $`4d`$ oxide $`Sr_2RuO_4`$ incorporating relevant quantum chemical features of the material. The high-$`T`$ anomalies are explained within a Luttinger liquid (LL) picture. Interlayer one-particle hopping drives a dimensional crossover to a correlated Fermi liquid below a scale $`E^{}<<t_{}`$. Using recently developed chain-dynamical mean field theory, the low value of $`E^{}`$, as well as various puzzling features of the low-$`T`$ normal state are explained as manifestations of the crossover from the high-$`T`$ Luttinger liquid state in a consistent way.

\]

Ruthenates constitute a class of $`4d`$ transition metal (TM) oxides existing in cubic as well as layered forms, and show a range of properties, from a ferromagnetic bad metal with a non-Fermi-liquid response (in $`SrRuO_3`$), via unconventional superconductivity (SC) in layered $`Sr_2RuO_4`$, to metamagnetic (quantum criticality?) in $`Sr_3Ru_2O_7`$  . These findings have led to intense activity to understand correlation effects in $`4d`$ TM oxides, in particular, the unconventional SC of $`Sr_2RuO_4`$ .

$`Sr_2RuO_4`$ with $`Ru`$ in a $`4d^4`$ state and a SC transition at $`T_c1.5K`$ , is isostructural to pure $`La_2CuO_4`$, however, without buckling of $`RuO_2`$ planes. The crystal field breaks the first Hund’s rule, resulting in spin $`S=1`$ at each $`Ru`$ site. The tetragonal BCT structure seems to remain undistorted to the lowest $`T`$ (the $`RuO_6`$ octahedra are elongated, leading to a lifting of the three-fold $`t_{2g}`$ degeneracy). On structural and chemical grounds, one infers three electronically active bands: one ($`d_{xy}`$) two-dimensional band and two ($`d_{yz,zx}`$) 1D bands. These are indeed seen in band structure calculations , which give a Fermi surface seemingly in agreement with dHvA results . Further, based upon early ideas , these calculations attempted to search for proximity to a ferromagnetic instability. Instead, proximity to incommensurate magnetic order (due to the almost nesting character of the 1D ($`d_{yz,zx}`$) bands was found, in nice agreement with recent inelastic neutron scattering (INS) results .

The agreement between LDA calculations and experiment stops as soon as finite energy/temperature responses are probed. At low-$`T`$ (i.e $`T_c<T<T^{}=30K`$), the system shows all the characteristics of a correlated Fermi liquid (FL) . The $`\gamma `$-coefficient of the low-$`T`$ electronic specific heat yields a fourfold enhancement of the effective mass over the LDA prediction. Integrated photoemission spectra at low-$`T`$ are quite different from the LDA results, but are well reproduced by inclusion of a dynamical correction (to second order) to the one-particle self-energy. The dc resistivity  shows anisotropic FL form, with a low residual value just above $`T_c`$. Careful perusal shows, however, that the ratio of ”Woods-Saxon ratios” (along $`c`$ and $`ab`$ directions), $`(A_c/\gamma ^2):(A_{ab}/\gamma ^2)1000`$, a value too large to be related to a ratio of Fermi surface areas, indicating subtle influence of correlation effects also at lower $`T`$. Optical measurements  give more evidence for anisotropic, correlated FL behavior at low-$`T`$.

Very interesting and unusual changes occur as $`T`$ is raised above a characteristic scale $`T^{}30`$K. A smooth crossover to a non-FL metallic state (which shares many similarities with the non-FL normal state of underdoped HTC cuprates) is clearly revealed by experiment. The anisotropic dc resistivity shows the first sign of this change: $`\rho _{ab}(T)A+BT`$ for $`T^{}<T<900`$K, while $`\rho _c(T)C_1+C_2T`$ for $`T^{}<T<120`$K, with a crossover to an insulator-like form for $`T>120`$. Clearly, the system falls into the ”bad metal” class inspite of its low resistivity near $`T_c`$. Interesting facts are revealed by optical studies , where an extended ”Drude” fit was used to analyze the low-energy response. Both the $`c`$-axis scattering rate and effective mass were found to have strong $`\omega ,T`$ dependences. While $`\tau _c^1(\omega )a+b\omega `$, the effective mass $`m_c^{}(\omega )`$ has a near-logarithmic dependence for $`T>T^{}`$. Below 30K, $`m_c^{}`$ increases to 40 times its band value at small energies, while $`\tau _c^1(\omega )a^{}+b^{}\omega ^2`$. However, the corresponding inplane $`\tau _{ab}^1(\omega )`$ and $`m_{ab}^{}(\omega )`$ are weakly $`\omega `$-dependent, pointing to a direct correlation of the change of the electronic state with the change in $`c`$-axis dynamics.

