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# Excitation of Orbital Eccentricities by Repeated Resonance Crossings: Requirements

## 1 INTRODUCTION

Orbital eccentricities of extrasolar giant planets can be surprisingly large compared to their counterparts in the solar system (see, e.g., the review by Marcy, Cochran, & Mayor 2000). Figure 1 displays the distribution of eccentricities of 93 extrasolar planets, downloaded from the California and Carnegie Planet Search website (http://exoplanets.org). Aside from those “hot Jupiters” whose eccentricities were likely damped by tidal interactions with their central stars, most giant planets occupying stellocentric distances between $``$0.2 and $``$2 AU have eccentricities near 0.35, and a few have eccentricities ranging up to 0.93.

A variety of mechanisms have been introduced to excite planetary eccentricities. These theories can be divided into three categories: those that rely on interactions between the planet and another point mass, be it a star or planet; those that rely on interactions between the planet and the circumstellar disk from which that planet coalesced; and “hybrid” theories that implicate both another body and the disk. Kozai-resonant forcing by a binary stellar companion (Holman, Touma, & Tremaine 1997) and violent encounters between two or more planets formed within close proximity (Rasio & Ford 1996; Weidenschilling & Marzari 1996; Ford, Havlickova, & Rasio 2001; Marzari & Weidenschilling 2002) belong in the first category. In the second category, one of the most recent and inclusive studies is by Goldreich & Sari (2002), who demonstrate that interactions between a planet and a disk at first-order Lindblad resonances can excite the planet’s eccentricity provided that eccentricity exceeds a threshold value. In the third category belongs the formation scenario proposed for the planetary system GJ 876 (Marcy et al. 2001; Lee & Peale 2002); this scenario involves convergent orbital migration of two planets, followed by capture of these planets into a mean-motion resonance and continued migration within that resonance. This is a hybrid mechanism because the required planetary migration is driven by an underlying disk, while each planet’s eccentricity is directly excited by the other planet. A different hybrid scenario may have played out for planet c in the system Upsilon Andromedae (Butler et al. 1999; Chiang, Tabachnik, & Tremaine 2001). A primordial disk may have directly excited the eccentricity of the outermost planet, d; secular interactions between d and c could then have siphoned off the eccentricity of the former to grow that of the latter (Chiang & Murray 2002). As a bonus, this mechanism can also explain the heretofore puzzling alignment of orbital apsides exhibited by c and d. This process has been explored both in the adiabatic (Chiang & Murray 2002) and impulsive (Malhotra 2002) limits.

Yet another hybrid mechanism has been introduced by Chiang, Fischer, & Thommes (2002, hereafter CFT), who point out that if two planets migrate within a circumstellar disk such that their orbital trajectories diverge, then their eccentricities can increase as the planets cross a series of mean-motion resonances. The closer the initial ratio of orbital periods is to unity, the greater the number of resonances that are crossed and the greater the mutual excitation of eccentricities. Jupiter-mass planets on slowly divergent orbits that cross the 2:1 and higher-order resonances have their eccentricities grown from initial values $`0.05`$ to values $``$0.4. Chiang & Murray (2002) discuss in which of the known multiple planet systems divergent resonance crossings might have occurred.

In initially proposing the mechanism of repeated resonance crossings via divergent migration, CFT ignored the disk’s direct effects on the planets’ eccentricities. This follow-up paper to their proposal restores such effects. We quantitatively evaluate the conditions under which divergent migration and the excitation of eccentricities by resonance crossings can occur. In §2, we provide three such necessary requirements and evaluate them for giant planets embedded within gaseous circumstellar disks. In §3, we test one of these requirements by numerical integration of Jovian-mass planets on divergent trajectories. There, we also show explicitly which mean-motion resonances are the principal amplifiers of orbital eccentricities. In §4, we evaluate these conditions for the comparatively tiny shepherd moons that confine narrow planetary rings in our own solar system; the divergent migration of ring shepherds affords the most accessible laboratory we have for studying repeated resonance crossings. A summary and critical discussion of our principal findings, including directions for future research, are given in §5.

## 2 REQUIREMENTS FOR PLANETS

We consider the planets to be embedded within a circumstellar disk having surface density $`\mathrm{\Sigma }`$ and kinematic viscosity $`\nu =\alpha c_sh`$ at stellocentric distance $`r`$, where $`c_s`$ is the gas sound speed, $`h=c_s/\mathrm{\Omega }`$ is the vertical gas scale height, $`\mathrm{\Omega }`$ is the orbital angular frequency, and $`0<\alpha <1`$ is a dimensionless constant. Planetary masses, orbital semi-major axes, and orbital eccentricities are denoted by $`M`$, $`a`$, and $`e`$, respectively, with subscript 1 (2) denoting the inner (outer) planet. The masses of the disk and of the planets are assumed to be small compared to the mass of the star, $`M_{}`$. In numerically evaluating quantities, we will take $`c_s=1(r/\mathrm{AU})^{9/14}\mathrm{km}/\mathrm{s}`$, $`h/r=0.05(r/\mathrm{AU})^{2/7}`$, $`\alpha =10^2`$, $`M/M_{}=10^3`$, and $`M_{}=M_{}`$ (see, e.g., Chiang et al. 2001; Hartmann et al. 1998).

We assume that the planets open gaps about their orbits and migrate only by dint of disk viscosity. This mode of migration is referred to as “Type II” (Ward 1997). An upper limit for the gap-opening mass, above which planets do open gaps but below which planets might not, is given by

$$\mathrm{max}M_{\mathrm{gap}}=\frac{2c_s^3}{3\mathrm{\Omega }G}8(r/\mathrm{AU})^{6/7}M_{},$$
(1)
where $`G`$ is the gravitational constant and $`M_{}`$ represents an Earth mass (Lin & Papaloizou 1993; Rafikov 2002). A planet exceeding this mass excites strongly non-linear density waves at principal Lindblad resonances situated near the location of the torque cut-off, i.e., having azimuthal wavenumbers $`m\mathrm{\Omega }r/c_s`$. These waves shock upon launch, releasing the angular momentum which they carry to disk gas. We define the gap width, $`w`$, to be the distance between the planet and the disk edge which it shepherds. The gap width is estimated by setting the viscous torque, $`3\pi \nu \mathrm{\Sigma }\mathrm{\Omega }r^2`$, equal to the total tidal torque, $`\mathrm{\Sigma }\mathrm{\Omega }^2r^4(r/w)^3(M/M_{})^2`$, exerted over all principal Lindblad resonances up to wavenumber $`m_{\mathrm{max}}2r/3w`$ to one side of the planet:

$$\frac{w}{r}0.2\left(\frac{10^2}{\alpha }\right)^{1/3}\left(\frac{r/h}{20}\right)^{2/3}\left(\frac{M/M_{}}{10^3}\right)^{2/3}$$
(2)
(Goldreich & Sari 2002, hereafter GS, and references therein). This estimate employs the standard, linear torque formula for principal Lindblad resonances \[see, e.g., equation (10) of Goldreich & Porco 1987\].

Based on the estimate of the upper bound on $`M_{\mathrm{gap}}`$ given by equation (1), we would expect Jupiter-mass ($`M=M_J=300M_{}`$) planets at $`r30\mathrm{AU}`$ to open gaps. Uranus-mass ($`M=M_U=14M_{}`$) planets open gaps inside $`r1\mathrm{AU}`$. Equation (1) notwithstanding, bodies having $`M<M_U`$ can open gaps throughout the disk, depending on the local viscosity, temperature, and surface density; more precise estimates of $`M_{\mathrm{gap}}`$ are provided by Rafikov (2002; see his Figure 5), who employs a realistic prescription of wave dissipation by non-linear steepening to calculate the conditions for which Type I migration solutions transition to Type II solutions (see also Ward 1997; Ward & Hourigan 1989; Goodman & Rafikov 2001).

We identify the following three requirements for divergent resonance crossings.

### 2.1 Ring Shepherding

For the ratio of the orbital period of the outer planet to that of the inner planet to diverge, a ring of viscous material must be shepherded between the two planets. As the ring diffuses in radius by virtue of its intrinsic viscosity, the two planets are wedged further apart.

The requirement of ring shepherding supersedes the requirement originally proposed by CFT that the viscous diffusion time, $`t_D=r^2/\nu `$, increase with $`r`$. Even if the latter condition were satisfied, material must exist just outside of the inner planet to drive that planet further inwards; otherwise, disk material just outside of the outer planet would cause the outer planet’s orbit to converge upon that of the inner one.

A ring will fail to be shepherded if it does not span enough wave dissipation lengths. For example, if a wave that is excited by the inner planet near the inner ring boundary propagates across the ring to the outer ring boundary and damps there, then disk gas at the latter edge would be forced past the outer planet. Similar conclusions obtain for waves excited in the ring by the outer planet. Such “anti-shepherding” has been observed in numerical simulations by Bryden et al. (2000).

How many dissipation lengths can be accommodated by the rings of interest here? For the giant planetary masses under consideration, the lengthscale over which waves dissipate, $`l_d`$, is not likely to greatly exceed $`h`$ since the waves are already marginally non-linear at launch. The ring width is $`\mathrm{\Delta }r=a_2a_12w`$. Just prior to the planets crossing a $`p`$:$`p+q`$ resonance of order $`|q|`$, where $`p`$ and $`q`$ are integers and $`p>p+q>0`$, we have $`a_2=[p/(p+q)]^{2/3}a_1`$. Then we require

$$\frac{\mathrm{\Delta }r}{l_d}20\left[\left(\frac{p}{p+q}\right)^{2/3}10.3\left(\frac{10^2}{\alpha }\right)^{1/3}\left(\frac{r/h}{20}\right)^{2/3}\left(\frac{M/M_{}}{10^3}\right)^{2/3}\right]\frac{r/h}{20}\frac{h}{l_d}1.$$
(3)
If $`p=2`$ and $`q=1`$, then for our choice of normalizations, $`\mathrm{\Delta }r/l_d5`$. The ring would be barely wide enough for waves not to propagate across it, and then only for $`\alpha 10^2`$. For $`\alpha <10^2`$, the gaps excavated by both planets would be so wide that no ring could exist. The simulations by Bryden et al. (2000; see their section 4) employ an effective $`\alpha 10^2`$; it is therefore not surprising that their rings fail to be confined. It would be interesting to repeat their simulations with $`\alpha 10^2`$.

Our calculation is sufficiently imprecise—most notably with respect to the dissipation length, which we have taken to be $`l_d=h`$—that ring confinement may be impractical for the low-order ($`|q|=1`$) resonant configurations that generate the largest eccentricity jumps. Even if $`wr`$, then $`\mathrm{max}(\mathrm{\Delta }r)/h=10`$. Our uncertainty is probably best addressed by high-fidelity numerical simulations that can follow the evolution and dissipation of non-linear density waves.

