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# References

Recently, a spate of papers have examined the issue of closed string tachyon condensation within the context of localized tachyon states in a noncompact worldsheet sigma model, analogous to the much better understood case of open string tachyon condensation. By noncompact is meant a worldsheet conformal field theory with an operator spectrum characterized by a continuum of scaling dimensions. In such cases, the assumptions under which Zamolodchikov’s $`c`$-theorem holds are no longer satisfied , and it is interesting to ponder the question of what quantity other than the effective central charge is minimized under worldsheet renormalization group flow. HKMM have answered this question with the conjecture that the appropriate quantity in these cases is the vacuum degeneracy of bosonic states in the worldsheet sigma model. In this paper, we will clarify the APS and HKMM conjectures and offer a nonperturbative illustration of their validity in a remarkably straightforward example.

We begin with a summary of the situation in two-dimensional conformal field theory. In the earliest formulation of a $`g`$-theorem , Affleck and Ludwig make three separate observations that suggest the possibility of an, in general, non-integer vacuum degeneracy, $`g`$, in a conformal field theory defined on a strip of length $`l`$ and width, or inverse temperature, $`b`$. Periodic boundary conditions are assumed in the $`b`$ direction for bosonic fields. In the case of a nontrivial boundary condition along the edge of length $`l`$, the following statements are known to hold true:

i) in the large $`l`$ limit, the high energy spectrum of the conformal field theory is expected to approach a continuum with energy levels $`E_n`$ scaling as $`n/l`$, and the asymptotic degeneracy takes the well-known form:

$$\rho (n)g\left(\frac{c}{6n^3}\right)^{1/4}\mathrm{exp}\left[2\pi (cn/6)^{1/2}\right],$$
(1)
where $`c`$ is the central charge. Clearly, there is no a priori reason for the coefficient $`g`$ to be an integer.

ii) As was first emphasized by Cardy, a conformally invariant boundary condition corresponds to a boundary state and so, interchanging the role of the coordinates on the strip, this implies the following factorization condition for the transfer matrix $`Z_{AB}`$ between boundary states $`|A>`$, $`|B>`$, in the limit $`l`$$`>>`$$`b`$:

$$Z_{AB}=<A|\mathrm{exp}\left[lH\right]|B><A|0>e^{lE_0}<0|B>.$$
(2)
Here $`E_0`$ is the vacuum energy for the Hamiltonian computed with periodic boundary conditions on the interval of length $`b`$. We identify the vacuum degeneracy $`g`$ with the product $`g_Ag_B`$, where $`g_A`$$`=`$$`<A|0>`$, $`g_B`$$`=`$$`<B|0>`$.

iii) The free energy associated with the boundary degrees of freedom in the two-dimensional field theory, $`F`$$`=`$$`\frac{1}{b}\mathrm{ln}Z`$, will typically contain both a term independent of the interval-length, $`f_0`$, where $`f_0`$ is the non-universal free energy density whose definition is ultraviolet regulator dependent, and a term inversely proportional to the length, $`\frac{1}{b}\mathrm{ln}g`$. The universal contribution to the free energy, $`\mathrm{ln}g`$, also shows up as a universal contribution to the entropy, giving rise to the term boundary entropy. It is this universal contribution which is conjectured to decrease under a renormalization group flow induced by a relevant operator living on the boundary . Moreover, since the bulk degrees of freedom in the conformal field theory are unaltered, the effective central charge is preserved .

We will now clarify the corresponding statements in string theory. The one-loop amplitude in either a closed, or open and closed, string theory is given by an integral over conformal field theories on a strip. In the open string case, we assume periodic boundary conditions on bosonic worldsheet fields in the direction parallel to the boundaries of the cylinder, while nontrivial boundary conditions may be imposed in the direction orthogonal to the boundaries. The one-loop string amplitude is given by an integral over the cylinder length, $`l`$, from $`0`$ to $`\mathrm{}`$. The factorization limit of the cylinder samples the lowest lying closed string modes which dominate in the $`l`$$``$$`\mathrm{}`$ limit. By the worldsheet UV-IR correspondence, this is equivalent to the high energy asymptotic behavior of the open string mass spectrum. The sum over one-loop connected vacuum graphs in string theory is simply the one-loop spacetime effective potential

Since the cylinder graph factorizes on two copies of the disc, the high energy asymptotics of the open string spectrum can alternatively be obtained by computation of the disc amplitude. In fact, this is the route more commonly taken in the string theory literature . Note, in particular, that since one-loop string amplitudes are normalizable , the disc amplitudes obtained in the factorization limit are also unambiguously normalizable. This enables a precise identification of the perturbed worldsheet path integral with a perturbative contribution to the spacetime effective action. Given a relevant perturbation of the worldsheet action by the boundary operator, $`O_i`$, the resulting change in the tree-level spacetime effective action is expressed in terms of the path integral over worldsheets with the topology of the disc:

$$\mathrm{\Gamma }_{\mathrm{ST}}(\lambda _i)=_{\mathrm{disc}}[dX]e^{S_0}\mathrm{Tr}\mathrm{exp}\left[_{}𝑑s\lambda _iO_i\right].$$
(3)
RG flow by a relevant operator in a unitary conformal field theory can, therefore, be seen to correspond to rolling down the effective potential to a more stable extremum :

$$\frac{\mathrm{\Gamma }_{\mathrm{ST}}}{\lambda _i}=\beta _i(\lambda )G_{ij},\frac{\mathrm{\Gamma }_{\mathrm{ST}}}{\mu }=\beta _i\beta _jG_{ij},$$
(4)
where $`G_{ij}`$ is the Zamolodchikov metric in coupling space, $`\beta _i`$ is the perturbative beta function for the coupling $`\lambda _i`$, and $`\mu `$ is the worldsheet renormalization scale. Since the Zamolodchikov metric is positive definite, worldsheet RG flow is always in the direction of decreasing spacetime effective action, and we have the equivalence $`g`$$`=`$$`\frac{1}{2}\mathrm{\Gamma }_{\mathrm{ST}}^2`$.

Moving on to closed string theories, the one-loop amplitude is given by the torus graph with two worldsheet moduli, $`\tau _1`$, $`\tau _2`$. It is well-known that performing the integral over $`\tau _1`$ is equivalent to imposing the level matching condition on the string mass spectrum. Let us assume periodic boundary conditions in the $`\sigma _1`$ direction. The factorization limit of the torus amplitude samples the lowest lying closed string modes which dominate in the $`\tau _2`$$``$$`\mathrm{}`$ regime of moduli space. By the property of modular invariance, we know that the behaviour of the integrand in this regime can equivalently be mapped to that in the deep ultraviolet regime, i.e., in the vicinity of the origin in the $`(\tau _1,\tau _2)`$ plane. Thus, analogous to the open string case, the factorization limit of the torus samples the high energy asymptotics of the closed string mass spectrum . Notice, however, that there is no obvious correspondence in closed string theory between a change in the spacetime effective action and the tree level closed string amplitude. A technical reason for this is the non-normalizability of the sphere amplitude or, equivalently, the fact that the normalizable one-loop closed string graph does not factorize on tree-level graphs. We will return to this point later in the paper. HKMM  have pointed out that in cases where RG flow is induced by a localized closed string state, the bulk central charge of the worldsheet theory will remain unchanged. They further conjecture that the quantity which decreases along the direction of flow in these cases is the number of localized bosonic degrees of freedom in the worldsheet conformal field theory. This factor appears in the high energy density of states as a prefactor multiplying the central charge, and is therefore a direct analog of Affleck and Ludwig’s $`g`$. We will refine HKMM’s conjecture below by considering directly the free energy of the string theory, rather than the density of states of the worldsheet conformal field theory.

At this point, we have summarized the equivalent of statements (i) and (ii) above for string theory. We reiterate that Affleck and Cardy’s observations apply to two-dimensional field theories, and therefore hold for the integrand of the one-loop string path integral. They should not be applied directly to the one-loop string amplitude: the physical state spectrum of a string theory contains fewer states than in the worldsheet conformal field theories.

