format: text

text:
# Columnar Defects and Scaling Behavior in Quasi 2D Type II Superconductors

## Abstract

Persistent scaling behavior of magnetization in layered high $`T_c`$ superconductors with short–range columnar defects is explained within the Ginzburg Landau theory. In the weak field region, the scaling function differs from that of a clean sample and both the critical and crossing temperatures are renormalized due to defects. In the strong field region, defects are effectively suppressed and scaling function, as well as critical and crossing temperatures are the same as in a clean superconductor. This picture is consistent with recent experimental results

Layered high-temperature superconducting (HTSC) materials, such as Bi2Sr2CaCu2O8+δ and Bi2Sr2Ca2Cu3O10, are known to exhibit 2D scaling magnetic properties around the mean field transition line $`H_{c2}(T)`$. It is manifested by inspecting the magnetization $`M_0`$ as a function of temperature $`T`$ (measured in energy units) and the (external) magnetic field $`H`$:

$$\frac{s\mathrm{\Phi }_0}{A\sqrt{TH}}M_0(T,H)=(\sqrt{x^2+2}x),$$
(1)
where $`s`$ is an effective interlayer spacing, $`\mathrm{\Phi }_0`$ is the flux quantum, $`x=AH_{c2}^{}[TT_{c2}(H)]/\sqrt{TH}`$ is the scaling variable, $`H_{c2}^{}dH_{c2}(T)/dT|_{T=T_{c0}},`$ and $`T_{c0}`$ is the zero field critical temperature. For a superconductor with Ginzburg-Landau (GL) parameter $`\kappa `$ and Abrikosov geometric factor $`\beta _A`$ the constant $`A=\sqrt{s\mathrm{\Phi }_0/p}`$, where $`p=16\pi \kappa ^2\beta _A.`$ The form of the scaling function  implies the existence of a crossing point: at some temperature $`T_0^{}=T_{c0}(1+1/(2A^2H_{c2}^{}))^1,`$ the sample magnetization is independent on $`H`$, $`M_0^{}M_0(T_0^{},H)=T_0^{}/(s\mathrm{\Phi }_0)`$.

Recently, the influence of linear defects (columnar defects, artificial holes etc.) on the magnetic properties of superconductors has been studied experimentally and theoretically. In particular, experiments by van der Beek et. al. showed that in HTSC with columnar defects the reversible magnetization of the sample is drastically affected, and that there are now two scaling regimes pertaining to relatively weak $`H<H_\mathrm{\Phi }`$ and strong $`H>H_\mathrm{\Phi }`$ magnetic fields (here the matching field $`H_\mathrm{\Phi }=n_d\mathrm{\Phi }_0`$ is proportional to the 2D density of defects $`n_d`$). These two scaling regimes correspond to two different critical temperatures (used in Ref. as fitting parameters) and crossing points.
aaaIn this Letter we propose an explanation of these results. Let us commence by presenting some intuitive arguments. Consider the quantity $`c=H_\mathrm{\Phi }/H`$ which, in a macroscopic sample, is the number of defects divided by the number of vortices. The magnetic field then serves as a control parameter for tuning the effective concentration $`c`$ of defects. In the weak field region, $`c`$ is large, each vortex is affected by a force emanating from many defects, and the fluctuations of this force play the main role. Short-range defects could be taken into account perturbatively. In first order they retain the same form of scaling function as that of a clean sample but renormalize the critical temperature $`T_c`$. Second order corrections indeed destroy the scaling behavior but in the vicinity of the crossing temperature scaling is approximately maintained. In the strong field region, $`c`$ is small, and the standard concentration expansion  can be used. Here, even the first order correction (with respect to small concentration) destroys the scaling behavior. However, a strong field effectively suppresses the defects, thus restoring the scaling behavior of a clean superconductor with the initial critical temperature $`T_{c0}.`$ Identifying the two fitting temperatures of Ref. with the renormalized critical temperature $`T_c`$ and the initial one $`T_{c0}`$ respectively, one finds for the dimensionless defect strength $`\theta _1=0.49`$, well inside its allowed range $`0\theta _11`$. This indicates a full consistence between the description constructed below and the experimental results of Ref..
aaaOur quantitative discussion employs an approach proposed and successfully used for arbitrary fields in clean superconductors  and for very low fields in disordered superconductors. Here we use it for disordered superconductors in much higher fields. Consider an irradiated thin superconducting film (or one layer in a layered superconductor) with area $`S`$ subject to perpendicular magnetic field (thus parallel to the defects). The effective interlayer separation $`s`$ is assumed to be much larger than the effective superconducting coherence length $`\xi (H,T)`$ in the magnetic field direction but much smaller than the magnetic penetration depth. Then the problem becomes effectively two dimensional. Columnar defects can be described as a local reduction of the critical temperature $`\delta T_c(𝐫)=T_{c0}t_j\mathrm{exp}((𝐫𝐫_j)^2/2L^2).`$ Here $`𝐫`$ is a two dimensional vector in the film plane, $`L`$ is the defect radius, and the positions $`𝐫_j`$ of defects are uniformly and independently distributed over the film plane with density $`n_d.`$ The value of $`n_d`$ is assumed to be moderate so that for the pertinent region of temperature the matching field $`H_\mathrm{\Phi }`$ is always much smaller than $`H_{c2}(T).`$ The dimensionless amplitudes of defects $`t_j1`$ are also independent random quantities distributed with some probability density. The thermodynamic properties of a type-II superconductor with $`\kappa 1`$ containing $`N_v`$ vortices are described by its partition function

$$𝒵𝒟\{\mathrm{\Psi }\}\mathrm{exp}(N_vg[\mathrm{\Psi }]),$$
(2)
where $`\mathrm{\Psi }`$ is the corresponding order parameter. The dimensionless GL free energy $`g[\mathrm{\Psi }]`$ of an irradiated superconductor is given by an expression

$$g=x\overline{|\mathrm{\Psi }|^2}+(4\beta _A)^1\overline{|\mathrm{\Psi }|^4}+\overline{\tau |\mathrm{\Psi }|^2},$$
(3)
where bar denotes averaging over the sample area. The scaling variable $`x`$ and the local temperature $`\tau (𝐫)`$ are defined below for each region of the magnetic field.
aaaFollowing, we replace in Eq.(3) $`\overline{\left|\mathrm{\Psi }(𝐫)\right|^4}`$ by $`\beta _A\left(\overline{\left|\mathrm{\Psi }(𝐫)\right|^2}\right)^2,`$ where $`\beta _A1.16`$ is the Abrikosov factor for a triangular lattice. This replacement is based on the assumption that the distribution of vortices is almost uniform in both regions of the magnetic field considered here. It is supported by noticing a remarkable difference between the number of vortices and the number of defects in both regions of fields. This substitution, together with the simplest version of the Hubbard-Stratonovich transformation (introduction of an additional integration over some auxiliary field $`\gamma `$) turns the problem to be an exactly solvable one. Then project the order parameter on the lowest Landau level (LLL) subspace,

$$\mathrm{\Psi }(𝐫)=\underset{m=0}{\overset{N_v}{}}C_mL_m(𝐫),$$
(4)
where $`L_m(𝐫)`$ are normalized LLL eigenfunctions with orbital momentum $`m.`$ As was recently demonstrated, the LLL approximation works quite well even down to $`HH_{c2}(T)/13`$. After integration over the expansion coefficients $`C_m`$ the partition function (2) reads,

$$𝒵_\mathrm{\Gamma }\mathrm{exp}\left\{N_v(\gamma ,x)\right\}𝑑\gamma ,$$
(5)
where

$$(\gamma ,x)=\gamma ^2+N_v^1\text{tr}\mathrm{ln}\left[(x+\gamma )\widehat{\text{I}}+\widehat{\tau }\right]$$
(6)
and $`\widehat{\tau }`$ is a random matrix with elements:

$$\tau _{mn}=_SL_m^{}(𝐫)\tau (𝐫)L_n(𝐫)d^2𝐫.$$
(7)
The contour $`\mathrm{\Gamma }`$ in Eq.(5) is parallel to the imaginary axis and stretches from $`\gamma ^{}i\mathrm{}`$ to $`\gamma ^{}+i\mathrm{}.`$ To assure convergence of the integrals over the coefficients $`\{C_m\}`$ the real constant $`\gamma ^{}`$ should satisfy the inequality $`\gamma ^{}+x+\mathrm{min}\tau _n>0,`$ where $`\tau _n`$ is the $`n`$-th eigenvalue of the matrix $`\tau _{mn}`$.
aaaIn the thermodynamic limit $`S\mathrm{}`$ with $`n_d=N_v/S`$ fixed, the partition function (5) could be calculated in a saddle point approximation. This results in the following form for the magnetization

$$\frac{s\mathrm{\Phi }_0}{A\sqrt{HT}}M(T,H)=\left(N_v^𝒵\right)^1𝒵/x=2\gamma (x),$$
(8)
where $`\gamma (x)`$ is the solution of the saddle point equation $`(\gamma ,x)/\gamma =0`$. For a clean superconductor ($`\widehat{\tau }=0`$) one gets two possible saddle points but only one of them

$$\gamma _0(x)=\frac{1}{2}(\sqrt{x^2+2}x)$$
(9)
can be reached by an allowed deformation of the contour $`\mathrm{\Gamma }`$. Substitution of Eq.(9) into (8) yields the magnetization $`M_0(T,H)`$ of a clean sample (1) obtained in Ref.. Note that $`2\gamma _0(x)`$ serves as the appropriate scaling function. To study the disordered case, we consider separately two regions of the magnetic field.
aaaIn the weak field region $`H<H_\mathrm{\Phi }`$ we, from the onset, take into account the renormalization of the critical temperature caused by defects. As a result, the scaling variable $`x`$ is defined in the same way as for a clean superconductor albeit with renormalized critical temperature $`T_c=T_{c0}\delta T_c,`$ where

$$\delta T_c=<\delta T_c(𝐫)>=2\pi \theta _1n_dL^2T_{c0}$$
(10)
and $`\theta _n<t^n>`$ where here and below $`<..>`$ implies ensemble average. The function $`\tau (𝐫)`$ in this field region, defined as $`\tau (𝐫)=(\delta T_c(𝐫)\delta T_c)AH_{c2}^{}/\sqrt{TH}`$, represents temperature fluctuations caused by short-range defects. They are small and can be accounted for perturbatively. Then, in the thermodynamic limit, the last term on the r.h.s. of Eq.(6) has an explicit self-averaged structure $`N_v^1\text{tr}(\mathrm{})`$ and can be replaced by its average. This procedure modifies the saddle point equation and therefore results in a modified magnetization

$$M(T,H)=M_0(T,H)(1+\epsilon (T)\frac{2\gamma _0(x)}{\sqrt{x^2+2}},),$$
(11)
where