### 2.2 Slow Crossing

For two planets to mutually excite their eccentricities by resonant interaction, the duration of passage through the resonance must be longer than the resonant libration period (see, e.g., Dermott, Malhotra, & Murray 1988):

$$\frac{\mathrm{\Delta }a_{\mathrm{res}}}{|\dot{a}_2\dot{a}_1|}T_l,$$
(4)
where $`\mathrm{\Delta }a_{\mathrm{res}}`$ is the width of the resonance and $`T_l`$ is the resonant libration period. This requirement is tested numerically in §3.

With no important loss of generality, let us consider the migration of the inner planet through a resonance of order $`|q|`$ and take the outer planet to be the perturber on a fixed orbit. To order of magnitude,

$`T_l{\displaystyle \frac{2\pi }{\mathrm{\Omega }_1}}\sqrt{{\displaystyle \frac{M_{}}{M_2}}}e_1^{|q|/2},`$ (5)
$`\mathrm{\Delta }a_{\mathrm{res}}a_1\sqrt{{\displaystyle \frac{M_2}{M_{}}}}e_1^{|q|/2}.`$ (6)
These expressions are appropriate for $`e0.3`$ orbits in $`|q|>1`$ resonances, and $`0.3e0.1(M_2/M_{})^{1/3}0.01(M_2/M_J)^{1/3}`$ orbits in the 2:1 resonance \[Dermott et al. 1988; Murray & Dermott 1999; see the latter’s equations (8.58) and (8.76)\]. Insertion of (5) and (6) into (4) yields

$$\frac{a_1}{|\dot{a}_1|}\frac{2\pi }{\mathrm{\Omega }_1}\frac{M_{}}{M_2}e_1^{|q|}.$$
(7)
Now it is usually remarked (see, e.g., Ward 1997 and GS) that for Type II drift, $`|a/\dot{a}|a^2/\nu `$, the viscous diffusion time of the disk. But this statement cannot be true in the limit that the planet mass greatly exceeds the ring mass. We generalize the Type II drift velocity by setting the viscous torque equal to the rate of change of angular momentum of either the planet or the ring, whichever is more massive:

$$|\dot{a}_1|\frac{6\pi \nu \mathrm{\Sigma }r}{\mathrm{max}(M_1,2\pi \mathrm{\Sigma }r\mathrm{\Delta }r)}.$$
(8)
This expression is a rough estimate of the instantaneous drift velocity; it can be used to estimate the timescale for the radial dimension of the ring-planet system to expand by distances up to but not exceeding $`\mathrm{\Delta }r`$. Ignoring differences between $`a_1`$ and $`r`$, we employ (8) to re-write our criterion (7) as

$$\mathrm{max}(\frac{M_1}{2\pi \mathrm{\Sigma }r\mathrm{\Delta }r},1)0.2\frac{h/r}{0.05}\frac{h/\mathrm{\Delta }r}{0.2}\frac{10^2}{e_1^{|q|}}\frac{\alpha }{10^2}\frac{10^3}{M_2/M_{}}.$$
(9)
Thus, for our choice of normalizations, the planet mass must exceed the ring mass for the divergent migration to be sufficiently slow. Note in particular the dependence of our criterion (9) on the resonance order, $`|q|`$.

### 2.3 Fast Crossing

At the same time, the traversal of the resonance cannot occur so slowly that the disk’s direct influence on the planet’s eccentricity interferes with the resonant interaction between the two planets; in other words,

$$\frac{\mathrm{\Delta }a_{\mathrm{res}}}{|\dot{a}_2\dot{a}_1|}\left(\frac{e}{\dot{e}}\right)_{\mathrm{disk}\mathrm{induced}}.$$
(10)
That this inequality might fail to be true is a concern raised by Goldreich & Sari (2002); among the three requirements we discuss in this paper, it is the easiest one to satisfy.

We again restrict ourselves to analyzing the motion of the inner planet and take the outer planet to reside on a fixed orbit. Following GS, and ignoring differences between $`a_1`$ and $`r`$, we write

$$\mathrm{min}\left(\frac{e_1}{\dot{e}_1}\right)_{\mathrm{disk}\mathrm{induced}}\left(\frac{w}{r}\right)^4\frac{M_{}^2}{M_1\mathrm{\Sigma }r^2}\frac{1}{\mathrm{\Omega }}.$$
(11)
This timescale is derived by relating either the total first-order Lindblad torque or the total first-order co-rotation torque to the conservation of the Jacobi constant of the planet. It is a minimum estimate because it considers either type of torque alone. If both types of torques operate, their effects tend to cancel and the timescale for eccentricity change would increase by a factor of $`1/0.04622`$ (GS, and references therein). Conservatively proceeding with the minimum timescale, we combine equations (2), (6), (8), and (11) to re-write condition (10) as

$$10^2\left(\frac{\alpha }{10^2}\right)^{1/3}\left(\frac{h/r}{0.05}\right)^{2/3}\left(\frac{M_2/M_{}}{10^3}\right)^{1/2}\left(\frac{M_1/M_{}}{10^3}\right)^{2/3}\frac{e_1^{|q|/2}}{0.1}1,$$
(12)
where we have taken $`M_12\pi \mathrm{\Sigma }r\mathrm{\Delta }r`$, in accordance with requirement (9). Notice that there is no explicit dependence on the ring surface density; increasing $`\mathrm{\Sigma }`$ increases the rate of migration, but it also increases the rate of change of eccentricity by the same amount. Because inequality (12) is well satisfied, we conclude that each resonance crossing proceeds undistorted by the direct effects of the disk on the planet’s eccentricity. However, the disk’s direct effects would dominate while the planets migrate between resonances.

## 3 NUMERICAL EXPERIMENTS

We test relation (4) by numerical orbit integrations of two Jupiter-mass planets on divergent trajectories. Planet 1, of mass $`M_1=10^3M_{}`$, is taken to occupy initially an orbit of semi-major axis 1 AU and osculating eccentricity $`e_1=0.01`$ about a 1 $`M_{}`$ star. Planet 2, of identical mass to planet 1, initially occupies a co-planar orbit of semi-major axis 1.5 AU and eccentricity $`e_2=0.01`$. The periastra of the two orbits are initially $`0\mathrm{°}`$ apart. Planet 1 is placed at periastron, while planet 2 is located at apastron. Similar initial conditions were employed by CFT; this configuration, integrated forward by $`2\times 10^6\mathrm{yr}`$ with no differential migration imposed, does not betray any instability; semi-major axes remain within 1% of their initial values, and osculating eccentricities average to 0.025 each.

We execute 31 integrations characterized by 31 differential migration timescales. For a given integration, following CFT, we impose a drag force $`\stackrel{}{F}_{\mathrm{drag}}=M_1\stackrel{}{v}_1/t_{\mathrm{drag}}`$ on planet 1, where $`M_1`$ and $`\stackrel{}{v}_1`$ are the mass and instantaneous velocity of planet 1, and $`t_{\mathrm{drag}}`$ is the timescale over which $`a_1`$ decays. No drag force is applied to planet 2. The drag force is imposed at $`t_{\mathrm{start}}=500\mathrm{yr}`$ and removed at $`t_{\mathrm{stop}}=t_{\mathrm{start}}+0.2\times t_{\mathrm{drag}}`$. This prescription reduces $`a_1`$ from 1 AU to 0.67 AU nearly linearly with time; thus, $`\dot{a_1}=1.65\mathrm{AU}/t_{\mathrm{drag}}`$. In each simulation, the two planets cross the 2:1 and 3:1 resonances, among numerous higher-order resonances. Inserting the above speed into inequality (4), and evaluating $`\mathrm{\Delta }a_{\mathrm{res}}`$ and $`T_l`$ using the analytic expressions given in Murray & Dermott \[1999, see their equations (8.47) and (8.58)\], we calculate that $`t_{\mathrm{drag}}1\times 10^4\mathrm{yr}`$ for the 2:1 resonance to excite eccentricities effectively, assuming a pre-crossing eccentricity of 0.025. If the 2:1 resonance is effective, and eccentricities become excited to $``$0.1, then we calculate that $`t_{\mathrm{drag}}3\times 10^4\mathrm{yr}`$ for the 3:1 resonance to be similarly effective. How well do these order-of-magnitude criteria compare with numerical experiment?

Figure 2 displays the final eccentricities of planets 1 and 2 as a function of $`t_{\mathrm{drag}}`$. The final eccentricities equal the average eccentricities from $`t=t_{stop}`$ to $`t=t_{stop}+10^4\mathrm{yr}`$; these final values represent averages over secular timescales. The final eccentricities increase from $``$0.05 to $``$0.25 as $`t_{\mathrm{drag}}`$ increases from $`10^2\mathrm{yr}`$ to $`10^5\mathrm{yr}`$; for $`t_{\mathrm{drag}}>10^5\mathrm{yr}`$, the final eccentricities saturate, as we expect. We consider Figure 2 to largely verify relation (4). Requirement (4) is not as stringent as we might have guessed; even if $`t_{\mathrm{drag}}=3\times 10^3\mathrm{yr}`$, modest eccentricities of 0.09–0.15 can still be excited.

Figure 3 displays sample time evolutions of $`e_1`$ and $`e_2`$ for various choices of $`t_{\mathrm{drag}}`$. Jumps in eccentricity that occur upon crossing mean-motion resonances, most having $`|q|>1`$, are evident for $`t_{\mathrm{drag}}>10^4\mathrm{yr}`$. Eccentricity excitation is suppressed for shorter migration timescales. For $`t_{\mathrm{drag}}>10^5\mathrm{yr}`$, the final eccentricities are insensitive to $`t_{\mathrm{drag}}`$. Figure 4 identifies those mean-motion resonances that are responsible for the eccentricity jumps.

## 4 PROSPECTS FOR PLANETARY RINGS AND SHEPHERD MOONS

Narrow planetary rings shepherded by satellites potentially furnish a miniature stage upon which the processes of divergent migration and repeated resonance crossings unfold. We take the $`ϵ`$ ring of Uranus (Elliot & Nicholson 1984; Goldreich & Porco 1987; Porco & Goldreich 1987; Chiang & Goldreich 2000; Mosqueira & Estrada 2002) as our showcase example. To what extent does the $`ϵ`$ ring satisfy the 3 requirements above?

### 4.1 Ring Shepherding

Ring confinement is manifestly occurring. The dissipation length, $`l_d`$, for the $`ϵ`$ ring whose optical depth is of order unity is on the order of a scale height, $`h`$. Near the ring boundary, we evaluate $`l_dhc_s/\mathrm{\Omega }(1\mathrm{cm}/\mathrm{s})/(2\times 10^4\mathrm{rad}/\mathrm{s})50\mathrm{m}`$ (see, e.g., Chiang & Goldreich 2000, and references therein). The ring spans a width $`\mathrm{\Delta }r60\mathrm{km}`$; thus $`\mathrm{\Delta }r/l_d10^3`$.

