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# Small-scale structures in Compact Steep-Spectrum and GHz-Peaked-Spectrum radio sources

## 1 Introduction

Compact steep-spectrum sources (CSSs) are defined to be less than about 20 kpc in size (H$`{}_{o}{}^{}=50`$ km s-1 Mpc-1 and $`q_0=0`$), and have a steep high-frequency radio spectrum ($`\alpha 0.5`$), where S$`\nu ^\alpha `$. This class of objects includes the more compact Gigahertz-Peaked Spectrum (GPS) sources with a turnover in their spectrum at frequencies in the GHz range. The larger CSS sources also sometimes exhibit a flattening or turn-over in the integrated spectrum, but the turnover frequency is usually in the range of a few hundred MHz. High-resolution radio observations of CSS and GPS sources (cf. Fanti et al. 1990; Sanghera et al. 1995 and references therein) reveal a variety of structures reminiscent of those seen in the more extended sources. The majority of sources have a double-lobed structure, often with a nuclear or core component. Only a small fraction of sources appear to have a highly distorted or complex structure.

A number of possible explanations have been explored to understand the nature of CSS and GPS objects (cf. O’Dea 1998). It has been argued that only a small fraction are likely to appear small because of projection effects (Fanti et al. 1990). Although some may be distorted and confined to small dimensions by a dense interstellar medium in the host galaxy (cf. Wilkinson et al. 1991a,b; Carvalho 1994, 1998), there appears to be a consensus that their small sizes are largely because they are young sources seen at an early stage of their evolution (Carvalho 1985; Fanti et al. 1995; Begelman 1996; Readhead et al. 1996a,b). The GPS sources with a double-lobed structure, the compact doubles (CD), have been proposed to be miniature versions of the classical Fanaroff-Riley class II sources, and have been suggested to evolve from a CD to a CSS and then on to a larger FRII source (Phillips & Mutel 1981; Hodges et al. 1984; Mutel & Phillips 1988; Carvalho 1985).

In this paper we present the results of an Inter-Planetary Scintillation (IPS) study of a large sample of CSS and GPS radio sources at 327 MHz using the Ooty Radio Telescope (ORT). These observations have been made with the objectives of (i) determining the sizes and prominence of hotspots to investigate the collimation of radio jets and the evolution of these sources; (ii) investigating the existence of radio halos at a low frequency on the scale of hundreds of milliarcsec in addition to the more compact structure, suggestive of earlier periods of activity; and (iii) determining the low-frequency spectra of compact components in an attempt to distinguish between different processes to explain the low-frequency turnover in the spectra of GPS sources. We describe the IPS observations, the sample of sources observed by this technique and the results of the IPS observations in Section 2. The dependence of the prominence of hotspots from both IPS and interferometric measurements on radio luminosity and linear size, as well as the results on the collimation of radio jets and possible constraints on evolution of radio sources are presented in Section 3. The evidence for the existence of possible large-scale structures on the scale of hundreds of mas is presented in Section 4. In Section 5, we present the spectra of 5 GPS sources where we have attempted to determine the spectra of the dominant component from IPS and interferometric observations, and discuss possible reasons for their spectral shape.

## 2 IPS Observations

A compact radio source or component seen through the solar wind exhibits scintillations due to electron density fluctuations in the interplanetary medium. The power spectrum of the fluctuations depends on the conditions of the solar wind, and the size and structure of the compact component. Using a suitable model of the solar wind, IPS observations can be used to estimate the angular size of the scintillating component from the power spectrum, and the scintillation index, m, which is defined as $`\delta `$S/S. Here $`\delta `$S is the rms of the flux density variations and S is the total flux density of the source (e.g. Little & Hewish 1966, 1968; Cohen et al. 1967; Rao et al. 1974). By comparing mobs for a given source with a point source calibrator, mcal, we can estimate $`\mu `$, the fraction of flux density in the scintillating component. Generally the scintillation index, m, decreases with source size and becomes non-detectable when the source size is so large that the signal to noise ratio is poor. This limits the detectable IPS size to about 0.′′4 at 327 MHz, which we will refer to as the IPS cut-off size. Also for the typical solar wind parameters, and the observing frequency of 327 MHz, the minimum size of the components which can be estimated is about 50 mas (Manoharan & Ananthakrishnan 1990; Gothoskar & Rao 1999). In a typical radio source the compact scintillating components could be the hotspots at the outer edges of the lobes, the nuclear or core components or prominent knots in a jet. If the separation of the compact components, such as the hotspots, is smaller than the IPS cut-off size, the source scintillates as a single source. On the other hand, if the scintillating components in the source are separated by larger than the IPS cut-off size, the components scintillate independently and the parameters estimated from IPS observations are the weighted average values of the different scintillating components.

### 2.1  The sample of sources

The sample of CSS and GPS sources for the IPS observations have been compiled from a number of papers (Gopal-Krishna et al. 1983; O’Dea et al. 1991; Spoelstra et al. 1985; Savage et al. 1990; Cersosimo et al. 1994; Stanghellini et al. 1990; Peacock & Wall 1982; Sanghera et al. 1995), with the following criteria: (i) declination $`|\delta |<40^{}`$, the normal observable range of the ORT; (ii) total flux density at 327 MHz, $`S_{327}>`$ 200 mJy so that the source can be observed with adequate signal to noise ratio; (iii) the ecliptic latitude of the source is $`<30^{}`$ so that there is enough scintillating power to estimate the parameters reliably. Many sources in our sample occur in more than one of the above lists and they have been counted only once in our list. Also, more recent estimates of sizes and redshifts have led to a number of objects in our sample being larger than the canonical limit of 20 kpc. These have been retained in the list. A few of the sources which were earlier identified as GPS sources appear to have a flat radio spectrum. These have been marked separately in the Table and have not been used in the statistical analyses. Our final sample of largely compact sources consists of 100 objects, 48 of which are GPS sources. In addition, for comparison we have compiled a sample of 19 larger-sized 3C and 4C sources of similar redshift and luminosity. All these sources have $`S_{327}>`$ 1 Jy, and their linear sizes are larger than about 100 kpc for all but one source.

The basic radio and optical properties of the sample of largely CSS and GPS sources and the sample of larger sources are listed in Tables 1 and 2 respectively, which are arranged as follows. Columns 1 and 2: IAU name and an alternative name; column 3: optical identification where G denotes a galaxy, Q a quasar and EF an empty field; column 4: redshift; column 5: identification of the object as a GPS source. Some of the sources which were tentatively classified as GPS objects appear to have a flat radio spectrum. These have been indicated as an FSC or flat-spectrum core. Column 6: flux density at 327 MHz in Jy. The flux density values are interpolated from a least-squares fit to the data compiled from the literature, as described in Steppe et al. (1995). A $``$ denotes an extrapolated value in which a measurement of the flux density was available at about 400 MHz. Column 7: radio luminosity at 5 GHz in units of W Hz-1 sr-1; column 8: the largest angular size of the source (LAS) in arcsec; for sources with weak extended emission, the LAS is defined by the bright features on opposite sides. Column 9: the projected linear size in kpc; column 10: structure of radio emission, where T denotes a triple source, MT a misaligned triple where the supplement of the angle formed at the core by the outer hotspots exceed 15, D a double-lobed one, CJ for a core-jet structure, S for a single component and Cpx for a complex structure. A CJ source is one where there is one dominant component with a jet-like extension rather than a second distinct lobe or hotspot. The double-lobed and triple sources where the flux density ratio of the outer components exceeds 10 are defined to be asymmetric and are identified in this column as AD, AT or AMT. A flat-spectrum core with extended emission on only one-side is indicated by the symbol OS. Any uncertainty in the information or classification is indicated by a question mark. Column 11: references to radio structure. The key to the references are listed in Table 3.

### 2.2 Observations and analyses

We have observed our sample of sources with the ORT at 327 MHz in the phase-switched mode with a bandwidth of 4 MHz. The intensity variations of a source are sampled at a rate of 20ms. Each source was observed at a number of solar elongations, $`ϵ`$, the observations at each elongation lasting about 15 - 20 minutes. Our observational procedure is similar to the one described by Manoharan & Ananthakrishnan(1990) and Gothoskar & Rao (1999). We also monitored the off source region simultaneously in the total-power mode, to look for any interference, and edited the data accordingly. Since strong scattering occurs when $`ϵ<`$ about 12, observations were not made for lower values of $`ϵ`$. Periods of large solar activity can also modify the average properties of the solar wind and hence the observed power spectrum. Data during such periods were also edited since we are primarily interested in the properties of the sources (Manoharan 1993,1997). For each source, the average power spectrum of the scintillations was obtained at each elongation. From this spectrum, we estimate the scintillation index, m. The typical error in the scintillation index is usually less than about 5 per cent. Variations in the interplanetary medium also leads to a scatter in the estimated value of $`\mu `$. The percentage uncertainty in the fraction of scintillating flux density, $`\mu `$, are listed in Table 4.

An additional source of uncertainity in $`\mu `$ is the scintillations produced by the confusing sources present in the beam. The confusion limit of the ORT is about 1.5Jy. However, only a fraction of these sources have compact components which are likely to contribute to the scintillations. At low frequencies the scintillating features would be almost entirely the hotspots at the outer edges of the beams in the high-luminosity FRII sources. Estimating the fraction of FRII radio sources in the B2 sample (Allington-Smith 1982) to be about 60 per cent, and assuming the fraction of flux density in the scintillating hotspots to be about 50 per cent, yields a conservative estimate of the scintillation confusion to be about 0.2 Jy. This affects significantly the interpretation of the scintillation visibility $`\mu `$ of the weaker sources. The values for the weak sources with S$`{}_{327}{}^{}<`$ 0.5 Jy have been listed in the tables, but have not been used further in the discussions.

The variation of scintillation index, m, with solar elongation for a point source is given by m$`(sinϵ)^\beta `$. The index $`\beta `$ is obtained by a least-squares fit to the observed scintillation index of the IPS calibrator, at various elongations. The compact radio source 1148$``$001 is the standard IPS calibrator used at the ORT (cf. Venugopal et al. 1985), and observations of this source during 1994$``$95 have been used to calibrate our observed scintillation indices. The observed scintillation index for a given source can be smaller than the calibrator at the same elongation if either only a fraction $`\mu `$ of the total flux density is in the scintillating component, $`m_{obs}(ϵ)=\mu m_{cal}(ϵ)`$, or the scintillating component is extended. We apply a correction to $`m_{obs}`$, for the finite size of the scintillating component using the model of solar wind (Manoharan & Ananthakrishnan 1990; Gothoskar & Rao 1999). This correction could not be applied to 12 of the 91 sources with S$`{}_{327}{}^{}>`$ 0.5 Jy in the sample of largely CSS and GPS radio sources (Table 1), and 6 of the 19 larger sources (Table 2) since we could not estimate the size of the component reliably from our observed power spectrum.

The component sizes are estimated from the best fits to the observed power spectrum after trying different values of component sizes and parameters of the standard solar wind model (Manoharan & Ananthakrishnan 1990; Manoharan et al. 1994; Gothoskar & Rao 1999). The free parameters in this model are the solar wind velocity, random velocity component in the scintillating medium, axial ratio of the irregularities in the medium, the power-law index of the power spectrum of the turbulence of the medium, and the size of the scintillating source. The model fitting was done only for sources observed with a high signal to noise ratio. Even though a 5 mas difference can be distinguised from the power spectrum, the typical inner-scale of the interplanetary medium corresponds to an angular scale of 50 mas, which is the typical error in the estimated angular sizes.

If the structure of the scintillating component is simple, then it might be possible to have an idea of the two-dimensional structure of the source if the direction of the solar wind covers a wide range of position angles across the source. For example, in the case of an elliptical gaussian brightness distribution, a variation of the estimated size from a minimum to a maximum should be observed if the solar wind covers a range of position angles $`90^{}`$ during the different observations of the source. There are 19 sources showing variation of the estimated size with the position angle of the direction of motion of the solar wind. Assuming the structure to be elliptical, we have estimated the parameters of 4 sources where we had enough data to represent the ellipse.

