text:
# Quantum SL(3,𝐂)’s: the missing case

## Introduction

The aim of this paper is to complete the classification of quantum $`\mathrm{SL}(3)`$’s undertaken in .

Roughly speaking, we call a quantum $`\mathrm{SL}(3)`$ any Hopf algebra (over $`𝐂`$) whose (finite-dimensional) comodules are “similar” to the modules of the (ordinary) group $`\mathrm{SL}(3,𝐂)`$ (see Definition 1.1). Given such a Hopf algebra $`𝒜`$, it will have, among other things, two simple (nonisomorphic) comodules $`V,W`$ of dimension $`3`$, and the usual decomposition rules for tensor products will imply the existence of $`𝒜`$-comodule morphisms (1.1), satisfying certain compatibility conditions (1.2). The tuple $`_𝒜`$, consisting of those two comodules and eight morphisms, will be called the *basic quantum $`\mathrm{SL}(3)`$ datum* (BQD for short) associated to $`𝒜`$.

Conversely, starting from an “abstract” BQD $``$ (i.e. where $`V,W`$ are just vector spaces and (1.1) just linear maps satisfying the aforementioned conditions), we may reconstruct a Hopf algebra $`𝒜_{}`$ via the usual Tannakian procedure.

We may now state our main result.

###### Theorem A.

1. If $`𝒜`$ is a quantum $`\mathrm{SL}(3)`$, then $`_𝒜`$ is a BQD.
2. If $``$ is a BQD, then $`𝒜_{}`$ is a quantum $`\mathrm{SL}(3)`$.
3. The correspondences $`𝒜_𝒜`$ and $`𝒜_{}`$ are inverse of each other between quantum $`\mathrm{SL}(3)`$’s (up to Hopf algebra isomorphism) and BQDs (up to equivalence; see Definition 1.2).
4. BQDs can be explicitly classified up to equivalence, yielding a classification of quantum $`\mathrm{SL}(3)`$’s up to Hopf algebra isomorphism.

An almost complete version of this theorem was stated and proved in . More precisely, we found a classification of all BQDs, except for one class related to elliptic curves, and we proved the theorem for all BQDs outside this class. In the present paper, we settle the study of this last class, thereby proving Theorem A in full.

Moreover, a geometric analysis of this class of BQDs yields the following contribution to a question raised in the Introduction of .

###### Theorem B.

Let $``$ be the quantum three-space associated to an arbitrary quantum $`\mathrm{SL}(3)`$. Then $``$ cannot be a Sklyanin algebra. In other words, the scheme of point modules  of $``$ (which is a cubic divisor in $`^2`$) cannot be an elliptic curve.

The paper is organized as follows. After some recollections from  in Section 1 (definition of a quantum $`\mathrm{SL}(3)`$ and of a BQD, and the correspondences between them), Section 2 recalls and studies the form of the only class of BQDs not covered by the results of ; this will finish the classification of BQDs. In Section 3, we introduce the shape algebra \[8, Section 5\] for this class of BQDs and we determine the associated flag variety (in the sense of ). These geometric data suggest to view the shape algebra as a twist (in the sense of ) of another algebra, which we show in Section 4 to be isomorphic to the shape algebra of another BQD, already covered by the results of . In Section 5, we finish the proof of Theorem A by carrying over the necessary properties from the untwisted to the twisted shape algebra. Theorem B is proved in Section 6 by picking up some leftovers from Section 2.

In the Appendix, we show a result on twists of Koszul algebras that is needed in Section 5, but may also be of independent interest.

Conventions. We denote by $`𝐙`$ (resp. $`𝐍`$, $`𝐂`$) the set of integers (resp. nonnegative integers, complex numbers). All vector spaces, algebras and tensor products are over $`𝐂`$.

## 1. Recollections from

Recall that the group $`\mathrm{SL}(3)`$ is linearly reductive and that its simple modules are parametrized by their highest weights, which are pairs $`(k,l)𝐍^2`$. Recall further that the dimension of the simple module of highest weight $`(k,l)`$ is given by $`d_{(k,l)}:=(k+1)(l+1)(k+l+2)/2`$. For any $`\lambda ,\mu ,\nu 𝐍^2`$, denote by $`m_{\lambda \mu }^\nu `$ the multiplicity of the simple module of highest weight $`\nu `$ inside the tensor product of those of (respective) highest weights $`\lambda `$ and $`\mu `$. (Recall also that $`m_{\lambda \mu }^\nu `$ can, in principle, be determined in a purely combinatorial way.)

Our main objects of interest may now be defined as follows (see ).

###### Definition 1.1.

We call a *quantum $`\mathrm{SL}(3)`$* any (not necessarily commutative) Hopf algebra $`𝒜`$ (over $`𝐂`$) such that

1. there is a family $`\{V_\lambda \lambda 𝐍^2\}`$ of simple and pairwise nonisomorphic $`𝒜`$-comodules, with $`dimV_\lambda =d_\lambda `$,
2. every $`𝒜`$-comodule is isomorphic to a direct sum of these,
3. for every $`\lambda ,\mu 𝐍^2`$, $`V_\lambda V_\mu `$ is isomorphic to $`_\nu m_{\lambda \mu }^\nu V_\nu `$.

In particular, if we write $`V:=V_{(1,0)}`$ and $`W:=V_{(0,1)}`$, then Condition (c) implies the existence of $`𝒜`$-comodule morphisms

(1.1) $`A`$ $`:VVW,`$ $`a`$ $`:WVV`$
$`B`$ $`:WWV,`$ $`b`$ $`:VWW`$
$`C`$ $`:WV𝐂,`$ $`c`$ $`:𝐂VW`$
$`D`$ $`:VW𝐂,`$ $`d`$ $`:𝐂WV,`$
each being unique up to a scalar. We showed in \[8, Propositions 3.1 and 3.2\] that these maps must, for an appropriate choice of these scalars, satisfy the following compatibility conditions:

(1.2a) $`(1_VC)(c1_V)`$ $`=1_V,`$ $`(D1_V)(1_Vd)`$ $`=1_V`$
(1.2b) $`Aa`$ $`=1_W,`$
(1.2c) $`C(A1_V)`$ $`=\omega D(1_VA),`$ $`(1_Va)c`$ $`=\omega (a1_V)d`$
(1.2d) $`\omega (C1_V)(1_Wa)`$ $`=B,`$ $`(A1_W)(1_Vc)`$ $`=b`$
(1.2e) $`Dc`$ $`=\kappa \mathrm{\hspace{0.17em}1}_𝐂,`$ $`Cd`$ $`=\kappa \mathrm{\hspace{0.17em}1}_𝐂`$
(1.2f) $`(1_VA)(a1_V)(A1_V)(1_Va)`$ $`=\rho (1_{VW}+cD)`$
(1.2g) $`(A1_V)(1_Va)(1_VA)(a_V1)`$ $`=\rho (1_{WV}+dC),`$
where

* $`\omega `$ is a 3rd root of unity,
* $`\kappa =q^2+1+q^2`$ and $`\rho =(q+q^1)^2`$ for some $`q𝐂`$, $`q0`$, with $`q^2`$ either $`1`$ or not a root of unity.

###### Definition 1.2.

A *basic quantum $`\mathrm{SL}(3)`$ datum* (BQD for short) is a tuple $`=(V,W,A,a,B,b,C,c,D,d)`$ consisting of two vector spaces $`V`$ and $`W`$ of dimension $`3`$, and of eight linear maps (1.1), satisfying Conditions (1.2) (with $`\omega ,\kappa ,q`$ as indicated). Two BQDs are called *equivalent* if one can be obtained from the other through (any combination of) base change, rescaling of the maps (1.1), and interchanging $`VW`$, $`AB`$, $`ab`$, $`CD`$, $`cd`$.

Thus, each quantum $`\mathrm{SL}(3)`$, $`𝒜`$, gives rise to a BQD $`_𝒜`$ (which is really defined only up to equivalence).

Conversely, start with a BQD $``$, and define an algebra $`𝒜_{}`$ with $`(9+9)`$ generators $`t_j^i`$ ($`i,j=1,2,3`$) and $`u_\beta ^\alpha `$ ($`\alpha ,\beta =1,2,3`$), and relations

$`A_{ij}^\alpha t_k^it_{\mathrm{}}^j`$ $`=u_\beta ^\alpha A_k\mathrm{}^\beta ,`$ $`t_k^it_{\mathrm{}}^ja_\beta ^k\mathrm{}`$ $`=a_\alpha ^{ij}u_\beta ^\alpha `$
$`B_{\alpha \beta }^iu_\gamma ^\alpha u_\delta ^\beta `$ $`=t_j^iB_{\gamma \delta }^j,`$ $`u_\gamma ^\alpha u_\delta ^\beta b_j^{\gamma \delta }`$ $`=b_i^{\alpha \beta }t_j^i`$
$`C_{\alpha i}u_\beta ^\alpha t_j^i`$ $`=C_{\beta j},`$ $`t_j^iu_\beta ^\alpha c^{j\beta }`$ $`=c^{i\alpha }`$
$`D_{i\alpha }t_j^iu_\beta ^\alpha `$ $`=D_{j\beta },`$ $`u_\beta ^\alpha t_j^id^{\beta j}`$ $`=d^{\alpha i}.`$
(Here, we have chosen bases $`x_1,x_2,x_3`$ of $`V`$ and $`y_1,y_2,y_3`$ of $`W`$, and set $`A(x_ix_j)=A_{ij}^\alpha y_\alpha `$, etc.) Then $`𝒜_{}`$ possesses a Hopf algebra structure given by

(1.3) $`\mathrm{\Delta }(t_j^i)`$ $`=t_k^it_j^k,`$ $`\mathrm{\Delta }(u_\beta ^\alpha )`$ $`=u_\gamma ^\alpha u_\beta ^\gamma `$
$`\epsilon (t_j^i)`$ $`=\delta _j^i,`$ $`\epsilon (u_\beta ^\alpha )`$ $`=\delta _\beta ^\alpha `$
$`S(t_j^i)`$ $`=c^{i\beta }u_\beta ^\alpha C_{\alpha j},`$ $`S(u_\beta ^\alpha )`$ $`=d^{\alpha j}t_j^iD_{i\beta }.`$
The main difficulty is to prove that the Hopf algebra $`𝒜_{}`$ is indeed a quantum $`\mathrm{SL}(3)`$ in the sense of Definition 1.1. We were able to do this in  for all BQDs, except for one class, which we will describe in the next section.

## 2. Classification of Case I.h

If we set $`Q_j^i:=c^{i\alpha }D_{j\alpha }`$, then (1.2a) implies $`(Q^1)_j^i=d^{\alpha i}C_{\alpha _j}`$. Now it follows from (1.3) that

$$S^2(t_j^i)=Q_k^it_l^k(Q^1)_j^l,$$

so $`S^2`$ is “encoded” by the linear map $`Q:VV`$.

In \[8, Section 10\], we used the possible Jordan normal forms of $`Q`$ and the value of $`\omega `$ as first criteria for the classification of BQDs. One possibility, called *Type I* in , consists in taking $`Q=1_V`$ and $`\omega =1`$. The condition $`Q=1_V`$ amounts to setting $`W=V^{}`$, with $`C,c,D,d`$ the obvious canonical maps. (In particular, we now have $`S^2=1_𝒜`$, reflecting the fact that $`W`$ is both the left dual and the right dual of $`V`$.) In this case, (1.2a) and (1.2e) are automatically satisfied (for $`\kappa =3`$, so $`q^2=1`$ and $`\rho =\frac{1}{4}`$).

Now consider the “quantum determinants,” appearing in (1.2c):

$`e:=(1_Va)c=\omega (a1_V)d`$ $`:𝐂VVV`$
$`E:=C(A1_V)=\omega D(1_VA)`$ $`:VVV𝐂.`$
If $``$ is of Type I, then Conditions (1.2c) imply that

$$e=\lambda +s,E=\mathrm{\Lambda }+S,$$

with $`\lambda ,\mathrm{\Lambda }`$ totally antisymmetric and $`s,S`$ totally symmetric. In particular, choosing dual bases $`x_i`$ in $`V`$ and $`y_\alpha `$ in $`W(=V^{})`$, we may view $`s`$ and $`S`$ as homogeneous polynomials of degree $`3`$, i.e. as cubic curves in the projective plane $`^2`$ and in its dual plane $`_{}^{2}{}_{}{}^{}`$, respectively (unless $`s=0`$ or $`S=0`$).

Using the standard classification of cubic curves in $`^2`$, we were then able in  to classify all possible forms of $`e`$ and $`E`$ that satisfy Conditions (1.2bfg), except in the case where $`s`$ is an elliptic curve.

