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# Generation of eigenstates using the phase-estimation algorithm

## I Introduction

Since the inception of quantum computation Feynman (1982), people in the field have endeavored to find tasks which a quantum computer could perform more efficiently than a classical computer Deutsch and Jozsa (1992); Simon (1994); Shor (1994); Grover (1997). For a detailed introduction into the field of quantum computation and information, see Nielsen and Chuang (2000). The algorithm which has by far generated the most interest is Shor’s factoring algorithm Shor (1994), as it enables the cracking of the RSA encryption system Rivest et al. (1978). Kitaev Kitaev  generalized Shor’s algorithm, showing how a quantum computer can generate an eigenvalue of an arbitrary unitary operator (in the limit of a large number of qubits, and not necessarily efficiently). Due to experimental difficulties, a large scale quantum computer (if possible), will not be attainable for a number of years. However, small-scale quantum computers are already available Sackett et al. (2000). In this paper, we show how a version of the phase estimation algorithm can be implemented on a particular ‘small-scale’ quantum computer, the ion trap quantum computer.

Given some unitary operator $`U`$ and an approximate eigenstate; the goal of the phase estimation algorithm Kitaev ; Cleve et al. (1998) is to obtain an eigenvalue of $`U`$ and leave the quantum system in the corresponding eigenstate Abrams and Lloyd (1999); Zalka (1996). To accomplish this task, we shall need two quantum systems which can be coupled together. One, we shall call the index system, the other the target system. The index system is initially prepared in the state $`|0`$. After performing the algorithm, the index system will store an eigenvalue of the target system operator, $`U`$.

Traditionally both the target and index systems have been qubit registers. In this paper the index system will remain a register of qubits, however we shall allow the target system to be an arbitrary $`N`$-dimensional quantum system, where $`N`$ may be equal to infinity. For a more generalized discussion of combining continuous and discrete quantum computation see Lloyd (2000).

In Sec. II we briefly review the phase estimation algorithm then derive the analytical results which will allow us to characterize the algorithm’s performance when using only a small number of qubits. In Sec. III we derive the Hamiltonians necessary to investigate the number and displacement operators in an ion trap, and contrast the algorithms effectiveness with respect to the two different operators.

## II The Phase Estimation Algorithm

In what follows, we shall assume that our index system is a register of $`m`$ qubits. First, we need to be able to perform the operation $`\mathrm{\Lambda }(U)`$ on our coupled system. $`\mathrm{\Lambda }(U)`$ is completely described by defining its action on the standard basis states of the index system, coupled to an arbitrary target system state,

$`\mathrm{\Lambda }(U)|j_I|\psi _T`$ $`=`$ $`𝕀_IU_{}^{j}{}_{T}{}^{}|j_I|\psi _T`$ (1)
$`=`$ $`|jU^j|\psi j_M,`$
where $`_M=\{0,1,2,\mathrm{},M1\}`$ and $`M=2^m`$. As in the last line of Eq. (1), we shall continue to omit the subscript notation when it is clear whether a ket or operator is referring to the target or index system. We begin the algorithm by initializing our quantum computer into the state

$`|\mathrm{\Psi }_0=|0|\psi .`$ (2)
Performing a $`\pi /2`$ rotation of each qubit in the index register results in the state

$`|\mathrm{\Psi }_1={\displaystyle \frac{1}{\sqrt{M}}}{\displaystyle \underset{j=0}{\overset{M1}{}}}|j|\psi ,`$ (3)
We now perform $`\mathrm{\Lambda }(U)`$ on this state giving

$`|\mathrm{\Psi }_2=\mathrm{\Lambda }(U)|\mathrm{\Psi }_1`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{M}}}{\displaystyle \underset{j=0}{\overset{M1}{}}}|jU^j|\psi .`$ (4)
The final steps in the algorithm are to perform the unitary quantum Fourier transform Coppersmith (1994) on the index register and measure this register 111By combining the QFT and measurement steps we remove the need to perform any two qubit operations. The two qubit controlled rotation operations can be replaced with measurement and conditional single qubit rotations. However for clarity we keep the description of these two steps separate.. However, before applying this transform we shall re-write Eq. (4). First we replace $`|\psi `$ by it’s representation as a sum of eigenvectors of $`U`$,

$`|\psi ={\displaystyle \underset{k}{}}c_k|\varphi _k,`$ (5)
where $`k`$ sums over the dimensionality of the target system. Hence the state $`|\mathrm{\Psi }_2`$ can be written as

$`|\mathrm{\Psi }_2`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{M}}}{\displaystyle \underset{j=0}{\overset{M1}{}}}|jU^j{\displaystyle \underset{k}{}}c_k|\varphi _k.`$ (6)
We shall write the eigenvalue associated with $`|\varphi _k`$ as $`e^{i\varphi _k}`$. Noting that $`U^j`$ applied to each eigenvector $`|\varphi _k`$ is simply $`e^{ij\varphi _k}|\varphi _k`$ and changing the order of the summations we obtain

$`|\mathrm{\Psi }_2={\displaystyle \underset{k}{}}c_k{\displaystyle \frac{1}{\sqrt{M}}}{\displaystyle \underset{j=0}{\overset{M1}{}}}|je^{ij\varphi _k}|\varphi _k.`$ (7)
Lastly, for clarity we exchange the order of the systems, and replace $`\varphi _k`$ with $`2\pi \omega _k/M`$, where $`\omega _k[0,M)`$,

$`|\mathrm{\Psi }_2`$ $`=`$ $`{\displaystyle \underset{k}{}}c_k|\varphi _k{\displaystyle \frac{1}{\sqrt{M}}}{\displaystyle \underset{j=0}{\overset{M1}{}}}e^{2\pi ij\omega _k/M}|j.`$ (8)
It is now not hard to show that taking the quantum Fourier transform of the index register results in the state

$`|\mathrm{\Psi }_3`$ $`=`$ $`{\displaystyle \underset{k}{}}c_k|\varphi _k{\displaystyle \underset{j=0}{\overset{M1}{}}}f(\omega _k,j)|j,`$ (9)
where

$`f(\omega _k,j)`$ $`=`$ $`\{\begin{array}{cc}\hfill \frac{1}{M}\frac{\mathrm{sin}(\pi \omega _k)}{\mathrm{sin}(\pi \frac{\omega _kj}{M})}e^{\pi i(\omega _k\frac{\omega _kj}{M})}:& \omega _kj\hfill \\ \hfill 1:& \omega _k=j.\hfill \end{array}`$ (12)
As we will see shortly, it is helpful to note that

$`|f(\omega _k,j)|`$ $``$ $`|\mathrm{sinc}(\omega _kj)|,`$ (13)
for all $`\omega _k[0,M)`$ and $`j_M`$. A plot of $`|f(\omega _k,j)|`$ is shown in Fig. 1 where $`M=16`$ and $`j`$ has been set to 5.

Finally, measuring the index register will, with high probability, yield an approximate eigenvector. To understand this, let us begin by looking at the most simplified case. Suppose for a moment, that we have $`\omega _k_M`$ for all $`k`$, then

$`f(\omega _k,j)`$ $`=`$ $`\delta _{\omega _kj}.`$ (14)
Thus Eq. (9) simplifies to

$`{\displaystyle \underset{k}{}}c_k|\varphi _k|\omega _k.`$ (15)
If we add the assumption that no two values of $`k`$ give the same $`\omega _k`$ (i.e. we have no degeneracy 222Please note that this unrealistic situation is not even *possible* if our target system has dimension greater than $`2^m`$.) then upon measuring the index register, we will obtain $`|\omega _k`$, and hence $`e^{i\varphi _k}`$, with probability $`|c_k|^2`$, and leave the target system in the eigenstate $`|\varphi _k`$.

Removing the assumption of zero degeneracy, measuring the index register still allows us to obtain some eigenvalue $`e^{2\pi ij/M}`$, however the target system is now left in the state

$`{\displaystyle \frac{1}{\sqrt{𝒩}}}{\displaystyle \underset{k^{}}{}}c_k^{}|\varphi _k^{}`$ (16)
where $`k^{}=\{k:\omega _k=j\}`$, and $`𝒩=_k^{}|c_k^{}|^2`$ is a normalization constant.