Most interesting is the information obtained from recent INS studies , where a detailed analysis of the spin dynamics was carried out. At low-$`T`$, the magnetic fluctuations are found to be dominated by incommensurate peaks related to the Fermi surface nesting of the two quasi-1D bands. A pronounced softening in the spectrum near $`𝐐_𝐢=(0.34,0.34,0)`$ occurs upon cooling. Additionally, near $`𝐐_𝐢`$ and for $`T>T^{}=30`$K, $`\chi ^\mathrm{"}(𝐪,\omega )`$ shows the so-called $`\omega /T`$-scaling: $`\chi ^\mathrm{"}(𝐪,\omega )\omega ^\gamma f(\omega /T)`$ with $`\gamma =0.75`$ and $`f(x)x`$ as $`x0`$, reminiscent of similar behavior observed in certain rare-earth based heavy fermion compounds near their quantum critical points, but there essentially over the full Brillouin zone . Hence the anomalous $`\omega /T`$ scaling found only near $`𝐪=𝐐_𝐢`$ in $`Sr_2RuO_4`$ must be ascribed to the proximity to the incommensurate AF instability involving the almost nested 1D bands. At low-$`T`$, however, a conventional Lorentzian form is adequate. Finally, the NMR relaxation rate shows a noticeable $`T`$ dependence above $`60`$K, with Korringa like behavior at lower $`T`$ along with a sizable anisotropy ($`3`$), implying an easy-axis spin anisotropy . Thus these results, taken together with  , reveal a smooth crossover from an anomalous high-$`T`$ bad-metallic to a low-$`T`$ anisotropic, renormalized FL state across $`T^{}`$.

In this letter, we provide a unified understanding of these high-$`T`$ anomalous features along with a description of the crossover to a FL using a material specific starting model. In particular, we show how specific quantum chemical features along with ubiquitous strong correlations are necessary ingredients for a unified understanding of the normal state. This is important because a detailed understanding of the nature of the normal state is crucial to pinpoint the ”glue” that drives superconductive pairing.

Werner  has recently discussed the normal state physics of $`Sr_2RuO_4`$ from a similar starting point. Nevertheless, in what follows, we provide a very different theoretical modelling of the normal state that ties together all the above experimental results within a single approach.

To start, we notice that in $`Sr_2RuO_4`$, electron hopping involves Ru-$`4d`$-O-$`2p`$ hybridization, which has a peculiar structure because of geometrical constraints imposed by lattice structure and $`t_{2g}`$ orbital orientation. Considering an isolated $`RuO_2`$ plane to start with, it is easy to show  that the $`4d_{xy}2p_{x,y}`$ hybridization leads to a 2D band, and the $`4d_{yz,zx}2p_{x,y}`$ hybridization leads to two 1D bands, as found in LDA studies. In the undistorted, BCT structure, and without direct $`OO`$ hopping, these three form mutually non-hybridizing bands. Small corrections arise from direct $`OO`$ hopping: we do not consider them to begin with. This leads to an important conclusion: there is no interband mixing at one-particle level.

Local coulomb interactions, like the interorbital coulomb interaction $`U_{\mu ,\mu ^{}}^{\sigma \sigma ^{}}`$ as well as the Hund’s rule coupling $`J_H`$ do lead to interband scattering processes. Finally, in $`Sr_2RuO_4`$, the spin-orbit ($`so`$) coupling is important, as shown by the magnetic anisotropy . This lifts the d-$`yz,zx`$ orbital degeneracy and leads to a small mixing of the $`t_{2g}`$ orbitals. So in the situation where the $`so`$ coupling (small interband one-particle hybridization) is irrelevant, the 1D correlations will dominate the physical response.