In this particular case, called *Case I.h* in , the bases of $`V`$ and $`W`$ may be chosen in such a way that $`a`$ reads

$`a:`$ $`y_1\alpha x_2x_3+\beta x_3x_2+\gamma x_1x_1`$
$`y_2\alpha x_3x_1+\beta x_1x_3+\gamma x_2x_2`$
$`y_3\alpha x_1x_2+\beta x_2x_1+\gamma x_3x_3,`$
with $`\gamma 0`$ and $`(\alpha +\beta )^3+\gamma ^30`$ (so that $`s`$ is indeed elliptic). It then follows from (1.2b) that $`A`$ must read

$`A:x_1x_1`$ $`\gamma ^{}y_1,`$ $`x_1x_2`$ $`\alpha ^{}y_3,`$ $`x_1x_3`$ $`\beta ^{}y_2`$
$`x_2x_1`$ $`\beta ^{}y_3,`$ $`x_2x_2`$ $`\gamma ^{}y_2,`$ $`x_2x_3`$ $`\alpha ^{}y_1`$
$`x_3x_1`$ $`\alpha ^{}y_2,`$ $`x_3x_2`$ $`\beta ^{}y_1,`$ $`x_3x_3`$ $`\gamma ^{}y_3,`$
with

(2.1)
$$\alpha \alpha ^{}+\beta \beta ^{}+\gamma \gamma ^{}=1.$$

Moreover, Conditions (1.2fg) now read

(2.2) $`P_0`$ $`:=\alpha ^2\alpha _{}^{}{}_{}{}^{2}+\beta ^2\beta _{}^{}{}_{}{}^{2}+\gamma ^2\gamma _{}^{}{}_{}{}^{2}2\alpha \alpha ^{}\beta \beta ^{}2\alpha \alpha ^{}\gamma \gamma ^{}2\beta \beta ^{}\gamma \gamma ^{}=0`$
$`P_1`$ $`:=\alpha ^2\beta ^{}\gamma ^{}+\beta ^2\alpha ^{}\gamma ^{}+\gamma ^2\alpha ^{}\beta ^{}=0`$
$`P_2`$ $`:=\alpha _{}^{}{}_{}{}^{2}\beta \gamma +\beta _{}^{}{}_{}{}^{2}\alpha \gamma +\gamma _{}^{}{}_{}{}^{2}\alpha \beta =0.`$
###### Proposition 2.1.

Up to base change, we may assume that $`\alpha =\alpha ^{}=0`$.

###### Proof.

*Case 1* : $`\alpha =0`$ or $`\alpha ^{}=0`$. Substituting into $`P_2`$ or $`P_1`$ shows that $`\alpha =\alpha ^{}=0`$.

*Case 2* : $`\beta =0`$ or $`\beta ^{}=0`$. Permuting two of the three basis vectors takes us back to Case 1.

*Case 3* : $`\gamma ^{}=0`$ (recall that $`\gamma =0`$ has been ruled out by ellipticity of $`s`$). Substituting into $`P_1`$ shows that $`\alpha ^{}=0`$ or $`\beta ^{}=0`$, which takes us back to Case 1 or Case 2.

*Case 4* : none of $`\alpha ,\alpha ^{},\beta ,\beta ^{},\gamma ,\gamma ^{}`$ equals zero. Viewing $`P_0,P_1,P_2`$ as polynomials in $`\alpha ^{}`$, their resultants must vanish:

$`0`$ $`=\mathrm{Res}_\alpha ^{}(P_0,P_1)=\left|\begin{array}{ccc}\alpha ^2& 2\alpha (\beta \beta ^{}+\gamma \gamma ^{})& (\beta \beta ^{}\gamma \gamma ^{})^2\\ \beta ^2\gamma ^{}+\gamma ^2\beta ^{}& \alpha ^2\beta ^{}\gamma ^{}& 0\\ 0& \beta ^2\gamma ^{}+\gamma ^2\beta ^{}& \alpha ^2\beta ^{}\gamma ^{}\end{array}\right|`$
$`=\beta ^2\gamma ^4\beta _{}^{}{}_{}{}^{4}+2(\alpha ^3+\beta ^3\gamma ^3)\beta \gamma ^2\beta _{}^{}{}_{}{}^{3}\gamma ^{}`$
$`+(\alpha ^6+\beta ^6+\gamma ^6+2\alpha ^3\beta ^3+2\alpha ^3\gamma ^34\beta ^3\gamma ^3)\beta _{}^{}{}_{}{}^{2}\gamma _{}^{}{}_{}{}^{2}`$
$`+2(\alpha ^3+\gamma ^3\beta ^3)\beta ^2\gamma \beta ^{}\gamma _{}^{}{}_{}{}^{3}+\beta ^4\gamma ^2\gamma _{}^{}{}_{}{}^{4}`$
$`=:Q_1`$
$`0`$ $`=\mathrm{Res}_\alpha ^{}(P_1,P_2)=\left|\begin{array}{ccc}\beta ^2\gamma ^{}+\gamma ^2\beta ^{}& \alpha ^2\beta ^{}\gamma ^{}& 0\\ 0& \beta ^2\gamma ^{}+\gamma ^2\beta ^{}& \alpha ^2\beta ^{}\gamma ^{}\\ \beta \gamma & 0& \alpha (\beta _{}^{}{}_{}{}^{2}\gamma +\gamma _{}^{}{}_{}{}^{2}\beta )\end{array}\right|`$
$`=\alpha \gamma ^5\beta _{}^{}{}_{}{}^{4}+2\alpha \beta ^2\gamma ^3\beta _{}^{}{}_{}{}^{3}\gamma ^{}+(\alpha ^3+\beta ^3+\gamma ^3)\alpha \beta \gamma \beta _{}^{}{}_{}{}^{2}\gamma _{}^{}{}_{}{}^{2}+2\alpha \beta ^3\gamma ^2\beta ^{}\gamma _{}^{}{}_{}{}^{3}+\alpha \beta ^5\gamma _{}^{}{}_{}{}^{4}`$
$`=:Q_2.`$
(These resultants make sense, because the leading coefficients of $`P_0,P_1,P_2`$ are nonzero: in particular, if we had $`\beta ^2\gamma ^{}+\gamma ^2\beta ^{}=0`$, then substituting into $`P_1`$ would imply $`\alpha =0`$, $`\beta ^{}=0`$, or $`\gamma ^{}=0`$.)

Viewing $`Q_1,Q_2`$ as polynomials in $`\beta ^{}`$, their resultant must again vanish:

$`0`$ $`=\mathrm{Res}_\beta ^{}(Q_1,Q_2)=\text{(a }6\times 6\text{ determinant)}`$
(2.3) $`=\gamma _{}^{}{}_{}{}^{16}(\alpha \beta \gamma )^{10}\left[(\alpha ^3+\beta ^3+\gamma ^3)^3(3\alpha \beta \gamma )^3\right].`$
(The author confesses not to have computed this $`6\times 6`$ determinant by hand!)

Therefore, $`\alpha ^3+\beta ^3+\gamma ^3=3\zeta \alpha \beta \gamma `$ for some 3rd root of unity $`\zeta `$, i.e.

$$(\zeta \gamma +\alpha +\beta )(\zeta \gamma +j\alpha +j^2\beta )(\zeta \gamma +j^2\alpha +j\beta )=0,$$

where $`j`$ is a primitive 3rd root of unity. But $`\zeta \gamma +\alpha +\beta =0`$ is ruled out by ellipticity of the curve $`s`$, so we may assume that $`\zeta \gamma +j\alpha +j^2\beta =0`$ (exchanging $`jj^2`$ if necessary).

Now consider the following change of basis in $`V`$:

$$\{\begin{array}{cc}\hfill x_1^{}& =\zeta x_1+x_2+x_3\hfill \\ \hfill x_2^{}& =\zeta x_1+jx_2+j^2x_3\hfill \\ \hfill x_3^{}& =\zeta x_1+j^2x_2+jx_3\hfill \end{array}$$

(together with the dual basis $`y_1^{},y_2^{},y_3^{}`$ in $`W`$). Then the map $`a`$ reads

$`(3\zeta )a:`$ $`y_1^{}(\zeta \gamma +j^2\alpha +j\beta )x_3^{}x_2^{}+(\zeta \gamma +\alpha +\beta )x_1^{}x_1^{}`$
$`y_2^{}(\zeta \gamma +j^2\alpha +j\beta )x_1^{}x_3^{}+(\zeta \gamma +\alpha +\beta )x_2^{}x_2^{}`$
$`y_3^{}(\zeta \gamma +j^2\alpha +j\beta )x_2^{}x_1^{}+(\zeta \gamma +\alpha +\beta )x_3^{}x_3^{},`$
so we are taken back to Case 1. ∎

Substituting $`\alpha =\alpha ^{}=0`$ back into (2.1) and (2.2) now yields $`\beta \beta ^{}=\gamma \gamma ^{}=\frac{1}{2}`$. Now we still have one degree of freedom to rescale the maps $`a`$ and $`A`$, so we are left with one essential parameter, say

$$t:=\frac{\gamma }{\beta }=\frac{\beta ^{}}{\gamma ^{}}.$$

This completes the classification of BQDs, undertaken in \[8, Section 10\].

## 3. The shape algebra and its flag variety

Given a BQD $``$, recall \[8, Section 5\] that its *shape algebra* $`_{}`$ is generated by $`x_i`$ ($`i=1,2,3`$) and $`y_\alpha `$ ($`\alpha =1,2,3`$), with defining relations

$`a_\alpha ^{ij}x_ix_j`$ $`=0,`$ $`c^{i\alpha }x_iy_\alpha `$ $`=0`$
$`b_i^{\alpha \beta }y_\alpha y_\beta `$ $`=0,`$ $`y_\alpha x_i`$ $`=(q+q^1)a_\alpha ^{jk}A_{ki}^\beta x_jy_\beta `$
This algebra has a natural $`𝐍^2`$-grading $`_{}=_{(k,l)𝐍^2}V_{(k,l)}`$, with the $`x_i`$ of degree $`(1,0)`$ and the $`y_\alpha `$ of degree $`(0,1)`$. (Moreover, it carries a natural $`𝒜_{}`$-comodule algebra structure, with each $`V_{(k,l)}`$ becoming an $`𝒜_{}`$-comodule: these are the natural candidates to show that $`𝒜_{}`$ satisfies Definition 1.1.)

When $``$ is the BQD of Case I.h (with $`\alpha =\alpha ^{}=0`$ and $`\beta \beta ^{}=\gamma \gamma ^{}=\frac{1}{2}`$; cf. Section 2), the defining relations of $`_{}`$ read

(3.1)
$$\begin{array}{c}\begin{array}{cc}\hfill x_3x_2& =tx_1^2,\hfill \\ \hfill x_1x_3& =tx_2^2,\hfill \\ \hfill x_2x_1& =tx_3^2,\hfill \end{array}\begin{array}{cc}\hfill ty_2y_3& =y_1^2\hfill \\ \hfill ty_3y_1& =y_2^2\hfill \\ \hfill ty_1y_2& =y_3^2\hfill \end{array}\\ \begin{array}{cccccc}\hfill y_1x_1& =x_2y_2,\hfill & \hfill y_2x_1& =tx_2y_3,\hfill & \hfill ty_3x_1& =x_2y_1\hfill \\ \hfill ty_1x_2& =x_3y_2,\hfill & \hfill y_2x_2& =x_3y_3,\hfill & \hfill y_3x_2& =tx_3y_1\hfill \\ \hfill y_1x_3& =tx_1y_2,\hfill & \hfill ty_2x_3& =x_1y_3,\hfill & \hfill y_3x_3& =x_1y_1\hfill \end{array}\\ x_1y_1+x_2y_2+x_3y_3=0.\end{array}$$

Now let us determine the flag variety of $`_{}`$ as defined in . To do this, modify Relations (3.1) as follows: in each relation, adorn the right factor of each term with a  if the left factor is an $`x_i`$, and with a <sup>′′</sup> if the left factor is a $`y_\alpha `$ (e.g. the first relation on the fourth line now reads $`y_1x_1^{\prime \prime }=x_2y_2^{}`$).