The results of our analyses are presented in Table 4, which is arranged as follows: column 1: IAU name; column 2: number of observations used to estimate the size of the scintillating component; column 3: estimated size of the scintillating component. For the four sources whose two-dimensional structure has been determined assuming it to be elliptical, the major and minor axes and the position angle of the major axis are quoted. The sources which exhibit variation in size, but without enough data to determine the position angle of an elliptical structure unambiguously, the maximum and minimum size are quoted. For the remaining sources, the average size is listed. column 4: the total number of IPS observations; column 5: the fraction of flux density of the scintillating component, $`\mu `$, and the percentage error in $`\mu `$.

## 3 Hotspots in CSS and larger sources

The hotspots, which are the high brightness regions in the outer lobes of the high-luminosity FRII radio sources, indicate the Mach disks where the jets terminate. The hotspots usually subtend small angles in the radio cores suggesting the high degree of collimation of the jets in these sources (Bridle & Perley 1984; Bridle et al. 1994; Fernini et al. 1997). However, the jet momentum may be spread over a larger area than the cross-section of the jet itself due to the dentist-drill effect discussed by Scheuer (1982), where the end of the jet wanders about the leading contact surface drilling into the external medium at slightly different places at different times. Recent simulations of 3D supersonic jets suggest that cocoon turbulence drives the dentist-drill effect (Norman 1996).

In this Section we study some of the properties of the hotspots for CSS as well as larger objects using the results from our IPS survey and also available interferometric observations of hotspots. IPS observations enable us to estimate the weighted average of the fraction of flux density in the scintillating components and their sizes. For sources larger than about 400 mas the scintillating components are usually the hotspots at the outer edges of the lobes. Since the cores in CSSs are usually weak, especially at low frequencies, the scintillating components are the hotspots in the lobes. Over the last few years the sizes of hotspots have also been determined reasonably reliably from interferometric observations for samples of compact steep-spectrum radio sources using largely VLBI and MERLIN observations, as well as for the larger objects using the VLA. Although there is no well-accepted definition of a hotspot (cf. Laing 1989; Perley 1989), we have used the following empirical definition. The hotspots are defined to be the brightest features in the lobes located further from the nucleus than the end of any jet, and in the presence of more extended diffuse emission these should be brighter by at least a factor of 4 (cf. Bridle et al. 1994). In the presence of multiple hotspots, only the primary hotspot has been considered.

In the following subsections we consider the possible dependence of the fraction of flux density from the hotspot and its size on both radio luminosity and overall projected linear size, and discuss possible constraints these might place on models of evolution of radio sources. We have excluded sources with prominent flat-spectrum nuclei, and those with a complex or core-jet morphology, and have considered only those sources where the scintillations are likely to be produced by the hotspots in the outer lobes. In the GPS sources with two outer components, we have assumed that these features are likely to be hotspots rather than being the counterparts of flat-spectrum nuclei. The compact-double structures seen in several GPS sources, lack of variability, and polarization measurements as in 2134+004 (cf. Stanghellini et al. 1998b) lend some support to such an interpretation.

### 3.1 Hotspot prominence and radio luminosity

The dependence of the prominence of the hotspots on radio luminosity was examined about 20 years ago (e.g. Jenkins & McEllin 1977; Kapahi 1978). Jenkins & McEllin reported a strong correlation of the prominence of the hotspots with radio luminosity for the well-studied sample of 3CR radio sources. They defined the hotspots to be features with a size less than about 15 kpc. Kapahi (1978) argued that this correlation is possibly due to the effective resolution being coarser for the higher redshift and hence higher luminosity sources. We investigate this relationship for the CSS as well as larger objects using both the IPS and interferometric measurements.

In Figure 1a and b the scintillation visibility, $`\mu `$, is plotted against the total radio luminosity at 5 GHz for the sources from our IPS observations (Tables 4 and 5) with an LAS $`>`$400 and 1000 mas respectively. Since the effective size of the hotspots estimated from IPS observations can depend on the relative prominence of the compact and halo components as well as their separation (cf. Duffet-Smith 1980), we have examined these trends for sources $`>`$1000 mas where the blending of the two oppositely-directed hotspots is minimal. The scintillation visibility, $`\mu `$, ranges from about 0.04 to 0.7 with most objects in the range of $``$0.1 to 0.7. The median value of $`\mu `$ is about 0.3. The luminosity of most objects at 5 GHz lie in the range of about 1025.5 to 1028 W Hz-1 sr-1, and in further discussions in this paper we confine ourselves largely to objects in this luminosity range. The scintillation visibility $`\mu `$ \- luminosity diagrams for all the sources in Tables 1 and 2 with S$`{}_{327}{}^{}>`$ 0.5 Jy (Figures 1a and b), show no evidence of a significant dependence on radio luminosity.

We have also examined this relationship using the hotspot flux densities listed by Bridle et al. (1994, hereinafter referred to B94) and Fernini et al. (1993, 1997, hereinafter referred to as F97), whose sources have a similar luminosity to those of our samples and have been observed with resolution of about a few hundred mas, which is comparable to our IPS cut-off size. A plot of the fraction of the hotspot flux densities, fhs = (Sh1+Sh2)/Stotal, from the two lobes against the total radio luminosity at 5 GHz for the sources from B94 and F97 are presented in Figure 1c. The interferometric measurements also do not show a significant dependence of hotspot prominence on radio luminosity.

### 3.2 Hotspot prominence and linear size

We have presented the $`\mu `$-linear size diagram for the IPS samples described in the earlier section in Figures 2a and b, and the fhs-linear size diagram for the B94 and F97 sources in Figure 2c. The Spearman rank correlation coefficient for the IPS sample of sources with LAS $`>`$ 1000mas is $``$0.32, compared to $``$0.15 for the B94 and F97 sources. Again, we find no evidence of a significant dependence of either $`\mu `$ or fhs on linear size for these high-luminosity objects. There is, at best, a weak anticorrelation.

A relation between the prominence of hotspots with source size, and the total luminosity can in principle provide constraints on the models of evolution of radio sources. The luminosity of the hotspot depends on the pressure in the hotspot and the size of the hotspot. Many models in the literature assume that the contribution of the hotspot to the total luminosity is negligible (Kaiser et al. 1997; Blundell et al. 1999) or do not consider the evolution of the hotspot independently (Chyzy 1997; Begelman 1996). The self-similar models assume that the pressure in the head of the jet, which is essentially the hotspot, scales with the mean cocoon pressure (Kaiser et al. 1997; Begelman 1996) by means of adjusting the size of the working surface. These models predict that the cocoon luminosity decreases as the source ages. This would suggest, in the light of our data, that the hotspot luminosity also decreases as the source grows old. Non-relativistic numerical simulations have been attempted to understand the structures of the hotspots (Wilson & Scheuer 1983; Smith et al. 1985; Norman & Balsara (1993)). Although these simulations reveal dynamically varying structures of the hotspots, the luminosity evolution needs to be studied. The simulations involving relativistic electron transport with the 3D MHD simulations of jets (Jones et al. 1999a; Tregillis et al. 1999; Jones et al. 1999b) might provide better insight into the evolution of the hotspots.

### 3.3 Sizes of hotspots and collimation of radio jets

A study of the variation of the size of the hotspots on the overall linear size of the objects could provide useful clues on the collimation of radio jets. A plot of the size of the scintillating components for sources larger that 1000 mas, against the overall linear size of the source shows no significant dependence of the hotspot size on the overall size of the object (Figure 3a). To examine any effect of contamination by diffuse emission around the hotspots (cf. Hewish & Readhead 1976; Duffet-Smith 1980) we have confined ourselves to objects above 1000 mas, and have also considered separately objects with $`\mu >`$ 0.3 (Figure 3b). We again find no evidence of a significant relationship. We also examine this trend using the sizes of hotspots determined by B94 and F97, which have similar luminosity to our IPS sample (Figure 3c). The interferometric measurements for the B94 and F97 sources also suggest that the hotspot sizes do not exhibit a significant dependence on the overall linear size. The hotspot sizes remain nearly constant with a mean value of about 3 kpc although the hotspot sizes range from about 1 to 10 kpc, implying that the jets have an approximately constant mean width beyond about 20 kpc.

Jeyakumar & Saikia (2000a,b) have earlier examined the dependence of hotspot size on projected linear size for CSS and GPS objects, and find that the hotspot size increases linearly with the total linear size, suggesting that they evolve in a self-similar way. By comparing this trend with larger objects observed with a similar number of resolution elements, they suggested that there is a flattening of the relationship beyond about 20 kpc. The plots in Figure 3 where most of the objects are larger than about 10 kpc are consistent with this flattening.

The relationship between the hotspot sizes and the overall size of the source suggest that the jets are largely confined. The jets could be confined by the ambient pressure whose density falls with distance from the nucleus for sources less than about 20 kpc, while for larger scales the jets could be possibly magnetically confined. Numerical simulations of the propagation of jets also show that the hotspot sizes do not tend to increase with linear size as the jets propagate outwards beyond a certain distance (Sanders 1983; Wilson & Falle 1985).

The recollimation of the jet can occur if the jet pressure falls more rapidly than the ambient pressure. In such a scenario one would expect recollimation to occur at a distance where the jet pressure falls below the ambient pressure. In the model of Sanders (1983) applied to the jet in NGC 315, the reconfinement of the jet is accompanied by conical shocks which heat the jet causing it to reexpand. In this scenario, the reconfinement region beyond about 20 kpc, where the mean hotspot width has an approximately constant value of $``$3 kpc, requires a high ambient pressure, comparable to or larger than the jet pressure, beyond the CSS stage. On the large scales, where the ambient pressure may not be sufficient for confinement, the jet could be possibly held together by its own toroidal magnetic field (cf. Begelman et al. 1984). Magnetic collimation provides a natural explanation of the observed trend of a nearly constant width in the large sources. The mechanism of self-collimation by current-carrying jets has been examined by Appl & Camenzind (1992, 1993a,b), and the development of Kelvin-Helmholtz and current-driven instabilities in these relativistic MHD jets have been studied by Appl (1996). In this scenario, the jet is initially pressure confined and becomes self-collimated by the magetic pressure when the ambient pressure drops below the jet pressure. The width of the jet in the pressure confined regime is determined by the ambient pressure alone, where the jet current is shielded by the surface currents (Appl & Camenzind 1992). The increase in jet width with source size in this phase is due to the decrease in ambient pressure. Self-collimation becomes important when the ambient pressure falls just below the jet pressure. At this point, the current, I, is estimated to be $``$1017P1/2Rj amp where P is in units of 10-12 dyn cm-2 and the radius of the jet Rj is in kpc (Appl & Camenzind 1992). For a hotspot radius of 1.5 kpc, which is the mean value for our large sources, and typical jet pressure of $``$$`10^{10}`$ dyn cm-2 the current required to be carried by the jet is about 1018 amp. The variation of the sizes of the hotspots is consistent with pressure confinement in the CSS phase with the ambient pressure falling with distance from the nucleus, while at larger distances from the nucleus where the ambient pressure has fallen below the jet pressure, the jet could be possibly magnetically confined.

## 4 Extended emission or milli halos around CSSs

The sources whose overall separation of the components are less than the IPS cut-off size scintillate as a single source. A comparison of the sizes of the scintillating components with the VLBI-scale structure should enable us to infer the existence of milli-halos on the scale of hundreds of milliarcsec which may have been resolved out in the high-frequency VLBI observations, which are usually between 1.4 and 5 GHz. The extended emission with steeper spectrum may also be more prominent at low frequencies.