$$\epsilon (T)=\frac{\mathrm{tr}\widehat{\tau }^2}{N_v}=\frac{\theta _2}{p}n_dL^2\frac{(2\pi H_{c2}^{}T_{c0})^2sL^2}{T}.$$
(12)
Note that the parameter $`\epsilon (T)`$ is proportional to the fourth power of the defect radius $`L`$ thus justifying the perturbation approach for short-range defects.
aaaIn the zeroth approximation with respect to $`\epsilon (T)`$ the magnetization (11) has exactly the same form, as for a clean sample (1) thus retaining both the scaling property and the existence of a crossing point. However, due to renormalization of the critical temperature, the crossing temperature $`T^{}=T_0^{}\delta T^{}`$ differs from its value $`T_0^{}`$ in a clean sample: $`\delta T^{}=\delta T_c(1+(2A^2H_{c2}^{})^1)^1.`$ In the next order, scaling is virtually destroyed, since the correction term (within the parenthesis in Eq.(11)) depends not only on the scaling variable $`x`$ but also on temperature. Yet, in a sufficiently narrow region around some temperature $`T`$, the deviation from scaling is negligibly small, but the scaling function itself is modified to be $`2\gamma (x,T)`$. At temperature $`T^{}`$ the magnetization reads

$$M(T^{},H)=M_0(T^{})\left(1+\epsilon (T^{})\frac{2H^{}}{H+H^{}}\right),$$
(13)
where $`H^{}=H_{c2}(T^{})=T^{}/(2A^2).`$ Therefore if the field is weak enough, $`HH^{},`$ then the crossing point is restored, $`T^{}`$ serves as a true crossing temperature and the magnetization at the crossing temperature differs from its unperturbed form $`2\gamma _0(x)`$ merely by a multiplicative constant $`1+2\epsilon (T^{}).`$
aaaWhen the magnetic field increases, the approach used above becomes inapplicable. Firstly, it fails in the vicinity of the matching field where the Abrikosov factor becomes very sensitive to the details of defect configuration. Secondly, higher order terms in the perturbation expansion for the saddle point equation (which are omitted), grow with magnetic field. Fortunately, we have here a new small parameter, that is, the dimensionless concentration $`c`$ of defects. It is then natural to use the concentration expansion. In such a case there is no sense in renormalizing the critical temperature, and the dimensionless temperature $`\tau (𝐫)`$ is now defined as $`\tau (𝐫)=\delta T_c(𝐫)AH_{c2}^{}/\sqrt{TH}.`$
aaaAs mentioned above, the second term in the r.h.s. of Eq.(6) is self-averaging and can be calculated using the limiting form of the density of states $`\rho (\tau )`$ of the matrix (7), which, for short-range defects in linear approximation with respect to $`c`$, reads

$$\rho (\tau )=(1c)\delta (\tau )+\frac{c}{\lambda }p(\frac{\tau }{\lambda }),$$
(14)
where $`\lambda =2\pi L^2T_{c0}AH_{c2}^{}\sqrt{H}(\mathrm{\Phi }_0\sqrt{T})^1`$ and $`p(t)`$ is probability distribution of the dimensionless temperature $`t_j`$. Indeed, the matrix $`\tau _{mn}`$ is nothing but the Hamiltonian of a particle with charge $`2e`$ in a $`2D`$ system subject to a perpendicular magnetic field and containing short-range defects (projected on the LLL). The first and second terms in Eq.(14) correspond, respectively, to those states whose energy is stuck to the LLL (despite the presence of zero-range defects (see e.g.)) and those states whose energies are lifted from the LLL by these defects. For sufficiently narrow distribution $`p(t)`$, the corresponding saddle-point equation leads to the magnetization

$$M=M_0\left(1\frac{c\lambda \theta _1}{(1+2\lambda \theta _1\gamma _0(x))\sqrt{x^2+2}}\right),$$
(15)
were $`M_0(T,H)`$ is given by Eq.(1) with an initial critical temperature $`T_{c0}.`$
aaaRigorously speaking, scaling is destroyed since both the concentration $`c`$ and the shifted eigenvalue $`\theta _1\lambda `$ depend explicitly on $`H`$ and $`T`$. However, at strong field the correction term in Eq.(15) becomes negligibly small. This implies a restoration of the crossing point. Indeed, at temperature $`T_0^{}`$ the magnetization $`M^{}=M(T^{},H)`$ assumes the form

$$M^{}=M_0^{}\left(1\frac{1}{1+\eta }\frac{H_\mathrm{\Phi }}{H+H^{}}\right),$$
(16)
with $`\eta ^1=2\pi L^2H_{c2}^{}T_{c0}\theta _1/\mathrm{\Phi }_0.`$ Therefore in the entire strong field region $`H_\mathrm{\Phi }HH^{}`$ the crossing temperature coincides with its initial value $`T_0^{}`$ and the magnetization in the crossing point practically coincides with its value $`M_0^{}`$ in a clean superconductor.
aaaLet us now discuss the limits of applicability of our results and their relation to the experiment of Ref.. Note that the first two moments $`\theta _{1,2}`$ of the random dimensionless temperature $`t`$ satisfy the inequality $`0\theta _1^2\theta _21.`$ In the pertinent region of fields $`0.2÷5\mathrm{T}`$, a typical defect radius $`L3.5\mathrm{nm}`$ is at least one order of magnitude smaller than the magnetic length, hence the defects can definitely be taken as short-range ones. In the weak field region, the important small parameters are then $`\epsilon (T)`$ (which enters the magnetization (13)) and $`\epsilon (T)/(x+\gamma _0(x))^2`$ (which enters the saddle point equation). Using parameters from the experimental setup $`s=1.5\mathrm{nm}`$, $`k_B\mu _0H_{c2}^{}=1.15\mathrm{TK}^1`$, $`\kappa =100`$, $`n_d=5\times 10^{10}\mathrm{cm}^2`$, $`\mu _0H_\mathrm{\Phi }=1\mathrm{T},`$ $`T=75÷85\mathrm{K},`$ $`T^{}=78.9\mathrm{K},`$ we find from Eq.(12) $`\epsilon (T^{})=0.5\theta _2`$ and $`\epsilon (T^{})/(x^{}+\gamma _0(x^{}))^20.25`$ (the latter figure is obtained for $`\mu _0H=0.2\mathrm{T}`$). For quite plausible value $`\theta _2=0.5`$ one then finds $`\epsilon (T^{})=0.5\theta _2=0.25.`$ The condition of convergence of the integral over the expansion coefficients $`\{C_m\}`$ can be written as $`H>0.25H_\mathrm{\Phi }\theta _1^2/\theta _2`$ and even in the worst case $`\theta _1^2=\theta _2`$ it reads $`\mu _0H0.25\mathrm{T}.`$ Finally, one has $`\mu _0H^{}6.4\mathrm{T}`$ and applicability of the LLL projection requires $`\mu _0H>0.5\mathrm{T}.`$ The weak field region of Ref. corresponds to $`\mu _0H=0.2÷0.02\mathrm{T}.`$ Thus, in the weak field region, the condition for applicability of the LLL projection is slightly violated, but the deviation is not dramatic. In the strong field region we find $`\eta 2.9`$ and therefore the correction term in parenthesis of equation (16) is less than three percents. Hence, in this region our assumptions are fully satisfied.
aaaUsing the same set of parameters we display in figure 1 the quantity $`M/\sqrt{TH}`$ as a function of the scaling variable for weak field (inset) and strong field (main part). We used here the maximal value $`\theta _1=1`$. In the strong field region, the deviation form clean sample scaling behavior is negligibly small for all three values of strong magnetic field.

In the weak field region, the scaling functions for three different fields can hardly be distinguished. This means that scaling is undoubtedly valid in a vicinity of the crossing temperature. At the same time the scaling function differs from its form in a clean sample (1) by a multiplicative constant (see the parenthesis in Eq.(11)). Note that scaling in the weak field region (which was experimentally established) is less pronounced than that in the strong field region. Apparently, the reason is that the experimental data are fitted to account for the clean sample scaling function. Nevertheless if we identify the fitted temperature $`82.6\mathrm{K}`$ (found in Ref. in the weak field region) with the renormalized critical temperature $`T_c=T_{c0}\delta T_c`$, and the fitted critical temperature $`84.2\mathrm{K}`$ in the strong field region with $`T_{c0}`$, then, even within such a rough approximation, we obtain $`\theta _10.5.`$ Recalling that $`\theta _1`$ should be positive and less than unity, the above result strongly supports the applicability of our theory to the pertinent experiment.
aaaIn summary, we calculated the magnetization of an irradiated superconductor below the mean–field transition line $`H_{c2}(T)`$, using the approach developed in Refs.. It was shown that, from a rigorous point of view, disordered short-range defects are expected to destroy the scaling behavior and prevent the existence of crossing point in both regions of weak and strong magnetic fields (with respect to matching field $`H_\mathrm{\Phi }`$). And yet, in the framework of the experimental setup the deviation from scaling behavior appears to be negligibly small and crossing points exist in both field regions, in complete agreement with the experimental findings. The two fitting critical temperatures introduced in Ref. for the strong and weak field regions correspond, in our formalism, to the initial and renormalized critical temperatures.
aaaThe authors would like to thank Z. Tesanović for helpful discussions and P.H. Kes who advised us some parameters of experimental setup of Ref..
aaaThis work was supported by MINERVA Foundation (G.B.), by grants from Israel Academy of Science “Mesoscopic effects in type II superconductors with short-range pinning inhomogeneities” (S.G.), and “Center of Excellence” (Y.A.), and by DIP grant for German-Israel collaboration (Y.A.).


text:
# Pulsational 𝑀_𝑉 versus [𝐹𝑒/𝐻] relation(s) for globular cluster RR Lyrae variables

## 1 Introduction

The intrinsic luminosity of RR Lyrae variables has been for a long time a very popular way to give reasonable estimates of the distance to globular clusters (GCs) both in the Milky Way and in Local Group galaxies (Magellanic Clouds, M31) and, in turn, to constrain the age of these very old stellar systems. However, notwithstanding the large body of work, a general consensus on a precise evaluation of such a luminosity has been not yet achieved. One may notice that a firm knowledge of RR Lyrae luminosities would be of paramount relevance, since it would provide an independent test of the Cepheid distance scale as well as a reliable calibration of several secondary distance indicators (as, e.g., the GC luminosity function or the Red Giant Tip) for external galaxies, thus providing important clues on the value of the Hubble constant $`H_0`$. On these grounds, RR Lyrae variables could represent relevant milestones on the path to set both a lower and an upper limit to the age of the Universe, playing a fundamental role in several astrophysical problems ranging from stellar evolution to cosmological models.

From the observational side, studies dealing with the absolute magnitude $`M_V(RR)`$ of RR Lyraes and with the dependence of these magnitudes on the heavy element content $`[Fe/H]`$ has yielded to the well known debate between the so-named ”short” and ”long” distance scales. As recently reviewed by Cacciari (1999), empirical estimates of $`M_V(RR)`$ for RR Lyrae stars at $`[Fe/H]`$=-1.6 actually range from about 0.4 mag to 0.7 mag, thus leaving an uncertainty of $`\pm `$ 0.2 mag on the derived distance moduli (see also Popowski & Gould 1999).

