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# 1 Introduction

## 1 Introduction

The three–generation Standard Model can accommodate $`CP`$ violation through the presence of a non-zero imaginary phase in the Cabibbo-Kobayashi-Maskawa (CKM) quark mixing matrix. However, existing measurements of $`CP`$ violation in the neutral kaon system cannot prove that the CKM phase is indeed the origin of $`CP`$ violation in nature.

The primary goal of the BABAR experiment at PEP-II is to elucidate this question by a series of observations and measurements of $`CP`$–violating effects in the $`B`$ meson system. These measurements allow the extraction of the angles $`\alpha `$, $`\beta `$ and $`\gamma `$ of the Unitarity Triangle, whose non–zero area  is a direct measure of $`CP`$ violation.

BABAR can also access the sides of the Unitarity Triangle through measurements of $`|V_{ub}|`$, $`|V_{cb}|`$ in semileptonic $`B`$ decays and $`|V_{td}|`$ in $`B^0\overline{B}^0`$ mixing. This allows to overconstrain the Unitarity Triangle and perform stringent tests of the Standard Model.

Thus, high statistics, a clean environment and broad access to the rich phenomenology of the $`B`$ sector will allow BABAR to improve our knowledge of the overall $`B`$ decay picture and probe New Physics at higher energy scales. A broad heavy flavor physics programme is also ongoing in BABAR.

## 2 PEP-II

The PEP-II $`B`$ Factory  is an $`e^+e^{}`$ colliding beam storage ring complex at SLAC designed to produce a luminosity of 3x$`10^{33}\mathrm{cm}^2\mathrm{s}^1`$ at a center–of–mass energy of 10.58$`\mathrm{GeV}`$ ($`\mathrm{{\rm Y}}(4S)`$ resonance). During the 2000 run PEP-II has exceeded this luminosity, while BABAR, with a logging efficiency of $`>`$95%, has routinely accumulated data above its design daily rate of $`135\text{ pb}^1`$.

The machine has asymmetric energy beams, with a High Energy Ring (HER, 9.0$`\mathrm{GeV}`$ electrons) and a Low Energy Ring (LER, 3.1$`\mathrm{GeV}`$ positrons). These correspond to a center–of–mass boost of $`\beta \gamma `$=0.56 and lead to an average separation of $`\beta \gamma \mathrm{c}\tau `$=250$`\mu \mathrm{m}`$ between the two $`B`$ mesons vertices, allowing the measurement of time–dependent $`CP`$–violating decay rate asymmetries.

At the $`\mathrm{{\rm Y}}(4S)`$ resonance $`B`$ mesons can only be produced as $`B^+B^{}`$ or coherent $`B^0\overline{B}^0`$ pairs. The time evolution of a coherent $`B^0\overline{B}^0`$ pair is coupled in such a way that the $`CP`$ or flavor of one $`B`$ at decay time $`t_1`$ can be described as a function of the other $`B`$ ($`B_{tag}`$) flavor at its decay time $`t_2`$ and the signed time difference $`\mathrm{\Delta }t=t_1t_2`$.

## 3 BABAR

### 3.1 Detector description

The volume within the 1.5T BABAR superconducting solenoid contains a five layer silicon strip vertex detector (SVT), a central drift chamber (DCH), a quartz-bar Cherenkov radiation detector (DIRC) and a CsI(Tl) crystal electromagnetic calorimeter (EMC). Two layers of cylindrical resistive plate counters (RPCs) are located between the barrel calorimeter and the magnet cryostat. The instrumented flux return (IFR) outside the cryostat is composed of 18 layers of radially increasing thickness steel, instrumented with 19 layers of planar RPCs in the barrel and 18 in the endcaps which provide muon and neutral hadron identification.

### 3.2 Particle reconstruction and identification

Charged particle tracking using the SVT and DCH achieves a resolution of $`\left(\delta p_T/p_T\right)^2=(0.0015p_T)^2+(0.005)^2`$, where $`p_T`$ is the transverse momentum in $`\mathrm{GeV}/c`$. The SVT with a typical resolution of 10$`\mu \mathrm{m}`$ per hit provides excellent vertex resolution both in the transverse plane and in $`z`$. The typical fully reconstructed single $`B`$ decay vertex resolution in $`z`$ is 50$`\mu \mathrm{m}`$. Photons are reconstructed in the EMC, yielding mass resolutions of 6.9$`\mathrm{MeV}/c^2`$ for $`\pi ^0`$ $``$ $`\gamma \gamma `$ and 10$`\mathrm{MeV}/c^2`$ for $`K_S^0`$ $``$ $`\pi ^0`$ $`\pi ^0`$.

Leptons and hadrons are identified using a combination of measurements from all the BABAR components, including the energy loss $`\mathrm{d}E/\mathrm{d}x`$ in the helium-based gas of the DCH (40 samples maximum) and in the silicon of the SVT (5 samples maximum). Electron identification is mainly based on the characteristics of their shower in the EMC, while muons are identified in the IFR and confirmed by their minimum ionising signal in the EMC. Excellent kaon identification in the barrel region is provided by the DIRC, which achieves a separation of $`>`$3.4$`\sigma `$ in the range 0.25–3.5$`\mathrm{GeV}/c`$.

## 4 $`B`$ reconstruction

A variety of inclusive, semiexclusive and exclusive reconstruction methods are applied on the BABAR data, covering semileptonic and pure hadronic decay modes. The corresponding $`B`$ samples have different sizes and purity levels and are used for different types of studies (Branching Fraction measurements, studies of the dynamics of certain decay chains). We will focus here on the cases where some information (final state(s), charge, $`CP`$ or flavor content, decay vertex) can be reconstructed for both $`B`$ mesons in the event.

### 4.1 Exclusive $`B`$ sample

$`B^0`$ and $`B^\pm `$ mesons are reconstructed in the following hadronic modes of definite flavor: $`B^0`$ $`D^{()}\pi ^+,D^{()}\rho ^+,D^{()}a_1^+`$, $`J/\psi `$ $`K^0`$, $`B^{}`$ $``$ $`D^0`$ $`\pi ^{}`$ and $`B^{}`$ $``$ $`D^0`$ $`\pi ^{}`$ Throught this paper, conjugate modes are implied.. All final state particles are reconstructed. The selections have been optimised for signal significance, using on–peak, off–peak and simulated data. Charged particle identification, mass(or mass difference) and vertex constraints are used wherever applicable. The signal for each decay mode is identified in the two-dimensional distribution of the kinematical variables $`\mathrm{\Delta }E`$ and $`m_{\mathrm{ES}}`$: $`\mathrm{\Delta }E=E_{\mathrm{rec}}^{}E_b^{}`$ is the difference between the $`B`$ candidate energy and the beam energy and $`m_{\mathrm{ES}}=\sqrt{E_b^2𝒑_{\mathrm{rec}}^2}`$ is the mass of a particle with a reconstructed momentum $`𝒑_{\mathrm{rec}}^{}=_i𝒑_i^{}`$ assumed to have the beam energy, as is the case for a true $`B`$ meson. In events with several $`B`$ candidates only the one with the smallest $`\mathrm{\Delta }E`$ is considered. The $`\mathrm{\Delta }E`$ and $`m_{\mathrm{ES}}`$ variables have minimal correlation. The resolution in $`m_{\mathrm{ES}}`$ is $``$3$`\mathrm{MeV}/c^2`$ and is dominated by the beam energy spread. The resolution in $`\mathrm{\Delta }E`$ is mode dependent and varies in the range of 12–40$`\mathrm{MeV}`$. For each mode a rectangular signal region is defined by the three standard deviation bands in $`m_{\mathrm{ES}}`$ ($`5.27<m_{\mathrm{ES}}<5.29`$$`\mathrm{GeV}/c^2`$) and $`\mathrm{\Delta }E`$ (mode dependent interval). For each mode the sample composition is determined by fitting the $`m_{\mathrm{ES}}`$ distribution for candidates within the signal region in $`\mathrm{\Delta }E`$ to the sum of a single Gaussian representing the signal and a background function introduced by the ARGUS collaboration . The purity of each subsample is computed as the ratio of the area of the Gaussian in the $`\pm 3\sigma `$ range over the total area in this range. Figure 1 shows the $`m_{\mathrm{ES}}`$ distributions for the summed hadronic $`B^0`$ and $`B^\pm `$ modes with the fits superimposed.

### 4.2 Flavor tagging

After removal of the daughter tracks of the reconstructed $`B_{rec}`$ in an event, the remaining tracks are used to determine the flavor of the other $`B`$ meson ($`B_{tag}`$), and this ensemble is assigned a tag flavor, either $`B^0`$ or $`\overline{B}^0`$.

For each of the tagging methods used we define an effective tagging efficiency $`Q_i=\epsilon _i\times \left(12w_i\right)^2`$, where $`\epsilon _i`$ is the fraction of events tagged by this method $`i`$ and $`w_i`$ is the mistag fraction, i.e. the probability of incorrectly assigning the opposite tag to an event using this method. A dilution factor is defined as $`𝒟`$ $`=12w`$ and is extracted from the data for each method.

