text:
# Design and Tests of the Silicon Sensors for the ZEUS Micro Vertex Detector

## Introduction

The HERA $`ep`$ collider underwent a major upgrade  during the years 2000-2001. The aims are to increase the maximum luminosity from 1.5 to $`7.510^{31}`$ cm-2 s-1 and to provide longitudinally polarized electrons for the collider experiments H1 and ZEUS, thus giving higher sensitivity to electro-weak physics and physics beyond the Standard Model. The ZEUS experiment  has been equipped with new forward tracking detectors (in the proton beam direction), the Straw Tube Tracker (STT) and the Micro Vertex Detector (MVD). They improve the precision of the existing tracking system, and allow the identification of events with secondary vertices produced by the decay of long-lived states like hadrons with charm or bottom quarks and $`\tau `$ leptons. The detector acceptance will be enhanced in the forward region, along the proton beam direction, improving the detection of scattered electrons in neutral current deep inelastic events with very high squared momentum transfer, $`Q^2`$. Moreover, it will help in the reconstruction of the interaction vertex in charged current deep inelastic events at high values of the Bjorken scaling variables, $`x_{Bj}`$ . The MVD is composed of a barrel (BMVD) and forward (FMVD) part. The MVD has to fit inside a cylinder of 324 mm diameter defined by the inner wall of the Central Tracking Detector (CTD). The readout electronics, based on the HELIX 128-v3.0  chip has been mounted inside the active area, nearby the silicon sensors. For the construction of the BMVD and FMVD subdetectors 600 and 112 sensors, respectively, were needed; more details on the MVD design and mechanical structure can be found in .

After an introduction to the silicon sensor and the test structures designs, the paper covers the tests performed to verify the technological parameters : bulk capacitance and depletion voltage, coupling and interstrip capacitance, leakage current stability, biasing, aluminum and $`p^+`$ strip resistances, field capacitor, pmos transistor and gate controlled diode measurements. After a brief description of the radiation environment at HERA, based on the experience of the 1992-2000 running period, the irradiation tests are presented: neutron irradiation, with fluences of $`110^{13}`$ 1 MeV equivalent neutrons/cm2 and 60Co photons with doses from 50 Gy up to 2.9 kGy. A description of the sensor parameters affected by hadronic and electromagnetic radiation is given in the last section of the paper, before summarizing the results of the electrical tests.

## 1 Silicon sensor design

The specifications for the silicon sensors, produced by Hamamatsu Photonics K.K. , are summarized in Table 1; the sensors are made of high resistivity $`n`$-type silicon ($`3<\rho <8`$ k$`\mathrm{\Omega }`$cm), $`300\mu `$m active thickness. One side of the sensors is covered by 12 $`\mu `$m wide $`p^+`$ doped strips with a pitch of 20 $`\mu `$m; the backplane of the sensor has a thick $`n^+`$ layer and is aluminized. The readout strip pitch is 120 $`\mu `$m: every sixth strip is 14 $`\mu `$m wide, and AC coupled to a $`12\mu `$m wide aluminum readout strip. The coupling capacitance of the readout strips is achieved with a double layer of $`\text{SiO}_2`$ and $`\text{Si}_3\text{N}_4`$. A schematic cross section of the sensor is shown in figure 1.

The biasing of the strips is implemented using poly-Si resistors. As can be seen from figure 2, every second strip is connected to the ground line (called the biasing ring) on one side, the remaining strips are connected on the opposite side (not shown in the figure). The first and last readout strips complete the ring being directly connected to the biasing ring. Three $`p^+`$ guard rings surround the biasing ring; beyond the last guard ring, at the sensor edges, an $`n^+`$ line is placed to enable reverse biasing of the sensor directly from the top. The guard rings surround the active area. The innermost guard ring carries the currents generated from defects outside the sensor’s sensitive volume. During detector operation, the two outmost guard rings will be left floating, while the inner guard ring will be connected to ground via a resistor, protecting the sensor active area even in the case of high generation currents from the edge.

Three different sensor geometries have been defined: square sensors for the BMVD, and two wedge shaped sensors for the FMVD. A picture of one corner of the BMVD sensor layout is shown in figure 2.

The layout for the FMVD sensors is shown in figure 3.

Table 2 contains the relevant geometrical parameters of the three different silicon sensors. The FMVD sensors have a trapezoidal shape with the tilted edges inclined by $`13^{}`$ with respect to the height. The $`p^+`$ strips run parallel to one tilted side and have a varying strip length: from 5.6 mm for the 1st strip to 73.3 mm (for strip number 254) for the FMVD-1 and 47.7 mm (for strip number 153) for the FMVD-2. The active areas of the three sensor types correspond to 93% of the mechanical area. A probe pad, with an area of $`75\times 100\mu `$m2 is located close to each poly-Si resistor (see figure 2 and 3). The BMVD sensors have three rows of bond pads, with a pad area of $`75\times 250\mu `$m2, located at 8, 10 and 19 mm from one sensor edge. The FMVD sensors have only one row of bond pads perpendicular to the readout strips and therefore to one of the tilted edges of the sensor.

Capacitive charge division between the readout strips is used in order to limit the number of readout channels. By means of capacitive coupling between strips, the charge collected at intermediate strips induces charges on the readout strips which are approximately inversely proportional to the distance between interpolation and readout strips . Uniformity in charge collection is achieved by keeping all the strips (readout and intermediate) at the same potential.

## 2 Test structures design

Since not all the specifications and technological parameters can be directly measured on the sensors, special test structures have been designed and produced on the same wafers as the sensors. With the help of the test structures it is also possible to repeat measurements after assembly and installation of the detector, when the silicon sensors are no longer accessible for most of the electrical measurements. Moreover, measurements that might damage a sensor can be performed on the test structures.

A picture of the test structures layout is shown in figure 4.

The following structures are implemented and used for measurements:

* *poly-Si resistors.* 10 poly-Si resistors on each test field allow direct measurement of the value of the biasing resistors.
* *$`p^+`$ finger-strips.* Each of the two finger-strip structures consists of two neighboring $`p^+`$ strips in a fork-like shape with a total strip length of 53.5 mm. The $`p^+`$ strips are covered by aluminum strips of $`8\mu `$m width. The two different finger-strip structures have a $`p^+`$ strip width of $`12\mu `$m (W12) and $`14\mu `$m (W14). The strip pitch is $`20\mu `$m and the gap between the strips is $`8\mu `$m (W12) and $`6\mu `$m (W14). The $`p^+`$ and aluminum strips are accessible with contacts on both sides. The structure has been used to measure the capacitance and the resistance between neighboring $`p^+`$ strips, which cannot be contacted on the sensor. The geometry of the finger-strips is similar to the strips on the sensor, apart from the width of the aluminum strips ($`8\mu `$m instead of $`10\mu `$m) and the presence of interstrips on the detectors, which are not covered by aluminum strips.
* *$`p^+`$ strips.* Two separated $`p^+`$ strips with $`12\mu `$m (W12) and $`14\mu `$m (W14) strip width and a length of $`4600\mu `$m each, allow measurement of the resistivity of the $`p^+`$ implant for readout (W14) and intermediate (W12) strips.
* *Gated diode.* The gate controlled diode is a standard component for the investigation of surface effects on $`pn`$ junctions . For the MVD test structures a design with two gates and one guard ring has been chosen. In this work it has been used to investigate the surface generation current before and after 60Co $`\gamma `$irradiation. Also the flatband voltage has been determined from the gated diode measurements.
* *MOS capacitor.* With the MOS capacitor the characteristics of the surface region can be investigated . Besides the measurement of the oxide thickness it has been used to determine the flatband voltage from which the amount of positive oxide and interface charges has been calculated.
* *PMOS transistor.* The PMOS transistor is a surface field-effect transistor. PMOS transistors with three different width/length ratios have been used to extract the threshold voltage, which is related to the flatband voltage, and to determine the mobility of holes in the interface area below the gate oxide. Also the gated diode has been used as a PMOS transistor.
* *Pad diode*. In addition to the structures shown in figure 4, a pad diode consisting of a $`p^+`$ pad (3.6 mm $`\times `$ 3.6 mm) on top of the silicon bulk and three guard rings around the active area was used. It allows the study of the characteristic of the $`pn`$ junction with reduced edge effects from the SiO2 region, compared to the situation on the sensor.