View $`(x_1:x_2:x_3)`$ and $`(y_1:y_2:y_3)`$ as homogeneous coordinates in $`^2`$ and in $`_{}^{2}{}_{}{}^{}`$, respectively. Since Relations (3.1) are $`𝐍^2`$-homogeneous, their modified version may now be seen as defining equations for a subscheme

$$\mathrm{\Gamma }(^2\times _{}^{2}{}_{}{}^{})\times (^2\times _{}^{2}{}_{}{}^{})\times (^2\times _{}^{2}{}_{}{}^{}).$$

One easily checks that $`\mathrm{\Gamma }`$ is of the form

$$\mathrm{\Gamma }=\{(p,\sigma _1(p),\sigma _2(p))pX\}$$

for some subscheme $`X^2\times _{}^{2}{}_{}{}^{}`$ and some automorphisms $`\sigma _1,\sigma _2`$ of $`X`$: indeed, the scheme $`X`$ is the variety with nine irreducible components pictured in Figure 1,

and the automorphisms $`\sigma _1,\sigma _2`$ naturally decompose into $`\sigma _1=\tau _1\sigma _1^{}`$, $`\sigma _2=\tau _2\sigma _2^{}`$, where $`\tau _1,\tau _2`$ are the automorphisms of $`^2\times _{}^{2}{}_{}{}^{}`$ given by

$$\tau _1:\left(\begin{array}{ccc}x_1& x_2& x_3\\ y_1& y_2& y_3\end{array}\right)\left(\begin{array}{ccc}x_3& x_1& x_2\\ y_3& y_1& y_2\end{array}\right),\tau _2:\left(\begin{array}{ccc}x_1& x_2& x_3\\ y_1& y_2& y_3\end{array}\right)\left(\begin{array}{ccc}x_2& x_3& x_1\\ y_2& y_3& y_1\end{array}\right),$$

and where $`\sigma _1^{},\sigma _2^{}`$ are also described in Figure 1, e.g. $`\sigma _1^{}:\left(\begin{array}{ccc}0& 1& 0\\ 0& \lambda & \mu \end{array}\right)\left(\begin{array}{ccc}0& 1& 0\\ 0& \lambda & t^2\mu \end{array}\right)`$ and $`\sigma _2^{}:\left(\begin{array}{ccc}0& 1& 0\\ 0& \lambda & \mu \end{array}\right)\left(\begin{array}{ccc}0& 1& 0\\ 0& \lambda & t\mu \end{array}\right)`$.

###### Informal remark 3.1.

Since $`_{}`$ is a quantum analogue of the multihomogeneous coordinate ring of the (ordinary) flag variety of $`\mathrm{SL}(3)`$, nontrivial characters of $`_{}`$ should, in some sense, correspond to “quantum Borel subgroups” of $`𝒜_{}`$. On the other hand, such characters obviously correspond to simultaneous fixed points of $`\sigma _1,\sigma _2`$. But in the case considered here, there is no such fixed point: so once Theorem A will be proved, we will have a quantum group with the same representations as $`\mathrm{SL}(3)`$, although in some sense, it has *no* quantum Borel subgroup to induce them from!

## 4. Twisting the shape algebra

The natural decompositions $`\sigma _i=\tau _i\sigma _i^{}`$ suggest to consider $`_{}`$ as the twist $`R^\tau `$ (in the sense of ) of another $`𝐍^2`$-graded algebra $`R`$, whose associated flag variety will be $`(X,\sigma _1^{},\sigma _2^{})`$ instead of $`(X,\sigma _1,\sigma _2)`$ (this works by an obvious multigraded version of \[4, Proposition 8.9\], noting that the $`\tau _1,\tau _2`$ commute with each other and with $`\sigma _1^{},\sigma _2^{}`$). The algebra $`R`$ will also be generated by $`x_i`$ ($`i=1,2,3`$) and $`y_\alpha `$ ($`\alpha =1,2,3`$), with defining relations obtained by twisting (3.1) backwards:

(4.1)
$$\begin{array}{c}\begin{array}{cc}\hfill x_3x_1& =tx_1x_3,\hfill \\ \hfill x_1x_2& =tx_2x_1,\hfill \\ \hfill x_2x_3& =tx_3x_2,\hfill \end{array}\begin{array}{cc}\hfill ty_2y_1& =y_1y_2\hfill \\ \hfill ty_3y_2& =y_2y_3\hfill \\ \hfill ty_1y_3& =y_3y_1\hfill \end{array}\\ \begin{array}{cccccc}\hfill y_1x_2& =x_2y_1,\hfill & \hfill y_2x_2& =tx_2y_2,\hfill & \hfill ty_3x_2& =x_2y_3\hfill \\ \hfill ty_1x_3& =x_3y_1,\hfill & \hfill y_2x_3& =x_3y_2,\hfill & \hfill y_3x_3& =tx_3y_3\hfill \\ \hfill y_1x_1& =tx_1y_1,\hfill & \hfill ty_2x_1& =x_1y_2,\hfill & \hfill y_3x_1& =x_1y_3\hfill \end{array}\\ x_1y_3+x_2y_1+x_3y_2=0.\end{array}$$

A straightforward computation shows that relations (4.1), with $`y_1,y_2,y_3`$ renamed to $`y_2,y_3,y_1`$, turn out to define the shape algebra $`_{^{}}`$, where $`^{}`$ is the BQD of Type I defined by the maps

$$\begin{array}{cc}\hfill a:& y_1\lambda x_2x_3+\mu x_3x_2\hfill \\ & y_2\lambda x_3x_1+\mu x_1x_3\hfill \\ & y_3\lambda x_1x_2+\mu x_2x_1\hfill \end{array}$$

$$\begin{array}{cccccc}\hfill A:x_1x_1& 0,\hfill & \hfill x_1x_2& \lambda ^{}y_3,\hfill & \hfill x_1x_3& \mu ^{}y_2\hfill \\ \hfill x_2x_1& \mu ^{}y_3,\hfill & \hfill x_2x_2& 0,\hfill & \hfill x_2x_3& \lambda ^{}y_1\hfill \\ \hfill x_3x_1& \lambda ^{}y_2,\hfill & \hfill x_3x_2& \mu ^{}y_1,\hfill & \hfill x_3x_3& 0\hfill \end{array}$$

(Case I.e in \[8, Section 10\]), with $`\lambda \lambda ^{}=\mu \mu ^{}=\frac{1}{2}`$ and $`t=\frac{\mu }{\lambda }=\frac{\lambda ^{}}{\mu ^{}}`$.

## 5. Proof of Theorem A

In , all intermediate results in the (almost complete) proof of Theorem A are valid for an arbitrary BQD $``$, except for \[8, Proposition 5.3\] (and the resulting \[8, Corollary 5.4\]), which relies on a case by case analysis that is not valid in Case I.h. More precisely, the proof of Theorem A will be complete if we show the following facts for this particular case:

1. the shape algebra $`_{}`$ is a Koszul algebra (when viewed as an $`𝐍`$-graded algebra via the total grading),
2. $`dimV_{(k,l)}=d_{(k,l)}`$ for all $`(k,l)𝐍^2`$.

Since the BQD $`^{}`$ introduced in Section 4 is already covered by , Properties (a) and (b) are true for $`_{^{}}`$.

Therefore, $`_{}`$, being a twist of $`_{^{}}`$, also satisfies those two properties: for Property (b), this is automatic, and for Property (a), it follows from Proposition A.1 in the Appendix. Theorem A follows.

## 6. Proof of Theorem B

To each BQD $``$ are associated two “quantum three-spaces,” namely the quadratic algebras $`_{}:=T(V)/(\mathrm{Im}a)`$ and $`𝒞_{}:=T(W)/(\mathrm{Im}b)`$. For Case I.h, $`_{}`$ is defined by the following relations:

$`\alpha x_2x_3+\beta x_3x_2+\gamma x_1^2`$ $`=0`$
$`\alpha x_3x_1+\beta x_1x_3+\gamma x_2^2`$ $`=0`$
$`\alpha x_1x_2+\beta x_2x_1+\gamma x_3^2`$ $`=0,`$
(The defining relations of $`𝒞_{}`$ are similar.) This algebra is one of the regular algebras of dimension $`3`$ studied in , where the matrix $`Q`$ (see Section 2) also played a role in the classification of such algebras. Algebras for which $`Q=1`$ (called of *Type A* in ) give rise to the cubic curve $`s`$ in $`^2`$ as in Section 2, so let us call this curve the *AS-curve*. The AS-curve associated to $`_{}`$ is given by

$$\gamma (x_1^3+x_2^3+x_3^3)=3(\alpha +\beta )x_1x_2x_3.$$

Another cubic curve in $`^2`$ has been associated to $`_{}`$ in , namely the scheme of its point modules, given by

$$(\alpha \beta \gamma )(x_1^3+x_2^3+x_3^3)=(\alpha ^3+\beta ^3+\gamma ^3)x_1x_2x_3.$$

Call this curve the *ATV-curve* associated to $`_{}`$.

###### Remark 6.1.

The ATV-curve is defined for an arbitrary regular algebra of dimension $`3`$, whereas the AS-curve is defined only for those of Type A. Note however, as observed in , that even when both curves are defined, they *do not* coincide in general!

Recall  that $`_{}`$ is called a *Sklyanin algebra* if its ATV-curve is elliptic. But by Proposition 2.1, this is impossible: the ATV-curve of $`_{}`$ must degenerate to a triangle (which may also be viewed as the image of the flag variety $`X`$ under the projection $`^2\times _{}^{2}{}_{}{}^{}^2`$).

On the other hand, a case by case analysis shows that none of the other BQDs, classified in \[8, Section 10\], can give rise to an elliptic ATV-curve. This proves Theorem B.

###### Remark 6.2.

The fact that, for the BQD $``$ of Case I.h, the ATV-curve of $`_{}`$ cannot be elliptic was already visible in (2.3), which was obtained via an elimination procedure from Conditions (1.2fg). In turn, the latter were shown in \[8, Section 3\] to be related to the existence of an endomorphism of $`VV`$ satisfying the braid relation.

One would of course like to see a more direct and natural link, for an arbitrary BQD $``$, between the braid relation and the fact that the ATV-curve of $`_{}`$ cannot be elliptic.

## Appendix: Multitwists preserve the Koszul property

Let $`\mathrm{\Gamma }`$ be a monoid and $`A=_{\gamma \mathrm{\Gamma }}A_\gamma `$ a $`\mathrm{\Gamma }`$-graded algebra.

Assume that to each $`\gamma \mathrm{\Gamma }`$, we associate a graded automorphism $`\tau _\gamma `$ of $`A`$, in such a way that $`\tau _{\gamma \gamma ^{}}=\tau _\gamma \tau _\gamma ^{}`$ for all $`\gamma ,\gamma ^{}\mathrm{\Gamma }`$. (This is really only a special case of the notion introduced in , but it will be sufficient for our purposes: in Section 4, we take $`\tau _{(k,l)}:=\tau _1^k\tau _2^l`$ for each $`(k,l)𝐍^2`$.)

Recall  that the *twisted* algebra $`A^\tau `$ is defined to be the vector space $`_{\gamma \mathrm{\Gamma }}A_\gamma `$, endowed with the following new multiplication:

$$xy:=x\tau _\gamma (y)\text{for all }xA_\gamma \text{}yA\text{.}$$

###### Proposition A.1.

Consider $`A`$ and $`A^\tau `$ as $`𝐍`$-graded algebras via some morphism $`h:\mathrm{\Gamma }𝐍`$, and assume that they are generated by $`A_1(=A_1^\tau )=_{h(\gamma )=1}A_\gamma `$. Then $`A^\tau `$ is Koszul if and only if $`A`$ is Koszul.

###### Remark A.2.

If $`\mathrm{\Gamma }=𝐍`$, then the categories of $`𝐍`$-graded modules of $`A`$ and of $`A^\tau `$ are equivalent thanks to \[10, Theorem 3.1\], and the Koszul property is a homological property in this category, so the result is immediate.

However, for arbitrary $`\mathrm{\Gamma }`$, \[10, Theorem 3.1\] shows that the categories of $`\mathrm{\Gamma }`$-graded modules are equivalent, but this does not imply that those of $`𝐍`$-graded modules are. Therefore, a proof is still needed.

###### Proof of Proposition A.1.

Of course, since $`A=(A^\tau )^{\tau ^1}`$, we only need to show one way, so assume that $`A`$ is Koszul. Then $`A`$ is quadratic, say $`A=T(A_1)/(R)`$ with $`RA_1A_1`$. Moreover, for each $`k2`$, the sublattice (w.r.t. $``$ and $`+`$) of $`A_1^k`$ generated by $`R`$ (that is, by all the $`A_1^{(i1)}RA_1^{(ki1)}`$) is distributive thanks to Backelin’s criterion  (see also \[6, Lemma 4.5.1\]).