The Lepton category uses the presence and charge of a primary lepton from the decaying $`b`$ quark. Both electrons and muons are used, with a minimum center-of-mass momentum requirement of 1.1$`\mathrm{GeV}/c`$. If both an electron and a muon candidate satisfy this requirement, only the electron is taken into account. Mistag arises from (a) pions seen as leptons and (b) softer opposite-sign leptons coming from charm semileptonic decays.

The Kaon category is based on the total charge of all identified Kaons. Events with conflicting Lepton and Kaon tags are excluded from both categories.

For events not tagged with the previous methods, a variety of available particle identification and kinematic variables are fed in a Neural Network whose design and training aims at exploiting the information present in this set of correlated quantities. It is sensitive to the presence of primary and cascade leptons, charged kaons and soft pions from $`D^{}`$ decays. In addition, the charge of high-momentum particles is exploited in a “jet-charge” type approach. This functionality has been assigned to different sub–nets, to facilitate understanding of the network performance. The output from the full neural network tagger $`x_{NT}`$ is mapped onto the interval $`[1,1]`$. The assigned flavor tag is $`B^0`$ if $`x_{NT}`$ is negative, and $`\overline{B}^0`$ otherwise. Events with $`\left|x_{NT}\right|>0.5`$ are assigned to the NT1 tagging category and events with $`0.2<\left|x_{NT}\right|<0.5`$ to the NT2 tagging category. Events with $`\left|x_{NT}\right|<0.2`$ have very little tagging power and are rejected.

### 4.3 $`\mathrm{\Delta }t`$ calculation and resolution

Since no stable charged particle emerges from the $`\mathrm{{\rm Y}}(4S)`$ decay point, the production point of the $`B`$ mesons and thus their individual decay times cannot be determined. However the decay time difference $`\mathrm{\Delta }t`$ between the two is sufficient for the description of a coherent $`B`$ meson pair (decay length difference technique).

The event topology is sketched in Fig. 2. In the boost approximation used in BABAR the decay time difference is calculated as : $`\mathrm{\Delta }t=\mathrm{\Delta }z/c<\beta \gamma >`$, where the small flight path of the $`B`$ mesons perpendicular to the z exis is ignored.

Actually, the small effects arising from the tilt of the PEP-II beams with respect to the BABAR z axis (20$`\mathrm{mr}`$), fluctuations in the beam energies, the $`B`$ meson transverse momentum in the $`\mathrm{{\rm Y}}(4S)`$ rest frame, have been studied and are taken into account either in the calculations or in the systematic errors as appropriate.

The resolution $`\sigma _z`$ for the fully reconstructed $`B`$ is found in the simulation to be 45–65$`\mu \mathrm{m}`$, depending on the mode. The resolution $`\sigma _z`$ for the tag side is $``$125$`\mu \mathrm{m}`$, with a small bias of 25$`\mu \mathrm{m}`$ due to forward–going charm decays that cannot be resolved. The resulting resolution in $`\mathrm{\Delta }t`$ has been parametrised as the sum of three gaussians. The core has a $`\sigma `$ of 0.6$`\mathrm{ps}`$ and contains 75% of the events. The tail has a $`\sigma `$ of 1.8$`\mathrm{ps}`$. Outliers are described by a gaussian with fixed $`\sigma `$ of 8$`\mathrm{ps}`$, that contains $``$1% of the total events. This resolution model is used for the lifetime, mixing and $`\mathrm{sin}2\beta `$ fits. Two scale factors (multiplicative to the width of the core and tail gaussians) are included in the fits to the real data for the first two cases, to account for eventual imperfections in the modeling of $`D`$ decays and multiple scattering in the simulation. Extensive studies on the different event samples and with variations of the fits (free and fixed parameters) have been performed in order to optimise and validate the method and to obtain reliable estimates of the systematic errors.

## 5 $`B`$ lifetime measurements

The observed $`\mathrm{\Delta }t`$ distribution for a set of $`B`$ pair events in the presence of the resolution function $``$ is :

$$(\mathrm{\Delta }t)=\mathrm{\Gamma }\mathrm{exp}(\mathrm{\Gamma }|\mathrm{\Delta }t|)(\mathrm{\Delta }t;\widehat{a})$$
(1)
where $`\widehat{a}`$ is the set of parameters describing the resolution function.

The $`B`$ meson lifetimes are extracted with unbinned maximum likelihood fits that take individual event $`\mathrm{\Delta }t`$ errors into account. Our preliminary results are :

$`\tau _{B^0}`$ $`=`$ $`1.506\pm 0.052(\mathrm{stat})\pm 0.029(\mathrm{syst})\mathrm{ps}`$
$`\tau _{B^+}`$ $`=`$ $`1.602\pm 0.049(\mathrm{stat})\pm 0.035(\mathrm{syst})\mathrm{ps}`$
$`\tau _{B^+}/\tau _{B^0}`$ $`=`$ $`1.065\pm 0.044(\mathrm{stat})\pm 0.021(\mathrm{syst})`$
The only background source is combinatorial and it is estimated from the side-bands of the beam energy substituted mass variable. The main systematic error comes from the resolution modeling and parameters. The two proper time fits are shown in Figure 3.

## 6 $`B^0`$ mixing measurements

Mixing allows the two neutral $`B`$ mesons in the $`B^0\overline{B}^0`$ coherent state to decay with the same flavor (mixed events) or the opposite flavor (unmixed events). In a perfect detector one would then observe a time dependent oscillation in the rates of unmixed(+) and mixed(-) events :

$$f_\pm (\mathrm{\Delta }t;\mathrm{\Gamma },\mathrm{\Delta }m_d)=\frac{1}{4}\mathrm{\Gamma }\mathrm{e}^{\mathrm{\Gamma }\left|\mathrm{\Delta }t\right|}\left[\mathrm{\hspace{0.17em}1}\pm \mathrm{cos}\mathrm{\Delta }m_d\mathrm{\Delta }t\right]$$
(2)
where $`\mathrm{\Delta }m_d`$ is the difference between the mass eigenstates $`B_H^0`$ and $`B_L^0`$. Due to imperfect tagging and vertex determination the observed rates become :

$$_\pm (\mathrm{\Delta }t;\mathrm{\Gamma },\mathrm{\Delta }m_d,𝒟,\widehat{a})=\frac{1}{4}\mathrm{\Gamma }\mathrm{e}^{\mathrm{\Gamma }\left|\mathrm{\Delta }t\right|}\left[\mathrm{\hspace{0.17em}1}\pm 𝒟\times \mathrm{cos}\mathrm{\Delta }m_d\mathrm{\Delta }t\right](\mathrm{\Delta }t;\widehat{a})$$
(3)
where $`𝒟`$ is the dilution factor (section 4.2) and $``$ is the $`\mathrm{\Delta }t`$ resolution (section 4.3)

An unbinned maximum likelihood fit that takes into account individual event $`\mathrm{\Delta }t`$ errors and tagging category is performed on events from the exclusively reconstructed $`B^0`$ sample (section 4.1), after tagging (section 4.2) has been performed. The value of $`\mathrm{\Delta }m_d`$ is fitted simultaneously with the individual dilution factors for each tagging category. This information is later used in the $`\mathrm{sin}2\beta `$ extraction. Our preliminary result for $`\mathrm{\Delta }m_d`$ is :

$`\mathrm{\Delta }m_d=0.516\pm 0.031(\mathrm{stat}.)\pm 0.018(\mathrm{syst}.)\mathrm{}\mathrm{ps}^1`$
A sample of events where a semileptonic ($`D^{}\mathrm{}\nu `$) instead of a hadronic $`B^0`$ decay has been reconstructed (7517 events) are analysed using the same method and fit. The preliminary result for $`\mathrm{\Delta }m_d`$ from this sample is :

$`\mathrm{\Delta }m_d=0.508\pm 0.020(\mathrm{stat}.)\pm 0.022(\mathrm{syst}.)\mathrm{}\mathrm{ps}^1`$
Combining the $`\mathrm{\Delta }m_d`$ results from the hadronic and semileptonic $`B`$ samples we obtain the preliminary result :

$`\mathrm{\Delta }m_d=0.512\pm 0.017(\mathrm{stat}.)\pm 0.022(\mathrm{syst}.)\mathrm{}\mathrm{ps}^1`$
The main sources of systematic errors are the $`\mathrm{\Delta }t`$ resolution function, Monte Carlo statistics and the $`B^\pm `$ background in the semileptonic sample.

In an independent analysis a more abundant but less pure sample of dilepton events has been used. In this inclusive approach the mistag arising from cascade leptons and the $`B^\pm `$ fraction are extracted from the same fit as $`\mathrm{\Delta }m_d`$. Our preliminary result for $`\mathrm{\Delta }m_d`$ is :

$`\mathrm{\Delta }m_d=0.507\pm 0.015(\mathrm{stat}.)\pm 0.022(\mathrm{syst}.)\mathrm{}\mathrm{ps}^1`$
The results from the hadronic and dilepton samples are shown in Figure 4.

The tagging performance parameters for each tagging method (category) are extracted from the fully reconstructed sample fits (hadronic and semileptonic) and are shown in Table 1.