## 3 Electrical measurements

### 3.1 Test setup

The main electrical parameters have been measured on a probe station. The stainless steel chuck, where the device under test (DUT) is held with vacuum during the measurement, is connected to a PT100 temperature sensor to monitor the temperature during the measurements. The temperature sensor measures with an accuracy of about 0.5C at room temperature. A combined voltage source and pico-ampere meter Keithley 487  is used to bias the DUT. The current resolution varies from $`10`$ fA, for currents in the nA range, to 10 nA for currents in the 2 mA range. For capacitance/voltage (C/V) and impedance measurements, a Hewlett Packard 4263A LCR meter  is used; possible measurement frequencies are f = 120 Hz, 1 kHz, 10 kHz and 100 kHz. The resolution is 1 fF at f = 10 kHz. Another LCR meter, the Hewlett Packard 4192A, was used for investigating frequency dependencies in detail. It can measure over a continuous frequency range from 5 Hz to 13 MHz. The resolution is 10 fF at f=10 kHz.
All the measured currents have been scaled to T = 293 K according to the equation

$$I(T=293)=I_T\left(\frac{293}{T}\right)^2\mathrm{exp}\left(\frac{E_g}{2}\frac{1}{k}\left(\frac{1}{T}\frac{1}{293}\right)\right)$$

which corrects for the temperature dependence of bulk generation currents . $`E_g`$ is the effective energy gap at T = 293 K, $`E_g=1.12`$ eV, and $`k`$ is the Boltzmann constant. For T = 293 K, the change in current is about 8%/K. For surface generation currents the formula above can be used after replacing $`(293/T)^2`$ with $`(293/T)^3`$ . The difference of the corrections given by the two formulas is negligible in the temperature range of our measurements: $`291<T<297`$ K.

### 3.2 Depletion voltage

The impact of the depletion voltage $`V_{dep}`$ on the sensor performance can be summarized as follows:

* Sensors operated above full depletion achieve an optimal resolution and charge collection efficiency: high depletion voltages lead to high electric fields in the sensor, decreasing the charge collection time.
* Large electric fields may cause local avalanche breakdown in critical regions (i.e. at the $`p^+`$ \- Si - SiO2 interface), resulting in an increase of the leakage current or unstable behavior.
* A combination of high leakage currents and high depletion voltages increases the power consumption in the sensor. Increase in temperature will raise the current, resulting in additional noise and possibly unstable behavior.
* Hadronic radiation will decrease the depletion voltage until type inversion occurs. Sensors with high depletion voltage will reach type inversion at higher fluences.

Based on the previous arguments, and on the availability of detector-grade silicon, an initial value $`40<V_{dep}<100`$ V, corresponding to $`8>\rho >3`$ k$`\mathrm{\Omega }`$cm, was specified. C/V measurements have been performed on the sensor to extract the depletion voltage: with the first guard ring grounded, the bias voltage was applied between the sensor backplane and the biasing ring. The distribution of the depletion voltages of the sensors, extracted from the C/V characteristics measured for each sensor delivered by the manufacturer, is given in figure 5. Plot (a) shows the values for the BMVD sensors: four groups of sensors are observed, in the region $`40<V_{dep}<93`$ V, corresponding to a resistivity $`7.9>\rho >3.4`$ k$`\mathrm{\Omega }`$cm. Plot (b), obtained for the FMVD sensors, reveals similar properties of the material used. All values are within required specifications; the structure reflects the fact that the sensors are delivered in batches.

For 25% of the sensors a C/V measurement was performed after delivery: the agreement on $`V_{dep}`$ with the manufacturer values is better than 1 V.

The average value for the minimum capacitance $`C_{dep}=1357.0\pm 0.3`$ pF (1 kHz measurement frequency), is in good agreement with a geometric capacitance $`C_{geom}=ϵ_0ϵ_{Si}\times A/d=1354`$ pF, where $`A=6.17\times 6.25`$ cm2 and $`d=300\mu `$m denote the effective area and thickness of the sensor, respectively.

From the total capacitance an estimate of $`C_b=0.07`$ pF/cm for the single strip to backplane capacitance is obtained. Figure 6 shows a simplified scheme of the capacitance network of the sensor.

From the measured spread of 4 pF for $`C_{dep}`$, assuming the same active area for all sensors, we conclude that the variation of the effective sensor thickness is less than 1%.

### 3.3 Interstrip capacitance

The interstrip capacitance was measured on the finger-strip test structures.

Figure 7 (a) shows a schematic drawing of the fingerstrip: a direct contact to the $`p^+`$ implant (DC) and a contact to the aluminum strip (AC), on both sides of the structure, allow one to measure the interstrip capacitance between the strips. A 3D view of two neighboring $`p^+`$ strips is given in figure 7 (b). By measuring the capacitance between all combinations of the four probe pads (AC and DC) it is possible to extract the capacitance between two $`p^+`$ strips and estimate the effect of the next neighbors and the couplings Al-Al and Al-$`p^+`$.

The capacitance measurements have been performed using the HP4263A with a frequency of 10 kHz. The capacitance between neighboring $`p^+`$-strips for $`12\mu m`$ and $`14\mu m`$ wide implants are $`C_i(W12)=0.93`$pF/cm and $`C_i(W14)=1.21`$ pF/cm, respectively. The capacitance between a readout strip ($`14\mu m`$ wide) and the next strip ($`12\mu m`$) has been estimated as the mean value of $`C_i(W12)`$ and $`C_i(W14)`$: $`C_{pp}=1.07`$ pF/cm.

The capacitance between aluminum strips, $`C_{aa}`$, on the finger-strips and the capacitance between neighboring aluminum and $`p^+`$ strips, $`C_{ap}`$, are: $`C_{aa}(W12)=0.017`$ pF/cm, $`C_{aa}(W14)=0.017`$ pF/cm and $`C_{ap}(W12)=0.028`$ pF/cm, $`C_{ap}(W14)=0.023`$ pF/cm, in very good agreement with a SPICE simulation .

### 3.4 Coupling capacitance and quality of coupling oxide

The $`p^+`$ readout strips are AC coupled to the input channels of the front-end electronics preamplifiers. The HELIX-128 input capacitance is a sum of the sensors coupling capacitance, $`C_c`$, and the effective input capacitance of the preamplifier, $`C_{pre}`$. The input capacitance has to be large compared to the sensor interstrip and backplane capacitances. This minimizes the signal loss to the sensor backplane and to the neighboring channels which would deteriorate the resolution and the charge collection efficiency. The coupling capacitance $`C_c`$ is formed by a double layer of SiO2 and Si3N4 between the $`p^+`$ and the Al strips; its value depends on the area of the $`p^+`$\- and readout-strips and the thickness of the double layer. $`C_c`$ has been specified $`C_c>20`$pF/cm, which is sufficiently large compared to the backplane capacitance, $`C_b=0.07`$ pF/cm and the interstrip capacitances $`C_i1`$ pF/cm. Measurements of $`C_c`$, in series with the biasing resistor, have been performed directly on the sensors; a direct measurement between the Al strip and the $`p^+`$ implant has been done on the single strips on the test-structures. Typical measured values, $`C_c=26`$ pF/cm, are within the specification.

The manufacturer provided, for each batch of sensors and test structures, a measurement of the coupling capacitance (measured at 10 kHz). These values vary between $`C_c=26`$ pF/cm and $`C_c=28`$ pF/cm for the complete production period (1123 sensors).

Figure 8 shows a measurement of the coupling capacitance $`C_c`$ for an FMVD1 sensor as a function of the strip length. The pad capacitance $`C_{pad}`$, which contributes as an offset to the measured capacitance, can be extracted as the intercept of the data fitted with a line. The estimated value is $`C_{pad}=4.78\pm 0.04`$ pF , while from geometrical considerations the expected pad capacitance is $`C_{pad}=4.74`$ pF. The slope of the fit gives the measured coupling capacitance, $`C_c=25.82\pm 0.03`$ pF/cm.

