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# Optical studies of gap, hopping energies and the Anderson-Hubbard parameter in the zigzag-chain compound SrCuO2

## I Introduction

Strontium copper oxide, SrCuO2, belongs to the new family of quasi-one-dimensional (1D) insulators whose properties have been a subject of intensive studies in recent years Hiroi ; Kim ; Kim1 ; Motoyama ; Matsuda ; Misochko ; Abrasev ; Abrasev1 ; Popovic ; Nagasako ; Filip ; Wu . This oxide, grown in single crystalline form under ambient pressure, has an orthorhombic unit cell (space group $`D_{2h}^{17}`$ \- $`Cmcm`$) with parameters a=3.577 Å, b=16.342 Å, c= 3.9182 Å, Z=4 Taske ; Matsushita . SrCuO2 has a unique structure consisting of CuO4 squares, mutually connected via common edges, that form double copper zigzag chains (Fig. 1).

Magnetic susceptibility measurements of SrCuO2 have revealed that the Cu2+ moments order antiferromagnetically below $``$ 2 K Motoyama . The exchange interaction energy $`J`$ is estimated to be $`2100\pm 200`$ K Matsuda . Very recently, a static disorder spin structure (spin freezing) rather than static three dimensional long range spin order is found in SrCuO2 using neutron spectroscopy Zaliznyak . An angle-resolved photoemission spectroscopy (ARPES) study of SrCuO2 shows the spin-charge separation in this oxide, as a consequence of electron correlations Kim ; Kim1 . The optical phonons in SrCuO2 have been investigated by measuring Raman scattering Misochko ; Abrasev ; Abrasev1 ; Popovic  and far-infrared reflectivity spectra on policrystalline Abrasev  and single crystal Popovic  samples.

Electronic structure of SrCuO2 has been calculated using the linear-augmented-plane-wave (LAPW) method within the local-density approximation (LDA) to the density functional theory Nagasako . As noted in Ref.Nagasako  for this type of calculations the agreement with the ARPES data takes place only in the region far from the Fermi level. Most recent band structure calculations Filip ; Wu  by the local-spin-density-approximation (LSDA), including an on-site Coulomb repulsion (LSDA+U method) have produced an insulating gap of 1.63 eV for U=12.3 eV Filip  and 2.36 eV for U=5 eV Wu . Due to the lack of experimental data for the energy gap of SrCuO2, it was not possible to compare these data with experiments. Quite recently, Rosner et al. Rosner  calculated the electronic structure of SrCuO2 using the LSDA method, also. They found that the gap in the antiferromagnetic phase of SrCuO2, reported in previous publications Filip ; Wu , is probably artificial and appears due to too small number of the k-points in the Brillouine zone taken in the computation procedure.

In this paper we have applied complementary optical spectroscopy techniques to study the electronic structure of SrCuO2. We have obtained an energy gap of 1.42 eV (1.77 eV) at 300 K along (perpendicular to) the Cu-O chains. These values are compared with the results of the electronic structure calculations completed by us. We have established that the tight-binding method for the correlated electrons, with the hopping parameters $`t`$ = 0.30 eV and $`t_{yz}`$ = 0.12 eV along legs and between legs, respectively, (see Fig. 1) and the Anderson-Hubbard parameter $`U`$ = 2.0 eV yields the energy gap values in an agreement with the experimental results. We also have determined the density of electronic states for non-correlated and correlated electrons, which show the one-dimensional nature. According to the electronic structure calculations and the experimental findings, we concluded that SrCuO2 is a correlated-gap insulator.

The remainder of this paper is organized as follows. Experimental details are given in Sec. II. The results of electronic structure calculations for non-correlated electrons (using the LSDA with gradient corrections to density functional theory) are described in Sec. III.A. The reason why we use this method is to obtain the data necessary for the determination of the correlated electronic structure and to compare our results with the previously published ones Nagasako ; Filip ; Wu ; Rosner . In Sec. III.B, we applied the tight-binding theory for correlated electrons taking into account the realistic crystalline structure of SrCuO2. We got analytically the energy dispersion relations, the density of states of correlated and non correlated electrons as well as the correlation gap. Experimental measurements of dielectric function, reflectivity, photoreflectance and optical transmission spectra are given in Sec. IV. Section V contains the discussion of experimental and theoretical results and the conclusions.

## II Experimental details

The present work was performed on a single crystal sample with a size of about 15, 2 and 6 mm along the a, b and c axes, respectively. We used several optical spectroscopy techniques. The pseudo-dielectric function was measured with the help of a rotating-polarizer (analyzer) ellipsometer. A Xe-lamp was used as a light source, a double monochromator with 1200 lines/mm gratings and an S20 photomultiplier tube as a detector. The polarizer and analyzer were Rochon prisms. The measurements were carried out in the 1.2-5.6 eV energy range. For the energies below 1.6 eV we used a halogen lamp as a light source and Si-photo diode as a detector. Optical reflectivity and transmission spectra were measured at room and liquid helium temperature in the 200-2500 nm spectral range with Perkin - Elmer Lambda 19 spectrophotometer. Photoreflectance measurements were performed at room temperature under incident polarized light parallel to the a\- and the c-axes. The reflected light was dispersed through a single 1/2 m monochromator and sinchronously detected by Si-photodiode.

## III Electronic structure calculations

### III.1 LSDA with gradient corrections

In the CuO2-layered oxides, the electron dispersion branches at the Fermi level are derived from the 3$`d_{x^2y^2}`$ copper orbitals, mixed with the corresponding O $`2p`$ orbitals. Other occupied $`3d`$ Cu orbitals ($`d_{3z^2r^2},d_{yz},d_{xz},d_{xy}`$) are located below the Fermi level and they are strongly hybridized with oxygen bands. These cuprates are known as charge-transfer insulating oxides. Contrary to the CuO2-layer cuprates (tetragonal crystal structure oxides), SrCuO2 has an orthorhombic crystal structure with the Cu-O zigzag chains and, consequently, with the different electronic structure, as it will be shown later.

For the ab-initio calculation of the electronic structure of SrCuO2 we used WIEN97 software package wien . The program allows us to compute the electronic structure within the density functional theory by applying the LAPW method with a simplified version of the generalized gradient approximation Perdew1  for the exchange-correlation functional in the LSDA description. This approximation takes into account the charge and spin inhomogeneity in a material by including gradient corrections in the energy functional and gives more precise ground state energy Perdew  but does not improve the quasiparticle spectra Dufek .

The Figure 2 shows the calculated electron energy dispersions along the high-symmetry lines of the Brillouin zone (BZ). The most interesting feature of these calculations is a relatively large dispersion along the $`k_z`$ direction parallel to the Cu-O chains and dispersionless bands perpendicular to them, i.e. along the $`k_x`$ and $`k_y`$ directions. Along the $`\mathrm{\Gamma }`$-Z direction of the BZ, the two bands, which cross the Fermi level, split slightly, indicating that the interaction between the two neighboring chains in the ladder is small, but still exists. The total density of electronic states of SrCuO2 is given in Fig. 3 in the energy range between -7 eV and 10 eV. The electron density of states is calculated with 180 k points in the irreducible part of the BZ and it is in an agreement with previous publications Nagasako ; Rosner . Because the main properties depend on the electrons at the Fermi level, we paid a special attention to the energy dispersions near $`E_F`$. In the inset of Fig. 3 we show the partial density of electronic states in the energy range from -1.5 eV to 1 eV. Figure 4 gives the contribution from the different Cu $`3d`$ and O$`2p`$ orbitals to the partial density of states in the energy range close to the Fermi level. From the results given in Figs. 2-4 we concluded that:

(i) The electronic structure of SrCuO2 is a quasi-one-dimensional one.

(ii) The main contribution to the density of states in SrCuO2 near the Fermi level comes from the Cu $`3d_{y^2z^2}`$ orbitals.

(iii) There is a small hybridization between the Cu $`3d_{y^2z^2}`$ and the O $`2p_z,2p_y`$ orbitals.

These results are in an agreement with the X-ray absorption spectroscopy data Knupfer , which show that the holes in SrCuO2 have predominantly the $`3d_{y^2z^2}`$ character (which is analogous to the Cu $`3d_{x^2y^2}`$ orbitals in notation for the 2D high-Tc cuprates). The hole occupancy of $`3d_{3x^2r^2}`$ is less than 5% Knupfer .

However, the metallic state obtained in the framework of the LSDA calculation (in Figs.2-4 the Fermi level $`E_F`$=0 is inside the occupied band) does not allow us to compare these results with our experiments.

The applied LAPW method with the gradient LSDA corrections (or other LDA versions to the density functional) employs the orbitally independent exchange-correlation potential, which can not recognize different $`d`$-orbitals in the copper ion with an open $`d`$-atomic shell, $`Cu^{1+n}(3d^{10n})`$, of the SrCuO2 material. As a result it gives a satisfactory band structure, but can not overcome ”an energy gap problem”Fulde . In general, the local approximations to the density functional theory (for a review see Fulde  and Refs. Gunnarsson ; Perdew2 ; Zein  for an inclusion of the spin-dependent exchange-correlation potentials) are successful to describe the ground state energies and the quantities, weakly depending on a charge or spin density Yu ; Hybertsen , but the excited states are beyond the scale of the density functional theory.

To alleviate an energy gap problem of L(S)DA to density functional theory the LDA+U method has been proposed (for details see Ref. Anisimov  and its generalization, LSDA+U Dudarev ). These methods have extended LDA-like functionals with an addition to them the on-site Hubbard terms and they are based on the unrestricted Hartree-Fock wave-functions. For the Mott-Hubbard insulating compounds with transition or rare-earth metals the orbital-dependent potential $`U`$ leads to splitting of the partially filled 3$`d`$\- or 4$`f`$-bands forming the upper and the lower Hubbard-like bands. The LDA+U functional gives more correct antiferromagnetic properties than the LSDA one. Also LDA+U’s are relevant for study of the temperature induced phase transition from an non-magnetic insulator to a metal with a local magnetic moments and for study of the charge orders, where LSDA fails. However, the used mean-field correction for a single orbital, $`U\widehat{n}_{}\widehat{n}_{}`$ $`U\widehat{n}_{}n_{}`$($`n_{}`$ is an expectation value for the number of electrons with a spin projection $``$ occupying a fixed partially filled orbital on a particular lattice site), to an exchange-correlation potential reproduces only qualitatively the correct physics for the Mott-Hubbard insulators. Inclusion of the inter-orbital intra-atomic interactions (Coulomb repulsion and Hund exchange) and often the antiferromagnetic ordering Anisimov1  (regardless the absence of an antiferromagnetism in material under consideration; e.g, SrCuO2 is in paramagnetic state above 1.4K) does not change significantly the qualitative character of the LDA+U results. The obtained gap values differ by about 1eV from the experimental ones Anisimov ; Dudarev . Also in the framework of LDA+U methods the band structure is unsatisfactory and these methods produce unphysical insulating states for transition metals since the LDA+U’s split even the partially-filled bands due to the self-interaction corrections both for localized and extended electron states. It is also known that the electron correlations produce narrowing of the dispersion branches and consequently an increase of the effective masses Olson ; Manske ; Merino  which is outside the LDA+U domain.

As applied to SrCuO2, the band gap values obtained in the LDA+U calculations Filip ; Wu  differ significantly from our experimental findings (see Sec. IV). Besides that, a shift of the energy bands due to a finite $`U`$ can not guarantee the correct band extrema positions to identify the direct or indirect character of the interband electronic transitions. In Ref.Filip  the reported band gap 1.63 eV (the most close to our measured value) corresponds to an unrealistically large Anderson-Hubbard parameter $`U`$=12.3 eV.

Having all above mentioned in mind, we developed a model which introduces the electron correlations already in the zeroth order of the applied perturbation theory with respect to the hopping energies in a realistic lattice structure of SrCuO2 (Sec.III.B).

### III.2 The tight binding method for the correlated electrons

According to our LSDA data (Figs.2-4) and also Ref. Knupfer , the main contribution to the electron density of states close to the Fermi level comes from the $`d_{y^2z^2}`$ orbitals, slightly hybridized with the O $`2p`$ orbitals. In addition, our absorption measurements (see, Sec. IV) show that the lowest energy gap is practically temperature independent (a charge transfer gap depends on temperature in accordance with the variation of the Cu-O distance with temperature). All these important observations have lead us to the conclusion that the band gap in SrCuO2 is a consequence of strong electron correlations, favoring the Mott-Hubbard like insulating state.

Although the density functional theory reduces the Schrödinger equation for electrons and atomic nuclei in solids to non-linear single-particle equations (equations with self-consistent potential, which itself depends on the solutions of the equations), the explicit dependence of the ground state energy on the ground state charge and spin density is unknown and such an explicit functional may even not exist. As the starting many body linear Schrödinger equation, the problem of the non-linear single-particle equations with the exchange-correlation potentials is a formidable problem which can not be solved without additional approximations. The exchange and correlations are often approximated by the L(S)DA according to which the charge (spin) density in the exchange-correlation potential of an electron gas or a jellium model is replaced by the local density in a real material. The strategy of the LDA approach is close to the Landau fermi-liquid theory, where the energy is a functional with respect to a single-particle partition function. But contrary to the Landau theory, the density functional theory can calculate only the ground state energy, distributions of charge and spin densities and the quantities connected with them. The main problem in our case is that LDA and its versions (e.g., the one used by us) do not give a clear knowledge about the Anderson-Hubbard parameter (an essential on-site repulsion of the correlated electrons) in narrow-energy band materials such as SrCuO2.