Finally, we shall remove the assumption that the $`\omega _k`$ must be elements of $`_M`$. The probability $`P(j)`$, of measuring the index register in some basis state $`|j`$ is

$`P(j)`$ $`=`$ $`{\displaystyle \underset{k}{}}|\varphi _k|j|\mathrm{\Psi }_3|^2`$ (17)
$`=`$ $`{\displaystyle \underset{k}{}}|c_kf(\omega _k,j)|^2.`$
Having measured the index register to be in some state $`|j`$, the target system is left in the state

$`|\psi _j^{}`$ $`=`$ $`{\displaystyle \underset{k}{}}c_k^{}|\varphi _k,c_k^{}={\displaystyle \frac{c_kf(\omega _k,j)}{\sqrt{𝒩}}}`$ (18)
where $`𝒩=_k|c_kf(\omega _k,j)|^2`$.

In order to gain some useful information from Eqs. (17) and (18), let us assume that our initial target system state $`|\psi `$ is an approximate eigenstate of $`|\varphi _q`$ for some $`q`$ such that

$`|c_q|^2|\varphi _q|\psi |^2`$ $`=`$ $`p.`$ (19)
Remembering that $`\omega _q`$ will be some real number between $`0`$ and $`M`$, we define $`\omega _q`$ to be the nearest $`m`$-bit integer less than $`\omega _q`$, and $`\omega _q`$ to be the nearest $`m`$-bit integer greater than $`\omega _q`$, where modulo $`M`$ has been assumed. The probability of measuring the index register in either the state $`|\omega _q`$ or $`|\omega _q`$ is

$`P(\omega _q\mathrm{or}\omega _q)`$ $`=`$ $`{\displaystyle \underset{k}{}}|c_kf(\omega _k,\omega _q)|^2`$ (20)
$`+{\displaystyle \underset{k}{}}|c_kf(\omega _k,\omega _q)|^2`$
$``$ $`|c_qf(\omega _q,\omega _q)|^2+|c_qf(\omega _q,\omega _q)|^2`$
$``$ $`|c_q|^22\mathrm{sinc}^2(0.5)`$
$`>`$ $`0.8p.`$
Hence, with probability greater than $`0.8p`$ we will obtain an approximate eigenvalue associated with $`|\varphi _q`$ which differs in phase from the actual eigenvalue by less than $`2\pi /2^m`$. Thus, if $`p`$ is reasonably large, we have a high probability of finding the best estimate of the eigenvalue. However, as we shall see, large $`p`$ does not imply that we will improve on the approximate eigenstate.

Suppose we measure the index register in the state $`|[\omega _q]`$, where $`[\omega _q]`$ denotes the closest $`m`$-bit integer to $`\omega _q`$. (N.B. This will occur with probability greater than $`0.4p`$, as $`|f(\omega _q,[\omega _q])|^2>0.4`$.) The key question that we wish to address in this paper is: has our initial approximate eigenstate improved? Letting $`p^{}|c_q^{}|^2`$, we are effectively asking what bounds can be placed on $`p^{}`$? For an arbitrary $`U`$ it is obvious that the upper bound of $`p^{}=1`$ can be obtained by setting $`|\psi =|\varphi _q`$. We now investigate the lower bound by dividing the eigenstates into three disjoint sets,

$`𝒬`$ $`=`$ $`\{q\},`$
$`𝒢`$ $`=`$ $`\{g:gq,|\omega _g[\omega _q]|1\}\mathrm{and}`$ (21)
$``$ $`=`$ $`\{h:|\omega _h[\omega _q]|>1\}.`$
We now have

$`p^{}`$ $`=`$ $`{\displaystyle \frac{p|f(\omega _q,[\omega _q])|^2}{𝒩}},`$ (22)
with

$`𝒩`$ $`=`$ $`p|f(\omega _q,[\omega _q])|^2+{\displaystyle \underset{g𝒢}{}}|c_g|^2|f(\omega _g,[\omega _q])|^2`$ (23)
$`+{\displaystyle \underset{h}{}}|c_h|^2|f(\omega _h,[\omega _q])|^2.`$
Using Eqs. (12) and (II), it is not hard to show

$`0.4<`$ $`|f(\omega _q,[\omega _q])|^2`$ $`1`$
$`0`$ $`|f(\omega _g,[\omega _q])|^2`$ $`1`$ (24)
$`0`$ $`|f(\omega _h,[\omega _q])|^2`$ $`\lambda `$
where $`\lambda =|f(1.5,0)|^2`$. As $`m`$ increases $`\lambda `$ tends to $`(\frac{2}{3\pi })^20.045`$. However for our analysis it is sufficient to note that $`0.045<\lambda <0.05`$ for $`m>3`$. Eq. (II) leads to the lower bound

$`p^{}`$ $``$ $`{\displaystyle \frac{p|f(\omega _q,[\omega _q])|^2}{p|f(\omega _q,[\omega _q])|^2+(1\lambda )G+\lambda (1p)}}`$ (25)
where $`G=_g|c_g|^2`$. Fig. 2 contains a plot of this lower bound as a function of $`G`$ for $`|f(\omega _q,[\omega _q])|^2=0.6`$ and various values of $`p`$. The circles indicate the points at which the minimum of $`p^{}`$ equals $`p`$.

Thus, we see that by endeavoring to make $`G`$ as small as possible, we increase the amplitude of $`|\varphi _q`$. For a given $`U`$ and $`|\psi `$, $`G`$ can be made arbitrarily small by increasing $`m`$. However, we are interested in the performance of the algorithm for small values of $`m`$. We shall now look at $`G`$’s dependence on $`U`$ and $`|\psi `$ by attempting to create eigenvectors for both the number and displacement operator in a ion trap.

## III An Iontrap Implementation

We first derive the Hamiltonian for $`\mathrm{\Lambda }(U)`$, where $`U`$ is the evolution operator associated with the number operator, and investigate the phase estimation algorithm’s performance for various initial states. We then derive the Hamiltonian for the more complicated case of $`U`$ being the displacement operator. For both of these examples the index register will be two electronic levels of $`m`$ ions in a linear ion trap, and the target system will be the center-of-mass (CM) vibrational mode of the ions.

### III.1 The Number Operator

Consider the standard Hamiltonian of the one dimensional harmonic oscillator,

$`H=\mathrm{}\omega (a^{}a+{\displaystyle \frac{1}{2}}).`$ (26)
where $`a^{}`$ and $`a`$ are the creation and annihilation operators. Ignoring the over-all phase contribution of the zero energy state, the unitary operator we will first be analyzing is

$`U(t)=e^{i\omega a^{}at}.`$ (27)
In this case, $`\mathrm{\Lambda }(U)`$ is given by

$`\mathrm{\Lambda }(U)`$ $`=`$ $`\mathrm{exp}\left({\displaystyle \frac{it}{\mathrm{}}}{\displaystyle \underset{j=0}{\overset{m1}{}}}H_j\right),`$ (28)
where

$`H_j`$ $`=`$ $`\mathrm{}a^{}a2^j\omega (\sigma _z^{(j)}+{\displaystyle \frac{1}{2}}).`$ (29)
The inversion operator for each ion is defined by $`\sigma _z^{(j)}=(|00||11|)/2`$. This Hamiltonian can be obtained for interaction times greater than the period of the CM vibrational mode by applying a set of far-detuned standing wave pulses to the ion D’Helon and Milburn (1996).

We begin our analysis by initializing the CM mode in some phonon number state $`|n`$ Meekhof et al. (1996), and setting $`\omega t=2\pi (11/M)`$. It is important to note that we are assuming that all the higher vibrational modes are in the vacuum state. Assuming no errors, applying the phase estimation algorithm results in the index register being measured in the state $`|nmodM`$ and the target system is left unchanged. If we now let $`\omega t`$ be some arbitrary value, applying the algorithm will leave the target system unchanged, and the index system will be measured in the state $`|j`$ with probability

$`P(j)`$ $`=`$ $`\left|f({\displaystyle \frac{\omega tnM}{2\pi }},j)\right|^2`$ (30)
Let us consider the more interesting situation where the target system is initialized in some coherent state $`|\alpha `$. We can utilize the phase estimation algorithm to transform the state of the target system into an approximation to a Fock state.

For example, suppose we use four index qubits, $`\omega t=1`$ and we choose to approximate the Fock state $`|n=9`$ by using the coherent state $`|\alpha =3`$. In this example we perhaps might think that $`|\alpha =3`$ is not a good approximate state because $`p0.13`$ however the fact that $`G<0.035`$ indicates the algorithm should work well. Applying the algorithm and measuring the index register in the state $`|9`$, we obtain $`p^{}0.93`$. The initial and final target state for this scenario is shown in Fig. 3.