In Figure 4, we plot the sizes of the scintillating components inferred from the IPS observations against the largest angular size estimated from the VLBI images for all objects with an overall angular separation less than about 400 mas. There are 21 objects which satisfy this criterion, and their properties can be found in Tables 1 and 2.

The sizes of the scintillating components estimated from the IPS observations tend to be larger than the interferometric measurements, except for the source 0428+205. Here, the IPS size is significantly smaller than the LAS, which is defined by the weak extended emission towards the north-west. The peak brightness of this component is about a factor of 37 weaker than the dominant component seen in the VLBI image at $`\lambda `$18 cm. The size of the dominant component, whose peak brightness in the VLBI image is 1476 mJy/beam (Dallacasa et al. 1995) and which is likely to contribute to most of the scintillating power, is similar to the IPS size.

Since the uncertainty in the IPS size could be as large as about 50 mas, we identify only those sources whose difference between the IPS and VLBI sizes to be at least about 3 times 50 mas to be strong candidates for milli halos. These include the sources 1127$``$145, 1341+144, 1354$``$174, 1518+047 and 1543+005. Those whose difference lies between 2 and 3 times are 1442+101, 2247+140 and 2353+154, and these are possible candidates for millihalos. These 8 sources are described briefly below. The IPS sizes of the remaining 12 sources with LAS $`\stackrel{<}{}`$400 mas, namely 0019$``$000, 0320+053, 0742$`+`$103, 0752$`+`$342, 0941$``$080, 1117$`+`$146, 1245$``$197, 1345$`+`$125, 2008$``$068, 2128+048, 2147$`+`$145 and 2210$`+`$016, are consistent with the VLBI sizes.

There appears to be evidence of extended emission around some of the CSSs on scales few times larger than the known size of the sources. We refer to these structures as milli-halos. These low-frequency halos are expected to have steeper radio spectra and could be contributing less to the total flux density at high frequencies; and could also have been resolved out in the interferometric maps. There is often evidence of missing flux density in the VLBI images, but evidence of these halos from the integrated spectra is difficult to establish because the low-frequency integrated spectra as well as the spectra of individual components are not well-determined. One possible scenario for such structures could be earlier periods of activity which is presently fading out due to radiative and other losses. Another possibility is that the milli-halo is composed of relativistic particles which have diffused out from the jet or the nucleus. Such milli-halos with sizes of the order of about a kpc have been seen in a few nearby AGN from high-resolution and high sensitivity observations (Silver et al. 1998; Carilli et al. 1997). The sizes of extended emission detected in CSSs by IPS observations are in the range of about 250 pc to 4 kpc. These could be similar to the milli-halos seen in the nearby AGNs.

1127$``$145:  This source has a core-jet type of structure at 2.32 GHz with an overall angular size of about 63 mas (Fey et al. (1996)). At higher resolution the dominant component is resolved into a double-lobed source with an angular separation between the peaks of emission of about 3.7 mas (Romney et al. 1984; Wehrle et al. 1992; Bondi et al. 1996; Fey et al. 1996). The LAS of the source estimated from the IPS observations is about 350 mas, significantly larger than the known VLBI-scale structure.

1341+144: The source 1341+144 is a possible double with an angular separation between the peaks of emission of about 60 mas (Cotton et al. 1989). The LAS inferred from the IPS observations is about 375 mas.

1354$``$174:  It is a highly asymmetric source where the flux density ratio of the outer components is about 57, and the overall angular size is about 32 mas (Frey et al. 1997). The IPS size of the source is 188 mas.

1442+101: We estimate the size of the scintillating component from IPS observations to be about 150 mas. The VLBI map by Gurvits et al. (1994) shows a core and extension resembling a jet, with the largest separation of the components being $``$15 mas. The VLBI map at 18cm by Dallacasa et al. (1995) shows a core and jet-like extension with the core in the northern end, contrary to the Gurvits et al. (1994) image. If the core is towards the south, the possible jet has a very steep spectrum. The LAS of the source from the VLBI image is about 24 mas, while the size estimated from the IPS observations is about 150 mas.

1518+047: Phillips & Mutel (1981) find the source to be double-lobed at 18cm with an overall LAS of 135 mas. Both the lobes are resolved into two components at 5GHz by Mutel et al. (1985). A recent image by Dallacasa et al. (1998) also shows the double-lobed structure. The IPS size of the source is 325 mas.

1543+005: It is a possible triple source with an overall angular size of 7 mas (Stanghellini et al. 1999). The size of the scintillating component is about 325 mas.

2247+140: MERLIN observations by Spencer et al. (1989) show that it is a single source with an angular size of $``$200 mas. VLA observation by van Breugel et al. (1984) show that it is resolved into a possible double-lobed source. The IPS size of the source is about 325 mas.

2353+154:  Barthel & Miley (1988) found this source to have a single component with an angular size of 50 mas. The IPS size of the source is about 158 mas.

## 5  Spectra of scintillating components in GPS sources

The spectral turnover of GPS sources at low radio frequencies could be either due to synchrotron self absorption or free-free absorption. In order to try and distinguish between these two principal processes, we attempted to determine better the spectra of the compact component using both IPS observations at low frequencies and VLBI observations at higher frequencies. Since all the emission with compact structures less than about 400 mas would contribute to the scintillating power, we have confined ourselves to those GPS sources in our IPS sample whose emission at a higher frequency is dominated by a single compact component. The peak brightness in any secondary component in the VLBI images is less by at least a factor of about 10, and it is reasonable to assume that the scintillations are almost entirely from the dominant component. Five of the objects in our sample satisfy this criterion.

We present the integrated spectra as well as that of the dominant component from the IPS and VLBI observations in Figure 5; and the results are summarized in Table 6 which is arranged as follows. Column 1: source name; column 2: optical identification; column 3: the redshift; column 4: frequency of the peak in the integrated spectrum, $`\nu _p^T`$, in GHz; column 5: frequency of the peak in the spectrum of the dominant component, $`\nu _p^C`$ in GHz; column 6: the flux density of the dominant component at the peak frequency; columns 7: the range in the VLBI sizes of the prominent components in mas, with each size being the geometric mean of the major and minor axes. Column 8: the size of the IPS component in mas; column 9: the expected size of the dominant component if the turnover is due to synchrotron self absorption. The angular size of the self absorbed component can be estimated from (cf. Kellermann et al. 1981)

$`\theta 13.45\nu _p^{5/4}S_p^{1/2}B^{1/4}(1+z)^{1/4}`$

where $`\theta `$ is in mas, peak frequency $`\nu _p`$ in GHz, the flux density at the peak frequency, $`S_p`$ is in Jy and the magnetic field B in Gauss. We have assumed a redshift of 1 for the source 0742+103 Column 10 and 11: the electron density of the absorbing medium, if the absorption is due to thermal free-free absorption. This is given by (cf. Osterbrock 1989)

n$`{}_{e}{}^{2}3.05\times 10^6T^{1.35}\nu ^{2.1}(\frac{1}{L})`$ cm-6

where $`\nu `$ is in GHz, T is in units of 104 K and the size of the absorbing medium L in pc. We have assumed T=104 K and have listed the values of ne for L=10 and 50 pc.

The expected size of the components if the turnover is due to synchrotron self absorption ranges from about 1 to 5 mas assuming a magnetic field of 10-4 Gauss (e.g. Mutel et al. 1985). The sizes and spectra of the components are generally consistent with synchrotron self absorption, although models involving free-free absorption are viable (cf. Bicknell et al. 1997). In the radio source 0400+258 the total linear separation of the components extends to over 10 mas (Fey & Charlot 1997), and could extend to larger sizes with the extended structure appearing somewhat diffuse, although the size of the individual components range from 0.3 $``$ 2.8 mas. If the low-frequency turnover is due to free-free absorption the required densities of an absorbing medium of thickness 10 and 50 pc at a temperature of 104 K, are listed in Table 6. These values are in the range of 200 to 1200 cm-3. Carvalho (1998) suggests that this dense gas might imply the frustration scenario where CSSs are as old as the larger FRII sources. However, estimates of this density could be reduced as in the model of Bicknell et al. (1997).

Recently Kuncic et al. (1998) considered the effect of induced compton scattering (ICS) by the external shell of thermal gas (Bicknell et al. 1997) to explain the low frequency turnover of the GPS sources. The Thomson optical depth ($`\tau _T`$)of the ICS screen ranges from about 0.001 to 0.04 for the model parameters quoted in Kuncic et al. (1998). Using the peak frequency of the components (Table 6), we estimate the angular sizes of the components to be in range of about 1 to 8 mas for $`\tau _T`$ of 0.001 and 7 to 50 mas for $`\tau _T`$ of 0.04. These values are consistent with the component sizes listed in Table 6, making it difficult to distinguish unambiguously between the different processes responsible for the low-frequency turnover.

## 6 Concluding remarks

We have determined the small-scale structure of samples of CSS, GPS and larger sources at 327 MHz using the technique of IPS with the Ooty Radio Telescope. We have also compiled the information on the structure of these sources and summarise the conclusions based on both our IPS and interferometric measurements.

1. The prominence of the hotspots shows very little dependence on the luminosity of the radio source over few decades of luminosity from about 1025.5 to 1028 W Hz-1 sr-1. The prominence of the hotspots also shows no significant dependence on the linear size over about two decades in linear size. These are based on both the IPS observations as well as interferometric observations from the literature.
2. The size of the hotspots were shown earlier to increase linearly with the projected linear size for the CSS and GPS sources upto about 20 kpc, and then flattens at larger distances by considering objects observed with a similar number of resolution elements (Jeyakumar & Saikia 2000a,b). The sizes of the hotspots estimated from the IPS observations as well as the interferometric observations of hotspots with resolutions comparable to the IPS cut-off size are consistent with this flattening.
3. We identify candidates for milliarcsec ‘halos’ at 327 MHz in 8 CSS and GPS objects. These could be due to earlier periods of activity or diffusion of relativistic electrons from the jets and lobes. VLBI imaging at low-frequencies of these sources would be useful to clarify the situation.
4. We have determined the spectra of the dominant component in five GPS objects from both IPS and VLBI observations in order to distinguish between free-free and synchrotron self absorption. The turnover in their spectra is consistent with synchrotron self absorption although models involving free-free absorption are viable.

###### Acknowledgements.

We thank Divya Oberoi, and all the observers at Ooty, particularly Ravi Kumar, Magesh and Raghunathan, for their help during the observations, and Pradeep Gothoskar and P.K. Manoharan for numerous discussions to clarify the finer points of IPS. We thank an anonymous referee, Pradeep Gothoskar, V. K. Kulkarni and P. K. Manoharan for their valuable comments on the manuscript. We have made use of the NASA/IPAC Extragalactic Database, operated by the Jet Propulsion Laboratory, California Institute of Technology under contract with NASA.


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# Equilibrium solutions of the shallow water equations

\[

## Abstract

A statistical method for calculating equilibrium solutions of the shallow water equations, a model of essentially 2-d fluid flow with a free surface, is described. The model contains a competing acoustic turbulent direct energy cascade, and a 2-d turbulent inverse energy cascade. It is shown, nonetheless that, just as in the corresponding theory of the inviscid Euler equation, the infinite number of conserved quantities constrain the flow sufficiently to produce nontrivial large-scale vortex structures which are solutions to a set of explicitly derived coupled nonlinear partial differential equations.