The conventional tight-binding method $`\left(U=0\right)`$ for an electronic structure in solids is self-contradictory. According to it the eigen-functions of the Schrödinger equation are approximated using the electron wave-functions of the isolated atoms, $`i.e.`$ a conventional tight-binding method is the more suitable the greater interatomic distances in the crystal are. But in this case the prevailing terms in the Hamiltonian, the strong electron-electron interactions $`U`$, become even larger; they can not be reduced to any mean field version and then the problem is fully outside the domain of the standard Slater-Koster scheme. The present tight-binding method for correlated electrons is based on the hypothesis that the narrow-energy band material properties, $`e.g.`$, SrCuO2 in our case, are governed by the intraatomic electron correlations $`U`$, exceeding considerably the transfer energies.

A reasonable simulation of the many-body effects leads to tremendous problems in terms of the conventional Fermi- or Bose-operators permutation relations which do not encompass all possibilities of the second quantization formalism. The permutation relations for the Okubo-Hubbard X-operators are linear with respect to theirselves operators. The necessity to introduce the operators with more complicated permutation relations than the fermionic and bosonic ones for study of the electron correlations was indicated by Bogoljubov already in 1949 Bogoljubov . We consider the tunneling part of any correlated Hamiltonian as a perturbation with respect to the strong electron correlations included in the unperturbed part of the Hamiltonian. The Hamiltonians with correlated electrons are rewritten in terms of the basis and only basis vectors of the corresponding superalgebra. To treatment of such Hamiltonians in the $`X`$-operator framework is based on a rigorous successive method which we followed in our previous publications Ivanov2 ; Popovic1 ; Ivanov  and it will be also applied here. The systematic perturbation theory is based on the generalized Wick’s theorem as an iteration procedure reducing the time-ordered product of $`n`$ of X-operators to product of $`n\mathit{1}`$ of thereof. The first order self-energy is the tunneling matrix itself from the perturbative Hamiltonian.

Here in the framework of the $`su(2,2)`$ superalgebra approach for the SrCuO2 system we will neglect the scattering of the correlated copper electrons by the spin and charge fluctuations, aiming at comparing the electron spectra with the conventional tight-binding calculations, which are done in the first order of the transfer energy. Contrary to the standard Hubbard model for the $`s`$-electrons with a single site per a unit cell, the starting Hamiltonian includes a realistic unit cell (a few sites) and the correlated electrons with the non-zero angular momenta. In the framework of the presented tight-binding method for the correlated electrons the non-spherical wave-functions provide anisotropy of the hopping integrals in the lattice. In the considered order of the perturbation theory we will concentrate on the influence of the band structure effects which are of significance for multicomponent systems such as SrCuO2.

The LSDA calculation of the electronic structure of SrCuO2, Figs.2-4, revealed that electron energy dispersions are governed mainly by electrons in the zigzag ladder. The interladder coupling is negligible because of the large (6.75 Å) Cu atom distance between neighboring ladders. A unit cell for the correlated electron structure calculation includes two Cu-ions only, as indicated by a dashed rectangular in Fig. 1(a). We assume that a ladder unit Cu1+nO$`{}_{}{}^{2}{}_{2}{}^{}`$ has the total charge $`2`$, i.e. there is one hole, $`n=1`$, per a copper ion in the ladder. In our minimal model, we neglected hybridization with the $`p_y,p_z`$orbitals of the intermediate oxygen atoms, assuming the $`d_{y^2z^2}`$ character of holes. Such approximation is common for the 1D cuprates Tsutsui  because the Anderson-Hubbard repulsion usually opens a gap between the $`3d`$ bands. Inside the ladder, the arrangement of the Cu-atoms is such that the directions from the Cu-ion in one leg to the two nearest Cu-ions of the neighboring leg are almost at a right angle $`\left(90^{}\right)`$, see Fig.1. In our consideration of the electronic structure we assume that these directions form an ideal right angle and the electron energy dispersions are governed mainly by the correlated electrons in the single zigzag ladder.

Aiming at the determination of the Anderson-Hubbard parameter $`U`$ from the optically measured correlation gap values, the further theoretical study is based on the realistic Hamiltonian with one copper rung/dimer, $`ab`$, per a unit cell:

$`H`$ $`=`$ $`2t{\displaystyle \underset{p,\sigma }{}}\mathrm{cos}p_z\left[a_\sigma ^+\left(p\right)a_\sigma \left(p\right)+b_\sigma ^+\left(p\right)b_\sigma \left(p\right)\right]`$ (1)
$`t_{yz}{\displaystyle \underset{p,\sigma }{}}(1+e^{ip_z})[a_\sigma ^+\left(p\right)b_\sigma \left(p\right)+H.c.]+U{\displaystyle \underset{i=a,b}{}}n_i^jn_i^j\mu {\displaystyle \underset{i=a,b}{}}n_i^j,`$
where $`a,b`$ denote chains (legs in the ladder directed along the c-axis), $`t`$ is an amplitude of the carrier hopping along the legs, $`t_{yz}`$ is a diagonal hopping amplitude between the legs, $`U`$ is the Anderson-Hubbard repulsion of the $`d_{y^2z^2}`$-electrons on copper site and $`\mu `$ is the chemical potential. In LDA band structure calculations the electron-electron interactions are approximated by an effective single-electron problem, whereas in our approach the Anderson-Hubbard parameter $`U`$ is included explicitely in the non-perturbative Green’s function. Applying the $`X`$operator machinery Ivanov , the correlated energy bands are governed by zeros of the inverse Green’s function for the $`X`$-operators in the first order with respect to the tunneling matrix:

$`\widehat{D}_p^1\left(\omega \right)`$ $`=`$ $`\begin{array}{c}a\text{ }\{\begin{array}{c}\text{0+}\hfill \\ \text{-2}\hfill \end{array}\hfill \\ b\text{ }\{\begin{array}{c}\text{0+}\hfill \\ \text{-2}\hfill \end{array}\hfill \end{array}\left(\begin{array}{cccc}\frac{i\omega _n\mu }{f_{0+}}+r\hfill & r\hfill & v\hfill & v\hfill \\ r\hfill & \frac{i\omega _n\mu +U}{f_2}+r\hfill & v\hfill & v\hfill \\ v^{}\hfill & v^{}\hfill & \frac{i\omega _n\mu }{f_{0+}}+r\hfill & r\hfill \\ v^{}\hfill & v^{}\hfill & r\hfill & \frac{i\omega _n\mu +U}{f_2}+r\hfill \end{array}\right),`$ (12)
where $`r=2t\mathrm{cos}p_z`$, and $`v=t_{yz}\left(1+e^{ip_z}\right)`$. Here the correlation factors, $`f_{0+(2)}`$ , in the diagonal Green’s functions are determined by the fermion occupation $`n`$ per site. For a considered nonmagnetic phase of SrCuO2 they are $`f_{0+}=1n/2`$, $`f_2=n/2`$ and all equal to $`1/2`$ ($`n=1`$). After an analytical continuation, $`i\omega _n\xi +i\delta `$, from the secular equation $`\left|\widehat{D}_p^1\left(\omega \right)\right|=0`$ one can find the four branches of the correlation energy dispersions in an explicit form:

$$\xi _B^\pm \left(p\right)=\epsilon _p^{1,2}+\sqrt{\left(\epsilon _p^{1,2}\right)^2+\left(\frac{U}{2}\right)^2}\mu ,$$
(13)
$`\xi _A^\pm \left(p\right)`$ $`=`$ $`\epsilon _p^{1,2}\sqrt{\left(\epsilon _p^{1,2}\right)^2+\left({\displaystyle \frac{U}{2}}\right)^2}\mu ,`$ (14)
where $`\epsilon _p^{1,2}=t\mathrm{cos}p_z\pm t_{yz}\mathrm{cos}\frac{p_z}{2}`$. For the derivation of these energy dispersions from the four-by-four fold secular equation (see Eq.(2)) it was useful to apply the proved theorem about the decomposition of the determinant with respect to diagonal elements (see Appendix A in Ref. Ivanov1 ).

The lower correlated subbands, $`\xi _A^+`$ and $`\xi _A^{}`$, are completely occupied by the two holes from a unit cell of the zigzag ladder. It is essential that the chemical potential $`\mu `$ should be found self-consistently from the equation for a particle density

$$n=T\underset{p,\omega ,\alpha ,\beta }{}e^{i\omega \delta }D_{\alpha ,\beta }(p,\omega _n),$$

where $`\alpha `$ and $`\beta `$ label the rows and columns of the Green’s function elements (c.f. Eq.(2)). For $`n=1`$ (the case of SrCuO2) the calculated chemical potential is positioned in the middle of the energy gap ($`\mu `$=0). For other densities, $`n1`$, the used procedure generates a correlated metal. The upper correlated subbands, $`\xi _B^\pm `$, are empty for SrCuO2. The nearest unoccupied energy band is $`\xi _B^{}`$ and the correlation gap (indirect transition, see Fig.5) in an electronic structure can be estimated as

$`\mathrm{\Delta }_0`$ $`=`$ $`\mathrm{min}\xi _B^{}\left(p\right)\mathrm{max}\xi _A^+\left(p\right)=`$ (15)
$`\sqrt{\left(t+t_{yz}\right)^2+\left({\displaystyle \frac{U}{2}}\right)^2}+\sqrt{\left(t+{\displaystyle \frac{t_{yz}^2}{8t}}\right)^2+\left({\displaystyle \frac{U}{2}}\right)^2}\left(2t+t_{yz}+{\displaystyle \frac{t_{yz}^2}{8t}}\right).`$
For the non-correlated energies, $`\epsilon ^{1,2}=2\epsilon _p^{1,2}`$ (c.f., Eqs.(3,4)), the electron density of states per atom, $`\rho _0`$($`\epsilon `$)$`=\underset{p_z}{}`$\[$`\delta `$($`\epsilon \epsilon ^{\left(1\right)}`$)$`+\delta `$($`\epsilon \epsilon ^{\left(2\right)}`$)\], is defined analytically as follows

$$\rho _0\left(\epsilon \right)=\frac{1}{\pi \sqrt{t_{yz}^24t\left(\epsilon 2t\right)}}\underset{i=1}{\overset{4}{}}\frac{1}{\sqrt{1x_i^2}},$$
(16)
where

$$x_{1,2}=\frac{1}{4t}\left(t_{yz}\pm \sqrt{t_{yz}^24t\left(\epsilon 2t\right)}\right)=x_{4,3}.$$
(17)
The electron-electron repulsion, $`U`$, splits the density of the non-correlated electron states $`\rho _0(\epsilon )`$. After the transformation to the ”correlated” variables, Eqs. (3) and (4), one can get the correlated electron density of states as

$`\rho \left(\xi \right)`$ $`=`$ $`{\displaystyle \frac{\xi ^2+\left(\frac{U}{2}\right)^2}{\xi ^2}}\rho _0\left({\displaystyle \frac{\xi ^2\left(\frac{U}{2}\right)^2}{\xi }}\right)=`$ (18)
$`{\displaystyle \frac{\xi ^2+\left(\frac{U}{2}\right)^2}{\xi ^2}}{\displaystyle \underset{p,\alpha =A,B}{}}{\displaystyle \frac{\xi _\alpha ^2\left(p\right)}{\xi _\alpha ^2\left(p\right)+U^2}}\delta (\xi {\displaystyle \frac{\xi _\alpha \left(p\right)}{2}}).`$
Figure 5(a) shows the correlated electron energy dispersions (Eqs.(3) and (4)) along the Z and the Y symmetry directions of the BZ. The correlated electron density of states is given in Fig. 5(b). The overlap of the energy ranges for the energy dispersions, Eqs. (3) and (4), leads to the appearance of singularities at

$`\xi _1^{B,A}`$ $`=`$ $`\xi _{B,A}^{}\left(p_z=0\right)S,`$
$`\xi _2^{B,A}`$ $`=`$ $`\xi _{B,A}^+\left(p_z=0\right)S,`$
$`\xi _3^{B,A}`$ $`=`$ $`t+\left(1\alpha \right){\displaystyle \frac{t_{yz}^2}{8t}}+\left(2\alpha 1\right)S+\alpha \left[t_{yz}+\sqrt{\left(t+t_{yz}\right)^2+\left({\displaystyle \frac{U}{2}}\right)^2}\right],`$
where

$`S`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left[\sqrt{\left(t+t_{yz}\right)^2+\left({\displaystyle \frac{U}{2}}\right)^2}\sqrt{\left(t+{\displaystyle \frac{t_{yz}^2}{8t}}\right)^2+\left({\displaystyle \frac{U}{2}}\right)^2}+{\displaystyle \frac{t_{yz}^2}{8t}}t_{yz}\right],`$
and $`\alpha `$ takes sign $`+1`$ and $`1`$ for the correlated subbands $`B`$ (Eq. (3)) and $`A`$ (Eq. (4)), respectively. The van Hove square root divergencies inside the correlated bands are manifestations of the quasi-one-dimensional electronic structure.

