2001 Book DarkMatterInAstro-AndParticleP PDF

Dark Matter in Astro- and Particle Physics
ONLINE LIBRARY
Physics and Astronomy
Springer-Verlag Berlin Heidelberg GmbH http://www.springer.de/phys/
H. V. Klapdor-Kleingrothaus (Ed.)
Dark Matter in Astro-

and Particle Physics
Proceedings of the International Conference
DARK 2000
Heidelberg, Germany, 10-14 July 2000
' Springer
Professor Dr. H.V. Klapdor-Kleingrothaus
Max-Planck-Institut fur Kernphysik
Saupfercheckweg 1
69117 Heidelberg, Germany
Library of Congress Cataloging-in-Publication Data applied for.
Die Deutsche Bibliothek - CIP-Einheitsaufnallme
Dark matter in astro- and parti ele physics : proceedings of the

international conference, Dark 2000, Heidelberg, Gerrnany, 10- 14 July 2000
1 H. V. Klapdor-Kieingrothaus (ed.).- Berlin; Heidelberg; New York;
Barcelona ; Hong Kong ; London ; Milan ; Paris ; Singapore ; Tokyo :
Springer, 2001
(Physics and astronomy online library)
ISBN 978-3-642-62608-1 ISBN 978-3-642-56643-1 (eBook)

DOI 10.1007/978-3-642-56643-1
This work is subject to copyright. Ali rights are reserved, whether the whole or part of tli.e material is
concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting,
reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication
or parts thereof is permitted only under the provisions of the German Copyright Law of September 9, 1965,
in its current version, and permission for use must always be obtained from Springer-Verlag. Violations are
liable for prosecution under the German Copyright Law.
http://www.springer.de
© Springer-Verlag Berlin Heidelberg 2001
The use of general descriptive narnes, registered names, trademarks, etc. in this publication does not
imply, even in the absence of a specific statement, that such names are exempt from the relevant pro-
tective laws and regulations and therefore free for general use.
Typesetting: Carnera-ready the editor/authors
Cover design: design & production GmbH, Heidelberg
Printed on acid-free paper SPIN 10794407 56/3141/du 54321o
Preface
The Third International Conference on Dark Matter in Astra- and Particle

Physics, DARK 2000, was held in Heidelberg in the period 10-14 July 2000.
Dark Matter has become one of the most exciting and central fields of astro-
physics, particle physics and cosmology. Although debates are still ongoing on
some detailed questions, there is sound astronomical evidence for the existence
of dark matter. For three years now there has been a claim that we have direct
evidence of non-baryonic dark matter from an underground detector experiment
(DAMA); we are waiting for confirmation.
Supernovae Ia investigations give evidence of an accelerating Universe and
indicate that the major part of the mass of the Universe consists of an un-
known form of dark energy - corresponding to a vacuum energy or cosmological
constant (of an order of magnitude as earlier already deduced from the age of
the Universe). Observations of the cosmic microwave background radiation by
the recent Antarctic balloon experiments BOOMERANG and MAXIMA, to-
gether with large-scale structure investigations, determine cosmological parame-
ters back to the earliest times of the Universe, the inflationary epoch, with a new
dimension of precision, and restrict the cold non-baryonic dark matter compo-
nent to about 30% of the mass of the Universe, still leaving space for some 10%
of hot dark matter, for example in the form of light neutrinos. Particle physics
theory delivers in a natural way candidates for non-baryonic cold dark matter
- the most favoured at present being neutralinos, the lightest supersymmetric
particles.
Experimentally the field is extremely challenging. The most recent calcula-
tions - by the CERN and Heidelberg groups and others - show that current
direct-detection experiments are not sensitive enough to examine much of the
relevant SUSY parameter space. Large new experiments are required and are in
preparation, such as an extended DAMA, CDMS, CRESST, GENIUS etc., of
which, however, only the first and last will be able to probe the seasonal modu-
lation signature of dark matter and thus really provide evidence of its existence.
In the case of indirect detection, huge experiments like a 1-km 3 AMANDA ice
Cerenkov detector could probe dark matter with the sensitivity of a 100-kg GE-
NIUS detector, both probing complementarily different neutralino compositions
- the first one neutralinos with comparable gaugino and Higgsino components,
the second mainly gaugino-dominated neutralinos.
VI Preface
The lectures and talks in these Proceedings equally emphasize both experi-
mental and theoretical perspectives of dark matter search.
The first section outlines the Astronomical Evidence for Dark Matter, start-
ing from a discussion of large-scale structures, looking in some detail into the
distribution of dark matter in galaxies, discussing dark matter caustics and ax-
ions, and finally X-ray measurements of the dark matter contents in galaxy
clusters, and self-interacting dark matter. The sections on Cosmology and the
Early Universe and Beyond the Standard Model start with the present evidence
for dark energy from type Ia supernovae, and give an overview of the mystery
of cosmic vacuum energy density, and quintessence. Models of inflation are dis-
cussed as well as dark energy in extra dimensions and string theory, and dark
matter in supergravity and SUSY, further primordial black holes, Q-balls and
sneutrinos as dark matter. Of special interest also is the discussion on neutrinos
and axion phenomenology in extra dimensions.
The section on Baryonic Dark Matter discusses the present status and in-
terpretation of gravitational lensing experiments. Unfortunately, microlensing
experiments to date have not identified a significant baryonic dark matter can-
didate.
There are three sections on non-baryonic dark matter. The first of these
discusses properties of the hot dark matter candidate light neutrino by giving
overviews on the status of neutrino oscillations, and discussing the results and
pespectives of various corresponding solar neutrino and terrestrial long-baseline
experiments, and also the results from double beta decay and tritium experi-
ments. An exciting connection also outlined is that which may exist between
relic neutrino masses and spectra and highest-energy (GKZ) cosmic rays. The
subsequent sections finally treat direct and indirect detection of non-baryonic
dark matter, presenting the results and perspectives of most of the presently
operating detectors.
In total, we hope that the present. Proceedings give a broad and useful
overview of this exciting field of research, of its fundamental connections to
various frontier disciplines of particle physics and cosmology, and of its perspec-
tives.
The organizers express their gratitude to all colleagues from many countries
who contributed so actively to the success of the meeting. They thank the Max-
Planck Institut fUr Kernphysik, Heidelberg, in particular Prof. D. Schwalm, for
the continuous cooperation and scientific interest. We thank EG&G Ortec, Ger-
many, for kind support. Furthermore, we thank all the people who contributed
in one way or another to the organization of the conference, especially the mem-
bers of the Heidelberg Double Beta Decay and Dark Matter Group, and the
secretaries of our institute. We also thank the staff of the Internationales Wis-
senschaftsforum Heidelberg for their indispensable help in creating, for the third
time now in this series of conferences, a pleasant and inspiring atmosphere in
their beautiful villa at the foot of the historical Heidelberg castle.
Preface VII
In particular, we are indebted to the Scientific Secretary of the conference,

Dr. B. Majorovits, for his work in the organisation of the conference, and of
these Proceedings. We are indebted also to Dr. 1. Krivosheina for her great help
in preparing these Proceedings.
Heidelberg, March 2001 H. V. Klapdor-Kleingrothaus