## 7 The $`\mathrm{sin}2\beta `$ measurement

If one of the neutral $`B`$ mesons( $`B_{tag}`$) of the coherent $`B^0\overline{B}^0`$ pair decays to a definite flavor eigenstate at time $`t_{tag}`$ and the other $`B`$ decays to a $`CP`$–even eigenstate like $`J/\psi K_S^0`$ or $`\psi (2S)K_S^0`$ at time $`t_{CP}`$, then in a perfect detector the following decay rates would be observed :

$$f_\pm (\mathrm{\Delta }t;\mathrm{\Gamma },\mathrm{\Delta }m_d,\mathrm{sin}2\beta )=\frac{1}{4}\mathrm{\Gamma }\mathrm{e}^{\mathrm{\Gamma }\left|\mathrm{\Delta }t\right|}\left[\mathrm{\hspace{0.17em}1}\pm \mathrm{sin}2\beta \times \mathrm{sin}\mathrm{\Delta }m_d\mathrm{\Delta }t\right]$$
(4)
where $`\mathrm{\Delta }t=t_{CP}t_{tag}`$ and the ($`+`$) or ($``$) sign indicates whether the $`B_{tag}`$ is tagged as a $`B^0`$ or a $`\overline{B}^0`$ respectively. In the presense of the dilution factor $`𝒟`$ and $`\mathrm{\Delta }t`$ resolution $``$ the observed rates become :

$$_\pm (\mathrm{\Delta }t;\mathrm{\Gamma },\mathrm{\Delta }m_d,𝒟\mathrm{sin}2\beta ,\widehat{a})=\frac{1}{4}\mathrm{\Gamma }\mathrm{e}^{\mathrm{\Gamma }\left|\mathrm{\Delta }t\right|}\left[\mathrm{\hspace{0.17em}1}\pm 𝒟\mathrm{sin}2\beta \times \mathrm{sin}\mathrm{\Delta }m_d\mathrm{\Delta }t\right](\mathrm{\Delta }t;\widehat{a})$$
(5)
The time dependent decay rate asymmetry $`𝒜_{CP}(\mathrm{\Delta }t)`$ is a $`CP`$–violating observable which (neglecting resolution effects) is approximately proportional to $`\mathrm{sin}2\beta `$:

$$𝒜_{CP}(\mathrm{\Delta }t)=\frac{_+(\mathrm{\Delta }t)_{}(\mathrm{\Delta }t)}{_+(\mathrm{\Delta }t)+_{}(\mathrm{\Delta }t)}𝒟\mathrm{sin}2\beta \times \mathrm{sin}\mathrm{\Delta }m_d\mathrm{\Delta }t$$
(6)
### 7.1 Analysis procedure

The extraction of $`\mathrm{sin}2\beta `$ from the data follows the following steps :

* Selection of the signal $`B^0/\overline{B}{}_{}{}^{0}J/\psi K_S^0`$ and $`B^0/\overline{B}{}_{}{}^{0}\psi (2S)K_S^0`$ events, detailed in the following section. Backgrounds and in particular any admixture with the “wrong” $`CP`$ content have to be kept at a minimum level.
* Measurement of $`\mathrm{\Delta }t`$. The resolution is studied using simulated events and its parameters are actually extracted from real data, as described in section 4.3.
* Determination of the flavor of the $`B_{tag}`$, as described in section 4.2. The dilution factors $`𝒟_i`$ for each tagging category are measured on real data, as described in section 6.
* Extraction of the amplitude of the $`CP`$ asymmetry and the value of $`\mathrm{sin}2\beta `$ with an unbinned maximum likelihood fit, desribed in the following.

A blind analysis has been adopted for the extraction of $`\mathrm{sin}2\beta `$. A technique that hides the result of the fit by arbitrarily flipping its sign and adding an arbitrary offset, without affecting the error on the fitted parameters or their correlations, was used. Moreover, the visual $`CP`$ asymmetry in the $`\mathrm{\Delta }t`$ distribution is hidden by multiplying $`\mathrm{\Delta }t`$ by the sign of the tag and adding an arbitrary offset. Such an approach allows to optimise and finalise the event selection and fitting strategy as well as perform a variety of validation and stability checks without the posibility of any experimenter’s bias.

### 7.2 Event samples

The $`CP`$ sample contains $`B^0`$ candidates reconstructed in the $`CP`$ eigenstates $`J/\psi K_S^0`$ or $`\psi (2S)K_S^0`$. The charmonium mesons are reconstructed through their decays to $`e^+e^{}`$ and $`\mu ^+\mu ^{}`$, while the $`\psi (2S)`$ is also reconstructed through its decay to $`J/\psi \pi ^+\pi ^{}`$. The $`K_S^0`$ is reconstructed through its decays to $`\pi ^+\pi ^{}`$ and $`\pi ^0\pi ^0`$.

Utilisation of the exclusively reconstructed $`B`$ samples (section 4.1) for the characterisation of the tagging and vertexing performance and quality has already been described. In addition 570 $`B^+J/\psi K^+`$ candidates and 237 $`B^0J/\psi (K^0K^+\pi ^{})`$ candidates have been reconstructed and used extensively in validation analyses.

### 7.3 Selection of events in the $`𝑪𝑷`$ sample

Events are required to have at least four reconstructed charged tracks, a vertex within 0.5$`\mathrm{cm}`$ of the average position of the interaction point in the transverse plane, total visible energy greater than 5$`\mathrm{GeV}`$, and second-order normalized Fox-Wolfram moment ($`R_2=H_2/H_0`$) less than 0.5.

For the $`J/\psi `$ or $`\psi (2S)e^+e^{}`$ ($`\mu ^+\mu ^{}`$) candidates, at least one of the decay products is required to be positively identified as an electron (muon) in the EMC (IFR). Electrons outside the acceptance of the EMC are accepted if their DCH $`\mathrm{d}E/\mathrm{d}x`$ information is consistent with the electron hypothesis. Looser particle identification criteria are applied on the second electron (muon) candidates. In the muon case, a minimum ionising signature in the EMC is required.

$`J/\psi `$ candidates are selected with an invariant mass greater than 2.95(3.06)$`\mathrm{GeV}/c^2`$ for $`e^+e^{}`$ ($`\mu ^+\mu ^{}`$) and smaller than 3.14$`\mathrm{GeV}/c^2`$ in both cases. The $`\psi (2S)`$ candidates in leptonic modes must have a mass within 50$`\mathrm{MeV}/c^2`$ of the $`\psi (2S)`$ mass. The lower bound is relaxed to 250$`\mathrm{MeV}/c^2`$ for the $`e^+e^{}`$ mode. For the $`\psi (2S)J/\psi \pi ^+\pi ^{}`$ mode, mass-constrained $`J/\psi `$ candidates are combined with pairs of oppositely charged tracks considered as pions, and $`\psi (2S)`$ candidates with mass between 3.0$`\mathrm{GeV}/c^2`$ and 4.1$`\mathrm{GeV}/c^2`$ are retained. The mass difference between the $`\psi (2S)`$ candidate and the $`J/\psi `$ candidate is required to be within 15$`\mathrm{MeV}/c^2`$ of the known mass difference.

$`K_S^0`$ candidates reconstructed in the $`\pi ^+\pi ^{}`$ mode are required to have an invariant mass, computed at the vertex of the two tracks, between 486$`\mathrm{MeV}/c^2`$ and 510$`\mathrm{MeV}/c^2`$ for the $`J/\psi K_S^0`$ selection, and between 491$`\mathrm{MeV}/c^2`$ and 505$`\mathrm{MeV}/c^2`$ for the $`\psi (2S)K_S^0`$ selection.

For the $`J/\psi K_S^0`$ mode we also consider the decay of the $`K_S^0`$ into $`\pi ^0\pi ^0`$. For pairs of $`\pi ^0`$ candidates with total energy above 800$`\mathrm{MeV}`$ we determine the most probable $`K_S^0`$ decay point along the path defined by the $`K_S^0`$ momentum vector and the primary vertex of the event. The decay-point probability is the product of the $`\chi ^2`$ probabilities for each photon pair constrained to the $`\pi ^0`$ mass. We require the distance from the decay point to the primary vertex to be between $`10`$ cm and $`+40`$ cm and the $`K_S^0`$ mass measured at this point to be between 470 and 536$`\mathrm{MeV}/c^2`$.

$`B_{CP}`$ candidates are formed by combining mass-constrained $`J/\psi `$ or $`\psi (2S)`$ candidates with mass-constrained $`K_S^0`$ candidates. Cuts on the colinearity of flight vertex and momentum of the $`K_S^0`$ (for $`\pi ^+\pi ^{}`$ decays), the cosine of the helicity angle of the $`J/\psi `$ or $`\psi (2S)`$ in the $`B`$ candidate rest frame ($`e^+e^{}`$ and $`\mu ^+\mu ^{}`$ modes) or the cosine of the angle between the $`B_{CP}`$ candidate three-momentum vector and the thrust vector of the rest of the event ($`\psi (2S)J/\psi \pi ^+\pi ^{}`$ mode) are applied to achieve the required signal purity.