\]

The evolution of a fluid from a strongly random initial condition is generally characterized by one or more turbulent cascades of energy to larger and/or smaller scales. Whether energy flows to smaller scales via a direct cascade, or to larger scales via an inverse cascade, is determined by a combination of conservation laws and phase space considerations. Generally, if only energy is conserved (as for 3-d Navier-Stokes turbulence), its flow in phase space will be globally unconstrained and will spread out to arbitrarily high wavenumbers, eventually draining all energy out of any large-scale macroscopic flows initially present. Perhaps the most familiar example of this is the thermodynamic equilibration of a container of gas to a macroscopically featureless final state in which all energy eventually ends up as heat, i.e., microscopic molecular motion. If, however, one or more additional conservation laws are present (as for 2-d Navier-Stokes turbulence, or for deep water surface gravity wave turbulence) their multiple enforcement will generally not permit *both* conserved quantities to escape to small scales, and macroscopic structure, whose profile will be initial condition and boundary condition dependent, will survive. An example is the equilibration to a *rigidly rotating* final state of a gas in a *cylindrical* container with frictionless walls. The additional conservation of angular momentum along the axis of the cylinder precludes a featureless final state.

A long-standing problem has been the characterization of final states of systems with an *infinite* number of conservation laws. Different values of the conserved quantities should then produce an infinite dimensional space of final states. The example of the equilibrating gas motivates one to postulate that the macroscopic final state, be it featureless or not, should be thermodynamic in character, i.e., it should be an *equilibrium* state computable from the appropriate Hamiltonian using the formalism of statistical mechanics. In  this approach was used to produce a full characterization of the equilibrium states of the 2-d incompressible Euler equation (the inviscid limit of the 2-d Navier-Stokes equation), where the conserved quantities are the standard integrals of all powers of the vorticity. The equilibria were found to be characterized by a macroscopic steady state vorticity distribution $`\omega _0(𝐫)`$ obeying an explicit “mean field” partial differential equation whose input parameters were determined by the values of the conserved quantities.

The 2-d Euler equation is the simplest of these systems in the sense that the incompressibility constraint $`𝐯=0`$ reduces the dynamics to that of the single scalar vorticity field $`\omega =\times 𝐯_xv_y_yv_x`$, and the conservation laws then provide an infinite sequence of global constraints on its evolution. In this work we study a more complicated system of equations, the shallow water equations, an extension of the 2-d Euler equation that includes a free surface with height field $`h(𝐫)`$ coupled to gravity $`g`$. The horizontal velocity $`𝐯`$ now becomes compressible (with 3-d incompressibility enforced via $`v_z=z𝐯`$) but is assumed to be independent of the vertical coordinate $`z`$. The effective 2-d dynamical equations are:

$`{\displaystyle \frac{D𝐯}{Dt}}_t𝐯+(𝐯)𝐯`$ $`=`$ $`gh`$ (1)
$`_th+(h𝐯)`$ $`=`$ $`0,`$ (2)
The first equation expresses the fact that the fluid accelerates in response to gradients in the surface height, and the second enforces mass conservation, i.e., the full 3-d incompressibility. The Euler equation is recovered formally when $`g\mathrm{}`$ since height fluctuations are then suppressed. It is straightforward to verify that the ratio $`\mathrm{\Omega }\omega /h`$ is convectively conserved, $`D\mathrm{\Omega }/Dt0`$, implying conservation of all integrals of the form

$$C_f=d^2rh(𝐫)f[\mathrm{\Omega }(𝐫)]$$
(3)
for any function $`f(s)`$. These may be fully characterized by the function $`g(\sigma )`$, $`\mathrm{}<\sigma <\mathrm{}`$, obtained from (3) with $`f(s)=\delta (\sigma s)`$, and $`g(\sigma )d\sigma `$ therefore represents the 3-d volume on which $`\sigma \mathrm{\Omega }\sigma +d\sigma `$. For general $`f`$ one then recovers $`C_f=𝑑\sigma f(\sigma )g(\sigma )`$. Note that if $`\omega 0`$ initially, then it must remain zero for all time. Initial conditions of this type then generate (nonlinear, in general) wave motions *only*.

The extension of the equilibrium theory to the shallow water equations is a significant advance because in addition to the usual vortical motions they contain acoustic wave motions. The latter are known  to have a direct cascade of wave energy to small scales. One then has the very interesting situation in which there are two *competing* energy cascades, and the question arises as to which one “wins.” In particular, is it possible that the macroscopic vortex structures can “radiate” wave energy and disappear entirely? We will show that under reasonable physical assumptions a finite fraction of the energy remains in large scale vortex structures, and we will derive exact mean field equations for the equilibrium structure.

The statistical formalism proceeds in a sequence of well defined steps. First, the Hamiltonian corresponding to (1) and (2) is

$$=\frac{1}{2}d^2r(h𝐯^2+gh^2),$$
(4)
though the Poisson bracket yielding (1) and (2) from (4) is noncanonical. Second, the partition function is defined as an integral over the phase space of fields $`h,𝐯`$ with an appropriate statistical measure. This so-called invariant measure is most easily computed if the dynamics can be expressed in terms of a set of variables, canonical variables being an example, for which a Liouville theorem is satisfied. In this case invariant measures are any function of the conserved integrals, with different choices corresponding to different ensembles. In the Euler case the field $`\omega `$ itself satisfies a Liouville theorem. In the shallow water case no obvious combination of $`h`$, $`𝐯`$ or their derivatives meet this requirement.

To circumvent this problem we transform to a *Lagrangian* description, in terms of interacting infinitessimal parcels of fluid of equal 3-d volume, for which canonical variables are easy to construct. Thus, let $`𝐚`$ be a 2-d labeling of the system, and let $`𝐫(𝐚,t)`$ be the position of the parcel of fluid such that, e.g., $`𝐫(𝐚,0)=𝐚`$. Since all parcels have equal mass, the conjugate momentum is $`𝐩(𝐚,t)=\dot{𝐫}(𝐚,t)=𝐯(𝐫(𝐚,t),t)`$. The height field is simply the Jacobian of the transformation between $`𝐫`$ and $`𝐚`$:

$$h_0/h(𝐫(𝐚))=det(𝐫/𝐚)=_{a_1}r_2_{a_2}r_1,$$
(5)
where $`h_0`$ is the overall mean height. The Hamiltonian (4) now takes the form

$$=\frac{h_0}{2}d^2a[𝐩(𝐚)^2+gh(𝐚)],$$
(6)
while,

$`\omega (𝐚)`$ $``$ $`\times 𝐯=h(_{a_2}r_1_{a_1}p_1_{a_1}r_1_{a_2}p_1`$ (8)
$`+_{a_2}r_2_{a_1}p_2_{a_1}r_2_{a_2}p_2)`$
$`q(𝐚)`$ $``$ $`𝐯=h(_{a_2}r_2_{a_1}p_1_{a_1}r_2_{a_2}p_1`$ (10)
$`+_{a_2}r_1_{a_1}p_2_{a_1}r_1_{a_2}p_2).`$
It is easily verified that the Lagrangian forms of (1) and (2) follow from the Hamiltonian equations of motion $`\dot{𝐫}(𝐚)=\delta /\delta 𝐩(𝐚)`$ and $`\dot{𝐩}(𝐚)=\delta /\delta 𝐫(𝐚)`$. The Liouville theorem, which is a statement of incompressibility of flows in phase space,

$`{\displaystyle \underset{\alpha }{}}{\displaystyle d^2a[\delta \dot{r}_\alpha (𝐚)/\delta r_\alpha (𝐚)+\delta \dot{p}_\alpha (𝐚)/\delta p_\alpha (𝐚)]}`$ (11)
$`={\displaystyle d^2a[\delta ^2/\delta r_\alpha (𝐚)\delta p_\alpha (𝐚)\delta ^2/\delta p_\alpha (𝐚)\delta r_\alpha (𝐚)]}=0,`$ (12)
then follows immediately and implies that the correct statistical measure is $`\rho (,\{g(\sigma )\})_𝐚d^2r(𝐚)d^2p(𝐚)`$. In the *grand canonical ensemble*, which we shall adopt, the function $`\rho `$ is given by $`\rho =e^{\beta 𝒦}`$, where $`\beta =1/T`$ is a hydrodynamic “temperature” and

$`𝒦`$ $`=`$ $`{\displaystyle 𝑑\sigma \mu (\sigma )g(\sigma )}`$ (13)
$`=`$ $`{\displaystyle d^2rh(𝐫)\mu [\omega (𝐫)/h(𝐫)]}`$ (14)
$`=`$ $`h_0{\displaystyle d^2a\mu [\omega (𝐚)/h(𝐚)]}`$ (15)
in which $`\mu (\sigma )`$ is a chemical potential that couples to each level $`\omega (𝐫)/h(𝐫)=\sigma `$. The partition function is now defined by

$$Z[\beta ,\{\mu (\sigma )\}]=\frac{1}{N!}\underset{𝐚}{}d^2r(𝐚)d^2p(𝐚)e^{\beta 𝒦},$$
(16)
where $`N\mathrm{}`$ is the number of fluid parcels and $`N!`$ is the usual classical delabeling factor. The thermodynamic averages of the conserved quantities are now obtained in the usual fashion as derivatives with respect to the chemical potentials, $`g(\sigma )=T\delta \mathrm{ln}(Z)/\delta \mu (\sigma )`$.

One would now like to transform the integration in (16) back to physical Eulerian variables. The key observation is that, from (10), $`\mathrm{\Omega }\omega /h`$ and $`Qq/h`$ are *linear* in $`𝐩`$. Therefore, one may formally invert this relationship to obtain $`_𝐚d^2p(𝐚)=_𝐚dQ(𝐚)d\mathrm{\Omega }(𝐚)J[h]`$, where, due to the particle relabeling symmetry (both $`𝐯`$ and $`\times 𝐯`$ depend only on $`𝐫`$ and are then clearly invariant under any permutation of the labels $`𝐚`$), the Jacobian $`J`$ is a functional of the height field $`h(𝐚)`$ *alone*. The exact form of $`J`$ will turn out to be unimportant. Similarly, $`(1/N!)_𝐚d^2r(𝐚)=_𝐚𝑑h(𝐚)I[h]`$, where $`I[h]`$ is another Jacobian. The $`1/N!`$ factor precisely removes the relabeling symmetry that, in particular, leaves the height field invariant. Finally, we replace the label $`𝐚`$ by the actual position $`𝐫`$, in which the equal volume restriction on each fluid parcel implies that the infinitesimal area of each parcel must be determined by $`dV=h(𝐫)d^2r=constant`$. Thus:

$`{\displaystyle \frac{1}{N!}}{\displaystyle \underset{𝐚}{}}{\displaystyle d^2r(𝐚)d^2p(𝐚)}`$ (17)
$`={\displaystyle \underset{𝐫}{}}{\displaystyle 𝑑h(𝐫)𝒥[h]𝑑\mathrm{\Omega }(𝐫)𝑑Q(𝐫)},`$ (18)
in which $`𝒥[h]=I[h]J[h]`$, and the mesh over which the label $`𝐫`$ runs is *nonuniform* and *changes* with each realization of the height field $`h`$.

The statistical operator $`𝒦`$ must also be expressed in terms of $`Q,\mathrm{\Omega },h`$. Only for the kinetic energy $`T=d^2rh𝐯^2`$ does this require some nontrivial manipulations. Let the current $`𝐣h𝐯`$ be decomposed in the form $`𝐣=\times \psi \varphi `$. One obtains then

$$\left(\begin{array}{c}h\mathrm{\Omega }\\ hQ\end{array}\right)=\left(\begin{array}{cc}\times \frac{1}{h}\times & \times \frac{1}{h}\\ \frac{1}{h}\times & \frac{1}{h}\end{array}\right)\left(\begin{array}{c}\psi \\ \varphi \end{array}\right).$$
(19)
The $`2\times 2`$ matrix operator, which we shall denote $`_h`$, appearing on the right hand side of (19) is self adjoint and positive definite, and therefore possesses an inverse, i.e., a $`2\times 2`$ matrix Green function $`𝒢_h(𝐫,𝐫^{})`$ satisfying $`_h𝒢_h(𝐫,𝐫^{})=𝟙\delta (𝐫𝐫^{})`$. An explicit form for $`𝒢_h`$ will not be needed. The kinetic energy is then $`T=\frac{1}{2}d^2r𝐣𝐯=d^2rh(\psi \mathrm{\Omega }+\varphi Q)`$, i.e.,

$$T=d^2rh(𝐫)d^2r^{}h(𝐫^{})\left(\begin{array}{c}\mathrm{\Omega }(𝐫)\\ Q(𝐫)\end{array}\right)𝒢_h(𝐫,𝐫^{})\left(\begin{array}{c}\mathrm{\Omega }(𝐫^{})\\ Q(𝐫^{})\end{array}\right)$$
(20)
and the complete statistical operator is

$$𝒦=T+d^2rh(𝐫)\left\{\frac{1}{2}gh(𝐫)\mu [\mathrm{\Omega }(𝐫)]\right\}$$
(21)
The appearance of the factors $`h(𝐫)`$ and $`h(𝐫^{})`$ is crucial here because, as discussed above, $`dV=h(𝐫)d^2r`$ and $`dV^{}=h(𝐫^{})d^2r^{}`$ are both uniform for each given statistical mesh.