The comparison of the calculated electronic structure with the measured optical transitions allows us to estimate the Anderson-Hubbard parameter and the hopping energies of correlated electrons in the zigzag ladder compound SrCuO2.

## IV Experimental results

Figure 6 shows the pseudo-dielectric function $`\epsilon (\omega )=\epsilon _1(\omega )+i\epsilon _2(\omega )`$ for a light polarized parallel to the a\- axis (Fig. 6(a)), and the c-axis (Fig. 6(b)). As it can be seen from Fig. 6(a), the maximum of $`\epsilon _2(\omega )`$ is at about 1.77 eV. This value corresponds to the energy gap along the a-axis direction, which is perpendicular to the CuO chains. Besides the most intensive peak at 1.77 eV, we found the next peak at about 2 eV. To determine the precise energies of these electronic transitions we fitted both the real and the imaginary parts of the second derivative spectra $`d^2\epsilon /dE^2`$ simultaneously by a least squares routine in terms of standard line shapes:

$$\epsilon (\omega )=CAe^{i\varphi }(\omega E_0+i\mathrm{\Gamma })^m,$$

where $`A`$, $`E_0`$ and $`\mathrm{\Gamma }`$ are the amplitude, energy and half linewidth of the electron transitions, respectively. The $`\varphi `$ is a phase factor and the exponent $`m`$ has the value $`1/2`$ for the one-dimensional case. The results of the calculations are given in the inset of Fig. 6(a). At higher energies we observed two additional peaks at about 4.1 eV and 5.1 eV. The origin of all these transitions will be discussed later. For E$`||`$c polarization the first clearly pronounced peak appears at about 3.2 eV, and the next maxima is at about 5.2 eV (see Fig. 6(b)). For this polarization the low intensity of the dielectric function does not allow us to apply the same fitting procedure as in the E$`||`$a case.

An unpolarized reflectivity spectrum is shown in Fig. 7(a) in the energy range from 1 to 5.5 eV. The peak positions at 1.42 eV, 1.73 eV, 2.04 eV, 2.5 eV, 2.9 eV, 4 eV and 5.2 eV are determined as the maxima of an optical conductivity function obtained from the Kramers-Kronig analysis of the reflectivity spectrum. In order to distinguish different polarization contributions in the reflectivity spectrum shown in Fig. 7(a), we calculated the polarized reflectivity spectra using the pseudo-dielectric function data from Fig. 6. The results of the calculations are given in Fig. 7(b). As it can be seen from Fig. 7(b), the main contribution to the unpolarized spectra comes from the E$`||`$a polarization. As a proof that the lowest intensity peak in unpolarized reflectivity spectra belongs to the E$`||`$c polarization, we measured polarized photoreflectance spectra in the energy range below 1.5 eV, which are shown in the inset of Fig. 7(a). These spectra clearly demonstrate that the reflectivity maximum at the lowest energy in Fig. 7(a) originates from the E$`||`$c polarization. The peak position of this transition is found at 1.43 eV using a photoreflectance fitting line shape procedure based on the third derivative of the primary spectra Aspnes . Thus, we conclude that the lowest energy gap in SrCuO2 is at about 1.42 eV for the polarization along the Cu-O chains.

Figure 8 represents the absorption spectra of SrCuO2 measured at room temperature and 5K for the incident light polarized along the c\- and the a-axis. These spectra were calculated using the relation $`\alpha (\omega )=(1/d)\mathrm{ln}[(1R(\omega ))^2/T(\omega )]`$, where $`R`$ and $`T`$ represent the reflectivity and transmission coefficients, while $`d`$ is the thickness of the sample. As it can be seen from the Fig. 8, there is a strong anisotropy in the positions of the absorption edges for these polarizations.

## V Discussion

The experimental results given in Figs. 6-8 can be summarized as follows:

(i) A strong anisotropy of optical properties is clearly seen. In the direction perpendicular to the Cu-O chains (E$`||`$a) the spectral weight is centered at about 1.8 eV. All other transitions at higher energies have smaller contributions to the dielectric function for this polarization. In the case of the E$`||`$c polarization (Fig. 6(b)) the spectra show very low intensity and the spectral weight for this polarization is shifted to higher energies at about 3.2 eV and 5.2 eV.

(ii) The lowest energy gap appears at about 1.42 eV, well bellow the charge transfer gap (1.7 - 2.0 eV) of other CuO based materials.

(iii) The lowest energy gap for E$`||`$c shows a very small energy change as the temperature is lowered, whereas the absorption edge of the corresponding gap for the E$`||`$a shifts to higher energies.

(iv) The higher energy electron transitions appear at about 4.1 eV and 5.2 eV for both polarizations.

These features can be successfully explained in the framework of the electronic structure calculations, Sect. III.B. The parameters of our model for correlated electrons, $`t`$, $`t_{yz}`$ and $`U`$, were fitted to the experimental value of the indirect $`\mathrm{\Delta }_0`$ gap ($`\mathrm{\Delta }_0`$=1.42 eV) and an exchange energy along the chain (leg) $`J=0.18`$ eV Matsuda . We used also the ratio of exchange energies $`J^{}/J`$=0.16 ($`J^{}`$ represents the exchange energy between legs), because this value is in the middle of the range $`J^{}/J=0.10.2`$ proposed for this kind of copper oxides Rice . Using the relation between exchange and hopping energies $`J=4t^2/U`$ and Eq. (5) for the lowest energy gap, we estimated the other model parameters, $`t`$=0.30 eV, $`t_{yz}`$=0.12 eV, $`U=2.0`$ eV. The obtained magnitude of the Anderson-Hubbard parameter of SrCuO2 somewhat lower then the one ($`U=2.1`$ eV) obtained previously by us in the electronic structure study of Sr14Cu24O41 Popovic1 . The hopping energy $`t`$=0.3 eV along the legs is larger than in the case of Sr14Cu24O41 ($`t`$=0.26 eV) due to the difference between the exchange coupling constants: $`J=180`$ meV in SrCuO2 is larger than the $`J=128`$ meV value in Sr14Cu24O41. The fact of the coincidence of the Anderson-Hubbard parameters $`U`$ for SrCuO2 and Sr14Cu24O41 is natural to expect because the local environment of Cu2+ ions is similar in these oxides and the on-site Coulomb repulsion is governed mainly by the electron interactions on the same copper $`d`$-orbital.

The energy vs. wavenumber curves for correlated electrons (Fig. 5 (a)) show a large dispersion along the $`k_z`$ direction (parallel to the Cu-O chains, along the c-axis) and no dispersion along the $`k_x`$ direction, in agreement with the LSDA calculations (Fig.2). Nevertheless, the lowest energy gap at about 1.42 eV appears for the transition from the Z to the $`\mathrm{\Gamma }`$ point of the BZ (indirect transition, denoted as $`\mathrm{\Delta }_0`$ in Fig. 5 (a)). The direct transition gaps $`\mathrm{\Delta }_2`$, $`\mathrm{\Delta }_3`$ and $`\mathrm{\Delta }_4`$ at $`\mathrm{\Gamma }`$ (X) point of the BZ, are found to be 1.88 eV, 2.05 eV, and 2.19 eV, respectively (see Fig. 5(b)).

According to our calculations in Sec.III.B, the correlation gap $`\mathrm{\Delta }_0`$, Eq.(5), represents the lowest energy transitions between the split $`3d_{y^2z^2}3d_{y^2z^2}`$ states within each Cu atom. Thus, it is natural to expect a negligible temperature dependence of the correlation gap. In fact, experimental data presented in Fig. 8 show no temperature shift of the absorption edge for the E$`||`$c polarization. It means that SrCuO2 belongs to the group of low-dimensional insulators with a correlation gap. Further support for this assumption can be found in the case of Sr2CuO3, also 1 D cuprate. Maiti et al. Maiti  assigned the gap, observed at about 1.5 eV in Sr2CuO3, as an insulating gap of the correlated nature. Nevertheless, our Raman spectroscopy study Popovic  clearly demonstrated that the resonance behavior in SrCuO2 differs strongly from that in the 2D cuprates. Namely, the resonant Raman scattering shows that the infrared active modes and their overtones resonate much more strongly for the laser energies near the charge transfer-gap in the 2D insulating cuprates Abrasev1 . In 1D SrCuO2 the infrared modes resonate at energies noticeably higher than the correlation gap $`\mathrm{\Delta }_0`$ Popovic . Finally, we have found that a similar spectral weight distribution as the one given in Fig. 6(b) is also reported for Li2CuO2 for the light polarized along the chains Mizuno . This supports once again our findings that the electronic structure of the 1D cuprates differs significantly from that of the 2D cuprates.

In the inset of the Fig. 5(a) we show the $`\mathrm{\Delta }_0`$ gap dependence on the $`U`$ parameter, Eq.(5), for the two different values of the interchain hopping $`t_{yz}`$ at $`t`$=0.30 eV. The limiting case $`t_{yz}`$=0 represents one leg of the ladder or a single-chain structure which exists in Sr2CuO3. As it is seen in the inset of Fig. 5(a), the interchain hopping reduces a gap. It means that the corresponding gaps in the single-chain compound Sr2CuO3 should be somewhat larger than in SrCuO2. This agrees well with our experimental findings. Namely, the absorption edge in Sr2CuO3 is at 1.5 eV Maiti , about 5% higher than in SrCuO2, see Fig.8.

The electron structure calculations for correlated electrons (Fig. 5) make it possible to compare to experimental data not only the lowest energy gap value. The peaks at 1.77 eV and 2 eV of the E$`||`$a $`\epsilon _2(\omega )`$ spectra correspond to the L2--L1+ and L2--L2+ transitions at $`\mathrm{\Gamma }`$ and X-points ($`\mathrm{\Delta }_2`$ and $`\mathrm{\Delta }_3`$ gaps), respectively. In the E$`||`$c polarized $`\epsilon _2(\omega )`$ spectra we observed three very low intensity peaks at about 2.2 eV, 2.6 eV and 3 eV. These transitions can be assigned as L$`{}_{1}{}^{}`$L1+ ($`\mathrm{\Delta }_4`$), L$`{}_{2}{}^{}`$L3+ and L$`{}_{1}{}^{}`$L3+, respectively. Because of the very low intensity of these modes, it was hardly possible to extract their exact positions from the noise level. The energies of all possible electron transitions between occupied and empty states are shown in the inset of Fig. 5(b).

Now we discuss the two higher energy features at about 4.1 eV and 5.2 eV. They have been already observed in a lot of cuprates, as discussed in Ref. Alonso . Alonso et al. Alonso  shown that in Nd2-xCexCuO4 the transition at about 4 eV originates from the Cu $`3d`$ \- Cu $`4p`$ intraionic transition and the highest energy transition about 5.2 eV occurs due to transition between the O $`2p`$ and the Cu $`4s`$ states. The existing band structure calculations of SrCuO2 are not detailed enough to corroborate this assignment.

Let us now consider Fig. 8, where the absorption coefficient spectra are presented. There is a large difference between the absorption edge positions for the E$`||`$c and the E$`||`$a polarizations. Besides that, the slope of the absorption coefficient is higher for the E$`||`$c then the E$`||`$a polarization, as a consequence of a quasi 1D character of this transition. A general approach to analyze the fundamental absorption edge is based on the use of the power-law behavior of $`\alpha (\omega )`$ in the vicinity of the band gap, $`E_{gap}`$. The absorption coefficient can be described as $`\alpha (\omega )=A(\omega E_{gap})^k`$, where $`A`$ is a slowly varying function which is regarded as a constant over the narrow range under study, and a number $`k`$ depends on the nature of an electron transition from the occupied to the empty band. The $`k`$ value is 1/2 for a direct transition and 2 for an indirect one. Thus, the $`\sqrt{\alpha (\omega )}(\omega E_{gap})`$ dependence can be used to obtain the indirect gap value by extrapolating the linear portion of this curve to intersect with the $`\omega `$ axis. The direct gap position can be extracted from a maximum of the first derivative of $`\alpha (\omega )`$ ($`\alpha ^{}(\omega )1/\sqrt{\omega E_{gap}}`$). This procedure is valid for a three dimensional case and for the parabolic electron energy dispersions.