$`B_{CP}`$ candidates are identified in the $`m_{\mathrm{ES}}`$$`\mathrm{\Delta }E`$ plane (see section 4.1). Signal event yields and purities, determined from a fit to the $`m_{\mathrm{ES}}`$ distributions after selection on $`\mathrm{\Delta }E`$, are presented in Table 2. The $`CP`$ candidate events are 168 with a purity of 95.6%. In 120 of these events there is information on the flavor of the other $`B`$. These events are used in the final fit for $`\mathrm{sin}2\beta `$.

Distributions of $`\mathrm{\Delta }E`$ and $`m_{\mathrm{ES}}`$ are shown in Figures 6 and 6.

### 7.4 Extracting $`\mathrm{sin}2\beta `$

The $`\mathrm{\Delta }t`$ of the 120 selected and tagged events is fitted to the expected time evolution (equation 5) with an unbinned maximum likelihood fit. Individual event errors on $`\mathrm{\Delta }t`$ are taken into account. The resolution determined on the fully reconstructed sample and the mistag factor $`w`$ <sub>i</sub> corresponding to the tagging category for each event are used in the fit. The $`\mathrm{\Delta }m_d`$ are fixed to the nominal PDG  values of $`\tau _{B^0}=1.548\mathrm{ps}`$ and $`\mathrm{\Delta }m_d=0.472\mathrm{}\mathrm{ps}^1`$ respectively. The resulting errors on $`\mathrm{sin}2\beta `$ due to these uncertainties are 0.002 and 0.015.

### 7.5 Fit validation, systematics studies and null $`CP`$ tests

Knowledge of the mistag fractions, description of the $`\mathrm{\Delta }t`$ resolution and backgrounds are (in that order) the main sources of systematic errors. All these have been extracted from real data. Real data, fully simulated Monte Carlo, and “Toy” Monte Carlo samples have been used to validate the method and implementation of the fit, to rule out possible biases from the method itself, and to assess the size of systematic errors.

The full CP analysis and fit were performed on data samples that have no $`CP`$ asymmetry. No significant apparent $`CP`$ effect was measured, as shown in Table 3. The 1.9 $`\sigma `$ asymmetry in the $`J/\psi K^0`$ channel is interpreted as a statistical fluctuation.

### 7.6 Results

The maximum-likelihood fit for $`\mathrm{sin}2\beta `$ on the full tagged sample of $`B^0/\overline{B}{}_{}{}^{0}J/\psi K_S^0`$ and $`B^0/\overline{B}{}_{}{}^{0}\psi (2S)K_S^0`$ events yields the preliminary result :

$$\mathrm{sin}2\beta =0.12\pm 0.37(\mathrm{stat})\pm 0.09(\mathrm{syst})$$
(7)
The results of the fit for each type of $`CP`$ sample and for each tagging category are given in Table 4. The contributions to the systematic uncertainty are summarized in Table 5. The $`\mathrm{\Delta }t`$ distributions for $`B^0`$ and $`\overline{B}^0`$ tags are shown in Fig. 8 and the raw asymmetry as a function of $`\mathrm{\Delta }t`$ is shown in Fig. 8. The probability of obtaining a value of the statistical error larger than the one we observe is estimated at 5%. Based on a large number of full Monte Carlo simulated experiments with the same number of events as our data sample, we estimate that the probability of finding a lower value of the likelihood than our observed value is 20%.

## 8 Conclusions and prospects

The first BABAR measurement of the $`CP`$-violating asymmetry parameter $`\mathrm{sin}2\beta `$ has been presented :

$$\mathrm{sin}2\beta =0.12\pm 0.37(\mathrm{stat})\pm 0.09(\mathrm{syst})(preliminary)$$
(8)
BABAR aims at collecting more than 20$`\text{ fb}^1`$ of data by the end of Run 1 in fall 2000. A measurement of $`\mathrm{sin}2\beta `$ with a precision better than 0.2 is expected early in 2001.

Very competitive preliminary results have also been presented for the $`B`$ meson lifetimes, as well as the first measurements of $`B^0\overline{B}^0`$ mixing at the $`\mathrm{{\rm Y}}(4S)`$. These measurements will also benefit in the near future from the expected significant increase in statistics.


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# Infrared constraints on the dark mass concentration observed in the cluster Abell 1942

## 1 Introduction

Gravitational lensing offers the most practical route to tracing the spatial distribution of dark matter and its relationship to that of the radiating baryonic component. Most progress has been made in rich galaxy clusters through both detailed studies of strongly-lensed features of known spectroscopic redshift (e.g. Kneib et al. 1996) and weak lensing analyses, where elaborate tools have been developed to convert the measured coherent alignment of faint background galaxies into the projected cluster mass density field (Kaiser & Schneider 1993, Schneider 1996). The resulting lensing mass distributions appear to agree reasonably well with those inferred from the optical light over a range of scales (Smail et al 1995, Bonnet et al. 1994). Although discrepancies have been reported in the concentration of the inferred dark matter relative to that of the baryonic component (Miralda-Escudé & Babul 1995), the uncertainties remain significant and there is not yet a compelling case for distinct distributions of dark and visible matter (Smail et al. 1996, Allen 1998).

Deep imaging surveys are now beginning to explore the spectrum of mass concentrations outside rich clusters (Wittmann et al. 2000, van Waerbeke et al. 2000, Bacon et al. 2000, Kaiser et al. 2000). These so-called ‘cosmic shear’ field surveys are primarily concerned with a statistical description of the weak lensing signal as a function of angular scale. They could also provide further constraints on the presence or otherwise of concentrations with high mass-to-light ratios. Although the detection of dark halos without significant baryonic material would represent a considerable challenge to standard theories for the origin of structure, it is important to examine the observational constraints.

In an important paper, Erben et al. (2000) report the first detection of a dark matter halo not obviously associated with any light. Using two wide field optical images of the rich cluster Abell 1942 ($`z`$=0.224), they find a highly significant secondary peak in the reconstructed mass distribution located about 7 arcmin south of the cluster centre (in addition to also finding a strong signal corresponding to the cluster itself). An archival ROSAT/HRI image shows a 3.2$`\sigma `$ source close (but not precisely co-located) with this secondary mass peak. A marginal overdensity of galaxies in their $`I`$-band image is claimed by Erben et al. The authors are unable to associate the lensing signal with the X-ray source on the assumption that both represent a distant projected cluster and conclude that the mass concentration identified via their lensing study is either a distant cluster unrelated to the X-ray source, or tantalisingly, a dark halo of $``$3$`\times `$1014 $`M_{}`$ located within the cluster.

The burden of proof for the existence of such a dark clump within Abell 1942 is high. As Erben et al. discuss, the mass-to-light ratio inferred depends sensitively on its (unknown) redshift. Quite reasonable mass-to-light ratios are implied if the clump is placed at high redshift but the inferred mass then also increases. The most conservative explanation would place the clump at $`z`$0.8 with $`M/L>`$450 (for an Einstein-de Sitter cosmology). Deeper imaging at infrared wavelengths represents one obvious way to eliminate or confirm this explanation.

In this paper we follow up the optical study of Erben et al. (2000) with a deep $`H`$-band (1.6 $`\mu `$m) image analysis. As the infrared $`k`$-correction is considerably smaller and more uniform across the Hubble sequence of galaxy types than is the case at optical wavelengths, deep infrared imaging is a powerful tool for exploring the existence or otherwise of all galaxy populations at high redshifts. Our goal is to extend the analysis of Erben et al. and to attempt to locate the origin of this puzzling lensing signal.

Our paper is structured as follows. In $`\mathrm{\S }`$2 we discuss the unique advantages of using an infrared imager to constrain the properties of the proposed dark clump by demonstrating that, at achievable limiting $`H`$ magnitudes, we can reasonably expect to see most conventional clusters to the mean redshift of the background population used by Erben et al. (2000). In $`\mathrm{\S }`$3 we describe our deep $`H`$-band observations of Abell 1942 and discuss their reduction and suitability in terms of our achieved limiting magnitude. $`\mathrm{\S }`$4 presents our analysis of the likely $`H`$-band light associated with both the dark matter clump and the nearby X-ray source. No convincing excess is seen in either case and we convert the observed flux limits into new constraints on the mass-to-light ratio of the putative clump. We present our conclusions in $`\mathrm{\S }`$5.

## 2 Strategic Issues

Erben et al. (2000) imaged Abell 1942 in both the $`V`$ and $`I`$ photometric bands using different imaging cameras on the 3.5m Canada-France-Hawaii Telescope. The dark clump was inferred from the weak shear signals observed in both datasets. Although their 4.5 hour $`V`$-band image provides the most significant detection of the dark clump, because of the strong $`k`$-correction for early type galaxies beyond $`z`$0.5, the 3 hour $`I`$-band image provides the most interesting constraints on the presence of a distant lensing cluster.

Erben et al. claim the mean redshift of the background population at their limit of $`I`$24.5 is $``$0.7-0.8 (although no spectroscopic data yet exists to such a faint limit and a higher mean redshift cannot be ruled out). A key strategic question for this paper is, therefore, the depth necessary at near-infrared wavelengths (specifically in the $`H`$-band in which our observations are conducted), to better detect background clusters up to the redshift limit appropriate for the $`I`$-band image, say $`z`$1.