### 4.2 Slow Crossing

The $`ϵ`$ ring is incredibly thin compared to its protoplanetary disk counterpart; in the ring interior, $`h5\mathrm{m}`$ (Chiang & Goldreich 2000), while $`r5\times 10^4\mathrm{km}`$.<sup>1</sup><sup>1</sup>1Velocity dispersions are $``$10$`\times `$ greater near the ring boundary than in the ring interior due to resonant perturbations by shepherd satellites (Borderies, Goldreich, & Tremaine 1982; Chiang & Goldreich 2000). In §4.2 and §4.4, we evaluate $`h`$ in the ring interior because the ring’s intrinsic flux of angular momentum due to interparticle collisions can be assessed there relatively undistorted by torques exerted by satellites, while in §4.1, we take $`h`$ near the ring boundary because satellite-excited waves damp in that vicinity. Moreover, the source of viscosity is relatively well understood in rings (but see §4.4); interparticle collisions for a ring of optical depth unity provide $`\alpha 1`$ (Goldreich & Tremaine 1978). The $`ϵ`$ ring shepherds, Cordelia and Ophelia, have estimated masses of $`M_15\times 10^{19}\mathrm{g}`$ and $`M_29\times 10^{19}\mathrm{g}`$, respectively, and orbital eccentricities of $`e_1=0.47(\pm 0.41)\times 10^3`$, and $`e_2=10.1(\pm 0.4)\times 10^3`$, respectively (Porco & Goldreich 1987). We assemble these data to re-normalize condition (9) as

$$\mathrm{max}(\frac{M_1}{2\pi \mathrm{\Sigma }r\mathrm{\Delta }r},1)0.2\frac{h/r}{10^7}\frac{h/\mathrm{\Delta }r}{8\times 10^5}\frac{10^3}{e_1^{|q|}}\frac{\alpha }{1}\frac{10^9}{M_2/M_U}.$$
(13)
It is a remarkable coincidence that the numerical coefficient on the right-hand side of equation (13) remains the same as that for (9) despite the vast difference in scales between planetary rings and protoplanetary disks. The mass of the $`ϵ`$ ring is estimated to be $`2\times 10^{19}\mathrm{g}`$ (Chiang & Goldreich 2000). Then the left-hand side of (13) equals $`\mathrm{max}(3,1)=3`$. Thus, the requirement of slow crossings is marginally satisfied.

### 4.3 Fast Crossing

We use the properties of the $`ϵ`$ ring cited above to re-normalize (12) as

$$2\times 10^5\left(\frac{\alpha }{1}\right)^{1/3}\left(\frac{h/r}{10^7}\right)^{2/3}\left(\frac{M_2/M_U}{10^9}\right)^{1/2}\left(\frac{M_1/M_U}{10^9}\right)^{2/3}\frac{e_1^{|q|/2}}{0.03}1.$$
(14)
Thus, eccentricity changes directly induced by the ring during resonance passage can be ignored.

### 4.4 Observational Signatures

Have resonance crossings left their imprint on Ophelia and Cordelia? The present ratio of orbital semi-major axes of the two moons is $`(a_2/a_1)_0=1.08065\pm 0.00004`$ (Porco & Goldreich 1987). The nearest first-order resonance that lies at a smaller ratio of semi-major axes is the 10:9 resonance: $`(a_2/a_1)_{10:9}=1.07277\pm 10^6`$, where the uncertainty measures the width of the resonance as roughly estimated by equation (6). To have crossed the 10:9 resonance, the satellite orbits must have expanded by $``$$`[(a_2/a_1)_0(a_2/a_1)_{10:9}]r400\mathrm{km}`$. Since this distance exceeds the radial width of the $`ϵ`$ ring ($`\mathrm{\Delta }r60\mathrm{km}`$), which we take to be the maximum length by which the ring-satellite system has expanded during its lifetime (but see also the last paragraph of this section), we conclude that the moons could not have crossed any first-order resonance in the past. This conclusion is consistent with Ophelia, the more massive of the pair, currently possessing the greater orbital eccentricity of the two; repeated resonance crossings would predict the opposite to be true. In our view, Ophelia’s aberrantly large eccentricity is primordial.

What about future crossings? The ratio of $`(a_2/a_1)_0`$ sits closest to, but does not overlap with, the 9:8 resonance: $`(a_2/a_1)_{9:8}=1.08169\pm 10^6`$. The satellite orbits must diverge by another $`\delta a_{9:8}[(a_2/a_1)_{9:8}(a_2/a_1)_0]r39\mathrm{km}`$ before resonance encounter.<sup>2</sup><sup>2</sup>2The 9:8 resonance splits into two subresonances, the so-called $`e`$ and $`e^{}`$ resonances (see Murray & Dermott 1999). The separation between them is 1 km and is due almost entirely to the oblateness of Uranus. The widths of these sub-resonances do not overlap. The event will be long in the waiting; the time of encounter lies $`\delta t_{9:8}=\delta a_{9:8}/\dot{a}_12\times 10^4\mathrm{yr}`$ in the future.<sup>3</sup><sup>3</sup>3Tides raised by the shepherds on the planet also engender divergent migration, but over timescales of order $`10^{10}\mathrm{yr}`$. Using relations derived by Dermott, Malhotra, & Murray (1988; see their Appendix B), we estimate the perturbation eccentricity after resonance crossing to be on the order of $`6\times 10^4`$ (= $`e_{\mathrm{crit}}`$ as defined by Dermott et al. 1988). This will be a minor perturbation for Ophelia but will be relatively significant for Cordelia.

What about the $`ϵ`$ ring’s direct effects on satellite eccentricities? Both first-order co-rotation torques and first-order Lindblad torques operate simultaneously in the $`ϵ`$ ring system, resulting in eccentricity damping on a timescale that is 22 $`\times `$ greater than that given by equation (11) (GS; Goldreich & Tremaine 1980). We estimate an exponential decay time for the satellite eccentricity of $``$$`3.6\times 10^7\mathrm{yr}`$, much longer than either $`\delta t_{9:8}`$ or the likely age of the ring.<sup>4</sup><sup>4</sup>4Tides raised by the planet on the shepherds damp their orbital eccentricities over $``$$`8\times 10^7\mathrm{yr}`$.

We note in passing that our expressions imply that the $`ϵ`$ ring is a young creation of the solar system. For the ring width to grow from $`\mathrm{\Delta }r/2`$ to its current width of $`\mathrm{\Delta }r`$ would require of order $`\delta t_{\mathrm{\Delta }r}\delta t_{9:8}\mathrm{\Delta }r/\delta a_{9:8}3\times 10^4\mathrm{yr}`$. If the viscous flux of angular momentum across the ring midline were higher in the past, we expect $`\delta t_{\mathrm{\Delta }r}`$ to approximate well the age of the ring. Even if the viscous flux were to remain constant at all stages of ring evolution—as might be expected if $`\mathrm{\Sigma }\nu \mathrm{\Sigma }/\tau `$ were conserved, where we have assumed that the ring’s vertical optical depth $`\tau 1`$ in the ring’s past—then we should multiply $`\delta t_{\mathrm{\Delta }r}`$ by a logarithm that is unlikely to increase our estimate of the ring age by more than an order of magnitude. Goldreich & Porco (1987) estimate an upper limit to the ring age by dividing the present-day viscous torque into the angular momentum required to be transferred from the inner shepherd to the outer shepherd to separate their orbital semi-major axes by their current difference of $``$4000 km. Using our estimate for the viscous torque, we evaluate their upper limit to be $``$$`1\times 10^6\mathrm{yr}`$. We consider this upper limit to be a gross one, since it assumes the satellite separation to be originally much smaller than its current value. In our view, a closer approximation to the ring age is obtained by assuming the ring width to be originally much smaller than its current value and the ring edges to occupy the same first-order resonances with the shepherds as they do now, in which case the initial satellite separation is within $``$98% of its current value. Additional uncertainty is introduced by the magnitude of the ring viscosity. Our above expressions employ the viscosity appropriate to a dilute gas (Goldreich & Tremaine 1978) of sound speed $`c_s0.1\mathrm{cm}/\mathrm{s}`$ and turbulence parameter $`\alpha \tau /(\tau ^2+1)1`$. Then $`\nu =\alpha c_s^2/\mathrm{\Omega }50\mathrm{cm}^2/\mathrm{s}`$. If ring particles are instead closely packed and behave more like an incompressible liquid, then the viscosity attains its minimum value of $`\mathrm{\Omega }(\mathrm{\Sigma }/\rho )^20.3\mathrm{cm}^2/\mathrm{s}`$ (Borderies, Goldreich, & Tremaine 1985), where $`\rho 2\mathrm{g}/\mathrm{cm}^3`$ is the internal density of a ring particle. If this minimum viscosity obtains, then our estimate of the ring age, $`\delta t_{\mathrm{\Delta }r}`$, and the upper limit on the ring age obtained by Goldreich & Porco (1987), would need to be revised upwards to $`5\times 10^6\mathrm{yr}`$ and $`2\times 10^8\mathrm{yr}`$, respectively. We close by noting that (1) none of the four timescales we have computed, ranging from $`3\times 10^4\mathrm{yr}`$ to $`2\times 10^8\mathrm{yr}`$, is as long as the age of the solar system, $`4\times 10^9\mathrm{yr}`$, and (2) none of our conclusions in §4.2–§4.3 would change if the minimum viscosity were to obtain and actual diffusion timescales were $``$$`10^2`$ times longer than what we have assumed in those sections, since requirement (13) would be only better satisfied and requirement (14) would remain satisfied.

## 5 SUMMARY AND DISCUSSION

We have derived three requirements for the mutual excitation of orbital eccentricities of two secondary bodies by repeated resonance crossings within a circumprimary disk, a process originally proposed by Chiang, Fischer, & Thommes (2002).

1. For the orbits of two bodies to diverge, a ring of viscous material must be shepherded between them. This requires that density waves excited within the ring by each body damp near the edge where they are launched.
2. The divergent migration must be slow enough that the timescale for traversal of the resonant width exceeds the resonant libration period. In the context of Jovian-mass planets within a gaseous protoplanetary disk, this requires that the ring mass be small compared to the planet mass so that so-called “Type II” migration occurs over a timescale longer than the viscous spreading time of the ring.
3. At the same time, the divergent migration must not be so slow that the disk’s direct effects on the bodies’ eccentricities dominate during resonance passage. This criterion appears well satisfied for a variety of parameters because resonant widths are typically small fractions of the orbital radius and the duration of each passage is consequently short.

These necessary conditions are embodied in equations (3), (9), and (12), respectively, with normalizations appropriate to Jovian-mass planets in protoplanetary disks.

