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# VACUUM ENERGY: “IF NOT NOW, THEN WHEN?”

## 1 A Cosmological Constant or Quintessence?

Absent a known symmetry principle protecting its value, no theoretical reason for making the cosmological constant zero or small has been found. Inflation makes the universe flat, so that, at present, the vacuum or smooth energy density $`\mathrm{\Omega }_{Q0}=1\mathrm{\Omega }_{m0}<1`$, is $`10^{120}`$ times smaller than would be expected on current particle theories. To explain this small but non-vanishing present value, a dynamic vacuum energy, quintessence, has been invoked, which obeys the equation of state $`w_QP/\rho <0`$. (The limiting case, $`w_Q=1`$, a static vacuum energy or Cosmological Constant, is homogeneous on all scales.)

The evidence for a flat low-density universe come from : (1) The location of the first Doppler peak in the CBR anisotroy at $`l200`$: $`\mathrm{\Omega }_m+\mathrm{\Omega }_Q=1\pm 0.2`$; (2) The slow evolution of rich clusters, the mass power spectrum, the CBR anisotropy, the cosmic flow:$`\mathrm{\Omega }_{m0}=0.3\pm 0.05`$; (3) Curvature in the SNIa Hubble diagram, dynamic age, height of first Doppler peak, cluster evolution: $`\mathrm{\Omega }_{Q0}=1\mathrm{\Omega }_{m0}2/3`$. Of these, the SNIa evidence is most subject to systematic errors due to precursor intrinsic evolution and the possibilty of grey dust extinction. The combined data nevertheless implies a flat, low-density universe with $`\mathrm{\Omega }_{m0}1/3`$ and a smooth energy component with present energy density $`\mathrm{\Omega }_{Q0}2/3`$ and negative pressure $`1w_Q1/2`$.

Accepting this small but non-vanishing value for static or dynamic vacuum energy, a flat Friedmann cosmology (CDM) is characterized by $`\mathrm{\Omega }_{m0},\mathrm{\Omega }_{Q0}=1\mathrm{\Omega }_{m0}`$ or the present ratio

$$_0u_0^3\mathrm{\Omega }_{Q0}/\mathrm{\Omega }_{m0}=(1\mathrm{\Omega }_{m0})/\mathrm{\Omega }_{m0},$$

and by the equation of state for the smooth energy. The Cosmic Coincidence problem now becomes pressing: Why do we live when the clustered matter density $`\mathrm{\Omega }(a)`$, which is diluting as $`a^3`$ with cosmic scale $`a`$, is just now comparable to the static vacuum energy or present value of the smooth energy i.e. when the ratio $`_02`$ ?

In this paper, we distinguish the two limiting cases allowed  for the smooth energy component: LCDM: Cosmological constant: $`w_Q=1`$ and QCDM:
Quintessence: $`w_Q=1/2`$ . In the next section, we compare the expansion of these two limiting low-density flat universes. In Section 3, we extend to QCDM the calculation of asymptotic mass fraction as function of a hypothetical continuous variable $`\mathrm{\Omega }_{m0}`$ presented by Martel et al  for QCDM. Finally, we statistically infer that, absent any prior information about $`\mathrm{\Omega }_{m0}`$, the observed present ratio $`_0`$ is reasonable for a LCDM universe, and most likely for a QCDM universe: “If not now, then when?”

## 2 Expansion of a Low Density Flat Universe

The Friedmann equation in a flat universe with clustered matter and smooth energy density is

$$H^2(x)(\dot{a}/a)^2=(8\pi G/3)(\rho _m+\rho _Q),$$

or, in units of $`\rho _{cr}(x)=3H^2(x)/8\pi G`$, $`1=\mathrm{\Omega }_m(x)+\mathrm{\Omega }_Q(x),`$ where the reciprocal scale factor $`xa_0/a1+z\mathrm{}`$ in the far past, $`0`$ in the far future.

With the effective equation of state $`wP/\rho =`$ constant, different kinds of energy density dilute at different rates $`\rho a^n,n3(1+w)`$, and contribute to the deceleration at different rates $`(1+3w)/2`$ shown in the table:

The expansion rate in present Hubble units is

$$H(x)/H_0=(\mathrm{\Omega }_{m0}x^3+(1\mathrm{\Omega }_{m0})x_Q^n)^{1/2}.$$

The Friedmann equation has an unstable fixed point in the far past and a stable attractor in the far future. (Note the tacit application of the anthropic principle: Why does our universe expand, rather than contract?)

The second Friedmann equation is $`\ddot{a}a/\dot{a}^2=(1+3w_Q\mathrm{\Omega }_Q)/2`$. The ratio of smooth energy to matter energy, $`(a)=_0(a_0/a)^{3w_Q}`$, increases as the cosmic expansion dilutes the matter density. A flat universe, characterized by $`R_0,w_Q`$, evolves out of an SCDM universe in the remote past towards a flat de Sitter universe in the future. As shown by the inflection points (O) on the middle curves of Figure 1, for fixed $`_0`$, QCDM expands faster than LCDM, but begins accelerating only at the present epoch. The top and bottom curves refer respectively to a de Sitter universe ($`\mathrm{\Omega }_m=0`$), which is always accelerating, and an SCDM universe ($`\mathrm{\Omega }_m=1`$), which is always decelerating.

The matter-smooth energy transition (“freeze-out”) $`\mathrm{\Omega }_Q/\mathrm{\Omega }_m=1`$ took place only recently at $`x^{w_Q}=_0^{1/3}u_0`$ or at $`x=1+z=u_0^2=1.59`$ for QCDM and, even later, at $`x=1+z=u_0=1.26`$ for LCDM. Because, for the same value of $`u_0`$, a matter-QCDM freeze-out would take place earlier and more slowly than a matter-LCDM freeze-out, it imposes a stronger constraint on structure evolution. As summarized in the table below, quintessence dominance begins 3.6 Gyr earlier and more gradually than cosmological constant dominance. (In this table, the deceleration $`q(x)\ddot{a}/aH_0^2`$ is measured in present Hubble units.) The recent lookback time

$$H_0t_L(z)=z(1+q_0)z^2+\mathrm{},z<1,$$

where $`q_0=0`$ for QCDM and $`=1/2`$ for LCDM.

## 3 Evolution of Large Scale Structure

In this section, we extend to QCDM earlier LCDM calculations  of the asymptotic mass fraction $`f_{c,\mathrm{}}`$ that ultimately collapses into evolved galaxies. This is presumably a measure of the number density of galaxies like our own, that are potentially habitable by intelligent life. We then compare the QCDM and LCDM asymptotic mass fraction distribution functions, as function of an assumed $`\mathrm{\Omega }_{m0}`$.

The background density for large-scale structure formation is overwhelmingly Cold Dark Matter (CDM), consisting of clustered matter $`\mathrm{\Omega }_m`$ and smooth energy or quintessence $`\mathrm{\Omega }_Q`$. Baryons, contributing only a fraction to $`\mathrm{\Omega }_m`$, collapse after the CDM and, particularly in small systems, produce the large overdensities that we see.

Structure formation begins and ends with matter dominance, and is characterized by two scales: The horizon scale at the first cross-over, from radiation to matter dominance, determines the power spectrum $`P(k,a)`$, which is presently characterized by a shape factor $`\mathrm{\Gamma }_0=\mathrm{\Omega }_{m0}h=0.25\pm 0.05`$. The horizon scale at the second cross-over, from matter to smooth energy, determines a second scale factor, which for quintessence, is at $`130`$ Mpc, the scale of voids and superclusters. A cosmological constant is smooth at all scales.

Quasars formed as far back as $`z5`$, galaxies at $`z6.7`$, ionizing sources at $`z=(1030)`$. The formation of any such structures, already sets an upper bound $`x<30`$ or $`(\mathrm{\Omega }_\mathrm{\Lambda }/\mathrm{\Omega }_{m0})<1000,\mathrm{\Omega }_{Q0}<30`$, for any structure to have formed. A much stronger upper bound, $`u_0<5`$, is set by when typical galaxies form i.e. by estimating the probability of our observing $`_0=2`$ at the present epoch.

### 3.1 Asymptotic Collapsed Mass Parameter $`\beta `$

Martel et al  and Garriga et al  have already calculated the asymptotic mass fraction from the Press-Schechter formalism

$$f_{c,\mathrm{}}=\text{erfc}(\sqrt{\beta })=(2/\sqrt{\pi })_\sqrt{\beta }^{\mathrm{}}\mathrm{exp}(t^2)𝑑t,$$

depending only on

$$\beta \delta _{i,c}^2/(2\sigma _i^2),$$

where $`\sigma _i^2`$ is the variance of the denssity field, smoothed on some scale $`R_G`$, and $`\delta _{i,c}`$ is the minimum density contrast at recombination which will ultimately make a bound structure. This minimum density contrast grows with scale factor $`a`$, and is, except for a numerical factor of order unity , $`\delta _{i,c}x/(1+z_i)`$. Both numerator and denominator in $`\beta `$ refer to the epoch of recombination, but this factor $`(1+z_i)`$ cancels out in the quotient. (MSW and MS have improved on the Press-Schechter formalism by assuming spherical collapse of Gaussian fluctuations or linear fluctuations that are surrounded by equal volumes of compensating underdensity. Except in the limit $`\beta 0`$, the PS formula overestimates the collapsed mass by factor $`(1.70)\beta ^{0.085}`$, or about 40% near $`\mathrm{\Omega }_{m0}=1/3`$. For simplicitly, this paper adheres to the PS formula with $`R_G=1`$ Mpc. In a forthcoming paper, we will use the improved MSW formula for both $`R_G=1,2`$ Mpc.)

The variance of the mass power spectrum depends on the cosmological model ($`\mathrm{\Omega }_{m0}`$) and on the relevant co-moving galactic size scale $`R_G`$, but is insensitive to $`w_Q`$, for $`w_Q<1/3`$ . For the QCDM model we consider, $`\sigma _i^2(\mathrm{\Omega }_{m0},R_G)`$ is therefore the same as that already calculated  for LCDM, for a scale-invariant mass spectrum smoothed with a top-hat window function. For the observed ratio $`_0=2,\mathrm{\Omega }_{m0}=1/3`$, at recombination $`1000\sigma =3.5,2.4`$, for comoving galactic size scale $`R_G=1,2`$ Mpc.

The numerical factor in $`\delta _{i,c}`$ is $`9/5(4)^{1/3}=1.1339`$ for both $`w_Q=1`$ and $`w_Q=1/2`$, so that $`\delta _{i,c}=1.1339x/(1+z_i)`$. Thus, the collapsed mass parameter $`\sqrt{\beta }=0.80x/\sigma _i(R_G,u_0)`$, depends explicitly on $`u_0`$ through $`x=u_0,u_0^2`$ for LCDM, QCDM respectively. It also depends implicitly on $`u_0`$ through $`\sigma _i`$. Nevertheless, in going from LCDM the argument of $`f_{c,\mathrm{}}`$ scales simply as $`\sqrt{\beta }_{QCDM}=\sqrt{\beta }_{LCDM}u_0`$.

Both asymptotic mass fractions are practically unity for large $`\mathrm{\Omega }_{m0}`$, but fall off with increasing ratio $`_0>1`$. For any $`_0>1`$, QCDM always leads to a smaller asymptotic mass fraction than LCDM. For ratio $`_0<1`$, $`f_{c,\mathrm{}}`$ changes slowly and the differences between QCDM and LCDM are not large. At the observed ratio $`R_0=2`$, the Press-Schechter asymptotic mass fractions are $`0.696,0.623`$ for LCDM, QCDM respectively.

### 3.2 Asymptotic Collapsed Mass Fraction Distribution Function

As function of the ratio $`\mathrm{\Omega }_{m0}`$, the asymptotic mass fraction defines a distribution function

$$f_{c,\mathrm{}}=d𝒫/d_0.$$

In Figure 2, instead of $`f_{c,\mathrm{}}`$ we plot the logarithmic distribution function in the ratio $`R_0`$

$$F(\mathrm{\Omega }_{m0})=_0f_{c,\mathrm{}}=d𝒫/d\mathrm{log}_0,$$

for LCDM and for QCDM and galactic size scale 1 Mpc. (Even for LCDM, this differs by a factor $`\sigma _i^3(\mathrm{\Omega }_{m0})`$ from the logarithmic distribution in $`\beta `$, $`d𝒫/d\mathrm{log}(\beta ^{3/2})`$ that is plotted by MSW and GLV.) $`F(\mathrm{\Omega }_{m0})`$ may be thought of as the ratio $`R_0`$ weighted by the number density of galaxies $`f_{c,\mathrm{}}`$.