Using the $`IH`$ colour $`k`$-correction, $`k_{IH}(z)`$, for spheroidal galaxies taken from the analysis of Menanteau et al. (1999), a cluster elliptical with $`I`$=24.5 at the mean redshift of the background population would be expected to have $`H`$=21.7. However, there is a further advantage of conducting cluster searches in the infrared in that the contrast of cluster members at faint limits against the field population is much greater than in the optical because of the smaller optical $`k`$-correction for the bulk of the intervening field population.

We can define the observed contrast of a cluster $`\sigma _c=N_{\mathrm{cl}}/\sigma _f`$ (following Couch et al. 1991), where $`N_{\mathrm{cl}}`$ is the field-subtracted number of cluster galaxies brighter than the limiting magnitude of the survey within some physical aperture, and $`\sigma _f`$ is the rms of the background field counts on the scale of that aperture. We will investigate the effects of the $`k`$-correction in the $`I`$\- and $`H`$-bands on the visibility of a rich cluster with redshift, using previously presented data for Abell 2219 (Gray et al. 2000).

Abell 2219 is a richness class III cluster at $`z=0.22`$, a similar richness and redshift to Abell 1942. We determine $`N_{\mathrm{cl}}`$ by counting galaxies within an aperture of radius 60 arcsec (corresponding to a physical radius of $`125h^1`$ kpc at this redshift) using the colour selection of Gray et al. (2000). By comparing this number with that found with the same aperture and colour selection applied to offset fields we determine that roughly 20% of these are field galaxies, and correct $`N_{\mathrm{cl}}`$ by this factor. Using $`k`$-corrections of Menanteau et al. (1999) we may determine what $`H`$\- and $`I`$-band magnitudes these cluster galaxies would have if the cluster were shifted to higher redshift, and what fraction of those galaxies would then be brighter than the limiting magnitudes of $`H=22`$ and $`I=24.5`$. At each redshift we measure $`\sigma _f`$ of the field counts in an aperture corresponding to the angular size of the physical aperture at that redshift, and calculate the contrast, $`\sigma _c`$.

Fig. 1 shows the results of this calculation. Abell 2219 itself at $`z=0.22`$ yields a $`4\sigma `$ detection in the $`I`$-band and a $`5\sigma `$ detection in the $`H`$-band. To the $`3\sigma `$ level we would be able to see such a cluster to $`z=0.9`$ in $`I`$ and $`z=1.4`$ in $`H`$. This demonstrates the advantage of searching for clusters in the infrared: for a given cluster, the contrast is greater and remains greater to much higher redshift due to the advantageous effects of the $`k`$-correction and reduced numbers of field galaxies. If the unexplained mass detection of Erben et al. (2000) were the result of a high-redshift cluster similar to Abell 1942 or Abell 2219, then for a limiting magnitude $`H=22`$ we would expect to be able to make a $`\sigma >4`$ detection in the $`H`$-band to the redshift limit they present for such a cluster.

For such a magnitude limit we may also determine how poor a cluster we could detect. For a cluster at $`z=1`$ Fig. 1 shows that a richness class III cluster has $`\sigma _c5`$. We would therefore detect a cluster at that redshift with 3/5 as many galaxies at the $`3\sigma `$ level. Using the relations between numbers, richness, and mass of van Kampen & Katgert (1997) this means that to $`H=22`$ we would be able to detect a cluster with roughly 80% the mass of Abell 2219, or a richness class II cluster.

## 3 Observations

Infrared imaging data for the rich cluster Abell 1942 ($`z=0.224`$) were taken over four nights in February and March 2000 using the Cambridge Infrared Survey Instrument (CIRSI, Beckett et al. 1998) on the 2.5m du Pont telescope at Las Campanas, Chile. CIRSI is a wide-field infrared imager composed of four 1K $`\times `$ 1K Rockwell Hawaii HgCdTe detectors, with a gap of approximately one detector width between each array. On the Dupont telescope the pixel scale is 0.2 arcsec/pixel, corresponding to a field of view of $`3.4\times 3.4`$ arcmin for each detector.

The instrument pointing was arranged so that one chip imaged the core of Abell 1942, one chip imaged the dark lump region as indicated by the mass maps of Erben et al. (2000), and the remaining two chips covered adjacent blank sky regions. This configuration ensured that the infrared data would overlap the existing CFHT UH8K $`I`$-band image (which has a similar pixel size of 0.24 arcsec/pixel) whilst providing essential background field count data.

The deep CIRSI $`H`$-band observations were made using 45 second exposures with a nine-point dither pattern. Typically three or four exposures were taken at each dither position, followed by an offset of 9 or 15 arcsec. Table 1 summarizes the observations.

The CIRSI data were reduced using the pipeline developed by one of us (JRL) for the Las Campanas Infrared Survey (Marzke et al. 1999, Firth 2000). Flat field frames were created from dome flats and bad pixel masks constructed from the data. The images at each dither position were coadded and flat fielded, followed by a first-pass sky subtraction. Object masks were constructed for the sky-subtracted images and these masks were used to perform a second-pass running sky subtraction on the original images. A reset anomaly present in the data was corrected by median filtering the rows and columns of each quadrant of each image. The offsets between images due to the dithering pattern were calculated, and a tangent plane world coordinate system (WCS) was fitted. A final weighted image was constructed for each chip using the WCS for each exposure. The regions of low S/N where the overlap was not complete were discarded, and the resulting images measured $`3.4\times 3.4`$ arcmin per chip. The median seeing for the final coadded images was 0.7$`\mathrm{}`$.

Standard stars were chosen from the near-infrared catalogue of Persson et al. 1998. Dither sequences were calibrated using the standard star observations from the relevant night. A set of secondary standards within the sub-images were then measured and used to calculate the zeropoint of the final weighted image. Fig. 2 shows two of the four resulting chip images: the cluster core and the ‘dark lump’ region.

Object catalogues were created for each chip image using SExtractor 2.0 (Bertin & Arnouts 1996) with a detection threshold of 1.5$`\sigma `$ above the noise level and requiring an object to have at least 6 connected pixels. Isophotal magnitudes were measured separately for the CIRSI $`H`$-band and the UH8K $`I`$-band image (described in Erben et al. 2000). SExtractor was then run in double image mode to measure an $`IH`$ colour using the $`I`$-band isophot (when registered to the $`H`$-band image). Additional catalogues were created encompassing those objects seen in only one of the bands.

The turnover in the number counts reveals magnitude limits of $`H=22.5`$ and $`I=24.5`$ (the latter in agreement with the results quoted by Erben et al. ) for the two images. To further test the magnitude limits of the $`H`$-band data we performed completeness tests. Using the artdata package in IRAF we added galaxies of known magnitude to the data and recovered them using SExtractor as above. The simulations were performed ten times, with 50 galaxies being added in random locations each time. Fig. 3 shows that a 50% completeness level is achieved at a limiting magnitude of $`H=22`$.

## 4 Analysis

### 4.1 Search for a high-redshift cluster

We begin our analysis of the dark clump region by adopting the hypothesis that the mass concentration arises from a background cluster whose contrast was not sufficiently large in the optical images available to Erben et al. (c.f. Fig. 1). We will first examine this possibility in terms of the $`IH`$ colours of sources in the region of the dark lump, later examining the possibility of a cluster recognisable via images found only via their detection in the CIRSI image.

#### 4.1.1 Colour-based search

The key ingredients necessary for recognising a distant cluster are a faint limiting magnitude and contrast against the background field. Conceivably, a distant cluster can be rendered visible within Erben et al.’s $`I`$-band image by combining with our $`H`$-band image and searching for the signature of an appropriately red colour-magnitude relation of its early-type galaxies so that its contrast is increased. Early-type galaxies in clusters have been shown to obey a linear relation on the colour-magnitude diagram with extremely small scatter (Bower, Lucey & Ellis 1992a,b). This relation has been exploited to detect and confirm clusters via their red sequence (Gladders & Yee 2000, da Costa et al. 1999).

Fig. 4 shows the colour-magnitude diagrams for the four chips based on the matched $`I,H`$ catalogues. In the case of chip 1 containing the Abell 1942 cluster core, the sequence of $`z`$=0.22 early-type galaxies is clearly visible. However no sequence with redder colours can be detected in the chip 2 containing the dark matter lump (or, in fact, in any other chip). We quantified this result by searching for an excess contrast in chip 2 c.f. the mean of that found in the other chips according to colour slices selected with an appropriate colour-magnitude slope.

The $`IH`$ cluster sequence bounded by the parallel lines in Fig. 4 is described by the relation

$$|(IH)(3.350.0836H)<0.2|,$$

which agrees well with the colour-magnitude relation measured in Abell 2219 using the same filters (Gray et al. 2000). We use this gradient, $`m=0.0836`$, to divide the colour-magnitude diagram for each of the four CIRSI chips into colour bins. We choose a width of 0.2 mag for the colour slices, and overlap successive bins to allow for any potential cluster galaxies that may span more than one bin. Comparing the excess numbers in each bin with the $`\sqrt{N}`$ errors derived from the average for that bin for chips 2,3, and 4 (those chips not containing the core of Abell 1942) we calculate a contrast, $`\sigma _{\mathrm{col}}`$, for each colour slice and each chip. These results are summarized in Table 2.

