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# On the 21Na(p,𝛾)²²Mg thermonuclear rate for 22Na production in novae

## I Introduction

Classical novae are potential sources of 22Na which beta decays ($`\tau `$ = 3.75 years) towards the first excited state of 22Ne followed by a prompt gamma ray emission ($`E_\gamma `$=1.275 MeV) that could be observed. Even though it has not been detected yet, this could happen with higher sensitivity instruments on board of future space missions like INTEGRAL (including a Ge based gamma–ray telescope) or gamma–ray focusing telescope projects. If conditions are favorable (i.e. an oxygen–neon nova at a distance of less than $``$2 kpc) the 22Na line could be detected with the INTEGRAL spectrometer. Nova outbursts occur at the surface of an accreting white dwarf within a binary system. The accreted H–rich matter enriched with the C–O or O–Ne matter from the white dwarf undergo a thermonuclear runaway that synthesizes new isotopes. The formation of 22Na (in O–Ne novae) proceeds from initial 20Ne present in large quantities through the two possible paths : 20Ne(p,$`\gamma )^{21}`$Na($`\beta ^+)^{21}`$Ne(p,$`\gamma )^{22}`$Na and 20Ne(p,$`\gamma )^{21}`$Na(p,$`\gamma )^{22}`$Mg($`\beta ^+)^{22}`$Na. The first path has been found to be more favorable to 22Na formation because of its longer time scale. The preferred path is governed by the competition between the 21Na $`\beta ^+`$–decay and the 21Na(p,$`\gamma )^{22}`$Mg reaction whose rate remains uncertain mainly because of the unknown resonance strength associated with the $`E_x`$ = 5.714, $`J^\pi `$ = 2+, 22Mg level.

Estimates of the 21Na(p,$`\gamma )^{22}`$Mg reaction rate have been provided, considering the first three levels ($`E_x;J^\pi `$ = 5.714; 2+, 5.837; (0–5) and 5.965 MeV; 0+) above the proton threshold (5.501 MeV). With the exception of the first level, the total widths can be identified with the proton widths, so that $`\omega \gamma \omega \mathrm{\Gamma }_\gamma `$. The resonance strength associated with the first $`E_x`$=5.714 MeV, $`J^\pi `$=2+ level suffers from a significant uncertainty that affects the 21Na(p,$`\gamma )^{22}`$Mg rate in the temperature domain of nova nucleosynthesis. For this level, only the total width is known experimentally ($`\mathrm{\Gamma }`$=16.5$`\pm `$4.4 meV) and to calculate the corresponding resonance strength, estimated proton widths have been used together with the relation $`\mathrm{\Gamma }`$ = $`\mathrm{\Gamma }_p`$ \+ $`\mathrm{\Gamma }_\gamma `$. The two estimates ($`l_p=0`$ and $`\theta _p^2=0.01`$ or $`l_p=2`$ and $`\theta _p^2=0.5`$) lead to similar values ($`\gamma `$= 3.4 or 3.8 meV) very close to the maximum value ($`\mathrm{\Gamma }`$/4), obtained when $`\mathrm{\Gamma }_\gamma `$ = $`\mathrm{\Gamma }_p`$ = $`\mathrm{\Gamma }`$/2. However, based on the data available for the 22Ne $`E_x`$=6.120 MeV analog level, it was argued that the proton width could be much smaller because i) the radiative width estimated from the analog level is such that $`\mathrm{\Gamma }_\gamma \mathrm{\Gamma }`$ and ii) the neutron spectroscopic factor in the analog level should be very small according to experimental data. Accordingly, values of $`\omega \gamma `$ = 2.5, 0.25, 0.0 meV have been adopted for upper ($`\mathrm{\Gamma }_\gamma `$ = $`\mathrm{\Gamma }_p`$ = $`\mathrm{\Gamma }`$/2), recommended (with the usual 0.1 reduction factor) and lower limit for the calculation of 22Na production in novae. This induces a factor of 105 uncertainty on the rate around a temperature of $`10^8`$ K, typical of novae, and a factor of up to 3 in the 22Na yields. Another, much less important, source of uncertainty comes from the assumed value for the radiative width of the third ($`E_x;J^\pi `$ = 5.965 MeV; 0+) level. It is important to reduce this uncertainty on the 22Na yield that directly affects the detectability distance of the 1.275 MeV gamma emission in order to interpret future nova observations. In consequence, we performed shell model calculations of spectroscopic factors and radiative strengths for 22Ne and 22Mg nuclei. In this paper, we first compare calculated values with existing experimental spectroscopic data in order to validate the calculations. We re–analyze existing experimental data to extract supplementary information on missing spectroscopic factors. From this analysis, we derive better estimates for the spectroscopic factor of the 5.714; 2+ level and the radiative width of the 5.965 MeV; 0+ level. Finally, we discuss the influence of these new values on the 21Na(p,$`\gamma )^{22}`$Mg rate and 22Na production in novae.

## II Shell Model calculations

In order to estimate spectroscopic factors and radiative widths, we have performed shell model calculations using the OXBASH code . Since we are interested only in positive parity states, we used the well-known USD interaction of Wildenthal  for the $`sd`$ shell model space. The results of the calculations in comparison with the experimental spectra of 22Ne and 22Mg are shown in Figs. 1, 2 and Table I. The correspondence of the experimental and theoretical results is remarkably good.

In Table I the calculated neutron spectroscopic factors in 22Ne are compared with the experimental values obtained through the neutron stripping reaction 21Ne(d,p)22Ne. The agreement between calculated and experimental values is very good except for the levels labeled (in ref.) 6.120, 6.350; 6+ (no experimentally determined spectroscopic factors) and 7.341; 0+. However, these discrepancies can be explained when new spectroscopic data are included (see the following section).

Assuming the equality between spectroscopic factor of conjugate reactions and according to the good agreement between our calculations and experiment we can confidently use them to obtain the 22Mg proton width of the $`E_x;J^\pi `$ = 5.714; 2+ level. The fourth calculated $`2^+`$ state at 6.179 MeV corresponds to the fourth $`2^+`$ state of 22Ne at 6.120 MeV and to the $`2^+`$ state of 22Mg at 5.714 MeV (Fig. 2) which are of main interest here. To check the correctness of the assignment and the proximity of the calculated and physical $`2^+`$ state, we compared calculated radiative strength with those available experimentally for the $`E_x`$=6.120 MeV level in 22Ne. There is a fair agreement between the experimental and theoretical values as shown in Table II increasing the confidence in the assignment. The calculated spectroscopic factors for the 2+ state are small as expected from experiments on 22Ne (see Table I). The corresponding proton reduced widths are obtained, using the relation $`\mathrm{\Gamma }_p=C^2S\mathrm{\Gamma }_{s.p.}`$ where the single-particle width $`\mathrm{\Gamma }_{s.p.}`$ has been estimated from the scattering phase shifts in the Woods-Saxon potential with the depth required to reproduce the experimentally known energy of the resonance. The contribution of $`l=2`$ transfer to the 5.714 MeV state in 22Mg is negligible as compared to $`l=0`$ transfer and we obtain the values of $`\mathrm{\Gamma }_{0d_{5/2}}=2\times 10^6`$ eV, $`\mathrm{\Gamma }_{0d_{3/2}}=2\times 10^7`$ eV, $`\mathrm{\Gamma }_{0s_{1/2}}=4.5\times 10^3`$ eV, that leads to $`\mathrm{\Gamma }_p=4.5`$ meV.

We also obtained the radiative width of the third level above threshold ($`E_x;J^\pi `$ = 5.965 MeV; 0+) by calculating $`B(E2)`$ or $`B(M1)`$ for the transition to the lower lying $`2^+`$ and $`1^+`$ levels (Table III). The calculated value, $`\mathrm{\Gamma }_\gamma `$ = 33.6 meV leads to a resonance strength of $`\omega \gamma `$ = 4.2 meV, only slightly higher than the estimated value  of 2.5 meV.

## III Reanalysis of experimental data

We performed a DWBA analysis of some of Neogy et al. data (6.120, 6.350 and 7.341 levels) to extend the comparison between calculated and experimental values and to put more constraint on the 6.120 MeV 22Ne (or 5.714 MeV 22Mg) level spectroscopic factor. For this purpose, we used the ECIS code with the same optical potential parameters as Neogy et al.

The 6.350 MeV level (Fig. 5 of Neogy et al.) was assumed to have a 6+ spin and parity and accordingly ($`l=4`$) no DWBA analysis was performed at that time. However, since then, a 6+ level has been located at 6.311 MeV and a 4+ level at 6.345 MeV. Hence, it is almost certain that the 6.350 MeV level in ref. was unduly identified with the 6+ instead of the 4+ level. Accordingly, we made a DWBA analysis of the Neogy et al. data assuming that the reported level is a 4+ and extracted a spectroscopic factor. This new value is close (within a factor of two) to the calculated, 4$`{}_{3}{}^{}{}_{}{}^{+}`$ level, value (see Table I). Hence, shell model calculations reinforce the idea that the 6.35 MeV level seen by Neogy et al. is the 6.345; 4+ one instead of the 6.311; 6+.

Our shell model calculations lead to a very small spectroscopic factor for the 7.341; $`0^+`$ level in complete contradiction with the value reported by Neogy et al. However, less than three keV above ($`E_x`$ = 7.344 MeV) lies a $`J^\pi `$ = $`(3,4)^+`$ level whose calculated spectroscopic factors (for the 3$`{}_{3}{}^{}{}_{}{}^{+}`$ and 4$`{}_{4}{}^{}{}_{}{}^{+}`$ states) agree much better with those extracted from experimental data (Table I). Hence, the experimentally determined spectroscopic factor could be attributed to the 7.344 MeV; $`(3,4)^+`$ level rather than to the 7.341; $`0^+`$ one.

In order to put more constraint on the 6.120 MeV 22Ne level we also performed a DWBA analysis of the Neogy et al. data for this level. (This analysis was not performed in the original work because “the angular distribution does not exhibit characteristics of direct reactions”.) The experimental data and DWBA cross sections are represented in Fig. 3. As expected, the calculated transfer cross sections are more forward peaked than the experimental angular distribution suggesting a strong contribution from fusion reactions. When the theoretical spectroscopic factors are used, the $`d_{5/2}`$ contribution is negligible while the $`s_{1/2}`$ contribution is compatible with experimental data except for the most forward angle. Requesting that the DWBA cross sections remain below all experimental data points lead to upper limits for the spectroscopic factors of $`C^2S<\mathrm{\hspace{0.33em}0.0025}`$ or 0.015 for $`l`$ = 0 or 2 respectively. While the $`l`$ = 2 upper limit is fully compatible with shell model calculations, the $`l`$ = 0 one is a factor of four below the calculated spectroscopic factor. From this upper limit, we obtain $`\mathrm{\Gamma }_p`$ $`<`$ 1 meV. One can note however that this limit should be taken with caution as it comes from a single data point at the smallest angle. As it can be seen in Fig. 1 of Neogy et al., the 6.120 MeV, 22Ne peak is close to an other one from 23Ne (arising from a (d,p) reaction on 22Ne in the target.) Resolving these two peaks at a lower angle should be more difficult because of the unfavorable evolutions of both their energy separation and relative heights. Hence one cannot exclude that the experimental error bars were underestimated in this case.

## IV Implications on the 21Na(p,$`\gamma )^{22}`$Mg rate

The contribution of the $`E_x;J^\pi `$ = 5.714; 2+ level to the 21Na(p,$`\gamma )^{22}`$Mg rate depends directly from its adopted proton width. From experimental data we deduced an approximate upper limit (see comment above) for this width ($`\mathrm{\Gamma }_p`$ $`<`$ 1 meV). Our shell model calculations give a slightly higher value ($`\mathrm{\Gamma }_p`$ = 4.5 meV). Using the experimental total width ($`\mathrm{\Gamma }`$ = 16.5 meV), one obtains $`\gamma `$ $``$ 3.2 or 1 meV, and $`\omega \gamma `$ = 2. or 0.6 meV, when using the calculated or experimental upper limit for the proton widths. These values are close to the first (3.4 and 3.8 meV) and more recent estimated strengths (2.5 upper and 0.25 meV nominal values). One important conclusion resulting from the shell model calculations is that it is most unlikely that the spectroscopic factor is much smaller than one meV. This would exclude the lower limit for the rate obtained with a null spectroscopic factor.