(Conference Chairman)
1. L. Kofman 11. S. Hannestad 21. Zh. Dzhilkibaev 31. J. Woo 41. A. Dietz 51. U. Seljak
2. B. Majorovils 12. I. Krivosheina 22. O. Suvorova 32. L. Lessard 42. N. Fomengo 52. M. Lehner
3. A. Bottino 13. K. Jedarnzik 23. L. serin 33. D. Sinclair 43. T. Girard 53. G. Garbier
4. J. Vergados 14. D. Fargion 24. A. Zskharov 34. D. Smith 44. H. Strecker 54. E. Ma
5. H. V. Klapdor-Kleingrolhaus 15. W. Kinney 25. J. Einaslo 35. J. Gascon 45. K. Zuber 55. J. Loveday
6. R. Amowilt 16. T. Falk 26. R. Schnee 36. P. Schneider 46. K. Olive
7. M. Hawkins 17. P. Salucci 27. G. Raffell 37. M. Nagasawa 47. H. P. Nilles
8. M. Minowa 18. H. Tu 28. N. Straumann 38. L. Covi 48. Y. Ramachers
9. K. Yamamoto 19. A. Kusenko 29. Ch. Weinheimer 39. friendly helper 49. F. VlSS8ni
10. G. Goldhaber 20. T. Montaruli 30. H. Minakata 40. N. Neininger 50. W. Seidel
Contents
Part I Astronomical Evidence for Dark Matter
Large-Scale Structure and Dark Matter Problem

J. Einasto 3
The Distribution of Dark Matter in Galaxies:

Constant-Density Dark Halos Envelop the Stellar Disks
P. Salucci and A. Borriello. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 12
The Amount of Dark Matter in Spiral Galaxies

B. Fuchs 25
Measuring Stellar and Dark Mass Fractions in Spiral Galaxies

T. Kranz et al. 33
Dark Matter Caustics

w.H. Kinney and P. Sikivie. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 38
Constraints on White Dwarfs as Galactic Halo Dark Matter
C. Flynn and D. Graff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 45
Contribution to Dark Matter from Extragalactic Dust
N. Neininger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 52
Astrophysical Axion Bounds

G. G. Raffelt. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 60
The Sloan Digital Sky Survey at the Millennium

J. Loveday (for the SDSS Collaboration) " 67
X-Ray Measurements of the Dark Matter Content

of Galaxy Clusters
M. Henriksen " 73
Can Dark Matter See Itself?

S. Hannestad. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 81
Self-Interacting Cold Dark Matter Halos

A. Burkert . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 89
XII Contents
Part II Cosmology and the Early Universe
Evidence for Dark Energy from a Study of Type Ia Supernovae

G. Goldhaber (for the Supernova Cosmology Project) .. . . . . . . . . . . . . . . . .. 97
On the Mystery of the Cosmic Vacuum Energy Density

N. Straumann 110
Can Quintessence Be Natural?

A. Hebecker and C. Wetterich 125
Preheating, Thermilaziation and Supergravity

L. Kofman 135
Dark Energy in Extra Dimensions and String Theory:

Consistency Conditions
H.P. Nilles 150
Models of Inflation, Supersymmetry Breaking

and Observational Constraints
L. Covi 163
Big Bang Nucleosynthesis and Related Observations

K.A. Olive 176
Big Bang N ucleosynthesis in the Precision Era

S. Buries 195
Part III Beyond the Standard Model
Testing a (Stringy) Model of Quantum Gravity

N.E. Mavromatos 209
Particles in the Bulk: A Higher-Dimensional Approach

to Neutrino and Axion Phenomenology
K.R. Dienes 234
Dark Matter in Supergravity

R. Arnowitt et al 247
Dark Matter in SUSY

A. Bottino 263
Collider Signatures of Sneutrino Cold Dark Matter

S. Kolb et al. 276
Contents XIII
Searching for Supersymmetric Dark Matter -

the Directional Rate for Caustic Rings
J.D. Vergados 283
Primordial Black Holes as Dark Matter

K. Jedamzik 289
Formation of Primordial Black Holes

by Multi-Winding String Collapse
M. Nagasawa 297
Baryonic Q-Balls as Dark Matter

A. K usenko 306
Gluino Axion
D.A. Demir 316
Part IV Gravitational Lensing

and Baryonic Dark Matter
Gravitational Lensing and Dark Matter

M.R.s. Hawkins 325
The MACHO Project 5.7 Year LMC Results

M. J. Lehner et al. 334
Are There MACHOs in Our Galactic Halo?

T. Lasserre 342
What Are MACHOs? Interpreting LMC Microlensing

D.S. Graff 352
Microlensing by Non-Compact Astronomical Objects:

Theory and Possible Interpretation of Observational Data
A. F. Zakharov 364
Part V Hot Dark Matter - Neutrino Masses:

Phenomenology and Experiments
Neutrino Physics: Status and Prospect

J. w.P. Valle 379
Degenerate and Other Neutrino Mass Scenarios

and Dark Matter
H. Minakata 404
XIV Contents
Neutrinoless Double Beta Decay Potential

in a Large Mixing Angle World
H. V. Klapdor-Kleingrothaus et al 420
The Weight of Neutrinos and Related Questions

F. Vissani 435
Neutrino Masses and Leptogenesis from R Parity Violation

E. Ma 448
Shadows of Relic Neutrino Masses and Spectra

on Highest Energy GZK Cosmic Rays
D. Fargion et al 455
Long Baseline Neutrino Oscillation Experiments

K. Zuber 469
Recent Results from Experiments

Using the Super-Kamiokande Detector
J. Hill (for the Super-Kamiokande and K2K Collaborations) 479
First Neutrino Observations

from the Sudbury Neutrino Observatory
D. Sinclair 493
Evidence for Neutrino Oscillations in LSND

D. Smith (for the LSND Collaboration) 503
Neutrino Mass from Tritium j3-Decay

C. Weinheimer 513
Latest Results from the Heidelberg-Moscow

Double-Beta-Decay Experiment
Part VI Direct Dark Matter Detection
Recent Results from the DAMA Experiments

for Particle Dark Matter Search
R. Bernabei et al 537
Results of the Saclay NaI(TI) WIMP Search Experiment

and Comparison with Other NaI(TI) Experiments
G. Gerbier et al 547
Status of the HDMS Experiment, the GENIUS Project

and the GENIUS-TF
Contents XV
Results of the Cryogenic Dark Matter Search

R. W. Schnee et at. 569
The EDELWEISS Experiment: Status and Outlook

J. Gascon et al 575
The CRESST Dark Matter Search

W. Seidel et at. 581
Current Status of the DRIFT Project

and UKDMC Dark Matter Search
M. J. Lehner et at 590
The Status of SIMPLE-2000

J.I. Collar et al. . 598
The PICASSO Project, Present Status

and Future Developements
L. Lessard et al. . 604
The LiF Dark Matter Experiment at Kamioka Mine

M. Minowa et al 610
ZEPLIN II and Amplification of Primary Scintillation

D. Cline et al 615
Lower Limit on the Mass of the Neutralino (LSP) at LEP

with the ALEPH Detector
L. Serin (on behalf of the ALEPH Collaboration) 623
The U.S. Large-Scale Dark Matter Axion Search

S1. Asztalos and D. Kinion 630
The Rydberg-Atom-Cavity Axion Search

K. Yamamoto et al. . 638
Part VII Indirect Dark Matter Searches
Indirect Method of Cold Dark Matter Search

O. Suvorova 649
Neutrino Oscillation Effects in Indirect Detection of Dark Matter

N. Fornengo 659
Higgs Bosons and the Indirect Search for WIMPs

V.A. Bednyakov et at. 667
Ultra High Energy Neutrinos by Tau Airshowers

D. Fargion 677
XVI Contents
Neutrino Astronomy and Indirect Search for WIMPs

T. Montaruli (jor the MACRO Collaboration) 688
Status of the Neutrino Telescope AMANDA:

Monopoles and WIMPS
W. Rhode (jor the AMANDA Collaboration) 699
The BAIKAL Neutrino Project: Status Report

V.A. Balkanov et al. 707
Part VIII Concluding Remarks
Concluding Remarks for Dark 2000