Different estimates have been also given for the dependence of these magnitudes on the star metallicity. As a matter of the fact, for the often assumed linear relation

$$<M_V(RR)>=a+b[Fe/H]$$

one finds in the literature evaluations of the coefficient $`\mathrm{"}b\mathrm{"}`$ mainly in the range $`b0.18\pm 0.03`$ to $``$0.30, where the former value is based on the Baade-Wesselink method (see, e.g., Fernley et al. 1998b \[Fn98b\]) and the latter value has been early suggested by Sandage (1993 \[Sa93\]) when discussing the period-metallicity relation for field and GC RR Lyrae pulsators. However, an even milder slope has been suggested by Fusi Pecci et al. (1996), who investigated eight globular clusters in M31 to derive, over the range -1.8$`<[Fe/H]<`$-0.4,

$$<M_V(HB)>=(0.13\pm 0.07)[Fe/H]+(0.95\pm 0.09)$$

.

The recent release of HIPPARCOS statistical and trigonometric parallaxes for halo RR Lyraes ($`[Fe/H]`$-1.30) has not clarified the issue: one may indeed recall that Fernley et al. 1998a \[Fn98a\] and Groenewegen & Salaris (1999 \[GS99\]), both assuming the same slope $`b`$=0.18, give a zero-point of $`1.05\pm 0.15`$ mag and 0.77$`\pm 0.26`$ mag, respectively, as derived from an identical sample of variables but using different approaches (statistical parallaxes or reduced parallaxes, respectively). In the meantime, McNamara 1999 \[MN99\] claims that Baade-Wesselink results for variables with $`[Fe/H]>1.5`$ yield a quite different relation as given by

$$<M_V(RR)>=1.06+0.32[Fe/H]$$

On the theoretical side, the literature already contains several sets of horizontal branch (HB) evolutionary models computed for wide ranges of the overall metallicity ($`Z`$ in the range of 0.0001 to 0.02) which provide the ”theoretical route” to the calibration of the $`M_V(RR)`$ versus $`[Fe/H]`$ relation. One finds that almost all the recent theoretical predictions concerning the absolute magnitude $`M_V(ZAHB)`$ of the zero age horizontal branch (ZAHB) sequence at the RR Lyrae instability strip confirm the non-linear dependence of $`M_V(ZAHB)`$ on $`\mathrm{log}Z`$ formerly suggested by Castellani, Chieffi & Pulone (1991 \[CCP\]). However, the scaling of the overall metallicity $`Z`$ to the measured $`[Fe/H]`$ values could be a tricky matter since the classical assumption of solar-scaled chemical mixtures is likely inappropriate to GC stars. There is indeed a growing observational evidence for a significant enhancement of $`\alpha `$-elements with respect to iron ($`[\alpha /Fe]0.3`$) in GC and field metal-poor stars (see Carney et al. 1997, Gratton et al. 1997). Moreover, one has to bear in mind that observed RR Lyrae samples do contain stars evolved off their original ZAHB position. Thus, realistic predictions on the average magnitude $`<M_V(RR)>`$ require the evaluation of the evolutionary effects, possibly through synthetic HB simulations (SHB).

The wide grids of SHBs so far published (e.g., Lee, Demarque & Zinn 1990, Lee 1991, Bencivenni et al. 1991, Caputo et al. 1993) have already shown that the predicted mean magnitude of RR Lyrae stars $`<M_V(RR)>`$ significantly depends, with everything else being constant, on the HB morphology. Simulations based on slightly modified CCP models yielded Caputo (1997) to suggest

$$<M_V(RR)>=1.19+0.19\mathrm{log}Z$$

for RR Lyrae-rich metal-poor GCs with $`\mathrm{log}Z3.0`$, whereas for larger metallicities the theory gives

$$<M_V(RR)>=1.57+0.32\mathrm{log}Z$$

Similar results have been more recently found by Demarque et al. (1999), who definitively reject the existence of a unique linear relation covering the metallicities spanned by GCs, confirming that the slope of the predicted $`M_V(RR)\mathrm{log}Z`$ relation depends on the metallicity range and that the HB morphology of each cluster must be taken in the due account when using RR Lyrae stars as distance indicators.

On these grounds, one is tempted to conclude that theoretical and observational investigations do show a sort of consistency: the former give warnings against a ”universal” linear $`M_V(RR)[Fe/H]`$ relation, the latter fail to reach an agreement on both its slope and zero-point!

Within such a confusing scenario, one has to mark the seminal attempts made by Sandage (Sa93 and references therein) to use RR Lyrae periods to constrain the luminosity of these stars. This appears a quite relevant approach, since periods are firm and safe observational parameters, independent of distance and reddening. To discuss Sandage’s philosophy, one has to recall that since the pioneering work by Christy (1966) and Stellingwerf (1975, 1984) pulsating models have suggested the existence within the instability strip of a region where both fundamental ($`RR_{ab}`$) and first overtone ($`RR_c`$) modes are stable (see Bono & Stellingwerf 1994, Bono et al. 1997a, Bono et al. 1997c). The boundaries of this ”either-or” region, namely the fundamental blue edge (FBE) at the higher temperature side and the first overtone red edge (FORE) at the lower temperature side, encompass for each given luminosity the range of temperatures (or colours) where the mode-shift (i.e. the transition from $`RR_{ab}`$ to $`RR_c`$) may occur. Assuming that for both Oosterhoff type I (OoI) and Oosterhoff type II (OoII) globular clusters this transition occurs at the blue edge for fundamental pulsation and using periods and $`BV`$ colours of the shortest period $`RR_{ab}`$ in clusters and in the field, Sa93 derives the star luminosity from the well established period-mass-luminosity-temperature relation. In this way he obtains the relation

$$M_V(RR)=0.94+0.30[Fe/H]$$

which accounts for the Oosterhoff dichotomy in Galactic globular clusters as mainly due to a luminosity effect. However, a re-analysis by Fernley (1993 \[Fn93\]), using $`VK`$ colours and a limited sample of clusters with low and well-known reddening, yields

$$M_V(RR)=0.84+0.19[Fe/H]$$

More recently the assumption of a unique $`RR_{ab}/RR_c`$ transition line has been questioned by Bono, Caputo & Marconi (1995), who concluded that the Oosterhoff dichotomy is largely the result of different transition lines in OoI (near FBE) and OoII (near FORE) clusters, as early suggested by van Albada and Baker (1973). However, the pulsation theory predicts the limits of the whole instability strip, as given by the first overtone blue edge (FOBE) and the fundamental red edge (FRE), without any ambiguity about the actual pulsation mode. On this basis, Caputo (1997) used a preliminary set of pulsating models to show that theoretical predictions on the pulsator distribution in the period-absolute magnitude $`M_V\mathrm{log}P`$ plane can constrain the distance to RR Lyrae-rich globular clusters.

In recent times, the RR Lyrae pulsating models have been updated and extended to wide ranges of mass and chemical composition, shedding light on the dependence of the instability strip on the metal content. In this paper we will take advantage of these improvements to reconsider the Caputo (1997) analysis. The updated $`M_V\mathrm{log}P`$ relations at FOBE and FRE are discussed in the following Sect. 2, while Sect. 3 presents the comparison with observation and the derived ”pulsational” distance moduli for a selected sample of well-studied GCs. The resulting dependence of our $`<M_V(RR)>`$ values on the cluster metallicity is discussed in Sec. 4 in comparison with both empirical relations and recent theoretical HB models. Some concluding remarks will close the paper.

## 2 The predicted $`M_V\mathrm{log}P`$ diagram

The non-linear convective hydrodinamical code used for pulsating models has been already presented in a series of papers (Bono & Stellingwerf 1994, Bono, Caputo & Marconi 1995, Bono et al. 1997c) and it will be not further discussed. With respect to previous computations, the new models differ in the adopted opacity tables, using the most updated compilations by Iglesias & Rogers (1996) and extending in such a way the preliminary results presented in Caputo et al. (1999) for $`Z`$=0.001 and $`M=0.65M_{}`$.

Table 1 presents temperatures, absolute magnitudes and periods of stars at FOBE or FRE, for selected choices on $`Z`$ and suitable values of the star mass ($`M`$), luminosity ($`L`$) and helium abundance ($`Y`$). Absolute magnitudes are derived using the bolometric corrections provided by Castelli, Gratton & Kurucz (1997a,b). The adopted $`Y`$-values reasonably account for the extra helium brought to the stellar surface by the first dredge-up as well as for a galactic enrichment as given by $`\mathrm{\Delta }Y/\mathrm{\Delta }Z2.5`$. As discussed in Caputo, Marconi & Santolamazza (1998), mild variations of $`Y`$, as due also to uncertainties in the efficiency of element sedimentation (see Cassisi et al. 1998, 1999 \[Cs99\]), have negligible effects on the temperature of the instability edges and, in turn, on the related pulsational periods. Stellar masses and luminosities have been chosen in such a way to reasonably encompass available expectations about these evolutionary parameters for GC RR Lyrae pulsators.

It should be noted that, for each given set of entry parameters, the computations have been performed by steps of 100 K and that we adopt as limits of the instability region the average effective temperature between the last pulsating model and the first non pulsating one. It follows that the intrinsic uncertainty of the FOBE and FRE temperatures in Table 1 is $`\pm `$ 50 K, which in terms of period means $`\delta \mathrm{log}P\pm `$0.01 (see Caputo et al. 1998). From the data in Table 1 one derives analytical expressions connecting the absolute V-magnitude at the instability edges with the pulsator period, mass and metallicity, as given by

$`M_V(FOBE)=`$ $`0.6852.255\mathrm{log}P(FOBE)+`$ (1)
$`1.259\mathrm{log}M/M_{}+0.058\mathrm{log}Z`$
$`M_V(FRE)=`$ $`+0.5522.018\mathrm{log}P(FRE)+`$ (2)
$`1.348\mathrm{log}M/M_{}+0.108\mathrm{log}Z,`$
with a rms scatter $`\sigma _V`$=0.027 mag.

However, a further source of uncertainty on the predicted pulsation edges is given by the efficiency of convection in the external layers. The lack of a rigorous treatment of superadiabatic convection is indeed a well known fault in the whole stellar evolution theory and almost all the evolutionary sequences are calculated within the so-called ”mixing-length” scenario which involves an adjustable parameter $`l/H_p`$, the ratio of the mixing-length to the pressure scale height. Our pulsating models are consistent with this scenario and, in order to close the system of convective and dynamic equations, adopt $`l/H_p=1.5`$, in reasonable agreement with the values generally used for evolutionary computations. Since the effect of convection is to quench pulsation, variations of $`l/H_p`$ lead to variations in the effective temperature of the boundaries for instability, with the amount of this effect decreasing from the red to the blue edge.