The contribution of the 5.965 MeV; 0+ level is obtained through our shell model calculation of its radiative width ($`\mathrm{\Gamma }_\gamma `$ = 33.6 meV and $`\omega \gamma `$ = 4.2 meV). As in previous works we assume that the 5.837 MeV; (0-5) level, is the analog of the 5.910; 3- level in 22Ne. This assignment made by , is not present anymore in but is likely from the examination of Fig. 2 and because of their similar gamma decay modes. Accordingly, we take $`\mathrm{\Gamma }_\gamma `$ = 13 meV from the analog 22Ne level and $`\omega \gamma `$ = 11.4 meV. The direct capture term is also left unchanged as it is based on experimental spectroscopic factors.

Following the good general agreement between calculated and experimental quantities, we derive the 21Na(p,$`\gamma )^{22}`$Mg rate using the shell model calculated values presented above. The resonant part of the rate is approximated as usual by $`_iA_i\mathrm{exp}(B_i/T_9)`$ with $`A_i`$ = 334., 1862., 686. for $`B_i`$ = 2.52, 3.95, 5.49 respectively. The resulting rate is very close to the previous rates  and of the recent upper rate limit but it is now put on a safer ground, in the domain of nova nucleosynthesis, as it now relies on shell model calculations rather than estimates. Using the experimental upper limit instead of the calculated one for the first resonance strength would lead to a rate lying within a factor of three of the rates from refs.  and from the nominal and upper rate limit from ref. . (The proximity of these different rates is due to the strong experimental constraint introduced by $`\mathrm{\Gamma }`$ = $`\mathrm{\Gamma }_p`$ \+ $`\mathrm{\Gamma }_\gamma `$ = 16.5$`\pm `$4.4 meV.)

In conlusion, the lower limit for the 21Na(p,$`\gamma )^{22}`$Mg rate, used for calculating 22Na yields in novae seems now excluded. Unfortunately it was also the more efficient for 22Na production through the 21Na($`\beta ^+)^{21}`$Ne(p,$`\gamma )^{22}`$Na chain. Hence the highest 22Na yields reported are now excluded. A precise conclusion on gamma emission detectability will require further hydrodynamical calculations of nova outbursts. However, the 21Na(p,$`\gamma )^{22}`$Mg rate resulting from this analysis is not too far from the nominal rate used in previous calculations so that the nominal detectability distance of 22Na gamma emission should not be too much affected.

## V Acknowledgments

It is a pleasure to thank J.-P. Thibaud for constructive comments and J. Kiener for usefull discussions and help in using the ECIS code.


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# In-medium 𝜋𝜋 Correlation Induced by Partial Restoration of Chiral Symmetry

## Abstract

We show that both the linear and the non-linear chiral models give an enhancement of the $`\pi \pi `$ cross section near the 2$`\pi `$ threshold in the scalar-iso-scalar ($`I`$=$`J`$=0) channel in nuclear matter. The reduction of the chiral condensate, i.e., the partial chiral restoration in nuclear matter, is responsible for the enhancement in both cases. We extract an effective 4$`\pi `$-nucleon vertex which is responsible for the enhancement but has not been considered in the non-liear models for in-medium $`\pi \pi `$ interaction. Relation of this vertex and a next-to-leading order terms in the heavy-baryon chiral lagrangian, $`_{\pi N}^{(2)}`$, is also discussed.

Exploring possible evidence of partial restoration of chiral symmetry in hot and/or dense nuclear medium is an intriguing subject in hadron physics (see e.g., ). In particular, the softening of the scalar-iso-scalar ($`I=J=0`$) fluctuation in matter could be a distinct signal of the partial restoration of chiral symmetry, as was originally pointed out in .

In a recent paper , Shimizu and two of the present authors have shown, using the linear $`\sigma `$ model (L$`\sigma `$M), that the partial restoration of chiral symmetry in nuclear matter leads to an enhanced spectral function near the 2$`\pi `$ threshold in the $`\sigma `$-channel. (The similar effect in hot hadronic plasma has been considered before .) They also suggested that the enhancement of the cross section in the reaction $`\pi A\pi ^+\pi ^{}A^{}`$ near 2$`\pi `$ threshold reported by the CHAOS collaboration , which was originally motivated by a possibility of a strong $`\pi \pi `$ correlation in matter , may be interpreted as an evidence of the partial restoration of chiral symmetry.

In fact, the state-of-the-art calculations using the nonlinear chiral lagrangian together with $`\pi N`$ many-body dynamics do not reproduce the cross sections in the $`I=0`$ and $`I=2`$ channels simultaneously . In those calculations, the final state interactions of the emitted two pions in nuclei give rise to a slight enhancement of the cross section in the $`I=0`$ channel, but is not sufficient to reproduce the experimental data. This indicates that some additional mechanism such as the partial restoration of chiral symmetry may be relevant for explaining the data. Such effect can be readily incorporated in the L$`\sigma `$M as adopted in , while it is not obvious how to take into account the effect in the non-linear chiral models.

The purposes of the present paper are twofold: Firstly, we show that the near-threshold enhancement in the $`I=J=0`$ channel in nuclear matter takes place irrespective of the representations (linear or non-linear) of chiral symmetry, if the effect of partial restoration of chiral symmetry in the medium is properly incorporated. Secondly, we show that $`_{\pi N}^{(2)}`$, which is a next-to-leading order term in the non-linear chiral lagrangian in the heavy-baryon formalism, gives relevant vertices for the near-threshold enhancement in the $`I`$=$`J`$=0 channel. Such vertices have not been taken into account in previous calculations of the in-medium $`\pi \pi `$ scattering in the non-linear lagrangian approaches.

Let us first consider the $`\pi \pi `$ scattering in nuclear matter in the SU(2) L$`\sigma `$M to demonstrate the essential idea of the near-threshold enhancement. The following argument is slightly different from the original one  but is easy to be generalized to the non-linear case. The lagrangian adopted in  is the standard Gell-Mann-Levy model with a minor modification

$``$ $`=`$ $`{\displaystyle \frac{1}{4}}\mathrm{Tr}[MM^{}\mu ^2MM^{}{\displaystyle \frac{2\lambda }{4!}}(MM^{})^2`$ (1)
$``$ $`h(M+M^{})]+\overline{\psi }(i/gM_5)\psi +\mathrm{},`$ (2)
where $`M=\sigma +i\stackrel{}{\tau }\stackrel{}{\pi }`$, $`M_5=\sigma +i\gamma _5\stackrel{}{\tau }\stackrel{}{\pi }`$, $`\psi `$ is the nucleon field, and Tr is for the flavor index . In this model, the difference of the $`\pi \pi `$ scattering in the vacuum and that in nuclear matter stems from the nucleon-loops which modify the self-energies and vertices of $`\pi `$ and $`\sigma `$. The effect of the nucleons in nuclear matter on the low-energy pions are suppressed due to chiral symmetry. Therefore, one-loop contributions leading to the substantial modifications of the in-medium $`\pi \pi `$ scattering come mainly from the diagrams shown in Fig.1. Here, Fig.1(a) and Fig.1(b) are the medium modifications of the $`\sigma `$ propagator and the $`\sigma \pi \pi `$ vertex, respectively. Those mean-field contributions can be incorporated by making the following replacement in the $`\pi \pi `$ amplitude in the vacuum;

$`\sigma _0\sigma =\mathrm{\Phi }(\rho )\sigma _0,`$ (3)
where $`_0`$ ($``$) denotes the vacuum (nuclear matter) expectation value, and $`\rho `$ ($`\rho _0`$) is the baryon density (nuclear matter saturation density). $`\mathrm{\Phi }(\rho )`$ may be parameterized as $`\mathrm{\Phi }(\rho )=1C\rho /\rho _0`$ with $`C=0.10.3`$ .

The in-medium $`\pi \pi `$ scattering amplitude in the tree level is written as $`T_{\mathrm{tree}}(s,t,u)=\delta ^{ab}\delta ^{cd}A(s,t,u)+(\mathrm{crossings})`$ with

$`A(s,t,u)A(s)={\displaystyle \frac{\lambda }{3}}{\displaystyle \frac{sm_\pi ^2}{sm_\sigma ^2}},`$ (4)
where $`m_\sigma ^{}`$ is the in-medium $`\sigma `$ mass defined by $`m_\sigma ^2=\lambda \sigma ^2/3+m_\pi ^2`$. The scattering amplitude after the projection to $`I=J=0`$ channel reads

$`T_{\mathrm{tree}}(s)`$ $`=`$ $`{\displaystyle \frac{1}{2}}{\displaystyle _1^{+1}}d(\mathrm{cos}\theta )[3A(s)+A(t)+A(u)].`$ (5)
The tree-level amplitude generally breaks unitarity because the imaginary part is not incorporated. A simplest way to restore unitarity is to start with a trivial identity for the full amplitude, $`T(s)=(\mathrm{Re}T^1+i\mathrm{Im}T^1)^1`$, and to evaluate the inverse amplitude $`T^1`$ rather than $`T`$ . For the $`I=J=0`$ scattering below the 4$`\pi `$ threshold, the real part of $`T^1`$ may be approximated by the tree amplitude, $`\mathrm{Re}T^1T_{\mathrm{tree}}^1`$, while the unitarity condition $`i(T^{}T)=T^{}T`$ determines the imaginary part as $`\mathrm{Im}T^1=\mathrm{\Theta }(s)/2=\theta (s4m_\pi ^2)\frac{1}{32\pi }\sqrt{14m_\pi ^2/s}`$. Here $`\mathrm{\Theta }(s)`$ is the phase-space volume of the 2$`\pi `$ intermediate state. Thus one arrives at the unitarized amplitude

$$T(s)=\frac{1}{T_{\mathrm{tree}}^1(s)i\mathrm{\Theta }(s)/2}.$$
(6)
The in-medium $`\pi \pi `$ cross section is obtained by multiplying the flux factor: $`\sigma _{\pi \pi }(s;\rho )|T(s)|^2/s`$. Shown in Fig.2 is the cross section for the $`I=J=0`$ channel in arbitrary unit. One can see the enhancement near 2$`\pi `$ threshold associated with the decrease of the chiral condensate $`\sigma `$. The parameters in the lagrangian are chosen so that $`m_\pi `$=140MeV, $`\sigma _0`$=$`f_\pi `$=93MeV and $`m_\sigma ^{}(\rho =0)`$=550MeV (which corresponds to $`\lambda /4\pi =7.8`$) are reproduced. We have checked that the case for $`m_\sigma ^{}(\rho =0)`$=750MeV ($`\lambda /4\pi =15.0`$) does not show qualitative change. The scattering lengths for $`(I=0,J=0)`$ and $`(I=2,J=0)`$ channels are well reproduced in these parameters. In Fig.3, the in-medium cross section relative to its vacuum value defined below is shown;

$`R={\displaystyle \frac{\sigma _{\pi \pi }(s;\rho )}{\sigma _{\pi \pi }(s;\rho =0)}}.`$ (7)
As is anticipated, a large enhancement near 2$`\pi `$ threshold can be seen in Fig. 3. However, to make a realistic comparison of our schematic calculation with the experimental data, one needs to incorporate the amplitudes describing the elementary processes of the pion production and absorption in the reaction $`\pi A\pi \pi A^{}`$. This is beyond the scope of this work.

The near-threshold enhancement of $`T(s)`$ and $`R`$ in eqs. (6,7) takes place in association with partial restoration of chiral symmetry in nuclear matter. In fact, as $`\sigma `$ decreases, $`m_\sigma ^{}`$ approaches 2$`m_\pi `$, which implies that $`T_{\mathrm{tree}}^1(s2m_\pi )`$ tends to be suppressed. Hence the $`s`$-dependence of the full inverse amplitude $`T^1(s)`$ just above the 2$`\pi `$ threshold is governed by the imaginary part $`\mathrm{\Theta }(s)/2`$, which causes the near-threshold enhancement of $`T(s)`$. This is consistent with the observation made in Ref., where the spectral function in the $`\sigma `$-channel rather than the $`T`$-matrix is shown to have a near-threshold enhancement by the same mechanism .