We finally come to the evaluation of the partition function itself. This is accomplished with the use of the *Kac-Hubbard-Stratanovich* (KHS) transformation, which in discrete form reads for any positive definite matrix $`𝐀`$,

$$e^{\frac{1}{2}_{i,j}y_iA_{ij}y_j}=\frac{1}{𝒩}\underset{i}{}_{\mathrm{}}^{\mathrm{}}𝑑\zeta _ie^{\frac{1}{2}_{i,j}\zeta _iA_{ij}^1\zeta _j_i\zeta _iy_i},$$
(22)
where $`y_i`$ and $`\zeta _i`$ may be vectors, and the normalization is $`𝒩=\sqrt{det(2\pi 𝐀)}`$. This identity follows by completing the square on the right hand side and performing the remaining Gaussian integral. We apply it to the discretized version of (16) and (18) with finite $`dV`$, and the identifications $`A_{ij}=\beta ^1𝒢(𝐫_i,𝐫_i)`$ , $`y_i=\beta dV[\mathrm{\Omega }(𝐱_i),\mathrm{\Phi }_i(𝐱_i)]`$ and we introduce the notation $`\zeta _i=[\mathrm{\Psi }(𝐱_i),\mathrm{\Phi }(𝐱_i)]`$. The continuum limit $`dV0`$ will be taken at the end. The partition function is now

$$Z=\underset{i}{}𝑑h_i\frac{𝒥[h]}{𝒩[h]}𝑑\mathrm{\Psi }_i𝑑\mathrm{\Phi }_i𝑑Q_i𝑑\mathrm{\Omega }_ie^{\beta \stackrel{~}{}},$$
(23)
where

$`\stackrel{~}{}`$ $`=`$ $`dV{\displaystyle \underset{i,j}{}}\left(\begin{array}{c}\mathrm{\Psi }_i\\ \mathrm{\Phi }_i\end{array}\right)[_h]_{ij}\left(\begin{array}{c}\mathrm{\Psi }_j\\ \mathrm{\Phi }_j\end{array}\right)`$ (29)
$`dV{\displaystyle \underset{i}{}}[\mathrm{\Omega }_i\mathrm{\Psi }_i+Q_i\mathrm{\Phi }_i\mu (\mathrm{\Omega }_i)],`$
in which $`[_h]_{ij}`$ is an appropriate discretization of the differential operator $`_h`$. Notice that the inverse of $`𝒢_h`$ has led to the reappearance of the local differential operator $`_h`$.

At the expense, then of introducing the new fields $`\mathrm{\Psi }`$, $`\mathrm{\Phi }`$ we have succeeded in producing a purely *local* action in which the integration over $`\mathrm{\Omega }_i`$, $`Q_i`$ can be performed independently for each $`i`$ (for given fixed field $`h`$). However, we now arrive at a problem whose physical origin, as we shall see, lies precisely in the direct cascade of wave energy. Thus, the chemical potential function $`\mu (\sigma )`$ controls convergence of the Laplace transform-type integral

$$e^{\overline{\beta }W[\mathrm{\Psi }_i]}_{\mathrm{}}^{\mathrm{}}𝑑\mathrm{\Omega }_ie^{\overline{\beta }[\mathrm{\Omega }_i\mathrm{\Psi }_i\mu (\mathrm{\Omega }_i)]},$$
(30)
where $`\overline{\beta }\beta dV`$ corresponds to a rescaled hydrodynamic temperature $`\overline{T}=TdV`$ which is assumed to remain *finite* as $`dV0`$—the object of this choice is to obtain the correct control parameter for nontrivial hydrodynamic equilibria in the continuum limit that, as we shall see, yields a nontrivial balance between energy and entropy contributions to the final free energy. However, there is no corresponding chemical potential controlling $`Q_i`$ and the corresponding integral does not converge. Recalling that $`Q=(1/h)𝐯`$, unboundedness of $`Q`$ reflects unboundedness of small-scale gradients in the compressional part of $`𝐯`$ and in $`h`$. Thus, taken literally, the direct cascade of wave energy leads to arbitrarily small scale fluctuations of the fluid surface that remain of fixed amplitude, i.e., a kind of foam of fixed thickness. Physically, of course, such small scale motions are rapidly dissipated by processes that violate the approximations used to derive the shallow water equations, e.g., by some combination of viscosity and wave breaking. This leads to the following physically motivated assumption: dissipative processes that suppress wave motions lead to the interpretation $`𝑑Q_i\mathrm{exp}(\overline{\beta }Q_i\mathrm{\Phi }_i)\delta (\overline{\beta }\mathrm{\Phi }_i)`$, i.e., to the vanishing of $`\mathrm{\Phi }_i`$.

With $`\mathrm{\Phi }_i0`$, only the $`(1,1)`$ component of $`_h`$ contributes, and in the continuum limit $`dV0`$ the partition function becomes

$$Z=\underset{𝐫}{}𝑑h(𝐫)\frac{𝒥[h]}{[h]}𝑑\mathrm{\Psi }(𝐫)e^{\beta [h,\mathrm{\Psi }]},$$
(31)
where the Free energy functional is

$$=d^2r\left[\frac{(\mathrm{\Psi })^2}{2h}\frac{1}{2}gh^2+hW[\mathrm{\Psi }]\right].$$
(32)
The key observation now is that $`\beta =\overline{\beta }/dV\mathrm{}`$ in the continuum limit. Thus, mean field theory becomes *exact* and equilibrium solutions are given by *extrema* of $``$. This is why the integration over the field $`h(𝐫)`$, with its unknown Jacobian, is ultimately irrelevant. The underlying assumption is only that the Jacobian is smooth, or at least less singular than $`e^\beta `$, in the neighborhood of the extremum in the continuum limit.

The extremum conditions $`\delta /\delta \mathrm{\Psi }(𝐱)=0=\delta /\delta h(𝐱)`$ yield then the mean field equations

$`\left[{\displaystyle \frac{1}{h(𝐫)}}\mathrm{\Psi }\right]`$ $`=`$ $`h(𝐫)W^{}[\mathrm{\Psi }(𝐫)]`$ (33)
$`{\displaystyle \frac{[\mathrm{\Psi }(𝐫)]^2}{2h(𝐫)^2}}`$ $`=`$ $`W[\mathrm{\Psi }(𝐫)]gh(𝐫),`$ (34)
By adding a source term $`d^2rh(𝐫)\tau (𝐫)\mathrm{\Omega }(𝐫)`$ to $`𝒦`$, which serves only to replace $`\mathrm{\Psi }`$ by $`\mathrm{\Psi }\tau `$ inside $`W`$, one may compute the equilibrium average $`\mathrm{\Omega }(𝐫)=[\delta /\delta \tau (𝐫)]_{\tau 0}=h^1(h^1\mathrm{\Psi })`$. It follows then that $`𝐣=\times \mathrm{\Psi }`$, so that $`\mathrm{\Psi }`$ is the *stream function* associated with the equilibrium current. Equation (33) is in fact equivalent to $`\mathrm{\Omega }=W^{}(\mathrm{\Psi })`$, which guarantees that this is a true equilibrium solution satisfying $`\dot{\mathrm{\Omega }}=0`$, and equation (34) is equivalent to Bernoulli’s theorem since it can be rewritten as $`(1/2)𝐯^2+gh=W(\mathrm{\Psi })`$.

As a simple example, in the case where $`\mathrm{\Omega }=\sigma _0`$ over half the 3-d volume of the fluid and $`\mathrm{\Omega }=0`$ on the other half, the chemical potential takes the form $`e^{\overline{\beta }\mu (\sigma )}=e^{\overline{\beta }\mu _0}\delta (\sigma )+e^{\overline{\beta }\mu _1}\delta (\sigma \sigma _0)`$, and therefore by (30) $`e^{\overline{\beta }W(s)}=e^{\overline{\beta }\mu _0}+e^{\overline{\beta }(\mu _1\sigma _0s)}`$. Extensive numerical solutions for the Euler equilibria exist for this “two-level” system as a function of $`\beta `$ and $`\mu _1\mu _0`$. In preliminary numerical work, we find that the shallow water equilibria generated by (34) have very similar structure (with, for example, vorticity moving from the walls toward the center of the system as $`\beta `$ decreases from positive to negative values), while the height field basically covaries with the vorticity in order to maintain hydrostatic balance. Details of this work will be presented elsewhere.

The techniques presented in this paper can be used to generate equilibrium equations for a number of other systems with an infinite number of conserved integrals. The key insight presented here is that whenever such a system contains simultaneous direct and inverse energy cascades, the long time dynamics becomes very singular and additional physically motivated assumptions must be made in order to derive sensible equilibria. Our assumption, that dissipation acts to suppress the forward cascading degrees of freedom with negligible effect on the macroscopic state, presumably depends on the smoothness of the initial condition. Comparisons with detailed numerical simulations will be required to evaluate such effects.

Note added: After completion of this work we became aware of an e-print  where equations equivalent to (34) are derived from a phenomenological maximum entropy theory. No statistical mechanical derivation is given, nor is the interaction between wave and vortical motions and the effects of waves on equilibration discussed.


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# 1 Introduction

## 1 Introduction

This document presents two analyses designed to select large samples of $`B^0`$ mesons with inclusive reconstruction techniques. The first method finds $`B^0D^{}\pi ^+`$ events and the second $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$; while the two techniques are different in detail, they both share the common feature of making no attempt to reconstruct the $`D^0`$ produced in the $`D^{}D^0\pi ^{}`$ decay, thereby achieving high efficiency comparing to the exclusive reconstruction.

Taking advantage of the boost of the $`\mathrm{{\rm Y}}(4S)`$ system at PEP-II, the lifetime of the $`B^0`$ meson is determined separately, with a good statistical precision, using both samples of events. Tagging the flavor of the second $`B^0`$ in the event will eventually also allow a measurement of the mixing parameter $`\mathrm{\Delta }m_d`$.

### 1.1 $`𝑩^\mathrm{𝟎}\mathbf{}𝑫^{\mathbf{}\mathbf{}}𝝅^\mathbf{+}`$ inclusive reconstruction

The decay $`B^0D^{}\pi ^+`$ is interesting for many reasons, but particularly since it may exhibit $`CP`$ violation . Since the asymmetry is expected to be small, this is a long term goal and the first steps toward it are the measurement of the $`B_d^0`$ lifetime and mixing using this process.

The full reconstruction of the decay chain $`B^0D^{}\pi ^+`$, $`D^{}\overline{D}{}_{}{}^{0}\pi _{}^{}`$, where the $`D^0`$ decays in the mode $`\overline{D}{}_{}{}^{0}K^{}\pi ^+,K^{}\pi ^+\pi ^0,K^{}\pi ^{}\pi ^+\pi ^+,\overline{K}^0\pi ^{}\pi ^+,\mathrm{}`$, allows one to evaluate detector performance and to extract the signal with an excellent signal over background ratio. However the loss in statistics is substantial and may limit a $`CP`$ violation measurement given the small expected asymmetry.