Now define $`v:A_1^kA_1^k`$ as follows: view $`A_1^k`$ as the direct sum of all subspaces $`A_{\gamma _1}\mathrm{}A_{\gamma _k}`$ with $`h(\gamma _1)=\mathrm{}=h(\gamma _k)=1`$, and set

$$v_{}^{}{}_{A_{\gamma _1}\mathrm{}A_{\gamma _k}}{}^{}:=1_{A_{\gamma _1}}\tau _{\gamma _1}(\tau _{\gamma _2}\tau _{\gamma _1})\mathrm{}(\tau _{\gamma _{k1}}\mathrm{}\tau _{\gamma _1}).$$

By construction, $`A^\tau =T(A_1)/\left(v^1(R)\right)`$, so $`A^\tau `$ is again quadratic. Moreover, the sublattice of $`A_1^k`$ generated by $`v^1(R)`$ is the image under $`v^1`$ of that generated by $`R`$, so it is still distributive. Applying Backelin’s criterion in the reverse direction, we conclude that $`A^\tau `$ is Koszul. ∎


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# Optical and Infrared Photometry of the Nearby Type Ia Supernova 2001el

## 1 Introduction

Type Ia supernovae (SNe) continue to be some of the most important objects of study in extragalactic astronomy. Since the discovery of the luminosity-decline rate relation (Phillips 1993; Phillips et al. 1999) and the corresponding relationships between light curve shapes and luminosities-at-maximum (Riess, Press, & Kirshner 1996; Riess et al. 1998; Perlmutter et al. 1997), Type Ia SNe have been regarded as standardizable candles to be used for calibrating the distances to the host galaxies.

Until recently, the amount of published infrared data of Type Ia SNe was quite small (Elias et al. 1981, 1985; Meikle 2000, and references therein; Krisciunas et al. 2000, 2001). Beginning in 1999 two of us (MMP and NBS) began a coordinated effort, using telescopes at Las Campanas and Cerro Tololo, to obtain well-sampled optical and infrared light curves of Type Ia supernovae. The first of these, SN 2000bk, was published by Krisciunas et al. (2001), including data from Apache Point Observatory.

Recently, we have published well-sampled light curves of SNe 1999aw (Strolger et al. 2002) and 1999ac (Phillips et al. 2002). In the $`H`$\- and $`K`$-bands, in particular, we note that the light curves of Type Ia SNe are quite flat about 10 days after the time of $`B`$-band maximum, T($`B_{max}`$), allowing us get an accurate brightness measure of Type Ia SNe in the near-infrared, independent of the peculiarities of the light curves around the time of the primary maximum ($`t3`$ d) or the time of the secondary maximum ($`t+25`$ d).777As is conventional, we shall measure the “age” of a supernova in time before or after T($`B_{max}`$). For this we use the variable $`t`$, measured in days.

In addition to the data of SN 2001el presented here, we are finishing up the reduction of the light curves of another dozen objects. This will allow us to characterize better than ever before the infrared light curves of Type Ia SNe and correlate the variations observed at infrared wavelengths with those seen at optical wavelengths. Because interstellar extinction at infrared wavelengths is an order of magnitude less than extinction at optical wavelengths, we expect that we will be able to exploit this fact to obtain intrinsic photometry of Type Ia SNe only minimally affected by interstellar extinction. This will lead to an infrared Hubble diagram for Type Ia SNe free of significant systematic errors incurred from imprecise reddening estimates, and characterized by small random errors. Only with such a foundation for nearby Type Ia SNe can we have confidence in the conclusions drawn from observations of distant SNe, such as evidence for a non-zero cosmological constant (Riess et al. 1998, Perlmutter et al. 1999).

## 2 Observations

SN 2001el was discovered by Monard (2001) on 17.064 September 2001 UT (= Julian Date 2,452,169.564) some 22″ west and 19″ north of the nucleus of the SAcd galaxy NGC 1448, which incidentally was also the host of the Type II SN 1983S. According to the NASA/IPAC Extragalactic Database (NED) the heliocentric velocity of this galaxy is 1164 km s-1. Based on a spectrum taken with the VLT on 21 September 2001 UT (JD = 2,452,173.5), Sollerman, Leibundgut, & Lundqvist (2001) showed SN 2001el to be a Type Ia SN well before maximum. On this basis we requested that frequent optical and infrared imagery be made with the Yalo-AURA-Lisbon-Ohio (YALO) 1-m telescope at Cerro Tololo. We also obtained optical imagery on five nights with the CTIO 0.9-m telescope. Optical data of Landolt presented here is single-channel photoelectric photometry carried out with the CTIO 1.5-m telescope. Finally, we obtained other infrared imagery with the 1-m Swope telescope at Las Campanas, which was used, along with observations of infrared standards of Persson et al. (1998) to calibrate the $`JHK`$ magnitudes of the field stars near SN 2001el.

Fig. 1 is a $`V`$-band optical image in which we identify the location of SN 2001el and various local field standards. In Tables 1 and 2 we give optical and infrared photometry of some of these local standards. These were used as secondary standards tied to the optical and infrared standards of Landolt (1992) and Persson et al. (1998), respectively. This allowed us to calibrate the photometry of the SN on photometric as well as non-photometric nights.

Photometry reduction of the YALO data was carried out using daophot (Stetson 1987, 1990) and a set of programs written by one of us (NBS). The photometric techniques were described by Suntzeff et al. (1999) and involve using aperture magnitudes and aperture corrections for the brighter stars, while relying on point spread function (PSF) magnitudes for fainter stars. We used transformation equations of the following form:

$$b=B+ZP_b\mathrm{\hspace{0.33em}0.079}(BV)+k_bX;$$
(1)
$$v=V+ZP_v+\mathrm{\hspace{0.33em}0.018}(BV)+k_vX;$$
(2)
$$r=R+ZP_r\mathrm{\hspace{0.33em}0.030}(VR)+k_rX;$$
(3)
$$i=I+ZP_i+\mathrm{\hspace{0.33em}0.045}(VI)+k_iX;$$
(4)
$$j=J+ZP_j\mathrm{\hspace{0.33em}0.034}(JH)+k_jX;$$
(5)
$$h=H+ZP_h+\mathrm{\hspace{0.33em}0.022}(JH)+k_hX;$$
(6)
$$k=K+ZP_k\mathrm{\hspace{0.33em}0.003}(JK)+k_kX.$$
(7)
The parameters on the left hand sides are the instrumental magnitudes. On the right hand side of each equation we have the standardized magnitude, a photometric zeropoint, a color term times a standardized color, and an extinction term times the air mass. Given that the color terms are reasonably close to zero, the YALO filters provide a good, but not perfect, match to the filters used by Landolt (1992) and Persson et al. (1998) for the derivation of their standard star networks.

In Table 3 we present $`UBVRI`$ photometry of SN 2001el. A majority of the data is from YALO, calibrated using the secondary standards from Table 1. Landolt’s data are tied directly to the Landolt (1992) standards, i.e. without using the secondary standards. The internal errors of the Landolt data are as small as several millimags. His data were taken when the SN was getting monotonically fainter, and the data bear this out on those four nights when he measured the SN on more than one occasion. For our field star number 1 Landolt obtained mean values of $`V,BV,VR`$, and $`VI`$ which are +0.003, +0.002, $``$0.005, and $``$0.009 mag different, respectively, than the values obtained from CCD photometry with YALO. Thus, photometry of stars carried out with the CTIO 1.5-m and YALO telescopes is in excellent agreement.

We note that Landolt’s measurements of SN 2001el are aperture photometry using a 14 arcsec diameter aperture. His sky readings were taken 15 arcsec to the north of supernova. To determine the amount of diffuse light of NGC 1448 which was in his diaphragm while measuring SN 2001el, we used CCD frames of the field taken 16 October 2001 and 15 January 2002. We determined that $`U`$-band corrections to Landolt’s photoelectric photometry are negligible, 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$002 or less. In $`B`$, $`V`$, $`R`$, and $`I`$, however, the data required correction by 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$019 to 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$043, 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$024 to 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$035, 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$034 to 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$048, and 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$058 to 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$078, respectively. (Another way of describing this is that galaxy light is red.) The Landolt data in Table 3 include these corrections.

There were four nights when Landolt observed SN 2001el when it was also observed with YALO. In the sense “YALO minus Landolt” the $`B`$-band data show a difference of +0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$037. For other bands $`\mathrm{\Delta }V`$ = $``$0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$025, $`\mathrm{\Delta }R`$ = $``$0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$009, and $`\mathrm{\Delta }I`$ = $``$0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$064. $`V`$-band data obtained with the CTIO 0.9-m telescope by Arenas is up to 0.067 mag fainter at the time of maximum light than corresponding YALO data.

Suntzeff (2000) notes that one observes sizable and repeatable systematic differences for the $`BV`$ colors of Type Ia SNe measured with different telescopes. In the cases of SNe 1998bu and 1999ee observed with the YALO and CTIO 0.9-m telescopes, one finds that YALO colors are 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$03 redder at maximum and 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$12 in the tail of the color curve, as shown in Fig. 2. Obviously, if we try to derive a $`BV`$ color excess from late-time photometry, we must identify and correct systematic differences in the photometry that are as large as shown in Fig. 2.

To account for possible systematic errors in our photometry of SN 2001el we investigated the method of computing filter corrections described by Stritzinger et al. (2002). In the end these authors chose not to apply their derived filter corrections, describing the whole exercise as “somewhat disappointing.”888Some of their disappointment stemmed from trying to correct YALO observations taken with a very wide, non-standard $`R`$ filter. Our YALO observations were made with a much narrower, more standard $`R`$ filter. By contrast, we were quite encouraged by similar efforts for SN 2001el. In particular, our corrections to the $`B`$ and $`V`$ magnitudes not only tighten up the light curves in those filters, but they solve the problem of the $`BV`$ colors being too red in the tail of the color curve. Also, our $`JHK`$ light curves are improved. Still, should the reader disagree with our application of the filter corrections, we present the data in this paper in multiple tables: two for uncorrected photometry, and two for corrections.

The determination of filter corrections involves at minimum the dot product (i.e. multiplying together) of filter transmission functions, quantum efficiency as a function of wavelength, and an atmospheric transmission profile. The zeropoints are first fixed with Vega (see Appendix A), then one determines synthetic broad-band magnitudes using spectra of spectrophotometric standards (Hamuy et al. 1992, 1994). This allows one to derive color terms based on the synthetic photometry. In order for the synthetic color terms to match the color terms derived from actual broad band photometry within 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$01 mag-1, we found, as did Stritzinger et al. (2002), that we had to shift the optical filter profiles by as much as 100 Å to match the synthetic color terms with the actual observed ones.999Shifting the filter profiles in this manner will strike some readers as unsatisfactory. However, the manufacturer of our $`R`$-band filter gives a particular filter curve, but states that when the filter is used in a liquid nitrogen filled dewar, the filter curve should be shifted 300 Å to the blue. We find that a shift of 270 Å gives the correct color term, or 30 Å to the red of the expected filter curve. Thus, the use of these wavelength shifts is justified at some level. In Appendix B we give the filter shifts used for the optical photometry.

We took as our filter references the $`BVRI`$ profiles of Bessell (1990), corrected for wavelength (i.e. divided by $`\lambda `$). In Fig. 3 we show the derived magnitude corrections for $`B`$-band photometry of SNe 1999ee and 2001el. In Fig. 4 we show the analogous filter corrections for the $`V`$-band. These corrections were obtained using spectra of SN 1999ee from Hamuy et al. (2002), while some spectra of SN 2001el are discussed by Wang et al. (2002).101010The first two of these spectra range from 4179 to 8634 Å, while the last three range from 3327 to 8634 Å. Because the $`B`$-band starts at roughly 3600 Å, we obtain three synthetic $`B`$-band magnitudes and five synthetic $`V`$-band magnitudes of SN 2001el. Both are needed to derive filter corrections for $`B`$ and $`V`$ data because of color terms that need to be applied. Six HST spectra were also kindly made available to us by P. Nugent. These range from 2947 to 10238 Å, thus covering the $`UBVRI`$ passbands, and were taken from 29.5 $`t`$ 65.3 d.

We find that for the CTIO 1.5-m telescope with the filters used by Landolt the $`B`$-band filter corrections are essentially the same for SN 1999ee and 2001el. The situation is not too bad for the CTIO 0.9-m telescope, but for YALO the $`B`$-band corrections are not as well behaved, indicating that the filter corrections can be telescope and object dependent. For example, features at the blue end of the $`B`$-band are included more or less with different $`B`$ filters, and these features are different in the spectra SN 1999ee and 2001el. As a check on our method, filter corrections based on spectra by Wang et al. (2002) and HST (Nugent, private communication) give very consistent corrections at $`t`$ 40 d for the YALO $`B`$-band filter. In the case of the $`V`$-band (see Fig. 4), the corrections are better behaved and seem to be telescope dependent, i.e. more independent of the object under study.