The figure shows broad peaks in the logarithmic distributions in $`\mathrm{\Omega }_{m0}`$ at ($`(\mathrm{\Omega }_{m0},F)=(0.23,1.27)`$ for LCDM and at $`(0.32,1.78)`$ for QCDM. At the observed $`\mathrm{\Omega }_{m0}=1/3`$, shown by circles (O), the asymptotic mass fraction logarithmic distribution in $`R_0`$ falls at 97% of the QCDM peak and at 78% of the LCDM peak.

## 4 $`\mathrm{\Omega }_Q\mathrm{\Omega }_m`$ is Quite Likely for Our Universe

It is not surprising that our universe, containing at least one habitable galaxy, has $`_0=𝒪(1)`$. What is impressive is that our observed low-density universe, is almost exactly that which will maximize the number of habitable galaxies. Our existence does not explain $`\mathrm{\Omega }_{m0}`$, but the observed value makes our existence (and that of other evolved galaxies) most likely.

What epistemological inference should we draw from this remarkable coincidence between our observed universe and the possible asymptotic mass fractions in either LCDM or QCDM universes? What should we infer statistically about any fundamental theory determining the parameters of our universe?

An anthropic interpretation has already been given  to “explain” a non-vanishing cosmological constant, in an assumed universe of subuniverses with all possible values for the vacuum energy $`\mathrm{\Omega }_\mathrm{\Lambda }=1\mathrm{\Omega }_{m0}`$. In each of these subuniverses, the probability for habitable galaxies to have emerged before the present epoch, is a function of $`\mathrm{\Omega }_\mathrm{\Lambda }`$:

$$𝒫rob(\mathrm{\Omega }_{m0})(\text{prior distribution in}\mathrm{\Omega }_{m0})\times F(\mathrm{\Omega }_{m0}).$$

As always, the overall probability depends on the assumed prior. MSW, assuming nothing about initial conditions, take a prior flat in $`\mathrm{\Omega }_{m0}`$. GLV argue that the prior should be determined by a theory of initial conditions and is not flat for most theories.

We prefer not to assume a distribution of real subuniverses, but to inversely apply Bayes’ Theorem to our own universe. In the absence of any physical explanation of the smooth energy, or until one is found, the partial information that intelligent astronomers exist tells us the observed smooth energy is just about what would be expected from equal a priori probabilities for $`\mathrm{\Omega }_{m0}`$ in the very early universe. That our universe is realized at or near the maximum in the asymptotic mass distribution function confirms that the prior is flat or peaked at $`\mathrm{\Omega }_{m0}1/3`$. Any phenomenologically viable fundamental theory must ultimately produce this value or be indifferent to the cosmological parameters.

This research benefited from useful discussions with H. Martel and with M. Roos.


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# Two Kinds of the Coexistent States in One-Dimensional Quarter -Filled Systems under Magnetic Fields

## I Introduction

Organic conductors such as (TMTSF)2$`X`$ and (TMTTF)2$`X`$ ($`X`$=ClO4, PF6, AsF6, ReO4, Br, SCN, etc.) are the quasi-one dimensional quarter-filled systems and exhibit various kinds of ground states, for example, spin-Peierls, spin density wave (SDW) and superconductivity. In (TMTSF)2PF6, the incommensurate SDW occurs at $`T=12`$ K, where the wave vector is determined by NMR experiments as (0.5, 0.24, 0.06). Pouget and Ravy observed the coexistence of $`2k_\mathrm{F}`$-SDW and $`2k_\mathrm{F}`$-charge density wave (CDW) by the X-ray scattering measurement, where $`k_\mathrm{F}=\pi /4a`$ is Fermi wave number and $`a`$ is the lattice constant. The critical temperature ($`T_{\mathrm{CDW}}`$) at which $`2k_\mathrm{F}`$-CDW is observed is the same temperature as $`T_{\mathrm{SDW}}`$.

On the other hand, it is found that SDW in (TMTTF)2$`X`$ ($`X`$=Br and SCN) has the commensurate wave vector, (0.5, 0.25,0), as observed in the measurements of 13C-NMR and 1H-NMR. From the angle depenence of satelite peak positions of 1H-NMR, the alignment of the spin moment along the conductive axis (a-axis) is obtained to be ($`,0,,0`$), where the arrow means the spin moment. In (TMTTF)2Br, $`4k_\mathrm{F}`$-CDW accompanied by $`2k_\mathrm{F}`$-SDW is found in X-ray scattering measurments, where $`T_{\mathrm{CDW}}100`$ K and $`T_{\mathrm{SDW}}13`$ K.

In the one-dimensional quarter-filled systems, the CDW-SDW coexistent state is shown to be caused by the interplay between the on-site Coulomb interaction ($`U`$) and the inter-site Coulomb interaction ($`V`$).  The inter-site Coulomb interaction plays important role for the charge order. Mila has estimated $`U/t5`$ and $`V/t2`$, where $`t`$ is a transfer integral. Seo and Fukuyama showed that the ground state becomes the coexistent state of $`2k_\mathrm{F}`$-SDW and $`4k_\mathrm{F}`$-CDW in the one-dimensional extended Hubbard model with $`V`$. It is found by Kobayashi et al. and Mazumdar et al. that the coexistent state of $`2k_\mathrm{F}`$-SDW and $`2k_\mathrm{F}`$-CDW is stabilized when the next nearest neighbor Coulomb interaction ($`V_2`$) and the dimerization of the energy band are considered. Thus, two kinds of the coexistent states ($`2k_\mathrm{F}`$-SDW-$`2k_\mathrm{F}`$-CDW and $`2k_\mathrm{F}`$-SDW-$`4k_\mathrm{F}`$-CDW), which are observed by the X-ray scattering mesauerments in (TMTSF)2PF6 and (TMTTF)2Br, can be explained by Seo and Fukuyama and Kobayashi et al. and Mazumdar et al., respectively.

Recently, we have studied the effects of the magnetic field ($`H`$) on the coexistent state of $`2k_\mathrm{F}`$-SDW and $`4k_\mathrm{F}`$-CDW for both cases of strong and weak coupling of the correlation between electrons, where the one-dimensional quarter-filled extended Hubbard model with $`V`$ is used. It is found that although the spin order is suppressed at high fields, the charge order still remains in the strongly coupling systems ($`U/t5`$). When the coupling is small ($`U/t1.5`$), both orderings of $`2k_\mathrm{F}`$-SDW and $`4k_\mathrm{F}`$-CDW disappear at the critical magnetic field, which is the same as the Pauli paramagnetic field in the spin-singlet superconductivity.

In this paper, we examine how the coexistent state of $`2k_\mathrm{F}`$-SDW and $`2k_\mathrm{F}`$-CDW and the one of $`2k_\mathrm{F}`$-SDW and $`4k_\mathrm{F}`$-CDW are affected by magnetic fields and temperatures. We use the one-dimensional extened Hubbard model with $`V`$ and $`V_2`$, where the dimerization is neglected for simplicity, because the coexistent states are stabilized without the dimerization. We use parameters, $`U/t=5.0`$, which is indicated in (TMTTF)2$`X`$ ((TMTSF)2$`X`$). In most cases we set $`V/U1`$ and $`V_2<V`$. We study the case when the anisotorpy of the spin is strong, because it is found that the easy axis of the spin in the quasi-one-dimensional organic conductors is $`b`$-axis. In order to clarify the ground state under fields at finite temperatures, we show the $`V`$-$`H`$, $`V_2`$-$`H`$, $`V`$-$`T`$ and $`V_2`$-$`T`$ phase diagrams, which enables to discuss the effect of pressure and the ordering temperatures of the SDW and CDW. It is expected that the Hubbard model with large $`U/t5`$ is qualitatively understood by the Ising model with the perpendicular field, as we will show below.

The $`H`$-dependence of the antiferromagnetic state in one-dimensional Ising model has been studied in the mean field approximation, where the componet of the spin along the $`c`$-axis is considered. When the magnetic fields is applied perpendicular to the spin moment,

$`S_z(H,j)/S_z(0,j)=\sqrt{1(H/H_x^0)^2},`$ (1)
where $`S_z(H,j)`$ is the amplitude of the spin moment at $`j`$ site at $`H=0`$ and $`H_x^0`$ is the critical field at which the ordering of the antiferromagnetic state disappear ($`H_x^0J`$, where $`J`$ is the coupling constant).

## II Formulation

We study the one-dimensional extended Hubbard model,

$`\widehat{}`$ $`=`$ $`\widehat{𝒦}+\widehat{𝒰}+\widehat{𝒱}+\widehat{𝒱}_2,`$ (2)
$`\widehat{𝒦}`$ $`=`$ $`t{\displaystyle \underset{i,\sigma }{}}(c_{i,\sigma }^{}c_{i+1,\sigma }+h.c.)`$ (4)
$`+{\displaystyle \frac{\mu _\mathrm{B}g}{2}}{\displaystyle \underset{i,\sigma ,\sigma ^{}}{}}c_{i,\sigma }^{}(H_x)_{\sigma \sigma ^{}}c_{i,\sigma ^{}},`$
$`\widehat{𝒰}`$ $`=`$ $`U{\displaystyle \underset{i}{}}n_{i,}n_{i,},`$ (5)
$`\widehat{𝒱}`$ $`=`$ $`V{\displaystyle \underset{i,\sigma ,\sigma ^{}}{}}n_{i,\sigma }n_{i+1,\sigma ^{}},`$ (6)
$`\widehat{𝒱}_2`$ $`=`$ $`V_2{\displaystyle \underset{i,\sigma ,\sigma ^{}}{}}n_{i,\sigma }n_{i+2,\sigma ^{}},`$ (7)
where $`\mu _\mathrm{B}=e\mathrm{}/2m_0c`$ is the Bohr magneton and $`c_{i,\sigma }^{}`$ is the creation operator of $`\sigma `$ spin electron at $`i`$ site, $`n_{i,\sigma }`$ is the number operator, $`g=2`$, $`i=1,\mathrm{},N_\mathrm{S}`$, $`N_\mathrm{S}`$ is the number of the total sites and $`\sigma =`$ and $``$. The notation in this paper follows Seo and Fukuyama. The magnetic field is applied to the x-axis and $`(H_x)_{\sigma \sigma ^{}}`$ $`=H(\widehat{\sigma }_x)_{\sigma \sigma ^{}}`$, where $`H`$ is the strength of the magnetic field and $`\widehat{\sigma }_x`$ is Pauli spin matrix. We consider the quarter-filled case.