An alternative approach exists for extracting the signal without reconstructing the decay of the $`D^0`$ meson. This partial reconstruction method has already been used successfully by other experiments  and allows an increase of the size of the reconstructed sample by about an order of magnitude while maintaining the background at a reasonable level.

No attempt is made to reconstruct the $`D^0`$ decays. Therefore, one searches for a pair of oppositely-charged pions ($`\pi _f`$, $`\pi _s`$) and, assuming that their origin is a $`B^0`$ meson, calculates the missing invariant mass which should be the $`D^0`$ mass if our hypothesis was correct. Without the constraint of the $`D^0`$ mass, the direction of the $`B`$ meson is unknown. Although its angle with respect to $`\pi _f`$ direction can be deduced, the angle $`\varphi `$ around this direction is undetermined. For more details see .

Using the beam energy constraint, the missing mass, $`M_{miss}`$, is computed from the energy and momenta of the two reconstructed pions. Since this still depends on the unknown angle $`\varphi `$ of the $`B^0`$ momentum, in this analysis, $`M_{miss}`$ is defined as the average of the maximum and minimum value of $`M_{miss}`$ over all $`\varphi `$ angles.

A Monte Carlo study shows that the resolution on $`M_{miss}`$ obtained in this way is of the order of 3$`\mathrm{MeV}/c^2`$, and that it is dominated by the tracking precision for the measurement of the two pions.

### 1.2 $`𝑩^\mathrm{𝟎}\mathbf{}𝑫^{\mathbf{}\mathbf{}}\mathbf{}^\mathbf{+}𝝂_{\mathbf{}}`$ inclusive reconstruction

The $`B^0`$ semileptonic decay process $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$ is characterized by high branching ratio and clear experimental signature. These facts allow the selection of large event samples with small background contamination. Therefore this process has been widely used in the past to determine several $`B^0`$ properties, along which its lifetime, $`\tau _{B^0}`$ , and the $`B^0\overline{B}^0`$ mass splitting, $`\mathrm{\Delta }m_d`$ . In those measurements the $`D^{}`$ particle was reconstructed through its decay $`D^{}D^0\pi ^{}`$, and the $`D^0`$ was identified by means of exclusive reconstruction of a few final states which provide high selection efficiency and high background rejection.

Due to the restricted phase space of the $`D^{}D^0\pi ^{}`$ transition it is however possible to tag this process by reconstructing only the low energy charged pion (hereafter called $`\pi ^{}`$ ) from the $`D^{}`$ decay, without reconstructing the $`D^0`$. This “inclusive” approach allows us to select an event sample about ten times more abundant than the exclusive analysis. This method has been extensively used in the past by the ARGUS and CLEO collaborations at the $`\mathrm{{\rm Y}}(4S)`$ to determine several $`B^0`$ and $`D^0`$ properties , and by DELPHI and OPAL at LEP to measure $`|V_{cb}|`$ and the $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$ branching fraction . Measurements of the $`B^0`$ lifetime and oscillation frequency with this approach have only been performed by the DELPHI collaboration at LEP  and are, at present time, among the most precise determinations of those quantities.

## 2 Detector and data

The data used in this analysis were collected with the BABAR detector (for a detailed description see ) at the PEP-II storage ring. The statistics analyzed corresponds to an integrated luminosity of 7.9 (7.1) $`\text{ fb}^1`$ of data collected on the $`\mathrm{{\rm Y}}(4S)`$peak, and 1.2 (1.0) $`\text{ fb}^1`$ collected below peak, for the $`B^0D^{}\pi ^+`$ ($`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$) analysis. The off-resonance data were used for background study purposes.

Samples of about one million $`B^0\overline{B}^0`$ and $`B^+`$$`B^{}`$ simulated events were also analyzed; in addition, about 28000 (175000) $`B^0\overline{B}^0`$ were generated, were one of the $`B^0`$ mesons was forced to decay to $`B^0D^{}\pi ^+`$ ($`D^{}\mathrm{}^+\nu `$).

## 3 $`𝑩^\mathrm{𝟎}`$ to $`𝑫^{\mathbf{}\mathbf{}}𝝅^\mathbf{+}`$ analysis and results

### 3.1 Inclusive reconstruction of $`𝑩^\mathrm{𝟎}\mathbf{}𝑫^{\mathbf{}\mathbf{}}𝝅^\mathbf{+}`$

#### 3.1.1 Track and signal selection

The fast and slow pion have been selected by requiring Drift Chamber (DCH) and Silicon Vertex Detector (SVT) quality cuts, respectively. In addition, the fast pion should have a momentum in the center of mass frame between 2.114 and 2.404$`\mathrm{GeV}/c`$, and should not to be identified as a muon or as an electron. The slow pion should have a momentum in the laboratory of at least 50$`\mathrm{MeV}/c`$. A further set of cuts were applied to reject electrons and kaons from the fast and slow pion tracks using the calorimeter and the Detection of Internally Reflected Cherenkov light (DIRC).

In order to obtain the signal, pairs of oppositely-charged tracks were required and the inclusive reconstruction method was applied, leading to a value for $`M_{miss}`$. An optimized selection criterium is necessary in order to reduce the combinatorial background, mainly from continuum events.

In order of decreasing discriminating power, the quantities used for signal selection are:

1. $`R_2`$, the normalized second Fox-Wolfram moment, is required to be less than 0.35.
2. Requiring that no other tracks be in a cone of opening angle 0.4 rad centered on the fast pion candidate momentum vector in the $`\mathrm{{\rm Y}}(4S)`$ system.
3. Two sets of particles are defined: all tracks and calorimeter clusters, excluding the fast and slow pion (SET1), and a set where all particles in a cone around the reference $`D^0`$ direction are also excluded (SET2) (see section 3.2.2). A single discriminating variable is constructed using the Fisher method, based on 15 input variables. (For SET1, the scalar sum of the CM momenta of tracks and showers in nine $`20^0`$ angular bins around the fast pion, and the sphericity. For SET2, the angle of the sphericity axis and the angle of the particle of highest energy with respect to the fast pion, and the combined mass and momentum of all the particles.)
4. The cosine of the helicity angle111angle between the soft pion and the $`D^{}`$ flight direction in the rest frame of the latter is required to be larger than 0.4 in absolute value.

The efficiency for these cuts as determined using Monte Carlo simulation is 27.5%.

The distribution of the missing mass obtained on the data, applying only the $`R_2`$ cut, is shown in Fig. 2. The fitted signal is $`10992\pm 235`$ events. Applying all the cuts (see also Section 6.4) the distribution in Fig. 2 is obtained, containing $`1696\pm 107`$ events.

No peak is observed in the corresponding distribution for wrong charge combinations, nor in the off-resonance data.

#### 3.1.2 Signal and background composition

Other $`B`$ decay modes may produce an enhancement at the end of the missing mass spectrum in the same region where the signal is expected. An obvious example is the decay $`B^0D^{}\rho ^+`$.

To study this effect, we have fit separately the distribution obtained for generic $`B`$ mesons and charged $`B`$ mesons from Monte Carlo simulation. Contributions to the missing mass spectrum come from a) $`B^0D^{}\pi ^+`$ signal, b) combinations of a true soft pion from a $`D`$ with a pion coming from a $`B^0`$ meson or from a direct $`\rho `$, c) combinations of a true soft pion with a direct lepton, and d) all other combinations. Only the categories a), b) and c) show clearly a peak at the end of the spectrum. The fit gives $`461\pm 26`$ events, which is consistent with the sum of the contribution from a) (365 events) and b) (100 events). Therefore, we estimate that the signal contribution is enhanced by 26% from other $`B^0`$ decay modes.

No clear peaking is observed for charged $`B`$ mesons. The estimate for their fraction in the signal sample is $`6.0\pm 3.1`$%.

Figure 4 shows a comparison between data and Monte Carlo distributions for missing mass, after all cuts. The Monte Carlo is normalized to the data.

For the lifetime measurement, the combinatorial background parameters have been fitted to the data for wrong-charge combinations with $`M_{miss}>1.84`$$`\mathrm{GeV}/c^2`$. As a cross-check, a sideband region ($`1.8<M_{miss}<1.84`$$`\mathrm{GeV}/c^2`$) is also defined. The signal region is taken to be the interval $`M_{miss}>1.854`$$`\mathrm{GeV}/c^2`$. The fractions of the different components in the sideband, signal and wrong charge region are shown in Table 1.

### 3.2 Lifetime measurement

#### 3.2.1 $`𝑩^\mathrm{𝟎}\mathbf{}𝑫^{\mathbf{}\mathbf{}}𝝅^\mathbf{+}`$ vertex determination

The $`B^0D^{}\pi ^+`$ vertex has been computed fitting the fast and slow pion tracks with the beam spot constraint. To take into account the flight of the $`B`$ meson in the $`xy`$ plane, the effective size of the luminous region in the vertical direction has been assumed to be 60$`\mu \mathrm{m}`$.

The resolution on the $`B^0D^{}\pi ^+`$ vertex is dominated by the beam spot and by the fast pion track. Therefore, we have required the fast pion to have at least 3 SVT hits. The longitudinal or $`z`$ precision on this vertex is strongly correlated to the direction of the fast pion track and is best when this direction lies in the transverse plane, in which case the resolution is 50$`\mu \mathrm{m}`$. The error on the $`z`$ coordinate of this vertex is required to be less than 150$`\mu \mathrm{m}`$. The $`z`$ resolution of the $`B^0D^{}\pi ^+`$ vertex can be fitted with the sum of two Gaussian distributions, where the core Gaussian has a width of 48$`\mu \mathrm{m}`$ and contains 80% of the events.

#### 3.2.2 Rejection of $`𝑫^\mathrm{𝟎}`$ tracks and $`𝑩_{𝒕𝒂𝒈}`$ vertex determination

Before fitting the vertex of the second B in the event, hereafter named $`B_{tag}`$, it is necessary to reject tracks coming from the non-reconstructed $`D^0`$. Including these tracks in the fit would result in a bias, pulling the position of the $`B_{tag}`$ vertex systematically closer to the $`B^0D^{}\pi ^+`$ vertex and thereby reducing the measured lifetime. Thanks to the high momentum of the $`D^0`$, most of its decay products will be boosted in a cone around the parent direction. To reject these, tracks are excluded that lie within the region in the $`\theta _{TK}p`$ plane that is populated by $`D^0`$ decay particles, where $`\theta _{TK}`$ is the the angle between the direction of a given track and the reconstructed $`D^0`$ direction and $`p`$ is the momentum of the track in the center of mass frame. This requirement is applied up to a maximum angle of 2 rad. It has an efficiency of 45% for the tracks from the $`B_{tag}`$ and 1.8% for the $`D^0`$ decay products. As a result, 98% of the accepted tracks come from the $`B_{tag}`$.

The $`B_{tag}`$ vertex has been fitted from the tracks selected as explained above, discarding the tracks with excessive contribution to $`\chi ^2`$. To achieve a high quality vertex it is required that the fit be performed using at least two tracks. Even after this treatment, some tracks from the decay of charmed hadrons are still included in the $`B_{tag}`$ vertex fit. As these come from the charm decay vertex, which is generally at larger $`z`$ values due to the charm hadron lifetime and the boost in the laboratory frame, this produces a bias in the mean value of the $`z`$ coordinate of the order of 20$`\mu \mathrm{m}`$. The $`z`$ resolution for the $`B_{tag}`$ vertex can be fit with the sum of two Gaussian distributions, where the core Gaussian has a width of 92$`\mu \mathrm{m}`$ and it contains 70% of the events.