Pinholes in the SiO2 layer can introduce a DC connection between the implant and the aluminum readout strip: the sensor leakage current will flow directly into the charge amplifier and may saturate it. The double layer technology has been chosen to combine the advantages of both isolation materials: large resistivity for the SiO2 and the negligible number of expected pinholes in the Si3N4. The quality of the coupling layer has been specified with the maximal leakage current $`I_{cc}`$ through the coupling capacitor $`C_c`$ $`I_{cc}<100`$ pA at $`V_{cc}=60`$ V, where $`V_{cc}`$ is the voltage difference between implant and readout strips. Measurements of $`I_{cc}`$ and of the breakdown voltage, $`V_{bd}`$, have been performed directly on the sensor, applying a voltage between the biasing line and single readout strips. For all measured prototype sensors the specifications were fulfilled with $`I_{cc}<20`$ pA at $`V_{cc}=60`$ V.

The plot of figure 9 shows an example of a destructive $`I_{cc}`$ measurement: the breakdown voltage $`V_{bd}`$ is found to be around 120 V, while $`I_{cc}`$ is well below the specified value of 20 pA up to $`V_{cc}=110V`$.

### 3.5 Total leakage current

The sensor leakage current through the $`p^+`$ strips affects the sensor performance mainly as a source of noise for the preamplifier input. For a CR-RC pulse-form shaper, used in the HELIX-128  readout chip, the noise level in terms of the Equivalent Noise Charge (ENC) increases with the square-root of the leakage current: $`ENC_I=(1/2\sqrt{I_St_p/q_0})e^{}`$, where $`I_S`$ is the single strip leakage current, $`t_p`$ is the peaking time of the signal shaper ($`t_p60`$ ns for the HELIX chip) and $`q_0`$ is the elementary charge. Due to the large number of readout strips, a high value of the sensor leakage current of for instance $`I=200\mu A`$, uniformly distributed over the sensor volume, yields a noise contribution $`ENC_I=200e^{}`$, which is a small fraction of the signal of a Minimum Ionizing Particle (MIP) of $`25000e^{}`$.

The limiting factor for the leakage current is the chosen biasing scheme with protection resistors, which will reduce the voltage on the sensors in case of high currents.

For the sensor specifications a maximum value of the leakage current $`I_{max}=2\mu `$A at a bias voltage $`V_{bias}=200`$ V has been chosen. The manufacturer has provided, for each sensor, two current/voltage (I/V) characteristics (from 0 to 200 V), measuring:

* the sensor leakage current flowing through the biasing ring, with first guard ring grounded;
* the first guard ring current, with biasing ring grounded.

A distribution of the leakage currents at $`V_{bias}=200`$ V, is shown in figure 10 for the BMVD and FMVD sensor, respectively. The currents, which have been normalized to the active area for direct comparison, are small, $`I_{200}<1`$ nA/cm2.

Two examples of I/V characteristics are shown in figure 11 for the biasing and first guard ring currents, respectively. The two curves correspond to sensors with the same depletion voltages, $`V_{dep}=48`$ V. The biasing ring characteristics (figure 11 (a)) shows that the leakage current reaches between 60% and 90% of the maximum value already within the first 3 V; afterwards the current continues to increase slightly even after $`V_{dep}`$ is reached. This behavior shows a significant contribution from generation currents at the Si-SiO2 interface; as soon as this interface becomes part of the depleted volume it contributes to the sensor leakage current. The bulk generation currents, which have a behavior proportional to $`\sqrt{V}`$, show a small (full dots curve) or even negligible contribution (open dots curve) to the total leakage current of figure 11 (a). The guard ring current is shown in figure 11 (b); it is typically about 6% and always below 10% of the total leakage current. The guard ring structure becomes very important in the case of type inversion, when the depletion layer starts growing from the sensor backside, leading to a larger lateral extension of the depletion zone .

The total leakage current has to be limited and stable during the long-term operation in the ZEUS environment, in order to ensure a proper functioning of the sensor system with respect to the cooling system and the design of the power supplies. High and unstable leakage currents can also indicate problems of the manufacturing technology.

Therefore a long term test of the sensor currents has been performed for all sensors. The sensors were biased at 200 V and the current flowing through the biasing ring (with all the guard rings floating) was measured for a period of at least 24 hours. A scatter plot of the start ($`I_{start}`$) and end currents ($`I_{end}`$) is shown in figure 12 for the BMVD sensors: the great majority of the sensors show a stable behavior; only for 2 out of the 748 tested sensors a fast increase of the current is seen with an end value of several $`\mu `$A above the specified value of 2$`\mu `$A.
Similar results have been obtained for the FMVD sensors.

### 3.6 Biasing resistance

Each $`p^+`$ strip on the sensor is connected to the biasing ring through a poly-Si resistor. The purpose of these resistors is to keep all the strips at the same potential without losing signal charge to the biasing ring. The biasing resistors are sources for parallel thermal noise at the preamplifier inputs of the readout channels. A high value for the biasing resistors is thus desirable for a small noise in the readout channels. Large differences in the resistance values between neighboring strips could (for large dark currents) result in a spread of the strip potentials. This would cause a distortion of the electric field below the strips and distort the position measurement. The specified range for the poly-Si resistors is $`R_{polySi}=1.5\pm 0.5`$ M$`\mathrm{\Omega }`$. Since on the sensor the poly-Si resistors are not accessible with a direct DC contact, 10 poly-Si resistors have been produced on each test-structure with probing-contacts on both sides.

Figure 13 shows the value of the poly-Si resistor as a function of the production time, as provided by the manufacturer. The average measured values vary between 1.3 M$`\mathrm{\Omega }`$ and 2.2 M$`\mathrm{\Omega }`$, which is slightly above the specified value, but does not influence the sensor performances .

For a sample of sensors, the values of the poly-Si resistors have been measured after delivery. The spread of the resistance values within one wafer was always found below $`\pm 0.1`$ M$`\mathrm{\Omega }`$.

### 3.7 $`p^+`$ strip resistance

A small resistance of the $`p^+`$ implants reduces the charge-spread time constant of the strips. The number of acceptors in the $`p^+`$ implant has to be several orders of magnitude larger than the number of donors in the depletion region of the sensor; only then do all field lines end in $`p^+`$ strips. This will be achieved for standard implantation depths if the $`p^+`$ resistance is of the order of the specification value of $`R_{p^+}<150`$ k$`\mathrm{\Omega }/`$cm. The implant width of the readout-$`p^+`$ strips is $`14\mu `$m (W14) while the width of the intermediate strips is $`12\mu `$m (W12). Since the resistance of a single $`p^+`$ strip cannot be measured directly on the sensors, all measurements have been performed on the test-structures through an I/V-measurement, applying a DC-voltage between both sides of the $`p^+`$ strip and measuring the current flowing through the strip.

For the W14 strips a resistance $`R_{p^+,W14}90`$ k$`\mathrm{\Omega }/`$cm has been measured. For the W12-strips the values were $`R_{p^+,W12}100`$ k$`\mathrm{\Omega }/`$cm.

Assuming a depth of the $`p^+`$ implants of about $`d_i=2\mu `$m , the doping concentration of the $`p^+`$ implants can be derived from the $`p^+`$ resistance:

$$N_a=\frac{1}{q\mu _h\rho _{p^+}}=2.910^{18}\mathrm{cm}^3,$$

where the $`p^+`$ resistivity $`\rho _{p^+}=A_{profile}R_{p^+}=2410^3\mathrm{\Omega }`$ cm, with $`A_{profile}`$ the cross section perpendicular to the W12 implant length. For the hole mobility a value $`\mu _h=90`$ cm$`{}_{}{}^{2}/`$(V s) for high doping concentration has been used .

### 3.8 Interstrip resistance

The ohmic resistance between two neighboring strips affects the charge division performance of the sensor. Charges in the SiO2, interface charges and electron accumulation layers below the oxide may affect the potential between the $`p^+`$ strips inducing a change in the interstrip resistance.

