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# Non-LTE Analysis for the Sodium Abundances of Metal-Poor Stars in the Galactic Disk and Halo

## 1 Introduction

The purpose of this paper is to clarify the behaviors of the abundances of sodium in disk/halo stars in our Galaxy.

Recently, we carried out an extensive non-LTE abundance analysis of potassium based on the K i 7699 resonance line and found a tendency of mildly supersolar \[K/Fe\] ratios for metal-poor stars just similar to the case of $`\alpha `$-capture elements (Takeda et al. 2002). As a continuation of that study, we pay attention this time to another similar alkali element, sodium (Na).

The main site of Na synthesis is considered to be the hydrostatic carbon burning inside massive stars (e.g., Woosley, Weaver 1995), though other manufacturing processes (e.g., NeNa cycle in the H-burning shell, type I supernova, etc.) are possible and may have an appreciable affection on its chemical history (see, e.g., Timmes et al. 1995). As an odd-$`Z`$ (neutron-rich) element, its production is sensitive to the neutron excess and therefore metal-dependent. Hence, clarifying the behavior of its abundance in terms of the cosmic metallicity would provide us important information concerning the variation of the yield, the detailed mechanism of the synthesis, and the Galaxy evolution models (initial mass function, infall, etc ).

Unlike the case of potassium, a reasonable number of adequate lines are available for sodium abundance determinations, which lie mostly in the visible through near-IR wavelength regions. Hence, many observational studies have so far been performed over these two decades (see, e.g., the references quoted in the recent theoretical papers such as Timmes et al. 1995, Samland 1998, and Goswami, Prantzos 2000). Nevertheless, the behavior of \[Na/Fe\] is currently still controversial and has not yet been settled.

It has generally been considered until mid-1990’s that Na almost scales with Fe at all metallicities though with a considerable scatter around \[Na/Fe\] $``$ 0. \[See, for example, subsubsection 3.5.3 of Timmes et al. (1995) for a review on the situation at the time of early 1990’s.\] Actually, a nearly solar ratio was obtained even for extremely metal-poor stars (\[Fe/H\] down to $`4`$) by the extensive study of McWilliam et al. (1995b) using the resonance D lines (Na i 5890/5896). It should be pointed out that most of these previous studies were done based on the assumption of LTE.

In late 1990’s, however, new studies have appeared that cast doubt to this classical picture. Baumüller et al. (1998) investigated the non-LTE formation of various Na i lines and found considerable (negative) non-LTE corrections reaching $`0.5`$ dex for the D lines, by which a systematic tendency of decreasing \[Na/Fe\] ratios is obtained toward a metal-poor regime (\[Na/Fe\] $`0.5`$ at \[Fe/H\] $`3`$). Similarly, the (LTE) analysis of Stephens (1999) for halo dwarf stars based on high-quality spectra of Na i 5683/5688 subordinate lines suggested that \[Na/Fe\] progressively decreases (from \[Fe/H\] $`1`$ to \[Fe/H\] $`2`$) down to the value of $`0.5`$.

Accordingly, it appears that a proper account of the non-LTE effect is mandatory for studying stellar sodium abundances, at least for the resonance Na i 5890/5896 D lines visible even in extremely metal-poor stars. Then, what about other subordinate lines, such as Na i 6154/6161 lines (widely used for relatively metal-rich population I disk stars), 5683/5688 lines (often used for typical halo stars with \[Fe/H\] of $`1`$ to $`2`$), 8183/8195 lines (not so popular due to their unfavorable wavelength location but potentially useful abundance indicators because of the clear visibility even down to \[Na/H\] $`3`$)? Do they also suffer an appreciable non-LTE effect ? Any definite conclusion on the Galactic \[Na/Fe\] vs. \[Fe/H\] behavior should await until this problem is clarified, because different lines are used case by case depending on the stellar metallicity.

Admittedly, several elaborate and important studies have recently been done concerning the non-LTE effect on Na abundance determinations for solar-type stars (e.g., Baumüller et al. 1998; Gratton et al. 1999; Korotin, Mishenina 1999; Mashonkina et al. 2000). We would say, however, that their results are not presented in sufficient detail for the purpose of practical applications; i.e., they tend to be confined to only specific lines of interest or only representative atmospheric parameters, and it is not necessarily easy for the reader to assess how all those Na i lines of importance are affected by the non-LTE effect for stars showing a diversity of atmospheric parameters.

In view of this necessity, we decided to (1) carry out non-LTE calculations on the neutral sodium for a wide range of atmospheric parameters with an intention of applying to those 4 line pairs mentioned above, (2) construct useful grids of non-LTE corrections, and (3) perform extensive abundance analysis toward establishing the Na abundances of disk/halo stars with a variety of metallicities based on our own new observations/measurements along with the published equivalent widths taken from various literature.

The following sections of this paper are organized as follows. Our statistical-equilibrium calculations on neutral sodium and the resulting non-LTE corrections are explained in section 2, where we also discuss uncertain factors or adopted approximations involved in the abundance determination based on some theoretical test calculations. Our observational data obtained at two observatories are explained in section 3, followed by section 4 where we describe the procedures of the abundance analysis using these data along with the reanalysis of the extensive literature data. We discuss in section 5 the results obtained in section 4, especially in terms of the \[Na/Fe\] vs. \[Fe/H\] relation and its implications, while referring to the representative theoretical calculations of Galactic chemical evolution. Finally, the conclusion of this paper is presented in section 6.

## 2 Non-LTE Calculations

### 2.1 Computational Procedures

The procedures of our statistical-equilibrium calculations for neutral sodium, based on a Na i atomic model comprising 92 terms and 178 radiative transitions, are essentially the same as those described in Takeda and Takada-Hidai (1994) and Takeda (1995), which should be consulted for details. One difference is the choice of the background model atmospheres; i.e., instead of Kurucz’s (1979) ATLAS6 models adopted in those old works, the photoionizing radiation field was computed based on Kurucz’s (1993a) ATLAS9 model atmospheres while incorporating the line opacity with the help of Kurucz’s (1993b) opacity distribution functions. It should also be mentioned that a reduction factor of 0.1 (logarithmic correction of $`h=1`$ according to the definition of Takeda 1995) was applied to the H i collision rates computed with classical approximate formula (Steenbock, Holweger 1984; Takeda 1991) according to the empirical determination of Takeda (1995), though test calculations by varying this correction factor from 1 to $`10^3`$ were also performed (cf. subsection 2.3 below).

Since we planned to make our calculations applicable to stars from near-solar metallicity (population I) down to very low metallicity (extreme population II) at late-F through early-K spectral types in various evolutionary stages (i.e., dwarfs, subgiants, giants, and supergiants), we carried out non-LTE calculations on an extensive grid of 125 ($`5\times 5\times 5`$) model atmospheres resulting from combinations of five $`T_{\mathrm{eff}}`$ values (4500, 5000, 5500, 6000, 6500 K), five $`\mathrm{log}g`$ values (1.0, 2.0, 3.0, 4.0, 5.0), and five metallicities (represented by \[Fe/H\]) (0.0, $`1.0`$, $`2.0`$, $`3.0`$, $`4.0`$). As for the stellar model atmospheres, we adopted Kurucz’s (1993a) ATLAS9 models corresponding to a microturbulent velocity ($`\xi `$) of 2 km s-1.

Regarding the sodium abundance used as an input value in non-LTE calculations, we assumed $`\mathrm{log}ϵ_{\mathrm{Na}}^{\mathrm{input}}`$ = 6.33 + \[Fe/H\], where the solar sodium abundance of 6.33 was adopted from Anders and Grevesse (1989) (which is used also in the ATLAS9 models). Namely, a metallicity-scaled sodium abundance was assigned to metal-poor models. The microturbulent velocity (appearing in the line-opacity calculations along with the abundance) was assumed to be 2 km s-1, to make it consistent with the model atmosphere.

### 2.2 Characteristics of the Non-LTE Effect

In figure 1 are shown the $`S_\mathrm{L}(\tau )/B(\tau )`$ (the ratio of the line source function to the Planck function, and nearly equal to $`b_\mathrm{u}/b_\mathrm{l}`$, where $`b_\mathrm{l}`$ and $`b_\mathrm{u}`$ are the non-LTE departure coefficients for the lower and upper levels, respectively) and $`l_0^{\mathrm{NLTE}}(\tau )/l_0^{\mathrm{LTE}}(\tau )`$ (the NLTE-to-LTE line-center opacity ratio, and nearly equal to $`b_\mathrm{l}`$) for each of the multiplet 1 (5890/5896) and multiplet 4 (8183/8195) transitions (non-LTE effects are especially important for these two doublets; cf. subsection 5.1) for a representative set of model atmospheres. We can read the following characteristics from this figure, which are mostly the same as those obtained for the case of K i 7699 (Takeda et al. 2002):
— In almost all cases, the inequality relations of $`S_\mathrm{L}/B<1`$ (dilution of line source function) and $`l_0^{\mathrm{NLTE}}/l_0^{\mathrm{LTE}}>1`$ (enhanced line-opacity) hold in the important line-forming region for both cases of multiplets 1 and 4, which means that the non-LTE effect almost always acts in the direction of strengthening the 5890/5896 and 8183/8195 lines.***An exception is the case of lowest $`T_{\mathrm{eff}}/\mathrm{log}g`$ (e.g., $`T_{\mathrm{eff}}`$=4500 K, $`\mathrm{log}g=1.0`$, \[Fe/H\] = 0.0), where the line can be marginally weakened (i.e., positive abundance correction) by the enhanced $`S_\mathrm{L}`$ over $`B`$ in the line-forming region (cf. the footnote in subsection 5.3). Actually, more important is the former $`S_\mathrm{L}`$-dilution effect which appreciably deepens/darkens the core of saturated lines in such a way that would never be accomplished under the assumption of LTE \[where the residual intensity can not become lower than $`B(\tau 0)/B(\tau 1)`$\]; hence, this raises the flat part of the curve of growth, and if this increase in the saturated-line strength is to be accounted for within the framework of LTE, a large abundance variation would have to be invoked. As a result, the extent of the non-LTE effect significantly depends on the line-strength in the sense that it becomes most conspicuous for the lines in the flat part. (See, e.g., Stürenburg, Holweger 1990, especially figure 15 of subsection 4.3 therein.) This situation is demonstrated in figure 2, where the non-LTE corrections (see subsection 2.3 below) for the 5896 and 8195 lines are shown as functions of the equivalent width for representative model atmospheres.
— There is a tendency that the non-LTE effect is enhanced with a lowering of the gravity, as naturally expected.
— The departure from LTE appears to be larger for higher $`T_{\mathrm{eff}}`$ in the high-metallicity (1$`\times `$) case, while this trend becomes ambiguous, or even inverse, in the low-metallicity case.
— Toward a lower metallicity, the extent of the non-LTE departure tends to decrease, but the departure appears to penetrate deeper in the atmosphere, which makes the situation rather complex.
— For a very strong damping-dominated case (i.e., lowest $`T_{\mathrm{eff}}`$ and highest metallicity), the departure from LTE shifts toward the upper atmosphere and the non-LTE effect becomes comparatively insignificant.