To have light on such an uncertainty, we performed suitable numerical experiments, finding that decreasing $`l/H_p`$ down to 1.1 (i.e. decreasing the efficiency of convection and thus increasing the local temperature gradients) the FOBE periods decrease by $`\delta \mathrm{log}P0.029`$, while with $`l/H_p`$=2.0 these periods increase by $`\delta \mathrm{log}P0.017`$. On this ground one can estimate that mixing-length values in the range $`l/H_p=1.31.8`$, as widely adopted in the relevant literature, yield an additional uncertainty on FOBE periods by $`\delta \mathrm{log}P\pm 0.01`$. Since at the red side of the instability strip the mixing-length affects much more significantly the predicted periods, in the following we will rely on theoretical predictions concerning FOBE only, temptatively putting the red edge of the pulsation region at $`\mathrm{\Delta }\mathrm{log}P=0.45`$ with respect to FOBE.

As a relevant point, when constraining the luminosities of ZAHB pulsators in the range covered by current evolutionary predictions for various metallicities and for ages in the range from 8 to 18 Gyr, one finds that data in Table 1 predict FOBE effective temperatures very close to $`\mathrm{log}T_e=3.85`$, without significant variation with the metal content. This constant value is due to the balancing effects of metallicity on the FOBE temperature (which decreases if increasing only the luminosity) and ZAHB luminosity: when decreasing $`Z`$ only, the FOBE would become hotter, but the contemporary increase of the ZAHB luminosity eventually leaves unchanged the effective temperature. More in general, we can use such an evidence to safely take from evolutionary theories the predicted masses for HB pulsators at the blue side of the instability strip. Luckily enough, at variance with luminosities, the evolutionary masses have passed substantially unchanged the many improvements affecting HB models in the last years, thus representing a rather firm and trustworthy prediction. As a relevant point, one finds that such evolutionary prediction appears in close agreement with independent mass estimates from the period ratios of double-mode RR Lyrae pulsators (see Cox 1991, Bono et al. 1996).

Thus, by inserting into eq. (1) the predicted mass of the ZAHB model at $`\mathrm{log}T_e=3.85`$ as presented in Table 2 (from Bono et al. 1997b), one finally gets the period-luminosity-metallicity relation for evolutionary FOBE pulsators, as given by

$`M_V(FOBE)=`$ $`0.1782.255\mathrm{log}P(FOBE)+`$ (3)
$`+0.151\mathrm{log}Z,`$
with a total intrinsic dispersion (including the above uncertainty of $`\pm `$50 K, the mixing-length effects and mass variations by 5% the values in Table 2) of $`\sigma _V=0.065`$ mag.

Here one should note that the mass of HB models does depend on the abundance of $`\alpha `$-elements. However, one can benefit by the principle of correspondence for which the evolutionary behaviour of HB stars (and the predicted pulsator masses) depends on the overall metallicity $`Z`$, independently of the internal ratio between $`\alpha `$\- and heavy elements (see, e.g., Bencivenni et al. 1991, Salaris, Chieffi & Straniero 1993). In other words, the comparison between the predicted period-luminosity-metallicity relation given in eq. (3) and the GC RR Lyrae distribution in the observed $`V\mathrm{log}P`$ plane only requires that the scaling between the measured $`[Fe/H]`$ and the overall metallicity $`Z`$ is properly evaluated as

$$\mathrm{log}Z=[Fe/H]1.61+\mathrm{log}(0.638f+0.362),$$
(4)
where $`f`$ is the $`\alpha `$-enhancement factor with respect to iron (Salaris et al. 1993).

## 3 The observed $`V\mathrm{log}P`$ diagram

Since our analysis will be focused on the predicted FOBE, we selected well-studied clusters with statistically significant numbers of $`RR_c`$ stars. The sample of the used GCs is presented in Table 3, which gives for each cluster the adopted iron content $`[Fe/H]`$ (from Carretta & Gratton (1997) or from Zinn & West (1984) and Rutledge, Hesser & Stetson (1997) values transformed into the Carretta & Gratton metallicity scale), HB type (Harris 1996) and mean visual magnitude $`<V_{RR}>`$ of RR Lyrae stars.

For each assumption about the globular cluster distance modulus one obtains the distribution of the cluster RR Lyraes in the $`M_V\mathrm{log}P`$ plane. We derive a “pulsational” evaluation of the cluster distance modulus by constraining the observed $`RR_c`$ distribution to match the predicted blue limit of the pulsation region in order to have no variables in the hot stable region. Figure 1 shows the result of such a procedure, by assuming for the cluster sample a solar-scaled chemical composition, i.e. $`f`$=1 in eq. (4). As already stated, our analysis is focused on $`RR_c`$ stars and the right edge of the instability strip has been simply placed at $`\mathrm{\Delta }\mathrm{log}P=0.45`$ with respect to the left edge. However, it seems worthy of notice the fair agreement found also between the predicted FRE and the $`RR_{ab}`$ distribution.

The derived GC apparent distance moduli $`DM_V`$ are summarised in Table 4, together with the resulting mean absolute magnitude $`<M_V(RR)>`$ of RR Lyrae stars. The total errors on $`<M_V(RR)>`$ listed in Table 4 account for the observed dispersion $`\sigma _{<V(RR>}`$ (see Table 3) and the predicted total uncertainty ($`\pm `$0.07 mag) of the FOBE period-luminosity-metallicity relation. The last column gives the weight $`W`$ to our $`<M_V(RR)>`$ estimates, as simply derived from the number of $`RR_c`$ stars matching the predicted FOBE.

Note that the results in Table 2 refer to solar-scaled chemical compositions. If the chemical mixtures are $`\alpha `$-enhanced, then for each cluster the nominal metallicity Z increases \[see eq. (4)\] and the derived distance modulus decreases \[see eq. (3)\]. As a matter of example, with $`f`$=3 all the distance moduli in Table 4 have to be decreased by 0.05 mag, with a consequent increase of $`<M_V(RR)>`$.

## 4 The $`<M_V(RR)>`$ versus metallicity relation(s)

The final correlation between our $`<M_V(RR)>`$ and the cluster metallicity $`[Fe/H]`$ is presented in Fig. 2 for the two cases $`f`$=1 and $`f`$=3, assuming for each $`[Fe/H]`$ an error of $`\pm `$ 0.15 dex. The same figure shows the already quoted observational calibrations based on RR Lyrae periods (Sa93, Fn93), HIPPARCOS data for field RR Lyraes (Fn98a) and the Baade-Wesselink method (Fn98b). We add the result by Carretta et al. (1999 \[Cr99\]), as based on HIPPARCOS parallaxes for field subdwarfs and Main-Sequence fitting procedure, while the GS99 relation, which is only 0.03 mag fainter than Cr99, is not presented for the sake of clearness.

Inspection of Fig. 2 reveals that there is a general agreement between pulsational and other empirical calibrations, except the Fn98a relation which definitively suggests too faint magnitudes. If $`f`$=1, then also the Fn98b relation appears fainter with respect to our results. However, one derives that none of the empirical linear calibrations is able to fully match our pulsational results over the whole range of metal content. The lack of a full agreement is largely due to the fact that our data foresee a non linear relation between $`<M_V(RR)>`$ and metallicity, in agreement with stellar evolution theoretical predictions. We show in Table 5 that a bare linear best fit to the data in Table 4, starting from the four metal-poorest clusters with $`[Fe/H]`$-2.0 (NGC 4590, NGC 5053, NGC 5466, NGC 7078) and regularly increasing the metallicity range, yields a $`M_V(RR)[Fe/H]`$ relation which becomes steeper and steeper when moving towards metal-rich clusters, suggesting a change in slope at $`[Fe/H]`$-1.5. It seems worthy of notice that this result agrees with the recent analysis of RR Lyrae variables in the field (MN99) and the globular cluster $`\omega `$ Centauri (Rey et al. 2000).

On this ground, the least squares solutions performed through our weighted $`<M_V(RR)>`$ values with $`[Fe/H]<`$-1.5 and $`[Fe/H]>`$-1.5 yield

$`<M_V(RR)>=`$ $`0.71(\pm 0.10)+(0.17\pm 0.04)[Fe/H]+`$ (5)
$`+0.03f`$
and

$`<M_V(RR)>=`$ $`0.92(\pm 0.12)+(0.27\pm 0.06)[Fe/H]+`$ (6)
$`+0.03f,`$
respectively, in agreement with the empirical calibrations by Fn93, GS99 and Cr99 (metal-poor clusters) and MN99 (metal-rich clusters).

As shown in Fig. 3, where OoI and OoII clusters are depicted with different symbols, around $`[Fe/H]`$-1.5 the Oosterhoff dichotomy shows off, leading us to guess that the two above $`<M_V(RR)>[Fe/H]`$ relations hold for the two Oosterhoff groups. More interestingly, the same figure suggests that OoII clusters have brighter RR Lyraes than OoI clusters with similar metal content, an evidence which coupled with their blue HB morphology (see HB types in Table 4) confirms that the RR Lyrae evolutionary stage is more important than metallicity in triggering the Oosterhoff dichotomy, as early suggested by Lee, Demarque & Zinn (1990) and recently supported by independent investigations (Lee & Carney 1999, Clement & Shelton 1999).

Figure 4 finally presents the pulsational $`<M_V(RR)>`$ results as a function of log$`Z`$, as derived through eq. (4), together with selected theoretical predictions based on stellar evolution theory. The lines drawn in the figure refer to recent $`M_V(ZAHB)\mathrm{log}Z`$ calibrations as given by Cassisi & Salaris (1997 \[CS\]), Cs99, Caloi, D’Antona & Mazzitelli (1997 \[CDM\]) and Ferraro et al. (1999 \[Fr99\]), with the predicted ZAHB magnitude decreased by 0.1 mag to account for the luminosity excess of actual RR Lyrae stars over the ZAHB level.

Inspection of the figure reveals that none of the theoretical predictions fully agrees with our pulsational results with $`f`$=1, as the luminosities provided by Cs99 and CDM are systematically too bright, while those by CS and Fr99 match our results only with log$`Z<`$-3.0. If $`f`$=3, then the CS and Fr99 calibrations appear the most consistent with our data, but with a tendency to overestimate the luminosity of the most metal-rich variables. It seems worth noticing that the Cs99 relation is well reproducing all our data with $`f`$=3, but with an overluminosity of about 0.08 mag.

## 5 Concluding remarks

In this paper we have used results from the most recent and updated computations of non-linear convective pulsating models to constrain the distance modulus of Galactic globular clusters through the observed periods of $`RR_c`$ pulsators. The resulting $`<M_V(RR)>[Fe/H]`$ relation appears in the range of several empirical linear calibrations, but with evidence for a non linearity which suggests that the slope of the relation increases when moving towards the metal-richer variables. On observational grounds, a similar behavior seems present among RR Lyrae stars in $`\omega `$ Centauri (Rey et al. 2000). Moreover, we notice that over the range of metal-poor stars ($`[Fe/H]<`$-1.5) our pulsational calibration is in good agreement with the relations given by Fernley (1993), Groenewegen & Salaris (1999) and Carretta et al. (1999), while with $`[Fe/H]>`$-1.5 it agrees with MacNamara (1999) results.