Having shown that the phase estimation algorithm can be used to generate Fock states from coherent states, we now attempt to generate eigenstates of the displacement operator.

### III.2 The Displacement Operator

The displacement operator applied to the CM vibrational mode is defined as

$`D(\alpha )`$ $`=`$ $`\mathrm{exp}(\alpha a^{}\alpha ^{}a).`$ (31)
Thus the operator we wish to apply is

$`\mathrm{\Lambda }(D)`$ $`=`$ $`\mathrm{exp}\left({\displaystyle \frac{it}{\mathrm{}}}{\displaystyle \underset{j=0}{\overset{m1}{}}}H_j\right),`$ (32)
where the $`H_j`$ are now defined as

$`H_j`$ $`=`$ $`i\mathrm{}(\alpha a^{}\alpha ^{}a)2^j(\sigma _z^{(j)}+{\displaystyle \frac{1}{2}}).`$ (33)
It has already been shown Monroe et al. (1996) that conditional displacement operations such as the Hamiltonian in Eq. (33) can be performed in an ion trap.

It is not hard to show that

$`D(de^{i(\varphi +\frac{\pi }{2})})|\alpha ,\epsilon `$ $``$ $`e^{i2d|\alpha |e^r}|\alpha ,\epsilon `$ (34)
for large values of squeezing parameter $`r`$ and where $`\alpha =|\alpha |e^{i\varphi }`$, $`\epsilon =re^{2i\varphi }`$ and

$`|\alpha ,\epsilon `$ $``$ $`S(\epsilon )D(\alpha )|0`$ (35)
is a squeezed coherent state. Thus the squeezed coherent states $`|\alpha ,\epsilon `$ form approximate eigenvectors of the displacement operator $`D(de^{i(\varphi +\frac{\pi }{2})})`$.

Without loss of generality we can set $`\varphi =0`$ in which case the eigenstates of the displacement operator are simply the position eigenstates. It is then not hard to show that for small fixed $`m`$, $`G1p`$, which leads to $`p^{}p`$. Thus applying the phase estimation algorithm to squeezed displaced states does not produce improved eigenstates of the displacement operator.

## IV Conclusion

We have shown that the phase estimation algorithm can be used to generate eigenstates of the number operator, even when we severely limit the size of the index system. It would be interesting to see if an analogous implementation could be performed using cavity QED, allowing generation of photon number states with only small numbers of trapped atoms. We have also shown that the algorithm’s performance depends on the relation between the approximate eigenstate and the spectrum of the operator. We can gauge the algorithm’s performance by calculating a parameter $`G`$.

###### Acknowledgements.

B. C. T. acknowledges support from the University of Queensland Traveling Scholarship, and thanks to S. Lloyd, S. Schneider, M. Nielson and D. F. V. James for helpful discussions.


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# 1 Strings dualities and the origin of the gauge symmetries in the extra dimensional geometry.

## 1 Strings dualities and the origin of the gauge symmetries in the extra dimensional geometry.

Our main experience after the studies of the dualities of string/D-branes , and the origin of the gauge symmetries  in the topological vacuum showed a very intriguing consequence for the geometry(extra dimensions and topology) of our ambient space-time. A topological structure of the vacuum allows to prove some dual transformations that interrelate any of the five superstring 10-dimensional theories, the M/11-dimensional supergravity and 12-dimensional F-theory with each other . The proof the dual relationships among all of these theories can be done in the process of a compactification (or decompactification) on (of) the special set of these topological hypersurfaces with its very beautiful geometric topological substructure. The most intriguing inspiration of proving the string/D-brane dualities is that the “singularities” of these hypersurfaces are connected with the mechanism of the enhanced gauge symmetries and give much more deeper understanding of the origin of the gauge and chiral matter .

From the point of view of the topological quantum geometry the question of the compactification or/and decompactification has been already studied in the literature intensively (see, for example, ). From the phenomenological point of view there was only the question of the sizes of these new topological objects. Following to our goal to understand what kind of global real effects could lead to the existence of the extra topological geometry it will be important to consider separately two cases for the possible sizes of the new extra dimensions: the small (compactified) extra dimensions with the sizes determined by the scale from Plank scale till the scale of the present energies and the large (uncompactified) extra dimensions which size can reach even infinity.

The first case of the possible existence of the small (compactified) extra dimensions has been intensively studied in the literature, see for example . In the case of uncompactified extra dimensions,  the Newton law of gravity should be overcome and this possibility can give a lot of important cosmological consequences. In this case our world can be considered, for example, as a “border-part” of the higher dimensional world with the global uncompactified 5-th or 6-th dimensions and with other 6- compactified dimensions. It is interesting to note that both cases can occur in M/F theories with dim=11/12.

An interesting example of the possible realisation of such case was found in  where it was shown that there is duality between the Yang-Mills N=4 SUSY theory in 4-dimensions and the supergravity in 5-dimensional anti-de Sitter space. In string/D-brane approach our four-dimensional SM world could live on the world volume of a 3-brane with flat topology, which is embedded in a bulk space-time of dimension, $`D>4`$. In this case the metrics of our world is induced by the metrics of the higher dimensional bulk space-time.

Of course, in the process of the extension of such world there could be some interrelations between the compactified and un-compactified dimensions due to shrink-down or decompactification. The process of compactification of some topological manifolds can be the origin of the Yang-Mills gauge symmetries and matter. The new uncompactified dimensions could lead to some new phenomena, to the possibility of the existence of a new matter with the different global properties with respect to the new space-time symmetries with possible new boosts. We already had one experience after the discovery the Lorentz invariance of the Maxwell equations which gave a possibility to understand the ambient Minkowski space-time with global $`SO(3,1)`$ symmetry. Kaluza and Klein understood that the unification of the $`U(1)_{em}`$ gauge symmetry and four-dimensional gravity can be naturally explained in the frame of the five-dimensional gravity where the new compactified dimension has a nontrivial topology. This link between the internal and external symmetries of vacuum, Poincare duality, could be now considered again after the discovery of the new vacuum internal symmetry, $`SU(2)\times U(1)`$, at the smaller distances. In this case due to Poincare duality there could be a link between the hierarchy of the gauge symmetries and new geometry of the space-time with the possible new dimensions and its topological structure.

There exists a very intriguing question how to check the Poincare duality and to prove the existence of these new extra dimensions. We propose to study this question through the searches of the new space-time global effects at high energies. The development of string/D-branes approach and the existence at high energies of the new vacuum symmetry, $`SU(2)\times U(1)`$, give us a chance to move forward in understanding an origin of the speed fundamental constant. Our main hope is connected with the possibilities to find a deviation for the principle of the light speed maximality , $`c=c_{em}`$, studying the flight properties of the high energy neutrinos comparing it velocity with the speed of light or with the speeds of the other charged relativistic particles.

Our proposal consists on the possibilities to check at the present accelerators the existence of the large and small extra dimensions measuring the neutrino speed at the high energy in the different scales and for different species. We conjecture that the global large (uncompactified) extra and small (compactified) dimensions could lead to the observation of the two different behaviours of the neutrino speed at high energies.

## 2 Neutrinos and large extra dimensions

We conjecture that the large new dimensions could lead directly to the observation of the effect of the monotonous rise with the energy of the neutrino velocity , $`v_\nu (EE_{thr})>c_{em}`$ ($`E_{thr}`$ is the energy of the $`SU(2)\times U(1)`$ symmetry restoring), and could be searched by with ”$`U(1)_{em}`$-sterile” neutrinos of high energies. In addition to the Poincare duality, having very nice interpretation in algebraic geometry, some new arguments for the possible existence of the new symmetry with the new boost, $`c_{hid}>>c_{em}`$, could be found from the considerations together of the modern achievements in neutrino physics, in astrophysics and cosmology, in phenomenology of of the dualities in string/D-branes, in algebraic geometry of the topological hypersurfaces and its link with the origin of the gauge symmetry and matter . So, one can propose that this possibility could be realized with the following conditions:

* The existence of a new ambient geometry with new hypothetic ”sterile” world connected with a possibility of the present or previous existence of a new extra dimension
* The sterile world should satisfy the own space-time symmetries incorporated a new boost $`c_{hid}>>c_{em}`$;
* There should exist some gauge symmetries of the sterile matter which could be linked with the observable SM -matter through neutrinos of the different species. The mechanism of the mixing between the sterile matter and neutrinos could be similar to the “sea-saw” mechanism.