K.A. Olive 717
List of Participants 729
Author Index 737

Part I
Astronomical Evidence for Dark Matter

Large-Scale Structure and Dark Matter Problem
Jaan Einasto
Tartu Observatory, EE-61602 T6ravere, Estonia
Abstract. I review the observational data most relevant for large scale structure.
These data determine the system of cosmological parameters: the Hubble parameter,
densities of various populations of the Universe, parameters characterizing the power
spectrum of matter, including the biasing parameter of galaxies relative to matter.
Recent data suggest that the overall matter/energy density is approximately equal to
the critical density, and most (0.6 - 0.7) of the density is in the form of cosmological
term or "dark (vacuum) energy". The density of the matter is 0.3 - 0.4 (including hot
and cold dark matter and luminous matter), the upper limit of the density of the hot
dark matter is 0.05, all in units of the critical cosmological density.
1 Introduction
Recent results from the supernova cosmology project [27]' [29] and measurements
of the angular spectrum of the cosmic microwave background (CMB) radiation
[11]' [19] have triggered a number of efforts to determine a concordant system
of cosmological parameters. In this talk I shall use recent observational data to
discuss values of main cosmological parameters. In addition to data on the CMB
angular spectrum and supernova cosmology project I shall use data based on the
large-scale distribution of galaxies and clusters of galaxies - the power spectrum,
the cluster mass function etc. In this analysis I use the following assumptions:
1) the main constituents of the Universe are baryonic matter, cold dark mat-
ter (CDM) with some mixture of hot dark matter (HDM), and the dark (vac-
uum) energy; 2) power spectra of galaxies and CMB radiation are determined by
the initial post-infiational power spectrum and by physical processes during the
radiation-dominated era. These processes depend on cosmological parameters
(properties of various components of the matter), and on geometrical properties
of the Universe. In this analysis I try to find the possible range of cosmological
parameters and to show how these are affected by the various types of data.
2 Observed Quantities and Functions
The Hubble parameter, H o = 100 h km S-l Mpc- 1 , is the observable quantity

that can be estimated directly. There exist several methods to its estimation
through the ladder of various distance estimators from star clusters to cepheids
in nearby galaxies, through the light curves of medium-distant supernovas, and
using several physical effects (gravitational lensing, SZ-effect). Summaries of
4 Jaan Einasto
recent determinations are given by [26] and [31]). I shall use here a value h =
0.65 ± 0.07.
The baryon density, [h, can be determined most accurately through obser-
vations of the deuterium, helium and lithium abundances in combination with
the nucleosynthesis constrains. The best available result is [hh 2 = 0.019 ± 0.002
[8], [7].
The total density (including vacuum energy), [ltot = [lm +[lv, determines the
position of the first Doppler peak of the angular spectrum of CMB temperature
fluctuations; here [lm and [lv are densities of the matter and the vacuum energy,
respectively. Recent observations show that the maximum of the first Doppler
peak lies at l ~ 200 [11]' [19], [32]. This indicates that [ltot ~ 1. Since this is the
theoretically preferred value, I assume in the following that [ltot = 1.
There exist a number of methods to estimate the total density of matter
(without vacuum energy), [lm = [lb + [lc + [In, where [lb, [lc, and [In are
densities of the baryonic matter, the cold dark matter (CDM), and the hot
dark matter (HDM), respectively. A direct method is based on the distant su-
pernova project, which yields (for a spatially flat universe) [lm = 0.28 ± 0.05
[27], [29], [17]. Another method is based on X-ray data on clusters of galax-
ies, which gives the fraction of gas in clusters, fgas = [lb/ [lm' If compared to
the density of the baryonic matter one gets the estimate of the total density,
[lm = 0.31 ± 0.05(h/0.65)-1/3 [24], [20]. A third method is based on the ge-
ometry of the Universe. Observations show the presence of a dominant scale,
lo = 130 ± 10 h- 1 Mpc, in the distribution of high-density regions [5], [12]' [15].
A similar phenomenon is observed in the distribution of Lyman-break galaxies
[6] at high redshift, z ~ 3. We can assume that this scale is primordial and
co-moves with the expansion; in other words - it can be used as a standard
ruler. The relation between redshift difference and linear comoving separation
depends on the density parameter of the Universe; for a spatially flat Universe
one gets a density estimate [lm = 0.4 ± 0.1. The same method was applied for
the distribution of quasars by [30] with the result [lm = 0.3 ± 0.1. Finally, the
evolution of the cluster abundance with time also depends on the density pa-
rameter (see [3] for a review). This method yields an estimate [lm = 0.4±0.1 for
the matter density. The formal weighted mean of these independent estimates is
[lm = 0.32 ± 0.03.
Cosmological parameters enter as arguments in a number of functions which
can be determined from observations. These functions include the power spec-
trum of galaxies, the angular spectrum of temperature fluctuations of the CMB
radiation, the cluster mass and velocity distribution. I accept the power spec-
trum of galaxies according to a summary by Einasto et al [13] with the addition
of the recent determination of the cluster power spectrum by Miller & Batuski
[23]. The amplitude of the power spectrum can be expressed through the O's pa-
rameter, which describes the rms density fluctuations within a sphere of radius
8 h- 1 Mpc. This parameter was determined for the present epoch for galax-
ies, (O'S)gal = 0.89 ± 0.09 [13]. For the CMB angular spectrum I use recent
BOOMERANG and MAXIMA I measurements [11]' [19]. For the cluster mass
Large-Scale Structure 5
distribution I use determinations by Bahcall & Cen [1] and Girardi et al. [16],
see Figures 2, 3.
3 Relations Between Cosmological Parameters

and Observed Quantities
I consider the following cosmological parameters: the Hubble parameter, h; den-

sities of the main constituents of the Universe: the baryonic matter, fh; CDM,
Dc; HDM, Dn ; and dark energy, Dv (in units of the critical cosmological density);
the index of the primordial power spectrum, n; the parameter a8, characteriz-
ing the amplitude of the spectrum; and the biasing parameter of the clustered
matter, be. I use the definition of the biasing parameter through the ratio of the
power spectrum of all matter to that of the clustered matter, associated with
galaxies,
(1)
Here k is the wavenumber in units of h Mpc- 1 . In general, the biasing param-
eter is a function of wavenumber k. I assume that in the linear regime of the
structure evolution the biasing parameter is constant. Calculations show that
this assumption is correct for wavenumbers smaller than k >::::; 0.8 h Mpc- 1 , or
scales larger than about 8 h- 1 Mpc [14].
The power spectra of matter and the angular spectra of CMB were calculated
for a set of cosmological parameters using the CMBFAST algorithm [33J; spectra
are COBE normalized. The cluster abundance and mass distribution functions
were calculated using the Press-Schechter algorithm [28] for the same set of
cosmological parameters.
Power spectra of matter and galaxies are related through the biasing pa-
rameter. The power spectrum is proportional to the square of the amplitude of
the density contrast. The clustered population associated with galaxies does not
include the matter in voids. If we subtract from the density field of all matter
an approximately constant density background of void matter to get the density
field of the clustered matter, then amplitudes of absolute density fluctuations
remain the same, but amplitudes of the density contrast increase by a factor
which is equal to the ratio of mean densities of both fields, i.e. by the fraction
of matter in the clustered population, Fc . We obtain [14]
bc = 1/ Fc . (2)
The possible range of the bias was determined by numerical simulations.