The interaction terms, $`\widehat{𝒰}`$, $`\widehat{𝒱}`$ and $`\widehat{𝒱}_2`$ are treated in the mean field approximation as

$`\widehat{𝒰}^\mathrm{M}`$ $`=`$ $`{\displaystyle \underset{k_x}{}}{\displaystyle \underset{Q}{}}\{\rho _{}(Q,T)C^{}(k_x,)C(k_xQ,)`$ (8)
$`+`$ $`\rho _{}^{}(Q,T)C^{}(k_xQ,)C(k_x,)\}`$ (9)
$`\widehat{𝒱}^\mathrm{M}`$ $`=`$ $`({\displaystyle \frac{V}{U}}){\displaystyle \underset{k_x,\sigma ,\sigma ^{}}{}}{\displaystyle \underset{Q}{}}e^{iQa}\{\rho _{\sigma \sigma }(Q,T)C^{}(k_x,\sigma ^{})C(k_xQ,\sigma ^{})`$ (10)
$`+`$ $`\rho _{\sigma ^{}\sigma ^{}}^{}(Q,T)C^{}(k_x,\sigma )C(k_xQ,\sigma )\}`$ (11)
$`\widehat{𝒱}_{2}^{}{}_{}{}^{\mathrm{M}}`$ $`=`$ $`({\displaystyle \frac{V_2}{U}}){\displaystyle \underset{k_x,\sigma ,\sigma ^{}}{}}{\displaystyle \underset{Q}{}}e^{2iQa}\{\rho _{\sigma \sigma }(Q,T)C^{}(k_x,\sigma ^{})C(k_xQ,\sigma ^{})`$ (12)
$`+`$ $`\rho _{\sigma ^{}\sigma ^{}}^{}(Q,T)C^{}(k_x,\sigma )C(k_xQ,\sigma )\}`$ (13)
where $`I=U/N_\mathrm{S}`$. The self-consistent equation for the order parameter $`\rho _{\sigma \sigma }(Q,T)`$ at finite temperature, $`T`$, is given by

$`\rho _{\sigma \sigma }(Q,T)`$ $`=`$ $`I{\displaystyle \underset{k_x}{}}<C^{}(k_x,\sigma )C(k_xQ,\sigma )>.`$ (14)
In eqs. (7)-(10), we take the order parameters, $`\rho _{\sigma \sigma }(Q,T)`$, only between electrons with same spins. We do not consider the case of the mean field, $`\rho _{\sigma \overline{\sigma }}(Q,T)=I_{k_x}<C^{}(k_x,\sigma )C(k_xQ,\overline{\sigma })>`$ with $`\sigma \overline{\sigma }`$. We neglect the effect of the spin tilting to the $`xy`$ plane by setting $`\rho _{\sigma \overline{\sigma }}(Q,T)=0`$ in this mean field approximation. This simplification corresponds to the assumption that the rotational symmetry in the spin-space is broken and that the $`z`$-axis is the easy axis although the spin in this Hubbard model is isotropic. The magnetic field is applied perpendicular to the easy axis when $`H0`$.

In the Fulde-Ferrel-Larkin-Ovchinnikov state in the superconducutivity, the total moment of the Cooper pair is changed by the magnetic field. Similar situation may occur in SDW and CDW, i.e., the wave vector $`Q`$ may be changed by the magnetic field. However, such state will be stabilized only in the low temperature and strong magnetic field region and will not change the essential feature studied in this paper. Therefore, we take the possible wave vectors of the order parameters as $`Q=Q_0,2Q_0,3Q_0`$ and $`4Q_0`$ (equivalent to 0), where $`Q_0=2k_\mathrm{F}`$.

We evaluate the Helmholtz free energy by using the eigenvalue $`ϵ_j`$ and the unitary matrix $`U_{𝐤\sigma ,j}`$ obtained by diagonalizing the mean field Hamiltonian $`\widehat{𝒦}+\widehat{𝒰}^\mathrm{M}+\widehat{𝒱}^\mathrm{M}+\widehat{𝒱}_2^\mathrm{M}`$, where index $`j`$ includes the degree of the spin freedom. We determine the chemical potential $`\mu (\rho _{\sigma \sigma }(Q,T))`$ from $`N=1/4`$, where

$`N`$ $`=`$ $`{\displaystyle \underset{k_x,\sigma }{}}<C^{}(k_x,\sigma )C(k_x,\sigma )>`$ (15)
$`=`$ $`{\displaystyle \frac{1}{2N_\mathrm{s}}}{\displaystyle \underset{j=1}{\overset{2N_\mathrm{s}}{}}}\left[\mathrm{exp}\left({\displaystyle \frac{ϵ_j\mu }{T}}\right)+1\right]^1.`$ (16)
The self-consistency condition (eq. (10)) is given by

$`\rho _{\sigma \sigma }(Q,T)=I{\displaystyle \underset{k_x}{}}{\displaystyle \underset{j}{}}U_{(k_x,\sigma ),j}^{}U_{(k_xQ,\sigma ),j}f(ϵ_j),`$ (17)
where $`f(ϵ_j)`$ is the Fermi function.

We obtain the free energy per site

$`F(\rho _{\sigma \sigma }(Q,T))`$ $`=`$ $`2\mu n{\displaystyle \frac{T}{N_\mathrm{s}}}{\displaystyle \underset{j=1}{\overset{2N_\mathrm{s}}{}}}\mathrm{log}\left\{\mathrm{exp}\left({\displaystyle \frac{\mu ϵ_j}{T}}\right)+1\right\}`$ (18)
$``$ $`{\displaystyle \frac{1}{U}}{\displaystyle \underset{Q}{}}\rho _{}(Q,T)\rho _{}^{}(Q,T),`$ (19)
$``$ $`{\displaystyle \frac{V}{U^2}}{\displaystyle \underset{Q,\sigma ,\sigma ^{}}{}}e^{iQa}\rho _{\sigma \sigma }(Q,T)\rho _{\sigma ^{}\sigma ^{}}^{}(Q,T)`$ (20)
$``$ $`{\displaystyle \frac{V_2}{U^2}}{\displaystyle \underset{Q,\sigma ,\sigma ^{}}{}}e^{2iQa}\rho _{\sigma \sigma }(Q,T)\rho _{\sigma ^{}\sigma ^{}}^{}(Q,T),`$ (21)
At $`T=0`$ it reduces to the ground state energy per site

$`E(H,\rho _{\sigma \sigma }(Q,0))=`$ $`{\displaystyle \frac{1}{N_s}}{\displaystyle \underset{j=1}{\overset{N_s/2}{}}}ϵ_j{\displaystyle \frac{1}{U}}{\displaystyle \underset{Q}{}}\rho _{}(Q,0)\rho _{}^{}(Q,0),`$ (22)
$``$ $`{\displaystyle \frac{V}{U^2}}{\displaystyle \underset{Q,\sigma ,\sigma ^{}}{}}e^{iQa}\rho _{\sigma \sigma }(Q,0)\rho _{\sigma ^{}\sigma ^{}}^{}(Q,0)`$ (23)
$``$ $`{\displaystyle \frac{V_2}{U^2}}{\displaystyle \underset{Q,\sigma ,\sigma ^{}}{}}e^{2iQa}\rho _{\sigma \sigma }(Q,0)\rho _{\sigma ^{}\sigma ^{}}^{}(Q,0).`$ (24)
The electron density at the $`j`$ site, $`n(j,T)`$, its deviation from the mean value (1/2), $`\delta (j,T)`$, and the spin moment at $`j`$ site, $`S_z(j,T)`$, are given by

$`n(j,T)={\displaystyle \frac{1}{U}}{\displaystyle \underset{Q,\sigma }{}}\rho _{\sigma \sigma }(Q,T)e^{iQja}={\displaystyle \frac{1}{2}}+\delta (j,T),`$ (25)
and

$`S_z(j,T)={\displaystyle \frac{1}{2U}}{\displaystyle \underset{Q}{}}(\rho _{}(Q,T)\rho _{}(Q,T))e^{iQja}.`$ (26)
When $`T=0`$, $`n(j)n(j,0)`$, $`S_z(j)S_z(j,0)`$ and $`\delta (j)\delta (j,0)`$.

## III Results and Discussions

### A 2kF-SDW and 4kF-CDW

In this subsection, we take $`V_2=0`$ and $`T=0`$. It is known that the coexistent state of 2$`k_\mathrm{F}`$-SDW and 4$`k_\mathrm{F}`$-CDW are induced by $`U`$ and $`V`$.. Figs. 1 and 2 are $`S_z`$ and $`\delta `$ as a function of $`V/t`$ at $`U/t=5.0`$ and $`H=0`$. For $`0V0.39`$, the antiferromagnetic order (($``$,$``$,$``$,$``$), i.e., $`S_z(1)=S_z(2)=S_z(3)=S_z(4)`$) is stabilized and there is no charge order ($`\delta (1)=\delta (2)=\delta (3)=\delta (4)=0`$). The spin order of ($``$,$``$,$``$,$``$) has the wave vector of $`2k_\mathrm{F}`$. For $`V/t>0.39`$, the spin order becomes ($``$,0,$``$,0) ($`S_z(1)=S_z(3)`$, $`S_z(2)=S_z(4)=0`$) and the charge order ($`\delta `$,$`\delta `$,$`\delta `$,$`\delta `$) coexists, where $`\delta (1)=\delta (3)=\delta `$ and $`\delta (2)=\delta (4)=\delta `$. These orders, ($``$,0,$``$,0) and ($`\delta `$,$`\delta `$,$`\delta `$,$`\delta `$), mean $`2k_\mathrm{F}`$-SDW and $`4k_\mathrm{F}`$-CDW, respectively. These results were obtained by Seo and Fukuyama.

We show $`S_z`$ and $`\delta `$ for $`U/t=5.0`$ and $`V/t=05.0`$ as a function of perpendicular field ($`h_x\mu _\mathrm{B}H/t`$) in Figs. 3 and 4. The antiferromagnetic state is gradually suppressed up to the critical field ($`h_x^c`$=1.3, 1.3, 1.5, 1.8 and 2.4 for $`V/t`$=0, 1.0, 2.0, 2.5 and 5.0, respectively), as shown in Fig. 3, where $`S_z(1)=S_z(3)`$ and $`S_z(2)=S_z(4)=0`$. Upon increasing $`h_x`$ the charge order decreases and becomes zero when $`V/t=1.0`$, and the charge order becomes constant for $`h_x>h_x^c`$ when $`V/t1.5`$, as shown in Fig. 4, where $`\delta (1)=\delta (3)=\delta `$ and $`\delta (2)=\delta (4)=\delta `$. The $`h_x`$-dependence of the amplitude of $`S_z`$ is almost the same as eq. (1) when we set $`H_x^0`$ as $`H_x^0=th_x^c/\mu _\mathrm{B}`$, which is shown by solid lines in Fig. 3. From Figs. 3 and 4, we make the $`V`$-$`h_x`$ phase diagram, as shown in Fig. 5, where (0,0,0,0) means that the spin and charge orders do not exist. The dotted lines show the second order transition lines and the solid line show the first order transition lines. In the region of large $`h_x`$ and $`V`$, the state of $`4k_\mathrm{F}`$-CDW, ($`\delta `$,$`\delta `$,$`\delta `$,$`\delta `$), is stabilized.

The $`h_x`$ -dependence of the spin order can be understood by the mean field solutions of the Ising model mentioned in the introduction.

### B 2kF-SDW and 2kF-CDW

Here, $`V_2`$ is introduced, which favors the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW. We search the most stable solution at $`U/t=5.0`$, $`V/t=2.0`$, $`T=0`$ and $`H=0`$ by changing $`V_2`$. These $`V_2`$-dependences of the spin density and charge density are shown in Figs. 6 and 7. For $`0V_2/t1.4`$, the coexistent state of 2$`k_\mathrm{F}`$-SDW and 4$`k_\mathrm{F}`$-CDW is stable, while the state changes to the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW ((,$``$,$``$,), i.e., $`S_z(1)=S_z(4)<S_z(2)=S_z(3)`$) and (($`\delta `$,$`\delta `$,$`\delta `$,$`\delta `$), $`\delta (1)=\delta (4)=\delta `$ and $`\delta (2)=\delta (3)=\delta `$) for $`V_2/t>1.4`$. This transition is a first order transition.

The coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW obtained by Kobayashi et al. is ($``$,$``$,$``$,$``$) and ($`\delta `$, $`\delta `$, $`\delta `$, $`\delta `$), which is different from the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW ((,$``$,$``$,) and ($`\delta `$, $`\delta `$, $`\delta `$, $`\delta `$)). Since they limited the freedom of the order parameters, they could not find this coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW ((,$``$,$``$,) and ($`\delta `$, $`\delta `$, $`\delta `$, $`\delta `$)). They also indicated that the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW (($``$,$``$,$``$,$``$) and ($`\delta `$, $`\delta `$, $`\delta `$, $`\delta `$)) is suppressed when the dimerization is not included. In fact, we could not find the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW of ($``$,$``$,$``$,$``$) and ($`\delta `$, $`\delta `$, $`\delta `$, $`\delta `$) in the parameter region, ($`U/t=5.0`$, $`V/t=2.0`$ and $`V_2/t<2.0`$). However, as we show here, the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW ((,$``$,$``$,) and ($`\delta `$, $`\delta `$, $`\delta `$, $`\delta `$)) is stabilized even in the absence of the dimerization.