Abell 1942 is detected in the $`IH=1.812`$ and neighbouring bins for chip 1 with a peak significance of $`\sigma _{\mathrm{col}}=13.13`$. However, the remaining three chips (in particular chip 2, containing the putative dark lump) show no colour slices for which $`\sigma _{\mathrm{col}}>3`$. We do, however, see a $`\sigma _{\mathrm{col}}=3.46`$ detection for the $`IH=2.312`$ bin in chip 1. This marginal detection corresponds to the sequence visible with colours $`0.4`$ mag redder than the Abell 1942 sequence in Fig. 4. These colours are consistent with those of early-type galaxies at $`z=0.5`$. However, when the positions of the 25 galaxies in this bin are plotted on the sky, they show no obvious clustering and are spread nearly evenly across the four quadrants of chip 1. They are therefore not likely to be in physical association. Similarly, a slight overdensity is seen in the $`IH=1.112`$ and $`1.212`$ bins in chip 2 but these galaxies show no angular clustering and are not co-located with the dark lump region.

Erben et al. reported a slight overdensity of galaxies in their $`I`$-band image approximately 60 arcsec from the location of the mass peak and close to the X-ray source. We also detect this marginal concentration in the matched $`I`$\- and $`H`$-band catalogues (Figure 5). However, when we examine the location of those galaxies in this excess region on the colour-magnitude relation, no obvious trend is found. Even allowing for field contamination, at most 2-3 galaxies have $`IH`$ colours appropriate for a high redshift cluster and the colour variation from galaxy to galaxy is considerable.

#### 4.1.2 Population of H-only objects?

Next, we turn our attention to the faintest $`H`$-band objects in the CIRSI image including those sufficiently faint that Erben et al. did not detect them in their $`I`$-band image. As we showed in $`\mathrm{\S }`$2, the reduced $`k`$-correction in the $`H`$-band makes it possible that a distant cluster could be seen in the CIRSI image but not in the $`I`$-band data (c.f. Figure 1).

In this case we utilised a SExtractor catalogue based only on the $`H`$-band image, foregoing the formal magnitude limit on the assumption that the magnitude-dependent selection function is positionally invariant across the detectors (Gray et al. 2000). Figure 6 shows the location of all the sources that consist of at least 5 connected pixels whose surface brightness lies 1$`\sigma `$ above the mean background. Again, the number of sources within an aperture centred on the location of the dark lump deviates by less that $`1\sigma `$ from the mean value determined for 10 randomly-placed apertures on the same chip. This statement is true both for sources to $`H=22`$ and to the catalogue limit, and for apertures of 18 and 36 arcsec radii (corresponding to the $`1\sigma `$ and $`2\sigma `$ dispersion for the centroid of the Erben et al. mass peak). As shown previously in $`\mathrm{\S }2`$, we expect a significantly stronger signal in the case of even a richness class II cluster at $`z1`$.

In conclusion, neither the colour-based nor the $`H`$-band search has turned up a convincing case for any physical association of background sources in the region of the mass peak. Most importantly, the colours of sources in this region show a wide variation and, to a faint $`H`$-limit, no excess is visible.

### 4.2 A Dark Mass Concentration

Having discounted the possibility of a conventional background cluster of galaxies, we next attempt to place limits on the $`H`$-band luminosity associated with the mass peak and hence the mass-to-light ratio of the structure which will depends on its (unknown) redshift.

We first consider the area around the X-ray source located at $`\alpha =14^\mathrm{h}38^\mathrm{m}22.8^\mathrm{s}`$, $`\delta =3^{}33\mathrm{}11\mathrm{}`$. No obvious infrared source is found at this location. We sum the flux of all the non-stellar objects within a radius of 20 arcsec that are contained in the $`H`$-band photometric catalogue described in Section 3 to $`H=22`$. Comparing to the flux contained in 26 control apertures distributed on the three non-cluster chips we find the flux in the aperture containing the X-ray source is only 1.4$`\sigma `$ above the mean.

Similarly, we examine the $`H`$-band flux of objects within 50 arcsec of the location of the mass concentration. Again, there is no significant excess of $`H`$-band flux compared to that within control apertures.

Finally, we consider the constraints placed on the mass-to-light ratio of the mass concentration. The measured $`H`$-band flux within the 50″aperture is not significantly in excess of that found in a sample of control apertures placed randomly on chips 2,3, and 4 (avoiding Abell 1942 on chip 1). We use the $`1\sigma `$ fluctuations in the $`H`$-band flux in the control apertures to place an upper limit on the excess luminosity, which will be dependent on the cosmology and the unknown redshift of the dark clump. The total apparent flux is transformed into a total $`H`$-band luminosity, using the Menanteau et al. $`k`$-corrections for early-type galaxies. This measurement of $`L_H`$ is then transformed into the bolometric luminosity $`L_{bol}`$ using bolometric corrections for an old stellar population from the same models. This curve, which varies with the unknown redshift of the clump, is shown in Fig. 7 and allows comparison with the curves derived in a similar fashion from the $`I`$-band data. As these are upper limits on the luminosity of the clump, the $`H`$-band data provides tighter constraints on the luminosity at high redshift.

The weak lensing measurements of Erben et al. provide an estimate of the lensing mass within the aperture, assuming a redshift distribution $`z^2\mathrm{exp}((z/z_0)^{1.5})`$ for the source galaxies, with $`z_s=0.8`$ and $`z_s=1.0`$ (where $`z_s1.5z_0`$). Combining these lensing mass estimates with the upper limits on the bolometric luminosity due to the cluster galaxies, we obtain the lower limits on the $`M/L_{Bol}`$ shown in the bottom panel of Fig. 7.

## 5 Discussion

From our infrared study we have discounted the possibility that the mass concentration detected by Erben et al. is the result of a hitherto undetected massive high redshift cluster of galaxies. The resulting velocity dispersion, $`\sigma _v`$, implied by the measured tangential shear is in excess of 2000 km s-1 for a singular isothermal sphere model with $`z_{\mathrm{lens}}=1.0`$. This is considerably higher than any currently measured rich cluster, and we have shown in Fig. 1 that we would expect to make a significant detection of such a cluster to the magnitude limit of our infrared study. Both searches for an excess in the $`IH`$ colour-magnitude diagram and a spatial overdensity of sources in the deep infrared data reveal no such features. Furthermore, a massive cluster at higher redshift (beyond the magnitude limit of our study) is ruled out by the lensing constraint provided by the finite redshift of the background sources (for which a reasonable limit is $`z_s=1.0`$): the lensing object cannot be more distant than the sources being lensed.

The lower limits on the mass-to-light ratio inferred in $`\mathrm{\S }`$4.2 confirm the darkness of the mass concentration, and the infrared data are shown to provide stronger constraints on these limits at high redshift. Changing the redshift distribution of the sources used in the lensing reconstruction from $`z_s=0.8`$ to $`z_s=1.0`$ serves to lower the lensing mass and hence the resulting $`M/L`$, but only slightly. Removing the discrepancy would require the sources used in the lensing mass reconstruction to be placed at significantly higher redshift. We find $`M/L_{Bol}>500`$ for $`0.2<z_{lens}<1`$ derived from the $`H`$-band measurements (slightly lower in a $`\mathrm{\Lambda }`$-cosmology).

Mass-to-light ratios for clusters presented in the literature tend to be calculated in blue or visible light, which makes direct comparisons difficult (although if bolometric corrections similar to those applied in the calculations above are followed, transforming $`L_V`$ to $`L_{\mathrm{Bol}}`$ will lower the resulting $`M/L_{Bol}`$). Hradecky et al. (2000) present $`M/L_V`$ for a sample of eight low-redshift relaxed clusters with masses derived from the X-ray properties. They find a median $`M/L_V100h_{50}`$ in solar units. Other studies using weak lensing techniques have found moderately higher cluster mass-to-light ratios, e.g. $`M/L_V=270h`$ for MS1137 ($`z=0.783`$) and $`M/L_V=190h`$ for RXJ1716 ($`z=0.813`$) (Clowe et al. 1998), $`M/L_V=300\pm 100h`$ for Abell 2163 (Squires et al. 1997), ranging as high as $`M/L_R=640\pm 150`$ for the exceptionally dark cluster MS 1224 at $`z=0.3`$ (Fischer et al. 1999, Fahlman et al. 1994). Clearly, the lower limits we find for the mass concentration place it firmly at the ‘dark’ end of the $`M/L`$ ratio scale for conventional clusters.

The reality of the lensing signal, which has been verified by Erben et al. in two separate datasets using two different cameras, is not in question. The absence of any overdensity of infrared sources or light makes the mass concentration increasingly enigmatic. Having ruled out a high-redshift cluster we are left to consider the possibility of a new type of object comprising a truly dark halo with an extremely high mass-to-light ratio.