In Table 4 we give the $`B`$-band and $`V`$-band corrections to the photometry tabulated in Table 3. These corrections would place the measurements obtained with three different telescopes and filter sets on the Bessell (1990) system. The consistency of the photometry obtained on different telescope is improved. With the corrections, $`\mathrm{\Delta }B`$ = +0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$020 and $`\mathrm{\Delta }V=`$0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$002, with “$`\mathrm{\Delta }`$” in the sense “YALO minus Landolt”. As we show below, the late time YALO $`BV`$ colors give an estimate of the reddening which is in agreement with other estimates of the reddening, but only if we take into account the systematic differences of the filters.

The $`R`$-band photometry given in Table 3 (i.e. YALO vs. Landolt) is consistent at the 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$01 mag level, on average. Under the assumption that the spectra of SNe 1999ee and 2001el are the same at $`t`$ = 16 d, the application of $`R`$-band filter corrections would make the Landolt and YALO $`R`$-band photometry differ by as much as 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$04. We do not have spectra of SN 2001el covering the $`R`$ and $`I`$-bands at this epoch, and the photometry is not crying out for corrections to be made.

There is a systematic difference of $`I`$-band photometry in Table 3 at the 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$06 level. The application of filter corrections based on spectra of SN 1999ee would pull the data further apart by an additional 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$10 mag or more. Thus, while the SN 2001el data in Table 3 motivates us to apply $`I`$-band filter corrections, corrections based on spectra of a different object make the systematic differences worse, not better.

In the case of the $`R`$\- and $`I`$-bands, we also suspect some unquantified effect of the YALO dichroic on the photometry. While we are satisfied with the $`B`$\- and $`V`$-band corrections, we feel it unwise to apply corrections to the $`R`$\- and $`I`$-band data.

Fig. 5 shows the $`UBVRI`$ light curves of SN 2001el, with the corrections of Table 4 applied to the $`B`$ and $`V`$ data given in Table 3.

The most interesting result of the application of the filter corrections is that by $`t`$ = 40 d we have reproduced a correction (with respect to Bessell filter functions) of $``$0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$1 to the YALO $`BV`$ colors (see Fig. 10 below), almost exactly what was found for SNe 1998bu and 1999ee using YALO and CTIO 0.9-m photometry.

In Table 5 we give near-infrared photometry of SN 2001el obtained with the YALO and LCO 1-m telescopes. The near-infrared data were calibrated using our “best” IR secondary standard, star 6, which was tied to the system of Persson et al. (1998) from observations on five photometric nights.111111The $`K`$-band magnitude of star 6 is based on data from only two photometric nights. We note that the optical and infrared colors of this star are entirely consistent with it being a normal K2 III star (Cox 2000). We do not suspect that it is variable. We note that the LCO observations and Persson’s system of standards rely on different $`J`$\- and $`K`$-band filters than the broader-band filters used at YALO. At LCO one uses a “$`J_{short}`$” and “$`K_{short}`$” filter. These are the very filters and telescope used to establish the system of Persson et al. (1998), and by definition the color terms are zero.

The YALO data are systematically fainter than the LCO 1-m data by roughly 0.1 mag at $`t`$ = 20 d in the $`J`$\- and $`H`$-bands, and also by 0.1 mag or more in $`J`$ beyond $`t`$ = 55 d, while there appear to be no significant differences in the $`K`$-band data. Can synthetic photometry confirm that the YALO data are expected to be different at certain epochs for $`J`$ and $`H`$, while the $`K`$-band data need little correction beyond $`t`$ = 20 d? To test this, we constructed effective transmission profiles using the raw filter profiles, an atmospheric transmission profile, quantum efficiency, and multiple applications of reflection and window transmission in the optical paths. Then, using spectra of Vega, Sirius, and the Sun (see Appendix A), we found that the synthetic infrared color terms for the YALO telescope match observed ones to better than 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$01 mag-1. This required no arbitrary shifting of the filter transmission profiles.

In Fig. 6 we show the derived photometric corrections to YALO data, based on spectra of SN 1999ee, which would have to be added to YALO data to make them agree with photometry obtained with the LCO 1-m. Under the assumption that these corrections are applicable to SN 2001el, we give in Table 6 a set of corrections to YALO IR photometry. We assume that the $`J`$\- and $`H`$-band corrections at $`t`$ = 43 d are appropriate until $`t`$ = 64 d. Obviously, the two assumptions just made may be somewhat dubious. But consider the IR light curves of SN 2001el shown in Fig. 7. By application of the corrections in Table 6, we find that the $`J`$\- and $`H`$-band data are in agreement within the internal errors now that corrections up to 0.13 mag have been made. Since the corrections based on spectra of an actual Type Ia SN are about the right size and are to be made in the right direction, we feel confident that an application of these corrections is fully warranted for the IR data. Thus, for the rest of this paper we include these corrections, and all analysis based on IR data uses the corrected YALO data.

One curious thing about the $`H`$-band light curve is that SN 2001el was brighter at the time of the second maximum ($`H`$ = 12.97 at $`t`$ = +22.2 d) than at the time of the first maximum ($`H`$ = 13.08 at $`t=`$4.7 d). This is in agreement with the prediction of Krisciunas et al. (2000, Fig. 13; Table 11) for Type Ia SNe with mid-range decline rates.

Table 7 gives the maximum apparent $`UBVRIJHK`$ magnitudes and the respective times of maximum for SN 2001el. Note that within the uncertainties the time of maximum light in the $`I,J,H`$, and $`K`$ bands was the same, about 4.0 days before T($`B_{max}`$). This is apparent visually by an inspection of Fig. 8, which also shows how the secondary hump or shoulder in the light curve varies as a function of filter from $`V`$ through $`K`$.

To compare SN 2001el with other supernovae, we show in Fig. 9 a stack of $`H`$-band light curves ordered by the decline rate parameter $`\mathrm{\Delta }`$m15(B). Given the number of nights of SN 2001el photometry and the minimal gaps in the dataset, it is clear that the data presented here are of high quality. Just as in the $`I`$-band, most Type Ia SNe exhibit a secondary hump in $`H`$. However, the objects with the lowest values of $`\mathrm{\Delta }`$m15(B) seem to exhibit rather flat light curves in the $`H`$-band for the first 40 days after T($`B_{max}`$). Unlike $`I`$-band light curves, however, Type Ia SNe with large $`B`$-band decline rates (e.g. SN 2000bk) do not monotonically decline after the time of maximum light.

## 3 Discussion

### 3.1 Optical Light Curves

The uncertainties given in Table 3 should be considered minimum values of the internal errors (i.e. essentially based on photon statistics and the uncertainties of the zero points and color corrections). A more honest measure of the internal errors can be obtained from higher order polynomical fits to the light curves, filter by filter, under the assumption that the supernova’s light varied smoothly with time. On this basis we believe that the uncertainties of the $`U`$-band magnitudes in Table 3 are sensible as given. For $`B`$, $`V`$, $`R`$, and $`I`$, respectively, we estimate that the internal errors are $`\pm `$ 0.016, 0.025, 0.029, and 0.047 mag, where the $`B`$ and $`V`$ data include the filter corrections of Table 4.

According to Phillips et al. (1999) a typical Type Ia SN has a $`B`$-band decline rate $`\mathrm{\Delta }`$m$`{}_{15}{}^{}(B)`$ = 1.1 mag. This parameter varies roughly from 0.75 (SN 1999aa; Krisciunas et al. 2000) to 1.94 mag (SN 1999da; Krisciunas et al. 2001). SN 2001el has $`\mathrm{\Delta }`$m$`{}_{15}{}^{}(B)`$ = 1.13 $`\pm `$ 0.04 mag and is thus a mid-range decliner.

One of the characteristic features of the light curves of Type Ia SNe is the secondary hump observed in the $`IJHK`$ bands. To a lesser extent this can be seen as a “shoulder” in the $`R`$-band, and sometimes even in the $`V`$-band light curves. Krisciunas et al. (2001, Fig. 17) took various well sampled $`I`$-band light curves, fitted polynomials to the data between 20 and 40 days after T($`B_{max}`$), using the flux at $`I`$-band maximum as the reference, and showed that an integration of the $`I`$-band flux over this range correlated quite well with the $`B`$-band decline rate. If we let X = $``$ I $`_{2040}`$, we find that

$$\mathrm{\Delta }m_{15}(B)=\mathrm{\hspace{0.33em}0.0035}+\mathrm{\hspace{0.33em}17.475}X\mathrm{\hspace{0.33em}47.838}X^2+\mathrm{\hspace{0.33em}35.618}X^3,$$
(8)
with a typical rms residual of $`\pm `$0.093 mag in $`\mathrm{\Delta }`$m15(B).

Since the $`B`$-band decline rate is correlated with the intrinsic luminosity at maximum of Type Ia SNe, therefore, this relationship implies that the strength of the $`I`$-band secondary hump is also correlated with the intrinsic luminosity. We note two exceptions to Eqn. 8 above. SN 1992bc had a much weaker $`I`$-band secondary hump than expected on the basis of its $`B`$-band decline rate, and SN 1994M had a much stronger $`I`$-band secondary hump.

SN 2001el had a mean flux over the time span $`20<t<40`$ d of 0.594 $`\pm `$ 0.04 with respect to the $`I`$-band maximum. On the basis of its B-band decline rate, we would have predicted $``$ I $`_{2040}`$ = 0.530. Thus, it has a slightly stronger than “normal” $`I`$-band secondary hump, but well within the uncertainty of the relationship given above.

### 3.2 Spectra

Regarding the spectrum of SN 2001el, Sollerman et al. (2001) note that the 612 nm Si II absorption line appeared flat-bottomed. Interstellar absorption lines of Ca H and K, and the D lines of Na I were observed at the redshift of NGC 1448. Wang et al. (2001) describe spectropolarimetry of SN 2001el on 26 Sept 2001 UT (JD = 2,452,178.5; $`t=4.0`$ d), finding that SN 2001el had a normal spectrum similar to that of SN 1994D except for a strong double-troughed absorption feature around 800.0 nm. The absorption dips of Si II (635.5, 564.0 nm) and Fe II (492.4, 516.9 nm) all showed velocities of about 10,000 km s-1. Ca II lines (the “infrared triplet”) were present in the spectrum at a velocity comparable to that of the Si II 635.5-nm feature but were much weaker than an absorption feature at 800.0 nm. It is possible that the 800-nm feature was a second component of high-velocity Ca II, as suggested by Hatano et al. (1999) to explain a similar (but much weaker) feature in SN 1994D; if this identification is correct, then this Ca II feature was due to a detached shell/clump with a relative velocity of roughly 23,000 km s-1.

Wang et al. (2002) also obtained spectropolarimtery of SN 2001el on 1, 10, 18 October and 9 November 2001 UT. Their data indicate, among other things, that the value of R$`{}_{V}{}^{}`$ AV / E($`BV`$) = 2.88 $`\pm `$ 0.15, somewhat less than the standard Galactic value of 3.10 (Sneden et al. 1978; Rieke & Lebofsky 1985). From their spectra the interstellar Na I line has an equivalent width of 0.47 Å. From Fig. 4 of Barbon et al. (1990) this corresponds to a color excess E($`BV`$) $``$ 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$12. However, the uncertainty of this number is greater than or equal to 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$10. We believe that the most accurate estimate of E($`BV`$) is obtained from a combination of optical and infrared photometry (see below).

The HST spectra provided by Nugent for purposes of determining filter corrections and comparing synthetic photometry to our data were obtained on 29 October, 6, 13, 20, 26 November, and 4 December 2001 UT. These spectra will be discussed in a subsequent paper.

### 3.3 Reddening and Implied Extinction

From an analysis of SNe 1992A, 1992bc, 1992bo, and 1994D Lira (1995) found a uniform color evolution for unreddened $`BV`$ colors of Type Ia SNe from 30 to 90 days after $`V`$-band maximum. Phillips et al. (1999) used Lira’s relation to get an estimate of the color excess for the tail of the $`BV`$ colors of the SNe they analyzed. A majority of SNe analyzed by Jha (2002, §4.2.3) show that the Lira relation works very well to describe the late time $`BV`$ color evolution of unreddened Type Ia SNe. In Fig. 10 we show the $`BV`$ colors of SN 2001el, with and without the filter corrections given in Table 4. Given that the Lira relation was based on observations with the CTIO 0.9-m telescope, we clearly want to correct the YALO data to the CTIO 0.9-m system so as to derive E($`BV`$)tail (see below) using the same zeropoint for the Lira relation.