During the dynamical evolution matter flows away from low-density regions and
forms filaments and clusters of galaxies. This flow depends slightly on the density
parameter of the model. The fraction of matter in the clustered population was
found by counting particles with local density values exceeding a certain thresh-
old (mean density). The present epoch of simulations was expressed through the
a8 parameter. This quantity was calculated by integrating the power spectrum
6 Jaan Einasto
-~~I
-0..( )
-n....
---- F
--- n....
_.- n.."
.s.. lOr
'-. -'-
05
00 __ ~ __ ~ ~ _ _--JI
00 02 04 0.6 0.8 10
a. II
8000
_BOOMERANG
_MAXIMAl
- COM_bOS_nOO_m20
•••• COM b05 nOD 11130
6000
-. - MO~(bOS:nOS:m40
- P.HOman
---- P_HDgaJ
10' f - P.h65_bOS_m20
---- P h65 bOS m30 2000
.ACOj.iB -
- - - P h65 bOS m40
_. - P=h65=bO(mSO
10' - o -----'
10" '0" 10 100 1000
I
Fig.!. Upper left: the fraction of matter in the clustered population associated with
galaxies as a function of O"s for two LCDM models (dashed curves) and the relation
between Fgal and (O"S)m (bold solid line) defined by eq. (3). Upper right: the biasing
parameter needed to bring the amplitude O"s of the model into agreement with the
observed O"s for galaxies; for LCDM and MDM models with various matter density flm
and HDM density, fl n . Dashed box shows the range of the bias parameter allowed by
numerical simulations of the evacuation of voids. Lower left: power spectra of LCDM
models with various fl m . Lower right: angular spectra of CMB for LCDM and MDM
models for various fl m .
of matter. It is related to the observed value of (CJS)gal by the following equation:
(CJS)gal = bgal(CJs)m. (3)
We assume that bgal = be. For two LCDM models with density parameter
Dm ~ 0.4 the growth of Fgal is shown in Fig. 1 [14]. Using observed (CJS)gal in
combination with relation (3) (shown in upper left panel of Fig.1 by a bold line
with error corridor), and the growth of F gal with epoch (dashed curves), we get
for the present epoch rms density fluctuations of the matter (CJS)m = 0.64 ± 0.06,
the fraction of matter in the clustered population, Fgal == 0.70 ± 0.09, and the
biasing parameter bgal == 1.4 ± 0.1.
4 Analysis
The CMBFAST algorithm yields for every set of cosmological parameters the 0"8
value for matter. From observations we know this parameter for galaxies, (0"8)gal.
Using eqn. (3) we can calculate the biasing parameter bgal , needed to bring the
theoretical power spectrum of matter into agreement with the observed power
spectrum of galaxies. This parameter must lie in the range allowed by numerical
simulations of the evolution of structure. Results of calculations for a range of
Dm are shown in Fig. 1 (upper right), using a Hubble parameter of h == 0.65, a
baryon density of Db == 0.05, and HDM densities of Dn == 0.00, 0.05, and 0.10.
The biasing parameter range shown in the Figure is larger than expected from
calculations described above; this range corresponds to the maximum allowed
range of the fraction of matter in the clustered population expected from analytic
estimates of the speed of void evacuation.
Power spectra for LCDM models (D n == 0; 0.2 ::; Dm ::; 0.5) are shown in
lower left panel of Fig. 1. We see that with increasing Dm the amplitude of the
power spectrum on small scales (and respective 0"8 values) increases, so that
the amplitude of the matter power spectrum exceeds for high Dm the ampli-
tude of the galaxy power spectrum. This leads to bias parameter values b ::; 1.
Such values are unlikely since the presence of matter in voids always increases
the amplitude of the galaxy power spectrum relative to the matter spectrum. If
other constraints demand a higher matter density value, then the amplitude of
the matter power spectrum can be lowered by adding some amount of HDM.
However, supernova and cluster X-ray data exclude density values higher than
fl m :::::; 0.4; thus the possible amount of HDM is limited. Lower right panel of
Fig. 1 shows the angular spectrum of temperature anisotropies of CMB for some
density parameter values. We see that a low amplitude of the first Doppler peak
of the CMB spectrum prefers a higher Dm value: for small density values the
amplitude is too high. Thus, a certain compromise is needed to satisfy all data.
The cluster mass distribution for LCDM models with 0.2 ::; Dm ::; 0.3 is
shown in the left panel of Fig. 2. We see that low-density models have too
low abundance of clusters over the whole range of cluster masses. The best
agreement with the observed cluster abundance is achieved by an LCDM model
with Dm == 0.3, in good agreement with direct data on matter density. In this
Figure we show also the effect of a bump in the power spectrum, which is seen in
the observed power spectrum of galaxies and clusters [13]. Several modifications
of the inflation scenario predict the formation of a break or bump in the power
spectrum. The influence of the break suggested by Lesgourgues, Polarski and
Starobinsky [22] was studied in [18J. Another mechanism was suggested by Chung
et al [10]. To investigate this case we have used for the long wavenumber end
of the bump a value ko == 0.04 h Mpc- 1 , and for the amplitude parameter
a == 0.3 - 0.8. Our results show that such bump increases only the abundance of
8 Jaan Einasto
10"
0.-0
"I 8e-OS ----~---.-- -- ..----
10~ -Oh
--- n....
6&-05 • _.- n..
10" I
I
~
::li I
~ 10-4
C
-BC93
.Gtr 1 -e• 4e-05 •
I
-lCO"Un20 I ::li
if f· J
I I
i
., 1
10" --- lCO"Cm2S I
I I
lCOM_m2S_aS I
--- lCOM_m30 2e-05 I
1 I
l
10" - lCOM_m30.aS I I
/
I
1 /
I
I
10" 0
lOt. 00 01 02 03 04 05 06
(h' I 0_
Fig. 2. Left: cluster mass distribution for LCDM models of various density Qm, with
and without a Chung bump of amplitude a == 0.5. Right: cluster abundance of LCDM
and MDM models of various density of matter Q m and hot dark matter Qn.
very massive clusters. In the right panel Fig. 2 we show the cluster abundance
constraint for clusters of masses exceeding 10 14 solar masses; the curves are
calculated for LCDM and MDM models with .l?n = 0.00, 0.05, 0.10. We see
that the cluster abundance criterion constrains the matter and HDM densities
in a rather narrow range.
The power spectra of LCDM models with and without the Starobinsky break
are shown in Fig. 3, upper left; these models were calculated for the parameter
r = .l?mh = 0.20. In the case of the spectrum with a bump we have used
MDM models as reference due to the need to decrease the amplitude of the
spectrum on small scales; these spectra are shown in Fig. 3, upper right. Power
spectra are compared with observed galaxy power spectrum [13] and the new
cluster power spectrum by Miller & Batuski [23], reduced to the amplitude of
the galaxy power spectrum. We also show the matter power spectrum based on
a biasing factor be = 1.3 [14]. We see that the Starobinsky model reproduces well
the matter power spectrum on small and intermediate scales, but not the new
data by Miller & Batuski. The modification by Chung et al [10] with amplitude
parameter a = 0.3 fits well all observational data. The cluster mass distribution
for the Chung model is shown in lower left panel of Fig. 3, and the angular
spectrum of CMB temperature fluctuations in lower right panel. In order to fit
simultaneously the galaxy power spectrum and the CMB angular spectrum we
have used a tilted MDM model with parameters n = 0.90, .l?b = 0.06, .l?n = 0.05,
and .l?m = 0.4.
5 Discussion
BOOMERANG and MAXIMA I data have been used in a number of studies to