Alternative explanations would involve chance alignments of the background galaxies at the location of the lensing signal (shown by Erben et al. to have a probability $`<10^410^6`$) or would require placing the source galaxies at much higher redshift than previously expected. A more complex lens configuration involving projection effects along the line of sight (Metzler, White, & Loken 2000) could also be invoked. Finally, recent studies regarding the intrinsic correlations of galaxy shapes (e.g. Heavens, Refregier, & Heymans 2000) and the resulting implications for weak lensing studies must also be considered, as such intrinsic alignments could greatly increase the probability of uncovering a false mass peak.

Further studies to obtain photometric redshifts of the background sources, space-based high resolution data for improved lensing reconstructions, and deeper X-ray or SZ studies of the region are the next observational steps required to resolve the nature of this puzzling object.

## Acknowledgments

We thank Thomas Erben and Yannick Mellier for providing the UH8K $`I`$-band image of Abell 1942, and Alexandre Refregier for numerous helpful discussions. The Cambridge Infrared Survey Instrument is available thanks to the generous support of Raymond and Beverly Sackler. MEG acknowledges support from the Canadian Cambridge Trust and the Natural Sciences and Engineering Research Council of Canada.


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# REFERENCES

Electrically Enhanced Free Dendrite Growth in Polar and Non-polar Systems

Kenneth G. Libbrecht***Address correspondence to $`kgl\mathrm{@}caltech.edu;`$ URL: http://www.its.caltech.edu/~atomic/, Timothy Crosby, and Molly Swanson

Norman Bridge Laboratory of Physics, California Institute of Technology 264-33,

Pasadena, CA 91125

\[submitted to the Physical Review Letters, December 19, 2000\]

PACS numbers: 68.70.+w, 81.30.Fb

Abstract. We describe the electrically enhanced growth of needle crystals from the vapor phase, for which there exists a morphological instability above a threshold applied potential. Our improved theoretical treatment of this phenomenon shows that the instability is present in both polar and non-polar systems, and we provide an extension of solvability theory to include electrical effects. We present extensive experimental data for ice needle growth above the electrical threshold, where at $`T=5`$ C high-velocity shape-preserving growth is observed. These data indicate that the needle tip assumes an effective radius $`R^{}`$ which is nearly independent of both supersaturation and the applied potential. The small scale of $`R^{}`$ and its response to chemical additives suggest that the needle growth rate is being limited primarily by structural instabilities, possibly related to surface melting. We also demonstrate experimentally that non-polar systems exhibit this same electrically induced morphological instability.

Note: if you have trouble reading this document, a robust .pdf version may be downloaded from http://www.its.caltech.edu/~atomic/publist/kglpub.htm

The formation of stable spatial patterns is a fundamental problem in the study of nonlinear nonequilibrium systems , and controlling pattern formation has generated considerable recent interest in light of a host of possible technological applications. A now-standard example of a condensed-matter pattern-forming system is the diffusion-limited growth of free crystalline dendrites, which are nearly ubiquitous products of rapid solidification, from either liquid or vapor precursors. While the diffusion equation alone is sufficient to define a relationship between the dendrite tip velocity and tip radius, typically surface tension (which changes the surface boundary conditions via the Gibbs-Thomson mechanism) must be included in order to select a unique needle-like solution. Microscopic solvability theory has succeeded in furnishing a mathematically consistent and dynamically stable solution to this problem for simple 2D and 3D dendrite growth (ignoring, for example, surface kinetic and surface transport effects) . Instabilities and noise amplification leading to sidebranch generation have also been well studied.

In this Letter we examine shape-preserving needle growth from the vapor phase in the presence of an applied electrical potential. We previously described how high electric fields and field gradients near the needle tip can enhanced its growth, and subsequently drive in a new kind of growth instability for this system . The growth behavior for small applied potentials is quite well described by an extension of solvability theory which we describe below. Above a threshold potential, however, the needle growth cannot be stabilized by the Gibbs-Thomson mechanism, and so the phenomenon lies outside the realm of solvability theory. We performed a series of experiments to examine needle growth in this new electric regime, where we can still observe shape-preserving growth, but with much increased tip velocities.. From these measurements we are able to infer the physical mechanisms responsible for controlling the enhanced needle growth rates.

We consider the case of diffusion-limited growth of a free crystalline dendrite, which is well known to exhibit a constant-velocity, needle-like solution with a parabolic tip geometry . We will assume growth from the vapor phase, with low solute concentration in a non-polar solvent gas. When an electrical potential is applied to the growing crystal, the normal diffusion equation is replaced by the Smoluchowski equation

$$\frac{c}{t}=D\stackrel{}{}(\stackrel{}{}c+c\stackrel{}{}\mathrm{\Phi })$$
(1)
where $`c`$ is the solute concentration, $`D`$ is the diffusion constant, and the external force felt by the solute molecules is described as the gradient of the potential

$$\mathrm{\Phi }=\frac{\alpha }{kT}\left(\stackrel{}{E}\stackrel{}{E}\right)$$
(2)
where $`\alpha `$ is the molecular polarizability, and the electric field is the gradient of the electrical potential $`\stackrel{}{E}=\stackrel{}{}\phi `$ . Ignoring interface kinetics, the continuity equation at the interface yields the normal component of the surface growth rate $`v_n=(\widehat{n}\stackrel{}{v}_{surf})`$ as

$$v_n=\frac{D}{c_{solid}}\widehat{n}(\stackrel{}{}c+c\stackrel{}{}\mathrm{\Phi })|_{surf}$$
(3)
where $`c_{solid}`$ is the solid number density and the right-hand side is evaluated at the solidification front . For our experiments the diffusion length $`\mathrm{}_D2D/v_n`$ is very large compared to other length scales in the problem, so we can assume the slow-growth limit where $`c/t`$ can be taken equal to zero.

The boundary conditions in this problem are defined by the equilibrium vapor pressure above the crystal surface, which depends on the applied electrical potential, along with the vapor pressure at infinity, $`c_{\mathrm{}}`$. For a spherical crystal with radius $`R`$ a perturbation calculation yields the vapor pressure

$$c(R)c_{sat}\left(1+\frac{d_0}{R}\frac{R_{es}^2}{R^2}+\frac{R_{pol}^2}{R^2}\right)$$
(4)
where $`c_{sat}`$ is the equilibrium vapor pressure above a flat interface, $`d_0=2\beta /c_{solid}kT,`$ $`\beta `$ is the surface tension, $`R_{es}^2=\epsilon _0\phi _0^2/2c_{solid}kT,`$ $`R_{pol}^2=\alpha \phi _0^2/kT,`$ and $`\phi _0`$ is the applied potential . The second term in the above expression is the usual Gibbs-Thomson effect , the third term arises from the electrostatic energy of a charged sphere, and the last term is present for polar molecules, since we are assuming zero field inside the crystal.

With these modifications to the diffusion equation and surface boundary conditions, we then obtain a modification of the Ivantsov equation relating the tip velocity, $`v,`$ and tip radius, $`R,`$ of a parabolic needle crystal

$$v\frac{2D}{R\mathrm{log}(\eta _{\mathrm{}}/R)}\frac{c_{sat}}{c_{solid}}\left[\mathrm{\Delta }_1\frac{d_0}{R}+C\frac{R_{elec}^2}{R^2}\right]$$
(5)
with

$$R_{elec}^2=\frac{2\epsilon _0}{c_{solid}}\frac{\phi _0^2}{kT\mathrm{log}^2(\eta _{\mathrm{}}/R)}$$
(6)
where $`\mathrm{\Delta }_1=(c_{\mathrm{}}c_{sat})/c_{sat},`$ $`C=1+2\gamma \alpha c_{solid}\mathrm{\Delta }_1/\epsilon _0,`$ and $`\gamma `$ is a dimensionless geometrical constant. From the spherical growth problem, solved in the limit of small $`R_{elec}`$ using a perturbation approach, we expect $`\gamma 0.2.`$ For $`\phi _0=0`$ this becomes the slow-growth limit of the Ivantsov solution if we identify $`\eta _{\mathrm{}}\mathrm{}_D.`$ This result supersedes previous treatments  in which a cruder approximation was used, which effectively assumed $`\gamma =0.`$ For ice we find $`C1+4.7\mathrm{\Delta }_1,`$ and $`R_{elec}40(\phi _0/`$1000 V) nm ; thus in our experiments described below the polarization term is larger than the electrostatic term. For unpolarized molecules $`C=1.`$

In the absence of an applied potential solvability theory tells us that the small capillarity term, $`d_0/R,`$ stabilizes the needle growth; the decrease in growth velocity for small $`R`$ brought about by the Gibbs-Thomson effect opposes the Mullins-Sekerka instability . The applied potential acts to increase the tip velocity for smaller $`R,`$ thus tending to destabilize the growth. The electrical perturbation can be incorporated quite simply into solvability theory by defining a modified capillarity, $`d_0^{}d_0CR_{elec}^2/R,`$ which then yields the new solvability relation

$$\sigma _0=\frac{2d_0D}{vR^2}\frac{c_{sat}}{c_{solid}}\left(1C\frac{R_{elec}^2}{d_0R}\right)$$
(7)
where $`\sigma _0`$ is the solvability parameter in the absence of an applied potential. Combining this with the Ivantsov relation then yields a quadratic equation for the tip radius, $`R^2R_0R+CR_0R_{elec}^2/d_0=0,`$ where $`R_0`$ is the tip radius in the absence of an applied potential. This quadratic equation has no real roots for $`R_{elec}>R_{elec,thresh}=\left(d_0R_0/4C\right)^{1/2},`$ implying that at above a threshold potential the Gibbs-Thomson effect can no longer stabilize needle growth.