In Table 8 we give the color excesses for SN 2001el based on a variety of indices. Following the analysis of Phillips et al. (1999), we give the $`BV`$ color excess as implied from the photometry at maximum light, the $`VI`$ color excess at maximum, and the $`BV`$ color excess from the photometry for $`t>`$ 32 d. The three estimates of AV that result are in reasonable agreement, but only if we correct the $`BV`$ colors for filter differences. A weighted $`BV`$ color excess is E($`BV`$)avg = 0.206 $`\pm `$ 0.046 mag for the host galaxy reddening. The small contribution of Galactic dust reddening is E($`BV`$) = 0.014 mag (Schlegel et al. 1998), indicating a small Galactic contribution to AV amounting to 0.043 mag. Adopting RV = 2.88 $`\pm `$ 0.15 from Wang et al. (2002) for the host galaxy, the estimated total extinction based on optical photometry alone is AV = 0.64 $`\pm `$ 0.14 mag.

As is well known, interstellar extinction in the near-infrared is an order of magnitude lower than in the $`V`$-band. If there exists a color index such as $`VK`$ which is “well behaved” for some range of decline rates of Type Ia SNe, then a $`VK`$ color excess, for example, is almost a direct measure of the $`V`$-band extinction. We shall adopt Rieke & Lebofsky’s (1985) values of Aλ / AV = 0.282, 0.175, and 0.112 for the $`J`$-, $`H`$-, and $`K`$-bands, respectively, and assign an uncertainty of 20 percent to each ratio. It follows that AV = (1.393 $`\pm `$ 0.110) E($`VJ`$) = (1.212 $`\pm `$ 0.052) E($`VH`$) = (1.126 $`\pm `$ 0.028) E($`VK`$). In other words, if we can estimate a color excess in $`VK`$, AV numerically is only 10 to 15 percent greater than that color excess.

Krisciunas et al. (2000, 2001) showed that over a range of decline rates (0.87 $`<\mathrm{\Delta }`$m15(B) $`<`$ 1.28) Type Ia SNe exhibit uniform $`V`$ minus near-IR color curves from $`9t+27`$ d. $`VK`$ colors were particularly well behaved, and over the widest range of decline rates. However, on the basis of a small number of data points per object they could not justify fitting the $`VH`$ or $`VK`$ colors by anything more sophisticated than two straight lines. The $`VJ`$ colors were fitted with a second order curve for $`9t+9.5`$ d, while a linear fit was used for $`+9.5t+27`$ d.

From the well sampled $`V`$ minus near-IR color curves of SNe 1999ac and 2001el we now know that there is no abrupt change of the color evolution one week after T($`B_{max}`$). Thus we feel justified in fitting a higher order curve to the data of eight mid-range decliners studied by Krisciunas et al. (2000) to give more realistic unreddened color loci.

In Fig. 11 we show the V minus near-IR colors of SN 2001el, along with loci derived from SNe 1972E, 1980N, 1983R, 1999cp, 1981B, 1981D, 1998bu, and 1999cl, adjusted in the ordinate direction so as to minimize the reduced $`\chi ^2`$ of the fits. The shape of the $`VK`$ locus matches the data of SN 2001el very well (with $`\chi _\nu ^2`$ = 0.76). The $`VH`$ and $`VJ`$ loci match the data of SN 2001el well only from $`+10t+20`$ d.

In Table 8 we also give the color excesses and values of AV derived from $`VJHK`$ photometry. Within the errors these estimates of AV are in agreement with the value derived from optical photometry alone. The weighted mean from the $`V`$ minus near-IR colors and E($`BV`$)avg is AV = 0.57 $`\pm `$ 0.05 mag.121212The various estimates of AV are only semi-independent, as all rely on the $`V`$-band photometry. However, we believe that our $`V`$-band photometry suffers from no serious systematic errors. The use of optical and infrared data results in a smaller statistical uncertainty for the extinction. Though the filter corrections adopted for the $`BVJHK`$ photometry are only approximate ($`\pm `$0.02 mag), we feel that the consistency of the various estimates of AV is facilitated by the adoption of the filter corrections. While the calculation of such corrections is time consuming because of its iterative nature, this extra work will likely become a standard part of the production of high quality SN light curves.

### 3.4 Theoretical V minus IR Color Curves

Model calculations for the explosion, light curves and spectra of typical Type Ia SNe indicate that there exists a physical basis for well behaved optical versus infrared color relationships (Höflich 1995, Wheeler et al. 1998). What we see as a supernova event is the light emitted from a rapidly expanding envelope. Due to the increasing geometrical dilution, deeper layers of the envelope become exposed with time. Until about maximum light, the spectra are formed in the regions which have undergone incomplete Si-burning. During this period both the fluxes in the $`V`$\- and $`K`$-bands are mainly determined by the free-free/bound-free opacities and Thomson scattering and the source functions, i.e. the temperature evolution at the photosphere which is rather insensitive to the total luminosity because of the steep dependence of the opacity on the temperature (Höflich et al. 1993).

Starting a few days before maximum light, the $`V`$-band flux reflects the evolution of the luminosity. Around the same time, the Fe/Ni core becomes exposed, and broad emission features due to iron group elements occur in the $`H`$ and $`K`$-bands (Wheeler et al. 1998) which determine the flux. They are in emission because the IR source functions are close to thermal and the optical depth is large, i.e. they are formed well above the photosphere close to the outer edge of the Fe/Ni core. With time, the optical photosphere receeds in mass. Thus, the emission features in the $`K`$-band increase in strength while the $`V`$-band flux decreases, leading to $`VK`$ colors that get redder for some time. Once the SNe enter the nebular stage there should be a spread in $`VK`$ color curves for different objects, even if they have the same decline rate. The $`VK`$ color curve should be reasonably model-independent (i.e. whether the explosion is due to deflagration or a delayed detonation should not matter significantly) because, virtually, the entire $`K`$-band is dominated by the iron feature.

The $`VJ`$ and $`VH`$ color curves would not be as well behaved because the $`J`$\- and $`H`$-bands cover spectral regions which are affected both by the IR-emission features and the continua. The fractional contribution depends on the Doppler shift of the chemical layers and, thus, it depends on the details of the nuclear burning. Note that for very subluminous Type Ia SNe (e.g. SN1999by), the $`VK`$ evolution after maximum light is delayed because the Fe/Ni core is explosed only two weeks after maximum (Höflich et al. 2002).

In Fig. 12 we show the $`VH`$ and $`VK`$ color curves for a delayed detonation model of a “Branch-normal” Type Ia SN (model 5p028z22.23 of Höflich et al. 2002). To derive synthetic magnitudes we used the $`V`$-band filter profile of Bessell (1990) and the $`H`$ and $`K_{short}`$ filter profiles of Persson et al. (1998), along with appropriate quantum efficiency and atmospheric transmission functions. The fluxes were normalized to the spectra of Vega given by Castelli & Kurucz (1994) and assumed $`VH`$ and $`VK`$ = 0.00. For comparison we show the unreddened loci based on the 8 SNe studied by Krisciunas et al. (2000). The color indices are well reproduced within the model uncertainties of $``$ 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$2 to 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$3. We note that our delayed detonation model gives $`t`$(Vmax) $`t`$(Bmax) = 1.1 d, which is smaller than the nominal value of 1.7 to 2.0 d. A shift of the theoretical $`V`$ minus infrared color curves by $`\pm `$1 d is within the uncertainties. Likewise, from data on any given SN, the time of $`B`$-band maximum is rarely known to better than $`\pm `$0.5 d, so the observed colors can be shifted in the time direction as well.

The colors have been calculated by our spherical NLTE light curve code which uses about 500 depths, 3000 frequency points and 50 NLTE-superlevels. A comparison with detailed NLTE-spectral calculations shows that the reduction of atomic levels and frequencies produces uncertainties of $``$ 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$2 to 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$3 in $`H`$ and $`K`$. However, the small number of frequencies is responsible for the failure to properly reproduce $`VJ`$, especially after the time of $`B`$-band maximum when the flux varies strongly within the $`J`$ band (a factor of $``$ 10; Wheeler et al. 1998). As a result, we do not show our theoretical $`VJ`$ curve.

### 3.5 Distance

NGC 1448, the host of SN 2001el, has not been the target of study for determining its distance via surface brightness fluctuations (SBF) or Cepheids. Since it is a spiral galaxy inclined to the line of sight, one can derive a Tully-Fisher (TF) distance to it. Mathewson & Ford (1996) give the following parameters: velocity width V20 = 208 km s-1, inclination angle $`i=88^o`$, integrated extinction-corrected I-band magnitude 9.44. Using the $`I`$-band Tully-Fisher calibration of Sakai et al. (2000), W20 = 2 V20, and a slight correction for the inclination angle of the galaxy and its redshift, we find W$`{}_{20}{}^{}{}_{}{}^{C}`$ = 414.6 km s-1. It follows that the absolute I-band magnitude of NGC 1448 M$`{}_{I}{}^{}=`$22.21 and the distance modulus is 31.65 mag. Giovanelli et al. (1997) indicate that the uncertainty of a single TF distance is roughly $`\pm `$ 0.35 mag. The TF distance of NGC 1448 is therefore 21.4$`{}_{4.2}{}^{}{}_{}{}^{+3.7}`$ Mpc.

We note that $`H`$-band and $`K`$-band light curves of many Type Ia SNe are reasonably flat at $`t`$ +10 d. We assume, then, that this is a “well behaved” part of the light curves. The $`J`$-band light curves, by contrast, exhibit rapidly changing flux at this epoch.

In Fig. 13 we show the absolute magnitudes at $`BVI`$ maximum light and absolute $`H`$-band magnitudes at $`t`$ = +10 d versus the decline rate parameter $`\mathrm{\Delta }`$m15(B). Some of the data shown are derived using Cepheid distances to host galaxies, surface brightness fluctuations, the planetary nebula luminosity function method, or the “tip of the red giant branch” method, assuming the Cepheid distance scale adopted by Freedman et al. (2001). Other data for galaxies in the Hubble flow (i.e. with redshifts greater than 3000 km s-1) are derived assuming H0 = 74 km s-1 Mpc-1. In all four bands the absolute magnitude is reasonably constant for 0.87 $`<`$ $`\mathrm{\Delta }`$m15(B) $`<`$ 1.30. For 9 SNe which satisfy this criterion we find a weighted mean $`H`$-band absolute magnitude at $`t`$ = +10 d of MH($`t`$=10) = $``$17.91 $`\pm `$ 0.05.

From an interpolation of the corrected YALO data for SN 2001el we estimate that at $`t`$ = +10 d $`H`$ = 13.228 $`\pm `$ 0.04. Adopting an extinction of AH = 0.10 mag and the absolute magnitude just given, we obtain a distance modulus of 31.04 mag with an uncertainty of $`\pm `$ 0.14. The corresponding distance is 16.1 $`\pm `$ 1.1 Mpc.

Using the method of Phillips et al. (1999), the $`BVI`$ optical photometry gives a distance modulus of m$``$M = 31.29 $`\pm `$ 0.08 mag. This is on the Cepheid distance scale adopted by Freedman et al. (2001). The corresponding distance is 17.9 $`\pm `$ 0.8 Mpc.

With a distance somewhere in the range 16.1 to 21.4 Mpc, NGC 1448 is clearly near enough for a determination of its distance via Cepheids.

## 4 Conclusions

Perhaps the most significant finding of this paper is that we were able to calculate corrections to $`BV`$ and infrared photometry, based on synthetic photometry, but using spectra of actual supernovae, that to some extent eliminated systematic differences in the data obtained on different telescopes with different physical detectors and filters. Under the assumption that the infrared spectrum of SN 2001el was like that of SN 1999ee, and that it evolved similarly with time, we derived corrections to YALO IR photometry which had the right size and were to be applied in the right direction to bring the YALO data fully onto the system of Persson et al. (1998), and in agreement with the data taken with the LCO 1-m telescope. Though it is known that the spectrum of a SN is not like that of a star, especially once the SN enters the nebular phase ($`t`$ 30 d), such corrections have been ignored in the past because we simply did not have enough spectra and photometry to confirm to what degree synthetic photometry gives the right results. Clearly, not all optical response functions are well-known. Further information (e.g. the effect of the YALO dichroic on the optical transmission) is needed to make analogous corrections to the $`RI`$ data.