At this point, a natural question to ask is whether the near-threshold enhancement obtained in L$`\sigma `$M arises also in the non-linear models. Furthermore, if it is the case, what kind of vertices in the non-linear chiral lagrangian are responsible for the enhancement? To study these problems, we start with the standard polar parameterization of the chiral field, $`M=\sigma +i\stackrel{}{\tau }\stackrel{}{\pi }=(\sigma +S)U`$ with $`U=\mathrm{exp}(i\stackrel{}{\tau }\stackrel{}{\varphi }/f_\pi ^{})`$. Here, $`\sigma `$ is the sigma condensate in nuclear matter as before, while $`f_\pi ^{}`$ is a would-be “in-medium pion decay constant” taken as an arbitrary constant for the moment. Putting the parameterization into eq.(1) and making suitable redefinition of the nucleon field from $`\psi `$ to $`N`$, one obtains the non-linear form of (1),

$``$ $`=`$ $`{\displaystyle \frac{1}{2}}[(S)^2m_\sigma ^2S^2]{\displaystyle \frac{\lambda \sigma }{6}}S^3{\displaystyle \frac{\lambda }{4!}}S^4`$ (8)
$`+`$ $`{\displaystyle \frac{(\sigma +S)^2}{4}}\mathrm{Tr}[UU^{}]+{\displaystyle \frac{\sigma +S}{4}}h\mathrm{Tr}[U^{}+U]`$ (9)
$`+`$ $`_{\pi N}^{(1)}gS\overline{N}N,`$ (10)
with

$`_{\pi N}^{(1)}=\overline{N}(i/+iv/+ia/\gamma _5m_N^{})N`$ (11)
where $`(v_\mu ,a_\mu )=(\xi _\mu \xi ^{}\pm \xi ^{}_\mu \xi )/2`$, and $`m_N^{}=g\sigma `$. $`\sigma `$ is to be determined by minimizing the effective potential in nuclear matter calculated with eq.(8), or equivalently by the condition $`S=0`$. In the mean-field level, the density dependence of $`\sigma `$ is dictated solely by the Yukawa coupling, $`S\overline{N}N`$.

It is worth emphasizing that $`f_\pi ^{}`$, which has been left undetermined, should be chosen as $`f_\pi ^{}=\sigma `$ to impose proper normalization of the pion field in nuclear matter. This is in fact crucial for the linear and non-linear representations to give equivalent results in nuclear matter.

In-medium $`\pi \pi `$ amplitude $`A(s)`$ in the tree level obtained from (8) reads

$`A(s)={\displaystyle \frac{sm_\pi ^2}{\sigma ^2}}{\displaystyle \frac{(sm_\pi ^2)^2}{\sigma ^2}}{\displaystyle \frac{1}{sm_\sigma ^2}}.`$ (12)
The first term in (12) comes from the contact 4$`\pi `$ coupling generated by the expansion of the second line in (8) with the coefficient proportional to $`1/\sigma ^2`$. On the other hand, the second term in (12) is from the contribution of the scalar meson $`S`$ in the $`s`$-channel.

Of course, $`A(s)`$ in eq.(12) and its unitarized amplitude $`T(s)`$ are exactly the same with eq. (4) and eq.(6), respectively, since what we have done is simply the field redefinition. Nevertheless, we have two observations from the chiral invariant decomposition eq.(12):

(i) If $`m_\sigma ^{}`$ ($`=\lambda \sigma ^2/3+m_\pi ^2`$) is finite and decreases as density increases, the near-threshold enhancement occurs exactly in the same way as the previous case shown in Fig.2 and Fig.3.

(ii) Even in the limit where $`m_\sigma ^{}`$ is infinitely large ($`\lambda \mathrm{}`$) and hence the second term of eq.(12) is negligible, the first term signals the enhanced attraction of the $`\pi \pi `$ interaction as long as $`\sigma `$ decreases in nuclear matter.

The second observation is demonstrated in Fig.4 where the in-medium $`\pi \pi `$ cross section in the $`I`$=$`J`$=0 channel is calculated with the unitarized amplitude obtained only from the first term of (12). Although the enhancement is smaller than that of L$`\sigma `$M, there is still a large enhancement in the narrow range of the $`\pi \pi `$ invariant mass near 2$`\pi `$ threshold. One should note here that as $`\sigma `$ decreases, the convergence of the chiral expansion of $`A(s)`$ by $`s/\sigma `$ becomes less reliable. Therefore, Fig.4 with only the leading term in the chiral expansion should be taken as a qualitative one.

It is in order here to emphasize the relation of the near-threshold enhancement and the softening of the $`I=J=0`$ fluctuation in nuclear matter. Such fluctuation can be characterized by the complex pole of the unitarized amplitude $`T(s)`$ in eq.(6). For simplicity, let us take the case (ii) in the chiral limit, where the analytic solution can be written as $`\sqrt{s_{\mathrm{pole}}}=\sqrt{8\pi }\sigma (1i)`$. This complex pole corresponds to a broad $`I=J=0`$ mode dynamically generated by the $`\pi \pi `$ rescattering. As $`\sigma `$ is reduced in the medium, the pole moves toward the origin in the complex $`\sqrt{s}`$-plane  and thus causes an enhancement in the $`\pi \pi `$ cross section as shown in Fig.4. It is also true for the case (i) leading to Fig.2. Such connection between the moving pole in the complex plane and the near-threshold enhancement has been first pointed out in  using the Nambu-Jona-Lasinio model. Further study in the present context with finite $`m_\pi `$ will be discussed elsewhere .

Now, we turn to the question on the effective vertex responsible for the enhanced $`\pi \pi `$ attraction in nuclear matter in the non-linear chiral lagrangian. To study this, let us start with eq. (8) in the vacuum and take a heavy-scalar ($`S`$) limit and heavy-baryon ($`N`$) limit simultaneously. These limits can be achieved by $`\lambda ,g\mathrm{}`$ with $`g/\lambda `$ and $`\sigma _0=f_\pi `$ being fixed. In this limit, the heavy scalar field $`S`$ may be integrated out and the following effective lagrangian is obtained:

$``$ $`=`$ $`\left({\displaystyle \frac{f_\pi ^2}{4}}{\displaystyle \frac{gf_\pi }{2m_\sigma ^2}}\overline{N}N\right)\left(\mathrm{Tr}[UU^{}]{\displaystyle \frac{h}{f_\pi }}\mathrm{Tr}[U^{}+U]\right)`$ (14)
$`+_{\pi N}^{(1)}+\mathrm{},`$
where all the constants take their vacuum values: $`f_\pi =\sigma _0`$, $`m_\sigma ^2=\lambda \sigma _0^2/3+m_\pi ^2`$, and $`m_N=g\sigma _0`$. Note that $`gf_\pi /2m_\sigma ^2`$ in front of $`\overline{N}N`$ approaches to a finite value $`3g/2\lambda f_\pi `$ in the heavy limit, thus it cannot be neglected. In (14), $`\mathrm{}`$ denotes other higher dimensional operators which are not relevant for the discussion below.

In the uniform nuclear matter, $`\overline{N}N`$ in eq.(14) may be replaced by $`\rho `$. This leads to a reduction of the vacuum condensate; $`f_\pi =\sigma _0\sigma =\sigma _0(1g\rho /f_\pi m_\sigma ^2)=f_\pi ^{}`$. Then the proper normalization of the pion field in nuclear matter should be $`\varphi ^{}=(\varphi /f_\pi )f_\pi ^{}`$. The in-medium $`\pi \pi `$ scattering with this normalization exactly reproduces the first term in (12) as it should be. Therefore, the origin of the near-threshold enhancement in the heavy limit can be ascribed to the following new vertex:

$`_{\mathrm{new}}={\displaystyle \frac{3g}{2\lambda f_\pi }}\overline{N}N\mathrm{Tr}[UU^{}].`$ (15)
Because this vertex is proportional to the scalar-isoscalar density of the nucleon, it affects not only the pion propagator but also the interaction among pions in nuclear matter. In Fig.5, 4$`\pi `$-$`N`$-$`N`$ vertex generated by $`_{\mathrm{new}}`$ is shown as an example. Note that the vertex in Fig.5 acts to enhance the $`\pi \pi `$ attraction in the $`I=J=0`$ channel in nuclear matter. Despite its important role, this vertex has not been considered so far in the calculations of the $`\pi \pi `$ scattering amplitudes in nuclear matter in the non-linear approaches.

Here it should be pointed out that the vertex eq.(15) which we have extracted from the L$`\sigma `$M has been known to be one of the next-to-leading order terms in the non-linear chiral lagrangian in the heavy-baryon formalism . In fact, the chiral lagrangian with the nucleon up to $`𝒪(Q^2)`$ of the chiral counting reads

$`=_{\pi \pi }^{(2)}+_{\pi N}^{(1)}+_{\pi N}^{(2)},`$ (16)
where $`_{\pi \pi }^{(2)}`$ is the standard $`𝒪(Q^2)`$ lowest order chiral lagrangian for the pion, $`_{\pi N}^{(1)}`$ (essentially the same as $`_{\pi N}^{(1)}`$ in (8)) is the $`𝒪(Q)`$ term with a single derivative. $`_{\pi N}^{(2)}`$ is an $`𝒪(Q^2)`$ term having the following structure (the complete structure is given in Appendix A of ),

$`_{\pi N}^{(2)}`$ $`=`$ $`c_3\overline{N}(uu)N+(c_2{\displaystyle \frac{g_A^2}{8m_N}})\overline{N}(\mathrm{v}u)^2N`$ (18)
$`+c_1\overline{N}N\mathrm{Tr}(U^{}\chi +\chi ^{}U)+\mathrm{},`$
where $`u_\mu =i\xi ^{}_\mu U\xi ^{}`$, $`U=\xi ^2=\mathrm{exp}(i\tau ^a\varphi ^a/f_\pi )`$, $`\mathrm{v}_\mu `$ is the four velocity of the nucleon, $`g_A`$ is the axial charge of the nucleon, and $`\chi =h/f_\pi `$ denotes the explicit symmetry breaking. Thorsson and Wirzba  have derived the in-medium chiral lagrangian from eq.(18) by taking the mean-field approximation for the nucleon field;

$``$ $`=`$ $`({\displaystyle \frac{f_\pi ^2}{4}}+{\displaystyle \frac{c_3}{2}}\rho )\mathrm{Tr}[UU^{}]`$ (21)
$`+({\displaystyle \frac{c_2}{2}}{\displaystyle \frac{g_A^2}{16m_N}})\rho \mathrm{Tr}[_0U_0U^{}]`$
$`+({\displaystyle \frac{f_\pi ^2}{4}}+{\displaystyle \frac{c_1}{2}}\rho )\mathrm{Tr}(U^{}\chi +\chi ^{}U).`$
Note that $`_{\pi N}^{(1)}`$ in (16) disappears in (21) because of the isospin symmetry in nuclear matter.

As is shown in , the coefficients $`c_{1,2,3}`$ are related to the $`\pi N`$ sigma term, the iso-spin even $`S`$-wave $`\pi N`$ scattering length, and the nucleon axial polarizability, respectively. We just quote here the numbers although they have large potential uncertainties: $`c_1=0.87\mathrm{GeV}^1`$, $`c_2=3.34\mathrm{GeV}^1`$, and $`c_3=5.25\mathrm{GeV}^1`$.

By comparing eq.(14) with eq.(18) or eq.(21), we observe that the new vertex of the form $`\overline{N}N\mathrm{Tr}[UU^{}]`$ appear in both cases with the same sign. In eq.(14), we have only the Lorentz invariant terms because we have integrated out only the scalar meson $`S`$. On the other hand, eq.(21) contains more general $`O(3)`$ invariant terms because it potentially contains the effect of heavy excited baryons .

Finally, let us comment on the recent analysis by Oset and Vicente Vacas on the $`\pi \pi `$ scattering in nuclear matter using non-linear chiral lagrangian . They adopted only $`_{\pi \pi }^{(2)}+_{\pi N}^{(1)}`$ for the $`\pi N`$ dynamics and concluded that the near-threshold enhancement is not obtained from the 4$`\pi `$-$`N`$-$`N`$ vertex generated by $`_{\pi N}^{(1)}`$. This observation is consistent with what we have mentioned before; the effect of $`_{\pi N}^{(1)}`$ disappears due to isospin symmetry and has no significance on the threshold $`\pi \pi `$ correlation. Therefore, it is of of great importance to make an extensive analysis of the $`\pi \pi `$ interaction in nuclear matter with $`_{\pi N}^{(2)}`$.