So, we conjecture that the duality-symmetry between the topological structure of the vacuum and new hierarchy of the gauge symmetries:

$`U(1)_{em}SU(2)\times U(1)\mathrm{}.`$ (1)
should lead to an extension of the special theory of relativity based on the “one-circuit” Lorentz metrics $`g_{mn}=(1,1,1,1)`$ to the new “two-circuit” metrics with the possible existence of the new boost:

$`\{SO(3,1)\}(c_{em})\{G^{ext}SO(3,1)\times SO(1,1)\times \mathrm{}\}(c_{em},c_{hid})\mathrm{}..`$ (2)
Thus an extension of the Lorentz/Poincare symmetry at high energies could lead to the existence of the new hidden symmetries, like hidden boosts with the new fundamental maximal speeds, $`c_{hid}`$, ($`\mathrm{}>>c_{hid}>>c_{em}`$), which could be checked by the existence of the “ $`U(1)_{em}`$\- sterile” particles. Based on the Poincare duality between the external symmetries of the ambient geometry and the internal gauge symmetry of the vacuum we propose the existence of the new hidden space-time symmetry- new hidden boost- (not necessarily the light ) excited be the extra dimensions of our world connected with the $`SU(2)\times U(1)`$ vacuum symmetry. This new boost could appear, for example, from the breaking of the extra world space symmetries, like subgroup of $`SO(n,1)`$ or $`SO(n,2)`$.

The question of the existence of the “sterile-hidden” matter has been already intensively discussed in astrophysics and cosmology during a long period. In the first condition one had suggested that this matter can produce a hidden new geometrical world including new extra dimensions with additional space-time symmetries. Of course, by this scenario the hidden matter should be concentrated mainly on the very long distances. In this case the existence of this additional symmetries should include a hidden boost with $`c_{hid}>>c_{em}`$ according to our second condition. From our knowledge of the SM the neutrinos are unique and the only particles which could have a link with the ’sterile’ world. One might propose that the origin of the ”see-saw” mechanism could also explain the link between our neutrinos and the sterile particles. Due to mixing between neutrino and sterile matter through see-saw mechanism the global flying properties of neutrino produced from the decays of the sterile matter should correspond to the space-time symmetry of the extra world. The sterile matter world should have a new mass scale higher than the electroweak scale.

As result of this link our neutrinos could “feel” the new boost, $`c_{hid}`$, and could lead to the increasing of the maximal velocity for neutrinos with restoring of the $`SU(2)\times U(1)`$-vacuum symmetry.

The model with one new hypothetical boost could be realized also through the two-metrics mechanism: one-metric action, $`S_{SM}`$, for the Standard Model based on the Lorentz/Poincare symmetry in the $`d=3+1`$ space-time and the other action, $`S_{hid}`$, for the new sterile matter based on the new metric tensor in the space-time with extra dimensions. For the concrete model one should solve the main difficulty of finding a link between these two metrics.

The effective metrics near the threshold of the $`SU(2)\times U(1)`$ symmetric vacuum, deviated from the standard dispersion relation between the energy E and the momentum p of neutrino, could be a function of the invariant production energy s, the “wind” energy E and the relation between the values of two circuit-boosts, $`c_{em}`$ and $`c_{hid}`$ and, may be, also depend on the neutrino species.

Such scenario with some fundamental boost-velocities could give a push to go beyond the standard Big Bang model in the time before the $`SU(2)\times U(1)`$ phase and could explain the horizon, flatness problems. This scenario is different with respect to the other scenario of the varying speed of light (VSL)  in spite of the similar problems to construct such mechanisms.

The restriction of sterility for neutrino in our conjecture means that with the electromagnetic charged particles to observe new boost (new topological circuit) at the now available energies is very difficult or may be impossible now. By our scenario only neutrinos could be link with the sterile hidden matter action and could “feel” the second boost-speed. For $`U(1)_{em}`$ charged particles “getting” to the new $`SU(2)\times U(1)`$ vacuum structure could be a threshold effect like as Vavilov-Cherenkov effect with emitting of a lot of energy.

## 3 Neutrinos and small extra dimensions

The other possibility is connected with the new compactified small dimensions. It will be interesting to compare the experimental possibility of searching for the effects, $`v_\nu (E)>c_{em}`$, for neutrinos with the so called EMN effect  leading to the diminishing of the particle velocity $`<c_{em}`$ with increasing energy. This effect is connected with the string/D-brane gravitation foam structure of the vacuum and the magnitude of this effect depends on the D/brane mass, M. It is universal for all particles and leads to the diminishing of the velocity of this particle with increasing of energy:

$$c(E)<c_{em}$$
(3)
To understand this point one can follow to the way suggested in papers  where energy dependence of the “effective” metric is the main deviation from space-time Lorentz invariance induced by the $`D`$ particle recoil. It has been argued that virtual $`D`$\- branes provide one possible model for space-time foam , and that the recoil of a $`D`$ brane struck by a bosonic/fermionic closed-string particle would induce an energy-dependent modification of the background metric. Upon diagonalization of the perturbed metric, one finds a retardation in the propagation of an energetic photon/fermion : $`(\delta c/c)(E/M)`$ or $`(\delta c/c)(E/\stackrel{~}{M})^2`$. One can also see that the correct dispersion relation between the energy $`E`$ and momentum $`p`$ of the massless particle in the metric background  is:

$$E^2=c^2p^2\mathrm{\hspace{0.17em}2}cE(\stackrel{}{p}\stackrel{}{u}):|\stackrel{}{u}|E/Mor(E/\stackrel{~}{M})^2.$$
(4)
It has recently been pointed out that the constancy of $`c`$, the velocity of light, can be tested stringently using distant astrophysical sources that emit pulses of radiation, such as Gamma Ray Bursts (GRBs), Active Galactic Nuclei (AGNs) and pulsars. So far, this idea has been explored by comparing the arrival times of photons of different energies $`E`$ (frequencies $`\nu `$). It has been suggested that certain quantum theories of gravity might cause variations in $`c`$ that increase with $`E`$ (or $`\nu `$), possibly linearly: $`(\delta c/c)(E/M)`$, or quadratically: $`(\delta c/c)(E^2/\stackrel{~}{M}^2)`$, where $`M`$ or $`\stackrel{~}{M}`$ is a high mass scale characterizing quantum fluctuations in space-time foam. Such a linear or quadratic dependence would enable any such conjectured quantum-gravity effects to be distinguished easily (in principle) from the effects of conventional media on photon propagation and the effects of a possible photon mass, both of which would decrease with increasing energy. It is clear that in order to probe quantum-gravity effects by putting the strongest possible lower limits on $`M`$ and $`\stackrel{~}{M}`$, there is a premium on distant pulsed sources that emit quanta at the highest available energy.

In this approach the mass of D- particle could be large, $`M_D>>M_W`$, but nevertheless the correspondent reduction of the effective Lorentz metrics can be checked for neutrinos too. The example of this metrics could be important to verify the similarly ideas with the scale $`M,\stackrel{~}{M}`$ not very far from the 1-Tev scale.

## 4 Experimental tests.

Awaiting for further theoretical developments of the basic structure of our World it is needed to put these conjectures under experimental checks.

In the past, the idea to measure the velocity for accelerator-produced neutrinos was stated in  and the subsequent experimental measurements were performed 25 years ago at the Fermilab . The following upper limits at 95% CL were established

$`|\mathrm{\Delta }\beta _{12}|=|v_{\nu _k}/cv_{\nu _\pi }/c|<510^5`$,

$`|\beta _\nu \beta _\mu |=|\mathrm{\Delta }\beta |<410^5`$,

where $`\mathrm{\Delta }\beta =v_\nu /c1`$ .

The idea was refreshed in 1987  when the SN87A explosion was observed using photon  and neutrino  detections. The estimated upper limit is

$`|\mathrm{\Delta }\beta |<10^8`$.

Furthermore the SN87A data can be used for estimates of differences of neutrino velocities too.

Because the 12.4 s experimental duration of the neutrino pulse is compatible with expected duration of the neutrino emission during the SN87A gravitation collapse it is reasonable to take this value as an upper limit for the $`\mathrm{\Delta }\beta _{12}`$ estimate with the average neutrino energy $`10MeV`$:

$`\mathrm{\Delta }\beta _{12}<\mathrm{\Delta }T/T_0=12.4/4.510^{12}=2.810^{12}`$,

where $`T_0`$ = 150000 light years.