The analog of Affleck and Ludwig’s statement (iii) in string theory is equally subtle but appears to have received less attention in the literature. AL separate the free energy of the two-dimensional field theory into universal and nonuniversal terms. The normalizable one-loop string path integral computes the one-loop contribution to the spacetime effective action functional, $`𝒲`$ $`=`$ $`\mathrm{ln}𝒵`$ . Consider a target space with Euclidean time of interval size $`\beta `$ equal to the inverse temperature. Then the free energy of the string theory, $``$$`=`$$`\frac{1}{\beta }𝒲`$, can be interpreted, in two dimensional terms, as a distribution over the free energies of two dimensional field theories on a strip of varying length and varying inverse temperature. However, unlike what is stated in (iii), the entire expression for $``$ is universal: upon using a scale invariant, zeta-function regulator  as dictated by the requirement of manifest two-dimensional gauge invariance, the resulting expression for the free energy is free of infrared regulator-dependent ambiguity. We emphasize that $`W`$ is an intensive quantity from the viewpoint of both target space and worldsheet— it is dimensionless. Thus, there is no string theory analog of Affleck and Ludwig’s $`f_0`$. The free energy is normalizable at any fixed point. Moreover, the property of universality of the free energy holds for both closed, and open and closed, string theories.

We will now illustrate these concepts with a new example of a localized relevant perturbation in a closed string theory that does not fall within the class of orbifold twisted sector perturbations considered by HKMM. Since the operator is localized in the target space, the central charge of the worldsheet sigma model is preserved under RG flow, and we can confirm that $`g_{\mathrm{IR}}`$$`<`$$`g_{\mathrm{UV}}`$ by direct computation of the one-loop free energy at both fixed points. Moreover, since we are able to write down the explicit form of the free energy at intermediate points along the flow, our example is a nonperturbative illustration of the validity of the $`g`$-theorem conjectured by HKMM.

We begin with the expression for the one-loop free energy of the type IIA string on the noncompact target space $`R^9`$, with Euclideanized time, $`X_0`$, an interval, $`S^1/Z_2`$, of length $`\beta `$, equal to the inverse temperature . The ultraviolet fixed point of the RG flow is the tachyon-free thermal vacuum at the so-called minimum temperature, $`T_{\mathrm{min}}^2`$$`=`$$`1/2\pi ^2\alpha ^{}`$. The marginally relevant perturbation we shall consider is a coherent superposition of the operators carrying thermal momentum, where we sum over all mode numbers, $`n`$$`=`$$`\pm 1`$, $`\mathrm{}`$, $`\pm \mathrm{}`$. The vertex operator for the $`n`$th operator in the superposition can be written in the ghost number zero picture in the form:

$$O_n(z,\overline{z})=e^{ip_nX_0}+e^{ip_nX_0},p_n=in\frac{\pi }{\beta }\left(\frac{\alpha ^{}}{2}\right)^{1/2},n=1,\mathrm{}\mathrm{}.$$
(5)
It is clear that a coherent superposition of the $`O_n`$ will be localized at the fixed points of the orbifold, $`X_0`$$`=`$$`0`$, $`\beta `$. At temperature $`T_{\mathrm{min}}`$, all of the $`O_n`$ with $`|n|`$$``$$`2`$ are irrelevant, while $`O_1`$ is marginally relevant. Thus, $`O_1`$ drives the RG flow, in the direction of a decrease in $`g`$ and, consequently, an increase in $`\beta `$. Without computing $`g`$ we cannot tell whether the direction of the flow is towards the thermal vacuum at $`T_{\mathrm{min}}`$, or away from it, and so we must proceed with an explicit calculation. Consider the expression for the free energy given in . In terms of the dimensionless variable, $`x^2`$$`=`$$`2\beta ^2/\pi ^2\alpha ^{}`$, we have,

$`=`$ $`{\displaystyle \frac{1}{\beta }}{\displaystyle _F}{\displaystyle \frac{d^2\tau }{4\tau _2^2}}(2\pi \tau _2)^4|\eta (\tau )|^{22}\times `$ (7)
$`{\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{\eta \overline{\eta }}}\left[{\displaystyle \underset{w,n\mathrm{Z}}{}}q^{\frac{1}{2}(\frac{n}{x}+\frac{wx}{2})^2}\overline{q}^{\frac{1}{2}(\frac{n}{x}\frac{wx}{2})^2}\right]\{(|\mathrm{\Theta }_3|^8+|\mathrm{\Theta }_4|^8+|\mathrm{\Theta }_2|^8)`$
$`+e^{\pi i(n+w)}[(\mathrm{\Theta }_2^4\overline{\mathrm{\Theta }}_4^4+\mathrm{\Theta }_4^4\overline{\mathrm{\Theta }}_2^4)(\mathrm{\Theta }_3^4\overline{\mathrm{\Theta }}_4^4+\mathrm{\Theta }_4^4\overline{\mathrm{\Theta }}_3^4+\mathrm{\Theta }_3^4\overline{\mathrm{\Theta }}_2^4+\mathrm{\Theta }_2^4\overline{\mathrm{\Theta }}_3^4)]\}`$ (8)
The $`n`$$`=`$$`w`$$`=`$$`0`$ sector of this expression is the free energy of the supersymmetric type II string, identically zero as a consequence of the equality of target space fermions and bosons at each mass level. The tachyonic state in the $`n`$$`=`$$`w`$$`=`$$`0`$ sector has been projected out. The $`n`$$`=`$$`1`$, $`w`$$`=`$$`0`$ state is marginally relevant at $`T_{\mathrm{min}}`$, there are no relevant operators in the conformal field theory, and the free energy of the thermal vacuum of the type II string at this temperature is normalizable. At temperature $`T_2`$$`=`$$`1/8\pi ^2\alpha ^{}`$, the operator $`O_2`$ turns marginally relevant, but $`O_1`$ is still the most relevant operator, therefore driving the RG flow. As we tune the temperature to still lower values, this pattern continues with successive thermal momentum modes turning marginally relevant, but the most relevant operator continues to be $`O_1`$. Thus, it is clear that $`O_1`$ drives the RG flow all the way from, or to, the noncompact, zero temperature limit. In this limit, the system approaches a new, ultraviolet or infrared, fixed point and the coherent superposition of thermal modes decouples from the worldsheet sigma model. To distinguish ultraviolet from infrared, we will now carry out the computation of $`\mathrm{ln}g`$.

Consider the factorization limit of the torus, dominated by contributions from the lowest lying closed string modes or, conversely, the high energy asymptotic behavior since the expression above is invariant under the modular transformation $`\tau `$ $``$ $`1/\tau `$. In the factorization limit, we can express the theta functions in terms of their $`q`$-expansions, and restrict to the leading term in the integrand. For the thermal vacuum at temperature $`T_{\mathrm{min}}`$, we obtain the result:

$$\mathrm{ln}g_{\mathrm{T}_{\mathrm{min}}}=\beta \underset{\tau _2\mathrm{}}{lim}(\beta )=_F\frac{d^2\tau }{4\tau _2^2}(2\pi \tau _2)^4\left(2+(1616)+O(e^{2\pi \tau _2})\right),$$
(9)
where the factor of unity comes from the marginally relevant thermal perturbation. Notice that a phase factor of $`(1)`$ in the $`n`$$`=`$$`1`$, $`w`$$`=`$$`0`$ sector results in a nonvanishing contribution from the terms in $`\mathrm{\Theta }_3`$ and $`\mathrm{\Theta }_4`$, as opposed to the cancellation in the $`n`$$`=`$$`w`$$`=`$$`0`$ sector due to a $`(+1)`$ phase. This is the phase factor leading to the absence of a tachyon in the usual superstring.