The absorption spectra for strongly correlated electron systems were analyzed using the density of states vs. energy dependence of 1D Dressel  or 3D Zibold  semiconductors with parabolic energy dispersions. Actually, the dispersion branches in strongly correlated systems are parabolic in the vicinity of the high symmetry points of the BZ: cos $`p=1+p^2/2`$ around $`\mathrm{\Gamma }`$ ($`0`$) and cos $`p=1p^2/2`$ around Z ($`\pi `$). Furthermore, from the extrapolation of the linear part of the $`\alpha (\omega )`$ to the energy axis, we obtain the value of 1.52 eV (1.65 eV) for E$`||`$c (E$`||`$a) polarization. This energy is higher (lower), than that obtained by ellipsometric or reflectivity measurements. The complete agreement with ellipsometric and reflectivity data is achieved when we consider the E$`||`$c absorption edge as an indirect transition and the E$`||`$a as a direct one, which is illustrated in the left and the right insets of Fig. 8. Thus, we have concluded that the correlation gap in SrCuO2 represents the indirect transition of carriers between the occupied and the empty correlated subbands. The indirect transition requires a change in both energy and momentum of carriers, as our band structure calculations predict, see Fig. 5(a). It is well known that in semiconductors an electron momentum is conserved via an interaction with phonons Yu . For such conclusion here further experiments are necessary to clarify this point. They can be done by the transmission measurements through the samples of different thickness and/or comparison of photoluminescence with photoreflectance spectra.

Quite recently, based on the Bethe ansatz solution for the Hubbard chain it was shown Carmelo , that in an insulating state the optical conductivity can be described as $`\sigma (\omega )C(\omega E_{MH})^{1/2}`$, where $`E_{MH}`$ is the (Mott-Hubbard) gap. Since $`\alpha (\omega )\sigma (\omega )`$, this dependence has the same power-law as the one we used for the direct electron transition.

For the E$`||`$a polarization, the absorption edge shifts to higher energies by about 0.06 eV, when the temperature decreases from a room temperature to 5 K. For this electronic transition we cannot neglect hybridization of the Cu $`3d`$ with the O $`2p`$ bands. Thus, the absorption edge shifts to higher energies according to the change of the Cu-O distance with temperature. Besides that, this energy gap represents the transition between the dispersionless branches with very high effective electron masses and, consequently, with a strong influence of ligands. Because of that we believe that for the E$`||`$a polarization the absorption edge shift appears mainly due to dilatation of lattice by lowering the temperature.

In conclusion, we have investigated the electronic structure of the zigzag chain compound SrCuO2 combining polarized optical absorption, reflection, photoreflectance and pseudo-dielectric function measurements with theoretical estimations. At 300 K these measurements yield the energy gaps 1.42 eV and 1.77 eV along and perpendicular to the Cu-O chains, respectively. The electronic structure of this oxide is calculated using the LSDA with gradient corrections and the tight-binding method for the correlated electrons. The gap value of 1.42 eV (1.86 eV) is found for the electron hopping energies between copper sites along legs, $`t=0.30`$ eV, and between them, $`t_{yz}`$= 0.12 eV, with the Anderson-Hubbard parameter $`U=2.0`$ eV. The obtained experimental results and electronic structure calculations have shown that the SrCuO2 zigzag chain compound belongs to the low-dimensional insulators with the band gap of the correlated nature.

## Acknowledgments

Z. V. P., V. A. I. and O. P. K. acknowledge support from the Research Council of the K. U. Leuven and DWTC. The work at the K. U. Leuven is supported by the Belgian IUAP and Flemish FWO and GOA Programs. M. J. K. and Z. V. P. thank Roman Herzog - AvH - Bonn and University of Valencia, respectively, for partial financial support. V. A. I. acknowledges Yu. M. Kagan for fruitful discussions.


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# Interplay between perturbative and non-perturbative QCD in three-jet events

## 1 Introduction

Hadronic multi-jet events play a crucial rôle both in the context of precision tests of QCD and in the search for new physics, so that it has become essential to reach, in the analysis of multi-jet configurations, the same theoretical accuracy as in two-jet events. As a first step in this direction we aim to extend the “state-of-the-art ” of two-jet event shape variables such as Thrust (T), C-parameter, Broadening (B), to three-jet event shapes. This standard analysis consists in a resummed single logarithmic (SL) prediction, the exact fixed order result, the matching of the two and the non-perturbative power corrections.

We present here the (Thrust) Minor distribution, which gives a measure of the aplanarity of a three-jet event. The final answer is rather involved, since it reveals the rich colour and geometry structure of the hard underlying process ($`e^+e^{}q\overline{q}g`$).

The aim of this paper is to present only the main features of the Minor distribution, while all computational details may be found in a separate paper. In section 2 we introduce the observable and the distribution. The physical interpretation of the SL resummed PT result is explained in section 3. Section 4 is devoted to the power corrections. We conclude in section 5 giving some outlooks.

## 2 Observable and kinematics

The (Thrust) Minor ($`T_m`$) gives a measure of the cumulative out-of-event-plane momentum $`K_{\text{out}}`$:

$$T_mQ=\underset{i}{}\left|p_{ix}\right|K_{\text{out}}.$$
(1)
Here Q is the centre-of-mass energy, the sum is over all hadrons and we have fixed the z- and the y-axis along the thrust ($`T`$) and the thrust-major ($`T_M`$) axes respectively.

At Born level a three-jet event consists of a quark, an antiquark and a hard, non-collinear gluon. For kinematical reasons these partons lie in a plane, so that $`K_{\text{out}}=0`$. We denote by $`p_a`$ the energy ordered ($`p_1^0>p_2^0>p_3^0`$) parton momenta. There are essentially three Born configurations: we denote by $`\delta `$ ($`\delta =1,2,3`$) the configuration in which the momentum of the hard gluon is $`p_\delta `$ (see Fig. 1).

Beyond Born level one can study the “integrated” $`K_{\text{out}}`$-distribution $`\mathrm{\Sigma }_\delta (K_{\text{out}})`$, defined by

$$\frac{d\sigma _\delta (T,T_M,K_{\text{out}})}{dTdT_MdK_{\text{out}}}M_\delta ^2(T,T_M)\frac{d𝒱_\delta (K_{\text{out}})}{dK_{\text{out}}},$$
(2)
$$𝒱_\delta (K_{\text{out}})𝒞(\alpha _\text{s})\mathrm{\Sigma }_\delta (K_{\text{out}})+𝒟_\delta (K_{\text{out}}).$$
(3)
Here $`M_\delta ^2(T,T_M)`$ denotes the hard matrix element for the production of a quark-antiquark-gluon ensemble in the configuration $`\delta `$ for fixed $`T`$ and $`T_M`$. $`\mathrm{\Sigma }_\delta (K_{\text{out}})`$ resums all double (DL) and all single logarithms (SL). Hard emitted parton contributions are embodied both in the “coefficient function” $`𝒞(\alpha _\text{s})`$, which has an expansion in powers of $`\alpha _\text{s}(Q)`$, and in the “remainder function” $`𝒟(K_{\text{out}})`$, which vanishes for $`K_{\text{out}}0`$.

## 3 PT result

The PT resummed result to SL accuracy has the following structure

$$\mathrm{\Sigma }_\delta (K_{\text{out}})=e^{R(K_{\text{out}})}𝒮_\delta (K_{\text{out}}).$$
(4)
Here $`R`$ is a DL function which resums all soft and collinear parton emissions,

$$R(K_{\text{out}})=\underset{a}{}C_a_{K_{\text{out}}}^{Q_a^{\text{PT}}}\frac{dk_x}{k_x}\frac{2\alpha _\text{s}(2k_x)}{\pi }\mathrm{ln}\frac{Q_a^{\text{PT}}}{k_x}\stackrel{DL}{}C_T\frac{\alpha _\text{s}(Q)}{\pi }\mathrm{ln}^2\frac{Q}{K_{\text{out}}},$$
(5)
where $`C_a`$ is the colour charge of parton $`\mathrm{\#}a`$ ($`C_\delta =C_A,C_a=C_F`$ for $`a\delta `$) and $`C_T=2C_F+C_A`$ is the total colour charge of the hard quark-antiquark-gluon ensemble. Sources of SL corrections in $`R`$ are the running of the coupling, corrections due to hard collinear splittings and the dependence on the geometry through the three hard momentum scales $`Q_a^{\text{PT}}`$. Each of these scales has a nice geometrical interpretation: for the quark or the antiquark it is (proportional to) the $`q\overline{q}`$ invariant mass, for the hard gluon it is (proportional to) its invariant transverse momentum with respect to the $`q\overline{q}`$ dipole.

The remaining SL corrections, in particular those due to hard parton recoil, are embodied in the SL function $`𝒮`$. At first order in $`\alpha _\text{s}`$ (one secondary gluon emission), $`𝒮`$ is given by

$$𝒮=1\frac{2\alpha _\text{s}}{\pi }\mathrm{ln}\frac{Q}{K_{\text{out}}}(2C_1+C_2+C_3)\mathrm{ln}2.$$
(6)
This shows that the contribution to $`K_{\text{out}}`$ due to emission from the parton along the thrust axis ($`p_1`$) is twice the contribution of each of the remaining two emitters. There is a simple kinematical reason for this. Indeed the definition of the $`T`$\- and $`T_M`$-axes implies that when the secondary gluon $`k`$ is emitted from $`p_1`$ (see Fig. 2b) all three hard partons experience equal out-of-plane recoils,

$`k_z>0,`$ $`k_y>0:p_{1x}=k_x=p_{2x}=p_{3x}`$
$`k_y<0:p_{1x}=k_x=p_{2x}=p_{3x},`$
so that $`K_{\text{out}}=4\left|k_x\right|`$. On the other hand, when the secondary gluon is emitted from $`p_2`$ or $`p_3`$ (see Fig. 2c or d) only one hard parton recoils against it:

$`k_z<0,`$ $`k_y>0:p_{2x}=k_x;p_{1x}=p_{3x}=0`$
$`k_y<0:p_{3x}=k_x;p_{1x}=p_{2x}=0,`$
so that $`K_{\text{out}}=2|k_x|`$.

## 4 NP result

Power corrections arise because of emission of extra-soft gluons with transverse momentum of order $`\mathrm{\Lambda }_{QCD}`$. In this phase space region a pure PT approach is not possible. In fact, due to the growth of the PT coupling at low scales, the PT series have a factorial behaviour, see a recent review for details.  These effects (both PT and NP) are needed for precision tests of QCD and are a way to explore low energy regions.

The Ansatz we start from is that there exists an IR-finite running coupling defined at all scales in terms of a dispersive representation à la DMW. For a generic $`e^+e^{}`$ event shape variable ($`V`$) power corrections result in a shift of the PT distribution

$$\mathrm{\Sigma }(V)=\mathrm{\Sigma }^{\text{PT}}(V\delta V).$$
(9)
The NP part of the shift has the following general form:

$$\delta V=\rho (V)\frac{\mu _I\alpha _0}{Q}+𝒪\left(\alpha _\text{s}(Q)\frac{\mu _I}{Q}\right)\alpha _0(\mu _I)=\frac{1}{\mu _I}_0^{\mu _I}𝑑k\alpha _s(k).$$
(10)
Here $`\alpha _0`$ is the universal parameter which measures the strength of the strong interaction at low scales: it is the mean value of the full coupling constant (PT and NP) below a certain merging scale. $``$ is the Milan factor which takes into account two-loop corrections in a universal way. The coefficient function $`\rho (V)`$ is specific of the observable considered and can be computed via PT calculations.

As in the case of Broadening, the shift of the Minor distribution depends logarithmically on the hard parton recoil momenta ($`p_{ax}`$)

$$\mathrm{\Delta }K_{\text{out}}\underset{a}{}C_a\mathrm{ln}\frac{Q}{|p_{ax}|},$$
(11)
so that, once the shift $`\mathrm{\Delta }(K_{\text{out}})`$ in a generic PT configuration is known, the total shift is given by the average of its expression over the PT recoil distribution:

$$\delta K_{\text{out}}=\mathrm{\Delta }K_{\text{out}}_{\text{PT}}.$$
(12)
There are two interesting limiting cases, the region of well developed (multiple) PT radiation, i.e. $`\alpha _\text{s}\mathrm{ln}^2(K_{\text{out}}/Q)1`$ and the phase space region with only few hard PT partons, i.e. $`\alpha _\text{s}\mathrm{ln}^2(K_{\text{out}}/Q)1`$.

In the first case all three hard partons have similar recoils ($`p_{ax}K_{\text{out}}`$) and the shift results in

$$\delta K_{\text{out}}C_T\mathrm{ln}\frac{Q}{K_{\text{out}}}.$$
(13)
In the second case the shift depends on which hard parton controls the PT emission and therefore the recoil. It is therefore useful to single out in the total shift the contribution of each hard parton:

$$\delta K_{\text{out}}=\underset{a}{}\frac{C_a}{C_T}\delta K_{\text{out}}^{(a)}.$$
(14)
Here $`C_a/C_T`$ represents (roughly) the probability that PT radiation is due to emission from parton $`\mathrm{\#}a`$.