The measurement of the $`p^+`$ \- $`p^+`$ I/V characteristic has been performed on the fingerstrip test structure connecting one DC contact to the voltage generator and measuring the current flowing through the other DC contact. The backplane of the structure is connected to an additional power supply.

A set of I/V curves for different backplane voltages is shown in figure 14 for the W12 structure.

Two regions can be distinguished:

* below a threshold voltage, $`V_{th}`$, the interstrip resistance is very high, $`R_i4100`$ G$`\mathrm{\Omega }`$ cm;
* after $`V_{th}`$ is reached, the slope of the I/V curve changes to values of about $`R_i1`$ M$`\mathrm{\Omega }`$ cm.

The threshold voltage at which charge injection leads to a current between the $`p^+`$ strips, increases with increasing backplane voltage: from $`V_{th}=5`$ V at $`V_{bias}=10`$ V to $`V_{th}=14`$ V at $`V_{bias}=200`$ V. The interstrip resistance for the W14 structure is $`R_i3700`$ G$`\mathrm{\Omega }`$ cm.

For a sensor with $`V_{bias}=0`$, a low resistance $`R_i820`$ k$`\mathrm{\Omega }`$ cm is observed around $`V_{p+p+}=0`$ V.

### 3.9 Aluminum strip resistance

The $`p^+`$ readout strips are covered with a double layer of SiO2 and Si3N4 and an aluminum layer on top, which allows direct connection to the HELIX-128 preamplifier. Thanks to $`R_{p+}90`$ k$`\mathrm{\Omega }/`$cm for the $`p^+`$ strips resistance, the charge collected during the integration time of the HELIX chip, will not spread along the $`p^+`$ strip but remain where the charge is collected at the $`p^+`$ strip. A large value for the aluminum strip resistance, $`R_{Al}`$, would form a low-pass-filter with the coupling capacitance (double layer of SiO2 and Si3N4), for particles crossing the sensor far away from the connection to the readout electronics. The result would be a loss of signal height depending on the position of the particle along the strip. For the MVD sensors $`R_{Al}<20\mathrm{\Omega }/`$cm has been specified. Measurements performed on the test structure result in values lower than $`20\mathrm{\Omega }/`$cm, which are consistent with those provided by the manufacturer.

### 3.10 MOS capacitor measurements

Measurements on a MOS capacitor are used to extract the information on the oxide region and the surface between the $`p^+`$ strips. A typical C/V characteristic of the MOS capacitor is given in figure 15, with the voltage applied between the aluminum gate and the backplane.

In the accumulation region, for $`V_g>4`$ V, the positive charges in the oxide and at the Si - SiO2 interface are compensated by electrons accumulating in the bulk close to the interface. Since the doped bulk is not depleted, the measured capacitance corresponds to the capacitance of the oxide, from which the field oxide thickness $`t_{ox}=ϵ_{}ϵ_{SiO_2}A/C_{ox}=0.6\mu `$m (with $`C_{ox}=31`$ pF and $`A=510^3`$ cm2) can be extracted. As the voltage decreases, the depletion region is reached, where electrons are repelled in the bulk from a negatively biased gate. A positively charged zone depleted of free carriers is created below the oxide. Acting as an insulator the capacitance decreases. The flatband voltage, $`V_{fb}`$, is reached when the charges in the oxide and the difference of the work function between aluminum and silicon ($`\varphi _{ms}=1V`$) are compensated. A more negative voltage will build up holes below the SiO2 forming an inversion layer. The measured capacitance corresponds to the series of the oxide and depleted bulk capacitance $`C_{inv}^1=C_{ox}^1+C_{dep}^1`$.

From the flatband voltage the density of oxide and interface charges can be extracted: $`Q_{ox}=(V_{fb}\varphi _{ms})C_{ox}/A`$. The flatband voltage is determined as the voltage where the maximum slope of the C/V curve is observed (for a compilation of different ways to extract the flatband voltage see ). A measured value of $`V_{fb}=8.0`$ V (see figure 15) corresponds to $`310^{11}`$ charge states/cm2.

### 3.11 Hole mobility in the interface area

The PMOS surface field effect transistors have been used to measure the hole mobility and to study the effect of irradiation: a decrease of the hole mobility indicates additional defects at the SiO2 \- Si interface. The gate controlled diode has been used as a PMOS transistor. A circular geometry is preferable due to reduced edge effects compared to linear geometries for narrow channels, when the drain and source depletion zones extend into the gate area, with the effect of lowering the threshold voltage.

Figure 16 shows an I/V characteristic for the gate controlled diode used as a PMOS transistor with width over length, W/L=5.7. For small drain voltages $`V_d`$, the transistor operates in the linear region where the drain-source current is well approximated by $`I_{ds}=\mu _h(W/L)(ϵ_oϵ_{SiO_2}/t_{ox})V_d(V_gV_{th})`$ ; $`V_g`$ is the gate voltage. The threshold voltage $`V_{th}`$ is reached when the gate voltage has compensated the positive charges in the oxide and the work function difference and starts building an inversion layer. From the previous formula, the gate voltage reaches the threshold voltage when the extrapolated I/V curve, from the linear region, intersect the $`I_{ds}=0`$ line. A threshold voltage $`V_{th}=8.6\pm 0.1`$ V has been measured for non-irradiated test structures. Similar values have been measured on the PMOS FET structures.

The slope of the I/V curve is proportional to the hole mobility, $`\mu _h`$. Assuming an oxide thickness $`t_{ox}=0.6\mu `$m, as derived from the MOS capacitor measurements, the mobility of the holes below the gate, $`\mu _h=215`$ cm2/(V s) has been estimated. Similar values between 220 and 240 cm2/(V s) have been measured using the linear PMOS transistors.

### 3.12 Gate controlled diode measurements

The gate controlled diode structure allows a direct measurement of surface and bulk generation current contributions to the total leakage current. A detailed description of the gate controlled diode structure can be found in .

A cross section of the gate controlled diode on the test structures is shown in figure 17 with the connection scheme used for the measurements. The expected depletion volume is also sketched. The diode leakage current, under reverse bias, is measured as a function of the gate voltage applied to the aluminum gate.

Figure 18 shows a typical I/V characteristic for a non-irradiated structure with a bias voltage $`V_b=5`$ V. Accumulation, depletion and inversion regions can be distinguished clearly: the accumulation plateau is at $`V_g3.5`$ V, the depletion zone is in the range $`8.5V_g3.5`$ V and finally the inversion plateau is at $`V_g<9`$ V.
In the following we focus on the estimate of the surface generation current, $`I_s`$, which is given by the current difference of the depletion and inversion plateau. A value $`I_s=7`$ pA can be read from figure 18, which corresponds to 2 nA/cm2. The surface recombination velocity $`S_0`$ is obtained from $`I_s`$ as $`S_0=I_s/(qA_sn_i)`$, where $`q`$ is the elementary charge, $`A_s`$ is the area of the gate electrode and $`n_i`$ is the intrinsic charge carrier density in silicon. A value of $`S_0=1.5`$ cm/s is obtained.

The flatband voltage, $`V_{fb}`$, can be estimated from the I/V characteristic as the voltage, where the depletion and inversion regions become separated . A value $`V_{fb}=8.7`$ V is obtained from figure 18.

## 4 Irradiation tests

The main sources of background radiation at HERA are electrons or positrons from lepton-beam-loss-accidents and direct- and back-scattered synchrotron radiation. In addition, contributions from charged and neutral hadrons due to unstable beam conditions are expected. During the years of HERA-I operation (1992-2000) the experiments accumulated an average dose of 50 Gy/year .

To increase the instantaneous luminosity for the HERA-II runs, the separation of the two beams has been shifted closer to the interaction region. Two superconducting magnets have been installed inside the detector, at few meters from the interaction points to do this. Nevertheless the expected integrated dose should not change considerably. The beam currents will not change appreciably and the possible backscattered photons and electrons from synchrotron radiations should be shielded by means of collimators located inside the beam pipe111Experience from the first running period of HERA II showed higher levels of backscattered synchrotron radiations. The bigger part of the radiation collected came from beam losses in the ZEUS interaction region.