The $`ϵ`$ ring of Uranus and its attendant shepherds, Cordelia and Ophelia, satisfy these requirements. Unfortunately, these moons probably have yet to undergo their first resonance crossing, so that we cannot look to them for a signature of the process. In $`2\times 10^4`$$`3\times 10^6\mathrm{yr}`$, we expect the radial diffusion of the $`ϵ`$ ring to wedge Cordelia and Ophelia through the 9:8 resonance, after which Cordelia’s eccentricity is likely to increase by $``$$`10^3`$. Ophelia’s eccentricity will probably remain at its current high and likely primordial value of $`10^2`$. The range in timescales reflects our uncertainty in the magnitude of the ring viscosity. The Cassini spacecraft will probe analogs of the $`ϵ`$ ring around Saturn (e.g., the Maxwell ringlet). We look forward to sifting the abundance of new observations of narrow ringlets around Saturn for signs of divergent resonance crossings.

In the context of giant planets embedded within protoplanetary disks, a shepherded ring of gas in the vicinity of $`r1\mathrm{AU}`$ and having a surface density of $`\mathrm{\Sigma }500\mathrm{g}/\mathrm{cm}^2`$, a dimensionless viscosity parameter of $`\alpha 0.1`$, and an aspect ratio of $`h/r0.05`$ can drive two Jovian-mass planets through the 2:1 and higher-order resonances so that their eccentricities magnify dramatically. The above-cited upper limit to the surface density is a factor of $``$3 lower than that of the minimum-mass solar nebula; repeated resonance crossings, in the context of the orbital evolution of giant planets, is a process that is therefore restricted to the later stages of the evolution of the protoplanetary disk (ages $`t10^6\mathrm{yr}`$).

Future work on this subject should incorporate numerical simulations to verify that gaseous rings having the parameters that we have outlined can indeed be shepherded by giant planets and drive divergent migration. Perhaps our chief uncertainty lies in the exact manner by which density waves excited by planets having masses $`M>\mathrm{max}M_{\mathrm{gap}}`$ dissipate. A potential outcome might be that such waves, launched at one ring edge, release a great deal of their angular momentum at the far ring edge, rendering ring confinement impossible for low-order resonant configurations such as the 2:1. It would be worthwhile to measure the extent of eccentricity excitation engendered by the crossings of only high-order resonances, for which the requirements of ring shepherding are less severe. Finally, divergent migration within particle disks (see, e.g, Fernandez & Ip 1984; Murray et al. 1998) should also be explored, particularly in light of our finding that divergent resonance crossings are most effective when the ring mass is small compared to the planet mass.

We thank Renu Malhotra for helpful discussions and pointing us to previous work on divergent resonance crossings in the context of the tidal migration of the satellite pairs Miranda-Ariel and Enceladus-Tethys. We also thank an anonymous referee for numerous suggestions that significantly improved this paper. This work was supported by National Science Foundation Planetary Astronomy Grant AST-0205892, Hubble Space Telescope Theory Grant HST-AR-09514.01-A, and a Faculty Research Grant awarded by the University of California at Berkeley.


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# Pressure-Induced Intermediate-to-Low Spin State Transition in LaCoO3

\[

## Abstract

Synchrotron X-ray powder diffraction experiments reveal that the transition from a magnetic intermediate spin (IS) state t52ge1g to a nonmagnetic low-spin (LS) ground state t62g in LaCoO3 normally observed when cooling, manifests itself under pressure by an anomalously low bulk compressibility of 150(2) GPa and an initially very large Co-O bond compressibility of 4.8 x 10-3 GPa-1 which levels off near 4 GPa. The continuous depopulation of the IS state is driven by an increased crystal field splitting resulting in an effective reduction of the size of the Co3+ cation.

PACS numbers : 61.50.Ks , 75.25.+z

\]

The magnetic and electronic properties of the paradigmatic charge-transfer insulator LaCoO3 which crystallizes in a rhombohedral distortion of the cubic perovskite structure with the a-a-a- tilt system  continue to be topical. Magnetic susceptibility measurements reveal transitions at 100 and 500K. The 100K transition was first interpreted by Goodenough as a spin state transition of 50% of the Co3+ ions from a nonmagnetic low-spin (LS, t$`{}_{}{}^{6}{}_{2g}{}^{}`$, S=0) ground state to a high spin state (HS, t$`{}_{}{}^{4}{}_{2g}{}^{}`$e$`{}_{}{}^{2}{}_{g}{}^{}`$, S=2). The 500K transition was assigned to an order-disorder transition, where the eg electrons become itinerant and destroy the spin-state ordered superstructure the latter, however, was never observed experimentally, and a dynamic disorder of HS and LS Co3+ was subsequently proposed. An alternative interpretation based on photo-electron emission  and X-ray absorption spectroscopy, led to the postulation of an intermediate spin (IS, t$`{}_{}{}^{5}{}_{2g}{}^{}`$e$`{}_{}{}^{1}{}_{g}{}^{}`$, S=1) state and the two transitions were assigned to thermally activated LS-to-IS and IS-to-HS state transitions. According to classical ligand field theory the IS state should always be energetically above the LS or HS state. However, LDA+U calculations by Korotin et al established that the IS state could be energetically stabilized with respect to the HS state. Recent neutron powder diffraction experiments by Radaelli and Cheong  show that the thermal lattice expansion is best fitted by such a LS-to-IS-to-HS state sequence without orbital degeneracy of the IS state. However, correction terms to a simple activated behavior and a significantly reduced HS effective moment are required, indicating that this model is, at present, incomplete.

Pressure can alter the magnetism of transition-metal oxides by inducing Mott  or spin state transitions. The first is a consequence of the closure of the Mott-Hubbard or charge-transfer gap, whereas the latter results from a breakdown of strong Hund’s rule coupling and occurs when the crystal field splitting dominates over the exchange energy. A second order HS-to-LS transition under pressure leads to the collapse of the magnetic state in wuestite (Fe0.94O) as shown by Mössbauer spectroscopy. In RFeO3 (R=La, Pr) a pressure-induced collapse of the Mott-Hubbard state and a subsequent continuous HS-to-LS transition was observed. Takano et al observed a first-order pressure-driven HS-to-LS transition in CaFeO3 by in-situ Mössbauer spectroscopy and x-ray diffraction. In the following we present experimental evidence for a continuous IS-to-LS state transition occurring in LaCoO3 under hydrostatic pressure at room temperature.

The experimental setup and detailed procedure for the high-pressure synchrotron x-ray powder diffraction experiments performed at beam line X7A at the National Synchrotron Light Source at Brookhaven National Laboratory are described elsewhere. Rietveld refinements were performed using the program GSAS. The results of the fits are summarized in Table 1. The lattice parameters and the volume of the unit cell reveal no discontinuity as a function of pressure (Figure 1). Intriguingly however, the value of the bulk modulus, B0, of 150(2) GPa obtained by fitting  a second order Birch-Murnagham Equation of State with V0=335.834(5)Å3 and B’=4 (by definition) to the pressure dependence of the unit cell volume is significantly smaller than those observed for comparable perovskites with the a-a-a- tilt system such as LaAlO3 (B0=190(5) GPa) and PrAlO3 (B0=205(8) GPa) . The Cornellius-Schilling model  predicts values of 180, 189 and 191 GPa for B0 of LaCoO3, LaAlO3 and PrAlO3 respectively. Our experimental value is therefore highly indicative of an unusually low volume compressibility in LaCoO3.

The La3+ cation in LaCoO3 is at the center of a distorted dodecahedron and coordinated by twelve oxygen atoms with 3 long, 6 intermediate and 3 short distances (Figure 2).The three closest oxygen atoms to La are coplanar and the La px\- and py-orbitals point at this plane. The pz and d$`_{z^2}`$ orbitals are orthogonal to this plane and have no overlap with the first coordination sphere of oxygen. The majority of the La-O bonding stems from the three short La-O bonds. As pointed out by Radaelli and Cheong and others, the long and short La-O bonds are useful gauges for non-thermal lattice distortions. An increase in the long La-O distance accompanied by a decrease of the short one, leading to a more distorted environment for La, is indicative of an increase in the magnitude of the octahedral distortion. The Co3+ cation is at the center of a distorted octahedron surrounded by six equivalent oxygen atoms.

The effect of pressure on the individual metal-oxygen bond distances clearly reveals that there are two distinct regions with a change in slope near 4 GPa (Figures 3a and b). Initially the short La-O bonds increase, the long ones decrease, and the six intermediate ones also decrease, but by a much smaller amount. Under pressure, the Co-O bonds contract, as expected. When analyzing the individual linear bond compressibilities ($`\beta _L=(1/L)(\delta L/\delta P)_T)`$ up to 4 GPa, one observes that the contraction of the intermediate La-O bond ( $`\beta _{LaO3}=3.6x10^3GPa^1`$) matches the Co-O bond compressibility ($`\beta _{CoO}=4.8x10^3GPa^1`$ ). In contrast, the three long La-O bonds contract very strongly ($`\beta _{LaO1}=1.8`$x10-2 GPa-1), while the short ones expand ( $`\beta _{LaO2}=1.76x10^2GPa^1`$) at a comparable rate. This is a clear indication of significant changes in the magnitude of the octahedral tilting as discussed in the following paragraph.

An exceedingly useful measure of the distortion of a perovskite-type structure from the cubic aristotype ABO3 is the tilt angle, $`\varphi ,`$ which gives the degree of rotation around the threefold axis of the BO6 octahedra. O Keefe et al have shown that the variation of $`\varphi `$ with pressure in orthorhombic perovskites depends on the strength of the two bond compressibilities $`\beta _{AO}`$ and $`\beta _{BO}`$. If the A site is more compressible, $`\beta _{AO}>\beta _{BO}`$, $`\varphi `$ should increase with pressure and the structure will distort away from cubic symmetry. If the bond compressibilities are reversed in magnitude, the tilt angle should decrease with pressure. These trends are indeed observed in the three isostructural orthorhombic systems (Pbnm, b-b-a+) where $`\varphi `$ increases in MgSiO3 ($`\beta _{MgO}=1.1x10^3GPa^1>\beta _{SiO}=8.9x10^4GPa^1)`$ and decreases in LaMnO3, ($`\beta _{LaO}=2.8x10^3GPa^1<\beta _{MnO}=3.2x10^3GPa^1)`$ and YAlO3($`\beta _{YO}=2.0x10^_3GPa^1<\beta A_{lO}=2.5x10^3GPa^1)`$.In the related system ScAlO3, the compressibilities of $`\beta _{ScO}`$ and $`\beta _{AlO}`$ are essentially equal ($`1.5x10^3GPa^1)`$, and there is no significant change in $`\varphi `$ with pressure. To our knowledge, the only previously published detailed crystallographic data for a rhombohedral perovskite under pressure is the case of PrAlO3, which is isostructural with LaCoO3 and also adopts the a-a-a- tilt system (space group R-3c) up to ca. 7 GPa. Above this pressure PrAlO3 undergoes a phase transition into the a0b-b- tilt system (space group Imma). Similar to LaMnO3 and YAlO3, the A-O bond is less compressible ($`\beta _{\mathrm{Pr}O}=2x10^3GPa^1<\beta _{AlO}=2.6x10^3GPa^1)`$ and the tilt angle decreases with pressure. When considering the data to 4 GPa for LaCoO3,once again the A site is less compressible ($`\beta _{LaO}=3.0x10^3GPa^1`$) than the B-site ($`\beta _{CoO}=4.8x10^3GPa^1)`$ and the tilt angle decreases. Therefore it appears that the argument forwarded by O’Keefe et al  relating individual bond compressibilities to a distortion under pressure is also valid for perovskites that adopt other than orthorhombic crystal symmetry.