Next, we compare with the value of $`\mathrm{ln}g`$ evaluated at the noncompact zero temperature limit :

$`\mathrm{ln}g_0=`$ $`\underset{\tau _2\mathrm{}}{lim}{\displaystyle _F}{\displaystyle \frac{d^2\tau }{4\tau _2^2}}(2\pi \tau _2)^4|\eta (\tau )|^{24}\left[(\mathrm{\Theta }_3^4\mathrm{\Theta }_4^4\mathrm{\Theta }_2^4)(\overline{\mathrm{\Theta }}_3^4\overline{\mathrm{\Theta }}_4^4\overline{\mathrm{\Theta }}_2^4)\right]`$ (10)
$`=`$ $`\underset{\tau _2\mathrm{}}{lim}{\displaystyle _F}{\displaystyle \frac{d^2\tau }{4\tau _2^2}}(2\pi \tau _2)^4\left(1616+O(e^{2\pi \tau _2})\right).`$ (11)
This quantity vanishes as a consequence of target space supersymmetry, however, the separate contributions from bosonic and fermionic are nonvanishing. If we restrict ourselves to the bosonic degrees of freedom in the worldsheet sigma model as suggested by HKMM, we find that $`\mathrm{ln}g`$ is a finite number at either fixed point. It is expressed in terms of an unambiguously normalized integral over the fundamental domain of the torus. Most importantly, the numerical coefficient for the bosonic degrees of freedom decreases from $`18`$ to $`16`$. We conclude that the thermal type IIA vacuum is unstable against thermal perturbations: the infrared fixed point is at $`T`$$`=`$$`0`$, and the RG flow is in a direction towards the supersymmetric vacuum.

If we now repeat the calculation of $`\mathrm{ln}g`$ at any intermediate temperature $`T_n^2`$$`=`$$`1/2n^2\pi ^2\alpha ^{}`$ where the $`n`$th momentum mode is turning marginally relevant, we obtain a result identical to Eq. (9) for the normalizable states in the worldsheet sigma model. In addition, the sigma model has non-normalizable states which correspond to target space tachyons. Their contribution to the factorization limit of the path integral is divergent and, following the suggestion of , we should excise such states from the computation of $`\mathrm{ln}g`$ in order to obtain a physically sensible answer. It is nevertheless interesting that Eq. (8) gives an explicit result at intermediate points along the RG flow for both nonrmalizable and non-normalizable contributions to the free energy. Separating these contributions, as suggested by statement (iii) of AL, we can express the free energy in the form:

$$(\beta )=f_{\mathrm{ST}}\frac{1}{\beta }\mathrm{ln}g,$$
(12)
where $`\mathrm{ln}g`$ is universal, and $`f_{\mathrm{ST}}`$ is a non-universal contribution to the target space free energy. Notice that the IR divergence on the worldsheet may be freely interpreted instead as a target space UV divergence in the free energy. We remind the reader that, while $`𝒲`$ is unambiguously normalized, the free energy of a system can in general only be computed up to an overall scaling of inverse temperature: it is the ratio $`F/T`$ which has possible numerical relevance. This statement holds for both quantum field theory and string theory. At intermediate points along the RG flow we have the following formal expression for the nonuniversal contribution to the free energy:

$$\beta f_{\mathrm{ST}}=_F\frac{d^2\tau }{4\tau _2^2}(2\pi \tau _2)^4\frac{1}{2}e^{2\pi \tau _2}\underset{\mathrm{\Delta }_{nw}<1,n,w\mathrm{Z}}{}e^{2\pi \tau _2(\frac{n^2}{x^2}+\frac{w^2x^2}{4})}e^{2\pi inw\tau _1},$$
(13)
where $`T`$$`<`$$`T_{\mathrm{min}}`$, and $`\mathrm{\Delta }_{nw}`$ is the conformal dimension of the $`(n,w)`$th mode. Any attempt to extract a finite answer from this divergent integral will introduce regulator dependence in the expression for the free energy. In its current form the expression for $`f_{\mathrm{ST}}`$ preserves all of the worldsheet super-Diff$`\times `$super-Weyl gauge symmetries.

Our results are clear confirmation of a conjecture due to Adams, Polchinski, and Silverstein , namely, that nonsupersymmetric type II orbifolds generically decay under worldsheet RG flows to the supersymmetric flat space type II vacuum. It is interesting to ask what happens at the other marginally relevant fixed point of this system, the thermal type IIA vacuum at temperature $`T_{\mathrm{max}}^2`$$`=`$$`2/\pi ^2\alpha ^{}`$ . By thermal duality, we can predict that the direction of RG flow is away from the thermal vacuum at $`T_{\mathrm{max}}`$, and in the direction of increasing temperature. Since the type IIA and type IIB thermal vacua are related by a thermal duality, this behavior for the type IIA string is simply an equivalent way of expressing the flow from $`T_{\mathrm{min}}`$ to $`T=0`$ for the dual type IIB string.

It is of interest to examine the behavior of the marginally stable thermal vacuum of the heterotic string theory within this same framework. In , we showed that the thermal vacuum of the heterotic string is tachyon free at all temperatures in the presence of a temperature-dependent Wilson line. All of the operators carrying thermal momentum correspond to irrelevant flows of the worldsheet RG. Thus, the possibility of marginal relevance does not arise and inverse temperature does not correspond to a coupling in the space of RG flows for the worldsheet sigma model. We emphasize that this is the result in perturbation theory at fixed string coupling. Since the thermal heterotic vacuum has a non-vanishing one-loop cosmological constant, it is likely to exhibit a two-loop contribution to the dilaton tadpole. Thus, it is still possible that in the extended space of RG flows containing both the dilaton vev, or string coupling, and the inverse temperature, one can observe a nontrivial flow of the worldsheet RG. We leave a discussion of this subtle case for future work. In , we have conjectured that the heterotic thermal vacuum flows to strong coupling, and that this strongly coupled heterotic vacuum is the weakly coupled type I string vacuum described in . It would be most illuminating to understand the nature of such RG flows.

Finally, we come to a discussion of the thermal vacuum of the type I string. The free energy is given by summing over worldsheets with the topology of a cylinder, Mobius strip, and Klein bottle. The result is :

$`F=`$ $`\beta ^1{\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{dt}{8t}}{\displaystyle \frac{(2\pi t)^{9/2}}{\eta (it)^8}}[2^8N^2(Z_{[0]}e^{ı\pi n}Z_{[1]})`$ (14)
$`+Z_{[0]}e^{ı\pi n}Z_{[1]}2^3NZ_{[0]}`$ (15)
$`2^3Ne^{ı\pi n}Z_{[1]}]\times {\displaystyle }_{n\mathrm{Z};w=0,1}q^{\alpha ^{}\pi ^2n^2/\beta ^2+w^2\beta ^2/4\pi ^2\alpha ^{}}`$ (16)
The Matsubara frequency spectrum is given by the eigenvalues for timelike momentum: $`p_n`$$`=`$$`2n\pi /\beta `$, with $`n`$$``$$`\mathrm{Z}`$. Notice that $`w`$ only takes the values $`0`$, $`1`$. The functions $`Z_{[0]}`$, $`Z_{[1]}`$ are defined as follows :

$`Z_{[0]}=`$ $`({\displaystyle \frac{\mathrm{\Theta }_{00}(it;0)}{\eta (it)}})^4({\displaystyle \frac{\mathrm{\Theta }_{10}(it;0)}{\eta (it)}})^4`$ (17)
$`Z_{[1]}=`$ $`({\displaystyle \frac{\mathrm{\Theta }_{01}(it;0)}{\eta (it)}})^4({\displaystyle \frac{\mathrm{\Theta }_{11}(it;0)}{\eta (it)}})^4`$ (18)
where the (00), (10), (01), and (11), denote, respectively, (NS-NS), (R-NS), (NS-R), and (R-R), boundary conditions on worldsheet fermions in the closed string sector. The boundary conditions in the open string sectors can be read off using worldsheet duality . As in the supersymmetric zero temperature limit, the independent cancellation of both the dilaton and the Ramond-Ramond ten-form tadpole requires that $`N`$$`=`$$`2^4`$. At finite temperature, this cancellation mechanism also serves to project out potential tachyonic thermal perturbations in the (00) and (01) sectors from the free energy. We emphasize that the projection requires the addition of crosscap contributions to the disc amplitudes obtained in the factorization limit, and with the weights given in Eq. (16).