In summary, we have shown that the near-threshold enhancement of the in-medium $`\pi \pi `$ scattering in the $`I=J=0`$ channel occurs both in the linear and nonlinear representation of chiral symmetry. The enhancement is caused by the in-medium reduction of the chiral condensate associated with partial restoration of chiral symmetry. In fact, the decrease of the chiral condensate is shown to enhance the $`\pi \pi `$ attraction in the $`I=J=0`$ channel and simultaneously induce the softening of the scalar-iso-scalar fluctuations in nuclear matter. Also, we have identified an effective 4$`\pi `$-nucleon vertex responsible for the enhancement and discussed its relation to the next-to-leading order term $`_{\pi N}^{(2)}`$ in the non-linear chiral lagrangian in the heavy-baryon formalism. It is thus an intriguing problem to examine whether the softening of the scalar-iso-scalar fluctuation induced by $`_{\pi N}^{(2)}`$ manifests itself in explaining the CHAOS data in the non-linear lagrangian approach.

T.H. Thanks J. Wambach, G. Chanfray, P. Schuck, E. Oset, M. J. Vicente Vacas and N. Grion for useful discussions. This work was partially supported by the Grants-in-Aid of the Japanese Ministry of Education, Science and Culture (No. 12640263 and 12640296). The work by D.J. was supported by the Spanish Ministry of Education in the Program “Estancias de Doctores y Tecnólogos Extranjeros en España”.


text:
# First order phase transition with a logarithmic singularity in a model with absorbing states

## I Introduction

In nonequilibrium statistical physics the study of phase transition continues to attract considerable attention . In this context, continuous phase transition into absorbing states have been of particular interest . It is believed that absorbing-state transitions can be categorized into universality classes, the most prominent ones being directed percolation (DP)  and the so-called parity-conserving (PC) universality class . On the other hand, various nonequilibrium models are known to exhibit a discontinuous phase transition . Especially in one spatial dimension first-order transitions require a very robust mechanism in order to stabilize the ordered phases. As suggested in Ref. , first-order transitions in one dimension should be impossible under certain generic conditions if one of the ordered phases fluctuates.

Recently, Lipowski introduced a model with infinitely many absorbing states which exhibits a first-order transition from a fluctuating active state into an absorbing phase . Remarkably, this transition takes place even in one spatial dimension. Unlike previously investigated models, the dynamic rules involve products of real-valued local variables. Surprisingly, the first-order transition is accompanied by an apparent power-law singularity of the stationary particle density, suggesting that the model may combine features of continuous and discontinuous phase transitions. This observation collides with the commonly accepted belief that there are no power-law singularities in first-order phase transitions. The aim of this work is to study the origin of this unusual type of singularity in more detail.

The model considered in Ref.  is defined as follows. Each site $`i`$ of a given lattice is connected to $`n`$ neighboring sites $`j<i>`$. Each bond carries a real-valued variable $`w_{ij}=w_{ji}(1/2,+1/2)`$. The set of all bond variables specifies the state of the system. A site is considered to be active if the product of all adjacent bond variables is smaller than a certain control parameter $`r`$:

$$\underset{j<i>}{}w_{i,j}<r.$$
(1)
Initially all bond variables are uniformly distributed between $`1/2`$ and $`+1/2`$. The model evolves by random sequential updates according to the following dynamic rules. For each update attempt a site is randomly selected. If it is active, all adjacent bond variables are replaced by new random numbers distributed between $`1/2`$ and $`+1/2`$. Lipowski considered the case of $`n=4`$ neighbors using a one-dimensional triangular ladder and a two-dimensional square lattice (see Fig. 1).

Due to the use of real-valued local variables, the model has infinitely many absorbing states. Moreover, the dynamic rules are invariant under certain gauge transformations. For example, we may invert the sign of all bond variables along a closed contour without changing the pattern of activity in a given configuration. The implications of this type of gauge invariance are not yet fully understood.

In order to understand the existence of a phase transition, let us consider two extremal situations. On the one hand, for $`r>2^n`$ it is obvious that all sites are active during the entire temporal evolution. On the other hand, for $`r<0`$ there is a finite probability to generate bond variables with $`|w_{i,j}|<2^{n1}|r|`$. This means that certain pairs of sites $`i`$ and $`j`$ remain inactive forever, irrespective of the values of the other bond variables. Thus, the process continuously ”switches off” certain pairs of sites and therefore approaches an absorbing configuration within an exponentially short time.

Interestingly, for r=0 the model is still in the active phase with a non-vanishing stationary density of active sites $`\rho _0>0`$ (see Fig. 2). Thus, the spreading process undergoes a discontinuous phase transition at $`r=0`$. Even more surprisingly, the stationary density $`\rho _s(r)`$ does not decrease linearly versus $`\rho _0`$ as $`r0`$, instead the slope of the curve seems to diverge. This observation led Lipowski to the conjecture that the model may combine features of discontinuous and continuous transitions, calling for a power-law behavior of the form

$$\begin{array}{cc}\hfill \rho _s(r)& \rho _0+ar^\beta \text{for }r0,\hfill \\ \hfill \rho _s(r)& =\mathrm{\hspace{0.33em}0}\text{for }r<0.\hfill \end{array}$$
(2)
where $`a`$ is a certain factor and $`\beta `$ is the critical exponent associated with the order parameter $`\rho `$. Performing numerical simulations Lipowski found the estimates $`\rho _0=0.314827,\beta =0.66(3)`$ in one dimension and $`\rho _0=0.358,\beta =0.58(1)`$ in two dimensions, respectively. Moreover, he observed that the dynamical critical exponent $`z=\nu _{}/\nu _{}0.2`$ is very small.

In the present paper we propose a different explanation of the diverging slope in Fig. 2 based on the following arguments:

1. The singularity of the slope in Fig. 2 emerges as an artifact of the definition of activity in terms of a product. While the bond variables are uniformly distributed, the probability distribution of the product diverges for $`r0`$, leading to a singularity of the slope. An explicit formula is derived, showing that the slope diverges logarithmically as $`r0`$. In particular, there there is no power law of the form (2).
2. Redefining the control parameter, the model displays a conventional first-order phase transition without a diverging slope. Moreover, there is no diverging length scale at the transition.
3. Since for $`r<0`$ the system is immediately driven towards one of the absorbing states, the continuous transition may be thought of as being hidden in the inaccessible region $`r<0`$. In order to support this point of view, we generalize the model in such a way that the continuous transition is shifted to the accessible region $`r0`$. As expected, the transition belongs to the universality class of directed percolation.

## II Logarithmic singularity

In this Section we demonstrate that the singularity of the slope in Fig. 2 is a consequence of the multiplicative definition of activity in Eq. (1). To this end we consider the reactivation probability $`W(r)`$ that a site remains active after an update. In a spreading process, the reactivation probability provides a good measure of the effective spreading rate by which nearest neighbors will be activated. In most spreading processes near the transition, the reactivation probability varies to lowest order linearly with the control parameter of the model. Therefore, a power law of the form $`\rho _s(W(r)W(r_c))^\beta `$ immediately implies the same power law in terms of the control parameter $`\rho _s(rr_c)^\beta `$. In the present model, however, $`W(r)`$ is a nonlinear function at the transition. Therefore, it does matter whether $`r`$ or $`W(r)`$ is used as control parameter.

Our explanation relies on the assumption that $`W(r)`$ is the ”true” control parameter of the model. In terms of $`W(r)`$ the model exhibits a regular first order phase transition without singularity, i.e., the density varies linearly with $`W(r)W(r_c)`$. The apparent singularity in terms of $`r`$ originates solely in the non-analytic behavior of the function $`W(r)`$ in the limit $`r0`$.

In order to compute $`W(r)`$ let us consider $`n`$ independent random numbers $`z_1,z_2,\mathrm{},z_n`$ drawn from a flat distribution between $`1/2`$ and $`+1/2`$. Clearly, the probability $`P^{(1)}(z)dz`$ to find one of these random numbers between $`z`$ and $`z+dz`$ is constant for $`|z|1/2`$. However, the product $`z=_{i=1}^nz_i`$ of the random numbers is not uniformly distributed. The probability distribution $`P^{(n)}(z)`$ can be computed iteratively by

$$\begin{array}{cc}\hfill P^{(k+1)}(z)& =_{\frac{1}{2}}^{+\frac{1}{2}}𝑑z^{}_{\frac{1}{2^k}}^{+\frac{1}{2^k}}𝑑z^{\prime \prime }P^{(k)}(z^{})\delta (zz^{}z^{\prime \prime })\hfill \\ & =_{\frac{1}{2}}^{+\frac{1}{2}}𝑑z^{}\frac{1}{z^{}}P^{(k)}(z/z^{})\mathrm{\Theta }(z^{}|z|2^k)\hfill \\ & =2_{2^k|z|}^{+\frac{1}{2}}𝑑z^{}\frac{1}{z^{}}P^{(k)}(|z|/z^{})\hfill \end{array}$$
(3)
with $`P^{(1)}(z)=1`$, leading to the exact result

$$P^{(n)}(z)=\frac{(2)^{n1}}{(n1)!}(\mathrm{log}_e2^n|z|)^{(n1)}.$$
(4)
Thus, the probability $`W(r)`$ to reactivate an updated site is given by

$$\begin{array}{cc}\hfill W(r)& =_{\frac{1}{16}}^r𝑑zP^{(4)}(z)\hfill \\ & =\frac{1}{2}+r(\mathrm{\hspace{0.17em}8}8(\mathrm{log}_e16|r|)+\hfill \\ & 4(\mathrm{log}_e16|r|)^2\frac{4}{3}(\mathrm{log}_e16|r|)^3).\hfill \end{array}$$
(5)
For small values of $`r`$, we therefore expect the stationary density to be given by

$$\begin{array}{cc}\hfill \rho _s(r)& \rho _0+A\left(W(r)\frac{1}{2}\right)\text{for }r0,\hfill \\ \hfill \rho _s(r)& =\mathrm{\hspace{0.33em}0}\text{for }r<0,\hfill \end{array}$$
(6)
where $`A`$ is a fit parameter. This formula replaces the power law in Eq. (2), implying that the slope of $`\rho _s(r)`$ diverges logarithmically as $`(\mathrm{log}_e16|r|)^3`$ for $`r0`$ in any dimension. This explains why Lipowski’s results in one and two dimensions are so similar.

In order to support the validity of Eq. (6), we performed Monte Carlo simulations (see Table I). Our estimate for the stationary density $`\rho _0`$ in one dimension deviates slightly from the value quoted in . This deviation may be explained as follows. On the one hand, the random number generator plays a crucial role. Since most algorithms generate internally an integer random number, the output is often quantized in steps of about $`10^8`$, leading to wrong results if $`r`$ is very small. On the other hand, the machine precision itself limits the accuracy. This problem can be avoided by storing $`\mathrm{log}(|w_{ij}|)`$ and $`\text{sgn}(w_{ij})`$ instead of $`w_{i,j}`$ and turning the product in Eq. (1) into a sum of logarithms. Taking these technical subtleties into account, we obtain a different estimate.

As shown in Fig. 3, the results for the stationary density in one and two dimensions are very similar. Moreover, for small values of $`r`$ the curvature of the lines is in fair agreement with the theoretical prediction of Eq. (6). In any case, the possibility of a power-law singularity can be ruled out. As expected, there is no singularity if $`\rho _s`$ is plotted against $`W(r)W(0)`$ (see Fig. 4).

## III Continuous transition in a generalized model

As outlined in the Introduction, the first-order phase transition at $`r=0`$ is induced by frozen pairs of inactive sites. Since for any negative value of $`r`$ there is a finite probability to generate such pairs during the temporal evolution, the system is driven into one of the absorbing states within an exponentially short time. Roughly speaking, the spreading process is switched off as soon as $`r<0`$. Thus, the continuous transition, which is expected to exist in ordinary spreading processes, may be thought of as being hidden in the inaccessible region $`r<0`$.

In order to support this point of view, we generalize the model in such a way that the continuous transition is shifted to the accessible region $`r0`$. This can be done by introducing two control parameters $`r_1,r_2`$ and considering a site to be active if the product of adjacent bond variables lies in the interval $`(r_1,r_2)`$. Clearly, this model includes the original one as a special case. Moreover, the phase diagram is symmetric under exchange $`r_1r_2`$. In order to avoid frozen pairs of sites, we will assume that both parameters are positive. Obviously, for very small values of $`r_1`$ and $`r_2`$ the spreading probability is so small that the model will be in the absorbing phase. Increasing $`r_1`$ and $`r_2`$, we observe a continuous transition from the absorbing to the active phase, as shown in Fig. 5.