determine cosmological parameters [4], [9], [11]' [19], [21]' [34], [35]. In addition
10' ...... ---.......,------r----------,
10'
'8:
,
~
oS
g
Q. 10' ---- P..!lsl ---- P..!lsl
- P_man -P_man
o ACO_MB - - - MOM_b06_n05_m40_95J<30
-COM]20.Jl1 - MOM bOO n05 m40
--- COM]20.Jl70 o ACO'::-MB - -
8000 , - - - - - - - - , - - - - - - - - - - - - ,
• BOOMERANG
• MAXIMA I
10" - MOM b06 n05 m40 90.aO
6000 --- MOM)0(nO(m4(90.a3
-BC93
~ 10" .Gir
C
--- MOM_bOO_n05_m40.a3
- MOM_bOO_n05_m40.aO
2000
10"
10" '----~-I~O"..------~l--;O';O--.
'-'-'"u 0 100 1000
10
M[h"'MJ I
Fig. 3. Upper left: power spectra of a LCDM model with and without Starobinsky
modification. Upper right: power spectra of MDM models with and without Chung
modification. Lower left: cluster mass distribution for MDM models with and without
Chung modification. Lower right: angular power spectra of tilted MDM models with
and without Chung modification (amplitude parameter a = 0.3).
to CMB data various other observational data have been used. In general, the
agreement between various determinations is good; however, some parameters
differ. For instance, [34] interpreted new CMB data in terms of a baryon fraction
higher than expected from the nucleosynthesis constraint, h 2 fh = 0.03, and
a relatively high matter density, h2 Dm = 0.33. On the other hand, velocity
data suggest a relatively high amplitude of the power spectrum, O"s D~6 = 0.54,
which in combination with distant supernova data yields D m = 0.28 ± 0.10 and
O"s = 1.17 ± 0.2 [4].
Our analysis has shown that a high value of the density of matter, Dm >
0.4, and high amplitude of the matter power spectrum, O"s > 1, are difficult to
explain in terms of the supernova and cluster abundance data, and the observed
amplitude of the galaxy power spectrum with reasonable bias limits. This conflict
can be avoided using a tilted initial power spectrum, and a MDM model with
a moderate fraction of HDM, as discussed above. The best models suggested so
10 J aan Einasto
far have 0.3 S; Dm S; 0.4, 0.90 S; n S; 0.95, 0.60 S; h S; 0.70, Dn S; 0.05. Matter
densities are constrained to ~ 0.3 by cluster abundances, and to S; 0.4 by all
existing matter density estimates. This upper limit of the matter density, in
combination with the cluster abundance and amplitude of the power spectrum,
yields an upper limit to the density of the hot dark matter. We can consider this
range of cosmological parameters as compatible with all constraints. This set of
cosmological parameters is surprisingly close to the set suggested by Ostriker &
Steinhardt [25]. Now it is supported by much more accurate observational data.
A considerably lower value of matter density, Dm = 0.16, was suggested by
Bahcall et al [2] from the observed value of M / L for galaxies and clusters of
galaxies of various richness. Upper right panel of Fig. 1 shows this constraint for
various fractions of matter in voids and respective bias parameter values. The
reason for the deviation of this matter density determination from the rest is
not clear, and we have not used it in the present analysis.
Acknowledgments
I thank M. Einasto, M. Gramann, V. Miiller, E. Saar, A. Starobinsky, and E.
Tago for fruitful collaboration and permission to use our joint results in this
talk, Joe Silk for discussion, and H. Andernach for help in improving the style.
This study was supported by the Estonian Science Foundation grant 2625.
References
1. Bahcall, N.A., & Cen, R., 1993, Astrophys. J. 407, L 49
2. Bahcall, N.A., Cen, R, Dave, R., Ostriker, J.P. & Yu, Q. 2000, Astrophys. J. (in
press), astro-ph/0002310
3. Bahcall, N.A., Ostriker, J.P., Perlmutter, S., & Steinhardt, P.J., 1999, Science, 284,
1482, astro-ph/9906463
4. Bridle, S.L., Zehavi, I., Dekel, A., Lahav, 0., Hobson, M.P., & Lasenby, A.N., 2000,
Mon. Not. R. astr. Soc. (in press), astro-ph/0006170
5. Broadhurst, T. J., Ellis, R. S., Koo, D. C., and Szalay, A. S., 1990, Nature 343,
726
6. Broadhurst, T. J., & Jaffe, A.H., 2000, Astrophys. J. (in press), astro-ph/9904348
7. Buries, S., 2000 (this volume)
8. Buries, S., Nolett, K.M., Truran, J.N., & Turner, M.S., 1999, Phys. Rev. Lett. 82,
4176
9. Cen, R, 2000, Astrophys. J. (in press), astro-ph/0005206
10. Chung, D.J.H., Kolb, E.W., Riotto, A., & Tkachev, I.I., 1999, hep-ph/9910437
11. de Bernardis, P. et al , 2000, Nature 404, 955
12. Einasto, J., Einasto, M., Gottl6ber, S., Muller, V., Saar, V., Starobinsky, A. A.,
Tago, E., Tucker, D., Andernach, H., & Frisch, P., 1997a, Nature 385, 139
13. Einasto, J., Einasto, M., Tago, E., Starobinsky, A.A., Atrio-Barandela, F., Muller,
V., Knebe, A., Frisch, P., Cen, R., Andernach, H., & Tucker, D., 1999a, Astrophys.
J. 519, 441
14. Einasto, J., Einasto, M., Tago, E., Muller, V., Knebe, A., Cen, R, Starobinsky,
A.A. & Atrio-Barandela, F., 1999b, Astrophys. J. 519, 456
15. Einasto, M., Tago, E., Jaaniste, J., Einasto, J., & Andernach, H., 1997b, Astron.
and Astrophys. Suppl. 123 119
16. Girardi, M., Borgani, S., Giuricin, G., Mardirossian F., & Mezzetti, M., 1998,
Astrophys. J. 506, 45
17. Goldhaber, G., 2000, (this volume)
18. Gramann, M., & Hiitsi, G., 2000, Mon. Not. R. astr. Soc. (in press), astro-
ph/0003455
19. Hanany, S., et al , 2000, Astrophys. J. (in press), astro-ph/0005123
20. Henriksen, M., 2000, (this volume)
21. Kinney, W.H., 2000, astro-ph/0005410
22. Lesgourgues, J., Polarski, D., & Starobinsky, A. A., 1998, Mon. Not. R. astr. Soc.
297, 769, [astro-ph/9711139]
23. Miller, C. J. & Batuski D.J., 2000, Astrophys. J. (in press), astro-ph/0002295
24. Mohr, J.J., Reese, E.D., Ellingson, E., Lewis, A.D., & Evrard, A.E., 2000, Astro-
phys. J. , (in press), astro-ph/0004242
25. Ostriker, J.P., & Steinhardt, P.J., 1995, Nature 377, 600
26. Parodi, B.R., Saha, A., Sandage, A., & Tammann, G.A., 2000, Astrophys. J. (in
press), astro-ph/ 0004063
27. Perlmutter, S., et al 1998, Astrophys. J. 517, 565
28. Press, W. H., & Schechter, P. L., 1974, Astrophys. J. 187, 425
29. Riess, A.G., 1998, Astron. J, 116, 1009
30. Roukema, B.F., & Mamon, G.A., 2000, Astron. Astrophys. 358, 395, astra-
ph/9911413
31. Sakai, S., Mould, J. R, Hughes, S.M.G. et al 2000, Astrophys. J. (in press), astro-
ph/9909269
32. Seljak, V., 2000, (this volume)
33. Seljak, V., & Zaldarriaga, M., 1996, Astrophys. J. 469, 437
34. Tegmark, M., & Zaldarriaga, M., 2000, Phys. Rev. Lett, (in press), astro-
ph/0004393
35. White, M., Scott, D., & Pierpaoli, E., 2000, astro-ph/0004385
The Distribution of Dark Matter in Galaxies:
Constant-Density Dark Halos Envelop the
Stellar Disks
P. Salued and A. Borriello
(1) International School for Advanced Studies SISSA-ISAS - Trieste, I
Abstract. In this paper we review the main and the most recent evidence for the
presence of a core radius in the distribution of the dark matter around spiral galax-
ies. Their rotation curves, coadded according to the galaxy luminosity, conform to
an Universal profile which can be represented as the sum of an exponential thin
disk term plus a spherical halo term with a fiat density core. From dwarfs to giants,
these halos feature a constant density region of size ro and core density Po related by
po = 4.5 x 1O-2(ro/kpc)-2/3M 0 Pc- 3. At the highest masses Po decreases exponentially,
with ro revealing a lack of objects with disk masses> 101lM 0 and central densities
> 1.5 x 1O-2(ro/kpc)-3M 0 Pc- 3 ,which implies a maximum mass of::::; 2 x 10 12 M0 for
halos hosting spirals. The fine structure of dark matter halos is obtained from the kine-
matics of a number of suitable low-luminosity disk galaxies. The inferred halo circular
velocity increases linearly with radius out to the edge of the stellar disk, implying a
constant dark halo density over the entire disk region. The structural properties of ha-
los around normal spirals are similar to those around dwarf and low surface brightness
galaxies; nevertheless they provide far more substantial evidence of the discrepancy
between the mass distributions predicted in the Cold Dark Matter scenario and those
actually detected around galaxies.
1 Introduction
Rotation curves (RC's) of disk galaxies are the best probe for dark matter (DM)
on galactic scale. Notwithstanding the impressive amount of knowledge gathered
in the past 20 years, only very recently we start to shed light to crucial aspects
of the mass distribution including the actual density profile of dark halos and its
claimed universality.
On the cosmological side, high-resolution cosmological N-body simulations
have shown that cold dark matter (CDM) halos achieve a specific equilibrium
density profile [16 hereafter NFW, 6, 10, 14, 11]. This can be characterized by
one free parameter, e.g. M200 , the halo mass contained within the radius inside
which the average over-density is 200 times the critical density of the Universe
at the formation epoch. In their innermost region the dark matter profiles show
some scatter around an average profile which is characterized by a power-law
cusp p '" r--Y, with 'Y = 1 - 1.5 [16, 14, 2]. In detail, the DM density profile is:
(1)
Salucci & Borriello 13
where r s is a characteristic inner radius and Ps the corresponding density. Let