It is interesting to ask what extension of the $`g`$-theorem is appropriate in the case of an unoriented open and closed string theory. If we include crosscap contributions to $`\mathrm{ln}g`$ in addition to the disc, $`\mathrm{ln}g`$ vanishes identically, even when restricted to target space bosonic degrees of freedom. Nevertheless, we feel this is the correct answer since there are no marginally relevant flows of the worldsheet RG in this case and, consequently, no thermal instabilities. We emphasize that $`\mathrm{ln}g`$ vanishes both at finite temperature, and in the noncompact supersymmetric zero temperature limit. In addition, since the oneloop cosmological constant vanishes there is no signal of a dilaton tadpole. Thus, the thermal vacuum appears stable even in the extended space of RG flows including the dilaton vev. In , we showed that the type I string theory can also exist in a distinct long string phase at high temperature, and that this phase is fully accessible even in the limit of zero string coupling. The absence of thermal instabilities establishes the existence of a vacuum in true thermal equilibrium in type I string theory, and in either of two distinct phases. Our results demonstrate, on the other hand, that the type II strings do not achieve a state of time-independent thermal equilibrium, at least not in the absence of Ramond-Ramond backgrounds . As has been suggested in different contexts , the presence of marginally relevant flows of the worldsheet RG indicates that the vacuum in question is unstable against decay, evolving in real time towards a more stable vacuum of string theory.

We will end with a conjecture. As mentioned earlier, there is a precise correspondence between the open string tree level graphs and the tree-level spacetime effective action and this fact has been the basis for subsequent developments in open string field theory. HKMM have already noted that this implies a relation between $`\mathrm{\Gamma }_{\mathrm{ST}}`$ and $`g`$, the vacuum degeneracy of normalizable bosonic degrees of freedom: $`g`$$`=`$$`\frac{1}{2}\mathrm{\Gamma }_{\mathrm{ST}}^2`$ . However, the factorization limit of the closed string amplitude is also normalizable, offering, as we have shown, a direct route to the computation of $`g`$ for closed string theories. This suggests the following modified form of the perturbative RG flow equations:

$$e^{{\scriptscriptstyle \frac{1}{2}}\mathrm{ln}g}\frac{g}{\lambda _i}=\beta _i(\lambda )G_{ij},e^{{\scriptscriptstyle \frac{1}{2}}\mathrm{ln}g}\frac{g}{\mu }=\beta _i\beta _jG_{ij}.$$
(19)
These equations can be used to infer the form of the perturbative beta functions, $`\beta _i`$, in terms of the Zamolodchikov metric, $`G_{ij}`$, in the space of couplings, $`\{\lambda _i\}`$, the vacuum degeneracy, $`g`$, and the worldsheet renormalization scale, $`\mu `$. Each of these quantities has been given a precise worldsheet definition, and the flow equations hold for both closed, and open and closed, string theories. It would be most interesting to explore the nature of these equations in detail.

ACKNOWLEDGMENTS: I would like to thank G. Moore for an email correspondence.

Note Added (Sep 2005): Many of the points made in this paper are either extraneous, or incorrect in the details, although the broad conclusion stands. Namely, that it is important to have a well-defined criterion such as the g–theorem, or suitable adaptation, that determines the direction of worldsheet RG flows describing the vacuum configuration space of string theories. The pedagogical review of the Affleck and Ludwig’s g-theorem, distinguishing its application in field theory and string theory, is of value in this context. I refer the reader to hep-th/0506143 for discussion of the string canonical ensembles.


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# Gravitational self-force on a particle orbiting a Kerr black hole

\[

## Abstract

We present a practical method for calculating the gravitational self-force, as well as the electromagnetic and scalar self forces, for a particle in a generic orbit around a Kerr black hole. In particular, we provide the values of all the regularization parameters needed for implementing the (previously introduced) mode-sum regularization method. We also address the gauge-regularization problem, as well as a few other issues involved in the calculation of gravitational radiation-reaction in Kerr spacetime.

\]

The gravitational two-body problem is a long-standing open problem in General Relativity. In Newtonian theory the evolution of a binary system is easily analyzed, yielding periodic orbits with conserved energy and angular momentum. In General Relativity, in contrast, the orbits in a binary system are never periodic, and the orbital energy and angular momentum decrease due to emission of gravitational radiation. Typically, the two masses will gradually inspiral towards each other, until they merge. An interesting branch of the problem refers to the case where one of the components is a compact object much lighter than the other. In this situation, the lighter object may be treated as an infinitesimally small “particle” moving on the fixed gravitational-field background of the heavier object. The particle then experiences a self force (SF) due to interaction with its own gravitational field (which is distorted by the field of the massive object). The issue, then, becomes that of determining the gravitational SF acting on the particle. The electromagnetic (EM), flat-space analogue of this problem was explored many decades ago by Lorentz  and Dirac , who analyzed the force acting on an accelerating point charge due to interaction with its own EM field. To analyze the evolution of a strong-gravity, large mass-ratio binary system, the classic works by Lorentz and Dirac need to be generalized in two important respects: From the EM to the gravitational SF, and from flat to curved spacetime.

DeWitt and Brehme  were first to extend the SF concept to curved spacetime, in the EM case. More recently, a theoretical framework has been established  for the gravitational SF in curved spacetime (cf. ). An essential feature of both the EM and gravitational SFs in curved spacetime (unlike the analogous flat-space case) is that they depend, at any given point along the particle’s worldline, upon the entire past history of the particle. This may be attributed to the scattering of the (EM or gravitational) waves off the spacetime curvature. So far, this non-locality rendered actual calculations of the SF in curved spacetime most challenging.

The quest for a practical SF calculation method has considerably intensified in recent years, with the deployment of a new generation of gravitational-wave detectors. One of the main sources for the planned space-based gravitational-wave detector LISA  would be the inspiral of compact objects \[white dwarfs, neutron stars, and stellar black holes (BHs)\] into super-massive BHs, with a typical mass ratio of $`10^3`$-$`10^7`$. Such super-massive BHs appear to reside in the centers of many galaxies, including our own . In a typical scenario, the compact object spends the last year of inspiral deep inside the highly relativistic region near the BH’s event horizon, emitting some $`10^5`$ cycles of gravitational waves , which carry a detailed information of the massive BH’s strong-field geometry . Knowledge of the self force—which, in turn, determines the orbital evolution—is necessary for predicting the emitted waveform. Such a prediction is also important for the design of templates which should significantly improve the chance of detection in the situation of a small signal-to-noise ratio, typical to the first generation of detectors.

In several, relatively simple situations the orbit’s evolution may be inferred using standard energy-momentum balance methods . Namely, one calculates the flux of energy and angular momentum carried away by the gravitational waves, and equates this to (minus) the rate of change in the corresponding entities associated with the orbiting particle itself. This simple method yields the orbital evolution for all orbits around a non-spinning (Schwarzschild type) BH, and also for strictly equatorial or circular orbits around a rotating (Kerr type) BH. However, in the astrophysically relevant situation one needs to analyze the evolution of generic orbits around a Kerr BH. In this generic case, energy-momentum balance methods are insufficient, because the energy and (azimuthal) angular-momentum no longer uniquely determine the orbit. One therefore must calculate the local SF acting on the particle. The goal of this paper is to provide a practical method for calculating this SF, for generic orbits in Kerr spacetime.