The variation of the tilt angle as well as the Co-O-Co angles for LaCoO3 under pressure (Figure 4) clearly emphasize what has already been noted from the pressure dependence of the bond distances, that, in contrast to the unit cell parameters there is an obvious change in the response of the bond distances and angles above ca. 4 GPa. Based on a comparison of the limited number of experimentally determined individual bond compressibilities in perovskites, it is clear that below 4 GPa, the Co-O bond is highly compressible ($`\beta _{CoO}=4.8x10^3GPa^1)`$. In fact it is the most compressible B-O bond observed to date (greater than Si4+-O, Mn3+-O and Al3+-O). Above 4 GPa, the compressibility is considerably lower ($`\beta _{CoO}=1.2x10^3GPa^1)`$, much more in line with the expected value for a B-O bond in a perovskite. To place these observations within our current framework of understanding one needs to take into account the depopulation of the IS state under pressure. Asai et al have shown experimentally that the energy gap between LS and IS states increases under pressure. At pressures above 0.5 GPa this increase is found to be quadratic indicating a very strong volume dependence of the IS state energy. Therefore the IS state will be depopulated under pressure and as a result a small but noticeable contraction of the Co-O bond is to be expected. This contraction occurs as a result of the depopulation of Co eg orbitals, which are Co-O $`\sigma `$-antibonding in character. This is the origin of the well-known fact that LS Co3+ has a smaller radius (0.685Å) than HS Co3+ (0.75Å). If we estimate the radius of IS Co3+ as the arithmetic mean of LS and HS values (0.717Å), it is gratifying to note that the expected IS Co3+-O distance (1.927Å) is close to the value of 1.933(1)Å observed at ambient pressure. The expected LS Co3+-O distance (1.895Å) is very close to 1.896(1)Å, the value observed at 3.98 GPa as well as the zero-pressure value of 1.905Å extrapolated back from the region between 4 and 8 GPa. Obviously, the fairly rapid and continuous contraction of the effective size of the cobalt centered octahedra leads to a decrease in the magnitude of the octahedral tilting distortion. Both the observed Co-O distances and the changes in the octahedral tilting strongly suggest that at 4 GPa, the IS is significantly depopulated. The dramatic change in Co-O bond compressibility as well as the change from a decreasing to an increasing tilt angle that occurs above 4 GPa, suggests that the spin state transition for IS to LS is essentially complete at 4 GPa. The fact that at higher pressures the LS Co3+-O bonds have a lower compressibility than the La-O bonds is responsible for the gradual increase in octahedral tilting between 4 and 8 GPa.

In summary, we have shown that LaCoO3 has an anomalously low bulk compressibility (B0=150(2) GPa). Furthermore, individual bond compressibilities reveal a change in their pressure-dependence near 4 GPa indicating a change in the compression mechanism. This pressure behavior is caused by an ’unusually’ compressible Co-O bond. We argue that the reason for this is a pressure-induced continuous depopulation of the IS state over the 0 - 4 GPa pressure range. This depopulation is driven by the increased crystal field splitting between the t2g and egorbitals, which results in a reduction of the effective size of Co3+ as antibonding electrons are removed from the eg orbitals. We encourage first-principles calculations of the electronic structure taking into account this spin state transition to compare with our experimental values. This is to our knowledge the first observation of a continuous pressure-induced IS-to-LS transition under pressure in a perovskite. Furthermore, we have demonstrated that high-pressure diffraction provides an excellent opportunity to probe the structural response of spin state transitions.

We gratefully acknowledge discussions with Fabian Essler and John Tranquada.and would like to thank J. Hu from the Geophysical Laboratory, Carnegie Institution of Washington for being able to use the laser system at beam line X17C for pressure determination. The work was supported by the Division of Materials Science, US Department of Energy, under Contract NO. DE\_AC02-98CH10886

* Corresponding author , Email address: tvogt@bnl.gov


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# Deformation Quantization, Superintegrability, and Nambu Mechanics

## Acknowledgements

We gratefully acknowledge helpful questions from R Sasaki, D Fairlie, Y Nutku, V Fleurov, J-P Dahl, and J Klauder. This work was supported in part by the US Department of Energy, Division of High Energy Physics, Contract W-31-109-ENG-38, and the NSF Award 0073390.


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# DESY 02-164 October 2002 Chiral Effective Lagrangian and Quark Masses Plenary talk presented at Lattice 2002, MIT, Cambridge, USA,24–29 June 2002.

## 1 INTRODUCTION

Recently, many studies of QCD at low energies have investigated the interplay between lattice simulations and Chiral Perturbation Theory (ChPT). I shall start the review of these activities by recalling the basic features of ChPT and point out what can be learned from combining ChPT with lattice simulations.

Chiral Perturbation Theory is a systematic expansion in the 4-momentum $`p`$ and the quark masses $`m_\mathrm{u},m_\mathrm{d},m_\mathrm{s}`$ about the massless limit . In the low-energy regime its information content is equivalent to that of QCD, and this has been exploited in many applications, e.g. in the calculation of pion scattering amplitudes and quark mass ratios. Furthermore, ChPT provides valuable input for lattice simulations. Here, the prediction of the quark mass dependence of $`m_{\mathrm{PS}}^2`$ is surely the most widely used piece of information. In addition, ChPT can model the volume dependence of observables, and also relates different processes. For instance, the amplitudes of $`K\pi \pi `$ decays can be expressed in terms of the theoretically much simpler $`K\pi `$ transition.

However, Chiral Perturbation Theory is an effective, non-renormalisable theory, parameterised in terms of a set of empirical couplings, which are usually called “low-energy constants” (LECs). At lowest order the effective chiral Lagrangian reads

$`_{\mathrm{𝖾𝖿𝖿}}^{(2)}={\displaystyle \frac{F_0^2}{2}}\{`$ $`{\displaystyle \frac{1}{2}}\mathrm{𝖳𝗋}\left(_\mu U^{}^\mu U\right)`$ (1)
$`+B_0\mathrm{𝖳𝗋}\left((U+U^{})\right)\},`$
where

$$U=\mathrm{exp}\left\{iT^a\phi ^a/(\sqrt{2}F_0)\right\}$$
(2)
is the field of Goldstone bosons, and $`=\mathrm{diag}(m_\mathrm{u},m_\mathrm{d},m_\mathrm{s})`$ is the quark mass matrix. The LECs at leading order are $`B_0`$ and $`F_0`$, where the latter corresponds to the pion decay constant in the chiral limit.111Throughout this review I use conventions where $`F_\pi =93.3\mathrm{MeV}`$. At next-to-leading order there are 12 more interaction terms and hence 12 new LECs, $`L_1,\mathrm{},L_{12}`$.

The values of the LECs can be fixed by using experimental data and comparing with the relevant expressions obtained in ChPT. It turns out, however, that the complete set of LECs cannot be determined in this way. In other words, the values of some of the LECs cannot be fixed without resorting to additional theoretical assumptions. One particular example is the value of $`B_0`$, which appears in the chiral expansion of the pion mass at leading order:

$$m_\pi ^2=2B_0\widehat{m},\widehat{m}=\frac{1}{2}(m_\mathrm{u}+m_\mathrm{d}).$$
(3)
This shows that $`B_0`$ can only be determined from $`m_\pi `$ if the physical value of the quark mass $`\widehat{m}`$ is known already. By the same token, the quark mass $`\widehat{m}`$ can only be inferred if an estimate for $`B_0`$ is available. However, $`B_0`$ drops out in suitably chosen ratios of $`m_\pi ^2,m_\mathrm{K}^2,\mathrm{}`$. Thus, while ChPT enables us to compute quark mass ratios, it fails to provide an absolute normalisation of their masses. Another reason why the complete set of LECs cannot be determined from chiral symmetry considerations alone is the fact that the effective chiral Lagrangian beyond leading order is invariant under a symmetry transformation involving the LECs and the mass matrix $``$. This is the famous “Kaplan-Manohar ambiguity” .

At this point it is clear that lattice simulations can in turn provide valuable input for ChPT. By studying the quark mass dependence of Goldstone bosons in a simulation one can determine the value of $`B_0`$, or, equivalently provide an absolute normalisation of quark masses. Since the Kaplan-Manohar (KM) ambiguity is not a symmetry of QCD, it is possible to resolve it by determining the values of LECs from an approach based on first principles. It must be kept in mind, though, that a successful combination of lattice QCD and ChPT requires sufficient overlap between the range of quark masses used in simulations and the region of validity of the chiral expansion. This requirement is crucial if ChPT is used to extrapolate results from simulations performed for relatively heavy quarks and the regime of the physical $`u`$\- and $`d`$-quark masses .

The remainder of this review covers a summary of the current status of lattice determinations of the light quark masses, quenched chiral logarithms, and LECs at NLO.

## 2 QUARK MASSES

Recent years have seen a great deal of progress in lattice determinations of quark masses. Some of the dominant systematic effects are now under much better control, chiefly due to using improved lattice actions and non-perturbative renormalisation, as implemented either via the RI/MOM scheme  or the Schrödinger functional (SF) . Several collaborations have started to quantify quenching errors, by performing simulations with dynamical quarks. Finally, the results in the quenched approximation are also being tested in simulations employing exact chiral symmetry on the lattice. Here we will focus on determinations of $`m_\mathrm{s}`$, $`\widehat{m}`$ and the charm quark mass. The mass of the $`b`$-quark is discussed in R. Sommer’s contribution to this conference . Earlier reviews can be found in refs. .