After we finished this study, we know the very recent study at $`T=0`$ and $`T0`$ in the absence of the magnetic field by Tomio and Suzumura. They calculate the mean field solution using the extended Hubbard model with $`V`$ and $`V_2`$. They show that the state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW ((,$``$,$``$,) and ($`\delta `$, $`\delta `$, $`\delta `$, $`\delta `$)) coexists even if the dimerization is not included, too.

We analyze the coexistent state of $`2k_\mathrm{F}`$-SDW and $`2k_\mathrm{F}`$-CDW under magnetic fields at $`0V_2/t2.0`$. In the case of the perpendicular field ($`h_x`$), the state of (,$``$,$``$,) and ($`\delta `$,$`\delta `$,$`\delta `$,$`\delta `$) becomes the one of ($``$,$``$,$``$,$``$) and (0,0,0,0) ($`\delta (1)=\delta (2)=\delta (3)=\delta (4)=0`$) at $`0.75<h_x<1.25`$, which is shown in Figs. 8 and 9. We can see that the coexistent state of $`2k_\mathrm{F}`$-SDW and $`2k_\mathrm{F}`$-CDW changes to the state of $`2k_\mathrm{F}`$-SDW. This transitions is the second order phase transition, since $`|S_z(1)|`$ and $`|S_z(3)|`$ ($`|S_z(2)|`$ and $`|S_z(4)|`$) increase (decrease) gradually, and (,$``$,$``$,) changes to ($``$,$``$,$``$,$``$) smoothly. When $`h_x>1.25`$, the $`2k_\mathrm{F}`$-SDW state disappears. For $`0V_2/t1.4`$, as $`h_x`$ increases, the spin density in the coexistent state of $`2k_\mathrm{F}`$-SDW and $`4k_\mathrm{F}`$-CDW decrease and becomes zero at $`h_x^c=1.3,1.3,1.3`$ and 1.5 for $`V_2/t=1.4,1.0,0.5`$ and 0, as shown in Fig. 10, where $`S_z(1)=S_z(3)`$ and $`S_z(2)=S_z(4)=0`$. When we set $`H_x^0`$ as $`H_x^0=th_x^c/\mu _\mathrm{B}`$, the $`h_x`$-dependence of $`S_z`$ is in agreement with eq. (1), which is shown by solid line in Fig. 10. The order of $`4k_\mathrm{F}`$-CDW becomes nonzero at the higher field for $`V_2/t<0.5`$, as shown in Fig. 11, where $`\delta (1)=\delta (3)=\delta `$ and $`\delta (2)=\delta (4)=\delta `$. We show the $`V_2`$-$`h_x`$ phase in Fig. 12, where the solid line is for the first order transition and the dotted lines are for the second order transitions.

### C Finite Temperature

We show $`S_z`$ and $`\delta `$ as a function of $`T`$ at $`H=0`$. At $`U/t=5.0`$ and $`V_2/t=0`$, $`S_z`$ and $`\delta `$ as a function of $`T`$ for various values of $`V`$ are shown in Figs 13 and 14, where $`S_z(1,T)=S_z(2,T)=S_z(3,T)=S_z(4,T)`$ for $`V/t=0`$ and $`S_z(1,T)=S_z(3,T),S_z(2,T)=S_z(4,T)=0`$, $`\delta (1,T)=\delta (3,T)=\delta (T)`$ and $`\delta (2,T)=\delta (4,T)=\delta (T)`$ for $`V/t=0.55.0`$. As $`V`$ increases, the critical temperatures ($`T_{\mathrm{SDW}}`$ and $`T_{\mathrm{CDW}}`$) at which $`S_z`$ and $`\delta `$ become zero increase. The $`T`$-dependences of $`n`$ for $`V/t=3.0`$, 4.0 and 5.0 have a dip at $`T_{\mathrm{SDW}}`$ for $`V/t=3.0`$, 4.0 and 5.0, which can be seen in Fig. 14. We show the $`V`$-$`T`$ phase diagram in Fig. 15, where the solid and dotted lines are for the first and the second order transitions, respectively. Note that $`T_{\mathrm{CDW}}>T_{\mathrm{SDW}}`$ for $`V/t>2.0`$, that is, the charge order remains even if the spin order disappears under high temperatures.

As we have shown above, the coexistent state of $`2k_\mathrm{F}`$-SDW and $`2k_\mathrm{F}`$-CDW ((,$``$,$``$,) and ($`\delta `$,$`\delta `$,$`\delta `$,$`\delta `$)) are stabilized for $`V_2/t>1.4`$ at $`T/t=0`$ (see Figs. 6 and 7). At $`T/t0`$, for example, for $`V_2/t=1.6`$ as $`T`$ increases, the magnitudes of $`S_z`$ and $`n`$ decreases and the second order transition to the state of $`2k_\mathrm{F}`$-SDW (($``$,$``$,$``$,$``$)) occurs, as shown in Figs. 16 and 17. Namely, $`T_{\mathrm{CDW}}T_{\mathrm{SDW}}`$ in the coexistent state of $`2k_\mathrm{F}`$-SDW and $`2k_\mathrm{F}`$-CDW. For $`V_2/t<1.4`$, $`T_{\mathrm{CDW}}`$ in the coexistent state of $`2k_\mathrm{F}`$-SDW and $`4k_\mathrm{F}`$-CDW is the same as $`T_{\mathrm{SDW}}`$, as shown in Figs. 18 and 19, where $`S_z(1,T)=S_z(3,T),S_z(2,T)=S_z(4,T)=0`$, $`\delta (1,T)=\delta (3,T)=\delta (T)`$ and $`\delta (2,T)=\delta (4,T)=\delta (T)`$. We show the $`V_2`$-$`T`$ phase diagram in Fig. 20, where the solid and dotted lines are for the first and the second order transition lines, respectively.

Our phase diagrams ($`V`$-$`T`$ and $`V_2`$-$`T`$) are in good agreement with those obtained by Tomio and Suzumura.

## IV Conclusions

We have shown the different dependences of the magnetic field and temperatures on the 2$`k_\mathrm{F}`$-SDW-2$`k_\mathrm{F}`$-CDW coexistent state and 2$`k_\mathrm{F}`$-SDW-4$`k_\mathrm{F}`$-CDW coexisting state.

When $`V_2`$ is absent or small, the coexistent state of 2$`k_\mathrm{F}`$-SDW and 4$`k_\mathrm{F}`$-CDW is stable. Then the charge order survives at high fields in the case of the perpendicular magnetic field to the easy axis when $`V/t>2.0`$ . This situation may be realized in (TMTTF)2$`X`$, where 4$`k_\mathrm{F}`$-CDW is expected to be observed in X-ray scattering measurements under high fields.

On the other hand, if $`V_2`$ is large enough, the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW is stabilized. When the magnetic field is applied perpendicular along the easy axis, the coexistent state of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW changes to 2$`k_\mathrm{F}`$-SDW state. This transition is the second order phase transition, and (,$``$,$``$,) becomes ($``$,$``$,$``$,$``$). This transition may be observed in the angle dependence of satelite peak positions of NMR in (TMTSF)2PF6.

The critial temperature of the charge order ($`T_{\mathrm{CDW}}`$) is higher than that of the spin order ($`T_{\mathrm{SDW}}`$) in the coexistent phase of 2$`k_\mathrm{F}`$-SDW and 4$`k_\mathrm{F}`$-CDW when $`V/t>2.0`$. This is in good agreement with $`T_{\mathrm{SDW}}13`$ K and $`T_{\mathrm{CDW}}100`$ K observed in X-ray scattering in (TMTTF)2Br. Since $`T_{\mathrm{CDW}}`$ is convergent to $`T_{\mathrm{SDW}}`$ for $`V/t<2.0`$, we expect that the critical temperatures of 2$`k_\mathrm{F}`$-SDW and 4$`k_\mathrm{F}`$-CDW will become the same when the pressure is applied to (TMTTF)2Br.

In the coexistent phase of 2$`k_\mathrm{F}`$-SDW and 2$`k_\mathrm{F}`$-CDW, we find that $`T_{\mathrm{CDW}}T_{\mathrm{SDW}}`$, which is consistent with the X-ray scattering measurement in (TMTSF)2PF6, where $`T_{\mathrm{CDW}}T_{\mathrm{SDW}}`$.

## V Acknowledgment

The authors would like to thank T. Sakai, K. Machida, Y. Nogami, Y. Suzumura and Y. Tomio for valuable discussions.


text:
# HST spectroscopy of the double QSO HS 1216+5032 ABBased on observations with the NASA/ESA Hubble Space Telescope, obtained at the STScI, which is operated by AURA, Inc., under NASA contract NAS5–26 555.

## 1 Introduction

HS 1216+5032 was discovered in the course of the Hamburg Quasar Survey (Hagen et al. Hagen1 (1995)). It was later confirmed as a double QSO at $`z_e=1.45`$ by Hagen et al. (Hagen (1996)) through direct images and low-resolution (FWHM $`20`$ Å) spectroscopy in the optical range. The $`B`$ magnitudes of the bright and faint QSO images (hereafter “A” and “B”, respectively) are $`B_\mathrm{A}=17.2`$ and $`B_\mathrm{B}=19.0`$. The separation angle between A and B is $`\theta =9\stackrel{}{.}1`$, and the emission redshifts are $`z_e(\mathrm{A})=1.455`$ and $`z_e(\mathrm{B})=1.451`$. From the available optical data of HS 1216+5032 AB there appears to be some evidence favoring its physical-pair nature instead of a gravitational lens origin (this subject will be discussed in §6.1), so the projected distance111Throughout this paper we assume an $`(\mathrm{\Omega }_0,\mathrm{\Lambda }_0)=(1,0)`$ cosmology and define $`h_{50}H_0/(50`$ km s-1Mpc$`{}_{}{}^{1})`$. between LOSs as a function of redshift is known ($`78h_{50}^1`$ kpc at $`z_e`$).

This paper presents ultraviolet (UV) spectra of QSO A and B taken with the Faint Object Spectrograph (FOS) on-board the Hubble Space Telescope (HST). The prime goal of these observations was originally to investigate the Ly$`\alpha `$ forest in the little explored redshift range between $`z=0.8`$ and $`z=1.4`$. In particular, the projected separation between the LOSs to HS 1216+5032 A and B is convenient because it samples well the expected Ly$`\alpha `$ cloud sizes of hundreds of kpc.

For the redshift range accessible from the ground, a pioneering work on cloud sizes was made by Smette et al. (Smette1 (1992)) using the gravitationally lensed double QSO UM 673 ($`\theta =2\stackrel{}{.}2`$) with known lens geometry. All observed Ly$`\alpha `$ lines were observed to be common to both spectra and a statistical lower limit of $`D>12`$ $`h_{50}^1`$ kpc could be set for the transverse sizes (spherical clouds, no evolution). A similar result (Smette et al. Smette (1995)) was found for HE 1104$``$1805 AB ($`\theta =3\mathrm{}`$) but here the position of the lens $`z_\mathrm{l}`$ was unknown. A transverse size of $`D>60h_{50}^1`$ kpc was estimated for $`z_\mathrm{l}1`$.

Surprisingly, QSO pairs at very large projected distances seem to still show Ly$`\alpha `$ lines common to both spectra. In the spectra of LB 9605 and LB 9612 ($`\theta =1\stackrel{}{.}65`$), Dinshaw et al. (Dinshaw1 (1998)) find 5 such lines within $`400`$ km s-1 and derive a most probable diameter of $`1520`$ $`h_{50}^1`$ kpc at $`1<z<1.7`$. If the lines arise in different absorbers, however, an upper limit of $`1140`$ $`h_{50}^1`$ kpc is derived. Further studies in the optical range have been carried out by Dinshaw et al. (Dinshaw (1994); $`\theta =9\stackrel{}{.}5`$, $`D>160`$ $`h_{50}^1`$ kpc at $`1.7<z<2.1`$) and Crotts et al. (Crotts (1994); same results).