Application of our results to RR Lyrae stars of the metal-poor globular clusters in the Large Magellanic Cloud (see data in GS) would give a distance modulus of 18.61$`\pm `$0.12 mag ($`f`$=1) and 18.56$`\pm `$0.12 mag ($`f`$=3), thus supporting the “long” distance scale (see also Romaniello et al. 1999).

By relying on the present pulsational RR Lyrae absolute magnitudes, one derives that the non linearity of our $`<M_V(RR)>[Fe/H]`$ relation is well reproduced by current predictions based on stellar evolution theory. However, in the case of solar-scaled chemical compositions, none of the evolutionary predictions published in the recent literature appears in satisfactory agreement, supporting observational evidence for $`\alpha `$-enhanced chemical mixtures in metal-poor stars. With the $`\alpha `$-elements enhanced by a factor of 3 with respect to iron, the predictions by CS and Fr99 agree with our pulsational magnitudes even though with a tendency of overestimating the luminosity of metal-rich pulsators. Interesting enough, one finds that the Cs99 relation is well reproducing the general dependence of $`M_V(RR)`$ on log$`Z`$, but with an overluminosity of about 0.08 mag. Holding CS99 results, a beautiful agreement with our data would be achieved by sistematically increasing the cluster metallicity by $``$ 0.2 dex, an occurrence hardly to be accepted.

To further discuss this point, one has to remind that differences in stellar models are mainly, if not only, the result of differences in the adopted input physics. Discussing RR Lyrae stars in the globular cluster M5 (Caputo et al. 1999) we have already reported pulsational evidence suggesting that models with the ”most updated” input physics (as in Cs99) give too luminous HB stars. Such an evidence has been further supported by independent estimates based on HIPPARCOS parallaxes for clumping field He burning stars (Castellani et al. 1999). Data in the previous Fig. 4 reinforce such an evidence, suggesting that the ”most updated physics” is probably far from being the most adequate one. As a whole, we remain with the tantalising evidence that Cs99 models give the rightest metal dependence but not right luminosities, whereas those by Fr99 and CS give much better luminosities but slightly worst slope.

The role played by the various physical ingredients in determining the predicted luminosity of HB structures has been recently discussed in several papers (see Cassisi et al. 1999, Castellani and Degl’Innocenti 1999, Castellani 1999) and cannot be repeated here. However, one may notice that the most recent theoretical predictions displayed in Fig. 4 all agree within a range of luminosity of about $`\pm `$ 0.05 mag. This in our feelings should be regarded as an evidence of the high standard reached by evolutionary theories, as well as a warning that better precision should require a corresponding level of accuracy in the input physics not yet reached by currently available evaluations.

Acknowledgment:

It is a pleasure thank the referee, B. Carney, for his valuable report. We deeply thank B. Carney and M. Corwin for providing us with data on NGC 5466 before publication. Thanks are also due to Santi Cassisi for several warm discussions with one of us (F.C.) during an icy week in Teramo. Financial support for this work was provided by the italian Ministero dell’Università e della Ricerca Scientifica e Tecnologica (MURST) under the scientific project “Stellar Evolution”.


text:
# High resolution HST STIS spectra of C I and CO in the 𝛽 Pictoris (catalog HD39060) circumstellar disk

## 1 Introduction

$`\beta `$ Pictoris is the most extensively studied of the young planetary systems discovered in the last decade and a half. It is a bright Southern hemisphere star (type A5 V), located about 19.3 pc distant from the Sun, with a systemic radial velocity of 20 km s-1 (for a review of the $`\beta `$ Pictoris system, see Vidal-Madjar, Lecavelier des Etangs, & Ferlet (1998)). It was observed in 1983 by the IRAS satellite to have a large excess of emission at infrared wavelengths. This was referred to as the Vega-like phenomenon and was identified as arising from an edge-on circumstellar (hereafter CS) dust disk, presumed to be associated with planetary formation (Smith & Terrile, 1984). It was soon determined through absorption spectroscopy that there was CS gas associated with the dust as well.

A large body of evidence has accumulated indicating that there are comet-like bodies present in the $`\beta `$ Pictoris CS disk. Collisions between dust particles are expected to produce submicron fragments which should be expelled from the system by radiation pressure on time scales much shorter than any plausible stellar age. Thus there must be a secondary source of particles; one model for the production of dust and gas in the CS disk focusses on evaporating comets and is called the Orbiting Evaporating Bodies model (OEB). In this picture, the comets orbit the star at several tens of AU, and thus, the $`\beta `$ Pictoris CS disk is a kind of “gigantic multi-cometary tail with its natural constituents: gas and dust” (Lecavelier des Etangs, Vidal-Madjar, & Ferlet, 1996). Spectra of $`\beta `$ Pictoris show variable redshifted absorption features arising from gas infalling toward the star at high velocities (and infrequently, blueshifted features as well); these features are best attributed to the evaporation of star-grazing comets, called the Falling Evaporating Bodies scenario (FEB) (Beust et al., 1990). Also, gas at close to 20 km s-1 (zero radial velocity relative to the star) is identified in all observations and is called the stable gas component. This gas is difficult to understand, as modeling indicates that it should be expelled from the system by radiation pressure; a continuous source for this gas is required.

Neutral carbon and carbon monoxide have been observed in HST-GHRS UV absorption spectra of $`\beta `$ Pictoris; carbon monoxide is the only molecule detected in the CS disk to date (Vidal-Madjar et al., 1994; Jolly et al., 1998). Since CO and C I can be dissociated and ionized by interstellar UV photons on time scales of the order of 200 years, both must be continuously replenished. Carbon monoxide, in particular, is difficult to reform after dissociation in the $`\beta `$ Pictoris environment. Thus, the presence of these species indicates that a secondary source for this gas should exist, just as for the CS dust (Vidal-Madjar et al., 1994). Jolly et al. (1998) found the column densities of C I and CO to be comparable, around $`10^{15}`$ cm-2; since their rates of destruction are also comparable, this was taken as evidence that the C I is produced by photodissociation of CO, which evaporates from comets orbiting at various distances and velocities. However, the C I column density was determined from a heavily saturated multiplet and is therefore quite uncertain. In the hopes of further constraining the characteristics of C I and CO in the $`\beta `$ Pictoris system, we have reinvestigated the transitions observed in the GHRS data, as well as some that were not seen due to the relatively low spectral resolution of GHRS compared with that of the STIS high resolution echelle.

## 2 Observations

HST STIS high resolution echelle spectra of $`\beta `$ Pictoris were obtained on 1997 December 6 and 1997 December 19, covering the wavelength range from 1459 Å to 2888 Å in six exposures each day. Table 1 shows the log of observations. All the absorption features discussed in this paper appear in either the first or second data set listed for each day (o4g001010/o4g002010 or o4g001020/o4g002020).The data were initially reduced and calibrated using the STScI IRAF package *calstis v1.8*. Spectra with a signal-to-noise ratio of around 10 were achieved. Examination of the errors in the flux values showed that the error propagation calculation had not been performed correctly and that thestated errors were too small. Therefore the data were re-calibrated using *calstis v1.9a*, correcting the underestimate of the measurement errors.

The particular advantage of this data set over previous comparable ones is the very high spectral resolution achieved. The instrumental line spread function using the E140H grating is well described by a Gaussian with a FWHM of 1 pixel, corresponding to FWHM = $`\lambda `$/220,000 (Sahu et al., 1999). However, since the detector undersamples the line spread function, the effective resolution to separate two adjacent lines with this grating is only $`R`$ = 110,000. Using the E230H grating, the FWHM is about 2 pixels, corresponding to FWHM = $`\lambda `$/110,000 (Sahu et al., 1999).

## 3 Analysis

### 3.1 C I\] $`\lambda `$1613 line

This previously undetected spin-forbidden transition $`(^3`$P$`{}_{0}{}^{}_{}^{1}`$P$`{}_{1}{}^{})`$ at 1613.376 Å was clearly observed on both days. It is unsaturated, which allows for an improved determination of the column density of C I. As there was no change in the line between the two days of observation, the spectra were averaged together to improve the S/N; the result is shown in Figure 1. Unfortunately, the other two fine structure lines in the multiplet were not reliably detected. Atomic data were taken from Morton (1991) and the continuum around the line was fit with a sixth-degree polynomial. Voigt line profiles were used to generate transmission functions, which were then convolved with a Gaussian instrumental line spread function with FWHM = $`\lambda `$/220,000 to create model spectra. The $`\chi ^2`$ statistic between the model and the data was then minimized to determine the best velocity centroid, $`v`$, column density of C I in the ground level, $`N(^3\mathrm{P}_0)`$, and Doppler broadening parameter, $`b`$; error bars for these parameters were determined from the contours of $`\chi ^2`$. Since the line was unsaturated, the column density was also determined from the equivalent width of the line and $`b`$ and $`v`$ were determined from a simple Gaussian fit to the line, as a check on the results of the $`\chi ^2`$ minimization.

### 3.2 C I(3P) $`\lambda \lambda `$1561 and 1657 multiplets

The central portion of the 1561 Å and 1657 Å multiplets, arising from the 3P ground term, were heavily saturated in the STIS data. However, this allowed us to examine the smaller variable red and blueshifted features in the spectra which are the signatures of infalling comets in the CS disk. In Figures 2 and 3, one can easily see absorption lying at higher redshift in the December 6 data that is not visible in the December 19 data. A model of the multiplet which contains only one velocity component is unable to reproduce the absorption dip at 1561.5 Å or the absorption at higher redshift in the December 6 data.

Due to the fact that the multiplets were extremely saturated and that the multiple velocity components were blended together, we were not able to perform $`\chi ^2`$ minimizations to find unique best values for the model parameters. Fe II absorption features in our data set were analyzed and the velocities of their multiple velocity components found. Models of the C I $`\lambda `$1561 multiplet were constructed, containing the same number of components as were found in the Fe II features, with roughly the same velocities. The parameters of the stable component at $`v`$ = 20 km s-1 were set to those determined from the analysis of the unsaturated 1613.376 Å line. The remaining parameters were then adjusted to find the best model by eye. This model was compared to the 1657 Å multiplet to confirm that the values found in this way were reasonable. A small constant value ($`2\times 10^{13}`$ erg s-1 cm-2 Å-1) was subtracted from the 1657 Å data to bring the baselines of the totally saturated features to zero.