### 2.1 Wilson and staggered fermions

The LEC $`B_0`$ is obtained straightforwardly by mapping out the quark mass dependence of pseudoscalar meson masses. In order to compute, say, $`m_\mathrm{s}+\widehat{m}`$ one then has to specify the lattice scale and the quantity which fixes the bare physical quark mass. For instance, using $`r_0`$ to set the scale  and the kaon mass $`m_\mathrm{K}`$ (“$`K`$-input”) one has

$$\frac{1}{2}(m_\mathrm{s}+\widehat{m})r_0=Z\frac{1}{B_0r_0}|_{m_{\mathrm{PS}}=m_\mathrm{K}}\times (m_\mathrm{K}r_0)_{\mathrm{exp}}^2.$$
(4)
Here, $`Z`$ denotes the renormalisation factor which relates the quark mass in lattice regularisation to a reference continuum scheme (e.g. $`\overline{\mathrm{MS}}`$), and $`(m_\mathrm{K}r_0)_{\mathrm{exp}}^2`$ is the phenomenological estimate of the kaon mass in units of the lattice scale. In order to estimate $`m_\mathrm{s}`$, one either has to extract $`\widehat{m}`$ separately through an extrapolation to $`(m_\pi r_0)^2`$, or take the ratio $`m_\mathrm{s}/\widehat{m}`$ from ChPT.

A compilation of recent results for $`m_\mathrm{s}`$ and the ratio $`m_\mathrm{s}/\widehat{m}`$ is shown in Table 1. A marked feature is that estimates for $`m_\mathrm{s}`$ in the continuum limit have stabilised, in contrast to the situation seen a few years ago. The table also shows that lattice estimates for the ratio $`m_\mathrm{s}/\widehat{m}`$, which are all based on chiral extrapolations, are broadly consistent with the result in ChPT at NLO :

$$m_\mathrm{s}/\widehat{m}=24.4\pm 1.4.$$
(5)
However, closer inspection reveals small but significant deviations among the results for $`m_\mathrm{s}`$. Therefore, for the results to be consistent, these deviations must be due to quenching effects, which are caused by different choices for the lattice scale. We will now attempt to convert some of the results in Table 1 to a common scale, in order to check whether consistency is satisfied.

To this end we consider two lattice scales, $`Q`$ and $`Q^{}`$. From the definition of the quark mass in eq. (4) it follows that the strange quark mass $`m_\mathrm{s}^{(Q)}`$ in MeV, estimated using $`Q`$, is related to its counterpart $`m_\mathrm{s}^{(Q^{})}`$ via

$$m_\mathrm{s}^{(Q)}[\mathrm{MeV}]=\underset{F}{\underset{}{\left(\frac{Q}{Q^{}}\right)_{\mathrm{lat}}\left(\frac{Q^{}}{Q}\right)_{\mathrm{exp}}}}m_\mathrm{s}^{(Q^{})}[\mathrm{MeV}].$$
(6)
Here, the subscripts “lat” and “exp” refer to lattice and experimental estimates of the scale ratio, respectively. The deviation of the factor $`F`$ from unity is indicative of the relative quenching effects, when either $`Q`$ or $`Q^{}`$ is chosen to set the scale. I have taken results for vector meson masses from refs.  and for $`F_\mathrm{K}`$ from  to determine the ratio $`(Q/Q^{})_{\mathrm{lat}}`$ in the continuum limit for $`Q=r_0^1`$ and $`Q^{}=m_\rho ,m_\mathrm{K}^{},F_\mathrm{K}`$. The factor $`F`$ can then be computed using the phenomenological values of $`r_0=0.5\mathrm{fm}`$ and $`Q^{}`$. The results are shown in Table 2. The first observation is that $`F`$ varies by up to 15% for the various scales that are compared. Once the results have been converted to the common scale $`r_0`$, the estimates for $`m_\mathrm{s}`$ in the continuum limit show remarkable consistency. This is actually surprising, since the various simulations differ significantly, not only in terms of the fermionic discretisation, but also by the chosen method to relate the lattice estimate to the $`\overline{\mathrm{MS}}`$ scheme (mean-field perturbative, non-perturbative via RI/MOM or SF). Lastly, I want to stress that a meaningful comparison of this kind can only be made in the continuum limit.

### 2.2 Ginsparg-Wilson fermions

Lattice actions that satisfy the Ginsparg-Wilson relation  and thus preserve chiral symmetry at non-zero lattice spacing are now routinely used to compute many phenomenologically interesting quantities. The most widely used implementations are based on overlap  or domain wall fermions . More recently, results for fixed-point (FP)  or chirally improved (CI)  actions, which both provide approximate solutions to the Ginsparg-Wilson relation, have also become available (see  for a review).

The mass of the strange quark was actually one of the first quantities computed using domain wall fermions . Since then many systematic effects have been studied: discretisation errors have been estimated by comparing results at different lattice spacings, although no continuum extrapolations have been performed so far. Quenching effects have not been investigated, since the numerical effort to simulate quenched Ginsparg-Wilson fermions is already comparable to a dynamical simulation using Wilson quarks .

We have seen that non-perturbative renormalisation is an important ingredient in order to enhance the credibility of lattice estimates for quark masses. The RI/MOM prescription has already been applied for both domain wall  and overlap fermions . The Schrödinger functional, due to its inhomogeneous boundary conditions is somewhat harder to realise for Ginsparg-Wilson fermions (an attempt has been made in ref.  in the case of domain wall fermions). The authors of  have proposed a general strategy to compute the renormalisation factors of quark bilinears for overlap fermions in the SF via an intermediate Wilson regularisation. This procedure avoids the direct formulation of the SF for Ginsparg-Wilson fermions, at the expense of sacrificing the ability to predict the quantity used to match to the Wilson results in the intermediate step.

Results for $`m_\mathrm{s}`$ and $`m_\mathrm{s}/\widehat{m}`$ obtained using either domain wall or overlap fermions are compiled in Table 3. The numbers for $`m_\mathrm{s}`$ are broadly consistent among each other, and also with the continuum estimates discussed earlier. However, the overall uncertainties are still somewhat larger compared with Wilson or staggered fermions. In most cases, the quoted systematic uncertainties are dominated by lattice artefacts, which have not been removed by performing continuum extrapolations. However, the overall dependence of $`m_\mathrm{s}`$ on the lattice spacing appears to be fairly weak. These indications of good scaling properties of Ginsparg-Wilson fermions must be corroborated with more statistics and systematic investigations of renormalisation and finite-$`a`$ effects.

### 2.3 Dynamical simulations

The most important challenge for current lattice studies is surely the quantification of quenching effects. Perhaps the most comprehensive study so far has been published by CP-PACS some time ago . They investigated $`N_\mathrm{f}=2`$ flavours of dynamical quarks, using mean-field improved Wilson fermions and the Iwasaki gauge action at three different values of the lattice spacing in the range $`a0.10.2\mathrm{fm}`$. Input values for the dynamical quark masses were chosen such that $`m_{\mathrm{PS}}/m_\mathrm{V}=0.580.8`$. Estimates of $`m_\mathrm{s}`$ based either on vector or axial vector Ward identities (VWI and AWI respectively) can be extrapolated to a common value in the continuum limit. By comparing their results to quenched data, CP-PACS find that dynamical simulations lead to a decrease in the value of $`m_\mathrm{s}^{\overline{\mathrm{MS}}}`$ by about 25%. The dynamical data also appear to be less sensitive to the choice of quantity used to fix the bare strange quark mass ($`m_\mathrm{K}`$ or $`m_\varphi `$). The main findings of CP-PACS are summarised in Fig. 1, as well as in the estimates

$$m_\mathrm{s}^{\overline{\mathrm{MS}}}(2\mathrm{GeV})=88(_6^4)\mathrm{MeV},m_\mathrm{s}/\widehat{m}26.$$
(7)
While CP-PACS’s results represent a major step forward, the limitations of current dynamical simulations are apparent. In particular, smaller dynamical quark masses should be simulated in order to quantify quenching effects more reliably. Moreover, simulating two flavours of dynamical quarks still does not represent the physical situation. Discretisation errors must be investigated more closely, by simulating smaller lattice spacing and comparisons with alternative fermionic discretisations. Finally, non-perturbative renormalisation should be implemented. Attempts to improve the situation in each of these areas have been reported at this conference.

The JLQCD and UKQCD Collaborations have both used non-perturbatively O($`a`$)-improved Wilson fermions for $`N_\mathrm{f}=2`$  at $`\beta =5.2`$. Whereas JLQCD  uses sea quark masses corresponding to $`m_{\mathrm{PS}}/m_\mathrm{V}=0.60.8`$, UKQCD simulates even lighter masses, thereby running the risk of suffering from finite-volume effects. JLQCD have reported finite-size effects at the $`35\%`$ level only at their lightest quark mass. They also extrapolate their results in $`m^{\mathrm{sea}}`$ to the physical $`u`$ and $`d`$-quark masses. The quark masses are defined through the PCAC relation (AWI), and they expect some systematic effects to cancel, since the AWI mass is defined through a ratio of matrix elements. The results for $`m_\mathrm{s}`$ and $`\widehat{m}`$ are $`2030\%`$ smaller than in the quenched approximation. Scaling violations appear to be small, as there is good agreement with the previous CP-PACS results , but a continuum extrapolation is still lacking.

UKQCD perform extrapolations in the valence quark mass at fixed values of $`m^{\mathrm{sea}}`$ and then monitor the results for decreasing sea quark mass, in order to search for trends which indicate the presence of dynamical quark effects. Unlike JLQCD they define the quark mass via the vector Ward identity. UKQCD’s results show no clear signs of dynamical quark effects: although there is some trend in the data as $`m^{\mathrm{sea}}`$ is decreased, it is statistically not significant, and the same is true for the comparison with quenched data at a matched value of the lattice spacing. Their result for the ratio $`m_\mathrm{s}/\widehat{m}`$ is consistent with ChPT.

Hein et al.  have used dynamical configurations provided by the MILC Collaboration  for 2+1 flavours of improved staggered quarks. In this formulation the large flavour-changing interactions, which are typically encountered for conventional staggered quarks are suppressed due to the use of fat links. The lightest quark mass in  corresponds to $`m_{\mathrm{PS}}/m_\mathrm{V}0.37`$, at a lattice spacing of $`a0.13\mathrm{fm}`$. Mean-field improved perturbation theory was used when matching to the $`\overline{\mathrm{MS}}`$-scheme; the one-loop coefficients were found to be of the same order of magnitude as for Wilson fermions. Results for $`m_\mathrm{s}+\widehat{m}`$ obtained for $`N_\mathrm{f}=0,\mathrm{\hspace{0.17em}2}`$ and 2+1 dynamical flavours show that the large dependence on the quantity that sets the lattice scale is greatly reduced in the dynamical case. Low values for the light quark masses are typically preferred; for $`N_\mathrm{f}=2+1`$ flavours Hein et al. quote

$$(m_\mathrm{s}+\widehat{m})^{\overline{\mathrm{MS}}}(2\mathrm{GeV})=78\pm 14\mathrm{MeV},$$
(8)
where the scale has been taken from the $`K^{}K`$ mass splitting. The quoted error includes the uncertainty from neglecting the two-loop term in the perturbative matching procedure, which is estimated to be as large as 20%. The value of $`(m_\mathrm{s}+\widehat{m})`$ in the dynamical case is lower by 15 – 20% compared with the corresponding quenched result. For a better understanding of the systematics in the improved staggered formulation, it would, in my opinion, be extremely helpful if a quenched value for $`m_\mathrm{s}`$ were available in the continuum limit.