We verified that the critical behavior along the entire transition line belongs to the universality class of directed percolation. Note that the $`Z_2`$ symmetry along the diagonal $`r_1=r_2`$ does not lead a different type of transition since it is not a symmetry of the order parameter.

## IV Conclusions

The common feature of the models introduced by Lipowski et al. is the use of products of real-valued local variables in the definition of the dynamic rules. The models display very interesting phenomena which are usually not observed in models with linear local rules. As we have shown in the present paper, the use of nonlinear rules is crucial since nonlinear functions of random numbers may not be uniformly distributed. A special situation emerges if the distribution exhibits a singularity. In this case a tiny change of the control parameter may lead to a dramatic variation of the order parameter. For the model investigated in , such a singularity is responsible for the diverging slope in Fig. 2. Thus, in contrast to a previous conjecture, the model does not combine features of first- and second-order phase transitions. In particular, the model is not critical and the correlation length remains finite as $`r0`$. We expect that similar phenomena may emerge whenever the dynamic rules are defined in terms of nonlinear functions of real-valued random variables.


text:
# Scalar field collapse in three-dimensional AdS spacetime

## I Introduction

Dynamical gravitational collapse of matter field configurations continues to be an interesting problem in general relativity. The questions concern whether the long time static or stationary limit of collapse results in a black hole or a naked singularity, the details of the final outcome, and the dependence of results on matter type and symmetries of the system.

Among the simplest such systems is the Einstein-scalar equations with minimally coupled massless scalar field with certain symmetries. Initial work on this system in four spacetime dimensions in spherical symmetry was due to Christodoulou , who showed that there exist classes of initial scalar configurations which give regular solutions for all time. Subsequently, numerical work by Goldwirth and Piran  established that black hole formation occurs for certain classes of initial data. A few years later a comprehensive study of this system by Choptuik  answered several important questions. In particular he showed that regular initial data characterized by parameter $`p`$ leads to a black hole with mass $`M(pp_{})^\gamma `$ where $`p_{}<p`$ is a certain critical value of $`p`$ and $`\gamma `$ is a numerically determined exponent. This work also showed that the solution $`p=p_{}`$ is a naked singularity.

Since this initial work many other systems have been studied and similar behaviour found at the threshold of black hole formation. A semi-analytical understanding of the exponent in the mass formula has been obtained by assuming a critical solution and studying the linearized perturbation equations. For a comprehensive review and references see Ref. .

In the present work we describe a numerical simulation of minimally coupled scalar field collapse in three spacetime dimensions with negative cosmological constant. This system is of interest for a number of reasons. (i) A length scale set by the cosmological constant is present unlike the four dimensional Einstein-scalar case, where the only scale (apart from the gravitational constant) enters via initial data. (ii) There is a static black hole solution in three dimensions with mass determined in units of the (negative) cosmological constant. In particular, there is no black hole with zero cosmological constant.(iii) The asymptotic spacetime is anti-deSitter (AdS) and not Minkowski, which may permit the possibility of reflecting an outgoing scalar field back to the interior.

Furthermore, on a separate but related note, there is currently interest in asymptotically anti-deSitter metrics from string theory, where the so called AdS/CFT correspondence has been proposed between gravitational phenomena in the bulk of anti-deSitter spacetime and physical effects in certain conformally invariant Yang-Mills theories on its boundary . The essence of the correspondence are certain proposed ‘dictionary’ entries which translate between gravitational and Yang-Mills phenomena. In particular, the correspondence relates low energy gravity processes with high energy Yang-Mills ones, and vice versa. Although this correspondence is for five dimensional AdS, there is an analog of the correspondence relevant to three dimensions. Thus, any critical or other behaviour found in matter collapse in the bulk AdS spacetime may provide hints for a dictionary entry for the AdS/CFT conjecture. As such results of the present work are potentially of interest for string theory.

There has been other work, both analytical and numerical on matter collapse in three dimensions. There are Vaidya-like solutions  for collapsing dust, with and without pressure. Analytic results have been found for the collapse of dust shells  and point particles . A recent numerical study of this same system has been carried out by Pretorius and Choptuik using a different coordinatization and numerical technique . More recently an exact critical self-similar solution has been found , and the nature of the singularity within the black hole has been studied using a model system .

This paper is organized as follows. The next section presents the system of equations and the details of the boundary conditions we use. Section III describes the numerical procedure. The final section describes the results and outline of possible future work.

## II Einstein-Scalar equations

The Einstein-scalar equations with cosmological constant $`\mathrm{\Lambda }1/l^2`$ are

$$G_{ab}\frac{1}{l^2}g_{ab}=2\pi T_{ab},$$
(1)
with

$$T_{ab}=_a\varphi _b\varphi \frac{1}{2}g_{ab}g^{cd}_c\varphi _d\varphi .$$
(2)
These may be rewritten in the form

$$R_{ab}+\frac{2}{l^2}g_{ab}=2\pi _a\varphi _b\varphi .$$
(3)
The general circularly symmetric metric in three spacetime dimensions in double null coordinates $`(u,v)`$ may be written as

$$ds^2=g_{ab}dx^adx^b=2lg(u,v)r^{}(u,v)dudv+l^2r^2(u,v)d\theta ^2,$$
(4)
where we are taking $`g`$ and $`r`$ to be dimensionless functions, $`(u,v)`$ and $`l`$ have dimensions of length, and $`f^{}=f/v`$, $`\dot{f}=f/u`$. In this parametrization, coordinate freedom has been fixed since there are only two metric functions to be determined. Time evolution may be viewed as occuring with respect to the coordinate $`u`$.

The $`vv`$ component of the Einstein equations is the constraint

$$\frac{g^{}r^{}}{gr}=2\pi (\varphi ^{})^2,$$
(5)
on a fixed $`u`$ surface. The $`\theta \theta `$ component is the time (or $`u`$) evolution of $`r`$

$$l\dot{r}^{}=rr^{}g.$$
(6)
Finally, the time evolution of the scalar field is provided by the Klein-Gordon equation

$$(r\varphi ^{}\dot{)}+(r\dot{\varphi })^{}=0.$$
(7)
The remaining components of the Einstein equation are identically satisfied as consequence of these three equations.

If $`\varphi =0`$ these equations admit a black hole solution first discovered in . In the standard $`(r,t)`$ coordinates the black hole metric is

$$ds^2=\left(\left(\frac{r}{l}\right)^2M\right)dt^2+\left(\left(\frac{r}{l}\right)^2M\right)^1dr^2+r^2d\theta ^2.$$
(8)
AdS space is recovered by setting $`M=1`$. We can label the outgoing radial null geodesics of the AdS metric by $`u`$ and the ingoing ones by $`v`$. These coordinates are defined by

$$u=tl\mathrm{tan}^1\left(\frac{r}{l}\right)v=t+l\mathrm{tan}^1\left(\frac{r}{l}\right)$$
(9)
Therefore AdS space in double null coordinates with our choice of dimensions and parametrization is given by

$$r(u,v)=\mathrm{tan}\left(\frac{vu}{2l}\right),g(u,v)=1.$$
(10)
Similarly, the BTZ black hole in the corresponding null coordinates is given by Note that this is the BTZ solution for $`r<\sqrt{M}`$. For $`r>\sqrt{M}`$ the tanh is replaced by coth.

$$r(u,v)=\sqrt{M}\mathrm{tanh}\left[\frac{\sqrt{M}}{2l}(uv)\right],g(u,v)=1.$$
(11)
Thus $`r=0`$ corresponds to $`u=v`$. In the following we will use this as one of the boundary conditions for the full set of coupled equations.

Equations (57) may be rewritten in a first order initial value form suitable for numerical integration as follows: On a constant $`u`$ surface, integrating the constraint equation (5) gives

$$g=k_1(u)\mathrm{exp}\left[2\pi _u^v𝑑\stackrel{~}{v}\left(\frac{r}{r^{}}(\varphi ^{})^2\right)\right],$$
(12)
where $`k_1(u)`$ is an arbitrary function of $`u`$.

Integrating (6) gives

$$\dot{r}=\frac{1}{l}_u^v𝑑\stackrel{~}{v}(grr^{})+\frac{k_2(u)}{l},$$
(13)
where $`k_2(u)`$ is an arbitrary function of $`u`$. Note that in both of these equations we are integrating from $`u`$ to $`v`$ which is to correspond to integrating outward from $`r=0`$.

Finally, using $`\dot{r}`$ from (13), and the definition

$$h\frac{2r\varphi ^{}+r^{}\varphi }{r^{}},$$
(14)
the Klein-Gordon equation (7) gives

$$\dot{h}=\frac{r}{l}(h\varphi )\left(g+\frac{k_2(u)\overline{g}}{2r^2}\right),$$
(15)
where

$$\overline{g}(u,v)_u^v𝑑\stackrel{~}{v}\left(grr^{}\right).$$
(16)
The definition of $`h`$ Eqn. (14) gives

$$\varphi (u,v)=\frac{1}{2\sqrt{r}}_u^v𝑑\stackrel{~}{v}\left(\frac{hr^{}}{\sqrt{r}}\right)+\frac{k_3(u)}{\sqrt{r}}.$$
(17)
The function $`k_3(u)`$ is fixed by noting from Eqn. (14) if $`\varphi =C`$ then $`h=C`$, where $`C`$ is a constant. Comparing this with Eqn. (17) gives $`k_3(u)=0`$.

The equations (12), (13), and (15) give the required null initial value formulation for the three-dimensional Einstein-scalar system with negative cosmological constant $`\mathrm{\Lambda }=1/l^2`$. These equations contain two arbitrary functions $`k_1(u)`$ and $`k_2(u)`$, which are to be fixed by boundary conditions. With these functions fixed, initial data sets $`r(u=0,v)`$ and $`h(u=0,v)`$ (derived from $`\varphi `$) can be evolved to later times $`u`$.

Let us now see how the arbitrary functions in the equations are fixed. The most natural boundary condition is the requirement that the metric is regular at the origin $`r=0`$, which is a timelike line. In our formulation $`r(u,v)`$ is a field variable. Therefore we must first define where $`r=0`$ is in order to impose regularity conditions there. As noted above the natural choice motivated by AdS and the BTZ black hole is $`r=0`$ at $`u=v`$, i.e.

$$r(u,u)=0,$$
(18)
which implies

$$\dot{r}(u,u)=r^{}(u,u).$$
(19)
With this choice for $`r=0`$, there are two possible boundary conditions that may be imposed at $`r=0`$. Before describing these we set $`k_1(u)=1`$ for simplicity.

(i) No conical singularity at $`r=0`$. This gives the condition

$$\dot{r}(u,u)=n^2g(u,u)/2l.$$
(20)
where $`n`$ is an integer. (See the Appendix.) Using this in Eqn. (13) gives

$$k_2(u)=\frac{n^2g(u,u)}{2}=\frac{n^2}{2},$$
(21)
which is to be used in the evolution equations (13) and (15).