At low redshift ($`z1.5`$), Ly$`\alpha `$ clouds show a very flat redshift distribution: only $`16\pm 2`$ Ly$`\alpha `$ lines with $`W_0>0.32`$ Å are expected in the wavelength interval covered by the FOS on the HST (Weymann et al. Weymann1 (1998)). Therefore, the size-estimate uncertainties for low-redshift Ly$`\alpha `$ absorbers are large. Studies using FOS spectra of QSO pairs have been made by Dinshaw et al. (Dinshaw2 (1997); $`\theta =1\stackrel{}{.}29`$, $`D>600`$ $`h_{50}^1`$ kpc at $`0.5<z<0.9`$), and more recently by Petitjean et al. (Petitjean (1998); $`\theta =36\mathrm{}`$, $`D500`$ $`h_{50}^1`$ kpc at $`0.8<z<1.4`$).

All the aforementioned limits on Ly$`\alpha `$ cloud sizes result from rather crude models which assume non-evolving and uniform-sized absorbers. Such simple models might be unrealistic, as suggested for example by a trend of larger size estimates with larger LOS separation (Fang et al. Fang (1996)) or by the claim (Fang et al. Fang (1996), Dinshaw et al. Dinshaw1 (1998)) that the cloud size increased with cosmic time. However, we note that none of the above claims is confirmed by D’Odorico et al. (D'Odorico (1998)), using a larger database. Clearly, the issues of geometry and size of Ly$`\alpha `$ absorbers remain open due partly to a lack of size estimates at low redshift.

In this paper we use a likelihood analysis (§ 6) that attempts to constrain the size of Ly$`\alpha `$ clouds in front of HS 1216+5032 A and B based on simple considerations on shape and evolution. We model the absorbers either as non-evolving spheres or as filaments. The technique takes advantage of the information provided by line pairs observed in both spectra at the same redshift, hereafter referred to as “coincidences”, and Ly$`\alpha `$ lines observed only in one spectrum, referred to as “anti-coincidences”. A likelihood function is then constructed using an analytic expression for the probability of getting the observed number of coincidences and anti-coincidences in each of the two geometries.

In general, modelling the geometry of Ly$`\alpha `$ absorbers at low redshift on the basis of line counting is made difficult because the line samples are intrinsically small, implying a poor statistics. In addition, HS 1216+5032 B shows broad absorption lines (BALs) caused by several ions with transitions in the UV, so the effective redshift path for the detection of Ly$`\alpha `$ lines is even shorter.

Intervening metal absorption lines of interest are presented in § 4. The BAL systems are described in § 5. The conclusions are outlined in § 7.

## 2 Data reduction

### 2.1 Observations and wavelength calibration

UV spectra of HS 1216+5032 A and B were obtained on 1996 November 6 with the FOS on board the HST. Target acquisition and spectroscopy were done using Grating G270H with the red detector and the $`3.{}_{}{}^{\prime \prime }7\times 3.{}_{}{}^{\prime \prime }7`$ aperture. This configuration yields a spectral resolution of FWHM $`=2`$ Å and a wavelength coverage from 2222 Å to 3277 Å (Schneider et al. Schneider (1993)). Total integration times were 1980 and 10400 s for QSO components A and B, respectively. The spectrum of image B resulted from the variance-weighted addition of four exposures. The signal-to-noise ratios at Ly$`\alpha `$ emission are S/N $`=40`$ (A) and $`25`$ per $`0.5`$ Å pixel, falling down to 15 in the blue part of the A spectrum, and to near one at the BAL troughs in B.

The flux-calibrated spectra and their associated 1 $`\sigma `$ errors are shown in Figure 1. The dotted lines represent the continua (§ 2.3) and the tick-marks indicate the position of $`3\sigma `$ absorption lines (§ 3).

Since we are interested in comparing absorption systems along both LOSs, we must check for possible small misalignments of the zero-point wavelength scale between both spectra. Such differences may arise when the targets have not been properly centered in the aperture of the FOS, and/or when – unlike here – the science and wavelength calibration exposures have not been performed consecutively. Galactic absorption lines common to both spectra were then required to appear at the same wavelength, under the assumption that both LOSs cross the same cloud (which should be true for the small separation between LOSs at $`z0`$). There are two Galactic absorption lines, Fe ii $`\lambda 2600`$ and Mg ii $`\lambda 2796`$, common to both spectra and apparently not contaminated with intergalactic lines. For these lines $`\mathrm{\Delta }\lambda `$(Fe ii $`\lambda 2600`$)$`=9`$ km s-1 and $`\mathrm{\Delta }\lambda `$(Mg ii $`\lambda 2796`$)$`=+4`$ km s-1 are obtained, which lie within the fitting procedure errors ($`10`$ km s-1) and the FOS limiting accuracy ($`20`$ km s-1). These small differences imply that both spectra are well-calibrated; consequently, we made no corrections to the zero-point wavelength scale.

### 2.2 Emission redshifts

To derive the emission redshift of HS 1216+5032 A the Ly$`\alpha `$ emission peak was fitted with a Gaussian in the region between 2959 and 3005 Å. Excluding the wavelength regions with absorption features in the blue wing of the line yields $`z_e(\mathrm{A})=1.4545\pm 0.0001`$, where the $`1\sigma `$ error comes from the wavelength uncertainty. For QSO component B, a similar analysis is extremely difficult because the Ly$`\alpha `$ emission line is severely distorted by the Ly$`\alpha `$ and N v BALs. Fitting instead the N v emission peak between 3016 and 3065 Å, and using the mean rest-frame wavelength of the doublet $`\lambda _0`$(N v)$`=1240.15`$ Å, yields $`z_e(\mathrm{B})=1.4509\pm 0.0006`$. In the following we adopt the nominal values $`z_e`$(A)$`=1.455`$ and $`z_e`$(B)$`=1.451`$.

The redshifts of A and B are not the same within measurement errors, with QSO component B being blueshifted by $`400`$ km s-1 relative to A. Different emission redshifts are expected in the physical pair hypothesis, but the measured difference between HS 1216+5032 A and B cannot rule out the possibility that the QSO may still be gravitationally lensed. This is because two different transitions, Ly$`\alpha `$ and N v, are being compared and blueshifts of a few hundreds km s-1 between high and low-ionization emission lines are common (e.g., Hamann et al. Hamman (1997); Tytler & Fan Tytler (1992)). This point is further discussed in § 6.1.

Other prominent emission lines in the spectrum of A are: O vi $`\lambda 1033`$ (blended with Ly$`\beta `$) and probably C iii $`\lambda 977`$ and S iv $`\lambda 1062`$. In the spectrum of B, the BAL troughs allow clear identification of only Ly$`\alpha `$ and N v $`\lambda 1240`$, but the “undulating” shape of the observed flux for $`\lambda <2600`$ Å suggests that S vi $`\lambda 939`$, C iii $`\lambda 977`$, N iii $`\lambda 990`$, O vi $`\lambda 1033`$, and S iv $`\lambda 1062`$ have broad absorption troughs on the blue side of the expected QSO rest wavelengths.

### 2.3 Continuum fitting

Due to line blending in the Ly$`\alpha `$ forest, defining a quasar continuum shortward of Ly$`\alpha `$ emission is not trivial at our resolution. For B, this difficulty is increased by the BAL profiles. A power-law shaped continuum $`f\nu ^\alpha `$, although an acceptable representation in the optical range, is definitively not able to fit even the UV continuum spectrum of quasar image A, leaving residuals far larger than 3 $`\sigma `$ at apparently featureless spectral regions.

We decided to fit the UV QSO continuum for each spectrum with cubic splines, using the following simple and semi-automated fit algorithm. First, cubic splines are fitted through a given number of points $`(x_i,y_i)`$ thought to represent the continuum, typically 50 in each spectrum. The point ordinates $`y_i`$ are then corrected by an amount, such that the mean of the differences between the new ordinate and all the flux values within $`1\sigma `$ (defined by the first fit) in a 6 Å wide spectral window around $`x_i`$ equals zero. The corrected $`(x_i,y_i)`$ are used to perform a new fit. This procedure is iterated until it converges to a reasonable continuum, provided enough featureless regions are available in the data. The fit routine is robust in the sense that different start values always lead to the same continuum, but the spectral windows need to be carefully chosen, especially in the B spectrum. The final continuum is shown as dotted line in Fig. 1. Note that we have not attempted to model the QSO intrinsic continuum of B, which is evidently distorted by the BALs. Division of the flux by this continuum results in the normalized spectra of HS 1216+5032 A and B.

## 3 Absorption line parameters and identifications

Tables 1 and 2 list absorption lines found at the $`3\sigma `$ level in HS 1216+5032 A and B, respectively. Lines in the normalized spectra were fitted with Gaussian profiles without constraints in central wavelength, width or amplitude. In the case of obvious blends two or more Gaussian components were fitted simultaneously.

The fit routine attempts to minimize $`\chi ^2`$ between model and data, considering $`1\sigma `$ flux errors (flat-fielding, background subtraction and photon statistics noise); but the uncertainties introduced by the continuum placement are not included.

An inherent feature of $`\chi ^2`$ minimization is the non-uniqueness of the solution due to the eventual presence of more than one minimum in the parameter space. In those cases, the fit can lead not only to wrong parameter estimations but also to underestimated parameter errors. To handle with this problem, instead of defining a rejection parameter we simply performed several fit trials taking different wavelength ranges to see how robust a particular solution was. In general, there were no significant changes in the resulting parameters due to a different choice of the fitting interval, thus giving us confidence on the results. However, some fits yield $`\chi _\nu ^2<1`$. Assuming that the $`1\sigma `$ flux errors are not overestimated, such behaviour can occur by chance, especially when too few pixels are considered in the fit.

The equivalent-width error estimates are generally larger than the propagated error if the flux values are integrated along a line. This is because the former errors consider the correlation between all three free parameters. This is not the case for multicomponent fits, where the errors in equivalent width may be overestimated since the fit algorithm does not consider that the strengths and widths of neighbour lines in blends are anti-correlated.

Concerning the line widths, note that several FWHM values in Tables 1 and 2 are slightly larger than the nominal width of the line spread function (LSF), $`2`$ Å. This is caused by the difficulty in resolving absorption structures separated by less than $`200`$ km s-1, since single-line fits of closely lying line complexes (blends) will inevitably lead to large widths. On the other hand, in few cases the measured lines are narrower than the LSF. While this might partly be caused by a too low placement of the continuum near emission lines and BAL troughs in the B spectrum, it is certainly not the case for all the narrow lines in the A spectrum. In the latter case fitting weak lines also leads to low FWHM values (with large associated errors), thus reflecting the limitations of the $`\chi ^2`$ minimization using too few pixels.

BAL profiles in the B spectrum have been fitted with multicomponent Gaussians to better constrain their equivalent widths, but these fits do not necessarily represent the actual nature of the BAL profiles (see § 5). For consistency, Tables 1 and 2 include the Gaussian parameters of BAL profiles.

Absorption lines were identified manually, using vacuum wavelengths and oscillator strengths taken from Verner et al. (Verner (1994)). The identification of lines is not easy because of the low resolution and the lack of optical data; but it is especially difficult in the B spectrum because narrow intergalactic lines are hidden among the BALs. We looked first for interstellar absorption lines in both spectra. The Mg ii $`\lambda 2796,2803`$ doublet and the Fe ii lines at 2586 Å and 2600 Å are detected in both spectra; the Fe ii lines at 2344 Å and 2382 Å are detected at $`3\sigma `$ only in the A spectrum (while in the B spectrum Fe ii $`\lambda 2382`$ would appear at the position of BAL C iii $`\lambda 977`$). The next step was to search for C iv systems and their associated Ly$`\alpha `$ and prominent metal lines. In addition, two Mg ii systems at $`z=0.04`$ (§ 4.2) and $`1.14`$ could be identified in the spectrum of B through the positions of the doublet lines and their relative strengths. Due to their secure identification, C iv $`\lambda 1548,1550`$ and Mg ii $`\lambda 2796,2803`$ lines with $`\mathrm{SNR}<3`$ have been retained in Tables 1 and 2, which otherwise contain only lines with $`\mathrm{SNR}>3`$. Ly$`\alpha `$ lines with redshifts of $`1.16<z<z_e`$ were identified through the corresponding Ly$`\beta `$ and Ly$`\gamma `$ lines, if present. Lines A45, A46, B37, and B38 mimic a C iv doublet at $`z=0.88`$, but since no significant absorption by H i is detected at this redshift, they have been counted as Ly$`\alpha `$ lines. The remaining lines have been considered to be Ly$`\alpha `$ lines and will be discussed in § 6.