### 3.3 C I(1D) $`\lambda \lambda `$1931 and 1463 lines

These lines arise from the excited, metastable 1D state of the ground configuration and have not previously been observed in spectra of $`\beta `$ Pictoris. The 1D level has a lifetime of about 4000 s, lying about 10,000 cm-1 above the ground level; C atoms in this state may be produced during the photodissociation of CO in solar system comet comae (Tozzi, Feldman, & Festou, 1998). The 1931 Å lines were analyzed using the same model generating and $`\chi ^2`$ minimization procedures described in § 3.1; the atomic data used were from Hibbert et al. (1993). Although there may be some reason to suspect that the strong central absorption features near 1931.05 Å contain multiple velocity components, since this behavior is seen in lines arising from excited levels of other atomic species, the $`\chi ^2`$ minimizations indicated that stable unique solutions containing more than one component in the central absorption features could not be found. Thus, best models were found using only one velocity component. However, the difficulty involved in modeling a saturated, blended line is such that there may well be other undetected components present, so models with two components in the central absorption feature were compared to the data by eye. The 1463 Å spectra, shown in Figure 5, were so noisy that they served only to roughly confirm the values found from the 1931 Å line. A small constant flux value ($`1\times 10^{13}`$ erg s-1 cm-2 Å-1) was subtracted from the 1463 Å data to bring the baselines of the saturated lines to zero.

### 3.4 CO Fourth Positive band system

The (0-0), (1-0), and (2-0) bands of the Fourth Positive system of CO ($`A^1\mathrm{\Pi }X^1\mathrm{\Sigma }^+`$) did not vary between the two days of observation. The spectra were therefore averaged together to improve the S/N; the result appears in Figure 6. Only a single velocity component was observed. Note the detection of bands arising from 13CO, the perturbation band $`e^3\mathrm{\Sigma }^{}X^1\mathrm{\Sigma }^+`$ (1-0), not previously observed in spectra of $`\beta `$ Pictoris, and the strong perturbation band $`d^3\mathrm{\Delta }X^1\mathrm{\Sigma }^+`$ (5-0).

Models were generated using wavelengths and oscillator strengths from Morton & Noreau (1994). Energies of the ground state levels were calculated using the Dunham coefficients from Farrenq et al. (1991) and LTE assumed in order to determine the population of the rotational levels. The parameters of the model are the rotational excitation temperature, $`T`$, the Doppler broadening parameter, $`b`$, the column density of 12CO in the ground vibrational state, $`N(^{12}\mathrm{CO})`$, the column density of 13CO in the ground vibrational state, $`N(^{13}\mathrm{CO})`$, and the velocity centroid, $`v`$. $`\chi ^2`$ minimization was then performed on all three bands simultaneously.

## 4 Results

### 4.1 C I(3P) stable component

The C I\] $`\lambda `$1613.376 line showed only one velocity component at 20 km s-1, the systemic velocity of the star; the nominal uncertainty in the absolute wavelength calibration of STIS leads to an error in velocity determinations of about 1 km s-1 (Sahu et al., 1999). This velocity and the fact that the line did not change between the two days of observation identifies the line as arising from stable gas. The results of the $`\chi ^2`$ minimizations for all the features analyzed appear in Table 2. The column density for stable carbon in the ground level, 3P0, determined from $`\chi ^2`$ minimization was found to agree with that determined from the equivalent width of the line. Similarly the $`v`$ and $`b`$ determined from $`\chi ^2`$ minimization agreed with the values found from fitting a simple Gaussian to the unsaturated line.

Using a 3-$`\sigma `$ upper limit on the column density of C I in the 3P2 level (from the non-detection of the fine structure line at 1614.5068 Å) and assuming LTE, a firm upper limit of 100 K on the excitation temperature of 3P carbon in the stable component was found. From analysis of the 1561 Å multiplet, discussed below, it was found that the excitation temperature of the stable component must be greater than about 50 K, or the multiplet could not be reasonably modeled. This range in temperature allows us to determine that the total column density of stable C I in the 3P ground term is $`(24)\times 10^{16}`$ cm-2.

This column density is more than an order of magnitude larger than the total 3P column density found by Jolly et al. (1998) from GHRS data taken in November 1994, $`N(^3\mathrm{P})`$$`=2\times 10^{15}`$ cm-2. Either the abundance of stable C I has varied over the three years between observations or, as is more likely, the difficult modeling of the heavily saturated C I $`\lambda `$1561 multiplet in the GHRS data led to an inaccurate column density. Models with column densities of $`10^{16}`$ cm-2 in the stable component were compared to the 1994 GHRS spectrum of the 1561 Å multiplet and found to fit the data equally well as models with the lower column density. We found the Doppler broadening parameter of the stable C I(3P) to be $`1.3\pm 0.5\mathrm{km}\mathrm{s}^1`$. The previous work on the GHRS data found a Doppler broadening parameter of 4.2 km s-1, which was much greater than the parameter found for the other atomic species and CO (Jolly et al., 1998). Our smaller $`b`$ value is equal to that found for CO in our data; we thus do not see any excess kinetic energy in the motions of the C I atoms.

### 4.2 C I(3P) multiple velocity components

The difficulty in modeling a saturated, blended multiplet is formidable, and the values determined for the multiple velocity components of C I(3P) from the 1561 Å multiplet are not reliable. However, this analysis did confirm that models with column densities of $`10^{16}`$ cm-2 in the stable component could reasonably fit the 1561 Å spectra. We can also conclude that the total column density of C I(3P) in the variable components is about $`10^{14}`$ cm-2 on December 6 and about $`10^{15}`$ cm-2 on December 19, to within an order of magnitude or so. It is also clear that the variable C I features are generally better fit with higher excitation temperatures and larger $`b`$ parameters, but these values are very poorly determined.

### 4.3 C I(1D)

Using models with only one velocity component in the strong central absorption features, two components arising from the excited 1D level of C I were found in the December 6 data, only one in the December 19 data. The best models are overplotted on the spectra in Figures 4 and 5. Note that the central absorption features do not appear at the same velocity on the two days, that they also do not appear at the systemic velocity of the star, and that the column density of C I(1D) changes significantly between the two days of observation. This would seem to indicate that there is no stable component for C I(1D). Models with two velocity components in the central absorption feature, which were compared to the data by eye, indicate that there could be a “stable” component which has the same column density on both days. However, it must be at about 22-23 km s-1, which is significantly different from the systemic velocity of $`\beta `$ Pictoris. These data are not able to conclusively determine the velocity structure present in the C I(1D) gas; observation of unsaturated lines at similarly high resolution will be necessary.

### 4.4 CO

The CO bands showed no multiple velocity component structure and no change between the two days of observation; the absorbing gas is thus entirely associated with the stable component at the systemic velocity of the star. The best model is shown overplotted on the data in Figure 6. The rotational excitation temperature and the ratio of $`N(^{12}\mathrm{CO})`$ to $`N(^{13}\mathrm{CO})`$ show no significant change from the values found by Jolly et al. (1998). $`R(^{12}\mathrm{CO}/^{13}\mathrm{CO})`$ = $`15\pm 2`$ is quite small compared to typical values found in the ISM, e.g. $`R`$ = $`150\pm 27`$ for the diffuse clouds toward $`\zeta `$ Ophiuchi (Sheffer et al., 1992). However, chemical fractionation at low kinetic temperatures can explain this unusual ratio, as discussed below. The column densities of both 12CO and 13CO were found to be about 1/3 the values found from the GHRS data. Note that the column density of 12CO is about 50 times smaller than the column density of stable C I(3P).

## 5 Discussion

Although CO in solar system comet comae is photodissociated by solar FUV photons, the CO in the $`\beta `$ Pictoris CS disk is primarily destroyed by interstellar photons. The dissociation energy for CO is 11.1 eV; thus CO may only be dissociated by photons with wavelengths shortward of $``$ 1100 Å. The type A5 star $`\beta `$ Pictoris lacks the strong FUV emission lines created in the Sun’s chromosphere; thus it emits very little flux in the FUV. The only source for CO-dissociating photons at $`\beta `$ Pictoris is therefore the interstellar UV radiation field. Since CO photodissociates primarily through discrete line absorptions, self-shielding can have a strong effect on the abundance of CO in interstellar clouds (Van Dishoeck & Black, 1988). However, this is unlikely to occur in the $`\beta `$ Pictoris CS disk because of the very small transverse dimension of the disk. Thus, the photodissociation rate for 12CO in the $`\beta `$ Pictoris disk should be equal to the unshielded value and should also be equal to the value for 13CO. Since 13CO is not selectively dissociated in this situation, its high abundance was explained by the reaction

$${}_{}{}^{13}\mathrm{C}_{}^{+}+^{12}\mathrm{CO}^{13}\mathrm{CO}+^{12}\mathrm{C}^++35\mathrm{K}$$

which favors the production of 13CO at gas kinetic temperatures below 35 K (Jolly et al., 1998). Assuming chemical equilibrium and that isotopic exchange is much more important than photodissociation for both 12CO and 13CO (Sheffer et al., 1992),

$$\frac{n(^{12}\mathrm{CO})}{n(^{13}\mathrm{CO})}=\mathrm{exp}\left(\frac{35}{T_{kin}}\right)\left(\frac{{}_{}{}^{12}\mathrm{C}}{{}_{}{}^{13}\mathrm{C}}\right)=15\pm 2.$$

The rotational excitation temperature of CO often does not accurately describe the gas kinetic temperature in diffuse environments (Wannier, Penprase, & Andersson, 1997). However, assuming a $`(^{12}\mathrm{C}/^{13}\mathrm{C})`$ ratio, we may use the above expression to estimate the true gas kinetic temperature of the CO.

The average carbon isotopic ratio in the local ISM is $`6070`$ (Langer & Penzias, 1993) and the typical solar system value found in comets is $`(^{12}\mathrm{C}/^{13}\mathrm{C})=89`$ (Jewitt et al., 1997). Using the range $`(^{12}\mathrm{C}/^{13}\mathrm{C})=8960`$, we find that the gas kinetic temperature of the carbon monoxide is 20 K $``$ 25 K, indicating that the CO gas is indeed colder than the stable C I gas. This suggests that the C I and CO are not located in the same regions of the disk. The assumption that isotopic exchange is more important than photodissociation should be reasonable. For this assumption to apply,

$$\mathrm{\Gamma }k^f\mathrm{exp}\left(\frac{35}{T_{kin}}\right)n(^{12}\mathrm{C}^+),$$

where $`\mathrm{\Gamma }`$ is the unshielded photodissociation rate, $`2\times 10^{10}\mathrm{s}^1`$ (Van Dishoeck & Black, 1988), kf is the forward reaction rate, $`6.8\times 10^{10}\mathrm{cm}^3\mathrm{s}^1`$ at 80 K (Smith & Adams, 1980), and n$`(^{12}\mathrm{C}^+)`$ is the volume density of $`{}_{}{}^{12}\mathrm{C}_{}^{+}`$. The average volume density of C, $`n(^{12}\mathrm{C})=N({}_{}{}^{3}\mathrm{P})/r20\mathrm{cm}^3`$, assuming that the carbon extends over a distance $`r`$ = 100 AU. Further assuming that $`n(^{12}\mathrm{C}^+)n({}_{}{}^{12}\mathrm{C})`$, as is likely, the right hand side of the above expression is greater than or equal to about $`2\times 10^9\mathrm{s}^1`$, an order of magnitude larger than $`\mathrm{\Gamma }`$. However, a more complete treatment of the relationship between $`(^{12}\mathrm{CO}/^{13}\mathrm{CO})`$ and $`(^{12}\mathrm{C}/^{13}\mathrm{C})`$ takes into account photodissociation but requires exact knowledge of the density of $`{}_{}{}^{12}\mathrm{C}_{}^{+}`$ in the CS disk (Sheffer et al., 1992).