#### 3.2.3 Vertex quality selection

Further selection cuts are applied to improve the vertex quality. The number of SVT hits associated to the fast pion is required to be at least 4, the $`z`$ error on the $`B^0D^{}\pi ^+`$ vertex fit is required to be less than 150$`\mu \mathrm{m}`$, the normalized $`\chi ^2`$ of the $`B^0D^{}\pi ^+`$ vertex fit is required to be less than 20, and at least two tracks are required to be used by the $`B_{tag}`$ vertex fit. The efficiency for these cuts estimated from Monte Carlo simulation to be 58%. The number of signal events is $`1696\pm 107`$ and the fraction of combinatorial background in the signal region $`\alpha _{back}`$ is $`27\pm 6`$%.

#### 3.2.4 $`𝑩^\mathrm{𝟎}`$ lifetime fit

Using the fit result for the two $`B`$ vertices, it is possible to extract a longitudinal vertex separation, $`\mathrm{\Delta }z=z_{D^{}\pi }z_{tag}`$. $`\mathrm{\Delta }t`$ is then computed using the approximation $`\mathrm{\Delta }t=\mathrm{\Delta }z/\beta \gamma c`$, where the boost $`\beta \gamma `$ of the $`\mathrm{{\rm Y}}(4S)`$ at PEP-II is known to be 0.56. In order to fit the $`\mathrm{\Delta }t`$ distribution, three regions were defined in the $`M_{miss}`$ spectrum: a signal region for candidates with $`M_{miss}>1.854`$$`\mathrm{GeV}/c^2`$, a sideband region with $`1.800<M_{miss}<1.840`$$`\mathrm{GeV}/c^2`$ and a wrong charge region for candidates with both pions have the same charge and $`M_{miss}>1.840`$$`\mathrm{GeV}/c^2`$.

The wrong-charge distribution is used to define the shape of the combinatorial background under the signal. The $`\mathrm{\Delta }t`$ distribution of the wrong charge region is fit with the function:

$`f_b(\mathrm{\Delta }t)=(1\alpha _B)(\alpha _{uds}gauss(\mathrm{\Delta }t,\sigma _{uds})+(1\alpha _{uds})gauss(\mathrm{\Delta }t,\sigma _c))`$ (1)
$`+\alpha _B((1\alpha _{bw})E_G(\mathrm{\Delta }tb_n;\tau _{back},\sigma _{bn})+\alpha _{bw}E_G(\mathrm{\Delta }tb_w;\tau _{back},\sigma _{bw}))`$
where $`E_G(t;\tau ,\sigma )`$ is the convolution of an exponential with lifetime $`\tau `$ with a gaussian of width $`\sigma `$.

The parameters $`\alpha _{bw}`$, $`b_n`$, $`\sigma _{bn}`$, $`b_w`$, $`\sigma _{bw}`$ for the background “resolution function” are fixed to the resolution function determined from Monte Carlo simulation for signal events. The background lifetime is fixed to the value, 1.55$`\mathrm{ps}`$, measured from the same distribution for $`B\overline{B}`$ events in the Monte Carlo sample. The widths $`\sigma _{uds}`$ and $`\sigma _c`$ of the two Gaussian distributions used to parametrise the continuum light quark ($`uds`$) and charm components are fixed to the values, 0.70 and 0.96$`\mathrm{ps}`$ respectively, extracted from the Monte Carlo. $`\alpha _B`$ and $`\alpha _{uds}`$ are the only parameters left free in the fit of the background $`\mathrm{\Delta }t`$ distribution.

To take into account the fact that the fractions of $`uds`$ and charm in the different samples are different (cf. table 1), $`\alpha _{uds}`$ is fixed to the value 0.37, obtained from the Monte Carlo simulation in the signal region, for the final lifetime fit.

The lifetime fit is performed using an event-by-event resolution estimate obtained by scaling the error given by the vertex fit for the two vertices. The Monte Carlo $`\mathrm{\Delta }z`$ pull distribution has been used for the rescaling. This can be described by two Gaussian distributions with widths $`p_n=1.04`$ and $`p_w=2.51`$, centered at $`s_n=0.22`$ and $`s_w=0.95`$ respectively. The fraction $`\alpha _{wide}`$ of the events in the wide Gaussian is 11%.

Therefore, the probability density function for the unbinned maximum likelihood fit for event $`i`$ is:

$$f(\mathrm{\Delta }t_i,\sigma _i)=(1\alpha _{back})f_s(\mathrm{\Delta }t_i,\sigma _i)+\alpha _{back}f_b(\mathrm{\Delta }t_i)$$
(2)
where

$$f_s(\mathrm{\Delta }t_i,\sigma _i)=(1\alpha _{wide})E_G(\mathrm{\Delta }t_is_n\sigma _i;\tau _{B^0},Sp_n\sigma _i)+\alpha _{wide}E_G(\mathrm{\Delta }t_is_w\sigma _i;\tau _{B^0},Sp_w\sigma _i)$$
(3)
Here $`\mathrm{\Delta }t_i`$ and $`\sigma _i`$ are $`\mathrm{\Delta }t`$ and its error coming from the fit of the two $`B`$ vertices and S is a global scale factor for the errors.

The result of the unbinned maximum likelihood fit with one free parameter, the $`B^0`$ lifetime, is $`\tau _{B^0}=1.51\pm 0.05`$$`\mathrm{ps}`$ as shown in Fig 4.

#### 3.2.5 Bias

Using the same procedure, a lifetime fit has been performed on a signal Monte Carlo sample, giving $`\tau _{B^0}=1.48\pm 0.025`$$`\mathrm{ps}`$. Removing the tracks from the $`D^0`$, the bias is removed and the result, $`\tau _{B^0}=1.52\pm 0.02`$$`\mathrm{ps}`$, is compatible with the generated lifetime $`\tau _{B^0}=1.56`$$`\mathrm{ps}`$. The estimated bias is then 0.04$`\mathrm{ps}`$ and this has been added to the fit result from data to obtain the quoted final lifetime value.

Table 2 shows the fit results obtained with different values for the cone cut, after applying the appropriate Monte Carlo correction for bias. The corrected lifetime is stable with respect to the variation of the cone cut.

#### 3.2.6 Systematics

A preliminary evaluation of the systematic errors on the lifetime result has been performed.

The combinatorial background fraction $`\alpha _{back}`$ has been varied by 6% leading to a variation of 0.039$`\mathrm{ps}`$ in the fitted lifetime. The parametrisation of the combinatorial background has been varied yielding variations of 0.012 ($`\alpha _B`$ $`B\overline{B}`$ fraction), 0.006 ( $`\alpha _{uds}`$ uds fraction) and 0.010$`\mathrm{ps}`$ ($`\tau _{back}`$ background lifetime).

This analysis relies on the resolution function fit from the Monte Carlo simulation and therefore is sensitive to possible discrepancies between simulation and data. The global scale factor $`S`$ has been left free in the fit giving $`S=1.13\pm 0.12`$. The corresponding variation of the lifetime of 0.051$`\mathrm{ps}`$ has been added to the systematic error.

The total systematic uncertainty of 0.07$`\mathrm{ps}`$, is dominated by the uncertainty in the continuum background fraction and the uncertainty in the vertex resolution function (table 3). As these two contributions are related to variations estimated on the data themselves, further increases in the size of the data sample should reduce these systematic errors.

As a further cross-check of the resolution in $`\mathrm{\Delta }z`$, a data-Monte Carlo comparison has been performed for the sideband and for the off resonance data. The agreement is good in both cases.

## 4 $`𝑩^\mathrm{𝟎}`$ to $`𝑫^{\mathbf{}}\mathbf{}\overline{𝝂_{\mathbf{}}}`$ analysis and results

### 4.1 Event and track selection and sample composition

#### 4.1.1 $`𝑩\overline{𝑩}`$ event selection

Hadronic events were selected by requiring that at least four charged tracks be present. To reduce the contamination from light quark and $`c\overline{c}`$ events, the second Fox-Wolfram moment $`R_2`$ is required to be smaller than 0.5.

#### 4.1.2 Track selection

Only charged particles tracks were employed for this analysis. High momentum tracks were reconstructed by matching hits in the Silicon Vertex Tracker (SVT) with track elements in the Drift Chamber (DCH). Low momentum tracks do not hit enough wires in the DCH due to the bending induced by the magnetic field. They are however reconstructed by the SVT stand-alone pattern recognition, with more than 50% efficiency for momentum $`p>70`$$`\mathrm{MeV}/c`$.

#### 4.1.3 Particle identification

Charged tracks are identified as electrons using information from the electromagnetic calorimeter (ratio of the energy released to the associated track momentum, transverse profile of the electromagnetic shower), from the energy loss in the DCH and from the Cerenkov angle as measured with the Detector of Internally Reflected Cherenkov light (DIRC). The efficiency for electron identification in the acceptance of the electromagnetic calorimeter is about 90%, with a hadron mis-identification probability $`<1`$%.

Muons were selected by requiring penetration through most of the Instrumented Flux Return (IFR). The selection requirements result in $`75\%`$ efficiency for muon identification with $`2\%`$ hadron mis-identification probability. The Cherenkov light information in the DIRC was then employed to further reject mis-identified kaons, by requiring the likelihood for the kaon hypothesis to be less than five percent.

Kaons are used for $`B^0`$ flavour tagging. Among all charged particles with momentum $`p>500`$$`\mathrm{MeV}/c`$, kaon candidates are selected on the basis of the energy loss in the DCH and in the SVT, as well as observed Cherenkov angle and number of photons in the DIRC. True kaons were selected with $`80`$ % efficiency, while $`1\%`$ of the pions were mis-identified as kaons.

#### 4.1.4 $`𝑩^\mathrm{𝟎}\mathbf{}𝑫^{\mathbf{}\mathbf{}}\mathbf{}^\mathbf{+}𝝂_{\mathbf{}}`$ sample selection

Only the charged pion and the lepton are required to reconstruct $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$ decays. The lepton candidate is required to have momentum in the $`\mathrm{{\rm Y}}(4S)`$ rest frame ($`k^{}`$ ) in the range $`1.4<k^{}<2.3`$$`\mathrm{GeV}/c`$, while the $`\pi ^{}`$ had to satisfy the requirement $`k^{}<190`$$`\mathrm{MeV}/c`$.

Events were then selected by exploiting the kinematics of the decay. The $`B^0`$ four momentum is computed by assuming that the $`B^0`$ is produced at rest in the $`\mathrm{{\rm Y}}(4S)`$ decay, thereby neglecting the small boost of the $`B`$ meson in this frame, where its momentum is about 300$`\mathrm{MeV}/c`$. Due to the limited phase space available in the decay $`D^{}D^0\pi ^{}`$, the $`\pi ^{}`$ is emitted inside a fairly restricted cone centered about the $`D^{}`$ direction in the laboratory frame. The $`D^{}`$ four-momentum can therefore be computed by approximating its polar and azimuth angles with those for the $`\pi ^{}`$ , and parametrising its momentum as a linear function of the $`\pi ^{}`$ momentum:

$$p(D^{})=\alpha +\beta p(\pi ^{})$$

The $`D^{}`$ direction is determined with an accuracy of about 15, the error on the $`D^{}`$ momentum is about 400$`\mathrm{MeV}/c`$. The neutrino escapes detection, but its invariant mass can be computed from the $`B^0`$, $`D^{}`$ and $`\mathrm{}^+`$ four-momenta from the relation:

$$M_{\nu }^{}{}_{}{}^{2}=(𝒫(B^0)𝒫(D^{})𝒫(\mathrm{}^+))^2$$

Neglecting resolution effects, this quantity must be zero, while background events are spread over a wide range of $`M_\nu ^2`$.

The $`B^0`$ decay point is determined by intersecting the $`\pi ^{}`$ and $`\mathrm{}^+`$ tracks, constrained to the beam-spot position, which was determined on a run-by-run basis using Bhabha events. Only events for which the probability of the vertex fit was greater than 1% were further considered. This cut rejected about two thirds of the combinatorial background, while still retaining $``$ 80% of the signal.