Strictly speaking, one should also consider the 2D-$`d_{xy}`$ band in the analysis, but, since the singular effects of interactions are much stronger in 1D than in 2D (especially at fillings far away from commensurability), we do not consider the $`d_{xy}`$ band at this point. However, it will become important once the dimensional crossover (see below) occurs at lower $`T`$.

Additional perturbations like interlayer one-particle hopping will lead to a dimensional crossover, restoring correlated FL behavior. We will consider these effects later below. The Hamiltonian describing an isolated $`RuO_2`$ plane is thus written as ,

$$H=\underset{<ij>,\mu ,\mu ^{},\sigma }{}t_{\mu \mu ^{}}(c_{i\mu \sigma }^{}c_{j\mu ^{}\sigma }+h.c)+H_{int}$$
(1)
where

$$H_{int}=\underset{i\mu \mu ^{}\sigma \sigma ^{}}{}U_{\mu \mu ^{}}^{\sigma \sigma ^{}}n_{i\mu \sigma }n_{i\mu ^{}\sigma ^{}}\underset{i,\mu ,\mu ^{}}{}𝐒_{𝐢\mu }(J_H𝐒_{𝐢\mu ^{}}\lambda 𝐋_{𝐢\mu }).$$
(2)
where $`\mu ,\mu ^{}`$ represent the $`t_{2g}`$ orbitals $`xy,yz,zx`$, with $`U_{\mu \mu ^{}}^{\sigma \sigma ^{}}=U\delta _{\mu \mu ^{}}+(1\delta _{\mu \mu ^{}})[U_1\delta _{\sigma \sigma ^{}}+U_2\delta _{\sigma ,\sigma ^{}}]`$ and the corresponding hopping parameters are taken from tight-binding fits to LDA results  , but $`U,U_{\mu ,\mu ^{}}^{\sigma \sigma ^{}},J_H`$ and $`\lambda `$ must be regarded as parameters obtained by fitting to high-energy spectroscopic and magnetic data.

The bandstructure described above is modified in the presence of spin-orbit coupling. Indeed, the $`so`$ term couples states with different $`S_z`$. Making a unitary transformation to new operators which create (destroy) holes in the renormalized ground state containing contributions from the excited states of the original model via $`so`$ matrix elements, the hopping becomes spin-dependent, parametrized by: $`t_{\mu \mu ^{}}^{\sigma \sigma }=t,t_{\mu \mu ^{}}^{\sigma \sigma }=t\eta `$, where $`\eta `$ is treated as a parameter to fit the available magnetic data. The hopping part now reads,

$$H_0=\underset{<ij>,\mu ,\mu ^{},\sigma \sigma ^{}}{}t_{\mu \mu ^{}}^{\sigma \sigma ^{}}(C_{i\mu \sigma }^{}C_{j\mu ^{}\sigma ^{}}+h.c)$$
(3)
where $`C_{i\sigma }=_\sigma ^{}V_{\sigma \sigma ^{}}c_{i\sigma ^{}}`$, with $`V_{\sigma \sigma ^{}}`$ a 2x2 unitary matrix. This rotation in spin space also produces new (four fermion) interaction terms in $`H_{int}`$ above. However, these do not modify the special features of the hybridization, and so leave the low energy physics qualitatively unaffected. They should, however, be included in a strictly rigorous formulation.

From the above discussion, the dominant physical effects arise from the two 1D ($`d_{zx,yx}`$) bands, which are coupled to the 2D $`d_{xy}`$ band by $`U_{\mu ,\mu ^{}}^{\sigma \sigma ^{}},J_H`$. From the structure of the hopping matrix, the d-$`xy,yz,xz`$ electrons do not hybridize with each other but interact via $`U_{\mu ,\mu ^{}}^{\sigma \sigma ^{}},J_H`$, giving rise to additional strong scattering processes at low energy. This is an additional factor playing an important role in our description of the normal state.

Finally, to describe the 1D-3D crossover (which we will do later), we notice that the dominant coupling between the $`RuO_2`$ layers occurs via a one-particle tunnelling matrix element, $`t_{}`$ between the 1D bands, since the $`d_{xy}`$ orbitals have negligible overlap between neighboring layers. We mimic  the effect of finite $`J_H`$ by setting $`U_{\mu \mu ^{}}^{\sigma ,\sigma }=U_1>U_2=U_{\mu \mu ^{}}^{\sigma \sigma }`$.