### 2.3 Grid of Non-LTE Corrections

Based on the results of these calculations, we computed extensive grids of the theoretical equivalent-widths and the corresponding non-LTE corrections for the considered eight lines (Na i 5683, 5688, 5890, 5896, 6154, 6161, 8183, and 8195) for each of the model atmospheres as follows.

For an assigned sodium abundance ($`A^\mathrm{a}`$) and microturbulence ($`\xi ^\mathrm{a}`$), we first calculated the non-LTE equivalent width ($`W^{\mathrm{NLTE}}`$) of the line by using the computed non-LTE departure coefficients ($`b`$) for each model atmosphere. Next, the LTE ($`A^\mathrm{L}`$) and NLTE ($`A^\mathrm{N}`$) abundances were computed from this $`W^{\mathrm{NLTE}}`$ while regarding it as if being a given observed equivalent width. We can then obtain the non-LTE abundance correction, $`\mathrm{\Delta }`$, which is defined in terms of these two abundances as $`\mathrm{\Delta }A^\mathrm{N}A^\mathrm{L}`$.

Strictly speaking, the departure coefficients \[$`b(\tau )`$\] for a model atmosphere are applicable only to the case of the sodium abundance ($`\mathrm{log}ϵ_{\mathrm{Na}}^{\mathrm{input}}`$) and the microturbulence (2 km s-1) adopted in the non-LTE calculations (cf. subsection 2.1). Nevertheless, considering the fact that the departure coefficients (i.e., ratios of NLTE to LTE number populations) are (unlike the population itself) not much sensitive to small changes in atmospheric parameters, we also applied such computed $`b`$ values to evaluating $`\mathrm{\Delta }`$ for slightly different $`A^\mathrm{a}`$ and $`\xi ^\mathrm{a}`$ from those fiducial values assumed in the statistical equilibrium calculations. Hence, we evaluated $`\mathrm{\Delta }`$ for three $`A^\mathrm{a}`$ values ($`\mathrm{log}ϵ_{\mathrm{Na}}^{\mathrm{input}}`$ and $`\pm 0.3`$ dex perturbation) as well as three $`\xi `$ values (2 km s-1 and $`\pm 1`$ km s-1 perturbation) for a model atmosphere using the same departure coefficients.

We used the WIDTH9 program (Kurucz 1993a), which had been modified to incorporate the non-LTE departure in the line source function as well as in the line opacity, for calculating the equivalent width for a given abundance, or inversely evaluating the abundance for an assigned equivalent width . The adopted line data ($`gf`$ values, radiation damping constants, etc.) are given in table 1.

One of the controversial factors in abundance determinations for late-type stars is the choice of the van der Waals effect damping constant. Regarding this parameter, we assumed the classical Unsöld’s (1955) formula unchanged, which means the adoption of $`\mathrm{\Delta }\mathrm{log}C_6=0.0`$ ($`C_6`$ is connected to the damping width as $`\mathrm{log}\mathrm{\Gamma }_6=\mathrm{log}\mathrm{\Gamma }_6^{\mathrm{classical}}+0.4\mathrm{\Delta }\mathrm{log}C_6`$). While this choice is based on our previous empirical investigations (cf. appendix A of Takeda, Takada-Hidai 1994; subsection 4.2 of Takeda 1995), we actually confirmed that this choice is reasonable from the analysis of solar Na i lines (cf. subsection 4.2). Anyhow, the precise value of this correction is not very essential unless very strong lines are used, as can be seen from figure 3 where the abundance changes expected by using $`\mathrm{\Delta }\mathrm{log}C_6=0.5`$ are graphically displayed. Namely, the maximum change is $`0.4|\mathrm{\Delta }\mathrm{log}C_6|`$ at most occurring only in the case of very strong damping-dominated lines and the low-temperature condition where $`\mathrm{\Gamma }_6`$ dominates $`\mathrm{\Gamma }`$ ($`\mathrm{\Gamma }_\mathrm{R}+\mathrm{\Gamma }_4+\mathrm{\Gamma }_6`$). Regarding the quadratic Stark effect damping ($`\mathrm{\Gamma }_4`$, which is comparatively insignificant in late-type stars), we followed the Peytremann’s formula (Kurucz 1979, p.8).

Note also that we neglected the hyperfine structure (hfs; see, e.g., table 4 of McWilliam et al. 1995b for the 5890/5896 lines, and table 1 of Takeda, Takada-Hidai 1994 for the 8195 line) while treating each line as being purely single, because of a technical reason.We decided to invoke the original WIDTH9 algorithm (applicable to a symmetric single line) for an equivalent-width calculation instead of using the spectral-synthesis technique (which requires a sufficiently fine division of a line profile unsuited/unnecessary for very strong lines), since we wanted to treat cases of considerably different line strengths in the same consistent way (i.e., for constructing the tables of non-LTE corrections for different lines over wide parameter ranges). However, this does not make any serious affection (several hundredths dex in most cases of actual importance) as illustrated in figure 4.

As a demonstrative example of non-LTE corrections, we give the $`\xi `$ = 1 km s-1 results for the Na i 5896 and 8195 lines computed for representative parameters \[chosen to be nearly compatible with Baumüller et al.’s (1998) calculations\] in table 2, where we also present the cases of $`h=0,2,3`$ in addition to the fiducial $`h=1`$ case ($`h`$ is the logarithmic H i collision correction) for a comparison. Comparing this table 2 with Baumüller et al.’s (1998) table 2 (where they adopted $`10^h=0.05`$ or $`h=1.3`$), we can see that our $`|\mathrm{\Delta }|`$ values are quantitatively somewhat larger than theirs, though the qualitative tendency is in good agreement. The complete results (for all combinations of $`T_{\mathrm{eff}}`$, $`\mathrm{log}g`$, $`\xi `$ values for each of the 8 lines, though only for the fiducial case of $`h=1`$) are available only in the electronic form. These tables (named “tables E1”) are temporarily at the anonymous ftp site of

```
ftp://www.ioa.s.u-tokyo.ac.jp/Users/takeda/sodium_paper/
(IP address: 133.11.160.242)

```

but will be replaced to CDS when the paper is to be published.

## 3 Observational Data

Our observational data consist of those obtained at two observatories, Beijing Astronomical Observatory (BAO; 2.2 m reflector + coude echelle spectrograph at Xinglong station) in P. R. China and Okayama Astrophysical Observatory (OAO; 1.9 m reflector + coude HIgh-Dispersion Echelle Spectrograph named “HIDES”) in Japan.

### 3.1 BAO Data

The BAO spectra ($`R40000`$ and S/N $``$ 200–400) used here are such those originally collected for the purpose of Chen et al.’s (2000) comprehensive analyses on Galactic disk stars. See subsection 2.2 therein for detailed information on the observations and the data quality. Chen et al. (2000) determined the abundance of sodium based on the comparatively weak Na i 6154/6161 lines, though the used equivalent-widths data were not published. For the present study, additional measurements for five lines (Na i 5683, 5688, 5890, 5896, and 8195; the 8183 line was discarded because of the contamination of telluric lines) were newly carried out by one of us (Y.-Q. Chen; cf. subsection 2.3 of Chen et al. 2000 for the measurement method) on the spectra of 22 F–G stars (+ Moon), which are our BAO program stars also adopted in our previous potassium analysis (Takeda et al. 2002)One of our present 22 BAO stars, HD 167588, was not included in Takeda et al.’s (2002) analysis, because there was a problem in the data quality of the K i 7699 line.. Although many lines (except for the 6154/6161 lines) are so strong in these disk stars and not suitable for sodium abundance determinations, we tried to derive the abundances from them in order to see whether the similar behavior of \[Na/Fe\] may be reproduced among the different line groups (cf. subsection 5.2). Yet, it should be kept in mind that difficulties are involved in measuring the equivalent widths of very strong damping-dominated lines such as the 5890/5896 D lines, with which errors are more or less involved. Nevertheless, comparing the solar (Moon) equivalent width measured by us with those taken from the literature (cf. table 3), we can see that our measurements are regarded as being reasonable (i.e., crucial systematic discrepancies are not observed). The finally obtained BAO equivalent-widths are given in tables 4 and 5.

### 3.2 OAO Data

The OAO data are based on the near-IR spectra of 17 mostly metal-poor disk/halo stars (dwarfs and giants being mixed), which have been collected by using HIDES during our observing runs in 2001–2002.§§§Actually, the primary motivation of these observations was to study the abundance of sulfur based on the near-IR S i lines. Nevertheless, we could apply those spectra to the present purpose, since they cover the wavelength region of the Na i 8183/8195 lines. The slit width of 250 $`\mu `$m ($`0.^{\prime \prime }95`$) was set to yield a spectral resolution of $`R50000`$. By using the single 4K$`\times `$2K CCD (pixel size of 13.5 $`\mu `$m $`\times `$ 13.5 $`\mu `$m), a wavelength span of $`1100\mathrm{\AA }`$ could be covered at one time. Most of our observations were made in the wavelength region of $``$ 7700–8800 $`\mathrm{\AA }`$.

The data reduction was performed with the IRAFIRAF is distributed by the National Optical Astronomy Observatories, which is operated by the Association of Universities for Research in Astronomy, Inc., under cooperative agreement with the National Science Foundation. echelle package, following the standard procedure for extracting one-dimensional spectra. We also removed the telluric lines using the telluric task of IRAF and the spectra of a rapid rotator. The S/N ratios of the resulting spectra, differing from star to star, are typically of the order of 200–300. The resulting OAO equivalent widths of the Na i 8183/8195 lines based on these spectra, which were measured by the Gaussian fitting or direct integration method using the splot task of IRAF, are presented in table 4. Note that, although two stars (HD 106516 and HD 167588) are common to BAO and OAO samples, they were treated independently.