#### 4.1.5 Sample composition

The combinatorial background is determined from the data using those events for which the $`\mathrm{}`$ and $`\pi ^{}`$ have same electric charge (“wrong-charge”). The contribution of the events from any decay process of the kind $`BD^{}\mathrm{}^+\nu X`$ (“resonant events”) in the mass band ($`M_{\nu }^{}{}_{}{}^{2}>2\mathrm{GeV}^2/\mathrm{c}^4`$) was determined by subtracting the wrong-charge from the right-charge sample, normalized in the sideband region $`10<M_{\nu }^{}{}_{}{}^{2}<5\mathrm{GeV}^2/\mathrm{c}^4`$. A small correction ($``$ 5%) was applied to the wrong-charge on-peak events to account for events of the kind $`B^0\mathrm{}`$, $`\overline{B}{}_{}{}^{0}D^{}`$, which populates the right- and wrong-charge samples differently. The number of events obtained in the $`\mathrm{{\rm Y}}(4S)`$ resonance data sample is reported in the first line of Table 4. The second line shows the number of events obtained in the continuum data sample, multiplied by the ratio of the resonant and continuum luminosities: non $`B\overline{B}`$ events account for about 15% of the combinatorial background in the mass band and 5% of the sample obtained after subtraction of the combinatorial.

In the Monte Carlo simulation the difference between the right charge and the rescaled wrong charge events in the mass band is $`2.1\pm 1.6`$% No correction is applied to the data for this effect, and a relative systematic error of $`\pm 2\%`$ is assumed. The number of resonant events in the sample is therefore:

$$𝒩_{res}=89360\pm 500\mathrm{stat}.\pm 1800\mathrm{syst}.$$
(4)
Figure 5 shows the $`M_\nu ^2`$ distribution for the electron data sample after subtraction of the off-peak data, before (left) and after (right) subtracting the combinatorial background.

Several physical processes contribute to the $`D^{}\mathrm{}\nu `$ final state. Contamination from $`B^+`$ is mostly due to the decay $`B^+D_{}^{}{}_{}{}^{0}\mathrm{}\nu `$ where the orbital charm excited state, $`D_{}^{}{}_{}{}^{0}`$, decays into $`D^{}\pi ^+`$. The fraction of these events is 9$`\pm `$5%, where the error includes the systematic uncertainty due to the efficiency of the $`BD^{}\mathrm{}^+\nu _{\mathrm{}}`$ selection. The composition of the sample is reported in Table 5. All the processes originating from a $`B^0`$ decay are considered as signal for this analysis.

### 4.2  $`𝝉_{𝑩^\mathrm{𝟎}}`$ measurement and mixing

#### 4.2.1 Proper time determination

The position of the $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$ (”decay”) vertex is reconstructed as described above from the $`\mathrm{},\pi ^{}`$ tracks and the beam spot. The decay point of the other $`B`$ (”tag” vertex) is determined using the remaining tracks in the event, constrained to the decay vertex in the plane orthogonal to the beam axis ($`x,y`$). This constraint exploits the fact that in the $`x`$-$`y`$ view the separation between the $`B^0`$ and the $`\overline{B}^0`$ is small compared to the experimental resolution; it is applied to remove the tracks from charm or hyperon decay from the vertex fit, which would bias the $`\mathrm{\Delta }z`$ reconstruction. To reduce the additional bias, peculiar to inclusive analyses, due to the un-resolved particles from the $`D^0`$ produced at the decay vertex, all the tracks lying within a one radian cone around the $`\pi ^{}`$ are rejected from the tag vertex fit. In this way, about 60% of the $`D^0`$ tracks are removed, while still retaining $`70\%`$ of the $`B`$ tag tracks.

The $`B^0`$ lifetime is determined by measuring event by event the distance along $`z`$ between the decay and the tag vertex, as already described in section 3.2.4.

In the Monte Carlo simulation the $`\mathrm{\Delta }z`$ resolution for the signal events is described by two Gaussian distributions: the narrow (wide) component containing about 65% (35%) of the events, with a width of 120 (370)$`\mu \mathrm{m}`$ and a small bias of about 20 (65)$`\mu \mathrm{m}`$. The pull distribution is parametrised by the sum of two Gaussian distributions, the narrow (wide) component contained 82% (18%) of the events, with a width of 1.07 (2.4) and a bias of 0.19 (0.7). The same resolution was assumed for $`B^+`$ events.

#### 4.2.2 Determination of $`𝝉_{𝑩^\mathrm{𝟎}}`$

The $`B^0`$ lifetime is determined by means of an unbinned maximum likelihood fit, accounting for the event-by-event error determined by the vertex reconstruction algorithm. The fit function was the sum of the probability density function (pdf) for $`B^0`$, $`B^+`$ and combinatorial background multiplied by the relative fractions for each type in the sample.

The $`\mathrm{\Delta }z`$ probability density function for $`B^0`$ events is described by the convolution of the proper time exponential with the pull resolution function described above. The same function is assumed for $`B^+`$ events, with a lifetime fixed to the present world average $`\tau _{B^+}=1.65\pm 0.04`$$`\mathrm{ps}`$.

The combinatorial background is described by the sum of a zero-lifetime and a non-zero lifetime component, both convoluted with a double Gaussian resolution function. All parameters (lifetime and fraction of non-zero lifetime events, widths, fractions and biases of the resolution function) were determined independently in the data and in the simulation by fitting wrong-charge events with the same program used to determine $`\tau _{B^0}`$ . Good consistency is found in the data and in the simulation, except for the rms width of the resolution function, which is 1.06 times larger in data. This discrepancy is attributed to resolution effects.

The method was first tested on the dedicated sample of simulated $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$ events after applying the selection requirements described above. Due to the influence of the residual tracks from the un-reconstructed $`D^0`$, the measured lifetime in Monte Carlo is smaller than the generated one. The resulting reconstruction bias $`\mathrm{\Delta }\tau =0.217\pm 0.010`$$`\mathrm{ps}`$ for the lifetime is defined as the difference between the generated value of 1.560$`\mathrm{ps}`$ and the fitted value $`\tau _{B^0}^{}{}_{}{}^{raw,MC}=1.343\pm 0.010`$$`\mathrm{ps}`$.

The final lifetime result for the data $`\tau _{B^0}`$ was obtained by adding the bias $`\mathrm{\Delta }\tau `$ determined previously in the Monte Carlo to the raw fit result $`\tau _{B^0}^{}{}_{}{}^{raw,Dt}=1.405\pm 0.016`$$`\mathrm{ps}`$. The lifetime obtained in this way is:

$$\tau _{B^0}=1.622\pm 0.016\mathrm{ps}$$
(5)
where the error is statistical only. Figure 6 shows a comparison between the data and the fit result.

### 4.3 Systematic studies

The study of the systematic effects is still preliminary. The following sources of error have been considered:

* Sample Composition. The amount of $`B^+`$ is varied by $`\pm 50\%`$; the fraction of combinatorial background is varied by $`\pm 2`$ % according to the study described in Section 4.1; the fractions of events from uncorrelated $`\mathrm{}`$ $`D^{}`$ production falling in the right- and wrong-charge samples are also varied within their allowed range, as computed from the measurements of the branching ratios $`(B\mathrm{}X)`$, $`(BD^{}X)`$, and of the $`B^0\overline{B}^0`$ mixing parameter $`\chi _d`$.
* Background Lifetime. The $`B^+`$ lifetime is varied within its error; the parameters of the pdf representing the combinatorial background is varied within their allowed range, properly accounting for correlations: this gives an error of $`\pm 0.02`$ $`\mathrm{ps}`$. Alternatively, the background parameters determined from a fit to the data side band are used, and the difference in the result (+0.07 $`\mathrm{ps}`$) is added in quadrature to the systematic error.
* Resolution Effects. The fit was repeated by scaling the resolution function in the data by the factor 1.06 as indicated by the fit to the background sample: the measured lifetime decreased by 0.06$`\mathrm{ps}`$. This difference is considered as the systematic error due to the detector resolution. If the fraction of events in the narrow Gaussian describing the resolution function were varied by $`\pm 5\%`$ the fit result would vary by $`\pm 0.04`$$`\mathrm{ps}`$. This is currently taken as a rough estimate of error for the pdf in data. The stability of the result versus some relevant variables ($`\theta _{\mathrm{},\mathrm{ps}},\varphi _{\mathrm{},\mathrm{ps}},p_{\mathrm{},\mathrm{ps}},M_{\nu }^{}{}_{}{}^{2}`$) was also studied, but no significant effect was found.
* Analysis Bias. The sizeable correction for bias is determined from the Monte Carlo simulation. In the data, the fit was repeated for different values of the $`\pi ^{}`$ cone cut. The systematic error was computed as half the difference between the largest and the smallest values obtained.

Table 6 shows the components of the estimated systematic error.

## 5 Summary

A large sample of $`B^0D^{}\pi ^+`$ and $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$ decays has been obtained from the data sample collected by the BABAR detector at the PEP-II storage ring by means of partial $`D^{}`$ reconstruction. Only the low energy $`\pi ^{}`$ from the decay $`D^{}\pi ^{}D^0`$ was tagged and coupled to a high momentum opposite charge particle, either a pion or a lepton.

In the $`B^0D^{}\pi ^+`$ case, the missing mass recoiling against the system of the two pions was determined using the beam energy constraint. A clear excess of $`10922\pm 235`$ events in the $`D^0`$ mass range was observed, and interpreted as the signal of $`B^0D^{}\pi ^+`$ production.

Events from the $`B^0D^{}\mathrm{}^+\nu _{\mathrm{}}`$ three body decay were selected by reconstructing the mass of the un-observed neutrino: for this purpose, the $`B^0`$ four momentum was computed neglecting its small boost from the $`\mathrm{{\rm Y}}(4S)`$ decay, and the $`D^{}`$ four momentum was computed by properly parametrising the one of the soft pion. A signal of $`(89.4\pm 0.5\mathrm{stat}.\pm 1.8\mathrm{syst}.)\times 10^3`$ events was observed.

The lifetime of the $`B^0`$ meson was determined from the distance, projected along the beam direction, between the tagged and the recoil $`B^0`$ meson in the event. The preliminary results are:

$`\tau _{B^0}`$ $`=`$ $`1.55\pm 0.05\pm 0.07\mathrm{ps}(D^{}\pi ),`$
$`\tau _{B^0}`$ $`=`$ $`1.62\pm 0.02\pm 0.09\mathrm{ps}(D^{}\mathrm{}\nu ),`$
were obtained by the two analyses. The two values are in good agreement, while the mutual correlation is small.

Preliminary studies indicate sufficient tagging efficiency and flavor separation for a time dependent measurement of the $`B^0`$ mixing process. Clear evidence of a time dependent asymmetry is observed in the data, consistent with the expectation from the simulation. This will allow a precise determination of the $`B^0\overline{B}^0`$ mass difference $`\mathrm{\Delta }m_d`$ in the future.

## Acknowledgments

We are grateful for the contributions of our PEP-II colleagues in achieving the excellent luminosity and machine conditions that have made this work possible. We acknowledge support from the Natural Sciences and Engineering Research Council (Canada), Institute of High Energy Physics (China), Commissariat à l’Energie Atomique and Institut National de Physique Nucléaire et de Physique des Particules (France), Bundesministerium für Bildung und Forschung (Germany), Istituto Nazionale di Fisica Nucleare (Italy), The Research Council of Norway, Ministry of Science and Technology of the Russian Federation, Particle Physics and Astronomy Research Council (United Kingdom), the Department of Energy (US), and the National Science Foundation (US). In addition, individual support has been received from the Swiss National Foundation, the A. P. Sloan Foundation, the Research Corporation, and the Alexander von Humboldt Foundation. The visiting groups wish to thank SLAC for the support and kind hospitality extended to them.