Another significant result of this paper is the excellent agreement between theoretical $`VH`$ and $`VK`$ color curves with the unreddened loci based on 8 SNe studied by Krisciunas et al. (2000). This gives us further confidence that there exist “uniform” color curves for Type Ia SNe with mid-range decline rates, which can be used to derive accurate values of the total extinction suffered by the light of such objects. A comparison of theoretical color curves with observational data, covering the full range of decline rates of Type Ia SNe, is beyond the scope of the present paper.

Given the importance of SNe in modern cosmological studies, it is worth our while to investigate the uniformity of behavior of as many nearby SNe as we can. Though the light curves of SN 2001el are quite normal, we note that the observed $`BV`$ color 3 to 4 days before T($`B_{max}`$) was slightly negative. Given the extinction along the line of sight, the color excess E($`BV`$) must be about 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$20. Thus, the dereddened color shortly before T($`B_{max}`$) was $`BV0.22`$, which is extremely blue. The second H-band maximum at $`t`$ = +22.2 d was 0.1 mag brighter than the first H-band maximum at $`t=`$4.7 d. This is consistent with a prediction of Krisciunas et al. (2000) based on an analysis of other Type Ia SNe with mid-range decline rates, but not all $`H`$-band light curves of mid-range decliners show this.

On the basis of the optical and IR photometry we derive AV = 0.57 $`\pm `$ 0.05 mag. Given the small formal uncertainty in AV, we can state that the uncertainty in the distance estimate to SN 2001el and its host is not due to the extinction along the line of sight. Given the attention we have paid to possible sources of systematic error in the $`UBVRIJHK`$ photometry and the good coverage of the light curve, we hope that photometry of SN 2001el can serve as a template for studies of other Type Ia SNe.

With a distance in the range 16.1 to 21.4 Mpc, the host galaxy of SN 2001el is close enough for its distance to be determined by means of Cepheids. Given the small number of nearby galaxies which have hosted SNe and also had their distances determined via Cepheids, we suggest that NGC 1448 be a future target for such observations with HST.

It is worth (re-)stating that (for the forseeable future) high redshift SNe will only be observed in rest frame optical bands, because we do not yet have infrared detectors sensitive enough, even with an 8-m class telescope, to detect these objects in the rest frame IR bands. This is unfortunate, as it is becoming increasingly clear that a combination of optical and infrared photometry of Type Ia SNe allows us to get a better handle on the host extinction suffered by these objects. Since the advocacy of a non-zero cosmological constant based on supernova studies hinges on the systematic faintness of objects in the redshift range $`0.2<z<0.8`$, we want to minimize as well as possible the effect of systematic errors in distances to these most important cosmological beacons.

We thank STScI for the following support: HST GO-07505.02-A, HST-GO-08641.07-A, HST-GO-8177.06 (the High-Z Supernova Team survey) and HST-GO-08648.10-A (the SInS collaboration). We thank Peter Nugent for providing HST spectra in advance of publication; support for HST proposal #8611 was provided by NASA through a grant from the Space Telescope Science Institute, which is operated by the Association of Universities for Research in Astronomy, Inc., under NASA contract NAS5-26555. Eric Persson provided much necessary information for the calculation of the infrared filter corrections. We also thank Mario Hamuy for useful discussions; Lifan Wang for sharing data ahead of publication; and Michael Merrill for his telluric atlas. AUL acknowledges support from NSF grant AST0097895. Useful information was obtained from the NASA/IPAC Extragalactic Database.

## Appendix A Spectra for Synthetic Photomery

The near-infrared photometry required an estimate of the theoretical color terms for the various natural systems. There is no grid of spectrophotometric standards in the near-infrared comparable to what is available in the optical. As a simple guide to color terms, we have chosen to use synthetic photometry based on the Sun, Vega, and Sirius. This color range generally encompasses the photometric standards (Persson et al. 1998) used in our study. All spectrophotometric data were convolved 2 Å and sampled it at 1 Å per pixel. The spectrophotometric models did not include atmospheric absorption. Rather, we added the telluric absorption to the tranmissions functions used to calculate the synthetic photometry. The adopted photometry was taken from the discussion in Bessell et al. (1998).

### A.1 The Sun

The solar spectrophotometry is a combination of observed solar fluxes and models. We chose the solar model from the Kurucz website (see also Fontenla et al. 1999) as ($`T_{eff}`$, log g, $`v_{micro}`$, mixing length/scale height) = (5777 K, 4.438, 1.5 km s-1, 1.25). The Kurucz model reproduces the Kitt Peak Solar Flux Atlas (Kurucz et al. 1984). In the near-infrared, we have inserted the Livingston & Wallace (1991) observed spectra, which were scaled to the continuum of the Kurucz model.

### A.2 Vega

The Vega spectrophotometry is a combination of empirical data and model data. The fundamental flux calibration in the optical comes from Hayes (1970, 1985), Oke & Schild (1970), and Tüg (1980). We have adopted the model “veg090250000p.asc5” from the website of Kurucz. This model corresponds to the physical parameters ($`T_{eff}`$, log g, \[M/H\], $`v_{micro}`$, $`v_{macro}`$) = (9550 K, 3.950, $``$0.5, 2 km s-1, 0 km s-1) which is the model adopted by Bessell et al. (1998). This model was then scaled from the calculated Eddington fluxes corrected to an angular size $`3.24\pm 0.07`$ mas (Code et al. 1976).

We then compared this scaled model to the Hayes (1985) fluxes of Vega in the wavelength region 4000-8000 Å and found that the model needed to be scaled to 3.26 mas, in agreement with the conclusions of Bessell et al. (1998). At the extremes of the measured data the models did not fit well. We needed to scale the model by 0.972 at 3300 Å and 1.009 at 10500 Å to fit the Hayes points.

The final semi-empirical spectrophotometric model of Vega was created by using the Hayes (1985) points from 3300-10500 Å, the Kurucz model scaled by 0.972 below 3300 Å, and the Kurucz model scaled by 1.009 above 10500 Å. A more complete discussion of the range in models of Vega can be found in Cohen et al. (1999) and Bessell et al. (1998).

### A.3 Sirius

For Sirius we have adopted the model“sir.ascsq5” from the Kurucz website which was run with the physical parameters ($`T_{eff}`$, log g, \[M/H\], $`v_{micro}`$) = (9850 K, 4.30, +0.4, 0 km s-1). This is very similar to the model used by Cohen et al. (1999). We scaled the model from the Eddington fluxes to observed fluxes assuming an angular diameter of 5.89 mas (Code et al. 1976). It was found, however, that this did not reproduce the observed $`V`$ mag of Sirius from Ian Glass as quoted in Bessell et al. (1998). The final fluxes were scaled by 1.049 to force $`V=1.43`$.

## Appendix B Filter Shifts for Synthetic Photometry

Synthetic photometry uses spectra of spectrophotometric standards, filter and atmospheric transmission curves to derive broad band magnitudes of the standards. These should give photometric color terms that match the color terms derived from actual photometry of stars. However, we find that the filter profiles must be shifted in order to match the synthetic color terms with the observed values. In Table 9 we give the filter shifts adopted to place optical photometry on the Bessell (1990) system.

We found that no shifts needed to be applied for the infrared photometry (YALO versus LCO 1-m).

We note that the $`R`$-band filter used by Stritzinger et al. (2002) for their YALO observations was a very wide non-standard filter. Our observations were made with a much narrower, more standard filter.

We also note that Stritzinger et al. (2002) found a filter shift of only 10 Å for the YALO $`I`$-band filter, compared to our value of 100 Å. Their color terms for YALO photometry were based on the photometric sequence of SN 1999ee, rather than Landolt standards, as were ours, and their $`I`$-band color term has a size half as large as ours. Our filter shift would be comparable to theirs for identical color terms.

As stated above, since the YALO and Landolt $`R`$-band data agree, on average, at the 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$01 level, there is no great motivation to apply $`R`$-band filter corrections. If we did so, it would produce systematic differences at the 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$04 level. We do have a motivation to resolve systematic differences in $`I`$-band photometry, but we do not have spectra of SN 2001el at the appropriate epochs to make these corrections directly. Assuming that the spectra of SNe 1999ee and 2001el are the same in the $`I`$-band would give us filter corrections that would make the photometry nearly 0$`\stackrel{\mathrm{m}}{\mathrm{.}}`$20 different (YALO vs. Landolt) at $`t`$ = 16 d. We suspect that a significant unknown is the effect of the YALO dichroic on the actual $`R`$\- and $`I`$-band filter functions.


text:
# Baryon Spectroscopy on the Lattice

## 1 Introduction

Quantum Chromodynamics (QCD) provides an excellent description of nature; however, the theory suffers from divergences that must be removed to render it finite. Lattice QCD provides an apriori non-perturbative regularization of QCD that makes it amenable to analytic and computational methods. No model assumptions other than QCD itself are needed to formulate the theory. This review surveys the rapidly evolving work in using Lattice QCD for calculations of baryon spectroscopy. Along the way, sources of systematic uncertainties in calculations are described and future directions are outlined.

### 1.1 Regularization of QCD on a lattice

As the starting point for lattice QCD, the path integral formulation in Euclidean space is used. The usual continuous space-time of 4-dimensional continuum QCD are approximated with a discrete 4-dimensional lattice, with derivatives approximated by finite differences. Quarks are put on sites, gluons on links. Gluons are represented as $`3\times 3`$ complex unitary matrices $`U_\mu (x)=\mathrm{exp}(igaA_\mu (x))`$ elements of the group SU(3) with vector potential $`A_\mu (x)`$, coupling $`g`$, and lattice spacing $`a`$. The vacuum expectation value of operators involves path integration over gauge and fermion fields

$$\begin{array}{c}\text{ }O(U,\psi ,\overline{\psi })=\frac{1}{Z}𝑑U_\mu 𝑑\overline{\psi }𝑑\psi O(U,\psi ,\overline{\psi })e^{S_G\left(U\right)+\overline{\psi }M\left(U\right)\psi }\text{ }\hfill \\ \text{ }\frac{1}{Z^{}}𝑑U_\mu O(U,M^1\left(U\right))det\left(M\left(U\right)\right)e^{S_G\left(U\right)}.\text{ }\hfill \end{array}$$

The Gaussian integration over the anti-commuting fermion fields $`\psi `$ resulted in the $`\mathrm{det}(M(U))`$ and $`M^1(U)`$ factors with $`M(U)`$ a lattice form of the Dirac operator. The gauge action $`S_G(U)`$ approximates the Yang-Mills action of the continuum. The quenched approximation neglects the fermion determinant.

The choice of working in Euclidean space resulted in no factors of $`i`$ in the exponent multiplying the gauge and fermion actions. The path integral therefore resembles a 4-dimensional statistical mechanical model making it amenable to analytic as well as Monte Carlo methods for evaluation.

Numerical predictions from lattice QCD are in principle exact (to some precision) after systematic errors are controlled. The statistical uncertainties go like $`1/\sqrt{N}`$ for N configurations of gauge fields in a Monte Carlo ensemble average. Systematic uncertainties include: (1) Finite volume - the lattice box must hold a hadron state, typically a lattice size of $`L2`$fm or more is needed. Several pion Compton wavelengths are needed $`m_\pi L4`$. (2) Chiral extrapolations - calculations with small quark masses are expensive - extrapolate observables to physical quark mass region (delicate!). (3) Discretization effects: inherent $`𝒪(a)`$ or $`𝒪(a^2)`$ lattice uncertainty. One must extrapolate to continuum limit $`(a0)`$ to recover physical quantities.

## 2 Confinement and Model Predictions - Static Quark Potentials

A particularly useful rôle of lattice QCD is model testing. There is significant recent activity in the study of 3 quark potentials which provide phenomenological insight into the forces inside a baryon. By gauge invariance, the quarks must be joined by 3 glue strings. These strings meet at a “gluon junction”, which has been conjectured to be a non-perturbative excitation of the QCD vacuum. What is the area law behavior? One can test two ansätze.

The Y-ansatz predicts the potential grows linearly like $`V_{qqq}\sigma _{qq}L_Y`$ where $`L_Y`$ is the minimal length of the 3 flux tubes necessary to join the 3 quarks at the Steiner point. It is derived from strong coupling arguments, and is consistent with the dual superconductivity confinement scenario.

At large distances, the $`\mathrm{\Delta }`$-ansatz predicts instead that the potential grows linearly with the perimeter $`L_\mathrm{\Delta }`$ of the quark triangle, e.g. $`V_{qqq}\sigma _{q\overline{q}}L_\mathrm{\Delta }/2`$. It is derived from a model of confinement by center vortices using a topological argument.