Radiation studies on the silicon sensors have been performed assuming a maximum dose of 3 kGy, which should be well above the expected integrated dose. Two different sources have been used for the studies:

* reactor neutrons with energies peaked at 1 MeV and ranging from thermal energies up to 10 MeV.
* low energy photons ($`E_\gamma 1.2`$ MeV) from a 60Co source;

### 4.1 Results on neutron irradiation

The irradiation was performed at the TRIGA MARK II Research Reactor in Ljubljana, Slovenia. The sensor and the corresponding test structure were irradiated without bias in a single irradiation step with a fluence $`\varphi _{eq}=110^{13}`$ 1 MeV neutrons /cm-2.

#### 4.1.1 Depletion voltage and capacitances

Hadronic irradiation, in particular low energy and thermal neutrons cause displacement damage in the silicon lattice of the bulk, resulting in a change of the effective doping concentration $`N_{eff}`$. This mechanism leads to a decrease in the depletion voltage until type inversion occurs. The bulk damage leads to a fluence-proportional increase of the bulk generation current (cf.  for studies on the effect of hadronic irradiation on silicon sensor properties).

The effect of hadronic radiation on the depletion voltage was studied measuring the C/V characteristics before and after irradiation.

The depletion voltage of the sensor was $`V_{dep}=67`$ V before irradiation. One day after irradiation it was $`V_{dep}=17`$ V, after 17 days it had increased to $`V_{dep}=25`$ V (see figure 19).

According to the Hamburg model  for hadronic radiation damage and annealing, the change in the effective doping concentration can be expressed as function of time $`t`$ and of the fluence $`\varphi _{eq}`$ as

$$\mathrm{\Delta }N_{eff}(\varphi _{eq},t)=N_C(\varphi _{eq})+N_A(\varphi _{eq},t)+N_Y(\varphi _{eq},t),$$

where $`N_C`$ represents the stable damage, $`N_A`$ the short term annealing and $`N_Y`$ the reverse annealing component.

All parameters are taken at room temperature. The model predicts, for a sensor irradiated with a fluences $`\varphi _{eq}=110^{13}`$ 1 MeV equivalent n/cm2 and our initial parameters, a depletion voltage $`V_{dep}=17.6`$ V after one day and $`V_{dep}=25`$ V after 17 days, in good agreement with the measured values.

No change in the interstrip capacitance has been observed, as shown in figure 20.

#### 4.1.2 Leakage current

An increase of the leakage current was observed; a total current of $`600\mu `$A at 100 V was measured one day after the irradiation with a fluence $`\varphi _{eq}=110^{13}`$ 1 MeV equivalent neutrons/cm2. After 17 days of annealing at room temperature the measured current was $`408\mu `$A, at the same bias voltage. Using the parametrization described in , the predicted values of leakage currents are $`706\mu `$A and $`490\mu `$A after 1 day and 17 days of annealing time at room temperature, respectively.

The I/V characteristics for the neutron irradiated sensor is shown in figure 21 before and after irradiation.

### 4.2 Results on 60Co $`\gamma `$ irradiation

Low energetic $`\gamma `$ irradiation mainly causes damage in the SiO2 at the Si-SiO2 interface. The damage is larger if an electric field is present in the SiO2, which reduces the recombination of electron-ion pairs created by the radiation. A large increase in leakage current may indicate problems in the Si-SiO2 interface which is the most sensitive area of the sensor with respect to charge sharing and charge collection. Possible effects of a radiation induced increase of oxide charges on the sensor performance are :

* Increase of the interstrip capacitance due to the presence of an electron accumulation layer between two strips;
* Local reduction of the charge collection of the sensor, caused by non depleted volumes close to the electron accumulation layer between the strips;
* Electric field increase at the p+-Si-SiO2 interface, which may cause local avalanche breakdown.

The annealing process has been studied after the exposure to radiation by means of I/V and C/V measurements on the sensors and corresponding test structure at different times after the irradiation.

One sensor and the corresponding test structure were irradiated at the National Institute of Measurements (Nederlands Meet Instituut) in Utrecht. Using a 60Co point source, they were irradiated without bias voltage applied. In two runs, each about 16 hours at constant dose-rate of 62.5 Gy/hour, an estimated total dose of 2 kGy was received. With various apertures and collimators, a homogenous dose over the sensor and test structure area at a distance of about 1 m from the source has been obtained.

Another sensor was irradiated at the Hahn-Meitner-Institut in Berlin. During irradiation it was surrounded by several $`{}_{}{}^{60}Co`$ sources producing a homogenous radiation field over the sensor area. The dose-rate was 150 Gy/hour. The sensor, bonded in a support structure, was kept at a bias voltage of 100 V during the irradiation. The total dose was 2.9 kGy in seven steps. The photo-current was measured during irradiation. After each irradiation step an I/V curve of the total leakage current of the sensor was taken. A non biased test-structure was irradiated together with the sensor. In a second step eight test structures were irradiated at the same irradiation facility. Four of them were biased during irradiation with 100 V applied to the backplane and all contacts on top grounded. The other four test structures were irradiated floating. The total dose for two of the biased test structures was 50 Gy. The total dose for the other six test structures was 2.8 kGy.

#### 4.2.1 Capacitances and leakage currents

The effect of photon irradiation is visible in the change of the interstrip capacitance, as seen in figure 20. An increased value of $`C_i=1.2`$ pF/cm is measured in the finger-strip structure exposed to 2 kGy 60Co photons, while for the neutron and the non-irradiated sensors, a similar value $`C_i=1.0`$ pF/cm is extracted.

In case of 60Co $`\gamma `$ irradiation, the sensor exposed to a total dose of 2 kGy, in floating conditions, experienced a leakage current increase from 22 nA ($`V_{bias}=200`$ V) to $`23.4\mu `$A, measured 10 hours after exposure.

For the biased irradiation (2.9 kGy) a larger increase of the leakage current from 44 nA to $`425\mu `$A, has been observed 4.5 hours after the irradiation had stopped.

The plot of figure 22 a shows the I/V characteristics measured during the irradiation steps, after 5 minutes annealing at room temperature.

In order to determine the annealing behavior at room temperature, the leakage current has been measured up to 25 days after exposure. After this time, a decrease by a factor of 3, down to $`140\mu `$A, has been observed, as shown in figure 22 (b). If scaled down linearly to a dose of 2 kGy, this value is a factor of 10 larger than the values for the floating irradiated sensor, which was $`12.6\mu `$A 18 days after irradiation.

No change in the depletion voltage has been observed for the 60Co photon irradiated sensors.

#### 4.2.2 Surface properties

Since ionizing radiation affects mainly oxide layers and the Si-SiO2 interface, the large leakage current increase observed after 60Co $`\gamma `$ irradiation suggests that the sensor leakage current may be largely dominated by surface effects. The irradiation induced oxide charges can be extracted from the flatband voltage for an irradiated MOS capacitor.

As is shown in figure 23, a shifted flatband voltage, $`V_{fb}=15`$ V, (from $`V_{fb}=8`$ V), has been measured after 50 Gy of 60Co photons, corresponding to an additional charge density $`Q_{ox}=2.510^{11}`$ states/cm2. A much higher shift has been observed for a dose of 2 kGy, $`V_{fb}=60`$ V, which corresponds to an increase of positive charges of $`1.810^{12}`$ states/cm2. All quoted results correspond to floating irradiation and have been extracted from measurements at 1 kHz.

In addition, a strong dependence of the C/V shape and of the flatband voltage on the measurement frequency has been detected for samples exposed to 60Co photons, as can be seen from figure 24.

The observed frequency dependence is caused by the response of interface states to the AC signal, which depends on their position in the band gap. With increasing frequency these interface traps are unable to follow the AC swing .

A change in the hole mobility was observed after irradiation with 2.8 kGy 60Co photons: from $`\mu _h=215`$ cm2/(V s) to $`\mu _h=90`$ cm2/(V s).

A shift in the flatband voltage has been observed in the gate controlled diode I/V characteristics.