It seems that accelerator-produced high energy neutrinos, where the flavor and the source of neutrinos are controlled, can play their own important role. Among other accelerator sites CERN has the unique opportunity with the short baseline, the long baseline and the beam-beam LHC neutrino experiments to perform systematical measurements of neutrino velocities using muon, pion and kaon, charm and beauty, W and Z decays.

The Table 1 summarizes existing results and expected sensitivity estimations of possible experiments for deviation of neutrino velocity from the speed of light . As one can see from the Table 1

* WBB and beam-dump experiments will improve the Fermilab limit for $`\nu _\mu `$ from pion and kaon decays and beam-dump experiment can establish new limits for $`\nu _\mu `$ and $`\nu _e`$ from charm decays;
* long baseline experiments will improve the SN87A limit for $`\nu _e`$ and the Fermilab limit for $`\nu _\mu `$;
* even beam-beam LHC experiment is feasible and will establish new limits for $`\nu _\mu `$ , $`\nu _e`$ and $`\nu _\tau `$ from beauty, W and Z decays.

Below in the Table 2 we compare sensitivities of the EMN effect for neutrino velocity differences for existing and possible experiments for $`\delta \beta =E/M`$ and $`\delta \beta =E^2/\stackrel{~}{M}^2`$ hypothesis.

As one can see the long baseline experiments can exceed the SN87A low limit for the $`\delta \beta =E/M`$ hypothesis and all accelerator experiments are more sensitive than the SN87A for the $`\delta \beta =E^2/\stackrel{~}{M}^2`$ hypothesis.

As it was pointed out in section 2 the sterile matter should be heavy and therefore it could be the source of the very high energy neutrinos from far ends of our “visible” Universe. If , for example, such astrophysical objects like GRBs or/and AGNs satisfy the conditions for the sterile matter creation then they could be a source for neutrinos with velocities exceeding the speed of light. Due to huge distances from these objects the sensitivity $`\mathrm{\Delta }\beta 10^{16}`$ can be reached .

## 5 Acknowledgements

We would like to thank F. Anselmo, F. Dydak, L. Fellin, E. Gousctchin, G. Harigel, J. Ellis, D. Nanopoulos, V. Petrov, M. Pietroni, T. Ypsilantis and A. Zichichi for many valuable discussions and support. We would like to thank G. Costa for a careful reading of the manuscript and many useful comments. One of us (VA) thanks G. Gapienko for help with estimates. (GV) thanks also for the hospitality the Department of Physics “Galileo Galilei” of the Padova University and the Padova Section of INFN, where part of this work was carried out.


text:
# BNL–67589 July 1, 2000 Rare Kaon Decay Experiments 11footnote 1 To be published in the Proceedings of the Workshop on Strange Quarks in Hadrons, Nuclei, and Nuclear Matter; Athens, Ohio, May 12-13, 2000; Ed. K. Hicks

## 1 Introduction

The study of rare kaon decays has played a key role in the development of the standard model (SM), and the field continues to have significant impact. Several recent reviews of the field are or will be soon available . The two areas of greatest import are the determination of fundamental standard-model parameters, such as CKM  mixing and CP violation, and the search for physics beyond the standard model (BSM) through the search for lepton flavor violating (LFV) decays.

## 2 Lepton Flavor Violating Decays

There is solid experimental evidence for the exact conservation of an additive quantum number for each family of charged leptons. While there is no SM mechanism for LFV (non-zero mν induces LFV in the charged lepton sector at a level that is too small to observe), there is no underlying gauge symmetry preserving lepton flavor; and many extensions to the SM predict LFV. Observation of LFV would be unambiguous evidence for physics beyond the SM.

Due to the relatively long kaon lifetime, copious production at fixed target proton accelerators, and very sophisticated experimental techniques, the mass scale probed by rare kaon decay experiments is quite high. This can be seen by comparing the $`K_L^{}\mu e`$ decay, through a hypothetical LFV vector boson with coupling $`g_X`$ and mass $`M_X`$ to the conventional $`K_{\mu 2}`$ decay ($`g`$ and $`M_W`$): $`M_X>200\mathrm{TeV}/\mathrm{c}^2\times g_X/g\times \left[10^{12}/\mathrm{B}(K_L^{}\mu e\text{ })\right]^{1/4}.`$ For current experimental sensitivities at the level of $`10^{12}`$, mass scales in excess of 100 TeV are explored (for the usual electroweak coupling).

The E871 experiment at BNL, a search for $`K_L^{}\mu e`$ , has been completed, with two long runs during 1995–96. The E871 analysis of the data set used a ‘blind analysis’ technique, in which selection criteria were devised and backgrounds measured on the data outside of an exclusion region. These selection criteria were then applied to the remaining data and background measurements were compared to the actual number of events. No events were seen in the signal region (see Fig. 1), with an expected background of 0.1 events

and the 90% CL limit on this decay is B($`K_L^{}\mu e`$ ) $`<4.7\times 10^{12}`$ . There are no plans to pursue this decay further.

The E865 experiment at BNL, designed to search for the decay $`K^+\pi ^+\mu ^+e^{}`$ , an analog to $`K_L^{}\mu e`$ which is sensitive to LFV interactions with different quantum numbers, collected data during 1995, 1996 and 1998. The 90% CL limits on this mode from the 1995 and 1996 runs are B($`K^+\pi ^+\mu ^+e^{}`$ ) $`<2.1\times 10^{10}`$ and $`<3.9\times 10^{11}`$ respectively. Combining these results with that of the predecessor experiment E777, the 90% CL limit is B($`K^+\pi ^+\mu ^+e^{}`$ ) $`<2.8\times 10^{11}`$ . The final sensitivity, including 1998 data, is expected to be $``$3 times better. There are no plans to continue this search.

The current 90% CL limit for $`K_L^{}\pi ^{}\mu e`$ is from E799-I  at FNAL, with B($`K_L^{}\pi ^{}\mu e`$ ) $`<3.1\times 10^9`$. This measurement has very little background, so E799-II (KTeV) will be able to substantially improve upon this limit, reaching sensitivities close to E865.

## 3 CKM Matrix

The $`𝑲\mathbf{}𝝅𝝂\overline{𝝂}`$ modes: $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ and $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ , are the ‘golden modes’ for determining CKM matrix parameters. Both of these modes can be very precisely calculated from fundamental SM parameters. The $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ mode is sensitive to the magnitude of the poorly known $`𝝀_𝒕\mathbf{}𝑽_{𝒕𝒔}^{\mathbf{}}𝑽_{𝒕𝒅}`$ and $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ is purely direct-CP-violating and sensitive to $`𝑰𝒎\mathbf{(}𝝀_𝒕\mathbf{)}`$.

Two other modes for which it may be possible to extract fundamental CKM parameters are $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ and $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}\mathbf{}^\mathbf{+}\mathbf{}^{\mathbf{}}`$ . However, in both cases, large long-distance contributions limit the usefulness of these modes. Additional measurements of some radiative kaon decays, as well as chiral perturbation theory (ChPT) work, are needed to extract the short distance physics . In the case of $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝒆^\mathbf{+}𝒆^{\mathbf{}}`$ and $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ , there are also significant backgrounds.

### 3.1 $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ and $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}\mathbf{}^\mathbf{+}\mathbf{}^{\mathbf{}}`$

The mode $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ , whose small rate has played such an important role in the development of the SM (e.g. the GIM mechanism and the prediction of the charm quark ), has now been measured (relative to $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^\mathbf{+}𝝅^{\mathbf{}}`$ ) to the unprecedented precision of 1.5%, with 6200 events observed by E871 .