There is controversy as to which ansatz holds. Recent work claims that at short distances the potential approaches the $`\mathrm{\Delta }`$-ansatz but rises like the Y-ansatz at large distances. Departures from the $`\mathrm{\Delta }`$-ansatz appear above $`d_{qq}0.7`$fm hence the $`\mathrm{\Delta }`$ model is more appropriate inside a hadron. However, recently Simonov claims there is a field strength depletion near the Y-junction which lowers the potential and could disguise the true behavior. Tests using adjoint sources could help reconcile the various claims.

## 3 Hadron Spectrum

### 3.1 Chiral Symmetry

As mentioned before, for accurate lattice calculations systematic uncertainties need to be controlled. The discretization of the Dirac operator has been particularly troublesome since lattice QCD’s inception and can significantly affect continuum and chiral extrapolations. The “doubling” problem is easily demonstrated by examining the lattice momentum representation of the free Dirac operator, namely $`_\mu \gamma _\mu _\mu \frac{i}{a}_\mu \gamma _\mu \mathrm{sin}(ap_\mu )`$. The propagator has additional zeros at the momentum corners, e.g. $`ap_\mu =0,\pi `$ so there are 16 species of fermions in general. Originally, Wilson lifted the doublers by adding a Laplacian term that breaks chiral symmetry. In fact, the Nielson-Ninomia no-go theorems state one cannot avoid both doubling and chiral symmetry breaking with a local, hermitian action analytic in the gauge fields. This major theoretical problem has been solved with the recent advent of chiral fermion actions (e.g., Domain-Wall or Overlap fermions) and their use is crucial for matrix elements. How important is chiral symmetry for spectroscopy studies?

Renormalization theory tells us that breaking a symmetry leads to induced quantum terms in an action. The Wilson fermion action has $`𝒪(a)`$ scaling from the breaking of chiral symmetry. One can add a dimension 5 operator (hyper-fine term) and rigorously improve scaling from $`𝒪(a)`$ to $`𝒪(a^2)`$. Scaling violations are dramatically reduced – mostly from improving chiral symmetry. Scaling violations are comparable with chiral fermion formulations. The conclusion is that chiral symmetry is important for accurate spectrum calculations at comparatively heavy quark masses. However, the benefits of chiral fermion actions with exact chiral symmetry are now being dramatically demonstrated as near physical quark masses are approached as will be shown below.

### 3.2 Quenched Pathologies in Hadron Spectrum

Clearly, precisely controlled lattice calculations come with the inclusion of the fermion determinant. However, because of their vastly reduced computational cost quenched calculations are quite prevalent and one can gain important phenomenological insight into QCD, but the potentially large systematic errors induced in this approximation should be carefully ascertained. Suppressing the fermion determinant leads to well known pathologies as studied in chiral perturbation theory. There are missing vacuum contributions to the disconnected piece of singlet correlators

$$\begin{array}{c}\text{ }\overline{\psi }(x)\gamma _5\psi (x)\overline{\psi }(y)\gamma _5\psi (y)=\mathrm{Tr}\left[\gamma _5G(x,y)\gamma _5G(y,x)\right]_{c,s}\text{ }\hfill \\ \text{ }N_f\mathrm{Tr}\left[\gamma _5G(x,x)\right]_{c,s}\mathrm{Tr}\left[\gamma _5G(y,y)\right]_{c,s}.\text{ }\hfill \end{array}$$

These effects are manifested in the $`\eta ^{}`$ propagator missing vacuum contributions with new double pole divergences arising of the form

$$\frac{d^4p}{(2\pi )^4}e^{ipx}\mathrm{Tr}\gamma _5G(x,x)\mathrm{Tr}\gamma _5G(0,0)=f_P\frac{1}{p^2+m_\pi ^2}m_0^2\frac{1}{p^2+m_\pi ^2}f_p+\mathrm{}$$
(1)
How dramatic are these quenched effects and to what extent do they affect the extraction of physical observables? One idea is to incorporate knowledge of quenched divergences in calculations and then attempt to extract useful information.

### 3.3 Decay in the Quenched Approximation

The $`m_0^2`$ in Eq. (1) is the mass shift needed to recover the pseudoscalar singlet mass from the non-singlet pion. In , the unique piece of the $`\eta ^{}`$ correlator – the hairpin – was computed directly. The parameter $`m_0^2`$ was extracted and one sees the lattice data is well described by the $`\chi \mathrm{PT}`$ prediction. With the shift, the $`\eta ^{}`$ mass (at non-zero lattice spacing) is determined to be $`820(30)`$MeV with possibly large $`𝒪(a)`$ scaling uncertaintities. A recent Domain Wall calculation gives $`940(4)`$MeV.

Further dramatic behavior is seen in the isotriplet scalar particle $`a_0`$. There is an $`\eta ^{}\pi `$ intermediate state with missing contributions in the quenched approximation as shown in Fig. (1). In fact, the $`a_0`$ correlator goes negative - a clear sign of violations of unitarity. From $`\chi \mathrm{PT}`$, one can construct the $`a0`$ correlator by including couplings between $`\eta ^{}\pi `$ states and rescattering states which can be resummed. The lightest $`a0`$ correlator is fairly well described by a 1-loop resummed bubble term with $`\eta ^{}`$ mass insertion fixed. A mass $`m_{a_0}=1.34(9)`$GeV was found. The new Domain Wall calculation gives $`m_{a_0}=1.04(7)`$GeV. The latter results does not exclude the possibility of $`a0(980)`$ being a $`\overline{q}q`$ state.

### 3.4 Quenched and Full QCD Hadron Spectrum

The quenched low-lying hadron spectrum has been extensively studied by the CPPACS collaboration using Wilson fermions. Masses were computed at four lattice spacings and extrapolated to the continuum limit. Lattice sizes ranged up to $`64^3\times 112`$ for a $`3.2`$fm box. At each lattice spacing, the lightest pseudoscalar mass obtained was about $`500`$ to $`600`$MeV. Hadron masses were extrapolated in the quark mass via an ansätz motivated by the quenched $`\chi \mathrm{PT}`$ prediction

$$\begin{array}{c}m_{PS,12}^2=A(m_1+m_2)\{1\delta \left[\mathrm{ln}(2Am_1/\mathrm{\Lambda }_\mathrm{X}^2)\right]\hfill \\ +m_2/(m_2m_1)\mathrm{ln}(m_2/m_1)\}+B(m_1+m_2)^2+\mathrm{O}(m^3)\hfill \\ m_H\left(m_{PS}\right)=m_0+C_{1/2}m_{PS}+C_1m_{PS}^2+C_{3/2}m_{PS}^3,C_{1/2}\delta .\hfill \end{array}$$
(2)
The constants $`A`$, $`B`$, and $`C_i`$ are fixed in the fits. Quenching effects were more clearly seen in the pseudoscalar channel. The calculation shows the basic hadron spectrum is well determined even in the quenched approximation to within 10% accuracy. The computational cost was roughly $`50`$ Gigaflop-years.

A subsequent two-flavor dynamical calculation was made with four quark masses at 3 lattice spacings. Box sizes range up to about $`2.5`$fm. In the meson sector, the results are consistent with the original quenched calculations and now agree to within 1% of experiment. Systematic deviations of the quenched calculation from experiment are seen demonstrating that sea quark effects are important. The vector meson masses are increased after unquenching. This increased hyperfine splitting is consistent with the qualitative view that the spin-spin coupling in quenched QCD is suppressed compared to full QCD due to a faster running of the coupling constant.

In the baryon sector, two-flavor dynamical sea quark effects are not as apparent. As seen in Fig. (2). The $`N`$ and $`\mathrm{\Delta }`$ masses are higher than experiment, but other masses are consistent. With only a $`2.5`$fm box, finite-volume effects could well be large. Another concern is that the octet and decuplet chiral extrapolations have many parameters resulting in possibly underestimated errors and will be discussed more next. However, this is a significant calculation involving roughly one Teraflop-year of computations and well demonstrates the efficacy of lattice methods.

### 3.5 Improved Chiral Extrapolations

The Adelaide group has been extensively studying higher order $`\chi \mathrm{PT}`$ effects on hadronic quantities. The basic upshot is that the naïve chiral extrapolations in use are just too naïve! In particular, they incorporate leading non-analytic behavior from heavy baryon $`\chi \mathrm{PT}`$ arising from $`BB^{}\pi B`$ intermediate states with $`B=N,\mathrm{\Delta }`$

$$M_B=\alpha _B+\beta _Bm_\pi ^2+\mathrm{\Sigma }_B(m_\pi ,\mathrm{\Lambda })$$
(3)
where $`\mathrm{\Sigma }_B`$ is a self-energy term. The coefficient of the $`m_\pi ^3`$ term is actually known analytically in contrast to Eq. (2). The basic argument is since $`\chi \mathrm{PT}`$ has a zero radius of convergence (or certainly not a well defined radius), a simple leading order approximation to Eq. (3) is quite a bad approximation at moderate $`m_\pi `$. They use a simple regularization of the self-energy term.

Fig. (3) shows a comparison of a recent quenched and $`2+1`$ dynamical calculation of the low lying hadron spectrum for a variant of staggered fermions at the same (physical) lattice spacing. The various lines are from fits using Eq. (3). One can see that the self energy term becomes significant for small lattice quark masses. The intriguing result is that the fit parameters $`\alpha _B`$ and $`\beta _B`$ agree very well between the quenched and dynamical calculations. This result can be used to justify the claim that the dominant effects of quenching is attributed to first order meson loop corrections.

While quite intriguing it is fair to say there is some controversy over these results. At issue is the concern that once one uses any model to directly interpret lattice results, one has lost predictably. However, in defense once one used a chiral extrapolation at all one has chosen a model. Ultimately, the Adelaide’s group work has shown that their is interesting structure in the “pion cloud” around a hadron and going to light quark masses is essential.

### 3.6 Excited Baryons

Understanding the $`N^{}`$ spectrum gives vital clues about the dynamics of QCD and hadronic physics. Some open mysteries are what is the nature of the Roper resonance? Why is the ordering of the lowest-lying states - the positive and negative parity states - inverted between the $`N`$, $`\mathrm{\Delta }`$ and $`\mathrm{\Lambda }`$ channels?

The history of lattice studies of excited baryons is quite brief. Recently, new calculations are starting to appear using improved gauge and fermion actions. The nucleon channel is the most studied and work has focussed on two independent local interpolating fields

$$N_1=\epsilon _{ijk}\left(u_i^TC\gamma _5d_j\right)u_k,N_2=\epsilon _{ijk}\left(u_i^TCd_j\right)\gamma _5u_k.$$
(4)
Both interpolating fields couple to positive and negative parity states, so in practice parity projection techniques are used. Making the lattice anisotropic with finer discretization in time allows the behavior of the correlators to be examined over many more time slices than on isotropic lattices. Additional tuning of the fermion action is needed to recover hypercubic symmetry.

The left side of Fig. (4) shows the effective mass for the nucleon and its parity partner on an anisotropic lattice using the clover action – an action improved to have reduced discretization uncertainties. Long plateaus (clean extraction of a mass) are seen demonstrating the efficacy of the method. For this quark mass, there appears to be the expected ordering of the states $`N^{1/2+}>N^{1/2}>N^{1/2+}`$. However, there is difficulty in approaching small quark masses, and the mass extracted with the $`N_2`$ operator appears too large.

A recent quenched calculation using Overlap fermions (a chiral fermion action) going to much smaller quark masses reveals a dramatic decrease in the nucleon masses extracted only with the $`N_1`$ interpolating field as seen in the right side of Fig. (4). The authors claim the apparent crossing of the first excited $`N^{1/2}`$ and lowest $`N^{1/2}`$ states is the demonstration of the physically correct ordering of states. However, it is also possible that at such light quark masses a decay threshold has been crossed and the mass observed is affected by missing dynamical effects via the mechanisms described in Sec.3.3. If so, a finite volume check via shrinking the lattice box can reveal this. It is clear lattice calculations are really beginning to probe interesting excited state phenomena. With judicious use of finite volume techniques, physically relevant mass information can be extracted.

## 4 Conclusions

First generation lattice calculations of excited baryon spectroscopy are appearing. State of the art calculations require roughly 100 Gigaflop-year in quenched QCD and roughly 1 to 10 Teraflop-years in full QCD. The required resources are not available to the US lattice community. The Dept. of Energy’s SciDAC program is addressing this shortcoming and a large effort is ongoing in the U.S. to meet future computational needs.

## Acknowledgments

RGE was supported by DOE contract DE-AC05-84ER40150 under which the Southeastern Universities Research Association (SURA) operates the Thomas Jefferson National Accelerator Facility (TJNAF).