Figure 25 shows the I/V characteristics of two gate controlled diodes exposed to 50 Gy and 2.8 kGy, respectively, compared to the curve of an non irradiated diode. Flatband voltages $`V_{fb}15`$ V and $`V_{fb}60`$ V are roughly estimated for the two irradiation doses. The values correspond to the gate voltages at half of the maximum current value. The shape of the I/V curves are deformed after irradiation. The deformation is caused by the radiation induced change in the correlation between gate voltage and silicon surface band bending . A strong increase of the surface current is detected. The surface current after irradiation is estimated as the difference between the maximum current value and the inversion plateau at large negative gate voltages. It increases from 6 pA (2 nA/cm2) for the non irradiadiated diode to about 300 pA (86 nA/cm2) after 50 Gy. After 2.8 kGy it is about 7 nA (2 $`\mu `$A/cm2). The results are summarized in table 3, where flatband voltages, surface currents and surface recombination velocities are reported.

## 5 Summary

The construction phase of the ZEUS Micro Vertex Detector (MVD) has been completed. The MVD has been successfully installed in the ZEUS detector and it is ready for the first $`ep`$ collisions of HERA II. An extensive test program has been performed to study the characteristics and performance of the sensors. In the following, a summary of the electrical measurements on prototype and series production sensors is presented:

* Resistivity of Si-crystals, $`3.4<\rho <7.9`$ k$`\mathrm{\Omega }`$cm, corresponding to depletion voltages of the sensors $`93>V_{dep}>40`$ V.
* Low leakage currents, typically below 1 nA/cm2.
* The stability of the leakage current has been tested for at least 24 hours at a bias voltage $`V_{bias}=200`$ V. The fraction of stable sensors is 99%.
* Coupling capacitance $`C_c=26`$ pF/cm, while the interstrip and backplane capacitances are $`C_i=1`$ pF/cm and $`C_b=0.07`$ pF/cm, respectively.
* The values of the poly-Si resistors, used to bias the $`p^+`$ strips, are between $`1.3<R_{polySi}<2.2`$ M$`\mathrm{\Omega }`$; the $`p^+`$ and aluminum strip resistances are 90 k$`\mathrm{\Omega }`$/cm (W14), 100 k$`\mathrm{\Omega }`$/cm (W12), and $`R_{Al}<20\mathrm{\Omega }`$/cm, respectively.
* The $`p^+`$ interstrip isolation has been verified and shown high interstrip resistances ($`4000`$ G$`\mathrm{\Omega }`$ cm) up to 10 V interstrip potential difference for a fully depleted sensor.
* The mobility of holes in the interface has been estimated to be $`\mu _h=215`$ cm2/(V s).

The values of depletion voltage and of leakage current after neutron irradiation are in agreement with the prediction from the Hamburg model of hadronic irradiation . For fluences up to $`110^{13}`$ 1 MeV eq. n/cm2 (much higher than the hadronic background expected during the MVD lifetime), type inversion has not occurred and the influence of hadronic irradiation is limited to a change in the depletion voltage and an increase of the bulk generation current.
A large increase in the leakage current has been found also for 60Co photon irradiation. The increase after floating irradiation was a factor of 10 lower than for the biased irradiation. The increase in leakage current is attributed to additional generation currents in the SiO2 \- Si interface. A large shift in the flatband voltage has been observed, corresponding to positive charges in the oxide and interface areas. A decrease in the hole mobility has been measured using the PMOS transistor.

We would like to thank K. Yamamoto and K. Yamamura from the solid state department at Hamamatsu Photonics K.K. for their advice and cooperation during the design of the layout and the production of the sensors. We thank V. Cindro of the University of Ljubljana for his assistance during the neutron irradiation of the sensors. We are grateful to U. Pein and P. Buhmann for the invaluable help during the preparations of the measurements and to G. Lindström for many useful discussions during the preparation of this work. Finally we thank D. Notz, T. Carli and R. Devenish for helpful comments during the preparation of this paper.


format: text

text:
# 1 Introduction

## 1 Introduction

The study of type IIB superstring theory in plane wave backgrounds is a fertile area for investigating the properties of string theory with nontrivial Ramond–Ramond ($`RR`$) condensates. One of the best studied examples is the Penrose limit of $`AdS_5\times S^5`$ , for which the dual CFT has a corresponding limit . In the original $`AdS_5\times S^5`$ background this correspondence is difficult to check quantitatively since string theory in the $`AdS_5\times S^5`$ background has not, so far, proved tractable. On the other hand, the plane-wave theory can be formulated as a free two-dimensional field theory, at least in the light-cone gauge, and is therefore exactly solvable .

In this talk we shall describe the construction of supersymmetric D-branes for this string theory background. Since the world-sheet theory in light cone gauge is not conformally invariant, a number of modifications arise relative to the usual conformal field theory discussion. In particular, the functions that enter in the calculation of the cylinder amplitudes are not standard $`\theta `$ functions, and the open-closed consistency condition follows from rather non-trivial modular transformation properties of deformed $`\theta `$ functions.

This talk is based on  and .

## 2 Notation and review

The $`pp`$-wave background is a ten-dimensional space-time with metric,

$$ds^2=2dx^+dx^{}\mu ^2x^Ix^Idx^+dx^++dx^Idx^I,$$
(1)
where $`x^\pm =\left(x^0\pm x^9\right)/\sqrt{2}`$ and $`I=1,\mathrm{},8`$. The five-form $`RR`$ field strength is given by

$$F_{+1234}=F_{+5678}=2\mu ,$$
(2)
where $`\mu `$ is a constant. In light-cone gauge where $`x^+=2\pi p^+\tau `$, the Lagrangian describes eight massive free scalar and eight massive free fermion fields

$$=\frac{1}{4\pi }\left(_+x^I_{}x^Im^2\left(x^I\right)^2\right)+\frac{i}{2\pi }\left(S^a_+S^a+\stackrel{~}{S}^a_{}\stackrel{~}{S}^a2mS^a\mathrm{\Pi }_{ab}\stackrel{~}{S}^b\right),$$
(3)
where $`S^a`$ and $`\stackrel{~}{S}^a`$ are $`SO\left(8\right)`$ spinors of the same chirality and $`\mathrm{\Pi }=\gamma ^1\gamma ^2\gamma ^3\gamma ^4`$. The mass parameter $`m`$ is defined by $`m=2\pi p^+\mu `$. The $`8\times 8`$ matrices, $`\gamma _{a\dot{b}}^I`$ and $`\gamma _{\dot{a}b}^I`$, are the off-diagonal blocks of the $`16\times 16`$ $`SO\left(8\right)`$ $`\gamma `$-matrices and couple $`SO\left(8\right)`$ spinors of opposite chirality. The presence of $`\mathrm{\Pi }`$ in the fermionic sector of the lagrangian breaks the symmetry from $`SO\left(8\right)`$ to $`SO\left(4\right)\times SO\left(4\right)`$.

The modes of the transverse bosonic coordinates, $`x^I`$, of a string in type IIB $`pp`$-wave light-cone gauge string theory  are $`\alpha _k^I`$ and $`\stackrel{~}{\alpha }_k^I`$, where $`I`$ is a vector index of $`SO\left(8\right)`$, and $`k\text{ZZ}`$ with $`k0`$. These modes satisfy the commutation relations

$$[\alpha _k^I,\alpha _l^J]=\omega _k\delta ^{IJ}\delta _{k,l},[\alpha _k^I,\stackrel{~}{\alpha }_l^J]=0,[\stackrel{~}{\alpha }_k^I,\stackrel{~}{\alpha }_l^J]=\omega _k\delta ^{IJ}\delta _{k,l},$$
(4)
where

$$\omega _k=\mathrm{sign}\left(k\right)\sqrt{k^2+m^2}\left|k\right|>0.$$
(5)
In addition there are the bosonic zero modes that describe the centre of mass position $`x_0^I`$ and some generalised momentum $`p_0^I`$ with $`[p_0^I,x_0^J]=i\delta ^{IJ}`$. It is convenient to introduce the creation and annihilation operators

$$a_0^I=\frac{1}{\sqrt{2m}}\left(p_0^I+imx_0^I\right),\overline{a}_0^I=\frac{1}{\sqrt{2m}}\left(p_0^Iimx_0^I\right),$$
(6)
in terms of which the commutation relation is then $`[\overline{a}_0^I,a_0^J]=\delta ^{IJ}`$. The modes of the fermionic fields $`S_k^a`$ and $`\stackrel{~}{S}_k^a`$, where $`a`$ is a spinor index of $`SO\left(8\right)`$ and $`k\text{ZZ}`$, satisfy the anti-commutation relations

$$\{S_k^a,S_l^b\}=\delta ^{ab}\delta _{k,l},\{S_k^a,\stackrel{~}{S}_l^b\}=0,\{\stackrel{~}{S}_k^a,\stackrel{~}{S}_l^b\}=\delta ^{ab}\delta _{k,l}.$$
(7)
It is convenient to introduce the zero-mode combinations $`\theta _0^a=\frac{1}{\sqrt{2}}\left(S_0^a+i\stackrel{~}{S}_0^a\right)`$ as well as $`\overline{\theta }_0^a=\frac{1}{\sqrt{2}}\left(S_0^ai\stackrel{~}{S}_0^a\right)`$, and further