## 4 Metal absorption systems in HS 1216+5032 A and B

We now give a description of the most remarkable metal absorption systems observed in HS 1216+5032 A and B: a Mg ii system at $`z=0.04`$, and a strong C iv system at $`z=0.72`$.

### 4.1 The C iv systems at $`z=\mathit{0.72}`$ in HS 1216+5032 A and B

Three strong C iv systems at $`z=0.717`$, $`0.721`$ and $`0.726`$ are identified through the $`\lambda \lambda 1548,1550`$ doublets at $`\lambda 2660`$ Å in both spectra of HS 1216+5032. Although some of the C iv lines are under the $`3\sigma `$ significance level, the well-determined redshifts of the doublet components make their identification unambiguous; consequently, all six C iv lines appear in Tables 1 and 2.

The rest frame equivalent widths of the $`\lambda 1548`$ lines range between $`0.36`$ and $`1.03`$ Å in the A spectrum, and between 0.72 and 1.19 Å in B. The large column densities implied by these line strengths, make this system a firm candidate for a Lyman-limit system (Sargent, Steidel & Boksenberg Sargent (1989)). Also, the large line widths in A and B, FWHM $`>2`$ Å, suggest that these C iv systems will reveal several narrower components at higher resolution.

No further metal lines are found at these redshifts. Line A13 could be identified with Si iv $`\lambda 1393`$ at $`z=0.717`$, but two strong Ly$`\alpha `$ lines at $`\lambda =2410`$ Å make the detection of the second doublet line impossible. No transitions by low-ionization species (e. g., C ii $`\lambda 1334`$) are detected. In the low-resolution optical spectrum of HS 1216+5032 B (see Fig.  in Hagen et al. Hagen (1996)), a significant absorption feature at $`\lambda =4816`$ Å could tentatively be identified with a Mg ii $`\lambda 2796,2803`$ doublet associated to these C iv systems, but no absorption feature is seen at this wavelength in the optical spectrum of A.

The small velocity differences of $`\mathrm{\Delta }v_{\mathrm{A}\mathrm{B}}68\pm 28`$ km s-1, $`52\pm 31`$ km s-1, and $`116\pm 30`$ km s-1 at $`z=0.717`$, $`0.721`$ and $`0.726`$, respectively, between the C iv lines in A and the corresponding ones in B suggest strongly that these C iv systems are physically associated. Therefore, the large velocity span of roughly $`1500`$ km s-1 along each LOS can only be explained if the gas is virialized by a cluster of galaxies. The virial mass within the radius given by the half separation between the LOSs is derived to be $`10^{13}`$ M. Consequently, if C iv systems arise in the extended halos of galaxies (Bergeron & Boisse Bergeron (1991)), the present data gives evidence that the C iv absorbers at $`z=0.72`$ in HS 1216+5032 A and B arise either in the highly ionized intra-group gas of a galaxy cluster, or in small structures associated with the cluster.

The whole absorption complex shows an asymmetry in the sense that the weakest system in spectrum A has the same redshift as the strongest in B: the ratio of the $`\lambda 1548`$ line’s equivalent width in A to that in B varies between 1.4 and 3.3. If C iv systems in A and B with similar redshifts are physically associated, then the different line strengths have direct implications for the size of these absorbers. This is because such gas inhomogeneities imply that the LOSs sample the clouds on spatial scales similar to the transverse cloud sizes. The interpretation remains valid if the lines in the present FOS spectra result from many unresolved velocity components, because in that case stronger lines result from more narrow components than weaker lines do, a picture that is still compatible with gas inhomogeneities. All these three C iv absorption systems should therefore arise in clouds with characteristic transverse lengths of $`75h_{50}^1`$kpc, larger than the statistical lower limits of $`30h_{50}^1`$kpc derived by Smette et al. (Smette (1995)) for C iv absorbers at $`z1.5`$.

Alternatively, it is still possible that the C iv absorption is correlated in redshift, but occurs in distinct, separated structures. At higher resolution, Rauch (Rauch1 (1997)) has shown that in gas associated with metal systems density gradients on sub-kpc scales are not uncommon. The logical conclusion would be that C iv absorbers are composed of a large number of small cloudlets. However, if that is the case of the $`z=0.72`$ absorbers, the correlation in redshift between lines in A and B is difficult to explain without invoking cloudlets aligned along a filamentary or sheet-like structure.

### 4.2 A Mg ii System at $`z=\mathit{0.04}`$ in HS 1216+5032 B?

There is a strong and blended feature at $`\lambda 2920`$ Å in the B spectrum for which we do not find any plausible identification with other observed metal systems. One possible identification is absorption by two Mg ii $`\lambda \lambda 2796,2803`$ doublets at $`z=0.043`$ and $`z=0.044`$. Although the Gaussian profile fit is not able to resolve the single lines in the red trough of the absorption feature, the identification is supported by a good match between the line positions and profiles of the doublet. The red wing of the whole absorption feature could be blended with a Ly$`\alpha `$ line because it coincides quite well with a strong Ly$`\alpha `$ line at $`z=1.4`$ in A (A47). However, no Fe ii lines are detected at this redshift, nor further transitions by low-ionization species. The Mg i $`\lambda 2852`$ line is possibly present, but the match in wavelength with line B50, $`\mathrm{\Delta }\lambda 1.4`$ Å, is not very good. Under the Mg ii-hypothesis, the total rest-frame equivalent width of the stronger Mg ii doublet component would be $`W_0=3.97`$ Å, which is somewhat larger than typical values found in gas associated with damped Ly$`\alpha `$ (DLA) systems at high redshift (Lu et al. Lu (1996)) or in the Milky Way (Savage et al. Savage (1993)). This could be explained if the lines are indeed made up of several narrower components, as usually seen in DLA systems. The redshift difference between both Mg ii systems implies a velocity span of roughly 300 km s-1, also typical of DLA systems. Therefore, there is some evidence that these Mg ii lines might be associated with a DLA system at $`z=0.04`$.

Regardless of the DLA-system interpretation, however, even the absence of Fe ii and – possibly – also Mg i lines associated with Mg ii of such a strength is difficult to explain considering the incidence of the former ions in Mg ii-selected samples (e.g., Bergeron & Stasinska Bergeron2 (1986); Steidel & Sargent Steidel (1992)). Consequently, an alternative identification of the $`\lambda 2920`$ Å feature as H i $`\lambda 1215`$ BAL at $`v\mathrm{6\hspace{0.17em}000}`$ km s-1 (see §5 and Figure 2) must be considered as well. The absence of a corresponding H i $`\lambda 1025`$ BAL profile, however, is also in this case remarkable, but could be explained if the absorber does not completely cover the continuum source (see below).

## 5 The BAL systems in HS 1216+5032 B: Some Qualitative Inferences

Three BAL systems are observed in the UV spectrum of HS 1216+5032 B (see Fig. 2, where the system redshifts have been arbitrarily numbered 1, 2, and 3). Absorption by H i, C iii, N iii, and possibly S iv is observed in at least two of the systems, while O vi and N v are present in all three systems. C ii is observed only in system 2, and N iii in systems 2 and 3.

Many features distinguish these systems from the most commonly observed BAL systems (e.g., Turnshek et al. Turnshek (1996)): (1) the lines are particularly weak and several line profiles are not distorted by/or blended with other BALs; (2) the maximum outflow velocity $`v\mathrm{5\hspace{0.17em}000}`$ km s-1 is small compared with typical BALQSOs, which exhibit terminal velocities of several $`10^4`$ km s-1(Turnshek Turnshek1 (1984)); (3) C ii is present (see Wampler et al. Wampler (1995) for other BAL QSO spectrum with singly-ionized species; Arav et al. 1999b ); (4) the strength of H i in systems 2 and 3 decreases more slowly at the red edge of the troughs (Turnshek Turnshek1 (1984)).

Also remarkable is the undulating shape of the absorbed continuum for $`\lambda <2700`$ Å (see Fig. 1). The position of the flux depressions coincides quite well with the blue wing of expected emission lines by C iii, N iii, Ly$`\beta `$, and O vi. This coincidence seems to suggest that the absorption is indeed dominated by very broad line components, which determine the continuum shape, superimposed to the narrower components, here labeled as systems 1, 2 and 3. The same effect, although less remarkable, is observed for S iv and S vi, thus giving evidence for absorption by these ions associated with the BAL phenomenon (also reported for another QSO by Arav et al. 1999a ).

It is customary to define BALs as a continuous absorption with outflow velocities larger than $`\mathrm{3\hspace{0.17em}000}`$ km s-1 from the emission redshift (Weymann et al. Weymann2 (1991)) to make a distinction between BAL systems and “associated systems”. However, as pointed out by Arav et al. (1999b ), such definition does not hold any physical meaning. In our case, systems 1 and 2 should be then classified as associated systems but, due to our poor resolution, it is not possible to establish whether the line profiles are produced by continuous absorption or whether they are made of several narrower velocity components (as observed in associated systems). The metal lines in these systems (e.g. the N v and O vi doublet lines) are relatively narrow and their widths could be dominated by the instrumental profile (for H i in system 2, however, the situation is less clear). Therefore, the classification of systems 1 and 2 as BAL systems must be considered solely instrumental.

High-resolution spectra of BAL QSOs (Hamann et al. Hamman (1997)) show that BAL profiles do not necessarily result from an ensemble of discrete narrow, unresolved lines, but as part of a mixture of a continuously accelerated outflow and overlapping narrow components with different non-thermal velocity dispersions. For the systems in HS 1216+5032, it can be assumed that a similar mixture of line widths is present, with the broad components dominating over the narrow ones. In that case, these line profiles should not look so different at higher resolution (with exception, maybe, of systems 1 and 2).

Ionization models have shown that BAL clouds span a range of densities and/or distances from the ionizing source (Turnshek et al. Turnshek (1996); Hamann et al. Hamman1 (1995)). Fig. 2 shows that, while the high-ionization species N v and O vi are present in all three systems in HS 1216+5032, H i, C ii and doubly-ionized species are absent in system 1. A possible explanation is that the ionization conditions could change with outflow velocity, with higher ionization level for redshifts closer to $`z_e`$. However, a quantitative study of the ionization conditions in these BAL clouds with the present data is made difficult by our inability to reliably establish the continuum level at the BAL troughs and thus determine column densities (besides the fact that nonblack saturation of the line profiles might be present; see Arav et al. 1999a ).

Nevertheless, a more quantitative study of the BAL phenomenon in HS 1216+5032 B should be possible using higher resolution HST spectra to better estimate the QSO continuum and to identify spurious lines at the BAL troughs. In particular, BAL system 2 can be studied in more detail because it shows more ions and less contamination by narrow absorption lines at the lines lying in the Ly$`\alpha `$ forest. On the other hand, alone medium-resolution optical spectra should considerably improve our knowledge of the BAL systems in HS 1216+5032 through the line profiles of C iv, C iii, and possibly Mg ii, which we suspect to be present given the presence of C ii. The width of the trough in system 2 is sufficiently small to study nonblack saturation effects via doublet ratios provided the emission line profiles can be determined (e.g., at the position of the C iv BAL). Thus, corrected column densities for system 2 appear as very suitable to reliably examine photoionization models because the radiation fields can be constrained by the presence of low-ionization species.

## 6 Ly$`\alpha `$ absorption systems

We now describe the Ly$`\alpha `$ forest lines observed in the spectra of HS 1216+5032 A and B. The projected separation between LOSs samples well the expected cloud sizes of hundreds of kpc if the QSO pair is real (see next subsection). However, the effective redshift path where Ly$`\alpha `$ lines can in principle be detected is blocked out by the broad absorption lines in the B spectrum, so the line samples will be small.