The much larger column density of C I(3P) compared to that of CO leads us to believe that photodissociation of CO cannot be the only source of stable C I in the $`\beta `$ Pictoris CS disk. Since there is no evidence that CO is produced by infalling comets (no variability or red and blueshifted features), it has been postulated that the CO gas slowly evaporates from the OEBs at several tens of AU from the star and is photodissociated to produce the stable C I (Lecavelier des Etangs, 1998). Obviously some portion of the C I gas must be produced directly from the FEBs (the portion giving rise to the variable red and blueshifted absorption); perhaps this C I gas is decelerated somehow and accumulates in the stable component before being destroyed by photoionization. In this scenario, the equilibrium column density of C I is

$$N(^3\mathrm{P})=\frac{n\times N_{\mathrm{𝐹𝐸𝐵}}}{\mathrm{\Gamma }}$$

where $`n`$ is the mean number of infalling comets per year, $`10^2`$ per year (Vidal-Madjar, Lecavelier des Etangs, & Ferlet, 1998), $`N_{FEB}`$ is the total column density of C I gas produced by an infalling comet, and $`\mathrm{\Gamma }`$ is the photoionization rate for C I, 0.004 yr-1. This expression, which assumes that C I atoms are lost only through photoionization by interstellar UV photons, gives $`N_{FEB}10^{11}`$ cm-2, which should easily be produced by infalling comets like the ones giving rise to the variable C I(3P) components in our data. However, this is a rough treatment and the number of infalling comets per year varies significantly over time scales of a few years (Vidal-Madjar, Lecavelier des Etangs, & Ferlet, 1998). Also, this treatment does not take into account reformation of C I by radiative recombination; we cannot take this process into account properly without knowledge of the amount of C II in the CS disk and the electron density.

Considering the C I(1D), when such atoms are produced by photodissociation of CO, O I(1D) atoms must be produced also to conserve spin. The minimum total photon energy needed for this dissociation is 14.33 eV, corresponding to a threshold wavelength of 865 Å. Since this threshold is below the Lyman limit, there are virtually no interstellar UV photons capable of producing C I(1D) by photodissociation of CO. Thus, the C I(1D) atoms in the $`\beta `$ Pictoris CS disk cannot be produced by photodissociation of CO by stellar or interstellar photons and must be produced by a collisional process involving ground state carbon atoms. Since the energy of the 1D state relative to the ground state is high, the collisional process must be a very energetic one and therefore is likely to be closely associated with the infalling bodies. Consequently, with a short C I(1D) lifetime, there would be no stable component in this gas; this behavior has not been previously seen in any constituent of the $`\beta `$ Pictoris CS disk. But this result is tentavive; examination of an unsaturated line at high resolution is needed to determine the velocity structure of the C I(1D) gas.

## 6 Concluding Remarks

The very high resolution, low scattered light contamination, and good order separation of this STIS echelle data set has provided some clear advantages over previous observations of $`\beta `$ Pictoris. The rotational lines of CO have been resolved, allowing for a much more precise determination of the physical parameters of the gas. The column density of CO is $`N(\mathrm{CO})=(6.3\pm 0.3)\times 10^{14}\mathrm{cm}^2`$ and the ratio $`R(^{12}\mathrm{CO}/^{13}\mathrm{CO})=15\pm 2`$ is found. The absence of transient red or blueshifted components in the high resolution CO spectra supports the suggestion that this gas evaporates from cometary bodies orbiting far (several tens of AU) from the star. But the fact that the column density of CO is only about 2% of the total column density of C I in the 3P ground term implies that photodissociation of this CO is not the primary source for C I gas. It could perhaps be produced directly from infalling comets close to the star, but the mechanism by which it comes to zero velocity relative to the star and accumulates before being photoionized is unclear (although see Lagrange et al. (1998)). The C I(1D) gas may not have a stable component at 20 km s-1; this unique species could prove to be a valuable tracer of FEB activity in the $`\beta `$ Pictoris CS disk.

Despite the advantages of this data set, our lack of success in modeling the heavily saturated C I multiplets indicates that in order to really determine the characteristics of the variable components of the C I gas, we need to observe an unsaturated line or multiplet, with an oscillator strength between that of the 1561 Å multiplet and that of the spin-forbidden 1613.376 Å line. A number of suitable multiplets and lines lie in the FUV, shortward of $``$ 1300 Å. Also, an unsaturated line arising from the 1D level would allow us to confirm the velocity structure in this gas and to determine if the velocities of the 1D gas components correspond with any of the velocities of the variable components in the 3P gas. Three likely lines lie between 1311 Å and 1359 Å. Measurement of the densities of C II and O I would greatly help to unravel the carbon chemistry of the $`\beta `$ Pictoris disk. Again, potentially useful multiplets of these species lie in the FUV below 1340 Å. Thus, although this data set has vastly increased our knowledge about the important species C I and CO in the $`\beta `$ Pictoris disk, our understanding would probably benefit greatly from investigation of $`\beta `$ Pictoris at shorter ultraviolet wavelengths.

We thank Jason McPhate for his work on our absorption line profile codes and John Debes for his work on the Fe II lines. We also thank B-G Andersson and our reviewer, X. Tielens, for their fruitful comments. This work is based on observations with the National Aeronautics and Space Administration – European Space Agency HST obtained at the Space Telescope Science Institute, which is operated by the Association of Universities for Research in Astronomy, Incorporated, under NASA contract NAS5-26555. Support for this work at JHU was provided by grant GO-07512.01-96A from the Space Telescope Science Institute.


text:
# A STERILE NEUTRINO NEEDED FOR HEAVY-ELEMENT NUCLEOSYNTHESIS

## 1 Introduction

While there is strong evidence that the heaviest elements are produced in the neutrino-heated material ejected relatively long ($`10`$ s) after the explosion of a Type II or Type I b/c supernova, present calculations show conditions which would prevent this rapid-neutron-capture (or $`r`$) process from occurring. Though general relativistic effects and multi-dimensional hydrodynamic outflow have been invoked to solve these problems, these solutions are at best exceedingly finely tuned. In contrast, the solution presented here is extremely robust, and the neutrino mass-mixing scheme it requires is exactly that needed if one is to explain all present evidence for neutrino mass.

In the next section, the particle physics motivations for that neutrino scheme are discussed, with special emphasis on recent results of the LSND experiment, since those are particularly important for the needs of the $`r`$ process. That is followed by a section on the $`r`$ process and its difficulties, after which the solution is presented.

## 2 Particle Physics Evidence for a Four-Neutrino Scheme

The need for at least one light sterile (i.e., not having the usual weak interaction) neutrino in addition to the known three active neutrinos was proposed as a way to explain the solar $`\nu _e`$ deficit, the anomalous $`\nu _\mu /\nu _e`$ ratio from atmospheric neutrinos, and the apparent need for appreciable hot dark matter. The atmospheric anomaly, due to $`\nu _\mu \nu _\tau `$, requires a mass-squared difference between the $`\nu _\mu `$ and $`\nu _\tau `$ of $`\mathrm{\Delta }m_{\mu \tau }^2=0.003`$ eV2 and maximal mixing ($`\mathrm{sin}^22\theta _{\mu \tau }=1.0`$), with the latter property being quite important to solving the $`r`$-process problem, as shown below. The solar $`\nu _e`$ deficit is explained by $`\nu _e\nu _s`$ with $`\mathrm{\Delta }m_{es}^210^5`$ eV2 and a small mixing angle ($`\mathrm{sin}^22\theta _{es}0.01`$) or $`\mathrm{\Delta }m_{es}^210^{10}`$ eV2 and $`\mathrm{sin}^22\theta _{es}1`$. The $`\nu _e`$$`\nu _s`$ pair is of lower mass than the $`\nu _\mu `$$`\nu _\tau `$ pair, which provide the hot dark matter. For the originally favored critical-mass-density universe the $`\nu _\mu `$ and $`\nu _\tau `$ needed masses of around 2 eV each.

This phenomenology was subsequently given theoretical bases in two 1993 papers, and has been utilized since in a large number of publications. Since that time the scheme has received support from the LSND experiment, the results of which provide some measure of the mass difference between the $`\nu _e`$$`\nu _s`$ and $`\nu _\mu `$$`\nu _\tau `$ pairs and hence of the neutrino contribution to dark matter.

In its 1996 publication, LSND claimed a signal in $`\overline{\nu }_\mu \overline{\nu }_e`$ on the basis that 22 events of the type $`\overline{\nu }_epe^+n`$ were seen, using a stringent criterion to reduce accidental coincidences between $`e^{}`$ or $`e^+`$ and $`\gamma `$ rays mimicking the 2.2-MeV $`\gamma `$ from $`npd\gamma `$, whereas only $`4.6\pm 0.06`$ events were expected. The probability of this being a fluctuation is $`4\times 10^8`$. Note especially that these data were restricted to the energy range 36 to 60 MeV to stay below the $`\overline{\nu }_\mu `$ endpoint and to stay above the region where backgrounds are high due to the $`\nu _e^{12}\mathrm{C}e^{}X`$ reaction. In plotting $`\mathrm{\Delta }m^2`$ vs. $`\mathrm{sin}^22\theta `$, however, events down to 20 MeV were used to increase the range of $`E/L`$, the ratio of the neutrino’s energy to its distance from the target to detection. This plot was intended to show the favored regions of $`\mathrm{\Delta }m^2`$, and all information about each event was used. The likelihood analysis applied did not have a Gaussian likelihood distribution, since its integral is infinite, but the likelihood contour labeled “90%” was obtained by going down a factor of 10 from the maximum, as in the Gaussian case. The contours in the LSND plot have been widely misinterpreted as confidence levels—which they certainly are not—because they were plotted along with confidence-level limits from other experiments.

Recently the difficult, computer-intensive analysis in terms of real confidence levels has been done. The likelihood for a grid in ($`\mathrm{sin}^22\theta `$, $`\mathrm{\Delta }m^2`$) space, including backgrounds, has been computed and compared with numerous Monte Carlo experiments to obtain a 90% confidence region. While the equivalency varies from point to point in the $`\mathrm{\Delta }m^2`$$`\mathrm{sin}^22\theta `$ plane, a typical value for the 90% confidence level is down a factor of 20 from the likelihood maximum. Thus the LSND allowed regions are considerably broader in $`\mathrm{sin}^22\theta `$ than in the plots published so far, and other experiments constrain allowed $`\mathrm{\Delta }m^2`$ regions less.