## 4 Abundance Analyses

### 4.1 Atmospheric Parameters

First we need to establish the four atmospheric parameters \[$`T_{\mathrm{eff}}`$ (effective temperature), $`\mathrm{log}g`$ (surface gravity), \[Fe/H\] (metallicity; represented by the Fe abundance relative to the Sun), and $`\xi `$ (microturbulent velocity dispersion)\], which are necessary for constructing the model atmosphere and deriving the abundance from an equivalent width. Regarding the 22 BAO stars, the parameter data determined by Chen et al. (2000) were used unchanged, while the reasonably known solar parameters of (5780 K, 4.44, 0.0, 1.0 km s-1) were applied to the analysis of the BAO Moon data. Meanwhile, the atmospheric parameters of 17 OAO stars were taken from the published values found in various literature (cf. column 13 of table 4); when two or more references were available for the same star, we selected an appropriate value according to our personal judgment. The finally adopted values are given in table 4.

As for the model atmospheres, Kurucz’s (1993a) grid of ATLAS9 models was used as in the case of non-LTE calculations, based on which the model of each star was obtained by a three-dimensional interpolation with respect to $`T_{\mathrm{eff}}`$, $`\mathrm{log}g`$, and \[Fe/H\]. Similarly, the depth-dependent departure coefficients ($`b`$) of Na i levels computed for the grid of models (cf. section 2) were interpolated in terms of $`T_{\mathrm{eff}}`$, $`\mathrm{log}g`$, and \[Fe/H\], in order to evaluate the $`S_\mathrm{L}(\tau )/B(\tau )`$ and $`l_0^{\mathrm{NLTE}}(\tau )/l_0^{\mathrm{LTE}}(\tau )`$ ratios for each star.

### 4.2 Abundance Determination

The procedures for determining the sodium abundances from the equivalent widths of Na i lines are the same as already explained in subsection 2.3 (i.e., modified WIDTH9 program, line data given in table 1, $`\mathrm{\Delta }\mathrm{log}C_6=0`$, neglecting the hfs effect).

The resulting non-LTE abundance ($`A^\mathrm{N}`$) and the non-LTE abundance correction ($`A^\mathrm{N}A^\mathrm{L}`$) derived for each line and for each star are presented in tables 4 (8183/8195 lines) and 5 (5683/5688, 5890/5896, and 6154/6161 lines). As can be seen from these two tables, the solar non-LTE abundances derived from the BAO Moon equivalent widths of Na i 8195 (6.32), 5683 (6.28), 5688 (6.33), 5890 (6.41), 6154 (6.31), and 6160 (6.32) are in remarkable agreement with each other; moreover, their average of $`6.32(\sigma =0.04)`$ is essentially the same as the standard solar sodium abundance of 6.33 (Anders, Grevesse 1989). Accordingly, we confirmed the internal consistency of using $`\mathrm{\Delta }\mathrm{log}C_6=0.0`$, as far as our present analysis using ATLAS9 model atmospheres is concerned. \[Actually, empirical determination of this correction significantly depends on the choice of the atmospheric models, as demonstrated in subsection 4.2 of Takeda (1995).\]

The abundance changes caused by uncertainties in the atmospheric parameters are quantitatively similar to the case of potassium described in section 5 of Takeda et al. (2002), since K and Na have quite similar atomic structures to each other (alkali atom with one valence electron; ionization potential of 4–5 eV) and most atoms are in the once-ionized stage. Hence, even for changes of $`\mathrm{\Delta }T_{\mathrm{eff}}\pm 200`$ K or $`\mathrm{\Delta }\mathrm{log}g\pm 0.3`$ dex (we expect that internal errors in the parameters of our program stars, especially for BAO sample stars, are smaller than these), the extents of the resulting abundance variations are $`<0.2`$ dex, as can be seen from table 1 of Takeda et al. (2002). The effect of changing the microturbulence, which influences only the lines at the flat part of the curve of growth ($`W_\lambda `$ 100–300 m$`\mathrm{\AA }`$; cf. figure 4) can also be assessed by inspecting that table.

The \[Na/Fe\] ratios (Na-to-Fe logarithmic abundance ratio relative to the Sun) can be obtained based on the results in tables 4 and 5 as $`A^\mathrm{N}(\mathrm{star})6.33[\mathrm{Fe}/\mathrm{H}]`$, where we assumed Anders and Grevesse’s (1989) value of 6.33 as the reference solar Na abundance. The resulting \[Na/Fe\] vs. \[Fe/H\] relations derived from each of the four multiplets, along with the corresponding non-LTE corrections, are displayed in figure 5.

Note that when two lines of the same multiplet are available, we averaged the abundances (\[Na/Fe\]) as well as the non-LTE corrections for both lines and such derived mean results for the multiplet are shown.

### 4.3 Literature Data Analysis

We also tried to reanalyze the published equivalent-width data (for the Na i 5683/5688, 5890/5896, 6154/6161, and 8183/8195 lines) of late-type stars in the Galactic disk as well as in the halo covering a wide range of metallicities, while taking account of the non-LTE effect. In searching for the papers including the observational data we need, the extensive references quoted by Timmes et al. (1995), Samland (1998), and Goswami and Prantzos (2000) were quite helpful. Although our literature survey is not complete, we consider that we have picked up most of the important works done after 1980’s.

These data were analyzed just in the same way as we did for our BAO/OAO data (cf. subsections 4.1 and 4.2). The atmospheric parameters were taken from the same paper as that presenting the equivalent-width data as far as possible. The exceptional cases are as follows: Gratton and Sneden’s (1987b) EW data were analyzed with the parameters taken from Gratton and Sneden (1987a). Peterson’s (1989) EW data were analyzed with the parameters of Peterson et al. (1990). Zhao and Magain’s (1990b) EW data were analyzed with ($`T_{\mathrm{eff}}`$, $`\mathrm{log}g`$, and $`\xi `$) values taken from Magain (1989) and \[Fe/H\] values taken from Zhao and Magain(1990a). McWilliam et al.’s (1995a) EW data were analyzed with the parameters taken from McWilliam et al. (1995b).  By inspecting those original papers, we found that abundance analyses done before 1990 tend to be based on rather coarsely determined parameters (e.g., using rounded $`T_{\mathrm{eff}}`$ or $`\mathrm{log}g`$ values; assuming the same $`\xi `$ values for all program stars, etc.) compared to the more recent studies carried out this decade. Accordingly, we decided to present the results of the reanalyzes on the data before and after 1990 separately. Figure 6 shows the resulting \[Na/Fe\] vs. \[Fe/H\] relations and the corresponding non-LTE corrections derived from the older data before 1990, while those obtained from the analyses of the recent data after 1990 are displayed in figure 7.\**\**\**Note that the BAO results are shown only for the 6156/6161 lines in figure 7, because those for the other strong lines are comparatively less reliable.

The same results as those in figure 7a (the reanalysis results based on the new data after 1990) are also depicted in figure 8a, where the \[Na/Fe\] data are plotted with a more compressed vertical scale (for the purpose of clarifying the global tendency) and low- and high-gravity stars are distinguished by different symbols. In addition, figure 8b shows the $`T_{\mathrm{eff}}`$ vs. $`\mathrm{log}g`$ plots relevant to these data; it can be seen from this figure that most of the high-gravity stars are comparatively higher $`T_{\mathrm{eff}}`$ stars of mid-F through late-G type, while low-gravity stars mainly consist of late-G through early-K giants of lower $`T_{\mathrm{eff}}`$ and show a positive correlation between $`T_{\mathrm{eff}}`$ and $`\mathrm{log}g`$ (reflecting the evolutionary sequence). We may state from an inspection of figure 8a that any meaningful systematic $`\mathrm{log}g`$-dependent difference does not exist in the \[Na/Fe\] values; however, the biased sample (i.e., very low-metallicity stars tend to be low-gravity giants, and vice versa) prevents us from making any definite argument regarding this point.

The details of these analyses (the data of the used equivalent widths and the adopted parameter values, the resulting non-LTE abundances or \[Na/Fe\] values with the non-LTE corrections, given for each line/multiplet and for each star) are available only electronically as “tables E2”(from the ftp site mentioned at the end of subsection 2.3).

## 5 Discussion

### 5.1 Non-LTE Effect

Figures 5, 6, and 7 clearly show how the non-LTE effect acts on different Na i lines in sodium abundance determinations for stars of various metallicities.

Roughly speaking, a simple principle appears to hold: The non-LTE effect (negative corrections to the corresponding LTE abundances) tends to be most important for rather strong saturated lines (with equivalent widths of 100–300 m$`\mathrm{\AA }`$) on the flat part of the curve of growth, and it becomes progressively insignificant towards decreasing strengths (i.e., unsaturated weak lines on the linear part) as well as increasing strengths (i.e., extremely strong damping-dominated lines in the damping part), reflecting the importance of the core-deepening effect caused by the dilution of $`S_\mathrm{L}`$ as already mentioned in subsection 2.2 (cf. figure 2).

This naturally explains the behaviors of the extent of the non-LTE corrections for each line at different metallicities; for example, the reason why the weak 6154/6161 lines in disk stars show almost negligible non-LTE effects (cf. figure 5c), why the $`|\mathrm{\Delta }|`$ values for the 8183/8195 attain maximum at \[Fe/H\] $`1`$ (cf. figures 5d, 6b, and 7b), and why the $`|\mathrm{\Delta }|`$ values for the 5890/5896 lines systematically decreases from \[Fe/H\] $`2`$ to $`4`$ (cf. figure 7b).

We should note, however, that the situation more or less differs from line to line, reflecting their individual properties. For example, lines at longer wavelengths tend to suffer larger non-LTE effects because of the decreasing sensitivity of the Planck function to the temperature (i.e., the minimum allowed LTE residual intensity tends to be raised and thus the difference between LTE and non-LTE becomes more significant). Hence, we can understand the fact that the near-IR 8183/8195 lines show relatively larger non-LTE effects compared to the other lines at similar line-strengths.

Based on figures 5–7, we can assess the importance of the non-LTE effect on different lines in sodium abundance determinations as follows: The 6154/6161 lines are the best abundance indicators, for which the non-LTE effect is practically insignificant (i.e., $`<0.1`$ dex) and may be neglected, though they are usable/visible only at $`2<`$ \[Fe/H\] $`<0.5`$). The 5683/5688 lines may also be tolerably analyzed with LTE at the metallicity of $`3<`$ \[Fe/H\] $`<1`$. Regarding the 5890/5896 and 8183/8195 lines, which are important for diagnosing the Na abundance behaviors of very metal-deficient stars because of their strengths (especially, the 5890/5896 D lines are the only tool for investigating the extremely metal-poor regime of $`4<`$ \[Fe/H\] $`<3`$), we consider that properly taking account of the non-LTE effect is necessary.