The decay $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ is dominated by $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝜸𝜸`$ with the two real photons converting to a $`𝝁^\mathbf{+}`$$`𝝁^{\mathbf{}}`$ pair. This contribution is precisely calculated using QED from a measurement of the $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝜸𝜸`$ branching ratio. There is also a long distance dispersive contribution through off-shell photons, which has been calculated  although there is some dispute as to the reliability of these calculations . Most interesting is the short distance contribution, through internal quark loops, dominated by the top quark. A measurement of this short distance contribution is sensitive to the real part of the $`𝝀_𝒕`$ or, equivalently, the Wolfenstein  parameter $`𝝆`$ :

$$𝑩_{𝑺𝑫}\mathbf{(}𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}\text{ }\mathbf{)}\mathbf{=}\mathbf{6.0}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟑}\mathbf{[}𝑹𝒆\mathbf{(}𝝀_𝒕\mathbf{)}\mathbf{}\mathbf{6.7}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟓}\mathbf{]}^\mathrm{𝟐}\mathbf{}\mathrm{𝟗}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟎}}$$
(1)
The current measurement of the branching ratio B($`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ ) $`\mathbf{=}\mathbf{(}\mathbf{7.18}\mathbf{\pm }\mathbf{0.17}\mathbf{)}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟗}`$ by the E871 collaboration  represents a factor of three improvement. This value is only slightly above the unitarity bound from the on-shell two photon contribution of Babs($`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ ) = $`\mathbf{(}\mathbf{7.07}\mathbf{\pm }\mathbf{0.18}\mathbf{)}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟗}`$ and leaves very little room for a short distance contribution. Using estimates of the long distance dispersive contribution , a 90% CL limit of $`𝝆\mathbf{>}\mathbf{}\mathbf{0.33}`$ is obtained .

The decay $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝒆^\mathbf{+}𝒆^{\mathbf{}}`$ is predominantly through two off-shell photons, making this decay less interesting for extracting SM parameters. However, the recent observation of four events by E871 , with B($`𝑲_𝑳^{\mathbf{}}\mathbf{}𝒆^\mathbf{+}𝒆^{\mathbf{}}`$ ) $`\mathbf{=}\mathbf{(}\mathbf{8.7}_{\mathbf{}\mathbf{4.1}}^{\mathbf{+}\mathbf{5.7}}\mathbf{)}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟐}}`$ is consistent with ChPT predictions  and is the smallest branching ratio ever measured for any elementary particle decay.

The $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}\mathbf{}^\mathbf{+}\mathbf{}^{\mathbf{}}`$ modes can proceed via the direct-CP-violating processes. This short-distance contribution is given by

$$𝑩_{𝑺𝑫}\mathbf{(}𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝒆^\mathbf{+}𝒆^{\mathbf{}}\text{ }\mathbf{)}\mathbf{=}\mathbf{2.5}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟒}\mathbf{[}𝑰𝒎\mathbf{(}𝝀_𝒕\mathbf{)}\mathbf{]}^\mathrm{𝟐}\mathbf{}\mathrm{𝟓}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟐}}\mathbf{.}$$
(2)
The muon mode, $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ , is expected to be five times smaller. Unfortunately, the decay $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝒆^\mathbf{+}𝒆^{\mathbf{}}`$ can occur in two other ways: an indirect-CP-violating contribution (which can be determined from measurement of $`𝑲_𝑺^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝒆^\mathbf{+}𝒆^{\mathbf{}}`$ ) and a CP-conserving contribution (which may be calculated from the $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝜸𝜸`$ rate at low invariant $`𝜸𝜸`$ mass). These contributions may be comparable to or larger than the direct-CP-violating contribution. Even more formidable is the background from $`𝑲_𝑳^{\mathbf{}}\mathbf{}\mathbf{}^\mathbf{+}\mathbf{}^{\mathbf{}}𝜸𝜸`$ , as pointed out by Greenlee . The KTeV experiment at FNAL, analyzing data from 1997, has significantly improved the limit on $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝒆^\mathbf{+}𝒆^{\mathbf{}}`$ . Two events, consistent with the expected background of 1.1 events, were found in the signal region , giving a 90% CL limit of B($`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝒆^\mathbf{+}𝒆^{\mathbf{}}`$ ) $`\mathbf{<}\mathbf{5.6}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟎}}`$. A similar analysis of the related muon mode resulted in two events, consistent with the expected background of $`\mathbf{0.9}\mathbf{\pm }\mathbf{0.2}`$ events, in the signal region , and a slightly smaller upper limit, $`𝑩\mathbf{(}𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝁^\mathbf{+}𝝁^{\mathbf{}}\text{ }\mathbf{)}\mathbf{<}\mathbf{3.4}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟎}}\mathbf{(}\mathrm{𝟗𝟎}\mathbf{\%}\mathrm{𝐂𝐋}\mathbf{)}`$. Improvement in limits on both of these modes will be slow due to the presence of background.

There is a wealth of other new measurements in the kaon system reported recently from BNL, FNAL and CERN . Many of these are useful for understanding long-distance effects in $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝁^\mathbf{+}𝝁^{\mathbf{}}`$ or $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}\mathbf{}^\mathbf{+}\mathbf{}^{\mathbf{}}`$ and for determining the background to $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}\mathbf{}^\mathbf{+}\mathbf{}^{\mathbf{}}`$ . These measurements are substantially improved over previous values and even larger improvements will be obtained when the complete data sets are analyzed.

### 3.2 Golden Modes

The $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ and $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ decays are the ‘golden modes’ for measuring CKM parameters; and, along with the other golden mode $`𝑩_𝒅^{\mathbf{}}\mathbf{}𝝍𝑲_𝑺^{\mathbf{}}`$ and perhaps the ratio of the mixing frequencies of $`𝑩_𝒔`$ and $`𝑩_𝒅`$ mesons, provide the best opportunity to over-constrain the unitary triangle and to search for new physics. The most powerful tests of our understanding of CP-violation and quark mixing will come from comparison of the results from B meson and kaon decays with little theoretical ambiguity. The two premier tests are expected to be:

* Comparison of the angle $`𝜷`$ from the ratio B($`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ )/B($`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ ) and the CP asymmetry in the decay $`𝑩_𝒅^{\mathbf{}}\mathbf{}𝝍𝑲_𝑺^{\mathbf{}}`$  .
* Comparison of the magnitude $`\mathbf{|}𝑽_{𝒕𝒅}\mathbf{|}`$ from $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ and the ratio of the mixing frequencies of $`𝑩_𝒔`$ to $`𝑩_𝒅`$ mesons .

The unitarity of the CKM matrix can be expressed as

$$𝑽_{𝒖𝒔}^{\mathbf{}}𝑽_{𝒖𝒅}\mathbf{+}𝑽_{𝒄𝒔}^{\mathbf{}}𝑽_{𝒄𝒅}\mathbf{+}𝑽_{𝒕𝒔}^{\mathbf{}}𝑽_{𝒕𝒅}\mathbf{=}𝝀_𝒖\mathbf{+}𝝀_𝒄\mathbf{+}𝝀_𝒕\mathbf{=}\mathrm{𝟎}$$
(3)
with the three vectors $`𝝀_𝒊\mathbf{}𝑽_{𝒊𝒔}^{\mathbf{}}𝑽_{𝒊𝒅}`$ converging to form a very elongated triangle in the complex plane. The first vector $`𝝀_𝒖\mathbf{=}𝑽_{𝒖𝒔}^{\mathbf{}}𝑽_{𝒖𝒅}`$ is well determined from the decay $`𝑲^\mathbf{+}\mathbf{}𝝅^{\mathbf{}}𝒆^\mathbf{+}𝝂_𝒆`$ ($`𝑲_{𝒆\mathrm{𝟑}}`$). The height can be measured by $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ and the third side $`𝝀_𝒕\mathbf{=}𝑽_{𝒕𝒔}^{\mathbf{}}𝑽_{𝒕𝒅}`$ will be measured by $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ . The decay $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ offers the best opportunity for measuring the Jarlskog invariant $`𝑱_{𝑪𝑷}`$ . The $`𝑲\mathbf{}𝝅𝝂\overline{𝝂}`$ decays are sensitive to the magnitude and imaginary part of $`𝝀_𝒕`$. Measurements of these two modes, along with $`𝑲_{𝒆\mathrm{𝟑}}`$, will then completely determine the unitarity triangle.