* PT emission from $`p_1`$: all three hard partons have similar out-of-plane recoils (see Eq.3), so that, as in the previous case, $`p_{ax}K_{\text{out}}`$ and the shift is a logarithm

$$\delta K_{\text{out}}^{(1)}(2C_F+C_A)\mathrm{ln}\frac{Q}{K_{\text{out}}}.$$
(15)
* PT emission from $`p_2`$: only the out-of-plane momentum $`p_{2x}`$ is fixed by PT radiation (see Eq.3), so that $`p_{2x}K_{\text{out}}`$ and one has to integrate over the PT distribution of the other two “free” hard partons:

$$\delta K_{\text{out}}^{(2)}\frac{C_F}{\sqrt{\alpha _\text{s}C_F}}+C_F\mathrm{ln}\frac{Q}{K_{\text{out}}}+\frac{C_A}{\sqrt{\alpha _\text{s}(C_F+C_A)}}.$$
(16)
In this case the shift contains a $`1/\sqrt{\alpha _\text{s}}`$ enhancement coming from the average of $`\mathrm{ln}Q/p_{ax}`$ ($`a=1,3`$) in Eq. 11 over the corresponding DL Sudakov form factor. Similar considerations hold for PT emission from $`p_3`$.

## 5 Conclusions and outlook

Special features of Thrust Minor distributions are the richness of the geometry dependent structure and the sensitivity to large angle soft gluon emissions.

The next step will be to extend this calculation to hadron-hadron collisions, where one has to take into account effects due to initial state radiation.

## Acknowledgements

The work here presented has been done in collaboration with Pino Marchesini and Yuri Dokshitzer. We are thankful to Gavin Salam for helpful discussions and suggestions. One of us (G.Z.) would like to express her gratitude towards the organisers of the ISMD conference for the stimulating and pleasant atmosphere.


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# Magnetic charge of finite lifetime in SU(2) gluodynamics

## 1 Introduction

Quantum Chromodynamics (QCD) QCD  is widely accepted as the theory of strong interactions due to its experimentally verifyable feature of asymptotic freedom in the UV momentum regime (see for example ref. Beneke  and references therein). A perturbative treatment of the theory in the IR domain is excluded by a large coupling constant. Non-perturbative techniques are necessary and partial successes in explaining the low energy phenomenology of strong interactions, such as spontaneous chiral symmetry breaking and the axial U(1) problem, have been achieved this way (see ref. Schafer  and references therein). However, the basic observation that no free color charges exist in nature is understood only poorly so far.

The dual superconductor picture of the non-perturbative QCD vacuum dates back to the mid seventies Mandelstam . It provides an appealing mechanism for color confinement due to the formation of color electric fluxtubes linking colored objects immersed in a condensate of magnetic charges. The resulting potential, linear in the (large) separation between the charges, is determined by an effective, universal scale $``$ the string tension. The occurence of magnetic charges in SU($`n`$) Yang-Mills theory was made transparent in the process of the so-called maximal Abelian gauge fixing (MAGF) thooft . Due to this fixing gauge transformations belonging to the maximal Abelian subgroup U(1)n-1 of SU($`n`$) are unconstrained and the resulting Abelian gauge theory has electric and magnetic charges. A rather successful model $``$ the dual Ginzburg-Landau theory $``$ has been employed to effectively mimic the low energy sector of SU($`n`$) Yang-Mills theory after MAGF Suzuki . To classically describe the deconfinement phase transition induced by finite temperature a non-renormalizable version of the dual Ginzburg-Landau theory has been put forward recently Hofmann .

Yet no analytical derivation of magnetic monopole condensation has been given although rather impressive results were obtained from the lattice Cherno . However, the lattice detection of monopole trajectories has its inherent uncertainties (see below). Exact classical solutions to the Yang-Mills equations subjected to Abelian projection have been investigated more recently in view of their magnetic charge content Gubarev ; Brower ; Reinhardt . Concerning charges of finite lifetime the results are not conclusive in the case of instantons since either the gauge fixing functional diverges for non-infinitesimal monopole trajectories Gubarev  or the monopole loop is infinitesimal Brower ; Reinhardt . The investigation of field configurations, which are not exact solutions to the Yang-Mills equations (instanton/anti-instanton pair), are usually carried out on the lattice. Since the lattice provides a UV cutoff and thereby has a limited resolution and since only approximative solutions have been looked at the claimed detection of finite monopole loops is not well established.

The purpose of this work is to point out the presence of long-lived magnetic charge due to exact, self-dual solutions to the SU(2) Yang-Mills equations and to investigate their effect on the static quark potential at infinite separation. The fact that a solution possessing infinite action has a vanishing contribution to the partition function is delt with by an appropriate subtraction in the spirit of ref. thooft2 . The divergence of the action is traced back to singularies of the action density on a hypersurface. In ref. thooft  the appearance of magnetic monopoles in SU($`n`$) gauge theory was made manifest after imposing a non-propagating gauge which leaves the maximal Abelian subgroup U(1)n-1 invariant. This gauge condition demands that a matrix quantity, say the field strength component $`F_{12}`$, transforming homogeneously under gauge transformations, be diagonal. In particular, for the case of SU(2) it is easy to shown that at points, where this condition is no constraint on the corresponding gauge transformations, the inhomogeneous part of the gauge transformation of $`A_\mu `$ is singular and contains an Abelian, magnetic monopole Toki . Due to the Coulomb-like behavior of the magnetic field strength in the vicinity of such a point the action of the field configuration formally diverges, and hence it must be regularized phenomenologically. The solution discussed obeys the differential Abelian projection condition away from the singularities, and hence the restriction to its diagonal component is suggested.

In the present work magnetic charge is identified by means of the Coulomb-like behavior of the field strength of a fictitious charge moving toward (away from) a spatial point which turns into a singularity at a certain pair of time slices. The definition of the physical action is performed in analogy to defining the mass of a static point charge in classical electrodynamics. A covariant cutoff for the action functional is introduced which, in principle, can be determined phenomenologically.

Summarizing, the line of reasoning in this work is as follows: Classical, self-dual, infinite action solution, which is regular almost everywhere, possesses a converging action integral in the infinite, and is in Abelian gauge (Section 2) $``$ presence of magnetic charge $``$ infinite action (Section 3) $``$ phenomenological action regularization (Section 4). In addition, the static quark/anti-quark potential in a dilute gas is calculated for infinite spatial separation in Section 5. Thereby, the integral over size distribution is assumed to be identical to that of the instanton case. The result is compared to the potential due to a dilute instanton gas.

## 2 Classical solution

A class of winding, BPS staturated solutions to the SU(2) classical Yang-Mills equations in Euclidean spacetime was found a long time ago in ref. BPST . These solutions have finite classical action $`S=1/(4g^2)d^4xF_{\mu \nu }^aF_{\mu \nu }^a=8\pi ^2/g^2`$ and spontaneously break eight of the symmetries of the classical theory. They are (anti)self-dual, that is

$$F_{\mu \nu }^a=\pm \epsilon _{\mu \nu \kappa \lambda }F_{\kappa \lambda }^a,$$
(1)
and are known as instantons. As first suggested by Gribov instantons can be interpreted as tunneling trajectories linking topologically distinct vacua Gribov . In the last 20 years or so there has been an enormous industry relating the presence of these solutions in the non-perturbative QCD vacuum to low energy phenomenology, namely the $`U(1)_A`$ problem and spontaneous chiral symmetry breaking (see ref. Schafer  and references therein). However, the issue of color-confinement, which should be an important consequence of QCD, has not been satisfactorily settled by the instanton calculus Gross ; Diakonov2 .

For gauge group SU(2), in singular gauge, and for center $`z=0`$ the instanton solution is given as

$$A_\mu ^a=2\overline{\eta }_{a\mu \nu }\rho ^2\frac{x_\nu }{x^2(x^2+\rho ^2)},$$
(2)
with $`\overline{\eta }_{a\mu \nu }\frac{i}{2}\text{tr}(\tau _a\tau _\mu ^{}\tau _\nu ^+)`$, $`\tau _\mu ^\pm =(\stackrel{}{\tau },i)`$, and $`\tau _a`$ the Pauli matrices. The solution (2) can be obtained as follows Diakonov . Making the ansatz

$$A_\mu ^a=\overline{\eta }_{a\mu \nu }x_\nu \frac{1+\varphi (x^2)}{x^2},$$
(3)
the action takes the form

$$S=\frac{8\pi ^2}{g^2}\frac{3}{2}𝑑\tau \left\{\frac{1}{2}(\varphi ^{})^2+\frac{1}{8}(\varphi ^21)^2\right\},\tau \mathrm{ln}\left(\frac{x^2}{\rho ^2}\right),$$
(4)
where $`\rho `$ is some length scale. A BPS saturated vacua interpolation of the theory (4) is

$$\varphi =\mathrm{tanh}\left(\frac{\tau }{2}\right).$$
(5)
Substituting this into eq. (3), one obtains the solution of eq. (2). Indeed, evaluating the action yields

$$S=\frac{8\pi ^2}{g^2}\frac{3}{8}𝑑\tau \mathrm{cosh}^4(\frac{\tau }{2})=\frac{8\pi ^2}{g^2}.$$
(6)
Another BPS saturated solution to the equation of motion corresponding to (4) is obtained by letting $`\tau \tau +\tau _0`$ in (5). Thereby, $`\tau _0`$ may be complex as long as the new solution is real. This is necessary to have a real action. Admissible complex shifts are $`\tau _0=in\pi `$ with $`n𝐙`$. Choosing $`\tau _0=i\pi `$ yields

$$\varphi \mathrm{coth}\left(\frac{\tau }{2}\right).$$
(7)
Note that (5) and (7) behave identically in the infinite. For the Yang-Mills potential eq. (7) implies

$$A_\mu A_\mu =2\overline{\eta }_{a\mu \nu }\rho ^2\frac{x_\nu }{x^2(x^2\rho ^2)}.$$
(8)
The corresponding anti-solution (negative topological charge density) is obtained by substituting $`\overline{\eta }_{a\mu \nu }\eta _{a\mu \nu }`$. Formally, the action of solution (8) reads

$$S=\frac{8\pi ^2}{g^2}\frac{3}{8}𝑑\tau \mathrm{sinh}^4(\frac{\tau }{2}).$$
(9)
It diverges due to the quartic pole of the integrand at $`\tau =0`$ and not due to a diverging integral in the infinite. An infinite action of a classical solution generally is sufficient cause to disregard this solution on grounds of its vanishing contribution to the partition function of the theory. As it will be explained below there is physical information in the solution (8), and hence it will not be dismissed.

The surface of divergence of (8) is the 3-sphere $`x^2=\rho ^2`$. For this reason it is refered to as spheron throughout the remainder of the paper. Writing the spheron as

$$A_\mu ^a=\overline{\eta }_{\mu \nu }^a_\nu \mathrm{log}\left(1\frac{\rho ^2}{x^2}\right),$$
(10)
it is obvious that away from the singularities the following two sets of conditions are fulfilled

$$\left(_\mu \pm iA_\mu ^3\right)A_\mu ^\pm =0,_\mu A_\mu ^a=0,$$
(11)
where $`A_\mu ^\pm A_\mu ^1\pm iA_\mu ^2`$. The first set expresses the fact that the spheron is in ’t Hoofts maximal Abelian gauge (MAG)thooft  which leaves a U(1) subgroup of SU(2) unfixed. Globally, this is mirrored by a minimum of the functional

$`G_M[A]`$ $`=`$ $`{\displaystyle \frac{1}{4}}{\displaystyle d^4x\left\{A_\mu ^1(x)A_\mu ^1(x)+A_\mu ^2(x)A_\mu ^2(x)\right\}}`$ (12)
$`=`$ $`2{\displaystyle d^4x\frac{\rho ^4}{x^2(x^2\rho ^2)^2}}`$
under gauge transformations Brower  if the divergence on $`x^2=\rho ^2`$ is cut out (see Section 4). Obeying of the second set of conditions in (11) indicates that the spheron is Lorentz gauged. Restricting oneself to the diagonal component, which is suggested by MAG and Abelian dominance (see for example Suzuki2 ), the Lorentz gauge guarantees the minimization of the functional

$$G_L[A]=\frac{1}{4}d^4xA_\mu ^3(x)A_\mu ^3(x)=d^4x\frac{\rho ^4}{x^2(x^2\rho ^2)^2}$$
(13)
under U(1) gauge transformations Zakharov .

Back to the problem of a diverging action: It is argued in the following that our poor understanding of the nature of charged particles in classical electrodynamics must necessary carry over to a classical, Abelian projected SU(2) (and more general SU($`n`$)) gauge theory in which the appearance of localized U(1) charges is expected Mandelstam ; thooft . The term ”poor understanding” refers to the fact that the classical self-energy of a static point charge is divergent. In classical electrodynamics the usual procedure is to constrain the corresponding energy functional to regions of space with a regular behavior of the integrand to produce the observed mass of the associated particle. In the quantum theory of electrodynamics (QED) the mere introduction of a mass parameter into the Lagrangian accounts in an effective fashion for the aforementioned process in the limit of zero coupling 111In principle, the mass of the particle can then still be determined gravitationally.. At nonzero coupling the mass starts to run (albeit slowly in QED due to an IR conformal point) with the momentum probing it. Going from the IR regime up to large momenta (yet below the Landau pole) the gross contribution to the mass is of a classical origin as the weak logarithmic dependence on momentum shows. From the viewpoint of Abelian projection it is thus not imperative to disregard a classical solution of infinite action due to divergences of the action density on hypersurfaces if these divergences can be attributed to U(1) charge in the Abelian projected theory (see ref. thooft2  where the subtraction of an infinite self energy was made explicit in the case of 2+1 dimensional QCD).