### 5.2 Disk Stars

The overall behavior of the Na abundances for disk stars ($`1<`$ \[Fe/H\] $`<+0.4`$) has long been known to nearly scale with Fe; i.e., \[Na/Fe\] $`0`$ (e.g., Wallerstein 1962; Tomkin et al. 1985). There remains almost no doubt for this broad description, which may be confirmed also in our figures 5–7.††††††Note that figures 6–8 include low-gravity giants of population I \[e.g., reanalysis results of Korochin and Mishenina’s (1999) data shown by open stars in figure 7\] showing markedly positive \[Na/Fe\] values in contrast to others. These stars are expected to have suffered evolution-induced Na enrichment in the envelope caused by the dredge-up of NeNa cycle products in the H-burning shell, such as the case of supergiants (Takeda, Takada-Hidai 1994). Hence, their abundance characteristics should be discriminated from those related to the Galactic chemical evolution.

However, our attention is paid rather to the more delicate systematic trend in the \[Na/Fe\] vs. \[Fe/H\] relation; namely, the “upturn” revealed by Edvardsson et al.’s (1993) analyses based on the 6154/6161 lines, characterized by slight upward increases on both sides of the broad minimum around \[Fe/H\] $`0.2`$. Carretta et al.’s (2000) reanalysis on Edvardsson et al.’s (1993) data also reproduced this tendency, as shown in figure 9 in their paper. Similarly, our reanalyzed results on Edvardsson et al.’s (1993) data are essentially the same as their original results (cf. small open circles in figure 5c).

Supportive evidences for this trend have been reported from successive analyses on independent observational materials. Feltzing and Gustafsson (1998) confirmed in their Na i 6154/6161 analyses of metal-rich stars that \[Na/Fe\] progressively increases from $`0`$ (\[Fe/H\] $`0`$) to $`+0.2`$ (\[Fe/H\] $`+0.4`$) (see the dots in figure 5c). They also investigated its behavior in the kinematically different stellar groups to see if there is any position-dependent effect in the Galactic chemical evolution, though distinct differences were not observed. Also, Chen et al.’s (2000) LTE analyses of 6154/6161 lines based on the BAO data of disk stars (common to this study) suggested a weak minimum at \[Fe/H\] $`0.2`$ superposed on the nearly flat \[Na/Fe\] ($`0`$) (cf. figure 8 therein) consistent with that found by Edvardsson et al. (1993).

As mentioned in the previous subsection, the non-LTE corrections on the Na i 6154/6161 lines usually used in sodium abundance analyses of disk stars are so small that they are practically negligible. Therefore, it is expected that our non-LTE analyses on these orange lines of multiplet 5 reproduce essentially the same results as obtained by Chen et al. (2000), which is actually confirmed in figure 5c. We point out, however, that our non-LTE \[Na/Fe\] values (on the BAO data) derived from other stronger lines (5683/5688, 5890/5896, and 8195) also show signs of “upturn”, (tough not so clear as the case of 6154/6161 lines) in spite of their inadequacy for abundance determinations, as can be seen from figures 7a, b, and d. Hence, we may state that this trend is firmly ascertained.

Considering the decline of the \[Na/Fe\] values for a decrease of \[Fe/H\] both on the metal-poor side (\[Fe/H\] $`<1`$; cf. the next subsection) and the metal-rich side ($`0<`$ \[Fe/H\]; cf. Feltzing, Gustafsson 1998), the existence of such an “upturn” may indicate an extra production of sodium at the cosmic metallicity of $`1<`$ \[Fe/H\] $`<0.5`$. However, any speculation had better be put off until the behaviors of other elements closely related to the synthesis of Na, especially Al and Mg, have been established.

According to our reanalysis results for Prochaska et al.’s (2000) data (cf. diamonds in figure 7), the \[Na/Fe\] values of thick disk stars do not appear to exhibit significantly distinct differences from those of normal thin-disk stars, though our mean non-LTE $``$\[Na/Fe\]$``$ averaged over their 10 stars are nearly zero \[$`0.03(\sigma =0.06)`$ and $`+0.05(\sigma =0.04`$) for 5683/5688 and 6154/6166 lines, respectively\] and slightly smaller than the value (0.087) they obtained, which may be due to the non-LTE effect (mean non-LTE corrections are $`0.09`$ and $`0.06`$, respectively).

### 5.3 Halo Stars

Now, we discuss the behavior of \[Na/Fe\] for metal-poor halo stars. For simplicity, our discussion is confined to figure 7, the results of our reanalyzes based on the data taken from the works after 1990, which may presumably be more accurate and reliable than those in figure 6 for the reasons mentioned in subsection 4.3.

One important feature that can be read from figure 7 is the systematic decrease of \[Na/Fe\]; i.e., from \[Na/Fe\] $`0`$ at \[Fe/H\] $`1`$ down to \[Na/Fe\] $`0.4`$ (though a rather large diversity of $`\pm 0.2`$) at \[Fe/H\] $`2`$. This means that we have reasonably reconfirmed the recent results of Baumüller et al. (1998) and Stephens (1999), as opposed to the previous belief until mid 1990’s (cf. section 1). It should be stressed that each of the different multiplet lines \[5683/5688 (Stephens et al. 1999; half-filled circles), 5890/5896 (McWilliam et al. 1995a; filled circles), 6154/6161 (Kraft et al. 1992; double circles) and 8183/8195 (our OAO data; St. Andrew’s crosses)\] yield consistent results with each other, in spite of the considerably different extents of the non-LTE corrections. Thus, we may state that this subsolar \[Na/Fe\] ratios in metal-poor stars of $`3<`$ \[Fe/H\] $`<1`$ are firmly established,‡‡‡‡‡‡ Some remark may be due regarding our non-LTE reanalysis results of Pilachowski et al.’s (1996) 5890/5896 data (cf. filled triangles in figure 7) for population II low-gravity giants mostly having parameter values of $`T_{\mathrm{eff}}`$ 4000–5000 K, $`\mathrm{log}g`$ 0–2, and $`2.5<`$ \[Fe/H\] $`<1.5`$, which do not reveal any such clear subsolar tendency \[$``$\[Na/Fe\]$``$ = $`0.00(\pm 0.24)`$ on the average\] unlike the other cases mentioned above, despite their original LTE results showed a moderate subsolar trend ($``$\[Na/Fe\]$``$ = $`0.17`$; cf. Pilachowski et al. 1996). We point out that some of their program stars are low temperature/gravity K giants with parameters of $`T_{\mathrm{eff}}4000`$ K or $`\mathrm{log}g0.0`$, which are outside the parameter grid of our non-LTE correction tables and the applied non-LTE correction had to be evaluated by an extrapolation. In these low temperature/gravity cases, it exceptionally happens that the non-LTE effect tends to act as a line-weakening mechanism (i.e., marginally positive non-LTE correction) due to the enhanced $`S_\mathrm{L}`$ ($`S_\mathrm{L}/B>1`$) in the line-forming region according to our calculations, as mentioned in footnote 1 in subsection 2.2. Hence, though appreciable positive non-LTE corrections are actually observed for several stars in figure 7b (filled triangles), these are all such low-gravity K giants for which this effect may have been rather erroneously exaggerated by inaccurate extrapolations. Also, because of the low-temperature nature of the Pilachowski et al.’s (1996) program stars, the strengths of the 5890/5896 D lines are considerably large (200–400 m$`\mathrm{\AA }`$) in spite the low metallicity and comparatively large ambiguities are expected (e.g., equivalent-width measurements, how to choose the damping parameter or the microturbulent velocity). Consequently, our reanalysis results on their data may suffer large uncertainties and should not be seriously taken. while previous LTE analyses using the non-LTE sensitive lines (e.g., McWilliam et al. 1995b, who invoked 5890/5896 lines) must have overestimated the sodium abundances.

Turning our attention to the further extreme metal-poor regime of $`4<`$ \[Fe/H\] $`<3`$, we see in figure 7 an interesting trend of rising \[Na/Fe\] for a lowering of the metallicity, again recovering \[Na/Fe\] $`0`$ at \[Fe/H\] $`4`$, though a rather insufficient number of stars in this region prevents us from making any definitive argument. It is highly desired to increase the sample of those stars toward establishing the behavior of \[Na/Fe\] in this ultra-low metallicity region, which is very important for investigating the history of the early-time Galaxy as well as for constructing the realistic model of Galactic chemical evolution.

Finally, we compare the observed \[Na/Fe\] vs. \[Fe/H\] relations obtained for the metal-deficient halo stars with representative theoretical predictions calculated by using various chemical evolution models of our Galaxy. As mentioned in section 1, since the production of Na is dependent on the excess neutrons, its yield should naturally be metallicity-dependent and increase with time. As a matter of fact, the assumption of constant yield results in a totally unrealistic \[Na/Fe\] vs. \[Fe/H\] relation with a markedly negative $`d`$\[Na/Fe\]/$`d`$\[Fe/H\] gradient (cf. the dashed line labeled “GP(const)” in figures 6 and 7, which was taken from figure 7 of Goswami, Prantzos 2000). It may be possible, therefore, to judge which modeling of Na production (among several proposed chemical evolution calculations) represents the actual situation best by comparing the predicted \[Na/Fe\] vs. \[Fe/H\] relation with that observed for halo stars mentioned above.

For this purpose, theoretical predictions taken from three recent representative works are depicted in figures 6 and 7; i.e., those of Timmes et al. (1995; solid lines), Samland (1998; dashed-dotted line), and Goswami and Prantzos (2000; dashed lines). We can draw from figure 7 the following conclusions.
— Among these, Timmes et al.’s (1995) results, especially for the case of reduced Fe yield denoted as “TWW (1/2 $`\times `$)” (cf. figure 8a), appear to most satisfactorily reproduce the observed tendency of \[Na/Fe\] (i.e., broad/shallow dip-like feature with a minimum around \[Fe/H\] $`2`$) mentioned above. Their calculations are based on Woosley and Weaver’s (1995) yields, simple dynamical model for the Galaxy with infall, a standard Salpeter (1955) initial-mass function (IMF) and a quadratic Schmidt star-formation rate. (Each line corresponds to the different choice of the Fe yield from massive stars; i.e., that from the original Woosley and Weaver paper and that reduced by a factor of 2; the latter is rather recommended by Timmes et al. 1995).
— Samland’s (1998) model is based also on Woosley and Weaver’s (1995) yields. However, since he adjusted the metallicity-dependent Na yield in his own way \[cf. equation (9) therein\] so as to fit the observed trend of \[Na/Fe\] known at the time of mid-1990’s (i.e., erroneously overestimated to be \[Na/Fe\]$`0`$ even for halo stars), his prediction does not fit the observed \[Na/Fe\] obtained in this study.
— Goswami and Prantzos’s (2000) calculation (labeled “GP(var)”in figure 7) explains the decline of \[Na/Fe\] from \[Fe/H\]$`1`$ to \[Fe/H\]$`2`$ reasonably well. However, their prediction suggests an ever-decreasing (or a plateau-like) \[Na/Fe\] toward the extremely low metallicity regime (\[Na/Fe\]$`4`$), which apparently contradicts the tendency we found. While their model is based on Woosley and Weaver’s (1995) metallicity-dependent yields (as was done by Timmes et al. 1995) with a Fe yield reduced by a factor of 2, they used a different IMF (Kroupa et al. 1993) and a different halo model. From this point of view, the dynamical model of the Galaxy and IMF adopted by Timmes et al. (1995) might be preferable to those of Goswami and Prantzos (2000), as far as the early Galaxy (\[Fe/H\] $`<2`$) is concerned.