The ALPHA Collaboration has reported results on the non-perturbative running of the quark mass in the SF scheme for the 2-flavour case . This is one part of the two-step procedure, which will ultimately relate the bare current quark mass on the lattice to the renormalisation group invariant (RGI) quark mass $`M`$ . In Fig. 2 the running mass in the SF scheme is plotted as a function of the renormalisation scale. One sees that the perturbative evolution follows the numerical data down to fairly small values of the scale. At its lowest value, i.e. at $`\mu =1/(2L_{\mathrm{max}})`$, ALPHA obtain their preliminary result for the matching of the running mass in the SF scheme to the RGI quark mass:

$$\frac{M}{\overline{m}_{\mathrm{SF}}}=1.236(15),\mathrm{ln}(\mathrm{\Lambda }L_{\mathrm{max}})=1.85(13).$$
(9)
The scale $`L_{\mathrm{max}}`$ must still be related to some physical quantity. Further studies will include data at larger values of $`L/a`$, so that lattice artefacts can be eliminated completely.

### 2.4 The charm quark mass

The charm quark is too heavy to be described by ChPT, and too light for an efficient non-relativistic treatment. In two recent projects  the charm quark mass was computed using the relativistic formulation. In this case, the issue of controlling lattice artefacts is even more important as in the light quark sector. The ALPHA Collaboration  have used O($`a`$) improved Wilson fermions in the quenched approximation at four $`\beta `$-values. They employ several different definitions of the RGI charm quark mass, e.g.

$`r_0M_\mathrm{c}=Z_\mathrm{M}r_0m_\mathrm{c}\left[1+(b_\mathrm{A}b_\mathrm{P})am_{\mathrm{q},\mathrm{c}}\right]`$ (10)
$`r_0M_\mathrm{c}=Z_\mathrm{M}Zr_0m_{\mathrm{q},\mathrm{c}}\left[1+b_\mathrm{m}am_{\mathrm{q},\mathrm{c}}\right],`$ (11)
where $`m_\mathrm{c}`$ and $`m_{\mathrm{q},\mathrm{c}}`$ denote the bare masses defined through the axial and vector Ward identities, respectively. Non-perturbative values of renormalisation factors and improvement coefficients as reported in  have been used throughout, in order to guarantee a controlled extrapolation to the continuum limit. The input quantities which fix the bare charm quark mass in terms of meson masses were $`m_{\mathrm{D}_\mathrm{s}},m_\mathrm{K}`$ and the ratio $`m_\mathrm{s}/\widehat{m}`$ from ChPT. In this way chiral extrapolations can be avoided completely. By demanding that different definitions of the RGI charm quark mass extrapolate to a common continuum limit, they find $`r_0M_\mathrm{c}=4.19(11)`$ at zero lattice spacing, which translates into

$$\overline{m}_\mathrm{c}^{\overline{\mathrm{MS}}}(\overline{m}_\mathrm{c})=1.301(34)\mathrm{GeV},$$
(12)
where the 4-loop RG functions in the $`\overline{\mathrm{MS}}`$ scheme have been used. This result agrees well with the estimate by the $`\mathrm{SPQ}_{\mathrm{cd}}\mathrm{R}`$ Collaboration

$$\overline{m}_\mathrm{c}^{\overline{\mathrm{MS}}}(\overline{m}_\mathrm{c})=1.26(4)(12)\mathrm{GeV},$$
(13)
which has been obtained at $`a0.07\mathrm{fm}`$.

### 2.5 Summary: Quark masses

A detailed comparison of quenched data shows that the mass of the strange quark is probably the most precisely determined quantity in the quenched approximation: for a given choice of lattice scale, the relative accuracy in the continuum limit is about 5%. If the $`K`$-meson is used to fix the bare $`m_\mathrm{s}`$, the final result varies between 95 and 115 $`\mathrm{MeV}`$, depending on the choice of lattice scale. There is a 20% increase in $`m_\mathrm{s}`$ if the mass is fixed through a vector meson like the $`\varphi `$.

It is now clear that current lattice estimates for the strange quark mass are completely dominated by quenching effects. First attempts to quantify the quenching error indicate a decrease in $`m_\mathrm{s}`$ of about 20%, but simulations at smaller quark masses and lattice spacings are required to confirm this.

Estimates for the ratio $`m_\mathrm{s}/\widehat{m}`$ based on chiral extrapolations tend to agree with ChPT, both for quenched and unquenched simulations.

Finally, non-perturbative renormalisation and O($`a`$) improvement enable one to perform controlled continuum extrapolations of the charm quark mass, thereby yielding precise quenched estimates.

## 3 QUENCHED CHIRAL LOGARITHMS

In this section we will be concerned with quenching artefacts in the chiral expansion. It is well known that the quark mass behaviour of hadron masses and matrix elements is modified in the quenched approximation . The main qualitative difference is that flavour singlets do not decouple in the quenched version of the effective low-energy theory. This is because most of the loop contributions which lead to the decoupling of flavour-singlet fields are removed, and hence the latter have to be treated on the same footing as the octet fields. Incorporating the flavour-singlet explicitly into the chiral Lagrangian introduces new LECs: one is the mass scale $`m_0`$ of the flavour singlet, the other is $`\alpha _\mathrm{\Phi }`$, which multiplies the kinetic term in the flavour-singlet part of the effective Lagrangian:

$$_{\mathrm{sing}}\alpha _\mathrm{\Phi }D_\mu \mathrm{\Phi }_0D^\mu \mathrm{\Phi }_0m_0^2\mathrm{\Phi }_0^2$$
(14)
The flavour-singlet propagator develops a double pole in the quenched theory, which is proportional to $`m_0^2`$. Since $`m_0`$ does not vanish in the chiral limit, this gives rise to a new type of chiral logarithm, which diverges as the octet mass vanishes. The modified chiral expansion for the pseudoscalar octet mass at NLO thus reads

$`{\displaystyle \frac{m_{\mathrm{PS}}^2}{2m}}`$ $`=`$ $`B_0\{1(\delta \frac{2}{3}\alpha _\mathrm{\Phi }y)(\mathrm{ln}y+1)`$ (15)
$`+[(2\alpha _8\alpha _5)\frac{1}{3}\alpha _\mathrm{\Phi }]y\}.`$
For notational convenience we have introduced

$$\delta =\frac{m_0^2}{(4\pi F_0)^2N_\mathrm{f}},y=\frac{2B_0m}{(4\pi F_0)^2}$$
(16)
and rescaled the LECs $`L_i`$ to $`\alpha _i=8(4\pi )^2L_i`$. A phenomenological estimate of $`\delta `$ is obtained from the relation

$$m_0^2=m_\eta ^{}^2+m_\eta ^22m_\mathrm{K}^2$$
(17)
which gives $`\delta 0.18`$. There are several methods which allow the determination of $`\delta `$ and $`\alpha _\mathrm{\Phi }`$. The most straightforward is to study the quark mass dependence of $`m_{\mathrm{PS}}^2`$ and compare it with eq. (15). Another method is to compute the ratio of flavour-singlet and flavour-octet contributions to the quenched $`\eta ^{}`$ correlator. The former are the so-called “hairpin diagrams”. Finally, the Witten-Veneziano formula  provides a link between the flavour-singlet mass $`m_0`$ and the topological susceptibility $`\chi _\mathrm{t}`$:

$$m_0^2=\frac{2N_\mathrm{f}\chi _\mathrm{t}}{F_\pi ^2}.$$
(18)
The effects of quenched chiral logarithms are expected to show up very near the chiral limit. However, in this regime quenched QCD is afflicted with the occurrence of so-called “exceptional configurations”, i.e. unphysical near-zero modes, if conventional discretisations such as Wilson fermions are used. Recently this has stimulated the use of discretisations which do not suffer from this problem, such as overlap and domain wall fermions, fixed point actions and twisted mass QCD (tmQCD) . Also the “Modified Quenched Approximation”  in conjunction with Wilson fermions has been applied. In addition, one has to avoid finite-volume effects when going very near the chiral limit, which may fake the signature of the quenched chiral logs. It is also clear that there is a special rôle for discretisations which preserve chiral symmetry, for which the Witten-Veneziano formula is exact . Moreover, the comparison of lattice data with the predictions of quenched lattice QCD at non-zero lattice spacing is justified in this case.

Lattice data for $`m_{\mathrm{PS}}^2`$ show very low sensitivity on $`\alpha _\mathrm{\Phi }`$ in general. The RBC Collaboration finds  that in the studied mass range the combination $`\alpha _\mathrm{\Phi }m_{\mathrm{PS}}^2\mathrm{ln}m_{\mathrm{PS}}^2`$ (or $`\alpha _\mathrm{\Phi }y\mathrm{ln}y`$ in eq. (15)) stays practically constant, so that there is hardly any sensitivity to the value of $`\alpha _\mathrm{\Phi }`$. CP-PACS report  that fits in which $`\alpha _\mathrm{\Phi }`$ is treated as a free parameter are either unstable or yield results that are consistent with zero. Thus, in most studies it is assumed that $`\alpha _\mathrm{\Phi }=0`$.

Table 4 shows a compilation of recent determinations of $`\delta `$. Overall one observes large variations in the current estimates for $`\delta `$, with results from simulations employing conventional fermionic discretisations being somewhat lower that those using Ginsparg-Wilson fermions (exceptions are the low values quoted in refs. ). Despite the fact that the sensitivity to quenched chiral logs is still quite low, there is mounting evidence for a non-zero value for $`\delta `$. In fact, more recent simulations, which employ lattice chiral symmetry, produce results that are compatible with the phenomenological estimate based on eq. (17). However, a remaining matter of concern is the possibility that finite-volume effects may distort the mass dependence towards the chiral regime. This must be addressed in simulations on larger volumes. So far no convincing signal for $`\alpha _\mathrm{\Phi }`$ has been observed, mainly because the sensitivity of lattice data is even worse than for $`\delta `$.