### 6.1 Lensed or Physical Pair?

The nature of the double images in HS 1216+5032 is not clearly established yet. Maybe the strongest arguments favoring HS 1216+5032 AB as a physical-pair instead of a gravitational lens origin are: (1) BALs are observed only in the spectrum of the B image;222 Curiously, another QSO pair separated by $`9\mathrm{}`$, Q1343+266, also shows BALs in only one spectrum. On the basis of the irregular flux ratio in the optical range, Crotts et al. (Crotts (1994)) find evidence that this is a genuine QSO pair. From the optical spectra of HS 1216+5032 AB (Hagen et al. Hagen (1996)), however, a similar argument is less clear.  (2) no extended, luminous object is detected between (or even close to) the QSO images down to $`m_R=22.5`$; and (3) gravitationally lensed QSO pairs normally have image separations $`\theta 3\mathrm{}`$ (e.g., Kochanek, Falco & Muñoz Kochanek (1999)). In addition, the absence of a trend for equivalent widths of intervening Ly$`\alpha `$ lines common to both spectra to become similar at redshifts closer to $`z_e`$ (see Fig. 4 and Table 3) also argues for a physical-pair; however, this argument is weak as the sample of common lines is too small. Unfortunately, for reasons given in § 2.2, it is not possible to establish whether there are differences between A and B in the emission line redshifts and line shapes in the spectral region covered by the FOS.

The intriguing point here is that two $`zz_e`$ Ly$`\alpha `$ systems are detected in both spectra at almost identical redshifts to within $`90`$ km s-1 (see § 6.6 for more details). Under the physical-pair hypothesis, these absorbers should extend over transverse scales greater than $`80h_{50}^1`$kpc. If, on the other hand, HS 1216+5032 AB is a gravitationally lensed pair, the detection of these systems in both spectra can easily be explained by the fact that the separation between light paths approaches zero.

In consequence, the gravitational lens nature of HS 1216+5032 cannot be yet ruled out. Let us note that in a simple lens geometry the virial mass implied by the velocity span of the C iv absorbers at $`z=0.72`$ (see § 4.1) is consistent with the deflector mass required to produce an angular separation between QSO images of $`\theta =9\mathrm{}`$. In such a model the separation between light paths at the source position is derived to be $`\theta _s=17`$″. Therefore, confirmation of HS 1216+5032 as a gravitationally lensed QSO would have dramatic consequences for our understanding of the BAL phenomenon. As pointed out by Hagen et al. (Hagen (1996)), if HS 1216+5032 AB were indeed the mirror images of one unique QSO, the coverage fraction of BAL clouds would have to be very small. Incomplete coverage of the continuum source or the BLR in BAL clouds have been confirmed using high-resolution spectra (Hamann et al. Hamman (1997); Barlow & Sargent Barlow (1997)). In fact, the cloud sizes derived from BAL variability could be $`10^4`$ times smaller than the distances to the source derived from photoionization models (Hamann et al. Hamman1 (1995)), implying subtended angles not much larger than $`\theta _s`$. Therefore, the scenario in which only one light path crosses the BAL clouds is not unrealistic, and the non-BAL spectrum of HS 1216+5032 A can also be considered if the QSO pair is lensed.333Let us mention, however, that in the lensed-pair hypothesis the fact that BAL absorption is produced by many clouds (Hamann et al. Hamman (1997)) lessens considerably the probability that LOS A does not encounter neither such clouds.

In summary, there are reasons to believe that HS 1216+5032 is a binary QSO, but a gravitational lens origin of the double images cannot yet be excluded. A definitive assessment of this issue must await medium resolution optical spectra to better derive emission redshifts and to establish differences in the continuum or emission lines. Alternatively, deep infrared or radio observations would help determining the nature of the double QSO images. The non-detection of the lensing galaxy/cluster would be a strong proof for the binary QSO hypothesis, since wide separation ($`\theta >3\mathrm{}`$) “dark lenses” enter in conflict with current models of structure formation (Kochanek, Falco & Muñoz Kochanek (1999)), which predict few wide separation gravitational lenses (e.g., Kochanek Kochanek1 (1995)).

Throughout this section we will assume that HS 1216+5032 AB is a physical pair. The proper separation $`S(z)`$ between LOSs obeys then the relation $`S=\theta D_{\mathrm{oc}}`$, where $`\theta `$ is the angular separation between the A and B QSO images, and $`D_{\mathrm{oc}}`$ is the angular-diameter distance between the observer and a cloud at redshift $`z`$. For the redshift range of interest $`S80`$ $`h_{50}^1`$ kpc.

### 6.2 Line List

Table 3 lists Ly$`\alpha `$ lines detected at the $`3\sigma `$ level in HS 1216+5032 A and B. Figure 3 shows $`3\sigma `$ detection thresholds as a function of redshift. Out of 36 lines in the spectrum of A, a total of 23 lines within $`z=0.85`$ to $`1.43`$ have $`W_0(\mathrm{A})0.24`$ Å. This redshift interval excludes lines within $`\mathrm{3\hspace{0.17em}000}`$ km s-1 from the QSO redshift to avoid the “proximity effect” (Bechtold Bechtold (1994)). The derived number density is $`\mathrm{log}(dN/dz)=1.58_{0.10}^{+0.09}`$ at $`\mathrm{log}(1+z)=0.33\pm 0.06`$, in very good agreement with the results of the HST Key Project (Weymann et al. Weymann1 (1998)). The scarce sample of lines in B is clearly explained by the shorter redshift path allowed by the BAL profiles.

### 6.3 Definition of Line Samples

To define the number of coincidences and anti-coincidences we have selected from all 36 Ly$`\alpha `$ lines observed in A (the spectrum with better signal-to-noise) those ones (1) at $`z1.43`$; (2) not associated with metal lines; (3) at wavelengths not covered by the BAL troughs in B; and (4) at wavelengths where $`3\sigma `$ detection limits in B are lower than the measured equivalent width of the line in A. Lines in B that had $`\mathrm{SNR}>3`$ and fulfilled criteria (1) to (3) were also selected. In some cases, lines in A have a corresponding absorption feature at the same wavelength in B, but at a too low significance level to unambiguously designate the line pair as a coincidence. These lines in A were excluded (A26, A36, A44). Notice that criterion (3) automatically prevents comparing line equivalent widths for which the uncertainties introduced by the placement of the B continuum are large.

The final sample of Ly$`\alpha `$ lines suitable for this study is composed of $`N=11`$ redshift systems within $`1.16<z<1.43`$, a range not much smaller than the one allowed by conditions (1) to (4). Out of this number, $`N_\mathrm{C}=6`$ systems show Ly$`\alpha `$ lines in both spectra, and $`N_\mathrm{A}=5`$ lines are detected in only one spectrum. The rest-frame equivalent widths range from 0.14 to 0.76 Å in A, and from 0.23 to 1.16 Å in B. This sample is hereafter called “full sample”.

Coincident lines are shown in Figure 4, where the thick line represents the flux of A and the zero velocity point corresponds to the redshift of the A line. Only the first six panels show lines in the “full sample”; the remaining lines arise in Ly$`\alpha `$ clouds likely to be influenced by the QSO flux. All coincident lines are separated by less than 100 km s-1. Anti-coincident lines are all uniquely defined, as there are no corresponding lines in the other spectrum within several hundred km s-1.

However, there are two exceptions that must be pointed out. The first one is line 29 in B, separated by $`198`$ km s-1 from the nearest Ly$`\alpha `$ line in A (37). These lines in A and B have been counted as anti-coincidences, though we are suspicious of this interpretation as the line profiles suggest line B29 is blended with an absorption feature seen in both spectra. The second is another of the anti-coincidences, line B50, which could alternatively be identified with Mg i at $`z=0.04`$. These cases will introduce unavoidable uncertainties in the results presented here. Let us recall that the exclusion of any one line from the samples would lead to significantly different results for $`R_\mathrm{c}`$. This illustrates the real uncertainties dominating simulations with such a small number of observed lines. Moreover, the samples are limited by the large redshift path blocked out by the BAL troughs in B, so there must be a considerable loss of information.

A line significance level of $`5`$ for lines in A has been chosen to perform the likelihood analysis described in the next subsection . This selection automatically excludes two of the redshift systems in the full sample and defines the following sub-samples:

1. Strong-line sample (sample 1): lines for which SNR(A) $`>5`$, SNR(B) $`>3`$, and $`W_0>0.32`$ Å. This selection yields $`N_\mathrm{C}=2`$ coincidences and $`N_\mathrm{A}=4`$ anti-coincidences.
2. Strong+weak line sample (sample 2): same as previous sample but with $`W_0>0.17`$ Å. This selection yields $`N_\mathrm{C}=4`$ and $`N_\mathrm{A}=5`$.

### 6.4 Maximum Likelihood Analysis

In the following we discuss a likelihood analysis on cloud sizes in front of HS 1216+5032. The technique is based on the definition of a likelihood function $``$ that gives the probability of getting the observed number of coincidences and anti-coincidences. Evidently, such a function must depend on the shape of the absorber. Here we concentrate on two possible cloud geometries for which $``$ can be derived analytically: spheres and cylinders.

For coherent spherical clouds, the probability that one cloud at redshift $`z`$ is intersected by one LOS is given by McGill (McGill (1990)) as:

$$\varphi (X)=\frac{2}{\pi }\left\{\mathrm{arccos}\left[X(z)\right]X(z)\sqrt{1X(z)^2}\right\},$$
(1)
where $`X(z)S(z)/2R_\mathrm{c}`$ and $`R_\mathrm{c}`$ is the cloud radius. The samples consider only redshifts where at least one LOS intersects a cloud (otherwise one should make assumptions on the cloud distribution along the LOS). Therefore, one must compute the probability that, given that a line appears in one spectrum, a line will appear in the other spectrum. This probability is given by Dinshaw et al. (Dinshaw2 (1997)) as:

$$\psi (X)=\frac{\varphi }{2\varphi }.$$
(2)
Finally, the probability of getting the observed number of coincidences and anti-coincidences is given by the product

$$(R_\mathrm{c})=\underset{i}{}\psi \left[X(z_i)\right]\underset{j}{}\left\{1\psi \left[X(z_j)\right]\right\},$$
(3)
where the indexes $`i`$ and $`j`$ number the coincidences and anti-coincidences, respectively. Note that if there is at least one anti-coincidence, then $``$ has a maximum value. Otherwise it grows monotonically.

The solid curve in Fig. 6 shows the results of the likelihood function $`(R_c)`$ normalized to its peak intensity for the various samples. The figure also shows the cumulative distribution of $`(R_c)`$. The estimated $`2\sigma `$ limits on cloud diameters for HS 1216+5032 – derived from the cumulative distribution – are listed in Table 4. The peak intensity of $``$ is used to find the most probably radii, i.e., $`96`$ $`h_{50}^1`$ kpc for the strong line sample and $`128`$ $`h_{50}^1`$ kpc for the strong+weak line sample. From the cumulative distribution, the respective median values are $`145`$ and $`173`$ $`h_{50}^1`$ kpc. In both cases, the derived sizes are larger if weaker lines are used. This result provides evidence that Ly$`\alpha `$ clouds must have a smooth density distribution.

In a second model, let us suppose that Ly$`\alpha `$ lines occur in filamentary structures lying perpendicular to the LOSs. Such structures can be idealized as cylinders with a radius-to-length ratio $`1`$. For cylindric clouds, the probability that one LOS intersects a cloud at redshift $`z`$ given that the other LOS already does, reads (A. Smette, private communication):

$$\varphi (X)=\{\begin{array}{cc}\frac{2}{\pi }\{\mathrm{arcsin}\left[X(z)^1\right]\hfill & \\ +\sqrt{X(z)^21}X(z)\}\hfill & \mathrm{for}X(z)>1;\hfill \\ & \\ 1\frac{2}{\pi }X(z)\hfill & \mathrm{otherwise},\hfill \end{array}$$
(4)
where $`X(z)S(z)/2R_\mathrm{c}`$ and $`R_\mathrm{c}`$ is the radius of the cylinder. The dotted curve in Fig. 6 shows the results of the likelihood function $`(R_c)`$ normalized to its peak intensity and the cumulative distribution for the various samples. Most probably cylinder radii are $`49`$, $`65`$, and $`85`$ $`h_{50}^1`$ kpc for the strong, strong+weak and full line samples, respectively. The respective median values are $`70`$, $`87`$ and $`115`$ $`h_{50}^1`$ kpc. Two sigma bounds are displayed in Table 4. Again, the derived sizes are larger if weaker lines are used, providing evidence that the density distribution in Ly$`\alpha `$ clouds must be smooth (see, e.g., Monier et al. Monier (1999)). These size estimates are almost $`50`$% lower than for spherical absorbers. This can be explained by the fact that, in general, elongated structures can more easily reproduce the observed number of coincidences for a given radius than a sphere; in fact, the probability $`\varphi (R_c)`$ for spherical absorbers vanishes for $`R_c<S/2`$, while for cylinders $`\varphi >0`$ for all nonzero values of $`R_c`$. The lengths of such structures are much larger than these values, but undefined in the model.