## 6 Conclusion

We carried out extensive non-LTE calculations on the atomic model of neutral sodium and model atmospheres with a wide range of parameters, for the purpose of non-LTE abundance determinations based on eight representative Na i lines at 5683, 5688, 5890, 5896, 6154, 6161, 8183, and 8195 $`\mathrm{\AA }`$.

The non-LTE effect almost always acts as a line-strengthening mechanism (thus the non-LTE abundance correction being negative). Though its extent differs from line to line (from almost negligible level of a few hundredths dex to a considerable amount of $`0.5`$ dex), strong saturated lines (though not too strong to be damping-dominated) tend to suffer a large non-LTE effect. Generally speaking, the lines for which non-LTE corrections had better be taken into account in Na abundance determinations are 5890/5896 and 8183/8195 lines, while the 5683/5688 and (especially) 6154/6161 lines are comparatively less sensitive to a non-LTE effect.

Our non-LTE reanalyzes of our BAO and OAO equivalent-width data along with those taken from extensive literature revealed the following conclusions:
— (1) Regarding the disk stars with $`1<`$ \[Fe/H\] $`<0.4`$, we confirmed the existence of a delicate “upturn” feature (i.e., broad/shallow dip around the minimum at \[Fe/H\] $`0.2`$) superposed on the general tendency of \[Na/Fe\] $`0`$, as has been reported by recent analyses on weak Na i 6154/6161 lines being inert to any non-LTE effect. Moreover, according to our analyses on our BAO data, even the abundances derived from strong (saturated or damping-dominated) lines, which are generally unsuitable for abundance analyses, suggested this tendency.
— (2) We found based on our analyses of recent data after 1990’s that the \[Na/Fe\] ratios for metal-poor halo stars show a “subsolar” behavior; i.e., \[Na/Fe\] decreases from $`0`$ (at \[Fe/H\]$`1`$) to $`0.4`$ (at \[Fe/H\]$`2`$), while it appears to rise again with a further decrease in metallicity toward recovering \[Na/Fe\]$`0`$ again at \[Fe/H\]$`4`$. It is evident that the previous suggestion of almost solar Na-to-Fe ratio over all metallicity, which was actually believed until mid 1990’s, is attributed to the overestimation of sodium abundances due to the neglect of non-LTE effects. Among the representative theoretical models of Galactic chemical evolution, that of Timmes et al. (1995) appears to reasonably reproduce this behavior.
— (3) Given this observational evidence, the run of \[Na/Fe\] is in rough accord with that of \[Al/Fe\] (cf. Baumüller, Gehren 1997), which would be a sound consequence from a theoretical point of view, since both are expected to show similar behaviors (see, e.g., subsection 5.8 of Samland 1998). In order to further clarify the connection between the present results and the abundances of such important Na-related elements in metal-poor stars, we are now planning to carry out extensive non-LTE analyses on Al and Mg, in the way similar to that adopted in this paper by using our own as well as the literature data, the results of which will be reported in our forthcoming papers.

We thank the staff members of OAO, especially H. Izumiura and S. Masuda, for their kind support and suggestions concerning the operation and maintenance of HIDES. Thanks are also due to S. Honda, K. Sadakane, S. Sato, and K. Osada for their helpful collaborations in our 2001–2002 observations at OAO. This work was done within the framework of the China–Japan collaboration project, “Galactic Chemical Evolution through Spectroscopic Analyses of Metal-Deficient Stars” supported by the Japan Society for the Promotion of Science (JSPS) and the Natural Science Foundation of China (NSFC).


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# Balmer Lines as Diagnostics of Physical Conditions in AGN Broad Emission Line Regions

## 1 Introduction

The emission line spectrum of Active Galactic Nuclei (AGN) is produced over a wide range of distances from the central continuum source, and under a wide range of physical and kinematical conditions (see Sulentic et al. 2000, and references therein). The line strengths, their widths and shapes are the powerful tools for emitting gas diagnostics in different parts of the emitting region of an AGN. The physics in the Broad Line Region (BLR) is more complicated than in the Narrow Line Region (NLR). The classical and recent studies point toward photoionization as the main heating source for the BLR emitting gas (see e.g. Kwan & Krolik 1981, Osterbrock 1989, Baldwin et al. 1995, Marziani et al. 1996, Baldwin et al. 1996, Ferland et al. 1998, Krolik 1999). The photoionization, recombination and collisions can be considered as relevant processes in BLRs. At larger ionization parameters, recombination is more important, but at the higher temperatures the collisional excitation become also important as well as in the case of low ionization parameters. These two effects, as well as radiative-transfer effects in Balmer lines should be taken into account to explain the ratios of Hydrogen lines (Osterbrock 1989, Krolik 1999).

Different types of the physical conditions and processes can be assumed in order to use the emission lines for diagnostic of emission plasma (Osterbrock 1989, Griem 1997, Ferland et al. 1998). Although ”in many aspects the BLRs are physically as closely related to stellar atmospheres as traditional nebula” (Osterbrock 1989), the plasma in the BLR probably does not come close to being in complete Local Thermodynamical Equilibrium (LTE). However, there may still be the Partial Local Thermodynamical Equilibrium (PLTE) in the sense that populations of sufficiently highly excited levels are related to the next ion’s ground state population by Saha-Boltzmann relations (van der Mullen et al. 1994), or to the total population in all fine-structure levels of the ground-state configuration (see Griem 1968, 1997). The PLTE for different types of plasma: ionizing, recombining plasma and plasma in ionization balance were discussed in Fujimoto & McWhirter (1990). They found that the populations of higher-lying levels are well described by the Saha-Boltzmann equation. On the other hand van der Mullen et al. (1994) confirmed that ”if electrons realize an equilibrium between ionization and recombination in a two-temperature radiationless plasma, then the Sahal equation can be obtained by replacing the thermodynamic temperature by the electron one”. Moreover, recently Popović et al. (2002) found that the Balmer lines of NGC 3516 indicate that the Balmer emitting line region may be in the PLTE.

The aim of this paper is to test the existence of PLTE, and discuss the possibility of estimation of the relevant physical processes and plasma parameters in BLRs using the Boltzmann-plot of Balmer lines.

## 2 Theoretical remarks

As a simple case let us consider the optically thin plasma. In the case of plasma of the length $`\mathrm{}`$ along the line of sight, spectrally integrated emission line intensity (Ilu) is given as (see e.g. Griem 1997, Konjević 1999)

$$I_{lu}=\frac{hc}{\lambda }g_uA_{ul}_0^{\mathrm{}}N_u𝑑x\frac{hc}{\lambda }A_{ul}g_u\mathrm{}\frac{N_0}{Z}\mathrm{exp}(E_u/kT_e),$$
$`(1)`$
where $`\lambda `$ is transition wavelength, $`g_u`$ statistical weight of the upper level, $`A_{ul}`$ transition probability, $`Z`$ the partition function, $`N_0`$ the total number density of radiating species, $`E_u`$ the energy of the upper level, $`T_e`$ electron temperature and $`h,c,k`$ are the well known constants (Planck, speed of light and Boltzmann constant, respectively).

If the plasma is in PLTE, the population of the parent energy states adhere to a Boltzmann distribution uniquely characterized by their excitation temperature ($`T_e`$ in Eq. (1)), and this temperature may be obtained from a Boltzmann-plot when the transitions within the same spectral series are considered

$$\mathrm{log}(I_n)=\mathrm{log}\frac{I_{ul}\lambda }{g_uA_{ul}}=BAE_u,$$
$`(2)`$
where $`I_{lu}`$ is relative intensity of transition from upper to lower level ($`ul`$), $`B`$ and $`A`$ are constants, where $`A`$ indicates temperature and we will call it the temperature parameter.

If we can approximate the $`\mathrm{log}(I_n)`$ as a linear decreasing function of $`E_u`$ then: a) it indicates that PLTE may exist at least to some extent in the BLR; b) if PLTE is present, the population adhering to a Boltzmann distribution is uniquely characterized by its excitation temperature. Then we can estimate the electron temperature from Eq. (2), $`T_e=1/(kA)`$, where $`k=8.617110^5\mathrm{eV}/\mathrm{K}`$ is the Boltzmann constant; c) if PLTE is present we can roughly estimate the minimal electron density in BLR. Here, we should mention that ”Case B” recombination of Balmer lines can bring the $`\mathrm{log}(I_n)`$ vs $`E_u`$ as linear decreasing function (Osterbrock 1989). But, regarding the physical conditions (electron densities and temperatures) in BLRs in this case the constant A is too small ($`A<0.2`$) and the Boltzmann-plot cannot be applied for diagnostics of electron temperature even if PLTE exists (see discussion in Sec. 4). Moreover, in this case Boltzmann-plot method can be used as an indicator of ”Case B” recombination in BLRs of some AGN.

Taking into account that the Balmer lines originate from the same series, we can use the Boltzmann-plot relation for testing the existence of PLTE or ”Case B” recombination. Also, here we should mention that we will assume that $`\mathrm{}`$, the length of the Balmer line formation region, is the same for all Balmer lines.

## 3 Observations, data reductions and measurements

In order to test the existence of PLTE in BLR, we use HST observations obtained with the Space Telescope Imaging Spectrograph (STIS) and Faint Object Spectrograph (FOS), covering the wavelength ranges 2900-5700 Å and 6295-6867 Å (rest wavelength). From the very large data base of AGN spectra at HST archive we selected the objects using following selection criteria: a) the observation covered the Balmer series line wavelength region; b) the observations were performed on the same day; c) all the lines from Balmer series can be recognized and all have relatively well defined shapes; d) we considered only low red-shifted objects. The list of 14 selected objects is presented in Table 1.