## 3 Magnetic charge

In this Section the consequences of Abelian projection applied to the spheron are investigated. For fixed times $`|x_4|\rho `$ there is a 2-sphere of divergence with radius $`\stackrel{~}{\rho }(x_4)=\sqrt{\rho ^2x_4^2}`$. At $`x_4=\rho `$ a pointlike singularity in 3-space emerges which starts expanding with Minkowski-space velocity $`v(x_4=\rho )=1/\sqrt{2}`$. The 2-sphere reaches its maximal radius $`\stackrel{~}{\rho }=\rho `$ at $`x_4=0`$ with velocity $`v(x_4=0)=0`$, and shrinks to a point at $`x_4=+\rho `$. At times $`|x_4|>\rho `$ there is no 2-sphere, and the field is regular in 3-space.

The underlying theory is matter-free and non-Abelian. The luxury of placing a static $`\delta `$-source on the right-hand side of Maxwell’s equation to obtain a Coulomb law for the corresponding field strength is absent. If attributed to the spatial divergences of the spheron field the life of a U(1) charge is highly dynamic and of limited duration. Hence, there are strong retardation and threshold effects which necessarily blurr the Coulomb picture. Moreover, in the case of accelerated magnetic charge the conservation of magnetic flux can be realized by a smeared flux distribution in contrast to the static Dirac string. Thus, at $`x_4=\pm \rho `$ there may be divergences of $`\stackrel{}{B}^2`$ higher than quartic in $`|\stackrel{}{x}|`$. It is then not justified to read off the magnetic charge from the ”residue” belonging to a fourth-order Coulomb pole $`|\stackrel{}{x}|=0`$ of $`\stackrel{}{B}^2`$ at $`x_4=\pm \rho `$. However, if there is charge a Euclidean space observer placed at $`|\stackrel{}{x}|=0`$ measures squares of field strengths that are quartically divergent as $`x_4\rho `$. Close to the singularity this behavior can be attributed to a fictitious charge moving uniformely at Euclidean ”speed-of-light” along one of the spatial coordinate axis toward the observer222The Lorentz boost connecting the rest-frame of this charge to that of the observer is a O(4) rotation $`T`$ of angle $`\frac{\pi }{2}`$. For a charge moving along the 1-axis one has
$$T=\left(\begin{array}{cccc}0& 1& 0& 0\\ 1& 0& 0& 0\\ 0& 0& 1& 0\\ 0& 0& 0& 1\end{array}\right).$$
(14) It is easy to check that the boost $`T`$ leaves the field strength components $`E_1`$ and $`B_1`$ invariant.. At $`x_4=\rho `$ the hypothetical charge materializes, that is, there is a genuine singularity at $`\stackrel{}{x}=0`$. After Abelian projection the squares of electric and magnetic charges can thus be read off as the ”residues” of the fourth-order Coulomb pole at $`x_4=\rho `$ ($`\stackrel{}{x}=0`$) in $`\stackrel{}{E}^2`$ and $`\stackrel{}{B}^2`$, respectively. At $`x_4=\rho `$ ($`\stackrel{}{x}=0`$) a similar argument applies. The situation is summarized in Fig. 2.

Using eq. (10) and the properties of the $`\eta `$-symbols, one easily obtains

$`\stackrel{}{E}^2`$ $``$ $`\left(_4A_i^3_iA_4^3\right)^2=\left(_4A_i^3\right)^22_4A_i_iA_4^3+\left(_iA_4^3\right)^2`$ (15)
$`=`$ $`\left(_1_4h(x^2)\right)^2+\left(_2_4h(x^2)\right)^2+\left(_4^2h(x^2)\right)^2+`$
$`\left(_1_3h(x^2)\right)^2+\left(_2_3h(x^2)\right)^2+\left(_3^2h(x^2)\right)^2`$
$`2_4^2h(x^2)_3_4h(x^2),h(x^2)\mathrm{log}(1{\displaystyle \frac{\rho ^2}{x^2}}).`$
For $`x_4\pm \rho `$ and $`\stackrel{}{x}=0`$ eq. (15) reduces asymptotically to

$$\stackrel{}{E}_{x_4\pm \rho ,\stackrel{}{x}=0}^2=\frac{1}{|x_4\rho |^4}.$$
(16)
Converting from the non-perturbative to the perturbative definition of $`A_\mu `$ by virtue of $`A_\mu \frac{1}{g}A_\mu `$ and comparing with the standard Coulomb expression, the magnitude of the electric charge $`e`$ is read off as

$$|e|=\frac{4\pi }{g}.$$
(17)
For $`\stackrel{}{B}^2`$ one finds

$$\stackrel{}{E}^2\left(\epsilon _{ijk}\left[_jA_k^3_kA_j^3\right]\right)^2=4\left((_mA_n^3)^2_mA_n^3_nA_m^3\right),$$
(18)
where the expression in terms of derivatives of $`h(x^2)`$ has been omitted. The ”residue” of the Coulomb pole $`m`$ turns out to vanish. Eqs. (17) signals that $`e`$ fulfills the Dirac condition with respect to the SU(2) coupling $`g`$. Thus it should be interpreted as a magnetic charge333The corresponding quark doublet would have electric charge $`\pm \frac{1}{2}g`$ thooft .. This can be made manifest by exploiting the following charge rotation symmetry of Maxwell’s equations thooft

$`m`$ $``$ $`m\mathrm{cos}\alpha +e\mathrm{sin}\alpha ,`$
$`e`$ $``$ $`m\mathrm{sin}\alpha +e\mathrm{cos}\alpha ,`$ (19)
which allows to rotate $`e`$ into $`m`$ for $`\alpha =\frac{\pi }{2}`$. In Fig. 3 the angular distribution of $`\stackrel{}{E}^2`$ at three different instants is depicted.

The concentration of field strength in the ”northern” hemisphere at $`x_4=\rho `$ evolves to a mirror symmetric distribution at $`x_4=0`$. At $`x_4=\rho `$ field strength is concentrated in the ”southern” hemisphere.

At this point it is worth comparing the above results to the work of ref. Brower . There, an infinitesimal magnetic monopole loop was obtained by looking at singular gauge transformations applied to an instanton in singular gauge. These transformations were parametrized by a radius scale $`R`$ deviding spacetime into ”outer” and ”inner” regions, with the gauge transformed instanton in singular and regular gauge, respectively. The MAG functional turned out to be stabilized at $`R=0`$, that is, back at the instanton. Now, the instanton has finite action. Does this contradict the things said before? It does not because the identified magnetic charge lives only infinitesimally short in such a way as to keep the action finite. In ref. Brower  further investigations toward the detection of finite-size monopole loops were carried out on the lattice for an instanton/anti-instanton (I-A) pair. Since the lattice naturally provides a UV cutoff field strength divergences remain hidden. Furthermore, the I-A system is not an exact solution to the equation of motion and the results of an abelian projection may heavily depend on the chosen ansatz for a variational principle approach444In the streamline approach there is no stabilization at finite distance between the centers Yung  whereas in the simple sum ansatz there is Diakonov1 .. Thus, the claimed detection of monopole loops in the I-A system using the lattice Brower  remains questionable.

## 4 Regularized action

In this Section a covariant definiton of the physical spheron action is suggested. For the spheron to be of relevance its contribution to the partition function (or tunneling amplitude in Minkowski space) must be seizable. Moreover, its topological charge is up to the factor $`8\pi ^2/g^2`$ equal to the action (for the anti-spheron equal minus the action) and is strictly positive (negative) for finite cutoff. In classical electrodynamics the cutoff for the energy functional of the electron’s Coulomb field is determined from its measured mass. Similarily, estimating the mean topological susceptibility of the vacuum $`\epsilon _{\mu \nu \kappa \lambda }F_{\kappa \lambda }^aF_{\mu \nu }^a`$ in terms of the measured masses $`m_\eta ^{},m_K,m_\pi ,m_\eta `$ by means of the Veneziano-Witten relation VenWit  or estimating the gluon condensate by means of QCD sum rules SVZ , one could, in principle, approximate the action cutoff for the spheron phenomenologically. For now the covariant cutoff $`\tau _m`$ is simply assumed to produce the classical action $`S=8\pi ^2/g^2`$ of the instanton. The cut off action integral for the spheron is evaluated as

$`S_s`$ $`=`$ $`{\displaystyle \frac{8\pi ^2}{g^2}}\left({\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{8}}\left[\mathrm{cosh}(3\tau _m/2)3\mathrm{cosh}(\tau _m/2)\right]\mathrm{sinh}^3(\tau _m/2)\right),`$
$`\tau _m`$ $``$ $`\mathrm{log}(x_m^2/\rho ^2).`$ (20)
Setting $`S_s=8\pi ^2/g^2`$, one obtains $`\tau _m=\mathrm{log}3`$. In units of $`\rho `$ the minimal distance $`\xi `$ to the sphere consequently is $`\xi \sqrt{\mathrm{exp}(\tau _m)}10.73`$. For this particular value the MAG functional of eq. (12) yields

$$G_M[A]=4\pi ^2\rho ^2\frac{1}{\mathrm{exp}(\tau _m)1}=2\pi ^2\rho ^2$$
(21)
as opposed to $`G_M[A]=4\pi ^2\rho ^2`$ for the instanton in singular gauge. In Section 5 the cutoff will be varied to test the sensitivity of the static quark potential.

## 5 Wilson loop in a dilute spheron gas

In this Section the static quark/anti-quark potential $`E(R)`$ is estimated from the rectangular Wilson loop555Time-like lines of integration separated by spatial distance $`R`$ and running from $`\mathrm{}`$ to $`+\mathrm{}`$. in a dilute spheron gas background and compared to that of a dilute instanton gas for infinite spatial separation $`R\mathrm{}`$. All conventions and general results, which do only exploit the localization property of the instanton in singular gauge, can be taken from ref. Gross . There, $`E(R)`$ was obtained as

$$E(R)=d^3x\frac{d\rho }{\rho ^5}D_n(\rho )\frac{1}{n}\text{tr}\left(U^+(\stackrel{}{x})U^{}(\stackrel{}{x}+\stackrel{}{R})1\right),$$
(22)
where

$$U^\pm 𝒫\text{exp}\left(\pm i𝑑x_4A_4(\stackrel{}{x})\right),$$
(23)
$`𝒫`$ demands path-ordering, $`D_n(\rho )`$ denotes the spheron size distribution in a dilute gas for gauge group SU($`n`$), where quantum fluctuations are included in a semiclassical way. For $`R\mathrm{}`$ one has $`U^{}(\stackrel{}{x}+\stackrel{}{R})+1`$. In this limit eq. (22) reduces to666Note that the authors of ref. Gross  work in regular gauge whereas here the spheron behaves like an instanton in singular gauge in the infinite, thus $`lim_R\mathrm{}U^{}(\stackrel{}{x}+\stackrel{}{R})=+1`$ and not $`1`$ as in Gross .

$`\underset{R\mathrm{}}{lim}E_s(R)`$ $`=`$ $`{\displaystyle d^3x\frac{d\rho }{\rho ^5}D_n(\rho )\frac{1}{n}\text{tr}\left(U^+(\stackrel{}{x})1\right)}`$ (24)
$``$ $`{\displaystyle d^3x\frac{d\rho }{\rho ^5}D_n(\rho )\frac{1}{n}f_s(u)},`$
where $`u\sqrt{\stackrel{}{x}^2/\rho ^2}`$. It is assumed here that the integral over spheron and instanton size distributions are identical777The spheron cutoff is close to $`\rho `$ for topological charge of order one. A constant factor not too far from unity distinguishes instanton and spheron distributions since there are slightly different scales involved and also due to the low lying non-zero mode eigenvalues of gaussian operators in the respective backgrounds being different (one-loop contribution to tunneling amplitude thooft1 ; Gross ). There is no easy estimate of these effects, and one would have to perform the one-loop calculation directly along the lines of ref. thooft1 . Furthermore, the cutoff for the size integrations may phenomenologically turn out to be different for the instanton as opposed to the spheron case.. Implementation of the covariant cutoff $`\tau _m`$ and computation of the $`x_4`$ integral of eq. (23) yields

$`f_s(u)=`$ (25)
$`\text{tr}\left(\text{exp}\left(2i\rho ^2\stackrel{}{\sigma }\stackrel{}{x}{\displaystyle _{\sqrt{\rho ^2\epsilon _m\stackrel{}{x}^2}}^{\mathrm{}}}𝑑x_4{\displaystyle \frac{1}{(x_4^2+\stackrel{}{x}^2)(x_4^2+\stackrel{}{x}^2\rho ^2)}}\right)1\right)`$
$`=`$ $`2(\mathrm{cos}\{\pi 2\mathrm{arctan}\left({\displaystyle \frac{\sqrt{\epsilon _mu^2}}{u}}\right)\}+`$
$`\theta (u1)\times \mathrm{cos}\left\{{\displaystyle \frac{u}{\sqrt{u^21}}}\left[\pi +2\mathrm{arctan}\left(\sqrt{{\displaystyle \frac{\epsilon _mu^2}{u^21}}}\right)\right]\right\}+`$
$`\theta (1u)\times \mathrm{cos}\left\{{\displaystyle \frac{u}{\sqrt{1u^2}}}\mathrm{log}\left({\displaystyle \frac{\sqrt{\epsilon _mu^2}\sqrt{1u^2}}{\sqrt{\epsilon _mu^2}+\sqrt{1u^2}}}\right)\right\}1).`$
Using $`\epsilon _m\mathrm{exp}(\tau _m)=3`$ from Section 4 and performing the remaining space integral of eq. (24), one has