$`\theta _R`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(1+\mathrm{\Pi }\right)\theta _0,\overline{\theta }_R={\displaystyle \frac{1}{2}}\left(1+\mathrm{\Pi }\right)\overline{\theta }_0,`$
$`\theta _L`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(1\mathrm{\Pi }\right)\theta _0,\overline{\theta }_L={\displaystyle \frac{1}{2}}\left(1\mathrm{\Pi }\right)\overline{\theta }_0.`$ (8)
In light-cone gauge the thirty-two components of the supersymmetries decompose into ‘dynamical’ and ‘kinematical’ components. The ‘dynamical’ supercharges, $`Q_{\dot{a}}`$ and $`\stackrel{~}{Q}_{\dot{a}}`$ ($`\dot{a}=1,\mathrm{},8`$), anticommute to give the light-cone hamiltonian

$`2p^+H`$ $`=`$ $`m\left(a_0^I\overline{a}_0^I+iS_0^a\mathrm{\Pi }_{ab}\stackrel{~}{S}_0^b+4\right)+{\displaystyle \underset{k=1}{\overset{\mathrm{}}{}}}\left[\alpha _k^I\alpha _k^I+\stackrel{~}{\alpha }_k^I\stackrel{~}{\alpha }_k^I+\omega _k\left(S_k^aS_k^a+\stackrel{~}{S}_k^a\stackrel{~}{S}_k^a\right)\right]`$
$`=`$ $`m\left(a_0^I\overline{a}_0^I+\theta _L^a\overline{\theta }_L^a+\overline{\theta }_R^a\theta _R^a\right)+{\displaystyle \underset{k=1}{\overset{\mathrm{}}{}}}\left[\alpha _k^I\alpha _k^I+\stackrel{~}{\alpha }_k^I\stackrel{~}{\alpha }_k^I+\omega _k\left(S_k^aS_k^a+\stackrel{~}{S}_k^a\stackrel{~}{S}_k^a\right)\right].`$
(9)
In addition the theory has sixteen ‘kinematical’ supercharges $`Q_aS_0^a`$ and $`\stackrel{~}{Q}_a\stackrel{~}{S}_0^a`$, where $`a=1,\mathrm{},8`$. The dynamical supercharges commute with the light-cone hamiltonian, but the kinematical supercharges do not.

## 3 The construction of the boundary states

D-branes in string theory can always be described by boundary states. This description makes the coupling of the D-brane to the closed string states of the theory manifest. In the following we shall only be discussing instantonic D-branes, which are defined by the embeddings of euclidean $`\left(p+1\right)`$-dimensional world-volumes.111As is explained in , the following discussion can be easily generalised for time-like branes. These are the cases in which the light-cone directions $`x^\pm `$ are orthogonal to the brane. We will adopt a notation, following , in which these instantonic branes are denoted $`(r,s)`$-branes ($`r+s=p+1`$), where $`r`$ and $`s`$ are the numbers of Neumann directions associated with the two $`SO\left(4\right)`$ factors in the transverse space.

The boundary states are (up to important normalisations) uniquely determined by the gluing conditions that describe how left- and right-moving fields are related at the boundary. Here we shall only consider D-branes that preserve half of the dynamical supersymmetries, i.e.

$$(Q_{\dot{a}}+i\eta M_{\dot{a}\dot{b}}\stackrel{~}{Q}_{\dot{b}})\left|\right|(r,s),\eta =0,$$
(10)
where the value of $`\eta =\pm 1`$ distinguishes a brane from an anti-brane. The matrix $`M`$ is given by

$$M_{\dot{a}\dot{b}}=\left(\underset{I𝒩}{}\gamma ^I\right)_{\dot{a}\dot{b}},$$
(11)
where the product extends over the Neumann directions $`𝒩`$. In order for the boundary state to define a standard D-brane one requires in addition that the bosonic degrees of freedom satisfy

$`(\alpha _k^I\stackrel{~}{\alpha }_k^I)\left|\right|(r,s),𝐲_t`$ $`=`$ $`0,k\text{ZZ},`$
$`(\overline{a}_0^Ia_0^I+i\sqrt{2m}y_t^I)\left|\right|(r,s),𝐲_t`$ $``$ $`i\sqrt{2m}(x_0^Iy_t^I)\left|\right|(r,s),𝐲_t=0,`$ (12)
for each Dirichlet direction $`I`$, as well as

$`(\alpha _k^J+\stackrel{~}{\alpha }_k^J)\left|\right|(r,s),𝐲_t`$ $`=`$ $`0,k\text{ZZ},`$
$`(\overline{a}_0^J+a_0^J)\left|\right|(r,s),𝐲_t`$ $`=`$ $`0`$ (13)
for each Neumann direction $`J`$. (For simplicity we are considering here the case without Wilson lines.) It is easy to see that (10), together with (12) and (13) implies that

$$(S_0^a+i\eta M_{ab}\stackrel{~}{S}_0^b)\left|\right|(r,s),𝐲_t=0,$$
(14)
where $`M_{ab}`$ is the same product of $`\gamma `$ matrices as in (11). This last equation implies that a complex combination of the kinematical supersymmetries is preserved by the boundary state. The structure of the boundary states depends now crucially on the choice of $`M`$.

Class I: The first class is the one that was studied in  and arises when the matrix $`M_{ab}`$ satisfies

$$\mathrm{\Pi }M\mathrm{\Pi }M=1,$$
(15)
where $`\mathrm{\Pi }=\gamma ^1\gamma ^2\gamma ^3\gamma ^4`$. From a supergravity point of view, these branes were analysed in . The condition (15) is equivalent to $`\left|rs\right|=2`$. The branes of this kind satisfy the standard fermionic gluing condition

$$(S_n^a+i\eta M_{ab}\stackrel{~}{S}_n^b)\left|\right|(r,s),𝐲_t=0.$$
(16)
They satisfy (10) if $`y_t^I=0`$ for the Dirichlet directions, and the corresponding open string preserves eight components (i.e. half) of both the dynamical and kinematical supersymmetries. A characteristic feature of this class is that the kinematical conditions (14) are not preserved as a function of $`x^+`$ since the commutator with the light-cone hamiltonian has the form

$$[H,Q_a+i\eta M_{ab}\stackrel{~}{Q}_b]=\frac{m\eta }{2p^+}\left(\mathrm{\Pi }M^t\right)_{ab}\left(Q_bi\eta M_{bc}\stackrel{~}{Q}_c\right).$$
(17)
In this case the open-string theory has a mass term in its hamiltonian of the form $`S_0M\mathrm{\Pi }S_0`$ , and the ground state is an unmatched boson. In particular, the open string one-loop amplitude (and the corresponding closed string cylinder diagram) therefore does not vanish.