The spectra were reduced by the HST team. We transformed the wavelength scale to zero red-shift taking into account the cosmological red-shift of the objects (Véron-Cetty & Véron 2000). After that we estimated and subtracted the continuum. Estimated error of 5% - 10% due to subtraction of the continuum is included in the cumulative error (see Figs.1-3). The fluxes of the lines were measured by using the DIPSO software. The measured flux ratios of broad Balmer lines are present in Table 2.

### 3.1 Satellite and narrow lines

To perform a test we subtracted the narrow and satellite lines from Balmer lines. To estimate the contribution of these lines we used a multi-Gaussian analysis. We fit each line with a sum of Gaussian components using a $`\chi ^2`$ minimalization routine (Figs. 1-3).

To limit the number of free parameters in the fit of the H$`\beta `$ line we have also set some a priori restrictions on the narrow components and satellite lines (Popović et al. 2001,2002). In the first place, the three narrow Gaussians representing the two \[OIII\]$`\lambda \lambda 4959,5007`$ lines and the narrow H$`\beta `$ component are preconditioned to have the same red-shift and full widths proportional to their wavelengths. In the second place, we have linked the intensity ratio of the two \[OIII\] lines according to the atomic value (line strength), 1:3.03. Finally, we have included in the fit a shelf of Fe II template (Korista 1992, Popović et al. 2001,2002). An example of fitting H$`\beta `$ line region of WPV 007 is present in Fig. 1, the dashed lines are subtracted from H$`\beta `$ profile.

In the case of H$`\alpha `$, we assume that the \[NII\]$`\lambda \lambda 6548,6583`$ and the H$`\alpha `$ narrow components have the same red-shift and full widths proportional to their wavelengths (dashed lines at the bottom of the Fig. 2). Taking into account that the two \[NII\] lines belong to the transition between the same multiplet we assume that their intensity ratio is 1:2.96 (see e.g. Wiese et al. 1966).

In the case of an AGN with strong narrow lines we estimated the contribution of \[OIII\]4363 line in H$`\gamma `$ flux using the ratio of (I$`{}_{4959}{}^{}+`$I$`{}_{5007}{}^{})/`$I4363 lines adopting that $`T10000`$ K (see Table 11.5 in Osterbrock 1989) and low electron density characteristic for NLRs. Where it was possible, we also fit H$`\gamma `$ line assuming that \[OIII\]4363 line can be represented with one Gaussian having the same full width as \[OIII\] lines proportional to its wavelength (see Fig. 3). The contribution of the \[NeIII\]3967 line in H$`\epsilon `$ has been neglected.

The error-bars, presented in Figs. 5, are estimated as cumulative errors due to continuum subtraction error ($``$10%), and error of the line flux measurements. One should note that we approximatively subtracted narrow and satellite lines, but we estimated that error in this procedure was within the frame of errors presented on the graphs.

### 3.2 Reddening

On the other hand, the reddening effect can influence the Balmer lines ratio (see e.g. Crenshaw & Kraemer 2001, Crenshaw et al. 2001, 2002, and references therein) and consequently on temperature parameter obtained by Boltzmann-plot. Here the Galactic reddening was taken into account using the data from NASA’s Extragalacitc Database (NED). In order to test the total (Galactic + intrinsic) reddening influence we have considered the case of Akn 564, where the reddening data are given by Crenshaw et al. (2002). We estimated that the reddening effect can contribute to the Boltzmann-plot slope around of 30%-40% (in the case of Akn 564 around of 35%, $`(kA)/(kA)_{redd.}=1.35`$), but this effect cannot qualitatively disturb the straight line as a function in Boltzmann-plot. The reddening effect will always cause that temperatures measured by this method will give smaller values if this effect is not taken into account. In the rest of our sample we did not consider the intrinsic reddening effect.

### 3.3 Velocity measurements

The data quality required for a comparison of temperature parameter $`A`$ as a function of velocity is quite high. The data quality are different for different spectra of AGN. Consequently, for velocity measurements we used only $`H\alpha `$ and $`H\beta `$ lines. To investigate the velocity obtained on Full Width at Half Maximum (FWHM) and Full Width at Zero Intensity (FWZI) as a function of temperature for considered AGN, we first normalized the cleaned profiles of these lines to one and converted wavelength axis to the $`X=(\lambda \lambda _0)/\lambda _0`$ scale (see Fig. 4). In order to investigate the random velocity dependence which is probably related to physical conditions (in this case electron temperature) we measured FWHM and FWZI of an averaged line profile obtained from $`H\alpha `$ and $`H\beta `$ profiles. The differences between FWHM and FWZI of $`H\alpha `$ and $`H\beta `$ were relatively small, except in NGC 1566.

## 4 Results and discussion

In Figs. 5-7 and in Table 2 we present our results. As one can see from Figs. 5 and 6, the Boltzmann-plot of the Broad Balmer Lines indicates the existence of PLTE at least in some parts of BLR of significant fraction of the considered AGN (mainly BLRG). If we take into account that intrinsic reddening can amplify the constant $`A`$ then we have three cases: i) Boltzmann-plot cannot be applied at all (e.g. NGC 1566), ii) Boltzmann-plot can be applied, but the constant is small $`A<0.3`$, then even if the PLTE exists, the ratio of Balmer line fluxes are nearly independent of temperature. This case can rather be treated as (or indicates) recombination. iii) Boltzmann-plot can be applied and $`A>0.3`$. In this case we can consider that PLTE exists in the sense that the populations of the higher-lying levels ($`n3`$) are well described by the Sahal-Boltzmann equation, and excited temperature can be replaced by electron temperature.

From the 14 selected AGN, we can say that in 9 AGN Boltzmann-plot indicates the existence of PLTE ($`A>0.3`$, $`T<40000`$ K) in BLR, while in the case of 4 of them (see Table 2 and Fig. 6) the Boltzmann-plot indicates ”Case B” recombination in BLR. In the remaining 1 AGN (NGC 1566) the Boltzmann-plot cannot be applied (see Fig. 5). Using this method we can determine the electron temperature. In a favorable situation in laboratory, with this method the electron temperature may be determined to 2-3%, otherwise normally an uncertainty of about 5-10% must be expected for laboratory plasma (Konjević 1999). In our case, the determination of the temperatures is very sensitive to the flux measurements. As one can see from Fig. 5 uncertainties in the measured flux are higher for weaker lines. Moreover, the intrinsic reddening effect can increase the temperature. Consequently, the uncertainties in the temperature determination in this case are around 30%. Valid criteria for PLTE and criteria for the application of this spectroscopic method are widely discussed by Fujimoto & McWhirter (1990), Griem (1997) and Konjević (1999). The measured flux ratio of Balmer lines and measured flux of H$`\beta `$ line and temperature parameter $`A`$ are given in Table 2. As one can see from Table 2 there is no strong dependence between $`F_{H\alpha }/F_{H\beta }`$ ratio and temperature parameter. On the other hand, one can see from Table 2 and Figs. 6ab the temperature difference between radio quiet (RQ) and radio loud (RL) objects. Although this follows the fact that RL and RQ AGN have different distributions in Balmer line widths (e.g. Wills and Browne 1986), temperature differences RL and RQ AGN might be a result from selection biases rather than a difference in the radio properties. From Table 2 and Fig 6ab, one can conclude that in considered sample of RL AGN PLTE might exist in BLRs. Here we should mention that an alternative to the PLTE may be a very high intrinsic reddening in this type of AGN. In any case the electron temperatures are in good agreement with some previous estimates (see, e.g. Osterbrock 1989, Sulentic et al. 2000).

To estimate the electron density we will consider two cases: optically thin and optically thick plasma.

For spatially homogeneous and inhomogeneous plasma, as well as in a steady state plasma (applicable to slowly time-varying plasma) but optically thin plasma, the method may be used to estimate the lower limit of electron density (Griem 1997) taking that $`N_e710^{18}z^6n_c^{17/2}\sqrt{\frac{kT_e}{E_H}}\mathrm{cm}^3`$, where $`z`$ is the charge ”seen” by the optical electron ($`z=1`$ for neutral emitters), $`n_c`$ is the principal quantum number of the upper level, and EH is ionization energy of Hydrogen. Taking $`n_c=3`$ (for the H$`\alpha `$ emission in PLTE), the low limit of the electron density is of the order of $`10^{13}10^{14}\mathrm{cm}^3`$ (see also discussion and Fig. 7.4. in Griem 1997).

On the other hand, we cannot consider pure optically thin plasma in BLRs, and one should consider the case of optically thick plasma in BLR. For optically thick plasma, the equation of radiation transfer should be solved simultaneously with the rate equations for the population densities. However, sometimes it is adequate to assume that a reduced transition probability for the spontaneous transition describes the effect of reabsorption of the line. Within this approximation, one can take that in Eq. (1) effective transition probabilities decrease by a factor $`N_{esc}`$, that is the mean number of scattering before escape which depends of the optical depth (see Eq. 12.6 in Osterbrock 1989). Assuming that for all lines from Balmer spectral series $`N_{esc}`$ is similar, we still can use the Eq. (2), but in this case the value of critical $`N_e`$ should be reduced (Osterbrock 1989) $`N_e^{}=N_e/N_{esc}`$. Considering the critical electron density one may take the values for the H$`\alpha `$ optical depth ($`\tau (H\alpha )644.510^4`$) given in Osterbrock (1989). For these optical depths we obtain the values of electron density within the range from $`N_e(10^910^{12})\mathrm{cm}^3`$. It is in agreement with the previous estimates (Osterbrock 1989, Krolik 1999).

The electron density estimated for optically thin plasma, $`10^{14}\mathrm{cm}^3`$, is significantly higher than in some previous estimates for the BLR ($`10^9\mathrm{cm}^3`$ see, e.g. Osterbrock 1989, Sulentic et al. 2000). However, in some previous works a high electron density has been also suggested (van Groningen 1987, Sivron & Tsuruta 1993, Brotherton et al. 1994). But, for optical thick plasma the estimated electron densities are in agreement with conventionally accepted for BLRs.