The theoretical uncertainty in $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ ($`\mathbf{}`$7%) is small and even smaller in $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ ($`\mathbf{}`$2%); in both cases the hadronic matrix element is extracted from B($`𝑲_{𝒆\mathrm{𝟑}}`$). The branching ratios have been calculated to next-to-leading-log approximation , complete with isospin violation corrections  and two-loop-electroweak effects . Based on current understandings of SM parameters, the branching ratios can be expressed as :

$`𝑩\mathbf{(}𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}\text{ }\mathbf{)}`$ $`\mathbf{=}`$ $`{\displaystyle \frac{𝜿_\mathbf{+}𝜶^\mathrm{𝟐}𝑩\mathbf{(}𝑲_{𝒆\mathrm{𝟑}}\mathbf{)}}{\mathrm{𝟐}𝝅^\mathrm{𝟐}\mathrm{𝐬𝐢𝐧}^\mathrm{𝟒}𝜽_𝑾\mathbf{|}𝑽_{𝒖𝒔}\mathbf{|}^\mathrm{𝟐}}}{\displaystyle \underset{𝒍}{\mathbf{}}}\mathbf{|}𝑿_𝒕𝝀_𝒕\mathbf{+}𝑿_𝒄^𝒍𝝀_𝒄\mathbf{|}^\mathrm{𝟐}`$
$`\mathbf{=}`$ $`\mathbf{3.6}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟒}\mathbf{(}\mathbf{[}𝑹𝒆\mathbf{(}𝝀_𝒕\mathbf{)}\mathbf{}\mathbf{1.4}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟒}\mathbf{]}^\mathrm{𝟐}\mathbf{+}\mathbf{[}𝑰𝒎\mathbf{(}𝝀_𝒕\mathbf{)}\mathbf{]}^\mathrm{𝟐}\mathbf{)}`$
$`\mathbf{=}`$ $`\mathbf{(}\mathbf{0.82}\mathbf{\pm }\mathbf{0.32}\mathbf{)}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟎}}`$
$`𝑩\mathbf{(}𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}\text{ }\mathbf{)}`$ $`\mathbf{=}`$ $`{\displaystyle \frac{𝝉_{𝑲_𝑳}}{𝝉_{𝑲^\mathbf{+}}}}{\displaystyle \frac{𝜿_𝑳𝜶^\mathrm{𝟐}𝑩\mathbf{(}𝑲_{𝒆\mathrm{𝟑}}\mathbf{)}}{\mathrm{𝟐}𝝅^\mathrm{𝟐}𝒔𝒊𝒏^\mathrm{𝟒}𝜽_𝑾\mathbf{|}𝑽_{𝒖𝒔}\mathbf{|}^\mathrm{𝟐}}}{\displaystyle \underset{𝒍}{\mathbf{}}}\mathbf{|}𝑰𝒎\mathbf{(}𝝀_𝒕\mathbf{)}𝑿_𝒕\mathbf{|}^\mathrm{𝟐}`$
$`\mathbf{=}`$ $`\mathbf{1.6}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟑}\mathbf{[}𝑰𝒎\mathbf{(}𝝀_𝒕\mathbf{)}\mathbf{]}^\mathrm{𝟐}\mathbf{=}\mathbf{(}\mathbf{3.1}\mathbf{\pm }\mathbf{1.3}\mathbf{)}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟏}}\mathbf{,}`$
where $`𝜿`$ are the isospin corrections and the Inami-Lim functions , $`𝑿_𝒒`$, are functions of $`𝒙_𝒒\mathbf{}`$ $`𝑴_𝒒^\mathrm{𝟐}`$/$`𝑴_𝑾^\mathrm{𝟐}`$ where $`𝑴_𝒒`$ is the mass of the quark $`𝒒\mathbf{;}`$ these contain QCD corrections. In addition, it is possible to place a theoretically unambiguous upper limit on $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ from the current limit on $`𝑩_𝒔\mathbf{}\overline{𝑩}_𝒔`$ mixing, B($`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ ) $`\mathbf{<}\mathbf{1.67}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟎}}`$ .

#### 3.2.1 $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$

The E787 experiment at BNL has recently published an analysis of the 1995–97 data sample : one clean $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ event lies in the signal box (see Fig. 2),

with a measured background of $`\mathbf{0.08}\mathbf{\pm }\mathbf{0.02}`$ events. Based on this one event the branching ratio is B($`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ ) = $`\mathbf{1.5}_{\mathbf{}\mathbf{1.2}}^{\mathbf{+}\mathbf{3.4}}\mathbf{\times }\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟎}}`$. From this measurement, a limit of $`\mathbf{0.002}\mathbf{<}\mathbf{|}𝑽_{𝒕𝒅}\mathbf{|}\mathbf{<}\mathbf{0.04}`$ is determined; in addition, the following limits on $`𝝀_𝒕\mathbf{}𝑽_{𝒕𝒔}^{\mathbf{}}𝑽_{𝒕𝒅}`$ can be set: $`\mathbf{|}𝑰𝒎\mathbf{(}𝝀_𝒕\mathbf{)}\mathbf{|}\mathbf{<}\mathbf{1.22}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟑}`$, $`\mathbf{}\mathbf{1.10}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟑}\mathbf{<}𝑹𝒆\mathbf{(}𝝀_𝒕\mathbf{)}\mathbf{<}\mathbf{1.39}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟑}`$, and $`\mathbf{1.07}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟒}\mathbf{<}\mathbf{|}𝝀_𝒕\mathbf{|}\mathbf{<}\mathbf{1.39}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟑}`$. The final sensitivity of the E787 experiment, based on data from 1995–98, should reach a factor of two further, to the SM expectation for $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ .

A new experiment, E949, is under construction and will run in 2001–03. Taking advantage of the very large AGS proton flux and the experience gained with the E787 detector, E949 with modest upgrades should observe $`𝓞`$(10) SM events in a two year run. The background is well-understood and is $`\mathbf{}`$10% of the SM signal.

A proposal for a further factor of 10 improvement has been initiated at FNAL. The CKM experiment (E905) plans to collect 100 SM events, with $`\mathbf{}`$10 background events, in a two year run starting after 2005. This experiment will use a new technique, with K+ decay-in-flight and momentum/velocity spectrometers.

#### 3.2.2 $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$

The current best direct limit  on $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ comes from the KTeV run in 1997: B($`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ ) $`\mathbf{<}\mathbf{5.9}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟕}`$ (90% CL).

An even more stringent limit can be derived in a model independent way  from the E787 measurement of $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ :

$`𝑩\mathbf{(}𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}\text{ }\mathbf{)}`$ $`\mathbf{<}`$ $`\mathbf{4.4}\mathbf{\times }𝑩\mathbf{(}𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}\text{ }\mathbf{)}`$
$`\mathbf{<}`$ $`\mathbf{2.6}\mathbf{\times }\mathrm{𝟏𝟎}^\mathbf{}\mathrm{𝟗}\mathbf{(}\mathrm{𝟗𝟎}\mathbf{\%}\mathrm{𝐂𝐋}\mathbf{)}`$
The next generation of $`𝑲_𝑳^{\mathbf{}}\mathbf{}𝝅^{\mathbf{}}𝝂\overline{𝝂}`$ experiments will start with E391a at KEK, which hopes to achieve a sensitivity of $`\mathbf{}\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟎}}`$. Although the reach of E391a is not sufficient to observe a signal at the standard model level, the experiment will be able to rule out large BSM enhancements and learn more about how to do this difficult experiment. This experiment would eventually move to the JHF and aim for a sensitivity of $`𝓞\mathbf{(}\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟒}}\mathbf{)}`$.

Two other experiments propose to reach sensitivities of $`𝓞\mathbf{(}\mathrm{𝟏𝟎}^{\mathbf{}\mathrm{𝟏𝟑}}\mathbf{)}`$: E926 (KOPIO/RSVP) at BNL and E804 (KAMI) at FNAL. KAMI plans to reuse the excellent CsI calorimeter from KTeV and to operate at high kaon momentum to achieve good photon energy resolution and efficiency. It will take advantage of the large flux available from the Main Injector. KOPIO follows a different strategy; the kaon center of mass will be reconstructed using a bunched proton beam and a very low momentum KL beam. This gives two independent criteria to identify background: photon veto and kinematics — allowing background levels to be directly measured from the data — and gives further confidence in any observed signal. The necessary flux will by obtained from the very high AGS proton current. The low energy beam also substantially reduces backgrounds from neutrons and hyperons. After three years of running, 65 SM events are expected with a S/B $`\mathbf{}`$ 2:1.

## 4 Conclusions and Future Prospects

The unprecedented sensitivities of rare kaon decay experiments in setting limits on LFV have constrained many extensions of the SM. The discovery of $`𝑲^\mathbf{+}\mathbf{}𝝅^\mathbf{+}𝝂\overline{𝝂}`$ has opened the doors to measurements of the unitarity triangle completely within the kaon system. Significant progress in the determination of the fundamental CKM parameters will come from the generation of experiments that is now starting. Comparison with the B-system will then over-constrain the triangle and test the SM explanation of CP violation.