To bosonize the model represented by Eqs.(2-3), we notice that each of the (non-degenerate in presence of $`so`$ coupling) 1D ($`d_{yz}`$ for e.g.) bands with (equi-orbital) 1D hopping and $`U`$ is modelled by a LL Hamiltonian with average band filling $`n=2/3`$. This means that the 1D charge correlations can be modelled by a gaussian model for the charge bosonic field $`\varphi _\rho (x)`$, since umklapp scattering is inoperative away from half-filling, and backscattering renormalizes to zero  for repulsive interactions. In addition, the inter-orbital interaction term $`U_1n_{id}^{yz}n_{id}^{zx}`$ acts like a strong scattering potential for the $`yz`$ band carriers in the limit where the interband hybridization $`t_{yz,zx}`$ is effectively zero (a similar term comes from $`U_1n_{id}^{xy}n_{id}^{zx}`$). There is an analogous effect coming from $`U_2`$. So in addition to the 1D LL physics in each of the $`yz,zx`$ channels, one has to treat the infra-red singular effects (in 1D) arising from $`U_1`$ and $`U_2`$ .

In the 1D case, spin-charge separation allows us to write down separate bosonized Hamiltonians for spin and charge collective modes. In our case relevant to $`Sr_2RuO_4`$, the final bosonized model for the $`zx`$ band reads,

$$H_c^{(0)}=𝑑x[K_\rho \mathrm{\Pi }_\rho ^2+K_\rho ^1(_x\varphi _\rho (x))^2]$$
(4)
with $`H_{xre}=(U_1/(\pi a)^2)𝑑xn_d^{yz}_x\varphi _\rho (x)`$ from the inter-orbital interaction as described above. For the $`yz`$ band, the same holds true with $`xy`$. These equations describing the 1D charge correlations are precisely those of ”shifted” collective charge-density oscillations, and leave the LL behavior unchanged. They do, however, lead to an important rescaling of the Fermi-edge singularity (FES) exponent observed in knockout experiments with hard X-rays .

From the spin-dependent hopping above, one infers that the magnetic correlations are described by an effective anisotropic spin chain:

$$H_s=\underset{<ij>}{}[J_zS_i^zS_j^z+(J_{xy}S_i^+S_j^{}+J_{}S_i^+S_j^++h.c)]$$
(5)
with $`J_z=4t^2(1+\eta )^2/U,J_{xy}=4t^2(1\eta ^2)/U`$ and $`J_{}=4t^2\eta ^2/U`$ where the anisotropy parameter, $`\mathrm{\Delta }=(J_{xy}/J_z)=(1\eta )/(1+\eta )`$. The bosonized version of this model has the two-cosine structure of the XYZ model:

$$H_s=H_s^{(0)}[\frac{m}{a\pi }cos(\beta _s\mathrm{\Phi }_s)\frac{m^{}}{a\pi }cos(\beta _s^{}\mathrm{\Theta }_s)]𝑑x.$$
(6)
where

$$H_s^{(0)}=\frac{u_s}{2}dx[(\mathrm{\Pi }_s^2(x)+(_x\varphi _s)^2)$$
(7)
This has a duality property : when $`J_z>|J_{xy}||J_{}|`$, $`J_{xy}`$ scales down to zero, while $`J_z,J_{}\mathrm{}`$. The dual field $`\mathrm{\Theta }_s`$ gets ordered, leading to dominant $`SDW^{xy}`$ correlations. When $`J_z<|J_{xy}||J_{}|`$ (which for our case means $`2/3<\eta <0`$) $`J_{}`$ scales to irrelevance, and the resulting picture is qualitatively the same as for the XXZ model, and $`SDW^z`$ correlations are dominant. In our case, we estimate $`K_\sigma =0.87`$. In this regime, the SDW correlation function will be determined byboth $`K_\sigma `$ and the gapless charge sector, i.e., by $`K_\rho `$.