us define the halo virial radius Rvir as the radius within which the mean density
is L\vir times the mean universal density Pm at that redshift, and the associated
virial mass M vir and velocity Vvir == GMvirl R vir . By defining the concentration
parameter as Cvir == Rvir/r s the halo circular velocity VcDM(r) takes the form
[2]:
v;2 () - V~ ~ A(x) (2)

CDM r - VIr A(Cvir) X
where x == rlr s and A(x) == In(1 + x) - xl(1 + x). As the relation between
Vvir and Rvir is fully specified by the background cosmology, we assume the
currently popular ACDM cosmological model, with [lm = 0.3, [lA = 0.7 and
h = 0.75, in order to reduce from three to two (Cvir and r s) the independent
parameters characterizing the model. According to this model, L\vir ~ 340 at
z ~ O. Let us stress that a high density [lm = 1 model, with a concentration
parameter Cvir > 12, is definitely unable to account for the observed galaxy
kinematics [13]. Until recently, due to both the limited number of suitable RC's
and to uncertainties on the exact amount of luminous matter in the innermost
regions of spirals, it has been difficult to investigate the internal structure of
their dark halos. However, as a result of substantial observational and theoretical
progresses, we have recently derived the main features of their mass distribution
for a) the Universal Rotation Curve [20] built by coadding 1000 RC's and b) a
number of suitably selected RC's [1].
2 The URC and CDM Halos

The assumed (and well supported) framework is: a) the mass in spirals is dis-
tributed according to the Inner Baryon Dominance (IBD) regime: there is a
characteristic transition radius RIBD ~ 2Rd(Vopt/220 km/s)1.2 (Rd is the disk
scale-length and Vopt == V(R opt )) according which, for r ~ RIBD, the lumi-
nous matter totally accounts for the mass distribution, whereas, for r > RIBD,
DM rapidly becomes the dominant dynamical component [26, 24, 1]. Then, al-
though the dark halo might extend down to the galaxy center, it is only for
r > RIBD that it gives a non-negligible contribution to the circular velocity. b)
DM is distributed in a different way with respect to any of the various baryonic
components [20, 7], and c) HI contribution to the circular velocity at r < Ropt,
is negligible [e.g. 21].
2.1 Halo Density Profiles

Reference [20] have derived from 15000 velocity measurements of 1000 RC's,
the synthetic rotation velocities of spirals Vsyn (R Topt ,h
L • ), sorted by luminos-
ity (Fig. 1, with LI the I-band luminosity and Lr/L. = 1O-(M1 +21.9)/5). Re-
markably, individual RC's have a very small variance with respect to the corre-
sponding synthetic curves [20, 21, 22]: spirals sweep a very narrow locus in the
14 Constant Density Dark Halos Envelop Galaxy Disks
1 I 'I 1
o
:(7<- :~:
o LLLLLLLLLLLLLLLLLl.LLJ..l.J o Ll..1.LLl.LLJ..LLJ..LLJ..LLJ....LLJ...LJ
o .5 1.5 2 0.5 1.5 0.5 1.5 2
o Ll..1.LLl.LLJ..LLJ..LLJ..LLJ....LLJ...LJ
o .5 1 1.5 2
R/R.,.
J 1
~~ .5 ""","_"------ ----------
o
o .5 1 1.5 2 .5 1 1.5 2
R/R.,. R/R..,..
Fig. 1. Synthetic rotation curves (filled circles with error bars) and URC (solid line)
with its separate dark/luminous contributions (dotted line: disk; dashed line: halo).
See [20] for details
RC-profile/amplitude/luminosity space. On the other hand, the galaxy kine-

matical properties significantly change with luminosity [e.g. 20], so it is natural
to relate the mass distribution with this quantity. The whole set of synthetic
RC's has been reproduced by means of the Universal Rotation Curve (URC)
VURc(r/Ropt,LI/L*) which includes: a) an exponential thin disk term [9]:
Vl,uRdx) = 1.28 ,8Vo~t x 2 (IoKo - hK1 )I1.6X (3)

and b) a spherical halo term:
2
2 2 2 x
Vh,URc(X) = Vopt (1 - (3) (1 + a ) (x 2 + a2 ) , (4)
with x == rlRopt, /3 == (Vd,URc(RopdIVopt)2, Vopt V(Ropd and a the halo

core radius in units of R opt ' At high luminosities, the contribution from a bulge
component has also been considered.
.. - . .-
1.8
0.8
1.6
0.8 -
1.4
'" 1.2
ClL
0.4 -
0.2 -
I I I I I I I I
0.8 0
0 0.2 0.4 0.6 0.8 1.8 2 2.2 2.4
fJ log (Vop,/km 8- 1)
Fig. 2. a vs {3 and (3 vs Vopt
Let us stress that the halo velocity functional form (4) does not bias the mass
model: it can equally account for maximum-disk, solid-body, no-halo, all-halo,
CDM and core-less halo mass models. In practice, the synthetic curves Vsyn
select the actual model out of the family of models VJRdx) = Vf,URdx, /3, a) +
VlURdx, /3), where a and /3 are free parameters. Adopting a ~ 1.5(LI/L*)1/5
and /3 ~ 0.72+ 0.4410g(LI I L*) [20] or, equivalently, the corresponding a = a(/3)
and (3 = (3(log Vopt ) plotted in Fig. 2, the URC reproduces the synthetic curves
Vsyn(r) within their r.m.s. (see Fig. 1). More in detail, at any luminosity and
radius, JVuRe - Vsynl < 2% and the 10" fitting uncertainties on a and 13 are about
20% [20].
To cope with this observational evidence and conveniently frame the halo
density properties, we adopted the empirical profile proposed by Burkert [3]:
poro3
Pb (r ) = (5)
(r + ro)(r 2 + r5)
where Po and ro are free parameters which represent the central DM density and
the scale radius. Within spherical symmetry, the mass distribution is given by:
Mb(r) = 4Mo{ln(1 + rIro) - arctan(r Iro) + 0.51n[1 + (r IrO)2]) (6)