## Acknowledgments

I would like to thank members of several experiments for access to data and for useful discussions, in particular, I would like to thank Bill Molzon, Bob Tschirhart, Tony Barker and Hong Ma. This work was supported under U.S. Department of Energy contract #DE-AC02-98CH10886.


text:
# Collective nature of 0⁺- states in deformed rare-earth nuclei.

## Abstract

The description of the energiy spectra of 0+ states for rare-earth nuclei has been done involving the degree of the collectivity of corresponding 0+-state as a systematics parameter. Holshtein-Primakoff representation leads to very good agreement with experiment. Within the framework of this approach the parameter of the collectivity is mainly determined by pairs of particles constructed on single ”effective” level. The results may be helpful both for nuclear structure experimentalists and theorists in their investigations of low-lying states structure and transition probabilities.

The great amount of experimental data for energy spectra and transition probabilities evokes the necessity of simplified description that can be easily used by experimentalists in explaining the collective properties of states and their systematics. For example the peculiarities of the 0+ spectra in nuclei and E0 transitions provoke great interest. In particular, the experimental data of the E0 transitions from second 0+\- state to the ground state in even-even Sn and Cd isotopes indicate that they are very weak. The transitions from second 0+ to the first 0+ state in Cd are weak too, but in Sn isotopes the corresponding transition probability is very strong . Also the transitions from first to the ground 0+ states in Sn are weak, but in Cd are exceptionally strong .There are many investigations dedicated to the $`E0`$ and $`E2`$ transition probabilities and analyzing the 0+ spectra in different nuclei . For instance in the rare - earth region the values of the $`B(E2;2_{K=0_2^+}^+>0_{g.s.}^+)`$and$`B(E2;2_{K=0_2^+}^+>4_{g.s.}^+)`$ transitions as a function of neutron number change drastically for different isotopes .In this paper we study the low-energy 0$`^+`$spectra within the framework of simplified pairing vibrational model in Holstein-Primakoff representation and investigate the systematics of the 0$`^+`$states for large amount of rare-earth nuclei. We analyze the behavior of their energies using the notion $`k`$\- degree of the collectivity as a systematics parameter for the corresponding 0+\- states.

By minimizing the Chi-square values of the energies for different permutation of the possible values of $`k`$we obtain the spectra as a function of this parameter $`k`$ for a large amount of 0+states of deformed rare earth nuclei. These energies can be explained by simple formula :

$$E_n=AkBk^2$$
(1)
As the description of the structure of the 0+ nuclear states in terms of pair configurations continues to be of great interest both for theorists and experimentalists we define the parameter of the degree of collectivity $`k`$as related to the monopole phonon operators

$$\begin{array}{cc}R_+^j=\hfill & \frac{1}{2}\underset{m}{}(1)^{jm}\alpha _{jm}^{}\alpha _{jm}^{}\text{}\begin{array}{cc}R_{}^j=\hfill & \frac{1}{2}\underset{m}{}(1)^{jm}\alpha _{jm}\alpha _{jm},\hfill \end{array}\hfill \\ & \begin{array}{cc}R_0^j=\hfill & \frac{1}{4}\underset{m}{}(\alpha _{jm}^{}\alpha _{jm}\alpha _{jm}\alpha _{jm}^{}),\hfill \end{array}\hfill \end{array}$$
(2)
where $`\alpha _{jm}^{}`$,$`\alpha _{jm}`$ are the nucleons creation and annihilation operators.

Let us consider the Hamiltonian for $`N`$ particles placed on ”effective” single level j in terms of the operators $`R_+^j`$,$`R_{}^j`$, $`R_0^j`$ :

$`H`$ $`=`$ $`\alpha R_+^jR_{}^j+\beta R_0^jR_0^j+{\displaystyle \frac{\beta \mathrm{\Omega }}{2}}R_0^j`$ (3)
$`\mathrm{\Omega }`$ $`=`$ $`{\displaystyle \frac{2j+1}{2}}`$
The operators (LABEL:RR) satisfy the commutation relations :

$$[R_0^j,R_\pm ^j]=\pm R_\pm ^j\text{}[R_+^j,R_{}^j]=2R_0^j$$
(4)
In order to simplify the notations further we will omit the indices$`j`$.

Let us now present this Hamiltonian in terms of ”ideal” boson creation and annihilation operators $`[b,b^{}]=1;[b,b]=[b^{},b^{}]=0`$ , using the Holstein-Primakoff transformation  for the operators $`R_+\text{}R_{}`$and $`R_0`$ :

$$\begin{array}{ccc}R_{}=\sqrt{\mathrm{\Omega }b^{}b}b\text{}& R_+=b^{}\sqrt{\mathrm{\Omega }b^{}b}\text{}& R_0=b^+b\mathrm{\Omega }/2\end{array}$$
(5)
The transformations ( 5 ) conserve the commutation relations ( 4) between $`R_+`$, $`R_{}`$ and $`R_0`$operators . Thus for the Hamiltonian (3) in terms of the new boson creation and annihilation operators $`b^+,b`$ we have:

$$H=Ab^{}bBb^{}bb^{}b$$
(6)
where :

| $`A=\alpha (\mathrm{\Omega }+1)\beta \frac{\mathrm{\Omega }}{2}`$ |
| --- |
| $`B=`$ $`\alpha \beta `$ |

(7)
The energy of any monopole excited state $`|n=\frac{1}{\sqrt{n!}}(b^+)^n|0;`$where $`b|0=0`$can be written as:

$$E_n=AnBn^2$$
(8)
We see that we have the same energy spectrum as spectrum ( 1 ) ($`k`$ $`n`$)

The parameters of the approach which we have used are presented in figure 1 along with the experimental and calculated 0+state distributions . The calculated energies are distributed in bell form because of the anharmonic terms in the Hamiltonian (6) and often the lowest 0$`^+`$states have much more collective structure ( bigger $`k`$ ) than the states with higher energies. In the framework of this simple model we can predict that additional 0+states should exist in the following cases: $`{}_{}{}^{194}Pt`$(one phonon state - 0.75 MeV, six phonon state - 2.38 MeV, and seven phonon state - 2.1 MeV), $`{}_{}{}^{196}Pt`$(one phonon state - 0.6 MeV, three phonon state - 1.5 MeV, twelve phonon state - 1.0 MeV ), 188Os (one phonon state - 0.75 MeV and two phonon state - 1.3 MeV ) and 158Er (one phonon state - 1.2 MeV). We indicate these predicted states by ”?” in the figures 1a -$`>`$ 1d. Thus it may be interesting to measure $`E0`$ transition probabilities in these nuclei and especially in $`{}_{}{}^{194}Pt`$nucleus from one phonon 0+ state with energy 0.75 MeV to the ground state, in $`{}_{}{}^{196}Pt`$nucleus from one phonon 0+ state with energy 0.6 MeV to the ground state, in 188Os from one phonon 0$`^+`$state - 0.75 MeV to the ground state and in 158Er from one phonon 0+ state - 1.2 MeV to the ground state. We expect relatively intensive $`E0`$ transitions for these cases. Experimental data about the rotational bands in deformed nuclei show that the dependence of the energy on angular momentum$`L`$ is qualitatively similar for the ground band and the bands constructed on any excited $`0^+`$ state . So in the first approximation one may consider the rotational bands constructed on different excited $`0^+`$states without including the band head structure. Nevertheless the influence of $`0^+`$ states structure on the rotational spectra must be included in order to explain the small quantitative differences in rotational bands with different $`0^+`$ band heads as well as transition probabilities,for instance the peculiarities in $`B(E2;2_{K=0_n^+}^+>0_{g.s.}^+)`$. This investigation is in successful progress. Furthermore the results of this paper may be helpful for more sophisticated analysis of the collective structure of the low-lying nuclear states. Having in mind the results of this paper one can estimate directly the degree of collectivity of any 0+ excited state.

I would like to thank professors S. Pittel, M.Stoitsov, Ani.Aprahamian, Ana Georgieva and P. Terziev for fruitful discussions and help.

This work has been supported in part by the Bulgarian National Foundation for Scientific Research under project $`\mathrm{\Phi }`$ \- 809.

Caption to the figure:

Figure 1. Comparison of calculated with Hamiltonian ( 3, 6) and experimental  $`0^+`$ state energies for rare \- earth nuclei 156Gd , 188Os, 194Pt, 196Pt.