$`\underset{R\mathrm{}}{lim}E_s(R)`$ $`=`$ $`{\displaystyle \frac{d\rho }{\rho ^2}\frac{1}{n}D_n(\rho )_0^{\sqrt{\epsilon _m}}𝑑uu^2f_s(u)}`$ (26)
$``$ $`{\displaystyle \frac{d\rho }{\rho ^2}\frac{1}{n}D_n(\rho )\times 8\pi \times 1.52}.`$
The result for the instanton in singular gauge is

$$f_i(u)\text{tr}\left(U^+1\right)=2\left(\mathrm{cos}\left\{\pi \left[1\frac{u}{\sqrt{1+u^2}}\right]\right\}1\right),$$
(27)
which implies

$`\underset{R\mathrm{}}{lim}E_i(R)`$ $`=`$ $`4\pi {\displaystyle \frac{d\rho }{\rho ^2}\frac{1}{n}D_n(\rho )}`$
$`{\displaystyle _0^{\mathrm{}}}𝑑uu^2f_s(u)`$ $``$ $`{\displaystyle \frac{d\rho }{\rho ^2}\frac{1}{n}D_n(\rho )\times 8\pi \times 1.10}.`$ (28)
Hence, for a cutoff chosen to give spheron and instanton identical topological charge the $`\rho `$-independent parts of the integrands are comparable. Setting $`\xi =1`$ and thereby avoiding the problem of slightly different scales in the cut off solution, the number 1.52 in eq. (26) changes to 2.41. For even higher cutoff, $`\xi =\sqrt{5}11.24`$, one obtains 3.52. Depending on the phenomenologically favorable cutoff this might have implications for color confinement would it qualitativly carry over to the spheron liquid. In ref. Diakonov2  the static quark/anti-quark potential in the instanton liquid was evaluated for two average instanton sizes $`\overline{\rho }`$. The values $`\overline{\rho }=600`$MeV-1 and $`\overline{\rho }=400`$MeV-1 yielded $`lim_R\mathrm{}E_i140`$MeV and $`lim_R\mathrm{}E_i460`$MeV, respectively. This asymptotic behavior is approached rapidly (at $`R2`$fm one has $`E_i110,`$MeV $`\overline{\rho }=400`$MeV-1). Concentrating on the case $`\xi =1`$, 3.2 times these values (instanton plus spheron contributions) are $`lim_R\mathrm{}(E_s+E_i)450`$MeV and $`lim_R\mathrm{}(E_s+E_i)1.5`$GeV which includes the range of spectral continuum thresholds $`\sqrt{s_0}1.2\mathrm{}1.4`$ GeV successfully used in light-quark channel QCD sum rules SVZ . This means that the out-of-the-vacuum creation of a light pair of current quark and anti-quark eventually turning into the massive constituents of hadrons (conceivably not without exciting more current quark/anti-quark pairs) would happen to a good approximation in the asymptotically free regime and thereby be supported by a large phase space. In this picture the notion of absolut quark confinement due to an infinite static quark potential for infinite separation seems too restrictive. It would be sufficient to demonstrate that the integrated probability of the aforementioned pair creation process is practically unity for separations comparable to or smaller than typical hadron sizes. At this point the somewhat speculative nature of the above considerations is stressed: Apart from the question of how physical the assumption is that the spheron’s topological charge takes values around unity it is necessary to calculate the numerical factor distinguishing instanton and spheron size distributions for decisive statements. Moreover, it is not quite clear how much the interaction between anti-instantons with spherons (and vice versa) and the interaction between spherons and anti-spherons would alter what was said above. It is hoped that these uncertainties can be positively eliminated in the near future. At this stage the above results still should be taken as another serious indication that the physics of color confinement may be linked to the existence of long-lived magnetic charges in the vacuum of the corresponding SU($`n`$) gauge theory.

## 6 Summary

In this work the identification of long-lived magnetic charges in the the vacuum of SU($`2`$) Yang-Mills theory has been persued. The existence of a self-dual, infinite action solution to the classical Yang-Mills equation, which obeys the differential Abelian projection conditions away from its singularities, proved essential for this identification. Furthermore, the Abelian component of this solution is in Lorentz gauge which suggests an interesting connection to the recently discussed appearance of a mass dimension two condensate in QCD Zakharov . For the solution to contribute to the partition function in an essential way its physical action must be small. In analogy to the definition of the mass of a static point charge in classical electrodynamics a covariant cutoff for the action has been introduced. In this work it was chosen such as to give topological charge of order one to the solution. The Wilson loop in a dilute gas was evaluated, and the static quark/anti-quark potential for infinite spatial separation was extracted. It turned out that this number can be seizably higher than the one obtained in a dilute instanton gas if identical integrals over size distributions are assumed.

The question whether one can describe low energy phenomena in QCD in a semi-classical way starting from its classical Lagrangian remains. It is well possible that the influence of quantum fluctuations generates a quantum effective action at low scales which is even qualitatively different from the classical theory. However, the hope is there that at least the relevant degrees of freedom in the low energy domain can be identified in the classical theory.

## Acknowledgements

The author thanks G. Gabadadze and M. Pospelov for stimulating discussions at an early stage of this work. Useful conversations with T. ter Veldhuis are appreciated. The fertile atmosphere at Theoretical Physics Institute and the hospitality extended to the author, in particular by M. Shifman, are gratefully acknowledged. The author thanks Karin Thier for her understanding and her endurance during the past year’s hardships of spatial separation. This work was funded by Deutscher Akademischer Austauschdienst (DAAD).

Figure 1: The integration contours for the formal action functional.
Figure 2: The Euclidean world-volume of singular magnetic flux due to the spheron field after Abelian projection.
Figure 3: Angular distribution of $`\stackrel{}{E}^2`$ at $`x_4=\rho `$ (a), $`x_4=0`$ (b), and $`x_4=\rho `$ (c) for $`\rho =1`$ and spatial distance from the singularity $`\zeta =0.5`$.


text:
# 1 Introduction

## 1 Introduction

Recently there has been interest in a specific and predictive framework for the origin of soft supersymmetry breaking within the MSSM, known as Anomaly Mediated Supersymmetry Breaking (AMSB). The basic AMSB solution is given by:

$`M`$ $`=M_0{\displaystyle \frac{\beta _g}{g}}`$
$`h^{ijk}`$ $`=M_0\beta _Y^{ijk}`$
$`(m^2)^i_j`$ $`={\displaystyle \frac{1}{2}}|M_0|^2\mu {\displaystyle \frac{d\gamma ^i_j}{d\mu }}.`$ (1)
where $`M`$ is the gaugino mass, $`h^{ijk}`$ the $`\varphi ^3`$ coupling $`Y^{ijk}`$ the superpotential Yukawa coupling and $`(m^2)^i_j`$ the $`\varphi \varphi ^{}`$-mass. They are all given in terms of the gravitino mass, $`M_0`$, and the RG functions $`\beta _g`$ and $`\gamma ^i_j`$ of the unbroken theory. It is interesting that two of these relations were first developed in an attempt to construct RG trajectories; the results for $`M,h,m^2`$ satisfy exactly the formulae for the corresponding $`\beta `$-functions given, for example in ).

Direct application of the AMSB solution to the MSSM leads, unfortunately, to negative $`(\text{mass})^2`$ sleptons: in other words, to a theory without a vacuum preserving the $`U_1`$ of electromagnetism. We explore two distinct resolutions of this dilemma, both based on generalising the AMSB solution, while retaining the crucial property of RG invariance, which makes the low energy theory insensitive to the nature of new physics at high scales. (For some other approaches see Refs. -). Both our ideas are based on extending the MSSM with an extra $`U_1`$; in the second case this $`U_1`$ being associated with an $`R`$-symmetry. In both cases it transpires that requiring RG invariance of the generalised AMSB solution means that the $`U_1`$ must have no mixed anomalies with the MSSM gauge group. Also in both cases, a distinguishing feature of the results is the existence of sum rules for the sparticle masses.

## 2 Fayet-Iliopoulos D-terms

A modification of the AMSB solution which has been studied in some detail is the simple replacement $`m^2\widehat{m}^2`$ where

$$(\widehat{m}^2)^i{}_{j}{}^{}=(m^2)^i{}_{j}{}^{}+m_0^2\delta ^i{}_{j}{}^{}.$$
(2)
Here $`m^2`$ is the basic AMSB solution form Eq. (1) and $`m_0^2`$ is constant. This is not RG invariant (for constant $`m_0^2`$), but if instead we have

$$(\widehat{m}^2)^i{}_{j}{}^{}=(m^2)^i{}_{j}{}^{}+m_0^2\underset{a=1}{\overset{𝒩}{}}k_a(Y_a)^i_j$$
(3)
then $`\widehat{m}^2`$ is RG invariant, as long as each $`Y_a`$ corresponds to a $`U_1`$ invariance of the superpotential $`W`$ and also has vanishing mixed anomaly with each MSSM gauge group factor. This apparent miracle occurs because in fact the modification to $`m^2`$ proposed in Eq. (3) is precisely that introduced by a set of Fayet-Iliopoulos (FI) $`D`$-terms.

In the MSSM, there is a non-zero FI-term, but this cannot alone solve the slepton problem because its $`(\text{mass})^2`$ contributions to the LH and RH sleptons have opposite signs, being dictated by the hypercharge of the relevant field. The minimal solution we proposed was the introduction of a single extra $`U_1`$, which we denote $`U_1^{}`$. The MSSM does not admit such a generation independent) anomaly-free $`U_1`$ so we need to introduce some new fields to cancel the associated anomalies. However cancellation of the mixed anomalies can be achieved within the MSSM itself; the hypercharges of the quark and Higgs multiplets are determined in terms of the lepton hypercharges, so that the MSSM admits two independent mixed-anomaly-free $`U_1`$ groups, the existing $`U_1^Y`$ and another (which could be chosen to be $`U_1^{BL}`$). If we also require absence of $`(U_1^{})^3`$ and $`U_1^{}`$-gravitational anomalies this can be achieved by introducing a set of MSSM singlets with $`U_1^{}`$ charges $`s_i`$ and imposing the constraints

$`{\displaystyle \underset{i=1}{\overset{N}{}}}s_i`$ $`=3(2Y_L^{}+Y_{\tau ^c}^{}),\text{and}`$
$`{\displaystyle \underset{i=1}{\overset{N}{}}}s_i^3`$ $`=3(2Y_L^{}+Y_{\tau ^c}^{})^3,`$ (4)
where the existing MSSM $`U_1`$ corresponds of course to $`s_i=2Y_L^{}+Y_{\tau ^c}^{}=0`$.

The classification of rational solutions to Eq. (2) is an interesting Diophantine problem; but as explained in , all we require for the RG invariance of Eq. (3) is the existence of the sets of charges $`Y_a`$; there need be no relic of the associated gauge symmetry (or the singlets $`S_i`$) in the low energy theory. This is the point of view we will take from now on.

In Table (1) we give a possible set of $`U_1^{}`$ charges with the $`U_1^Y`$ ones for comparison. This set of $`Y^{}`$ charges correspond to requiring $`\mathrm{Tr}(YY^{})=0`$; of course the result is a linear combination of $`U_1^Y`$ and $`U_1^{BL}`$. The outcome is that the squark and slepton masses are given by

$`\overline{m}_Q^2`$ $`=`$ $`m_Q^2+{\displaystyle \frac{1}{6}}\zeta _1+\zeta _2Y_Q^{},\overline{m}_{t^c}^2=m_{t^c}^2{\displaystyle \frac{2}{3}}\zeta _1+\zeta _2Y_{t^c}^{},`$
$`\overline{m}_{b^c}^2`$ $`=`$ $`m_{b^c}^2+{\displaystyle \frac{1}{3}}\zeta _1+\zeta _2Y_{b^c}^{},\overline{m}_L^2=m_L^2{\displaystyle \frac{1}{2}}\zeta _1+\zeta _2Y_L^{},`$
$`\overline{m}_{\tau ^c}^2`$ $`=`$ $`m_{\tau ^c}^2+\zeta _1+\zeta _2Y_{\tau ^c}^{}`$ (5)
where dependence on the FI coefficients, the Higgs vevs and the singlet sector is subsumed into the parameters $`\zeta _{1,2}`$. There is a substantial region of the $`\zeta _{1,2}`$-plane such that all the above $`\overline{m}^2`$ parameters are positive (the precise region depending on the input $`\mathrm{tan}\beta `$). The result is interesting phenomenology. The gaugino spectrum is the same as in previous AMSB scenarios, with a near degenerate wino and neutralino, the latter being (in some regions of parameter space) the LSP.