with Mo, the dark mass within the core, given by Mo = 1.6porg. The halo
contribution to the circular velocity is then:
(7)
Although the dark matter core parameters ro, Po and M o are in principle inde-
pendent, the observations reveal a clear correlation [3]:
M o = 4.3 X 107 (;;C) 7/3 M0 (8)
which, together with the above relationship, indicates that dark halos represent
a I-parameter family which is completely specified, e.g. by the core mass.
i
100
~
>
!> 60
6 10 16 20 26
R (kpc) R (kpc)
100
~
e
~ 60
>
R (kpc) R (kpc)
100
80
80
~OO
~ 80 e
....-
~ 40 ~ 40
> >
20 ., 20
°O£:..........J...............~..............J..~~ 0
8 8 10 0 2 4 8
R (kpc) R (kpc)
Fig. 3. URC-halo rotation curves (filled circles with error bars) and the Burkert model
(solid line). The bin magnitudes are also indicated
We then compare the dark halo velocities obtained with (3) and (4), with
the Burkert velocities Vb(r) of (5)-(7), leaving Po and ro as free parameters,
i.e. we do not impose the relationship (8). The results are shown in Fig. 3: at
any luminosity, out to the outermost radii (rv 6Rd), Vb (r) is indistinguishable
from Vh,uRc(r). More specifically, by setting Vh,uRc(r) == Vb(r), we are able to
reproduce the synthetic rotation curves Vsyn(r) at the level of their r.m.s. For
r >> 6R d , i.e. beyond the region described by the URC, the two velocity profiles
progressively differ.
The values of TO and Po from the URC agree with the extrapolation at high
o 2 3
masses of the scaling law p IX r / [3J established for objects with core radii
ro ten times smaller (see Fig. 4). Let us notice that the core radii are very
large: ro » Rd so that an ever-rising halo RC cannot be excluded by the data.
Moreover, the disk-mass vs. central halo density relationship Po IX M;;1/3, found
for dwarf galaxies [3], according to which the densest halos harbor the least
massive disks, holds also for disk systems of stellar mass up to 1011 M0 (see Fig.
4).
-23.5
•
.
~
.£
-24
-24.5
•
-25
•
8 9 10 11 12
10& N.
-23.5
..
~
.£
-24
-24.5
-25
a 0.5 1
10& r.
1.5 2
Fig. 4. (up) Disk mass (in solar units) vs central halo density po (in g/cm 3 ) for normal
spirals (filled circles). The straight line is from [3](bottom) central density vs core radii
(in kpc) for normal spirals (filled circles). The straight line and the point are from the
dwarfs sample of [3J. The curved line is: Po = 5 x 1O-24 r ;2/3 exp -(ro/27?g/cm 3 .
The above relationship shows a curvature at the highest masses/lowest den-

sities that can be related to the existence of an upper limit in the dark halo mass
M 200 1 which is evident by the sudden decline of the baryonic mass function of
disk galaxies at M'dl.ax = 2 X 1011 M0 [26], that implies a maximum halo mass
of M2(jgx rv Do/ DbM:tax, where Do and Db :::: 0.03 [e.g. 5] are the matter and
baryonic densities of the Universe in units of critical density. From the definition
of M200 , by means of eq. (6) and (8), we can write M200 in terms of the "ob-
servable" quantity Mo: M200 = 1]Mo. For (Do, z) = (0.3,3), 1] :::: 12; notice that
there is a mild dependence of 1] on z and Do which is irrelevant for the present
study. From simple manipulation of previous equation- we obtain an upper limit
for the central density, Po < 1 x 1O- 20 (ro/kpc)-3 g/cm3, which implies a lack
1 The virial halo mass is given by M 200 == 200 x 47l'/3pcR~oo.flo(1 + Z3)g(Z) with z the
formation redshift, R200 the virial radius, for g(z) see e.g. [2]; the critical density is
defined as: pc == 3/(87l')G- 1 H~.
of objects with Po > 4 X 10- 25 gjcm and ro > 30 kpc, as is evident in Fig.
3
4. Turning the argument around, the deficit of objects with Md "" Md'ax and
3
Po > 4 X 10- 25 gjcm , suggests that, at this mass scale, the total-to-baryonic
density ratio nears the cosmological value D/ Db ::: 10.
2.2 Testing CDM
Out to two optical radii, the Burkert density profile reproduces, for the whole
spiral luminosity sequence, the DM halos mass distribution. This density profile,
though at very large radii coincides with the NFW profile, approaches a con-
stant, finite density value at the center, in a way consistent with an isothermal
distribution. This is in contradiction to CDM halo properties which predict [e.g.
10J that the velocity dispersion (J of the dark matter particles decreases towards
the center to reach (J ---+ 0 for r ---+ 0 . The dark halo inner regions, therefore,
cannot be considered as kinematically cold structures but rather as "warm" re-
gions with size ro ex: Po 1.5 . The halo core sizes are very large: ro "" 4 - 7Rd.
Then, the boundary of the core region is well beyond the region where the stars
are located and, as in [7], even at the outermost observed radius there is not the
slightest evidence that dark halos converge to a P "" r- 2 (or a steeper) regime.
3 Individual RC's and CDM
To derive the halo density from an individual rotation curve is certainly compli-
cated, however, the belief according to which RC's lead to ambiguous halo mass
modeling [e.g. 28] is incorrect. In fact this is true only for rotation curves of low
spatial resolution, i.e. with < 3 measures per exponential disk length-scale R d ,
as for most of HI RCs. Since the parameters of the galaxy structure are very
sensitive to the shape of the rotation curve in the region 0 < r < R d , that cor-
responds to the region of the RC steepest rise, then the mass model cannot be
inferred if such a region is poorly sampled and/or radio beam-biased. Instead,
high-quality optical Res with tens of independent measurements in the critical
region probe the halo mass distribution and resolve their structure.
Since the dark component can be better traced when the disk contributes
to the dynamics in a modest way, it is convenient to investigate DM-dominated
objects, like dwarf and low surface brightness (LSB) galaxies. It is well known
that for the latter there are claims of dark matter distributions with regions
of constant density well different from the cusped density distributions of the
Cold Dark Matter scenario [e.g. 8, 13, 3, 4, 11, 12, 27]. However, these results
are far from certain being 1) under the (unlikely) caveat that the low spatial
resolution of the RCs does not bias the derived mass model and 2) uncertain,
due to the limited amount of available kinematical data [see 29]. Since most of the
properties of cosmological halos are claimed universal, we concentrate on a small
and particular sample of RCs, that, nevertheless, reveal the properties of the DM
halos around spirals. A more useful strategy has been to investigate a number
of high-quality optical rotation curves of low luminosity late-type spirals, with
Salueci & Borriello 19
I -band absolute magnitudes -21.4 < M[ < -20.0 and that 100 < Vopt < 170
km S-l. Objects in this luminosity/velocity range are DM dominated [e.g. 20]
but their RC's, measured at an angular resolution of 2", have a spatial resolution
of w "" 100(D /10 Mpc) pc and ndata "" Roptlw independent measurements. For
nearby galaxies: w << R d and ndata > 25. Moreover, we select RC's of bulge-less
systems, so that the stellar disk is the only baryonic component for r :::, Rd.
In detail, we take from [19] the rotation curves of the 'excellent' subsample
of 80 galaxies, which are suitable for an accurate mass modeling. In fact, these
RC's properly trace the gravitational potential in that: 1) data extend at least
to the optical radius, 2) they are smooth and symmetric, 3) they have small rms,
4) they have high spatial resolution and a homogeneous radial data coverage, i.e.
about 30 - 100 data points homogeneously distributed with radius and between
the two arms. From this subsample we extract 9 rotation curves of low luminosity
galaxies (5 x 109£0 < £[ < 2 X 1010 £0; 100 < Vopt < 170 km S-l), with their 1-
band surface luminosity being an (almost) perfect radial exponential. These two
last criteria, not indispensable to perform the mass decomposition, are however
required to infer the dark halo density distribution. Each RC has 7 - 15 velocity
points inside R opt , each one being the average of 2 - 6 independent data. The
RC spatial resolution is better than 1/20 R opt , the velocity Lm.S. is about 3%
and the RC's logarithmic derivative is generally known within about 0.05.
3.1 Halo Density Profiles
We model the mass distribution as the sum of two components: a stellar disk and
a spherical dark halo. By assuming centrifugal equilibrium under the action of
the gravitational potential, the observed circular velocity can be split into these
two components:
(9)
By selection, the objects are bulge-less and the stellar component is distributed
like an exponential thin disk. Light traces the mass via an assumed radially
constant mass-to-light ratio. In the r.h.s of (9) we neglect the gas contribution
Vgas (r) since in normal spirals it is usually modest within the optical region
[21, Fig. 4.13]: (3gas == (Vg2as/V2)Ropt "" 0.1. Furthermore, high resolution HI
observations show that in low luminosity spirals: Vgas(r) :::::: 0 for r < R d and
Vgas(r) :::::: (20±5)(r-Rd)/2Rd for R d ~ r ~ 3Rd. Thus, in the optical region: i)
Vg2as (r) « V 2(r) and ii) d[V2(r) - Vias (r)Jldr ~ O. This last condition implies
that by including Vgas in the Lh.s. of (9) the halo velocity profiles would result
steeper and then the core radius in the halo density larger. Incidentally, this is not
the case for dwarfs and LSBs: most of their kinematics is affected by the HI disk
gravitational pull in such a way that neglecting it could bias the determination
of the DM density.
The circular velocity profile of the disk is given by (3) and the DM halo will
have the form given by (4). Since we normalize (at R opt ) the velocity model
(Vf + Vl)I/2 to the observed rotation speed Vopt, [J enters explicitly in the halo
velocity model and this reduces the free parameters of the mass model to two.
It is important to remark that, out to R opt , the proposed Constant Den-
sity Region (CDR) mass model of (4) is instead neutral with respect to all the
proposed models. Indeed, by varying [J and a, we can efficiently reproduce the
maximum-disk, the solid-body, the no-halo, the all-halo, the CDM and the
core-less-halo models. For instance, CDM halos with concentration parameter
c = 5 and r s = R opt are well fit by (4) with a ~ 0.33.
For each galaxy, we determine the values of the parameters /3 and a by means
ofax2 -minimization fit to the observed rotation curves:
V';odel(rj[J,a) = Vl(rj[J) + Vl(rj/3,a) (10)