Based on the basic formulation of Refs. , we previously devised the mode-sum method, as a practical technique for SF calculations . In this method, one first calculates the (finite) contribution to the SF due to individual multipole modes of the particle’s field (this is done by integrating numerically the mode-decomposed linearized field equations). Then, a certain regularization procedure is applied to the mode sum \[see Eq. (5) below\], which involves certain “regularization parameters” (RP). The latter depend upon the background spacetime and the specific orbit under consideration. The RP values were previously derived for equatorial orbits around a Schwarzschild BH . Here we extend the analysis and give the RP values for an arbitrary geodesic orbit around a Kerr BH.

Throughout this Letter we use units where $`c=G=1`$, metric signature $`+++`$, and Boyer–Lindquist coordinates $`t,r,\theta ,\phi `$. For completeness, we shall address here not only the gravitational SF, but also the analogous EM and scalar phenomena. We shall thus consider the following setup: A particle of mass $`\mu `$, electric charge $`e`$, and/or scalar charge $`q`$ moves along an arbitrary free-fall orbit (i.e., no external forces) $`z^\mu (\tau )`$ around a Kerr BH with mass $`M\mu ,|q|,|e|`$ and arbitrary spin $`aM`$. We shall consider the SF acting on the particle (to the leading order $`\mu ^2,e^2,q^2`$) at an arbitrary point $`z_0^\mu =(t_0,r_0,\theta _0,\phi _0)`$ along its trajectory. The particle’s equation of motion, including the SF effect, reads

$$\mu u_{\lambda ;\beta }u^\beta =F_\lambda ^{\mathrm{self}},$$
(1)
where $`u^\beta dz^\beta /d\tau `$ is the four-velocity, a semicolon denotes covariant differentiation with respect to the background (Kerr) geometry, and $`F_\lambda ^{\mathrm{self}}`$ is the SF.

Let $`x`$ denote a spacetime point in the neighborhood of $`z_0`$. We denote the particle’s actual perturbation field (the “full field”) by $`h_{\alpha \beta }(x)`$, $`𝒜_\alpha (x)`$, or $`\mathrm{\Phi }(x)`$, representing, correspondingly, the metric perturbation ($`\mu `$), EM vector potential ($`e`$), and scalar field ($`q`$). These fields are, in principle, solutions to the linearized Einstein/Maxwell/Klein-Gordon equations, with the particle serving as a source term. To these fields there correspond “full-force” fields, given by

$$F_\mu ^{\mathrm{full}}(x)=\{\begin{array}{cc}q\mathrm{\Phi }_{,\mu },\hfill & \text{(scalar)},\hfill \\ e\kappa _\mu {}_{}{}^{\beta \gamma }𝒜_{\beta ;\gamma }^{},\hfill & \text{(EM)},\hfill \\ \mu \kappa _\mu {}_{}{}^{\beta \gamma \delta }h_{\beta \gamma ;\delta }^{},\hfill & \text{(grav.)},\hfill \end{array}$$
(2)
where the tensors $`\kappa `$ are

$`\kappa ^{\alpha \beta \gamma }(x)`$ $``$ $`g^{\alpha \gamma }\widehat{u}^\beta g^{\alpha \beta }\widehat{u}^\gamma ,`$ (3)
$`\kappa ^{\alpha \beta \gamma \delta }(x)`$ $``$ $`g^{\alpha \beta }\widehat{u}^\gamma \widehat{u}^\delta +{\displaystyle \frac{1}{2}}g^{\alpha \delta }\widehat{u}^\beta \widehat{u}^\gamma {\displaystyle \frac{1}{2}}\widehat{u}^\alpha \widehat{u}^\beta \widehat{u}^\gamma \widehat{u}^\delta .`$ (4)
Here $`g^{\alpha \beta }`$ is the background metric at $`x`$ and $`\widehat{u}^\alpha `$ is the four-velocity parallelly propagated from the worldline to $`x`$ along a short geodesic normal to the worldline.

In the mode-sum method, the SF is then calculated through

$$F_\mu ^{\mathrm{self}}=\underset{l=0}{\overset{\mathrm{}}{}}\left[(F_{\mu l}^{\mathrm{full}})^\pm A_\mu ^\pm LB_\mu C_\mu /L\right]D_\mu .$$
(5)
Here $`Ll+1/2`$, and $`(F_{\mu l}^{\mathrm{full}})^\pm `$ is the $`l`$ multipole mode of $`F_\mu ^{\mathrm{full}}(x)`$, summed over all azimuthal numbers $`m`$ (for a given $`l`$) and evaluated at ($`t_0,rr_0^\pm ,\theta _0,\phi _0`$). The full modes $`F_{\mu l}^{\mathrm{full}}`$ are generally discontinues across $`r=r_0`$, hence the label $`\pm `$ . The RP, i.e., the quantities $`A_\mu ^\pm `$, $`B_\mu `$, $`C_\mu `$, $`D_\mu `$, are to be derived analytically (by analyzing the local singular behavior of the perturbation field near the particle). The first three of these parameters capture the asymptotic form of the full-force modes at large $`l`$, making the sum in Eq. (5) convergent. The parameter $`D_\mu `$ is a certain residual quantity that arises in the summation over $`l`$—for a more precise definition of the RP see .

In deriving the RP in Kerr spacetime, we basically followed the method used in the Schwarzschild case , as described in much detail in Refs. . Namely, we considered the direct part of the full-force field (i.e., the part associated with waves directly propagating along the light cone), from which all RP are obtained by applying the multipole decomposition and appropriately taking the limit $`xz_0`$. The main technical challenge in extending our analysis to the Kerr case lies in the fact that one can no longer exploit spherical symmetry by choosing a coordinate system in which the orbit is confined to the equatorial plain. Rather, one must carry out the calculation at an arbitrary value of $`\theta _0`$. This turns out to render the entire analysis significantly more complicated. For lack of space, we skip the derivation of these RP values—the detailed derivation will be given elsewhere . In what follows we merely present the results, i.e., the values of all RP for an arbitrary geodesic in Kerr spacetime.

To write down the RP in a convenient unified form, we introduce a “generalized” charge $`q_s`$, where $`q_s=q`$, $`e`$ or $`\mu `$, for the scalar ($`s=0`$), EM ($`s=1`$), and gravitational ($`s=2`$) cases, respectively. All RP are then independent of $`s`$, apart from an overall factor $`(1)^sq_s^2`$. For $`A_\mu `$, $`C_\mu `$, and $`D_\mu `$ we find

$$C_\mu =D_\mu =0,$$
(6)
and

$`A_r^\pm `$ $`=`$ $`(1)^s{\displaystyle \frac{q_s^2}{V}}\left({\displaystyle \frac{\mathrm{sin}^2\theta _0g_{rr}}{g_{\theta \theta }g_{\phi \phi }}}\right)^{1/2}\left(V+u_r^2/g_{rr}\right)^{1/2},`$ (7)
$`A_t^\pm `$ $`=`$ $`(u^r/u^t)A_r^\pm ,A_\theta ^\pm =A_\phi ^\pm =0,`$ (8)
where hereafter $`g_{\alpha \beta }g_{\alpha \beta }(z_0)`$ and $`V1+u_\theta ^2/g_{\theta \theta }+u_\phi ^2/g_{\phi \phi }`$. The expression for $`B_\mu `$ takes a slightly more complicated form,

$$B_\mu =(1)^sq_s^2(2\pi )^1P_{\mu abcd}I^{abcd}.$$
(9)
Hereafter, roman indices ($`a,b,c,\mathrm{}`$) run over the two Boyer–Lindquist angular coordinates $`\theta ,\phi `$. The coefficients $`P_{\mu abcd}`$ are given by

$`P_{\mu abcd}`$ $`=`$ $`(3P_{\mu a}P_{be}P_{\mu e}P_{ab})C_{cd}^e`$ (11)
$`+{\displaystyle \frac{1}{2}}\left[3P_{\mu d}P_{abc}(2P_{\mu ab}+P_{ab\mu })P_{cd}\right],`$
where