(ii) The $`uv`$ metric function is unity:

$$2lg(u,u)r^{}(u,u)=2lg(u,u)\dot{r}(u,u)=1.$$
(22)
Therefore

$$\dot{r}(u,u)=\frac{1}{2lg(u,u)},$$
(23)
and eqn. (13) gives

$$k_2(u)=\frac{1}{2}$$
(24)
We shall use $`k_2(u)=1/2`$. In summary the first order equations to be integrated numerically are

$`\dot{r}`$ $`=`$ $`{\displaystyle \frac{\overline{g}}{l}}{\displaystyle \frac{1}{2l}}`$ (25)
$`\dot{h}`$ $`=`$ $`{\displaystyle \frac{r}{l}}(h\varphi )\left(g{\displaystyle \frac{\overline{g}}{2r^2}}{\displaystyle \frac{1}{4r^2}}\right)`$ (26)
where

$`g`$ $`=`$ $`\mathrm{exp}\left[{\displaystyle \frac{\pi }{2}}{\displaystyle _u^v}𝑑\stackrel{~}{v}\left({\displaystyle \frac{r^{}}{r}}(h\varphi )^2\right)\right]`$ (27)
$`\overline{g}`$ $`=`$ $`{\displaystyle _u^v}𝑑\stackrel{~}{v}\left(grr^{}\right)`$ (28)
$`\varphi `$ $`=`$ $`{\displaystyle \frac{1}{2\sqrt{r}}}{\displaystyle _u^v}𝑑\stackrel{~}{v}\left({\displaystyle \frac{hr^{}}{\sqrt{r}}}\right).`$ (29)
Notice that with $`h=\varphi =0`$ our equations with $`k_2`$ an arbitrary constant reduce to

$$\dot{r}(u,v)=\frac{r^22k_2}{2l},$$
(30)
which is to be integrated with the initial condition $`r(u,u)=0`$. The solution is

$$r(u,v)=\sqrt{2k_2}\mathrm{tanh}\left[\frac{\sqrt{2k_2}}{2l}(uv)\right].$$
(31)
Comparing with (11), we see that

$$M=2k_2.$$
(32)
Thus the value $`k_2=1/2`$, which we use for numerical integration, corresponds to $`M=1`$, which is 3-dimensional AdS. Notice that although this is the natural case to study in that it is most similar to the spherically symmetric collapse in four dimensions (because $`r=0`$ is a regular point initially), the other choices for $`k_2`$ corresponding to $`M=0`$, $`M>0`$ and $`1<M<0`$ are also interesting.

## III Numerical Method

Our numerical scheme is based on the approach used in , and its refinements in .

The evolution equations (2526) are converted into set of coupled ordinary differential equations on a grid by the correspondence

$$h(u,v)h_n(u),r(u,v)r_n(u),$$
(33)
and similarly for the derived variables $`g(u,v)`$, $`\overline{g}(u,v)`$, and $`\varphi (u,v)`$ where $`n=0,\mathrm{},N`$ specifies the $`v`$ grid. The differential equations are therefore

$`\dot{r}_n`$ $`=`$ $`{\displaystyle \frac{\overline{g}_n}{l}}{\displaystyle \frac{1}{2l}}`$ (34)
$`\dot{h}_n`$ $`=`$ $`{\displaystyle \frac{r_n}{l}}(h_n\varphi _n)\left(g_n{\displaystyle \frac{\overline{g}_n}{2r_n^2}}{\displaystyle \frac{1}{4r_n^2}}\right)`$ (35)
We take the initial value functions to be

$$r(0,v)=v,$$
(36)
with $`h(0,v)`$ determined by this and the initial scalar field configuration

$$\varphi (u=0,r)=Ar^2\mathrm{exp}\left(\frac{rr_0}{\sigma ^2}\right),$$
(37)
where $`A,\sigma `$ and $`r_0`$ are initial data parameters of the scalar field. The initial specification of the other functions is completed by computing the integrals for $`g_n`$ and $`\overline{g}_n`$ using Simpson’s rule.

The boundary conditions at fixed $`u`$ are

$$r_k=0,\overline{g}_k=0,g_k=1.$$
(38)
where $`k`$ is the index corresponding to the position of the origin $`r=0`$. (In the algorithm used all grid points $`0ik1`$ correspond to ingoing rays that have reached the origin and are dropped from the grid; see below). These conditions are equivalent to $`r(u,u)=0`$, $`g|_{r=0}=g(u,u)=1`$ etc., and guarantee regularity of the metric at $`r=0`$. Notice that for our initial data, $`\varphi _k`$ and hence $`h_k`$ are initially zero, and therefore remain zero at the origin because of Eqn. (35).

Our numerical procedure is similar to that used in Refs. . Time evolution with respect to the coordinate $`u`$ is initiated via a fourth order Runge-Kutta scheme. The constraint integrals are recalculated on each $`u`$ slice. As evolution proceeds the entries in the $`r_n`$ array sequentially reach $`r=0`$, at which point they are dropped from the grid. Thus the radial grid loses points with evolution. This is similar to the procedure used in  and . At each $`u`$ step, a check is made to see if an apparent horizon has formed. This is done in the standard way by calculating and plotting the function

$$g^{ab}_ar_br=\frac{\dot{r}}{lg}.$$
(39)
Evolution terminates if either an apparent horizon forms, or the scalar field pulse reflects off $`r=0`$. In practice we stop the evolution if $`|_ur|`$ becomes $`10^4`$.

To improve numerical accuracy near $`r=0`$ we follow a procedure similar to , where all functions on a constant $`u`$ surface are expanded in power series in $`r`$ at $`r=0`$, and the first three values of the constraint integrals are calculated using the respective power series. We write

$$h=h_0+h_1r$$
(40)
from which the following relations are derived:

$$\varphi =h_0+\frac{h_1r}{3},g=1+\frac{\pi h_1^2r^2}{9},\overline{g}=\frac{r^2}{2}+\frac{r^2\mathrm{ln}g}{4}.$$
(41)
In practice, because of our boundary conditions, $`h_0`$ turns out to be of order $`10^5`$. The remaining $`N3`$ values of these functions are computed using Simpson’s rule for equally spaced points. This substantially improves accuracy near $`r=0`$. $`v`$derivatives of functions are calculated using $`f_i^{}=(f_{i+1}f_{i1})/2\mathrm{\Delta }v`$ with end point values determined by linear extrapolation: $`f_1^{}=2f_2^{}f_3^{}`$ and $`f_N^{}=2f_{N1}^{}f_{N2}^{}`$.

All numerical calculations were performed for $`l=1`$ with up to 1400 v-grid points and scalar field parameters $`\sigma =0.3`$ and $`r_0=1.0`$. The code is written in C and was executed on a Sun workstation.

Before describing our results in the next section, we comment further on the numerical procedure outlined above.

Firstly, because we use double null coordinates with the number of $`v`$ grid points decreasing as ingoing null geodesics cross $`r=0`$, we are not able to follow a reflected pulse back out toward infinity. This is likely a shortcoming because after first implosion some percentage of the scalar field intensity will be reflected back toward infinity and reach it in finite time (due to the compactness of AdS space). It is then possible that some part of the field would be reflected back toward the origin from the boundary at infinity. This would tend to increase the mass of the black hole. Multiple reflections could occur several times until a static limit is reached. Our procedure is limited to evaluating the mass of the black hole on first implosion of the scalar field pulse. We can assume however that the mass increase due to multiple reflections would be small compared to the mass obtained on first implosion.

Secondly, again due to the loss of points from the grid, we are not able to observe the behaviour of the scalar field very near criticality. However, the calculations performed in  indicate that there is continuous self similarity in the near critical regime.  As in our case, and for similar reasons, this work also focusses on a search for critical and scaling behaviour on first implosion of the scalar pulse.

## IV Results and Comments

After several simulations for different values of the initial amplitude $`A`$ of the scalar field, we arrive at the following conclusions. For amplitudes smaller than $`A_{}0.1248`$ the field is reflected back in totality from the origin and no black hole is formed. For $`A>A_{}`$ however, we observe black hole formation.

Figure 1 shows a logarithmic plot of the apparent horizon radius $`r_{AH}`$ versus the initial amplitude $`A`$. The plot shows that for $`A`$ sufficiently close to $`A_{}`$ the behaviour is nearly linear (the first six points). This is the region of interest for us since it appears to exhibit the type of scaling behaviour observed in many other collapse studies . We ignore the other part of the plot which shows some oscillatory behaviour and eventually a flattening of the curve, because this is further from criticality. We thus estimate the value of the critical exponent by considering the linear part. This yields the result

$$r_{AH}(AA_{})^\gamma $$
(42)
where $`\gamma 0.81`$. Given that black-hole mass is proportional to $`r_{AH}^2`$ for the BTZ black-hole, our mass exponent estimate is $`1.62`$. Pretorius and Choptuik  used a different method proposed by Garfinkle to estimate the critical exponent. They studied the subcritical ($`A<A_{}`$) scaling behaviour of the maximum value of the scalar curvature $`R`$ to obtain a value for $`\gamma `$ in the range $`1.151.25`$.

There are several directions for future study using the double null procedure outlined here. These include computations for other values of the constant $`k_2`$ and other initial scalar configurations. In addition, the self similar behaviour of the scalar field near criticality found numerically in  and analytically in , can likely be reproduced using the method of grid point restoration used in .

In connection with the AdS/CFT conjecture, it will be useful to carry out similar calculation for 5-dimensional AdS space. The computational procedure used here requires relatively minor modifications to study that case.

Acknowledgements: We thank Matt Choptuik, Frans Pretorius, and Bill Unruh for many helpful comments and discussions. This work was supported by the Natural Science and Engineering Research Council of Canada (NSERC) and the Fonds pour la Formation de Chercheurs et l’Aide à la Recherche (FCAR).

## V Appendix

The condition of no conical singularity at the origin $`r=0`$ is derived. The parallel transport of a vector $`A^a`$ on a closed loop around the origin should be such that this vector comes back to itself after a complete turn. The condition for parallel transport of $`A^a`$ along a curve tangential to $`t^a`$ is

$$t^a_aA^b=0.$$
(43)
Moving on a curve of constant $`u`$ and $`v`$, only $`\theta `$ varies from $`0`$ to $`2\pi `$, i.e. $`t^a=(/\theta )^a`$ and the above equation becomes

$$_\theta A^b=_\theta A^b+\mathrm{\Gamma }_{\theta c}^bA^c=0.$$
(44)
The relevant non-zero $`\mathrm{\Gamma }`$ are

$`\mathrm{\Gamma }_{\theta \theta }^u={\displaystyle \frac{r}{g}}\mathrm{\Gamma }_{\theta \theta }^v={\displaystyle \frac{r\dot{r}}{gr^{}}}`$ (45)
$`\mathrm{\Gamma }_{\theta u}^\theta ={\displaystyle \frac{\dot{r}}{r}}\mathrm{\Gamma }_{\theta v}^\theta ={\displaystyle \frac{r^{}}{r}}.`$ (46)
The parallel transport equation is then

$`\begin{array}{cccc}_\theta & \hfill \left[\begin{array}{c}A^u\\ A^v\\ A^\theta \end{array}\right]=& \left[\begin{array}{ccc}0& 0& \frac{r}{g}\\ 0& 0& \frac{r\dot{r}}{gr^{}}\\ \frac{\dot{r}}{r}& \frac{r^{}}{r}& 0\end{array}\right]& \left[\begin{array}{c}A^u\\ A^v\\ A^\theta \end{array}\right]\end{array}.`$ (57)
Diagonalizing the matrix on the right we get 3 eigenvalues $`\lambda =0,\pm \sqrt{\frac{2\dot{r}}{g}}`$. In the eigenvectors basis we would thus have the following differential equation to solve for each component

$$_\theta A^\alpha =\lambda ^{(\alpha )}A^\alpha .$$
(58)
This is solved by $`A^\alpha (\theta )=A^\alpha (0)\mathrm{exp}\left(\lambda ^{(\alpha )}\theta \right)`$. Requiring that $`A^\alpha `$ be unchanged after a complete non-trivial turn around the origin requires

$$A^\alpha (2\pi )=A^\alpha (0)A^\alpha (0)\mathrm{exp}\left(2\pi \lambda ^{(\alpha )}\right)=A^\alpha (0)\lambda ^{(\alpha )}=ni,$$
(59)
where $`n`$ Z. The simplest non-trivial case is $`\lambda ^{(\alpha )}=i`$, and this becomes a boundary condition if we look at the case where $`\alpha `$ is the third eigenvalue :

$$\sqrt{\frac{2\dot{r}}{g}}=i\text{at}r=0.$$
(60)
This first boundary condition is thus

$$\dot{r}=\frac{g}{2}\text{at}r=0.$$
(61)


text:
# Event Shapes and Power Correction Results from HERA

## 1 Introduction

A recent revival of interest in event shapes has been prompted by theoretical developments in the understanding of hadronisation . These approaches extend perturbative QCD calculations into the region of low momentum transfers using approximations to higher-order graphs; the hadronisation contributions are expected to go as $`1/Q^p`$ where $`p`$ is an integer power ($`1`$ or $`2`$). The $`Q^2`$ scale at HERA can be varied over four orders of magnitude allowing these corrections to be studied in detail. The data are compared to theoretical expectations for power corrections, characterised by $`\alpha _s(M_Z)`$ and an effective coupling $`\overline{\alpha }_{p1}(\mu _I)`$ specified at the infrared matching scale $`\mu _I2`$ $`GeV`$, and Next-to-Leading Order (NLO) perturbative QCD (pQCD) calculations, determined by $`\alpha _s(M_Z)`$.