### 6.5 Equivalent Widths

The sample of Ly$`\alpha `$ lines common to both spectra gives model-independent information about the size scales of the absorbers. Figure 7 shows the rest-frame equivalent widths of lines common to both spectra and their $`1\sigma `$ errors, where the dashed straight line has a slope of unity. Only lines without associated metal lines are included. Note that this selection yields line-pairs with $`\lambda >2620`$ Å, so the influence of uncertainties in the continuum placement (e.g. due to the BAL troughs or to spectral regions with high noise level) over the equivalent-width estimates is minimized. We have included one line pair within 3 000 km s-1 from the QSO’s redshift (A52,B49) but not the “associated system”. The dotted crosses represent line pairs for which the B line has $`2.58<\mathrm{SNR}<3`$, i.e., those ones labeled with footnote 5 in Table 3. Additionally, to illustrate the significance of the non-detections we have also included lines detected in only one spectrum, plotted against the corresponding $`3\sigma `$ detection limit in the other spectrum.

Most of the coincident lines are stronger in the B spectrum, which is explained by the difficulty in detecting lines in B (an additional consequence of this is that most anti-coincidences are lines in B). It can be seen that there are some significant deviations from $`\mathrm{\Delta }W_0=0`$, even excluding the line pair within 3 000 km s-1. For the latter such deviation would be expected, since the QSOs themselves might be an important ionizing agent in clouds next to the QSOs.444Indeed, if the QSO radiation field contributed significantly to ionize these clouds, one would expect $`W(\mathrm{A})<W(\mathrm{B})`$ for these lines, because QSO A is more luminous than B. Such difference in equivalent width is, however, not observed.

The equivalent width differences $`\mathrm{\Delta }W_0=|W_0(\mathrm{A})W_0(\mathrm{B})|`$ show no correlation with $`\mathrm{\Delta }v`$. Instead, $`\mathrm{\Delta }W_0`$ and max$`(W_0(\mathrm{A}),W_0(\mathrm{B}))`$ seem to be correlated (see Fig. 8), with larger equivalent width differences for larger equivalent widths (e.g. Fang et al. Fang (1996)). Both effects, although not statistically significant, suggest coherent structures, i.e., no “cloudlets” at similar redshifts (Charlton et al. Charlton (1995)). In conclusion, LOS A and B must sample coherent clouds showing small – but otherwise significant – density gradients on spatial scales of $`80h_{50}^1`$kpc, the linear separation between LOSs in this redshift range.

### 6.6 The $`z_az_e`$ Ly$`\alpha `$ systems in HS 1216+5032 A and B

Two $`z_az_e`$ Ly$`\alpha `$ systems are observed in the spectra of both HS 1216+5032 A and B, through the partially resolved Ly$`\alpha `$ lines A53, A54, A55, and B51 and B52 (see Fig. 4). The lines in A and B differ by $`\mathrm{\Delta }v_{\mathrm{A53}\mathrm{B51}}=51`$ km s-1and $`\mathrm{\Delta }v_{\mathrm{A54}\mathrm{B52}}=87`$ km s-1. The system in A is blueshifted by 122 km s-1 relative to $`z_e(\mathrm{A})`$, while the system in B is redshifted by 280 km s-1 relative to $`z_e(\mathrm{B})`$ (but see § 2.2). Line A55 has no clear counterpart in B. No metal lines are found associated with these systems. The total equivalent width of the A lines is larger than in B by a factor of 2.1.

The absence of highly ionized species such as N v and O vi suggests that these systems are probably not physically associated with the QSOs (e.g., Turnshek Turnshek1 (1984); Petitjean Petitjean1 (1994)). Furthermore, the small velocity differences between lines in A and B, and the fact that both systems have two line components well correlated in redshift, strongly suggest they arise in the same absorber (see also Petitjean et al. Petitjean (1998); Shaver & Robertson Shaver (1983)). If this is true, the different Ly$`\alpha `$ line strengths between A and B imply either characteristic transverse sizes of $`80h_{50}^1`$kpc or maybe even larger clouds with ionization conditions that change on such scales. The size scales are compatible with the idea that these systems arise, for example, in the very extended halo of an intervening galaxy (Weymann et al. Weymann (1979)), or in the intra-group gas of the QSO host galaxies.

If the radiation field of the QSOs is the main ionization source in the clouds giving rise to these systems (assuming the QSO pair is real), then the systems in B should be less ionized than the A ones. This is because QSO A is intrinsically more luminous than B in the ionizing continuum. Consequently, the different line strengths in A and B can also be explained if the LOSs cross regions of similar density, with LOS B probing regions with more neutral gas. Of course, the latter case does not rule out the intervening nature of these systems.

### 6.7 Discussion

Fang et al. (Fang (1996)) have pointed out that there seems to be a trend of larger estimated cloud sizes with increasing LOS separation $`S`$ (see their Fig. 5). If such a trend were real, it would imply that the scenario of uniform-sized spherical clouds is too idealized. Their data, however, are insufficient to discern whether the effect is due to non-uniform cloud size or simply non-spherical cloud geometry. The results presented in our work (slightly modified by defining a sample of lines with $`W_0>0.40`$ Å to be consistent with these authors) fit this tendency well because they add a new measurement of relatively small cloud sizes at small LOS separation. We note, however, that D’Odorico et al. (D'Odorico (1998)), who use a larger database and an improved statistical approach, find no correlation between cloud size and LOS separation. Clearly, more QSO pairs are needed that span a range in LOS separations to confirm or discard the size/separation correlation.

Here we propose that the notion of a single population of uniform-sized clouds must be revised. In fact, if Ly$`\alpha `$ clouds span a range of sizes between, say, a few hundred kpc to a few Mpc, then LOSs to QSO pairs with arcminute separations would be crossing not only huge and coherent structures, but also smaller clouds correlated in redshift. Further evidence for a more complicated scenario than usually assumed comes from cosmological hydrodynamic simulations made for $`z=3`$, which show entities of non-uniform sizes grouped along filamentary structures (e.g., Cen & Simcoe Cen (1997)). However, we recall that the situation at lower redshift can be different if such structures do evolve in size.

Size evolution of Ly$`\alpha `$ absorbers has not yet been observed, in part because the number of adjacent QSOs with suitable angular separations is not statistically significant, but also due to the scarce number of observations at low redshift. In particular, the present data on HS 1216+5032 ($`<z>=1.3`$) do not confirm the suggestion (Fang et al. Fang (1996); Dinshaw et al. Dinshaw1 (1998)) that cloud sizes increase with decreasing redshift. This result is in variance with the findings by D’Odorico et al. (D'Odorico (1998)).

Assuming that the Ly$`\alpha `$ absorbers are filamentary structures – modelled as cylinders of infinite length – lying perpendicular to the LOSs, our likelihood analysis leads to almost $`50\%`$ smaller transverse dimensions than for spherical clouds. Unfortunately, the method presented here is not capable of distinguishing between cylinders and spheres. Moreover, the information provided by two LOSs might be insufficient to make such a distinction possible, so one should use triply imaged QSOs (Crotts & Fang Crotts1 (1998)) or, even better, QSO groups (Monier et al. Monier (1999)). It is worth saying, however, that flattened structures are more able to simultaneously reproduce the requirements of neutral gas density from photoionization models and the transverse scale lengths derived from double LOSs than spherical absorbers do. Such photoionization models lead to structures with thickness-to-length ratios of $`1/30`$ (Rauch & Haehnelt Rauch4 (1995)). Indeed, hydrodynamical simulations in the context of hierarchical structure formation have shown that at $`z3`$, high density gas regions (producing $`W_0>0.3`$ Å Ly$`\alpha `$ absorption lines) are connected by filamentary and sheet-like structures roughly $`10^6`$ times less dense than the embedded condensations. The filaments seem to evolve slowly and still fill the Universe at $`z1`$ (Davé et al. Dave (1999); Riediger, Petitjean & Mücket Riediger (1998)), giving rise to the majority of strong Ly$`\alpha `$ lines. If this picture is correct, the requirement of different cloud populations might not be necessary to explain current observations.

New high-resolution ultraviolet observations of QSO pairs are needed. Despite technical difficulties (close QSO pairs tend to have such different observed fluxes that high dispersion spectroscopy normally leads to at least one spectrum with high noise levels) they should improve considerably our knowledge of the Ly$`\alpha `$-cloud geometry by (1) analyzing absorbers that produce only weak ($`W_00.01`$ Å) lines, i.e., those surely not associated with low-brightness galaxies, and (2) testing models that consider column density distributions.

## 7 Summary

We have presented HST FOS spectra of the QSO pair HS 1216+5032 AB. Our results are summarized as follows:

1. Metal systems. Three strong and complex C iv absorption systems are observed in both HST spectra at $`z0.72`$. The velocity span along the LOSs, $`\mathrm{\Delta }v1500`$ km s-1, is large and suggests the gas where this C iv occurs might be associated with a cluster of galaxies. Differences in the line strengths suggest that, if these systems arise in coherent structures, they must have characteristic transverse sizes of $`75h_{50}^1`$kpc. Alternatively, the systems may be composed of a large number of cloudlets correlated in redshift.

In the spectrum of B, a strong absorption feature at $`\lambda 2910`$ Å is identified with two Mg ii doublets at $`z=0.04`$. If this identification is correct, these lines could arise in a low-redshift damped Ly$`\alpha `$ system.
2. The BAL systems in B: The spectrum of QSO image B shows BAL troughs by H i, C ii, C iii, N iii, N v, O vi, and possibly S iv and S vi arising in absorption systems at outflow velocities from the QSO of up to $`5000`$ km s-1. The BAL troughs arise probably as a consequence of absorption by a mixture of broad and narrow components.
3. Ly$`\alpha `$ absorbers. Due to the redshift path blocked out by the BAL troughs in B the number of detected lines is small. Selecting lines not associated with metal lines, with $`\mathrm{\Delta }v(\mathrm{A}\mathrm{B})<100`$ km s-1 and $`W_0>0.17`$ Å yields four lines common to both spectra and five lines without counterpart in the other spectrum. For $`W_0>0.32`$ Å lines the numbers are two and four, respectively. Using a maximum likelihood technique, most probably diameters for spherical clouds of $`192`$ and $`256`$ $`h_{50}^1`$ kpc are found for $`W>0.32`$ Å and $`W>0.17`$ Å lines, respectively. The $`2\sigma `$ limits derived using the cumulative distribution of the probability function are $`136<D<880`$ $`h_{50}^1`$ kpc and $`172<D<896`$ $`h_{50}^1`$ kpc for the respective samples at $`<z>=1.3`$. Assuming that the absorbers are filamentary structures lying perpendicular to the LOSs, transverse dimensions almost $`50\%`$ smaller than for spherical clouds are found. In both cases, the results of our analysis do not confirm the claim that the characteristic size of the Ly$`\alpha `$ absorbers increases with decreasing redshift.

Independently of the cloud models used, we note that there are significant equivalent width differences between lines in A and B. Also, there appears to be a trend of larger equivalent width differences with increasing line strength, while no velocity differences between common lines is found. This provides evidence that the absorbers are coherent entities. The results for each line sample suggest that the absorbers must have a smooth gas density distribution, with lower density gas being more extended.

###### Acknowledgements.

We are grateful to Michelle Mizuno, Lutz Wisotzki, and specially Alain Smette for their valuable comments on early drafts. We also thank Olaf Wucknitz for calculations concerning the gravitational-lens hypothesis. S. L. acknowledges support by the BMBF (DARA) under grant No. 50 OR 9905.