$`P_{\alpha \beta }`$ $``$ $`g_{\alpha \beta }+u_\alpha u_\beta ,`$ (12)
$`P_{\alpha \beta \gamma }`$ $``$ $`\left(u_\lambda u_\gamma \mathrm{\Gamma }_{\alpha \beta }^\lambda +g_{\alpha \beta ,\gamma }/2\right)`$ (13)
($`\mathrm{\Gamma }_{\alpha \beta }^\lambda `$ denoting the connection coefficients at $`z_0`$), and

$$C_{\phi \phi }^\theta =\frac{1}{2}\mathrm{sin}\theta _0\mathrm{cos}\theta _0,C_{\theta \phi }^\phi =C_{\phi \theta }^\phi =\frac{1}{2}\mathrm{cot}\theta _0,$$
(14)
with all other coefficients $`C_{cd}^e`$ vanishing. Finally, the quantities $`I^{abcd}`$ are

$`I^{abcd}=(\mathrm{sin}\theta _0)^N{\displaystyle _0^{2\pi }}G(\gamma )^{5/2}(\mathrm{sin}\gamma )^N(\mathrm{cos}\gamma )^{4N}𝑑\gamma ,`$where $`NN(abcd)`$ is the number of times the index $`\phi `$ occurs in the combination $`abcd`$ (namely, $`N=\delta _\phi ^a+\delta _\phi ^b+\delta _\phi ^c+\delta _\phi ^d`$) and

$$G(\gamma )=P_{\stackrel{~}{\phi }\stackrel{~}{\phi }}\mathrm{sin}^2\gamma +2P_{\theta \stackrel{~}{\phi }}\mathrm{sin}\gamma \mathrm{cos}\gamma +P_{\theta \theta }\mathrm{cos}^2\gamma ,$$
(15)
where

$$P_{\stackrel{~}{\phi }\stackrel{~}{\phi }}P_{\phi \phi }/\mathrm{sin}^2\theta _0,P_{\theta \stackrel{~}{\phi }}P_{\theta \phi }/\mathrm{sin}\theta _0.$$
(16)
The integrals $`I^{abcd}`$ can be expressed in terms of complete Elliptic integrals. These relations are given explicitly in Ref. .

In the special case of an equatorial orbit in Schwarzschild spacetime, the above RP values reduce to those obtained previously using various methods .

In the rest of this paper we discuss several important issues that arise when implementing the mode-sum method in Kerr spacetime.

First, to avoid confusion, we emphasize that the quantities $`F_{\mu l}^{\mathrm{full}}`$ appearing in Eq. (5) refer (in all three cases $`s=0,1,2`$) to the decomposition of the full-force field components $`F_\mu ^{\mathrm{full}}`$ in the standard scalar spherical harmonics. Practically, in the Kerr case one separates the field equations in the frequency domain, using (spin weighted) spheroidal harmonics. Then the full-force field, too, is obtained in terms of the spheroidal harmonics. Thus, in order to implement the mode-sum scheme (at least in its present formulation), one needs to decompose the contributions to the full force from the various spheroidal-harmonic modes, into scalar spherical harmonics: For a given $`l`$ (and given azimuthal number $`m`$ and temporal frequency $`\omega `$) one collects the contributions to the spherical-harmonic mode $`l,m`$ coming from the full-force fields associated with the spheroidal-harmonic modes $`l^{},m,\omega `$. Then one sums over $`l^{}`$ (as well as $`m,\omega `$) to obtain $`F_{\mu l}^{\mathrm{full}}`$. The decomposition of the spheroidal harmonics in spherical harmonics is described in Ref. .

Our second remark concerns the construction of the full-force field in the EM and gravitational cases. This field involves an extension of $`u^\alpha `$ off the worldline, cf. Eq. (3). Here we adopted the most natural extension $`\widehat{u}^\alpha `$, namely, the one obtained by parallelly propagating $`u^\alpha `$ from the worldline to $`x`$. As discussed in , it is possible to use any other (sufficiently regular) extension of $`u^\alpha `$. Note, however, that changing the extension (which obviously affects the quantities $`F_{\mu l}^{\mathrm{full}}`$) will generally affect the value of the parameter $`B_\mu `$ (though it turns out that the other RP are unaffected). Nevertheless, if two extensions share the same values of angular derivatives $`u_{,b}^\alpha `$ at the worldline, they admit the same $`B_\mu `$ .

The parallelly-propagated extension is an elegant one, and, furthermore, it allows the simplest derivation of $`B_\mu `$. However, this extension is rather inconvenient for calculating the full-force quantities $`F_{\mu l}^{\mathrm{full}}`$ (the Legendre decomposition requires the extension of $`u^\alpha `$ far away from the worldline, on the entire two-sphere $`r,t`$=const; It is hard to calculate $`\widehat{u}^\alpha `$ explicitly off the worldline, and it is even harder to Legendre-decompose it. Furthermore, there is no guarantee that $`\widehat{u}^\alpha `$ would be globally well defined). To overcome this difficulty, we propose the following strategy: Compose any global extension $`\stackrel{~}{u}^\alpha `$ off the worldline, with the only demand that $`\stackrel{~}{u}_{,b}^\alpha =\widehat{u}_{,b}^\alpha `$ (and, obviously, $`\stackrel{~}{u}^\alpha =\widehat{u}^\alpha `$) at the worldline itself. It is easy to construct such simple global extensions. Then simply use this $`\stackrel{~}{u}^\alpha `$ instead of $`\widehat{u}^\alpha `$ in Eq. (3). The above values of all RP are unaffected by this change of extension.

There is another technical issue that arises in the EM and gravitational cases: The only known scheme for separating the EM and (linearized) gravitational field equations in Kerr spacetime is the Teukolsky formalism . By solving the Teukolsky equation, one obtains certain components of the Maxwell or Weyl tensors, respectively. However, as is obvious from Eq. (2), the calculation of $`F_\mu ^{\mathrm{full}}`$ (and hence of $`F_{\mu l}^{\mathrm{full}}`$ and the SF) requires the knowledge of the basic perturbation fields, $`h_{\alpha \beta }(x)`$ or $`𝒜_\alpha (x)`$. A method for reconstructing $`h_{\alpha \beta }`$ and $`𝒜_\alpha `$ for a point particle, out of the Teukolsky variables, based on the Chrzanowski-Wald formalism , was recently provided by Ori  (see also  for the Schwarzschild case). More recently, this construction was extended to the non-radiative modes $`l=0,1`$, as well as to all higher-$`l`$ modes with $`\omega =0`$ .

Finally, we address the crucial issue of the gauge-dependence of the gravitational SF, and the related problem of gauge regularization in Kerr spacetime. The gravitational SF (unlike the scalar and EM forces) turns out to be gauge-dependent . The basic formalism  is given in terms of the harmonic gauge. The transformation of the SF to any other gauge is given in Ref. . This transformation, however, is restricted to regular gauges, i.e., gauges related to the harmonic gauge via a displacement vector $`\xi ^\mu `$ that is continuous on the particle’s worldline. (If the gauge is irregular, then the SF generally becomes ill-defined.) For any regular gauge, the SF may, in principle, be calculated through Eq. (5)—provided that one uses the quantities $`F_{\mu l}^{\mathrm{full}}`$ associated with this same gauge. The RP are gauge-invariant in this context .

Although the momentary SF is gauge-dependent, the long term radiation-reaction evolution of the orbit, as expressed, e.g., by the drift of the constants of motion, is gauge-invariant. The radiation-reaction evolution can therefore be calculated in any regular gauge.

Chrzanowski’s construction yields the metric perturbations in the so-called radiation gauge . Unfortunately, this gauge is not regular, hence the SF does not have a well-defined value in the radiation gauge. To overcome this difficulty, we previously proposed to calculate the SF in an intermediate gauge, namely, a regular gauge which (unlike the harmonic gauge) can be obtained from the radiation gauge via a simple, explicit gauge transformation. A convenient such intermediate gauge was recently constructed explicitly in Ref. .