A suitable frame of reference in which to study event shapes is the Breit frame since this frame maximises the separation between the current jet from the struck quark and the proton remnant. Viewed in this frame the exchanged gauge boson is purely spacelike and the incoming QPM quark is back-scattered with equal and opposite momentum ($`Q/2`$). The Breit frame also permits the event shapes from the spacelike process in DIS to be compared directly to the event shapes in the timelike $`e^+e^{}`$ process. Two classes of event shapes are studied.

The first class are those confined to the current region of the Breit frame ($`z<0`$), namely, thrust, both with respect to the Breit frame axis ($`\tau _z`$) and the thrust axis ($`\tau _{max}`$), jet broadening with respect to the Breit frame axis ($`B`$), jet-mass ($`\rho `$), and the $`C`$-parameter (C). Thrust ($`\tau _z`$) and jet broadening ($`B`$) are measured with respect to the Breit frame axis and are therefore specific to DIS; the remainder can also be defined in $`e^+e^{}`$ experiments. At the hadron level, the H1 result  assumes the hadrons have their true mass, the ZEUS result assumes the hadrons have zero mass; this difference in definition only affects the jet-mass which can be seen in Fig. 1. Here the data are compared and the other variables show agreement between the two data sets. ZEUS bin in kinematic ranges of both $`x`$ and $`Q`$, so in some regions ZEUS have two data points measured over the same range in $`Q`$ but a different range in $`x`$; H1 integrate over $`x`$. In order to keep the variables infrared safe, the total energy in the current region has to exceed 10% (3%) of the total available energy, for H1 (ZEUS). The exact value of this cut is not critical.

The second class of variables are the two-jet rates. These are measured over the full phase space of the Breit frame in which $`(n+1)`$ jets are searched for; the $`+1`$ denotes the proton remnant. Both the $`k_t`$ (or Durham) and the factorisable JADE scheme are used in which a jet merging criteria based on distance measures $`y_{ij}`$ between pairs of particles is defined. The event shape $`y`$ denotes the value of $`y_{ij}`$ at which the transition $`(2+1)(1+1)`$ jets occurs.

The mean values of these event shapes can be interpreted theoretically as

$$F=F^{\mathrm{pert}}+F^{\mathrm{pow}}$$
(1)
where

$$F^{\mathrm{pert}}=c_{1,F}(x,Q)\alpha _s(Q)+c_{2,F}(x,Q)\alpha _s^2(Q)$$
(2)
with $`c_{1,F}(x,Q)`$ and $`c_{2,F}(x,Q)`$ being calculable coefficients of pQCD, here determined by the DISENT NLO program  with renormalisation/factorisation scales set at $`\mu _R=\mu _F=Q`$. A simple form for $`F^{\mathrm{pow}}`$ of $`A/Q`$ or $`B/Q^2`$ has been ruled out by H1 data . A more sopisticated approach  introduces

$$F^{\mathrm{pow}}=^{}a_F\frac{16}{3\pi p}\left(\frac{\mu _I}{\mu _R}\right)^p\left[\overline{\alpha }_{p1}(\mu _I)\alpha _s(\mu _R)\frac{23}{6\pi }\left(\mathrm{ln}\frac{\mu _R}{\mu _I}+0.45+\frac{1}{p}\right)\alpha _s^2(\mu _R)\right]$$
(3)
where $`p`$ is the power, $`a_F`$ is a calculable $`F`$-dependent coefficient and $`^{}=2/\pi 0.95`$  is a two-loop level refinement to the calculations called the Milan factor.

## 2 Results

Fits of Eq (1) to ZEUS data are plotted in Fig. 2. The shaded band indicates the theoretical uncertainty on $`F^{\mathrm{pert}}`$ from varying the renormalisation scale by a factor of $`2`$ to $`\mu _R=2Q`$ and $`\mu _R=1/2Q`$; this is the dominant uncertainty on the measurement. The fitted values of the two parameters $`\alpha _s(M_Z)`$ and $`\overline{\alpha }_0(\mu _I)`$ from H1 and ZEUS data are plotted in Figs. 3 and 4 as contours (theoretical errors such as the scale dependence are not included in the contours). The H1 result shows the $`\chi ^2=\chi _{min}^2+1`$ and $`\chi ^2=\chi _{min}^2+4`$ contours for statistical and experimental systematic errors combined in quadrature. The smaller contours in the ZEUS result are a statistical only fit, the larger ones are the $`\chi ^2=\chi _{min}^2+4`$ contours for the statistical and systematic errors combined in quadrature. Large correlations between $`\alpha _s(M_Z)`$ and $`\overline{\alpha }_0(\mu _I)`$ are seen for $`\tau _z`$ but less for the other variables. Both experiments fit an approximately universal $`\overline{\alpha }_0(\mu _I)0.5\pm 0.1\%`$. The fitted values of $`\alpha _s(M_Z)`$ for the $`e^+e^{}`$-type variables ($`C`$-parameter, jet-mass and thrust w.r.t. thrust axis) are compatible for the ZEUS result and remarkably close for the H1 result. Including the DIS specific variables (thrust and broadening w.r.t. Breit axis) sees a larger spread in the fitted values of $`\alpha _s(M_Z)`$. Possible explanations are missing higher order QCD corrections or incomplete knowledge of the power correction coefficients.

Fits to H1 two-jet rate data are plotted in Fig. 5 . The hadronisation correction is seen to be small for these variables. For the $`y`$ from the factorisable JADE algorithm, table 1 shows that the fitted value of $`\overline{\alpha }_0(\mu _I)`$ is unreasonably low with the conjectured $`a_F`$ factor of $`1.0`$. Instead, a much more reasonable fit can be obtained by allowing the power corrections to become small and negative, with an $`a_F`$ factor of $`0.2`$.

The power fit for the $`y`$ from the $`k_t`$ algorithm is of special interest because the power $`p`$ is expected to be 2 instead of 1 as it is for all the other variables. The H1 data are inconsistent with a fit using $`p=1`$. The data are consistent with $`p=2`$ but a more qualitative statement cannot be made given current experimental precision on this variable and the fact that the theoretical $`a_F`$ factor for this variable is unknown.

ZEUS have also studied the $`x`$-dependence of the power correction fits. Figure 6 shows the result of omitting the lower $`x`$ bins from the ZEUS data given in Fig. 1; plotted are the statistical contours only. Most of the variables display little sensitivity to $`x`$. However, a large effect is seen in the jet broadening where the fitted values of $`\alpha _s(M_Z)`$ and $`\overline{\alpha }_0(\mu _I)`$ shift considerably. This confirms recent theoretical comment  that the $`a_F`$ factor for jet broadening should contain $`x`$-dependent terms that are, as yet, unknown.

In conclusion, this new theoretical approach to hadronisation works very well given its simplicity, although there remain some theoretical questions particularly in the $`x`$-dependence of the DIS specific variables.


text:
# Wave Propagation in Nontrivial Backgrounds

\[

## Abstract

It is well known that waves propagating in a nontrivial medium develop “tails”. However, the exact form of the late-time tail has so far been determined only for a narrow class of models. We present a systematic analysis of the tail phenomenon for waves propagating under the influence of a general scattering potential $`V(x)`$. It is shown that, generically, the late-time tail is determined by spatial derivatives of the potential. The central role played by derivatives of the scattering potential appears not to be widely recognized. The analytical results are confirmed by numerical calculations.

\]

One of the most remarkable features of wave dynamics in curved spacetimes is the development of “tails”. Gravitational waves (or other fields) propagate not only along light cones, but also spread inside them. This implies that at late times waves do not cut off sharply but rather die off in tails. In particular, it is well established that the late-time evolution of massless fields propagating in black-hole spacetimes is dominated by an inverse power-law behaviour.

Price  was the first to provide a detailed analysis of the mechanism by which the spacetime outside of a (nearly spherical) collapsing star divests itself of all radiative multipole moments, and leaves behind a Schwarzschild black hole. The evolution of such waves (gravitational, electromagnetic, and scalar) in a curved spacetime is governed by the Klein-Gordon (KG) equation

$$\left[\frac{^2}{t^2}\frac{^2}{x^2}+\frac{l(l+1)}{x^2}+\frac{1}{x_s^2}V(x/x_s)\right]\mathrm{\Psi }^l=0,$$
(1)
where the term $`l(l+1)/x^2`$ is the well-known centrifugal barrier ($`l`$ is the multipole order of the field), and $`V(x)`$ is an effective curvature potential (we henceforth take $`x_s=1`$ without loss of generality). It was demonstrated that all radiative perturbations decay asymptotically as an inverse power of time, the power indices equal $`2l+3`$. Physically, these inverse power-law tails are associated with the backscattering of waves off the effective curvature potential, $`V(x)`$, at asymptotically far regions .

The analysis of Price has been extended by many authors. Bičák  generalized the results to the case of an electrically neutral scalar field propagating in a charged Reissner-Nordström spacetime. Leaver  demonstrated that the late-time tail can be associated with the existence of a branch cut in the Green’s function for the wave propagation problem.

Gundlach, Price, and Pullin  showed that power-law tails are a genuine feature of gravitational collapse – the existence of these tails was demonstrated in full non-linear numerical simulations of the spherically symmetric collapse of a self-gravitating scalar field (this was later reproduced in ). Moreover, since the late-time tail is a direct consequence of the scattering of the waves at asymptotically far regions, it has been suggested that power-law tails would develop independently of the existence of an horizon . This implies that tails should appear in perturbations of stars as well. Moreover, the KG wave equation has a much wider range of physical applicability. For instance, electromagnetic waves propagating in an optical cavity can be described by this equation as well  \[A nontrivial dielectric constant distribution, $`n^2(x)`$, provides a nontrivial medium, and is analogous to the presence of a scattering potential $`V(x)`$.\] For other related works, see e.g., , and references therein.

The dynamics of waves in rotating black-hole spacetimes has received much attention recently . It has been demonstrated that power-law tails present in the Kerr spacetime as well (However, the damping indices are generally different from those found in the Schwarzschild case.)

Yet, a thorough understanding of the fascinating phenomenon of wave tails is far from being complete. In particular, the exact form of the late-time tail has so far been determined only for a narrow class of models. In fact, most of previous analyses are restricted to “logarithmic potentials” of the form $`V(x)\mathrm{ln}^\beta x/x^\alpha `$ (where $`\alpha >2`$ and $`\beta =0,1`$ are parameters). In a brilliant work, Ching et. al.  have shown that, generically, the late-time behaviour of waves propagating under the influence of these specific potentials has the form $`\mathrm{\Psi }\mathrm{ln}^\beta t/t^{2l+\alpha }`$ (with the well-known exception of a “pure” power-law decay in the Schwarzschild spacetime).

The purpose of this paper is to present a systematic analysis of the tail phenomenon with a general scattering potential $`V(x)`$. Ching et. al.  provided a heuristic picture of the scattering problem which is an important first step in this direction: Consider a wave from a source point $`y`$. The late-time tail observed at a fixed spatial location, $`x`$, is a consequence of the wave first propagating to a distant point $`x^{}>>y,x`$, being scattered by $`V(x^{})`$, and then returning to $`x`$ at a time $`t(x^{}y)+(x^{}x)2x^{}`$. Hence, according to this scenario, the scattering amplitude (and thus the late-time tail itself) are expected to be proportional to $`V(x^{})V(t/2)`$.

However, it is well-known, at least in the specific case of logarithmic potentials, that this simple picture requires two modifications. First, there is an extra suppression of the late-time tail by a factor of $`t^{2l}`$. Second, if $`\alpha `$ is an odd integer less than $`2l+3`$, the leading term in the late-time tail vanishes , and one should consider sub-leading terms (The well-known Schwarzschild spacetime belongs to this case.)

There are several interesting and important open questions regarding the tail phenomenon in a general analysis. What determines the late-time tail – is it simply the asymptotic form of the scattering potential itself, as suggested by the heuristic picture ? How generic is the suppression of waves with $`l1`$ ? Is it always by a factor of $`t^{2l}`$ ? What is the (most) general class of scattering potentials for which the leading term in the late-time tail vanishes ? (The Schwarzschild spacetime is only one specific example to these potentials.) What is the general form of the late-time behaviour in these cases ? These questions, and several others call for a study of the general properties of wave tails. In this paper we present our main results for this fascinating phenomena.