Ice is a convenient experimental system in which to observe this phenomenon, and we previously described the behavior of ice needle growth for applied potentials at or below threshold . The existence of a threshold potential was established, and the tip velocity as a function of $`\phi _0`$ below threshold is described by the above theory (although there remain considerable theoretical uncertainties associated with the growth of faceted crystals). A principal aim of the experiments described here is to quantitatively examine the growth behavior above threshold, beyond the realm of solvability theory.

Our experiments were performed in air at atmospheric pressure, using a vertical diffusion chamber in which the supersaturation could be changed by adjusting the temperature profile within the chamber . Crystals were grown on a thin wire substrate, to which an electrical potential could be applied. Supersaturation was determined using a combination of diffusion modeling and frost-point measurements, and we estimate an overall scaling uncertainty in our reported $`\mathrm{\Delta }_1`$ of roughly $`\pm `$30 percent.

Crystals grown at $`T=15`$ C exhibited a classic dendritic morphology with growth along the $`a`$-axis, and the tip velocities were observed to increase approximately linearly with $`\mathrm{\Delta }_1`$ as shown in Figure 1(a). Above threshold at this temperature we nearly always observed the tip-splitting phenomenon described in . Crystals grown at $`T=5`$ C were needle-like, and at these high supersaturation levels the needle axis was typically displaced from the $`c`$-axis, with larger angular displacements toward the $`a`$-axis observed for larger $`\mathrm{\Delta }_1`$. Fits to these data using the Ivantsov relation yield tip radii of $`R_01.2`$ $`\mu `$m and 1.5 $`\mu `$m for $`T=15`$ C and $`5`$ C, respectively, independent of $`\mathrm{\Delta }_1`$. In both cases the data do not follow the trend $`v\mathrm{\Delta }_1^2`$ expected from solvability theory, at least over the limited range in $`\mathrm{\Delta }_1`$ shown here. This is probably because the crystals exhibit some faceting, implying that growth is limited by surface kinetics in addition to diffusion. Solvability theory does not extend to the faceted case, but we expect that the additional complication of facets will not affect our main results to a very large degree.

Above threshold the tip velocities of $`T=5`$ C needles increased substantially, as is shown in Figure 1(c) and Figure 2. The threshold potential was found to be approximately 1000 volts, independent of $`\mathrm{\Delta }_1,`$ implying $`R_{elec,thresh}40`$ nm. This is comparable to the expected $`\left(d_0R_0/4C\right)^{1/2}30(1+4.7\mathrm{\Delta }_1)^{1/2}`$ nm (using $`d_0=2`$ nm and the $`R_0`$ inferred from our measurements). The quantitative agreement is satisfactory, but again the observations do not show the supersaturation dependence suggested by our simple solvability theory. From the supersaturation dependence at $`\phi _0=2000`$ volts we find tip radii of $`R^{}360`$ nm using the Ivantsov relation, again independent of $`\mathrm{\Delta }_1.`$ These growth rates were observed to be the same (to $`\pm 15`$ percent) for positive and negative applied potentials.

Adding trace quantities of certain chemical additives to the air in our diffusion chamber changed the electric needle growth dramatically, as shown in Figure 1(c). Under certain conditions the electric needles then grew along the $`c`$-axis, with velocities approximately four times faster than without additives, whereas there was no perceptible change to the normal crystal growth . This chemically and electrically mediated growth as a function of $`\phi _0`$ was qualitatively similar to the behavior shown in Figure 2 scaled by a factor of four, but the needle-to-needle scatter in the data was considerably greater. These data imply $`R^{}90`$ nm at $`\phi _0=2000`$ volts.

With these data in hand we can then examine possible physical mechanisms responsible for limiting the Mullins-Sekerka instability and producing shape-preserving growth at a constant tip velocity. Latent heat generated at the growing tip is a possible stabilizing mechanism, but it appears that the resulting thermal effects are not very important. Assuming heat generated by condensation is conducted along the needle and into the solvent gas, then the temperature rise at the tip is approximately $`\mathrm{\Delta }T\left(\kappa _{solid}\kappa _{solvent}\right)^{1/2}L\rho vR,`$ where $`L`$ is the latent heat and $`\rho `$ is the solid density . Using the Ivantsov relation for $`vR`$, this becomes $`\mathrm{\Delta }T0.06\mathrm{\Delta }_1`$ K. This temperature increase is small, and does not exhibit the strong $`R`$ dependence needed to stabilize the tip growth.

Field emission can be examined using the Fowler-Nordheim relation, from which we estimate a current (for $`\phi _0<0`$) of $`I14`$mA$`(\phi _0/1000`$ V)$`{}_{}{}^{2}\mathrm{exp}\left[310(R/1\text{ }\mu \text{m)(1000 V/}\left|\phi _0\right|)\right].`$ Assuming a power $`PI\phi _0`$ is deposited at the needle tip (likely an overestimate), and assuming the same simple conduction model as above, we estimate that tip heating becomes significant for $`I10^{11}`$ A. Ice surface conductance is high enough  that such low currents produce a negligible voltage drop along a needle.

We measured the current emitted from growing needle crystals, for which there is a considerable dependence on the sign of the applied potential. For $`\phi _0=2000`$ volts we find $`I<`$ 1 pA in clean air and $`I1`$ pA for chemically mediated growth (with considerable scatter in the latter measurements). For $`\phi _0=2000`$ volts we measure $`I13`$ pA without additives and $`I10`$ pA with additives (again with considerable scatter). When $`I10`$ pA we observe that the needle growth slows substantially, and the tip velocities become quite variable from needle to needle. We conclude that field emission plays a significant role when $`\phi _01000`$ V and the crystals are grown in the presence of chemical additives, which results in sizable currents. In all other circumstances it appears field emission does not limit the needle growth.

Having eliminated thermal and field emission mechanisms, we propose that the electric needle growth is stabilized by the diminished structural integrity of the material when formed into an extremely sharp tip. That is, the needle tip radius becomes so small that its solid structure is unstable and subject to deformation driven by surface tension over timescales comparable to the crystal growth time $`R/v.`$ There is considerable uncertainty in our understanding of the structural properties of ice, however, particularly for such extremely small crystals, which makes detailed calculations difficult . Surface melting certainly sets a lower bound on tip radius, since surface melting is known to produce a quasiliquid layer at these temperatures, which likely has very little resistance to shear stresses. The ice quasiliquid layer has a thickness of roughly 20 nm at $`T=5C`$ , which is not insignificant compared to the tip radii inferred from our measurements.

One feature of our data that is readily explained by this model is that the measured tip radius $`R^{}`$ is essentially independent of $`\mathrm{\Delta }_1`$ and $`\phi _0`$ in the electric growth regime (at least above a $`\mathrm{\Delta }_1`$-dependent transition region; see Figure 2). Above the threshold potential the tip radius decreases and the tip velocity increases to the point that structural deformations become a dominating influence. This must occur at some material-determined size scale, so we would expect that the new tip radius would depend mainly on material properties, and would not depend strongly on supersaturation or the applied potential, as is observed. The change in $`R^{}`$ in the presence of additives could be explained by the strongly anisotropic structural properties of ice, since the most rapid growth observed is for $`c`$-axis needles. We see that this stabilization mechanism is a distinct, more direct, manifestation of surface tension. While normal needle growth is stabilized by the increased vapor pressure over surfaces with large curvature—the Gibbs-Thomson mechanism—electric needle growth is stabilized by structural deformations brought about by surface tension in the sharp tip.

In a separate experiment, we also examined the electric growth phenomenon for a non-polar molecular solid by examining the growth of iodine crystals from the vapor. At a supersaturation of $`\mathrm{\Delta }_10.1`$ we obtained the results shown in Figure 3. Rapid needle growth above a threshold potential of $`\phi _01000`$ volts was clearly observed, although there was considerable scatter in the data. These data provide qualitative support of the above theory, and clearly verify that this morphological instability is present in non-polar systems.

In summary, we have examined the detailed physics of electrically enhanced needle crystal growth from the vapor phase. We find that an extension of solvability theory explains the existence of a threshold applied potential, $`\phi _{thresh},`$ and adequately reproduces the magnitude of $`\phi _{thresh}`$ as well as the needle growth behavior for $`\phi _0<\phi _{thresh}`$. For $`\phi _0>\phi _{thresh}`$ we observed high-velocity growth of ice and iodine needle crystals, demonstrating that this new growth instability is indeed present in both polar and non-polar systems. Extensive measurements with ice suggest that electric needle growth in this system is usually not limited by the effects of latent heat deposition or field emission, but appears to be limited by structural deformation of the needle tip. Additional experiments with other materials would further elucidate this process. In particular, since ice is a relatively soft material , these investigations suggest that harder materials could yield much sharper tips. Related experiments with refractory metals have yielded electric needle crystals with nanometer-scale tips , and we believe that additional research into electrically enhanced growth may lead to useful applications.