For a choice of $`m_0=40\mathrm{T}\mathrm{e}\mathrm{V}`$, $`\mathrm{tan}\beta =5`$, $`\zeta _1=0.2`$, $`\zeta _2=.02`$, we find $`|\mu _s|=645\mathrm{G}\mathrm{e}\mathrm{V}`$ and (choosing $`\mu _s>0`$) a mass spectrum given by:

$`m_{\stackrel{~}{t}_1}`$ $`=`$ $`575,m_{\stackrel{~}{t}_2}=861,m_{\stackrel{~}{b}_1}=825,m_{\stackrel{~}{b}_2}=1040,m_{\stackrel{~}{\tau }_1}=137,m_{\stackrel{~}{\tau }_2}=339,`$
$`m_{\stackrel{~}{u}_L}`$ $`=`$ $`931,m_{\stackrel{~}{u}_R}=851,m_{\stackrel{~}{d}_L}=935,m_{\stackrel{~}{d}_R}=1045,m_{\stackrel{~}{e}_L}=139,m_{\stackrel{~}{e}_R}=339,`$
$`m_{\stackrel{~}{\nu }}`$ $`=`$ $`112,m_{h,H}=110,455,m_A=453,m_{H^\pm }=461,m_{\stackrel{~}{\chi }_{1,2}^\pm }=104,649`$
$`m_{\stackrel{~}{\chi }_{1\mathrm{}4}}`$ $`=`$ $`103,366,648,658,m_{\stackrel{~}{g}}=1007,`$ (6)
where all masses are given in GeV.

A characteristic feature of the present setup is the existence of sparticle mass sum rules such as

$$m_{\stackrel{~}{t}_1}^2+m_{\stackrel{~}{t}_2}^2+m_{\stackrel{~}{b}_1}^2+m_{\stackrel{~}{b}_2}^22(m_t^2+m_b^2)=2.75m_{\stackrel{~}{g}}^2.$$
(7)
The numerical coefficient here depends only on the input $`\mathrm{tan}\beta `$ (here taken to be $`\mathrm{tan}\beta =5`$), and also (weakly) on $`m_0`$, here taken to be $`40\mathrm{T}\mathrm{e}\mathrm{V}`$.

## 3 R-symmetry and Yukawa textures

There is an alternative generalisation of the AMSB solution for $`m^2`$ from Eq. (1) as follows:

$$(m^2)^i{}_{j}{}^{}=\frac{1}{2}|m_0|^2\mu \frac{d\gamma ^i_j}{d\mu }+\overline{m}_0^2(\gamma ^i{}_{j}{}^{}+\overline{q}^i\delta ^i{}_{j}{}^{}).$$
(8)
This is also RG invariant to all orders as long as $`\overline{q}^i`$ satisfy the following constraints:

$`(\overline{q}^i+\overline{q}^j+\overline{q}^k)Y_{ijk}`$ $`=`$ $`0`$
$`2\mathrm{Tr}\left[\overline{q}C(R)\right]+Q`$ $`=`$ $`0,`$ (9)
where $`Q`$ is the one loop $`\beta _g`$ coefficient and $`C(R)`$ is the quadratic matter Casimir. It is easy to show that Eq. (3) corresponds precisely to requiring that the theory have a non-anomalous $``$-symmetry (which we denote $``$, to avoid confusion with our notation $`R`$ for group representations). If we set

$$\overline{q}^i=1\frac{3}{2}r^i,$$
(10)
then we see that Eq. (3) corresponds to $`(r^i+r^j+r^k)Y_{ijk}=2Y_{ijk}`$, which is the conventional $``$-charge normalisation.

Turning to the MSSM we find that, as in the previous section, our solution will retain the crucial RG invariance as long as all the mixed anomalies of the $``$-symmetry with the MSSM gauge group vanish. The MSSM does not admit such a generation independent $``$-symmetry; however it does admit one that permits only 3rd generation Yukawa couplings and has identical $``$-charges for the first two generations. We find that this can be achieved for for arbitrary values of the leptonic charges with the quark and Higgs charges determined as follows (we work with the fermionic charges, related to the $``$-charges by $`q_f=r1`$):

$`q_3`$ $`=`$ $`{\displaystyle \frac{4}{9}}{\displaystyle \frac{1}{3}}l_3{\displaystyle \frac{1}{9}}{\displaystyle \frac{\overline{\kappa }}{\kappa }}`$
$`u_3`$ $`=`$ $`{\displaystyle \frac{22}{9}}{\displaystyle \frac{2}{3}}l_3e_3+{\displaystyle \frac{1}{9}}{\displaystyle \frac{\overline{\kappa }}{\kappa }}`$
$`d_3`$ $`=`$ $`{\displaystyle \frac{4}{9}}+{\displaystyle \frac{4}{3}}l_3+e_3+{\displaystyle \frac{1}{9}}{\displaystyle \frac{\overline{\kappa }}{\kappa }}`$
$`q_1`$ $`=`$ $`{\displaystyle \frac{101}{90}}{\displaystyle \frac{1}{3}}\kappa +{\displaystyle \frac{1}{15}}l_3+{\displaystyle \frac{1}{5}}e_3+{\displaystyle \frac{1}{30}}\overline{\kappa }+{\displaystyle \frac{1}{18}}{\displaystyle \frac{\overline{\kappa }}{\kappa }}`$
$`u_1`$ $`=`$ $`{\displaystyle \frac{79}{90}}{\displaystyle \frac{2}{3}}\kappa {\displaystyle \frac{16}{15}}l_3{\displaystyle \frac{6}{5}}e_3{\displaystyle \frac{1}{30}}\overline{\kappa }{\displaystyle \frac{1}{18}}{\displaystyle \frac{\overline{\kappa }}{\kappa }}`$
$`d_1`$ $`=`$ $`{\displaystyle \frac{101}{90}}+{\displaystyle \frac{4}{3}}\kappa +{\displaystyle \frac{14}{15}}l_3+{\displaystyle \frac{4}{5}}e_3{\displaystyle \frac{1}{30}}\overline{\kappa }{\displaystyle \frac{1}{18}}{\displaystyle \frac{\overline{\kappa }}{\kappa }}`$
$`h_2`$ $`=`$ $`h_1=l_3+e_3+1,`$ (11)
where $`\kappa =l_1l_3+e_1e_33`$, and $`\overline{\kappa }=12l_316e_3+10e_123`$. As explained above, we have imposed $`q_1=q_2`$ etc.

Thus for any set of rational values for the leptonic charges there exist rational values for all the charges. it is clear therefore that we can potentially resolve the tachyonic slepton problem, since we can choose the lepton $``$-charges so that all the $`\overline{q}`$ contributions to Eq. (8) are positive for the sleptons. Of course we will need to check that the corresponding contributions for the squarks and Higgses do not cause problems.

We can get a different handle on the $``$-charge assignments by relating them to a possible origin of the light quark and lepton masses. Suppose there are higher-dimension terms in the effective field theory of the form (for the up-type quarks) $`H_2Q_iu_j^c(\frac{\theta }{M_U})^{a_{ij}}`$ or $`H_2Q_iu_j^c(\frac{\overline{\theta }}{M_U})^{\overline{a}_{ij}}`$, where $`\theta ,\overline{\theta }`$ is a pair of MSSM singlet fields with $``$-charges $`\pm r_\theta `$ that get equal vacuum expectation values, and $`M_U`$ represents some high energy new physics scale (with similar terms for the light down quarks and leptons). Evidently the $``$-charge assignments will then dictate the texture of the Yukawa couplings, via the relation $`h_2+q_1+u_1+a_{11}r_\theta =1`$ and similar identities. if we suppose identical textures for the down quarks and leptons then we find

$$\kappa =\frac{3}{2},\overline{\kappa }=\frac{21}{2}\frac{9}{4}\lambda ,$$
(12)
where $`\lambda =2l_3+e_3`$. The only value of $`\lambda `$ we have found which leads to nice textures with only one pair of $`\theta `$, $`\overline{\theta }`$ fields is $`\lambda =\frac{1}{3}`$, which leads to the set of fermionic $``$-charges shown in Table (2).

With this charge assignment we find, (for arbitrary $`e`$) but setting $`r_\theta =\frac{3}{8}`$, Yukawa textures of the form

$$\mathrm{\Delta }_u=\left(\begin{array}{ccc}ϵ^4& ϵ^4& ϵ\\ ϵ^4& ϵ^4& ϵ\\ ϵ^5& ϵ^5& 1\end{array}\right),\mathrm{\Delta }_d=\mathrm{\Delta }_L=\left(\begin{array}{ccc}ϵ^4& ϵ^4& ϵ\\ ϵ^4& ϵ^4& ϵ\\ ϵ^3& ϵ^3& 1\end{array}\right)$$
(13)
The quark and lepton mass hierarchies and the CKM matrix can be produced with matrices of these generic structures, see . The phenomenology of Flavour Changing Neutral Currents (in both hadronic and leptonic sectors) and CP-violation effects clearly deserve a detailed investigation.

It is easy to show that as long as $`\frac{1}{3}<e<\frac{1}{3}`$ and $`\overline{m}_0^2<0`$, the contribution to each slepton mass term due to the $`\overline{q}`$ term in Eq. (8) will be positive, and we may expect to achieve a viable spectrum; however, it turns out that it is still non-trivial to obtain an acceptable minimum because, for example, if $`e=0`$ and $`\overline{m}_0^2<0`$, the $`\overline{m}_0^2\overline{q}`$ contributions to Eq. (8) from $`u_3`$, $`q_1`$ and $`d_1`$ are negative. We find in fact that we need to have $`e<0`$.

A variety of mass spectra for $`m_0=40\mathrm{T}\mathrm{e}\mathrm{V}`$ (corresponding to a gluino mass of around $`1\mathrm{T}\mathrm{e}\mathrm{V}`$), but with different values of $`\mathrm{tan}\beta `$, $`e`$ and $`\overline{m}_0^2`$, is presented in table 3; we were unable to find any values of $`e`$ and $`\overline{m}_0^2`$ corresponding to an acceptable spectrum for $`\mathrm{tan}\beta `$ significantly larger than $`10`$. The heaviest sparticle masses scale with $`m_0`$ and are given roughly by $`M_{\mathrm{SUSY}}=\frac{1}{40}m_0`$. A characteristic feature of AMSB models is the near-degenerate light charged and neutral winos; this prediction, as in the FI case, is preserved in the scenario presented here. The main distinction from the FI case is the large splitting between the third generation and the other two, caused by the generation-dependent $``$-charge assignments. Moreover, unusual is the possibility (exemplified in the first three columns of table 3) that the $`\stackrel{~}{\nu }_\tau `$ is the LSP. As is well known, radiative corrections give a sizeable upward contribution to the mass of the light CP-even Higgs, and so we have included the one-loop calculation.

As in the FI case, however, a salient feature of the model is the existence of sum rules for the sparticle masses. These sum rules follow from Eq. (3); and thus for the particular solution exhibited in table 3, they are independent of $`e`$. We find for example the following relation:

$$m_{\stackrel{~}{t}_1}^2+m_{\stackrel{~}{t}_2}^2+m_{\stackrel{~}{b}_1}^2+m_{\stackrel{~}{b}_2}^22(m_t^2+m_b^2)2.75m_{\stackrel{~}{g}}^2=0.92\overline{m}_0^2\mathrm{TeV}^2,$$
(14)
where we have again taken $`\mathrm{tan}\beta =5`$ and $`m_0=40\mathrm{T}\mathrm{e}\mathrm{V}`$.

Note the similarity with the corresponding one in the FI scenario described in the previous section, Eq. (7); the distinction lies in the non-zero RHS in Eq. (14), which can be traced back to the dependence on $`\gamma `$ in Eq. (8).

## 4 Conclusions

We have shown that by extending the MSSM with a $`U_1`$ or a $`U_1^R`$ (which may or may not be associated with a physical vector boson), it is possible to construct solutions to the running equations for $`m^2`$, $`M`$ and $`h`$ that are completely RG invariant, and leads to a phenomenologically acceptable theories, resulting in a distinctive spectrum with sum rules for the sparticle masses. In both cases the additional source of supersymmetry-breaking may be provided by the vacuum expectation value of a $`D`$-term.

In a recent paper, it was shown how our first scenario can be compatible with currently fashionable braneworld scenarios, with breaking of both supersymmetry and the extra $`U_1`$ occurring on a hidden brane; the incorporation of massive neutrinos was also considered. It would be interesting to perform a similar construction for the $``$-symmetry case.

Acknowledgements

Warm thanks to Ian Jack, with whom all the work described here, and more, was done. I am also grateful to the Leverhulme Trust and PPARC for financial support, and to Howie Haber and the other organisers of RADCOR 2000 for the opportunity to visit Carmel and participate in this meeting.


text:
# Obtaining the Wakefield Due to Cell-to-Cell Misalignments in a Linear Accelerator Structure

## Acknowledgments

The authors thanks V. Dolgashev for carefully reading this manuscript.