On the other hand, it has been shown that the Balmer line ratios are velocity dependent in AGN (Stirpe 1990,1991) and this is probably related to both a range of physical conditions (electron temperature and density) and to the radiative transfer effects. Although, we have relatively small number of observed AGN for serious statistical analysis, we analyzed the temperature parameter as a function of random velocities at FWHM and FWZI obtained from an averaged profile of H$`\alpha `$ and H$`\beta `$ lines (Fig. 6). As one can see from Fig. 6 the temperature parameter A tends to increase with velocities, especially in the case of velocities measured at FWZI. In this case the function A vs FWZI has a linear trend. Also, The difference in A vs FWHM (Fig. 6a) and A vs FWZI (Fig. 6b) indicates that BLR is complex and that physical conditions of regions which contribute to the line core and line wings are different. For the AGN where $`A>0.3`$ and where PLTE may be present, we plot the estimated electron density as a function of velocities measured at FWHM (Fig. 7a) and FWZI (Fig. 7b). As one can see from Figs. 7ab, the electron temperature decrease with velocities. The solid lines in Fig. 7ab present the best fit with a linear function $`T_e=cdV`$, where V is velocity measured at FWHM and FWZI. For constants $`c`$ and $`d`$ we obtained: $`c=(44.0\pm 4)10^3`$ and $`d=1.14\pm 0.25`$ for velocities measured at FWZI; and $`c=(37.0\pm 3)10^3`$ and $`d=1.87\pm 0.50`$ for velocities measured at FWHM.

## 5 Conclusion

Using the fact that the Balmer lines belong to the same spectral series, we apply the Boltzmann-plot method to test the presence of PLTE in BLR and discuss the relevant physical processes in a sample of 14 AGN. From our test we can conclude:

1) From the 14 selected AGN, we found that in 9 AGN Boltzmann-plot indicates the existence of PLTE in BLR, while in the case of 4 of them the Boltzmann-plot indicates ”Case B” recombination in BLR. In remaining 1 AGN the Boltzmann-plot cannot be applied.

2) The estimated BLR electron temperatures using Boltzmann-plot where PLTE exists are in a range (1.3 - 3.7)$`10^4`$ K (within 30% accuracy). They are in a good agreement with the previous estimations.

The electron densities in BLR have been considered for optically thin and optically thick plasma and we found that

i) For optically thin plasma, the electron density in the case of PLTE, at least in some parts of BLR, should be higher than conventionally accepted for BLR.

ii) For optically thick plasma, the electron density in the case of PLTE is in agreement with the conventionally accepted for BLR.

On the other hand, the electron temperatures estimated by using Boltzmann-plot tend to be velocity dependent as a linear decreasing function of random velocities measured at FWHM as well as at FWZI.

Although, an alternative of PLTE in some AGN may be very high intrinsic reddening effect, the Boltzmann-plot method may be used for fast insight into physical processes in BLR of an AGN prior applying more sophisticated physical models.

For future investigation it is needed to do the decomposition of complex Balmer lines in order to find the part where this method can be fully applied and investigate the velocity dependence of Balmer line ratios on a large sample of AGN.

## 6 Acknowledgments

This work was supported by the Ministry of Science, Technologies and Development of Serbia through the project “Astrophysical Spectroscopy of Extragalacitc Objects”. Also, the work was supported by Alexander von Humboldt Foundation through the program for foreign scholars. I thank Prof. S. Djeniže, Prof. M.S. Dimitrijević and Prof. N. Konjević for useful discussion and suggestions. I would like to thank to the anonymous referee for the very useful comments.


text:
# Defect-Suppressed Atomic Crystals in an Optical Lattice

(1 April 2003)

## Abstract

We present a coherent filtering scheme which dramatically reduces the site occupation number defects for atoms in an optical lattice, by transferring a chosen number of atoms to a different internal state via adiabatic passage. With the addition of superlattices it is possible to engineer states with a specific number of atoms per site (atomic crystals), which are required for quantum computation and the realisation of models from condensed matter physics, including doping and spatial patterns. The same techniques can be used to measure two-body spatial correlation functions.

There has been a vast amount of recent interest in the study of Bose-Einstein Condensates (BECs) naturereview  and degenerate Fermi gases fermiexp  in optical lattices bosonsol ; lattice ; blochsdol . Such systems have many potential applications in quantum computing, and also make possible the study of strongly correlated systems from condensed matter theory with unprecedented control over system parameters.

However, the study of strongly correlated systems or entangled atoms in optical lattices requires not only that the corresponding (Hubbard) Hamiltonian bosonsol ; lattice  be properly engineered, but also that the system is placed in a well defined (pure) initial state with high precision. Whilst is possible to load a BEC into an optical lattice in the Mott Insulator (MI) phase, which corresponds to having a definite number of atoms at each lattice site bosonsol ; lattice , non-ideal conditions will always result in defects in that phase (i.e., missing atoms and overloaded sites). The removal (or precise control) of such defects is then a necessary condition for the application of atoms in optical lattices to quantum computing and the study of strongly correlated systems. In this letter, we propose a coherent filtering scheme which, beginning with an uncertain number of atoms in each site, provides a method to transfer a definite number of atoms at each site into a different internal state, and so load a new lattice of atoms with an exact number of particles per site. This process dramatically reduces the site occupation number defects, and can be extended, under experimentally reasonable conditions, to allow the production of doped or pattern loaded initial states with almost unit fidelity (i.e., atomic crystals). The scheme is also applicable to the production of high fidelity initial states in fermion systems (including doped states and the loading of composite objects), and when combined with moving optical lattices, can be used to measure two-body correlation functions. We illustrate this by presenting an example of how this scheme could be used to both produce and characterise superconducting states in an optical lattice with a chosen filling factor.

We begin by considering a system of bosons loaded into an optical lattice such that they do not tunnel between neighbouring sites. The atoms are in a particular internal state, $`|a`$, and have onsite interaction strength (with $`\mathrm{}=k_B=1`$) $`U_a=4\pi a_s\mathrm{d}^3𝐱|\mathrm{w}(𝐱)|^4/m`$, (valid for $`U_a`$ less than the separation of the two lowest motional states at each site) where $`a_s`$ is the scattering length and $`\mathrm{w}(𝐱)`$ is a Wannier function bosonsol . We then couple the atoms into a second internal state, $`|b`$, (which is trapped by a second lattice potential) via an off-resonant Raman transition with Rabi frequency $`\mathrm{\Omega }(t)`$, which is detuned from state $`|b`$ by $`\delta (t)`$. If we denote the onsite interaction between particles in state $`|b`$ as $`U_b`$ and the onsite interaction between particles in different internal states as $`U_{ab}`$, and follow the derivation in bosonsol , we obtain the Hamiltonian

$`\widehat{H}`$ $`=`$ $`{\displaystyle \frac{U_a}{2}}\widehat{n}_a(\widehat{n}_a1)+{\displaystyle \frac{U_b}{2}}\widehat{n}_b(\widehat{n}_b1)+U_{ab}\widehat{n}_a\widehat{n}_b`$ (1)
$`{\displaystyle \frac{\mathrm{\Omega }(t)}{2}}(a^{}b+b^{}a)\delta (t)\widehat{n}_b,`$
where $`\widehat{a}`$ and $`\widehat{b}`$ are the annihilation operators for particles in states $`|a`$ and $`|b`$ respectively, and $`\widehat{n}_a=\widehat{a}^{}\widehat{a}`$, $`\widehat{n}_b=\widehat{b}^{}\widehat{b}`$. We can then write the state of the site as $`|n_a,n_b`$, where $`n_a`$ and $`n_b`$ are the number of particles in the internal states $`|a`$ and $`|b`$ respectively. We know that the initial state at a particular lattice site is $`|N,0`$, where $`N1,2,\mathrm{},N_{\mathrm{max}}`$. Our goal is to transfer exactly one particle from state $`|a`$ to state $`|b`$, so that for any $`N`$, the final state is $`|N1,1`$. In order to do this we must choose the initial and final values of the detunings, $`\delta _i`$ and $`\delta _f`$ so that the system evolves along the avoided crossing in the energy eigenvalues, undergoing an adiabatic passage from $`|N,0|N1,1`$, and does not evolve along any other such avoided crossings. These values have to be simultaneously chosen for all values of $`N`$, as shown in Fig. 1. Once the system is in state $`|N1,1`$, we can turn off the lattice trapping state $`|a`$, leaving a pure state with exactly one atom per lattice site.

The relative locations of the avoided crossings in the energy eigenvalues are determined by the values of $`U_a/U_b`$ and $`U_{ab}/U_b`$. In the adiabatic limit ($`\dot{\delta }0`$), we can set $`\mathrm{\Omega }=0`$, and for a given $`N_{\mathrm{max}}`$ it is then straight forward to find the parameter range for which an appropriate choice of $`\delta _i`$ and $`\delta _f`$ is possible. We consider the locations at which the energy eigenvalues of $`\widehat{H}`$ cross in this limit, and then attempt to find a parameter range for which the crossings between $`|N,0`$ and $`|N1,1`$ for all $`N`$ fall within a range of detunings $`[\delta _i,\delta _f]`$ which isolates them from all other crossings. The resulting boundaries for the allowed parameter space are given by $`U_{ab}=(1k_i)U_a+k_iU_b`$, for $`i=1,2`$, where for $`U_{ab}>U_a`$, $`k_1=1/N_{\mathrm{max}}`$, $`k_2=1/(2N_{\mathrm{max}}4)`$, and for $`U_{ab}<U_a`$, $`k_1=1/(2N_{\mathrm{max}}2)`$, $`k_2=1/(N_{\mathrm{max}}3)`$. These boundaries are shown in Fig. 2a for $`N_{\mathrm{max}}=4`$. Larger values of $`N_{\mathrm{max}}`$ result in a more restrictive allowed parameter range. Substantially different values of $`U_a`$ and $`U_b`$ are required, which is possible using either spin-dependent lattices blochsdol , where $`U_a`$ and $`U_b`$ are independently controlled via the different lattice shape for atoms in each internal state, or Feshbach Resonances bosefeshbach , near which the scattering length $`a_s`$ is different for atoms in different internal states as we tune an external magnetic field. $`U_{ab}`$ can also be independently controlled by slightly displacing the lattices trapping internal states $`|a`$ and $`|b`$.

In the case of finite-time laser pulses, the adiabatic crossings have a finite size, and must be crossed on a timescale dictated by the separation of the energy eigenvalues at the crossings. From the Landau-Zener formula, we can estimate the transfer error, $`\epsilon `$, for $`\sqrt{N_{\mathrm{max}}}\mathrm{\Omega }(t)<U_a,U_b`$ as $`\epsilon \mathrm{exp}[\pi N\mathrm{\Omega }^2/(2\dot{\delta })]`$, where $`\dot{\delta }|\delta _f\delta _i|/\tau `$ and $`\tau `$ is the total transfer time. For a large range of parameter values, we find that $`\epsilon `$ is very small for $`\tau `$ values well within the decoherence time (including spontaneous emissions, collisional losses, and external parameter fluctuations, lattice ) of the optical lattice. This has been confirmed by extensive numerical calculations of the exact time evolution of (1) (Fig. 2a).