The spin correlation function is evaluated as a statistical average over phase variables  , giving $`\chi _s^{zz}(x)=<𝐒(x)𝐒(0)>\frac{cos(Q_ix)}{x^{K_\sigma ^1+K_\rho }}`$ for the equal-time part. At finite $`T`$, and near $`𝐪=𝐐_i`$, one obtains $`\chi ^{zz}(Q_i,T)T^{K_\sigma ^1+K_\rho }`$. The transverse dynamical spin susceptibility is given by

$$\chi _{}(𝐪,\omega )\frac{A_{}}{T^{K_\sigma ^1K_\rho }}\frac{\omega }{T}$$
(8)
and it goes like $`\chi _{}(𝐪,\omega )T^\gamma \frac{\omega }{T}`$ for $`q^{}=(qQ_i)0`$, with $`\gamma =(K_\sigma ^1K_\rho )`$. The NMR relaxation rate, $`1/T_1`$ follows directly as

$$\frac{1}{T_1}=\frac{T}{\omega }\underset{𝐪}{}\chi \mathrm{"}(𝐪,\omega )T^\gamma .$$
(9)
Finally, to compute the value of the charge stiffness $`K_\rho `$, we consider the Hamiltonian

$$H_c=H_c^{(0)}+\frac{U_1}{(a\pi )^2}(n_d^{xy}+n_d^{yz})_x\varphi _\rho (x)dx.$$
(10)
where $`u_\rho K_\rho =v_F`$ and $`u_\rho /K_\rho =v_F+U`$. In the intermediate coupling regime, $`U2.1`$eV, $`v_F=0.7`$eV , and $`K_\sigma =0.8`$, one gets $`K_\rho 1/2`$ giving $`\gamma =0.65`$ and the LL Fermi surface exponent, $`\alpha =1/8`$. On the other hand, $`K_\rho =0.4`$ (corresponding to $`U2.4`$eV) yields $`\gamma =0.75`$ and $`\alpha =0.23`$. The value $`\gamma =0.75`$ gives good fits to the quantum-critical scaling behavior of $`\chi \mathrm{"}(𝐪=𝐐_i,\omega )`$ above $`T^{}`$.

The NMR relaxation rate is then $`1/T_1T^{0.75}`$ which is not inconsistent with the observed $`T`$-dependence for $`T100`$K. Eqn.(7) with $`\gamma =0.75`$ is also completely consistent with the experimental result, however, for $`T>4050`$K. At lower-$`T`$, $`\chi (0,T)`$ levels off and approaches a constant, consistent with a crossover to correlated FL behavior . The in-plane dc resistivity shows almost linear behavior for $`50K<T<900`$K, consistent with the Luttinger liquid physics above 50 K. More support for this picture comes from optics  where a crossover from incoherent response to a Drude-like response is indeed observed as $`T`$ is lowered; however, interestingly, the scattering rate extracted from a generalized Drude fit shows $`T^2`$ dependence only up to $`30`$K, in agreement with INS results.

To consider the LL-FL crossover as a function of $`T`$, we notice that the interlayer hopping, $`t_{}0.02`$eV (200K) . A description of the effect of $`t_{}`$ requires consideration of a model with coupled $`RuO_2`$ layers. Since the interlayer hopping for the $`d_{xy}`$ band is much smaller than for the $`d_{yz,zx}`$ bands in the undistorted BCT structure, we are led to consider the model of coupled chains:

$$H=\underset{\nu }{}H_{1D}^\nu \underset{i,\nu ,\nu ^{},\sigma }{}t_{}(C_{i\nu \sigma }^{}C_{i\nu ^{}\sigma }+h.c)$$
(11)
for each of the 1D ($`\nu =yz,zx`$) bands. A description of the crossover by perturbation theory in $`t_{}`$ is beset with difficulties, and is valid in the LL regime, but fails to reproduce the FL regime. Perturbation approaches in interaction work in the FL regime, but fail in the LL regime. An attractive way out is provided by a recent non-trivial extension of dynamical mean-field theory (DMFT) that replaces a single site by a single chain connected via $`t_{}`$ to $`z_{}`$ nearest neighbors, with $`z_{}\mathrm{}`$ . Rigorously, one needs a numerical solution for the full single-chain propagator $`G(𝐤,\omega )`$, which is a very hard task, when considered together with the usual DMFT selfconsistency . Fortunately, several conclusions can still be drawn without attempting a full solution. In the 1D regime, the in-chain self-energy, $`\mathrm{\Sigma }(k,\omega )t((k,\omega )/t)^{1/(1\alpha )}`$. From the DMFT equations, $`t_{}`$ becomes relevant when $`t_{}>\mathrm{\Sigma }`$, yielding the crossover scale, $`E^{}t_{}(t_{}/t)^{\alpha /(1\alpha )}`$. In our case, this gives $`E^{}60`$K, qualitatively in agreement with, but somewhat higher than $`T^{}3040`$K from experiment.