The confusion of comparing likelihood levels for LSND with confidence levels from other experiments may be exacerbated by using the 20–36 MeV region for the LSND data. While this higher background energy range makes some difference for the 1993–5 data, it could have had an appreciable effect for the parasitic 1996–8 runs, which were at a low event rate, increasing the effect of cosmic ray background. This could raise the low end of the supposed signal energy spectrum, especially as the one LSND distribution which was statistically worrisome was the ratio ($`R`$) of real to accidental events. Some accidental events in this 20–36 MeV region would favor low values of $`\mathrm{\Delta }m_{e\mu }^2`$ making the higher $`\mathrm{\Delta }m^2`$ values desirable for dark matter appear less likely.

Nevertheless, when a joint analysis is made of the LSND and KARMEN experiments even using the 20–36 MeV range for LSND, the region around 5.5 eV2 is as probable as the banana-shaped region at lower $`\mathrm{\Delta }m^2`$, as shown in Fig. 1.

Frequently ignored by theorists, this higher mass region is favored by the $`\nu _\mu \nu _e`$ LSND data. Of course in the $`\nu _\mu \nu _e`$ case, using $`\nu _\mu `$ from $`\pi ^+`$ decay in flight and detecting $`\nu _e`$ by $`\nu _e^{12}\mathrm{C}e^{}X`$, the backgrounds are higher and hence yield much poorer statistics than for $`\overline{\nu }_\mu \overline{\nu }_e`$ with $`\overline{\nu }_\mu `$ from $`\mu ^+`$ at rest. In addition to the $`\mathrm{\Delta }m^2`$ issue, the important point of Fig. 1 is that although the KARMEN data are consistent with background, the joint analysis of the $`\overline{\nu }_\mu \overline{\nu }_e`$ data from the two experiments shows an appreciable region for a signal. KARMEN is continuing to take data, and LSND will have an improved analysis available soon. This new analysis has produced an excellent $`R`$ distribution for all the data and an energy distribution with reduced contributions at the low end, favoring higher $`\mathrm{\Delta }m_{e\mu }^2`$ values than does Fig. 1.

## 3 Problems with Synthesis of the Heaviest Elements

While in the next section we will find that the $`r`$ process of rapid neutron capture in supernovae provides strong support for the double doublet of neutrinos, initially the reverse appeared to be true, with the $`r`$ process apparently placing stringent limits on $`\nu _\mu `$$`\nu _e`$ mixing. The origin of these limits is that energetic $`\nu _\mu `$ ($`E25`$ MeV) coming from deep in the supernova core could convert via an MSW transition to $`\nu _e`$ inside the region of the $`r`$-process, producing $`\nu _e`$ of much higher energy than the thermal $`\nu _e(E11`$ MeV). The latter, because of their charged-current interactions, emerge from farther out in the supernova where it is cooler. Since the cross section for $`\nu _ene^{}p`$ rises as the square of the energy, these converted energetic $`\nu _e`$ would deplete neutrons, stopping the $`r`$-process. Calculations of this effect limit $`\mathrm{sin}^22\theta `$ for $`\nu _\mu \nu _e`$ to $`<10^4`$ for $`\mathrm{\Delta }m_{e\mu }^2>2`$ eV2, in conflict with at least the higher mass region of the LSND results, which will be of particular interest here.

More recently, serious problems have been found with the $`r`$ process itself. First, simulations have revealed the $`r`$-process region to be insufficiently neutron-rich, since about $`10^2`$ neutrons is required for each seed nucleus, such as iron. This was bad enough, but the recent realization of the full effect of $`\alpha `$-particle formation has created a disaster for the $`r`$ process. At a radial region inside where the $`r`$ process should occur, all available protons swallow up neutrons to form the very stable $`\alpha `$ particles, following which $`\nu _ene^{}p`$ reactions reduce the neutrons further and create more protons which make more $`\alpha `$ particles, and so on. The depletion of neutrons rapidly shuts off the $`r`$ process, and essentially no nuclei above $`A=95`$ are produced.

To solve this problem the $`\nu _e`$ flux has to be removed before the $`r`$ process site, while leaving a very large $`\nu _e`$ flux at a smaller radius for material heating and ejection. The obvious difficulty of accomplishing this has led to searches for other possible sites for the $`r`$ process, such as neutron star mergers.

## 4 Neutrino Solution for a Successful $`r`$ Process

The apparent miracle of having a huge $`\nu _e`$ flux disappear before it reaches the radius of the supernova where $`\alpha `$ particles form can be accomplished if there is (1) a sterile neutrino, (2) approximately maximal $`\nu _\mu \nu _\tau `$ mixing, (3) $`\nu _\mu \nu _e`$ mixing $`>10^4`$, and (4) an appreciable ($`>1`$ eV2) mass-squared difference between $`\nu _s`$ and the $`\nu _\mu `$$`\nu _\tau `$. This is precisely the neutrino mass pattern required to explain the solar and atmospheric anomalies and the LSND result, plus providing some hot dark matter!

Such a mass-mixing pattern creates two level crossings. The inner one, which is outside the neutrinosphere (beyond which neutrinos can readily escape) is near where the $`\nu _{\mu ,\tau }`$ potential $`(n_{\nu _e}n_n/2)`$ goes to zero. Here $`n_{\nu _e}`$ and $`n_n`$ are the numbers of $`\nu _e`$ and neutrons, respectively. The $`\nu _{\mu ,\tau }\nu _s`$ transition which occurs depletes the dangerous high-energy $`\nu _{\mu ,\tau }`$ population. Outside of this level crossing, another occurs where the density is appropriate for a matter-enhanced MSW transition corresponding to whatever $`\mathrm{\Delta }m_{e\mu }^2`$ LSND is observing. Because of the $`\nu _{\mu ,\tau }`$ reduction at the first level crossing, the dominant process in the MSW region reverses from the deleterious $`\nu _{\mu ,\tau }\nu _e`$, becoming $`\nu _e\nu _{\mu ,\tau }`$ and dropping the $`\nu _e`$ flux. For an appropriate value of $`\mathrm{\Delta }m_{e\mu }^2`$, the two level crossings are separate but sufficiently close so that the transitions are coherent. Then with adiabatic transitions (as calculations show) and maximal $`\nu _\mu `$$`\nu _\tau `$ mixing, the neutrino flux emerging from the second level crossing is 1/4 $`\nu _\mu `$, 1/4 $`\nu _\tau `$, and 1/2 $`\nu _s`$, and no $`\nu _e`$.

A more exact way to explain this in the four-neutrino formalism is to transform the four mass eigenstates into the flavor states via the mixing angles $`\varphi `$ for solar $`\nu _e\nu _s`$, $`\omega `$ for LSND $`\nu _\mu \nu _e`$, and $`\pi /4`$ (maximal mixing) for atmospheric $`\nu _\mu \nu _\tau `$. Symbolically,

$$\left(\begin{array}{c}|\nu _s\\ |\nu _e\\ |\nu _\mu \\ |\nu _\tau \end{array}\right)=\left(\begin{array}{c}\text{Atmospheric}\\ \nu _\mu \nu _\tau \end{array}\right)\left(\begin{array}{c}\text{Solar}\\ \nu _e\nu _s\end{array}\right)\left(\begin{array}{c}\text{LSND}\\ \nu _\mu \nu _e\end{array}\right)\left(\begin{array}{c}|\nu _1\\ |\nu _2\\ |\nu _3\\ |\nu _4\end{array}\right),$$

giving

$$\left(\begin{array}{c}|\nu _e\\ |\nu _s\\ |\nu _\mu ^{}\\ |\nu _\tau ^{}\end{array}\right)=\left(\begin{array}{cccc}\mathrm{cos}\varphi & \mathrm{sin}\varphi \mathrm{cos}\omega & \mathrm{sin}\varphi \mathrm{sin}\omega & 0\\ \mathrm{sin}\varphi & \mathrm{cos}\varphi \mathrm{cos}\omega & \mathrm{cos}\varphi \mathrm{sin}\omega & 0\\ 0& \mathrm{sin}\omega & \mathrm{cos}\omega & 0\\ 0& 0& 0& 1\end{array}\right)\left(\begin{array}{c}|\nu _1\\ |\nu _2\\ |\nu _3\\ |\nu _4\end{array}\right),$$

where

$`|\nu _\mu ^{}`$ $`=1/\sqrt{2}(|\nu _\mu |\nu _\tau )=\mathrm{sin}\omega |\nu _2+\mathrm{cos}\omega |\nu _3`$
$`|\nu _\tau ^{}`$ $`=1/\sqrt{2}(|\nu _\mu +|\nu _\tau )=|\nu _4,\text{a mass eigenstate}.`$
In this formalism what occurs at the first level crossing is $`\nu _\mu ^{}\nu _s`$, and at the second, $`\nu _e\nu _\mu ^{}`$, while $`\nu _\tau ^{}`$ being a mass eigenstate goes through both regions unaffected. Again this gives 1/4 $`\nu _\mu `$, 1/4 $`\nu _\tau `$, 1/2 $`\nu _s`$, and no $`\nu _e`$ at all.

Note that the $`\overline{\nu }_e`$ flux is also unaffected at the level crossings, so $`\overline{\nu }_epe^+n`$ enhances the neutron number in the $`r`$ process region, since the protons have not been depleted by $`\alpha `$ particle formation. It should be emphasized that this mechanism is quite robust, not depending on details of the supernova dynamics, especially as it occurs quite late in the explosive expansion.

It is essential that the two level crossings be in the correct order, and this provides a requirement on $`\mathrm{\Delta }m_{e\mu }^2`$, since the MSW transition depends on density and hence on radial distance from the protoneutron star. Detailed calculations have been made for $`\mathrm{\Delta }m_{e\mu }^26`$ eV2, which works very well. Possibly $`\mathrm{\Delta }m_{e\mu }^2`$ as low as 2 eV2 or maybe even 1 eV2 would work, but that is speculative. At any rate, the mass difference needed in this scheme, which is the only one surely consistent with all manifestations of neutrino mass and which rescues the $`r`$ process, implies appreciable hot dark matter.

## 5 Conclusions

It is quite remarkable that the profound problems of producing the heaviest elements by supernovae can be solved in a manner which requires no adjustment of parameters if the arrangement of masses and mixings of neutrinos is exactly that required to explain the solar $`\nu _e`$ deficit, the atmospheric neutrino anomaly, and the observations of the LSND experiment (or alternatively the need for hot dark matter). This is achieved via an active-sterile level crossing in the supernova, followed by an active-active transition. The total independence of this supernova information strongly enhances the case for this four-neutrino scheme.

## Acknowledgments

This paper is based largely on work done with G.M. Fuller and Y.-Z. Qian, to whom I am grateful, and was supported in part by the U.S. Department of Energy under contract DE-FG03-91ER40618.