Class II: The second class arises when the matrix $`M_{ab}`$ satisfies

$$\mathrm{\Pi }M\mathrm{\Pi }M=1,$$
(18)
a possibility that was not considered in  but arose in the supergravity analyses of  and was later analysed in detail in  (the open string description was independently worked out in ). In this case $`\left|rs\right|=0,4`$. The only branes of this type that satisfy (10) are the $`(0,0)`$ brane at an arbitrary position222The same also holds for the $`(4,4)`$ brane, but the corresponding boundary state does not have a sensible flat space limit and is therefore probably inconsistent., for which the fermionic gluing conditions are

$$(S_n^a+i\eta R_n^{ab}\stackrel{~}{S}_n^b)\left|\right|(0,0),𝐲=0,$$
(19)
and $`R_n`$ is the matrix

$$R_n=\frac{1}{n}\left(\omega _n1\mathrm{l}\eta m\mathrm{\Pi }\right).$$
(20)
In addition, the $`(4,0)`$ and $`(0,4)`$ branes satisfy (10) provided that the Neumann boundary conditions (13) are suitably modified (see ). The corresponding open strings preserve half of the dynamical supersymmetries, but none of the kinematical supersymmetries. However, in contradistinction to class I,

$$[H,Q_a+i\eta M_{ab}\stackrel{~}{Q}_b]=\frac{m\eta }{2p^+}\left(\mathrm{\Pi }M^t\right)_{ab}\left(Q_b+i\eta M_{bc}\stackrel{~}{Q}_c\right),$$
(21)
and thus the kinematical conditions (14) are preserved as a function of $`x^+`$. In this case $`S_0M\mathrm{\Pi }S_00`$ and the open-string mass term vanishes, thus giving true fermionic zero modes (see also ). The ground states then form a degenerate supermultiplet, and the one-loop open string amplitude (as well as the corresponding closed string cylinder diagram) vanishes.

## 4 Open-closed duality

One of the most important consistency conditions for D-branes is the so-called open-closed duality relation. It requires that the cylinder diagram, that describes the interaction energy between two D-branes, can be evaluated in two different ways. From the closed string point of view, the cylinder diagram is the tree-level diagram describing the exchange of closed string states between two external boundary states. On the other hand, the diagram can also be interpreted as a one-loop open string diagram. These two points of view are related by exchanging the roles of the world-sheet parameters $`\tau `$ and $`\sigma `$. This transformation replaces the modular parameter $`t`$ of the cylinder by $`\stackrel{~}{t}=1/t`$; it also replaces the mass-parameter $`m`$ by $`\widehat{m}=mt`$. (See  for more details.)

In the usual flat space background, the open-closed duality condition is satisfied since the cylinder amplitude can be written in terms of standard $`\theta `$ functions that have well understood transformation properties under the modular transformation $`t\stackrel{~}{t}`$. For the case of the plane-wave background, on the other hand, the cylinder amplitudes involve non-trivial deformations of $`\theta `$ functions. In the case of the class I branes333The functions that arise for the class II branes are yet more complicated; they are described in detail in , where their modular properties are also discussed., the relevant functions are

$`f_1^{\left(m\right)}\left(q\right)`$ $`=`$ $`q^{\mathrm{\Delta }_m}\left(1q^m\right)^{\frac{1}{2}}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}\left(1q^{\sqrt{m^2+n^2}}\right),`$ (22)
$`f_2^{\left(m\right)}\left(q\right)`$ $`=`$ $`q^{\mathrm{\Delta }_m}\left(1+q^m\right)^{\frac{1}{2}}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}\left(1+q^{\sqrt{m^2+n^2}}\right),`$ (23)
$`f_3^{\left(m\right)}\left(q\right)`$ $`=`$ $`q^{\mathrm{\Delta }_m^{}}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}\left(1+q^{\sqrt{m^2+\left(n1/2\right)^2}}\right),`$ (24)
$`f_4^{\left(m\right)}\left(q\right)`$ $`=`$ $`q^{\mathrm{\Delta }_m^{}}{\displaystyle \underset{n=1}{\overset{\mathrm{}}{}}}\left(1q^{\sqrt{m^2+\left(n1/2\right)^2}}\right),`$ (25)
where $`q=e^{2\pi t}`$, and $`\mathrm{\Delta }_m`$ and $`\mathrm{\Delta }_m^{}`$ are given as

$`\mathrm{\Delta }_m`$ $`=`$ $`{\displaystyle \frac{1}{\left(2\pi \right)^2}}{\displaystyle \underset{p=1}{\overset{\mathrm{}}{}}}{\displaystyle _0^{\mathrm{}}}𝑑se^{p^2s}e^{\pi ^2m^2/s},`$ (26)
$`\mathrm{\Delta }_m^{}`$ $`=`$ $`{\displaystyle \frac{1}{\left(2\pi \right)^2}}{\displaystyle \underset{p=1}{\overset{\mathrm{}}{}}}\left(1\right)^p{\displaystyle _0^{\mathrm{}}}𝑑se^{p^2s}e^{\pi ^2m^2/s}.`$ (27)
The quantities $`\mathrm{\Delta }_m`$ and $`\mathrm{\Delta }_m^{}`$ are the Casimir energies of a single (two-dimensional) boson of mass $`m`$ on a cylindrical world-sheet with periodic and anti-periodic boundary conditions, respectively. For $`m=0`$, $`\mathrm{\Delta }_m`$ and $`\mathrm{\Delta }_m^{}`$ simplify to the usual flat-space values,

$`\mathrm{\Delta }_0`$ $`=`$ $`{\displaystyle \frac{1}{\left(2\pi \right)^2}}{\displaystyle \underset{p=1}{\overset{\mathrm{}}{}}}{\displaystyle \frac{1}{p^2}}={\displaystyle \frac{1}{24}},`$ (28)
$`\mathrm{\Delta }_0^{}`$ $`=`$ $`{\displaystyle \frac{1}{\left(2\pi \right)^2}}{\displaystyle \underset{p=1}{\overset{\mathrm{}}{}}}{\displaystyle \frac{\left(1\right)^p}{p^2}}={\displaystyle \frac{1}{48}}.`$ (29)
Thus $`f_2^{\left(m\right)}\left(q\right)`$, $`f_3^{\left(m\right)}\left(q\right)`$ and $`f_4^{\left(m\right)}\left(q\right)`$ simply reduce to the standard $`f_2\left(q\right)`$, $`f_3\left(q\right)`$ and $`f_4\left(q\right)`$ functions  as $`m0`$.

For the case of the class I branes the open-closed consistency condition is then a consequence of the remarkable transformation properties of these functions

$$f_1^{\left(m\right)}\left(q\right)=f_1^{\left(\widehat{m}\right)}\left(\stackrel{~}{q}\right),f_2^{\left(m\right)}\left(q\right)=f_4^{\left(\widehat{m}\right)}\left(\stackrel{~}{q}\right),f_3^{\left(m\right)}\left(q\right)=f_3^{\left(\widehat{m}\right)}\left(\stackrel{~}{q}\right),$$
(30)
where $`\stackrel{~}{q}=e^{2\pi \stackrel{~}{t}}=e^{2\pi /t}`$ and $`\widehat{m}=mt`$. In the limit $`m0`$ the second and third equations in (30) reproduce standard $`\theta `$-function identities. The identity for $`f_1`$ (or $`\eta `$) can also be derived from the first equation of (30). In fact, both sides of the first equation tend to zero as $`m0`$ since $`\left(1q^m\right)^{\frac{1}{2}}=\sqrt{2\pi tm}+𝒪\left(m\right)`$ and $`\left(1\stackrel{~}{q}^{\widehat{m}}\right)^{\frac{1}{2}}=\sqrt{2\pi m}+𝒪\left(m\right)`$. Thus, after dividing the first equation by $`\sqrt{m}`$, the limit $`m0`$ becomes

$$f_1\left(q\right)=t^{\frac{1}{2}}f_1\left(\stackrel{~}{q}\right),$$
(31)
thus reproducing the standard modular transformation property of the $`f_1`$ (or $`\eta `$) function.

Acknowledgement MRG would like to thank the organisers of the symposium for organising a very pleasant conference, and for giving him the opportunity to speak. He is grateful to the Royal Society for a University Research Fellowship. We also acknowledge partial support from the PPARC Special Programme Grant ‘String Theory and Realistic Field Theory’, PPA/G/S/1998/0061 and the EEC contract HPRN-2000-00122.