At $`T<E^{}`$, chain-DMFT leads to anisotropic FL behavior. In particular, when $`t_{}<<t`$ and at low energies, all one-particle quantities obey the scaling $`\omega ^{}=\omega /E^{},k^{}=kE^{}/t`$ and $`T^{}=T/E^{}`$; i.e., $`t\mathrm{\Sigma }(k,\omega ,T)=E^{}t_{}\mathrm{\Sigma }^{}(k^{},\omega ^{},T^{})`$ and $`tG(k,\omega ,T)=(E^{}/t_{})G^{}(k^{},\omega ^{},T^{})`$ where $`\mathrm{\Sigma }`$ and $`G`$ are universal functions associated with the crossover. A low-frequency expansion of $`\mathrm{\Sigma }`$ in the FL regime gives the quasiparticle residue $`Z(t_{}/t)^{\alpha /(1\alpha )}=E^{}/t_{}`$. Unlike in a conventional FL, this bears no resemblance to the effective mass enhancement, since both $`(\mathrm{\Sigma }/k)`$ and $`(\mathrm{\Sigma }/\omega )`$ scale in the same way. The interchain resistivity, $`\rho _{}(T)/\rho _0=(t/E^{})R(T/E^{})`$ with $`R(x<<1)x^2`$ and $`R(x>>1)x^{12\alpha }`$. And the resistivity enhancement, $`\rho _{}(T)/\rho _0=A(T/t)^2`$ with $`A=(t/t_{})^{3/(1\alpha )}`$. The resulting anisotropy of the Woods-Saxon ratio, $`A_c/A_{ab}=(a/c)^2A1000`$ for $`\alpha =0.23`$, which is indeed in the right range . Finally, the $`c`$-axis optical response is incoherent above $`E^{}`$, with a coherent feature carrying a relative weight $`Z^2`$ appearing at low-$`T`$, again in qualitative agreement with observations  . An obvious inference from the above is that increasing $`T`$ should lead to a disappearance of the quasicoherent features in photoemission. This may already have been observed experimentally .

At low-$`T`$, in the correlated FL regime, usual DMFT should provide a consistent description of electronic correlations. Such a program has been implemented  for the multiband system of the $`t_{2g}`$ bands coupled by $`U_{\mu \mu ^{}}^{\sigma \sigma ^{}},J_H`$. With $`U=2.5`$eV, $`J_H=0.4`$eV, the effective mass enhancement (from the self-energy) is $`m^{}/m34`$, completely consistent with specific heat data and dHvA measurements. In our picture, therefore, the effective mass enhancement arises from renormalization effects caused by local electronic correlations (DMFT) and has a very different origin from the one proposed by Werner . Interestingly, this approach  also reconciles the apparent conflict between ARPES and dHvA data at low-$`T`$.

To conclude, starting from a material specific model for the layered TM oxide $`Sr_2RuO_4`$, we have described how the various high $`T`$ anomalous features can be understood within Luttinger liquid ideas. The effects of $`so`$ coupling, necessary to obtain consistency with magnetic data, are consistently incorporated, leading to a new modelling for the high-$`T`$ LL state compared to that of . Finally, using the Luttinger liquid exponents obtained there, a smooth crossover to an anisotropic, 3D, correlated FL metallic state (below $`E^{}=60`$K) is obtained within the recently developed chain-DMFT. The low-$`T`$ specific heat and static spin susceptibility are enhanced by conventional FL renormalization below $`T^{}`$. Various thermodynamic and transport properties, some inexplicable within conventional scenarios, find a consistent explanation as manifestations of the interplay between the high-$`T`$ LL state (irrelevance of $`t_{}`$) and the low-$`T`$ correlated FL state.

We thank M. Braden for fruitful discussions and R. Werner for preprints. This work is performed within the research program of the Sonderforschungsbereich 608 of the Deutsche Forschungsgemeinschaft.