We consider the evolution of a wave field whose dynamics is governed by a KG-type equation $`\mathrm{\Phi }_{;\nu }^{;\nu }+V(x)\mathrm{\Phi }=0`$. Resolving the field into spherical harmonics $`\mathrm{\Phi }=\underset{l,m}{}\mathrm{\Psi }_m^l(t,r)Y_l^m(\theta ,\phi )/r`$ ($`r`$ being the circumferential radius), one obtains a wave equation of the form Eq. (1) for each multipole moment  (For brevity we henceforth suppress the indices $`l,m`$ on $`\mathrm{\Psi }`$.)

It proofs useful to introduce the double-null coordinates $`utx`$ and $`vt+x`$, which are a retarded time coordinate and an advanced time coordinate, respectively. The initial data is in the form of some compact outgoing pulse in the range $`u_0uu_1`$, specified on an ingoing null surface $`v=v_0`$.

The general solution to the wave-equation (1) can be written as a series depending on two arbitrary functions $`F`$ and $`G`$

$`\mathrm{\Psi }`$ $`=`$ $`{\displaystyle \underset{k=0}{\overset{l}{}}}A_k^lx^k\left[G^{(lk)}(u)+(1)^kF^{(lk)}(v)\right]`$ (3)
$`+{\displaystyle \underset{k=0}{\overset{\mathrm{}}{}}}B_k^l(x)\left[G^{(lk1)}(u)+(1)^kF^{(lk1)}(v)\right],`$
where $`A_k^l=(l+k)!/2^kk!(lk)!`$. For any function $`H`$, $`H^{(k)}`$ is its $`k`$th derivative; negative-order derivatives are to be interpreted as integrals. The functions $`B_k^l(x)`$ satisfy the recursion relation

$$B_k^{}=\frac{1}{2}\left[B_{k1}^{\prime \prime }l(l+1)x^2B_{k1}V(A_kx^k+B_{k1})\right],$$
(4)
for $`k1`$, where $`B^{}dB/dx`$, and $`B_0^{}=V(x)/2`$.

For the first Born approximation to be valid the scattering potential $`V(x)`$ should approach zero faster than $`1/x^2`$ as $`x\mathrm{}`$, see e.g., . Otherwise, the scattering potential cannot be neglected at asymptotically far regions \[see Eq. (6) below\]. It is useful to classify the scattering potentials into three groups, according to their asymptotic behaviour:

* Group I: $`|V^{}|`$ approaches zero slower than $`|V|/x`$, and faster than $`|V|`$ as $`x\mathrm{}`$.
* Group II: $`|V^{}|`$ approaches zero at the same rate as $`|V|`$ as $`x\mathrm{}`$.
* Group III: $`|V^{}|`$ approaches zero at the same rate as $`|V|/x`$ as $`x\mathrm{}`$.

Group I. — For this case the recursion relation, Eq. (4), yields $`B_k(x)=2^{(k+1)}V^{(k1)}(x)`$.

The first stage of the evolution is the scattering of the field in the region $`u_0uu_1`$. The first sum in Eq. (3) represents the primary waves in the wave front (i.e., the zeroth-order solution, with $`V0`$), while the second sum represents backscattered waves. The interpretation of these integral terms as backscatter comes from the fact that they depend on data spread out over a section of the past light cone, while outgoing waves depend only on data at a fixed $`u`$ .

After the passage of the primary waves there is no outgoing radiation for $`u>u_1`$, aside from backscattered waves. This means that $`G(u_1)=0`$. Hence, for a large $`x`$ at $`u=u_1`$, the dominant term in Eq. (3) is

$$\mathrm{\Psi }(u=u_1,x)=B_l(x)G^{(1)}(u_1).$$
(5)
This is the dominant backscatter of the primary waves.

With this specification of characteristic data on $`u=u_1`$, we shall next consider the asymptotic evolution of the field. We confine our attention to the region $`u>u_1`$, $`xx_s`$. To a first Born approximation, the spacetime in this region is approximated as flat . Thus, to first order in $`V`$ (that is, in a first Born approximation) the solution for $`\mathrm{\Psi }`$ can be written as

$$\mathrm{\Psi }=\underset{k=0}{\overset{l}{}}A_kx^k\left[g^{(lk)}(u)+(1)^kf^{(lk)}(v)\right].$$
(6)
Comparing Eq. (6) with the initial data on $`u=u_1`$, Eq. (5), one finds $`f(v)=2^1V^{(1)}(v/2)G^{(1)}(u_1)`$.

For late times $`tx`$ one can expand $`g(u)=\underset{n=0}{\overset{\mathrm{}}{}}(1)^ng^{(n)}(t)x^n/n!`$ and similarly for $`f(v)`$. With these expansions, Eq. (6) can be rewritten as

$$\mathrm{\Psi }=\underset{n=l}{\overset{\mathrm{}}{}}K_l^nx^n\left[f^{(l+n)}(t)+(1)^ng^{(l+n)}(t)\right],$$
(7)
where the coefficients $`K_l^n`$ are those given in . They vanish for $`lnl`$ if $`ln`$ is odd.

Using the boundary conditions for small $`r`$ (regularity as $`x\mathrm{}`$, at the horizon of a black hole, or at $`x=0`$, for a stellar model), one finds that at late times $`g(t)=(1)^{l+1}f(t)`$ to first order in the scattering potential $`V`$ (see e.g.,  for additional details). That is, the incoming and outgoing parts of the tail are equal in magnitude at late-times. This almost total reflection of the ingoing waves at small $`r`$ can easily be understood on physical grounds – it simply manifests the impenetrability of the barrier to low-frequency waves  (which are the ones to dominate the late-time evolution ). We therefore find that the late-time behaviour of the field at a fixed radius ($`xt`$) is dominated by \[see Eq. (7)\]

$$\mathrm{\Psi }2K_l^{l+1}f^{(2l+1)}(t)x^{l+1},$$
(8)
which implies

$$\mathrm{\Psi }\mathrm{\Psi }_0G^{(1)}(u_1)x^{l+1}V^{(2l)}(t/2),$$
(9)
where $`\mathrm{\Psi }_0=2^{(2l+1)}K_l^{l+1}`$. Hence, the late-time tail is determined by the $`2l`$th derivative of the scattering potential.

The analysis for Groups II and III proceeds along the same lines. That is, one should first solve Eq. (4) for $`B_k(x)`$ find $`f(v)`$ using Eq. (6) $``$ which finally yields $`\mathrm{\Psi }(t\mathrm{})`$ through Eq. (7). In the following we present the main results for groups I and II.

Group II. — The dominant backscatter of the primary waves is $`\mathrm{\Psi }(u=u_1,x)=\underset{k=l}{\overset{\mathrm{}}{}}B_k(x)G^{(lk1)}(u_1)`$, where the $`B_k`$ are the same as for group I. Using an analysis along the same lines as before, one finds

$`\mathrm{\Psi }`$ $``$ $`{\displaystyle \underset{n=l+1,l+3,\mathrm{}}{\overset{\mathrm{}}{}}}2^nK_l^nx^n{\displaystyle \underset{k=l}{\overset{\mathrm{}}{}}}2^k`$ (11)
$`\times G^{(lk1)}(u_1)V^{(n+k1)}(t/2),`$
at late-times. Note that Eq. (11) is merely a generalization of Eq. (9), and reduces to it if $`|V^{}|`$ approaches zero faster than $`|V|`$ (in which case $`V^{(2l)}`$ dominates at late-times).

Group III. — Let $`V(x)W(x)/x^\alpha `$, where $`\alpha >2`$, and $`W(x)/x^\gamma 0`$ as $`x\mathrm{}`$ for any $`\gamma >0`$. The general solution for $`B_k(x)`$ is now given by $`B_k(x)\underset{n=0}{\overset{\mathrm{}}{}}b_n(k,\alpha )W^{(n)}(x)/x^{\alpha +kn1}`$, where the $`b_n(k,\alpha )`$ are complicated numerical coefficients, which are determined by the recursion relation Eq. (4). The analysis now proceeds along the same lines as before; One finds that the late-time behaviour of the wave is given by

$$\mathrm{\Psi }G^{(1)}(u_1)x^{l+1}\underset{n=0}{\overset{\mathrm{}}{}}c_n(l,\alpha )W^{(n)}(t/2)t^{(\alpha +2ln)},$$
(12)
where the coefficients $`c_n(l,\alpha )`$ are constructed from the $`b_n(l,\alpha )`$.

Group III is divided into three subgroups according to the asymptotic behaviour of the function $`W(x)`$, and the value of $`\alpha `$:

Subgroup IIIa: $`|W^{}|`$ approaches zero faster than $`|W|/x`$ as $`x\mathrm{}`$, and $`\alpha `$ is not an odd integer less than $`2l+3`$. In this case, the dominant term in Eq. (12) is $`W(t/2)t^{(\alpha +2l)}`$. Recall now that $`V^{}W/t^{\alpha +1}`$ as $`t\mathrm{}`$, which implies

$$\mathrm{\Psi }G^{(1)}(u_1)x^{l+1}V^{(2l)}(t/2),$$
(13)
at late-times.

Subgroup IIIb: $`|W^{}|`$ approaches zero faster than $`|W|/x`$ as $`x\mathrm{}`$, and $`\alpha `$ is an odd integer less than $`2l+3`$. (This subgroup of scattering potentials includes the Schwarzschild spacetime as a special case.) In this case one finds that the leading term of $`B_l(x)`$ \[proportional to $`V^{(l1)}(x)`$\] vanishes, and sub-leading terms should therefore be considered. Hence, the late-time behaviour of the wave is dominated by

$$\mathrm{\Psi }G^{(1)}(u_1)x^{l+1}V_{sl}^{(2l)}(t/2).$$
(14)
Here $`V_{sl}^{(2l)}`$ is the (first) sub-leading term in the asymptotic derivative. Namely, $`V_{sl}^{(2l)}W^{}/t^{\alpha +2l1}`$. \[Note that the results of  for the specific family of logarithmic potentials (with $`W\mathrm{ln}^\beta x`$), coincide with the general expressions, Eqs. (13) and (14).\]

Subgroup IIIc: $`|W^{}|`$ approaches zero at the same rate as $`|W|/x`$ as $`x\mathrm{}`$. In this case, the late-time dynamics of the field is given by Eq. (12).

Numerical calculations. — It is straightforward to integrate Eq. (1) using the methods described in . The late-time evolution of the field is independent of the form of the initial data used. The results presented here are for a Gaussian pulse.

Table I gives a selected list of scattering potentials, chosen as representative of the various different groups (We have studied other potentials as well, which are not shown here.)

The temporal evolutions of the waves (under the influence of the various scattering potentials) are shown in Figs. 1 and 2. We find an excellent agreement between the analytical results and the numerical calculations.

Summary and physical implications. — We have given a systematic analysis of the tail phenomena for waves propagating under the influence of a general scattering potential.

It was shown that the late-time tail is governed by spatial derivatives of the scattering potential (generically, by the $`2l`$th derivative). In particular, the potential function itself does not enter into the expression of the late-time tail (with the exception of the monopole case). The central role played by derivatives of the scattering potential appears not to be widely recognized. The analytical results are in excellent agreement with numerical calculation.

In addition, we have demonstrated that the (extra) suppression of waves by a factor of $`t^{2l}`$ (which adds to the basic late-time decay), a phenomena well-known in black-hole spacetimes, is actually not a generic feature of the scattering problem. In particular, for scattering potentials that belong to group I the suppression of the waves is smaller, while for scattering potentials that belong to group II there is no (extra) suppression at all.

Moreover, it was shown that the familiar case of the Schwarzschild spacetime belongs to a wider group of scattering potentials, in which the leading term in the tail \[proportional to $`V^{(2l)}(t/2)`$\] vanishes (and thus, sub-leading terms dominate the late-time dynamics).

We are at present extending the analysis to include: (i) time-dependent scattering potentials, and (ii) scattering potentials that lack spherical symmetry (in which case the scattering problem is of $`2+1`$ dimensions).

ACKNOWLEDGMENTS

I thank Tsvi Piran for discussions. This research was supported by a grant from the Israel Science Foundation.