This filtering scheme naturally cannot correct occupation number defects in which no atoms are present at particular lattice site in state $`|a`$. Because in principle extremely low transfer errors, $`\epsilon `$, are obtainable, this is the fundamental limit for the filtering scheme. The initial single-site fidelity of a state where we choose to have $`N_a`$ particles in each lattice site is defined as $`_a=N_a,0|\widehat{w}_0|N_a,0`$, where $`\widehat{w}_0`$ is the initial density operator for the site. Similarly, the final state single-site fidelity (for 1 transferred atom) is $`_b=1|\widehat{w}_b|1`$, where $`\widehat{w}_b=\mathrm{Tr}_a\widehat{w}`$, and $`\widehat{w}`$ is the final density operator for the site. In each case the overall fidelity for $`M`$ sites is given by $`_M=^M`$. If the probability of zero occupation in a particular site is $`p_0`$, then $`_b=(1\epsilon )(1p_0)`$. Thus to obtain the highest possible fidelities we should start in a MI phase with an average filling factor of 2 or more particles per site, where $`p_0`$ is small. For such a MI phase, with an average filling factor of $`\overline{N}_a`$ at temperature $`T`$, we model the particle number fluctuations using a Grand Canonical Ensemble (GCE). For integer $`\overline{N}_a`$ and low initial temperature, $`\mathrm{exp}[U_a/(2T)]1`$, we obtain $`p_0=\mathrm{exp}[U_a\overline{N}_a^2/(2T)]`$, so that for $`\epsilon 0`$, $`_b(1\mathrm{exp}[U_a\overline{N}_a^2/(2T)])`$. Under the same conditions, we can write $`_a=p(N=\overline{N}_a)12\mathrm{exp}[U_a/(2T)]`$. We see (Fig. 2b) that coherent filtering increases the fidelity by several orders of magnitude, even when the fidelity $`_a`$ is already reasonably high. Moreover, as $`(1F_b)=[(1F_a)/2]^{\overline{N}_a}`$, we see that the error in the initial state is exponentially suppressed with exponent $`\overline{N}_a`$. For example, if we assume $`\epsilon 0`$, an initial state with $`\overline{N}_a=2`$ and a defect at every tenth lattice site, $`_a=0.9`$, $`T/U_a=0.17`$, results in a final state with $`_b3\times 10^6`$, i.e., less than one defect every three hundred thousand sites. In an attempt to reduce number fluctuations even further we also considered a regime in which the atoms were allowed to move between neighbouring sites during the filtering process. However, for a fixed mean filling factor and transfer time this produces a lower final state fidelity than performing the filtering in the MI regime.

Taking Poisson statistics instead of the GCE, which corresponds to the BEC being loaded by suddenly switching on the lattice (this can be seen by computing the reduced density operator of the original superfluid state), and assuming a perfect transfer ($`\epsilon =0`$), we obtain $`_b=1\mathrm{exp}(\overline{N}_a)`$. Thus, to achieve high fidelities $`>0.99`$ in the final state requires $`\overline{N}_a5`$. Such $`\overline{N}_a`$ values might ultimately be limited by the increase in 3-body collisional losses with many atoms on each site.

This filtering can clearly be extended to transfer multiple atoms into state $`|b`$ by choosing $`\delta _f`$ so that the system evolves along more than one avoided crossing (but the same number for all initial $`N`$). Similarly, it is possible to choose $`\delta _i`$ and $`\delta _f`$ so that the transfer $`|N,0|N1,1`$ occurs only for initial states with a particular value of $`N`$. Thus, we can measure the defects in the initial state, for example by mapping sites with $`N_a=\overline{N}_a+1`$ or $`N=\overline{N}_a1`$ atoms onto occupied sites in state $`|b`$.

Spatial patterns can be created by adding a superlattice to the lattice trapping atoms in state $`|b`$, site-dependently shifting the energy level of $`|b`$ and preventing atoms in particular sites from coupling to the Raman transition. This allows the engineering of many high-fidelity spatial states because of the wide range of possible superlattice configurations which can be formed using overlapping laser beams.

Coherent filtering can also be applied to a degenerate Fermi gas fermiexp ; fermifeshbach  in an optical lattice (Fig. 3a). We consider spin up and spin down fermions (in states $`|a,`$) loaded into the motional levels of each lattice site according to the Pauli principle. Atoms in any chosen motional level (normally the lowest, as for low temperature and high filling factors it will almost always be occupied) may then be transferred by adiabatic passage to a different internal state, $`|b,`$. An example of appropriate states can be taken from the $`2`$S1/2 level of 6Li in a strong magnetic field (i.e., in the Paschen-Back regime). We choose $`|a,=|\mathrm{m}_\mathrm{s}=\frac{1}{2};\mathrm{m}_\mathrm{I}=0,1`$ and $`|b,=|\mathrm{m}_\mathrm{s}=\frac{1}{2};\mathrm{m}_\mathrm{I}=1,0`$, where $`\mathrm{m}_\mathrm{s}`$ and $`\mathrm{m}_\mathrm{I}`$ denote the magnetic spin quantum number for the electronic and nuclear spins respectively. (Where required, spin-dependent lattices for these states could be implemented for the short times required by coupling the ground states between the $`2`$P1/2 and $`2`$P3/2 levels.) As was the case for Bosons, we can apply a superlattice to the lattice which traps state $`|b`$, and hence engineer very high fidelity spatial patterns (Fig. 3b). By applying different superlattices during the transfer of different spin states, the ratio of spin up to spin down particles in the final state can also be very precisely controlled.

These techniques, when combined with the ability to move spin-dependent optical lattices blochsdol , can be used to measure two body correlation functions. Currently, sinlge-body correlation functions can be studied using the interference patterns produced when atoms are released from the lattice, and many-body correlation functions for a single site can be estimated from collisional loss rates. However, for fermion systems in a lattice, fourth order correlation functions of the form $`\rho _{i,j,l}=\widehat{c}_{i+l}^{}\widehat{c}_{il}^{}\widehat{c}_{jl}\widehat{c}_{j+l}`$ (where $`c_{i\sigma }`$ is the annhilation operator for an atom of spin $`\sigma `$ in site $`i`$) are of particular interest because they provide information about both about the long range order and the pair correlation length in the system. Specifically, $`\kappa _l=_i\widehat{c}_{i+l}^{}\widehat{c}_{il}^{}\widehat{c}_{il}\widehat{c}_{i+l}`$ characterises the correlation as a function of the separation $`2l`$ between spin up and spin down particles, and $`\gamma _k=_i\widehat{c}_{ik}^{}\widehat{c}_{ik}^{}\widehat{c}_{i+k}\widehat{c}_{i+k}`$ gives us information about the long range order as a function of the separation $`2k`$ between the pairs. These two functions can be measured by firstly making the lattice potential very deep, and performing the measurement on a timescale shorter than that on which atoms can move to neighbouring sites. Then, to measure $`\kappa _l`$, we first transfer all of the spin down atoms from their current state, $`|b`$ via an adiabatic passage to the internal state $`|a`$. We then shift the lattice trapping the state $`|a`$ $`2l`$ sites to the left. If we now transfer the particles in state $`|a`$ to state $`|b`$ selectively, based on the condition that no particle exists (at a particular site) in the state $`|b`$, then the number of atoms left in state $`|a`$ is proportional to the value of $`\kappa _l`$. This is made possible by the onsite interaction between particles with different spins shifting the detunings at which avoided crossings occur in the energy eigenvalues. A similar process can be used to measure $`\gamma _l`$, but requires an additional step in which we flip the spin of particles in state $`|b|b`$. Whilst these processes would be difficult to implement experimentally, they can be seen as providing an eventual way to perform a complete tomography of pair correlations in fermion systems.

Such a characterisation would be particularly useful in the study of the BEC - BCS crossover in an optical lattice supercondnarrowband . Along with initial state preparation, this is well illustrated by the method to study the MI to BCS state transition in fermions at exactly half-filling shown in Fig. 3. We begin by transfering particles of both spin types from a degenerate Fermi gas loaded into an optical lattice (Fig. 3a) via adiabatic passage to a different internal state, whilst a superlattice is used to offset even-numbered sites in the final state by a potential $`V`$ (Fig. 3b). This system is then described by the Hamiltonian

$$\widehat{H}=J\underset{i,j,\sigma }{}\widehat{c}_{i\sigma }^{}\widehat{c}_{j\sigma }+U\underset{i=1}{\overset{N}{}}\widehat{n}_i\widehat{n}_i+\frac{V}{2}\underset{i,\sigma }{\overset{N}{}}(1)^i\widehat{n}_{i,\sigma },$$
(2)
where $`i,j`$ denotes all nearest neighbour combinations and $`\widehat{n}_{i,\sigma }=\widehat{c}_{i,\sigma }^{}\widehat{c}_{i,\sigma }`$. $`U`$ denotes the onsite interaction between particles of different spin, which we choose to make initially large and negative, using a combination of lattice parameters, and, if necessary, a Feshbach resonance fermifeshbach . Thus we prepare a state with exactly half-filling (note that other filling factors are possible with different superlattices), consisting of pre-formed pairs in the odd numbered sites (Fig. 4a). We slowly decrease $`V`$ to a small value, $`V<JU`$, allowing the pairs to delocalise. For small $`V`$ but large $`|U|`$, the pairs behave as a gas of hard-core Bosons. Following the discussion in zwergercommincomm , we find that the system is protected throughout this process by an energy gap of $`V`$. This resulting state is characterised by a very short inter-particle correlation length, measureable through the correlation function $`\kappa _l`$ (Fig. 5a).

We then lower the onsite interaction until $`|U|<J`$, so that the spin up and spin down particles can move independently. A meanfield treatment daleyfedichevmf  shows that even in the weak coupling limit the state is protected by an energy gap which is no less than $`V`$. Once the BCS state of Cooper pairs sets in supercondnarrowband , we can set $`V0`$ by completely removing the superlattice. The system thus undergoes a transition into a BCS state (Fig. 3c, 4b), characterised by its long pair correlation length, again measureable using $`\kappa _l`$ (Fig. 5b).

In summary, the coherent filtering scheme presented here allows the production of high-fidelity atomic crystals, and the measurement of important correlation functions. These features will greatly enhance the application of atoms in optical lattices to quantum computation and to the precise modeling of condensed matter systems.

We thank D. Jaksch, L. Tian, M. Bijlsma, and members of R. Grimm’s group for discussions. Work was supported in part by the Austrian Science Foundation, E.U. Networks, and the Institute for Quantum Information.