## 4 IS THE UP-QUARK MASSLESS?

Let us now return to the Kaplan-Manohar ambiguity. The fact that the effective chiral Lagrangian beyond leading order is invariant under simultaneous transformations of the mass matrix and a subset of LECs implies an uncertainty in the size of the NLO correction to the mass ratio $`m_\mathrm{u}/m_\mathrm{d}`$. This correction, $`\mathrm{\Delta }_\mathrm{M}`$, is given by

$$\mathrm{\Delta }_\mathrm{M}=\frac{(m_\mathrm{K}^2m_\pi ^2)}{(4\pi F_\pi )^2}(2\alpha _8\alpha _5)+\text{chiral logs}.$$
(19)
While $`\alpha _5`$ can be estimated from the ratio $`F_\mathrm{K}/F_\pi `$, there exists no experimental information which would allow an unambiguous determination of $`\alpha _8`$ or indeed the linear combination $`2\alpha _8\alpha _5`$ . The value of $`\alpha _8`$ and thus $`\mathrm{\Delta }_\mathrm{M}`$ must then be fixed by invoking (plausible) assumptions beyond chiral symmetry considerations. Proceeding in this way Leutwyler  obtained

$$0<\mathrm{\Delta }_\mathrm{M}0.13.$$
(20)
This result excludes the possibility that $`m_\mathrm{u}/m_\mathrm{d}=0`$, which is only possible for a large negative value for $`\mathrm{\Delta }_\mathrm{M}`$. Therefore, a massless up-quark, which presents a simple and elegant solution to the strong CP problem is an unlikely scenario. However, an estimate of $`\mathrm{\Delta }_\mathrm{M}`$ based on first principles is still lacking. Given the importance of the strong CP problem, it is desirable to tackle this question by means of lattice determinations of $`2\alpha _8\alpha _5`$.

Here, partially quenched simulations of lattice QCD play an important rôle: for unequal sea and valence quark masses the effective chiral Lagrangian is parameterised in terms of the same LECs as the physical theory. Thus, as long as the correct number of dynamical quark flavours (i.e. $`N_\mathrm{f}=3`$) is used, simulations based on unphysical mass combinations provide phenomenological information , provided that the regime of validity of ChPT and the range of simulated masses overlap.

A general method which allows for the extraction of LECs with good statistical accuracy has been introduced by ALPHA . Since the expressions of ChPT are valid for arbitrary quark mass, one can introduce a reference value $`m_{\mathrm{𝗋𝖾𝖿}}`$ and define the ratios

$`R_\mathrm{F}(x)=F_{\mathrm{PS}}(m)/F_{\mathrm{PS}}(m_{\mathrm{𝗋𝖾𝖿}})`$ (21)
$`R_\mathrm{M}(x)=\left({\displaystyle \frac{2m}{m_{\mathrm{PS}}^2(m)}}\right)/\left({\displaystyle \frac{2m_{\mathrm{𝗋𝖾𝖿}}}{m_{\mathrm{PS}}^2(m_{\mathrm{𝗋𝖾𝖿}})}}\right),`$ (22)
where $`x`$ is $`m/m_{\mathrm{𝗋𝖾𝖿}}`$. The ratios $`R_\mathrm{F},R_\mathrm{M}`$ are universal functions of the dimensionless mass parameter $`x`$. All renormalisation factors drop out, so that these quantities can be extrapolated to the continuum limit straightforwardly. Due to the correlations between the numerator and denominator one can expect good statistical precision in numerical evaluations. The LECs at NLO can then be determined by comparing numerical data for $`R_\mathrm{F},R_\mathrm{M}`$ with the corresponding expressions in quenched  or partially quenched  ChPT.

ALPHA have tested their method in the quenched approximation for $`m_{\mathrm{𝗋𝖾𝖿}}m_\mathrm{s}`$, and $`x`$ in the range $`0.75x1.4`$ . Their results are shown in Fig. 3. The ratio $`R_\mathrm{F}`$, which is predicted by quenched ChPT to rise linearly with the quark mass, is modelled very well by the data, resulting in stable estimates for $`\alpha _5`$. Numerical data for the ratio $`R_\mathrm{M}`$, however, show an almost constant behaviour, while quenched ChPT predicts the presence of linear terms, as well as chiral logs. Thus, if the range of simulated masses lies indeed within the regime where ChPT at NLO is valid, then the constant behaviour of the data must be the result of a strong cancellation between the various contributions at NLO.

Bardeen et al.  have performed global fits to pseudoscalar correlation functions to extract masses and various LECs. Using the pole shifting prescription of the “Modified Quenched Approximation” (MQA) at $`\beta =5.7`$ and mean-field improved Wilson fermions, they report an estimate for $`\alpha _5`$ which is about 3 times larger than ALPHA’s. A large fraction of this discrepancy can be attributed to the fact that renormalisation factors for the axial current have not been taken into account . In fact, if the data for the decay constant published in  are subjected to ALPHA’s ratio method, then the estimates for $`\alpha _5`$ are consistent among the two studies. Thus, the source for the original discrepancy is a combination of renormalisation effects and lattice artefacts, with the ratio method being a lot more stable against these systematic effects.

The ratio method has also been applied in two recent simulations of partially quenched QCD. UKQCD  have simulated two flavours of O($`a`$) improved dynamical Wilson fermions at $`a=0.1\mathrm{fm}`$ and a fixed value of the sea quark mass of $`m^{\mathrm{sea}}0.7m_\mathrm{s}`$, which corresponds to $`m_{\mathrm{PS}}/m_\mathrm{V}0.58`$ . The mass dependence of the ratios $`R_\mathrm{F}`$ and $`R_\mathrm{M}`$ was subsequently studied as a function of the valence quark mass at fixed $`m^{\mathrm{sea}}`$. The overall behaviour of $`R_\mathrm{F}`$ and $`R_\mathrm{M}`$ was found to be similar to what is observed in the quenched case. However, the strict linearity of $`R_\mathrm{F}`$ for $`N_\mathrm{f}=0`$ is modified by a slight curvature, which may signal the expected presence of chiral logs. UKQCD’s results for the LECs are listed in Table 5.

The Ohio group  have reported results for LECs from simulations using $`N_\mathrm{f}=3`$ flavours of dynamical staggered quarks. The sea quarks are somewhat lighter than in UKQCD’s study, while the lattice spacings are larger ($`a0.15`$ and $`0.28\mathrm{fm}`$). The dominant systematic effects are large flavour-symmetry violations, which are estimated by applying hypercubic blocking to the gauge configurations before the computation of observables. The value of $`\alpha _5`$ differs significantly when it is evaluated on blocked and unblocked configurations. In the future this issue will be addressed by comparing Monte Carlo data to ChPT for which the effects of flavour-symmetry breaking are included .

From the compilation of results in Table 5 one concludes that the $`N_\mathrm{f}`$-dependence of LECs is quite weak. If one uses the expressions of ChPT for $`N_\mathrm{f}=3`$, even though actually $`N_\mathrm{f}=0`$ or 2 was used to generate the data, one still observes consistency within errors (cases labelled $`N_\mathrm{f}=`$“3” in Table 5). A comparison with the “standard” values for the LECs estimated in the continuum, as well as with those values that would be required to support the notion of a massless up-quark, shows that the latter scenario is strongly disfavoured by lattice calculations: the quark mass behaviour of $`R_\mathrm{M}`$ would have to be radically different to accommodate a large negative value of $`\alpha _8`$. In short, calculations based on first principles support the analysis of ref. .

The most important issue at this stage is whether or not the quarks used in the simulations are light enough to justify the comparison with ChPT. This has been addressed in several contributions to the panel discussion on chiral extrapolations at this conference . Although lattice estimates for some of the LECs make sense phenomenologically (e.g. UKQCD’s result for $`\alpha _5`$ in  is consistent with the experimental value of $`F_\mathrm{K}/F_\pi `$ ), there is evidence that the dependence of $`m_{\mathrm{PS}}^2`$ and $`F_{\mathrm{PS}}`$ on the sea quark mass is not in agreement with ChPT if the sea quark mass corresponds to $`m_{\mathrm{PS}}=5501000\mathrm{MeV}`$ . This affects attempts to perform extrapolations in $`m^{\mathrm{sea}}`$ to the physical point defined by $`m_{\mathrm{PS}}/m_\mathrm{V}0.17`$. A similar study  concluded that sea quark masses of current simulations and ChPT at NLO overlap only marginally.

In addition to many numerical results, there are also new analytic developments. Aubin et al.  have analysed the structure of chiral logarithms under staggered flavour-symmetry breaking for $`N_\mathrm{f}=2+1`$ flavours. The basic idea is to generalise the Lagrangian of Lee and Sharpe , which describes a single staggered field up to O($`a^2`$), to the 3-flavour case. Normally, each staggered flavour describes four internal fermions (called “tastes” in ). In order to obtain one taste per flavour one then takes the fourth root of the determinant. For the actual calculation of chiral logs in the 2+1 flavour case, this implies that one starts with 4+4 “tastes” and then cancels the unwanted loop contributions by multiplying them with simple weight factors. The resulting expressions for pseudoscalar meson masses fit the data by MILC  very well, unlike the corresponding formulae in “ordinary” partially quenched ChPT .

In a recent paper  Rupak and Shoresh have incorporated the explicit chiral symmetry breaking of Wilson fermions directly into the effective Lagrangian. The starting point is Symanzik’s effective action. Including all operators up to dimension 5, they find that chiral symmetry is broken not only by the quark density $`\overline{\psi }\psi `$, but also by the Pauli term $`\overline{\psi }\sigma _{\mu \nu }F_{\mu \nu }\psi `$, which is multiplied by the coefficient $`c_{\mathrm{sw}}`$. Rupak and Shoresh then consider simultaneous chiral expansions in the parameters

$$ϵ\frac{2B_0m}{\mathrm{\Lambda }_\chi ^2},\delta \frac{2W_0ac_{\mathrm{sw}}}{\mathrm{\Lambda }_\chi ^2}.$$
(23)
The Pauli term generates additional operators in the effective chiral Lagrangian, starting at leading order. Consequently, there are a number of additional LECs. Up to NLO these are $`W_0,W_4,\mathrm{},W_8`$, where the subscripts are chosen in analogy with the operators appearing in the conventional Lagrangian. The resulting expressions for pseudoscalar masses and decay constants in the partially quenched case may be used to extract the LECs at small but non-zero lattice spacing.

## 5 SUMMARY

Lattice determinations of quark masses have entered a mature stage, where the dominant systematic error is quenching. The quantification of dynamical quark effects will be the main subject of investigation in the coming years. The comparison of lattice data with effective low-energy theories such as ChPT has turned into a major activity. Here, the goal is not just to verify ChPT but to exploit its predictions in order to make contact with the regime of very light quarks, which is difficult to access directly in simulations. So far it is not entirely clear whether the sea quark masses used in simulations are small enough to justify extrapolations to the chiral regime based on ChPT at NLO. Simulations of partially quenched QCD show that the scenario of a massless up-quark is not reflected at all in the valence quark mass behaviour of pseudoscalar quantities. Further simulations with smaller quark masses should be performed to corroborate these findings and to settle the issue of the mass range in which ChPT at NLO can be expected to be valid.

Acknowledgements It is a pleasure to thank C. Bernard, T. Blum, C. Dawson, T. Draper, A. Duncan, E. Eichten, S. Hashimoto, S. Hauswirth, D. Hepburn, J. Hein, K. Holland, T. Kaneko, F. Knechtli, K.-F. Liu, V. Lubicz, N. Shoresh, R. Sommer, and H. Thacker for sending their results before the conference and for valuable discussions about their work.