When implementing the mode-sum scheme (5) to the SF in the intermediate gauge, one should, in principle, substitute the quantities $`F_{\mu l}^{\mathrm{full}(\mathrm{INT})}`$ associated with this same gauge. Alternatively, one may still use the radiation-gauge quantities $`F_{\mu l}^{\mathrm{full}(\mathrm{RAD})}`$ in Eq. (5), but in this case one must subtract an extra term, which we denote $`\delta D_\mu `$, to compensate for the differences $`\delta F_{\mu l}^{\mathrm{full}}`$ in the values of $`F_{\mu l}^{\mathrm{full}}`$ in the two gauges. (The derivation of $`\delta F_{\mu l}^{\mathrm{full}}`$ from $`\xi ^\mu `$ is outlined at the end of Ref. ; $`\delta D_\mu `$ is the sum of $`\delta F_{\mu l}^{\mathrm{full}}`$ over $`l`$.) Thus, when applied to the SF in the intermediate gauge, Eq. (5) may be recast as

$`F_\mu ^{\mathrm{self}(\mathrm{INT})}={\displaystyle \underset{l=0}{\overset{\mathrm{}}{}}}\left[(F_{\mu l}^{\mathrm{full}(\mathrm{RAD})})^\pm A_\mu ^\pm LB_\mu \right]\delta D_\mu `$(recall $`C_\mu =D_\mu =0`$). The RP $`A_\mu ^\pm ,B_\mu `$ are those given in Eqs. (7) and (9) (as mentioned above, the RP values are gauge-invariant). The term $`\delta D_\mu `$ was recently calculated for a generic orbit in Kerr, and its expression (whose structure and complexity resemble those of $`B_\mu `$ above) will be given elsewhere . This provides the solution to the gauge-regularization problem. The quantity $`F_\mu ^{\mathrm{self}(\mathrm{INT})}`$ can now be used to analyze the (gauge-independent) long-term radiation-reaction evolution, for any orbit in Kerr spacetime.

L.B. was supported by a Marie Curie Fellowship of the European Community program IHP-MCIF-99-1 under contract number HPMF-CT-2000-00851. A.O. was supported by The Israel Science Foundation (grant no. 74/02-11.1).


text:
# The RASNIK Real-Time Relative Alignment Monitor for the CDF Inner Tracking Detectors

## 1 Introduction

A critical feature of the major upgrade of the CDF experiment cdftdr  at Fermilab is its inner silicon trackers. These detectors provide the ability to reconstruct and trigger on clusters of charged tracks originating $`100`$ to $`1000`$ $`\mu `$m away from the primary interaction. Such detached vertices of charged particles, which may indicate the presence of a particle containing a $`b`$ quark, are critical to the CDF physics goals: characterization of top quark production and decay; measurements of heavy flavor mixing; CP violation and rare particle decays; searches for supersymmetric particles and, eventually, searches for the Higgs boson. However, the ability to resolve the separation between the detached vertex and primary interaction requires that the silicon trackers remain stable to approximately $`10`$ $`\mu `$m.

While detector alignment can be accomplished with tracks taken over a long integration time, the RASNIK technique (Relative Alignment System of the Nikhef Institute) rasnikwww  offers a low-cost tool to observe motion on the time scale of seconds with sensitivity better than one micron. RASNIK systems are being developed for the Atlas atlasrasnik  and CMS cmsrasnik ; cmsrasnik2  experiments which are currently being installed at the Large Hadron Collider at CERN. These systems have already been installed in a running experiment—the CHORUS experiment at CERN used RASNIKs chorusrasnik  to monitor the alignment of detectors used to track particles back into a photographic emulsion.

In section 2 we describe the RASNIK principle and the modifications we made to specifically adapt it to CDF’s silicon inner tracker. In sections 3 and 4 we describe the specific implementation at CDF and discuss the data. In section 5 we discuss possible improvements to the system.

## 2 The Two-Element RASNIK

The original RASNIK principle is based on projecting the image of a finely detailed mask through a lens onto a small digital camera, as shown in figure 1a. The three components (mask, lens, camera) are mounted on separate detector subsystems and/or support structures. If any one of these three elements moves there will be a corresponding movement of the projected image on the camera. In this fashion, the system tracks the relative alignment of the pieces. A typical mask in such a system is a grid of black and white squares of order 100 $`\mu `$m size, photo-etched onto a thin quartz slide. As shown in figure 2, deviations from a perfect grid are coded into the pattern to remove large scale position ambiguities; it is therefore called a “coded mask”. The use of such a pattern provides great statistical power since there are hundreds of black/white transitions to measure in a given image.

For our application on the CDF trackers we removed one movement ambiguity by integrating the light source, coded mask and lens into a single “projector” piece. The asymmetry of the technique introduces magnification, so new masks using smaller ($`20.00\pm 0.01)`$ $`\mu `$m squares were printed. The resultant two-element system is compared to the original three-element technique in figure 1b. Because the mask is coded, at least 10 squares (contiguously in both horizontal and vertical directions) must be visible to the camera in order to reconstruct the global position. Since the magnification changes for different projector-camera distances, “baselines”, we provided the projector with several slots for positioning the coded mask. Hence the magnification can be kept roughly constant, independent of the particular baseline, by a small change in the placement of the coded mask. Providing multiple locations for the mask also eliminates the need for a diffuser, allowing the use of a single LED and further reducing the power consumption and mass of the piece. Since the depth of focus is typically of order 1 mm, the lens is mounted in a threaded barrel so that final focus can be achieved after both the projector and camera are glued in place. Figure 3 shows a photograph of the actual projector and camera pieces used in CDF.

Because the elements are placed so close to the beamline they have to be low-mass and radiation-hard. The projector piece is made of thin polycarbonate, which provides ample rigidity for components of this small size. A projector in situ (with mask, lens, and LED installed) weighs approximately 20 grams. A typical particle trajectory which traverses the piece corresponds to approximately 1% of a radiation length. Various optical materials were tested in the UC Davis cyclotron, exposing them to $``$200 kRad using a 63 MeV proton beam radtesting . This roughly corresponds to the maximum integrated dose expected for an inner (SVX) RASNIK over the course of CDF’s Run IIa. As a result of these tests we determined that a standard infrared LED111In general, LED’s which were described by the manufacturer as “rad hard” did not necessarily perform any better than more randomly chosen units. Infrared emitters were chosen to match the peak sensitivity of the camera. and BK7 glass lenses were adequately radiation hard, and used these components in all systems installed on the detectors. We replaced the CCD camera typically used in previous RASNIK systems with a CMOS-based camera. Such cameras are smaller and are known to be more robust to radiation. Still, we observed that the camera would suffer fatal damage at this dose, but only if it was powered on during the exposure. No visible damage was apparent if the camera was turned off. Since the systems are read out one at a time, we energize each camera (and LED) only when it is being used, and expect no significant radiation damage. This mode of operation corresponds to an approximate 5% duty cycle. After 1.5 years of running, including higher than expected beam losses, no visible effects of radiation damage have been observed on any system.

The accuracy of the two-element system was tested by placing the projector on a moveable stage on an optical bench. Figure 4 shows the actual vs. reconstructed position of the camera as it was moved horizontally. Similar results were obtained for vertical movement. The figure also shows the residuals, which are unbiased with an RMS of 0.4 $`\mu `$m. Such accuracy is at the limit of our ability to position the camera and probably does not indicate the limiting RASNIK resolution.

## 3 CDF Implementation & Data Acquisition

CDF’s silicon system consists of three independent elements: a single layer mounted directly to the beampipe known as Layer 00, an inner tracker (radii: $`2.410.6`$ cm) known as the SVX, and an outer tracker (radii: $`20.028.0`$ cm) known as the ISL. The entire superstructure is connected at its ends to the inner wall of CDF’s drift chamber (central outer tracker, COT) through piezoelectric positioners, called “inchworms” inchworms . Seventeen RASNIKs are strategically placed222The inchworm system employs a gimbal mount at one of its six support points on which it is not possible to mount a rasnik. This breaks the placement symmetry described in this paragraph and implies one fewer installed system. throughout the silicon tracker system so that movements of particular systems can be combined to determine the global twisting or translational motion of the silicon superstructure. The placement follows a three-fold azimuthal symmetry (following that of the inchworms) with mirror symmetry about the interaction point. A schematic diagram of the placement of the RASNIK systems in CDF is shown in figure 5. In addition to the 17 deployed RASNIKs, two systems (one short and one long-baseline) are installed as a control in the DAQ rackspace. These are mounted on 1/2-inch aluminum plates which are set on vibration damping material, so little relative motion is expected.

The data-acquisition is controlled by a 600 MHz rack-mounted PC running Linux, located in CDF’s counting room. The data-taking proceeds rasnik-by-rasnik through a simple endless loop. For each RASNIK, the PC activates two relays corresponding to low-voltage power (for both the LED and camera) and the output video signal. All signals are carried on $``$200 ft. lengths of shielded twisted pair cable; no degradation of the video signal has been observed. Care was taken to avoid ground loops. When the relay is closed the video signal is connected to a PCI “frame grabber” card which takes the picture. The image is reconstructed in roughly a second, yielding transverse positions (in the plane of the camera’s image sensor), a rotation angle of the mask, and several quality-of-fit variables. In addition, a crude ($`100\mu `$m) measurement of the longitudinal distance between the camera and projector is obtained from the change in magnification of the image. In standard operating mode each RASNIK’s position is measured approximately every 120 seconds. The minimum time necessary to take a data point is limited by the camera: Since the systems are normally unpowered to mitigate damage from radiation, a few seconds must be allowed upon power-up before the camera output signal becomes stable. For special running conditions, such as when the silicon detector position is being changed, a single RASNIK’s position can be read out every second. The readout system has proven highly reliable; data-taking has proceeded without interruption for almost two years. The raw data is archived on disk, and plots of RASNIK data from the current and previous month are available on a web page which is automatically updated every hour. The direct video output from the systems is also viewable in real-time on a monitor channel in the CDF control room. A very useful feature, which we plan to implement soon, would be to add a bit to the raw RASNIK data which signifies whether physics data was being taken with the CDF detector. The existing plots on the web page will then display these periods in a different color, so that they will be easily recognizable at a glance.

It is worth noting that the RASNIKs are quite adaptable, and can also be of use as a stand-alone setup, without collecting any data. In October 2000, the silicon detector mounted directly onto the beampipe (Layer 00) was inserted into the inner silicon tracker (SVX). This was a delicate process, with very little clearance margin. Two RASNIKs were orthogonally mounted downstream of the insertion point, with cameras attached to the beampipe and projectors mounted close by on makeshift stands. The RASNIK images were displayed continuously on two adjacent monitors, and provided an instantaneous visual cue to any incidental contact during the insertion.

## 4 Data

As described in the previous section, two RASNIKs were installed in the DAQ rackspace as a control. The data from one day of data-taking from one of these systems are shown in figure 6. The RMS of the apparent relative motion is $`<0.5`$ $`\mu `$m; data from the other control system were similar.

Each of the 19 RASNIK systems takes data points in the two transverse ($`x,y`$) and longitudinal ($`z`$) directions every couple of minutes. In the following figures we show some representative features of the data taken thus far. Figure 7 shows one day of motion recorded in the $`x`$ and $`y`$ directions for a quiet period, when CDF was taking data but no changes were made to any voltages or to the solenoid current. The data are shown for one each of the SVX, SVX$``$ISL and ISL$``$COT (inchworm) systems. The data reflect stability to $`<5.0`$ $`\mu `$m. This is a slightly higher variance than the control systems, but is within design tolerances for the CDF tracking detectors.

A more typical day shows large motions, as shown in figure 8. The $`30`$ $`\mu `$m feature at 12:50 (at 22.55 days) corresponds exactly to a change in the current in CDF’s 1.4 T solenoid. A view of an entire month is shown in figure 9. Many of the large motions due to energizing the solenoid etc. are visible. It is worth noting however that during data-taking periods with silicon included in the run, the entire system always returns towards its nominal position. The overall behavior thus far in CDF’s Run IIa seems consistent with some settling of the detector subsystems: Over the course of a month, some creep in the nominal position has sometimes occurred. This was more prevalent early on, and has tended to diminish with time. Since the RASNIKs have shown that the silicon trackers are very stable during data-taking, the main long term use of the system will be to flag times when new global alignment periods should be defined.

When considering large motions recorded by some of the systems, it is important to recognize that changes in the angle of the projector piece with respect to the camera can be interpreted as large linear motions as the projected image sweeps across the camera. Because of the placement of the systems at CDF, we can disentangle these effects by performing a global analysis of the motion of all the RASNIKs together. For example, when the cooling to the silicon detectors is switched on or off, a mechanical coupling between the beampipe and the inner SVX/ISL structural supports causes the SVX and ISL systems to record a linear relative translation which is approximately 10 times the actual movement. With the existing system, this effect is discernible by a global analysis of the SVX RASNIKs. The possibility of handling these types of effects on a single-rasnik basis is discussed in the next section.

## 5 Future Improvements

The greatest difficulty in interpreting the RASNIK data from CDF was separating angular tilts of the projector piece (which appear as large translations in the raw data) from true non-rotational displacements. The same systems which were particularly susceptible to this effect also provided, when examined together, a way to determine whether there had in fact been a rotation of the projector piece(s). It would be nice, however, if there were a direct measure of this effect which did not rely on the readout of other systems. One possibility is that future systems might also deploy a small tilt meter on each RASNIK projector, or on some select units. Small tilt meters are commercially available with angular resolution of order 1 $`\mu `$radian. For the baselines we use, $`1550`$ cm, such precision would allow corrections to micron precision.

Another improvement would be to employ a more advanced camera. During the last few years, the state of the art in microvideo image sensors has moved to digital output. Instead of an NTSC output signal, a chip in the same size package is now available which has double the resolution and full digital output. The signal can be transmitted in parallel or clocked out on a single cable to a digital input board, removing the need for a frame grabber. Such a pure digital system would also provide a raw data file with the information from each pixel uniquely identifiable. It may even be possible that one could use this information to gauge tilts of the projector by examining the ‘squareness’ of a projected square from the coded mask.

## 6 Conclusion

We have developed a modified RASNIK system which is based on two, rather than three elements so that ambiguities in motion have been reduced. We have designed a projector system out of radiation-hard and low-mass components so that systems could be deployed in the inner tracker of the CDF detector. Radiation damage to the installed RASNIKs has been successfully mitigated by operating the systems at a low duty cycle. The RASNIKs have found large motions due to the solenoid and powering of the silicon detectors that would otherwise have been unnoticed since no alignment data is taken during those periods. The RASNIKs have also shown that during data-taking periods the entire silicon tracking system is extraordinarily stable on the minutes to days time scale, giving us confidence that motions are not degrading CDF’s reconstruction or triggering ability. The data-acquisition system has been robust, taking data continuously for almost two years with no downtime other than power outages. The RASNIKs have given CDF a minute-by-minute view of motions of its sensitive inner trackers that would otherwise have been unavailable.

## Acknowledgments

We thank Harry van de Graaf for introducing us to the RASNIK system. We thank Brenna Flaugher, Joe Incandela and Rick Snider for advice and support of the RASNIK system within the silicon construction project. We thank Frank Chase for his engineering support during the design and construction of prototypes and production pieces. We are indebted to the technical expertise of Greg Derylo, who guided the final installation onto the CDF silicon detectors. We thank Jim Patrick for helping us deploy the DAQ linux box at CDF. This work was supported in part by the U.S. Dept. of Energy.