A central role in discriminating among the different mass decompositions is
played by the derivative of the velocity field dV/dr. It has been shown [e.g.
18] that by taking into account the logarithmic gradient of the circular velocity
field defined as: \7(r) == dl;ro~~r) one can retrieve the crucial information stored
in the shape of the rotation curve. Then, we set the X2 -s as the sum of those
evaluated on velocities and on logarithmic gradients: X~ = I:~:I Vi-V"'Ood~(ri;,B,a)
and X2'V -- ",nv 'V(ri)-'V",ode/(ri;,B,a) with \7 d l(r' /3 a) given from the above
wi=1 O'Vi ' mo e t, ,
equations. The parameters of the mass models are finally obtained by minimizing
.
t he quantIty Xtot = Xv + X'V'
2 - 2 2
-0.1
;;;:
I
~ -0.2
.£
I
I T
-0.3
1 I
-0.4 '-'-_.LO.2~--'--'~~0.L.2
~--'--'0.4~'-'
log ...
Fig. 5. Halo parameters (a is in units of Rapt) with their uncertainties
The parameters of the best-fit models are shown in Fig. 5. They are very
well specified: the allowed values span a small and continuous region of the (a,
/3) space. We get a "lowest" and a "highest" halo velocity curve by subtracting
from V(r) the maximum and the minimum disk contributions Vd(r) obtained by
substituting in (3) the parameter /3 with /3best + fJ/3 and /3best - fJ/3, respectively.
The derived mass models are shown in Fig. 6, alongside with the separate disk
and halo contributions. It is then obvious that the halo curve is steadily increas-
ing, almost linearly, out to the last data point. The disk-contribution f3 and the
halo core radius a span a range from 0.1 to 0.5 and from 0.8 to 2.5, respectively.
In each object the uniqueness of the resulting halo velocity model can be realized
by the fact that the maximum-disk and minimum-disk models almost coincide.
Remarkably, we find that the size of the halo density core is always greater than
the disk characteristic scale-length Rd and it can extend beyond the disk edge
(and the region investigated).
II.-tlt
..,
.A ..100
" t 4 • • to n:
r UII:IN'I
.2
-. 100
'.~-;--""'.-"""'"
tlll)oc")
o~~ -t:--:-,-'-~
,rl.,..1
Fig. 6. CDR model fits (thick solid line) to the RCs (points with errorbars). Thin solid
lines represent the disk and halo contributions. The maximum disk and the minimum
disk solutions are also plotted (dashed lines)
3.2 Testing CDM

In Fig. 7 we show the halo velocity profiles for the nine galaxies. The halo circular
velocities are normalized to their values at R opt and expressed as a function of
the normalized radius r / R opt . These normalizations allow a meaningful compar-
ison between halos of different masses. It is then evident that the halo circular
velocity, in every galaxy, rises almost linearly with radius, at least out to the
disk edge: Vh(r) ex r for 0.05R opt ~ r ~ R opt .
The halo density profile has a well defined (core) radius within which the
density is approximately constant. This is inconsistent with the singular halo
density distribution emerging in the Cold Dark Matter (CDM) halo formation
scenario. More precisely, since the CDM halos are, at small radii, likely more
cuspy than the NFW profile: PCDM ex r-1. 5 [e.g. 14]' the steepest CDM halo
velocity profile Vh(r) ex r 1 / 4 results too shallow with respect to observations.
Although the mass models of (4) converge to a distribution with an inner core
rather than with a central spike, it is worth, given the importance of such result,
also checking in a direct way the (in)compatibility of the CDM models with
galaxy kinematics. We assume the NFW two-parameters functional form for the
halo density [15, 16, 17], given by (1). Though N-body simulations and semi-
analytic investigations indicate that the two parameters Cvir and r s correlate,
they are left independent to increase the chance of a good fit. For the object
under study a generous halo mass M vir upper limit is M up = 2 X 10 12 M 0 .
0.8
>~ 0.6
;,
>
0.4
0.2
0.2 0.4 0.8 0.8

r /R op ,
Fig. 7. The halo velocity profiles of the sample spirals. Vh(r) rises almost linearly with
radius: the DM halo density remains approximately constant
The fits to the data are shown in Fig. 8 and compared with the NFW mod-
els: for seven out of nine objects the latter are unacceptably worse than the
CDR solutions, moreover in all objects, the CDM virial mass is too high high:
M vir ....., 2 X 1012 M 0 and the resulting disk mass-to-light ratio too low. The in-
adequacy of the CDM model for our sample galaxies is even more evident if one
performs the fit after removing the constraint on virial mass. In fact, good fits are
obtained only for very low values of the concentration parameter (Cvir :::: 2) and
for ridiculously large virial velocities and masses (Vvir :::: 600-800 km S-l; Mvir ::::
10 13 - 10 14 M0 ). These results can be explained as effect of the attempt, by the
minimization routine, to fit the NFW velocity profile (V(r) ex rO. 5 ) to data
intrinsically linear in r.
4 Conclusions: an Intriguing Evidence

The dark halos around spirals emerge as an one-parameter family; it is relevant
that the order parameter (either the central density or the core radius) correlates
with the luminous mass. However, we do not know how it is related to the
global structural properties of the dark halo, like the virial radius or the virial
mass. The halo RC, out to 6Rd, is completely determined by parameters, i.e.
the central core density and the core radius, which are not defined in present
gravitational instability/hierarchical clustering scenario. In fact the location of
spiral galaxies in the parameter space of virial mass, halo central density and
baryonic mass, determined by different processes on different scales, degenerates
with no doubt into a single curve (see Fig. 4), we recall that: Po :::: M2oo/r~ ;4
and Md :::: G- 1(3Vo;tRopt, of difficult interpretation within the standard theory
of galaxy formation.
1l6-Cl': »I·~~ ~)3·e.
zoo
'60
. • '00
!> !> , ..-:u
_'_-01
.
r(pt)
,,
• .• •
lllr"",
10 .. .•
r 110,,1
~-GU "-GI4
...
..' C>
zoo
.~ ....
:- :-
, -. 100 ,
! !>
.. 'I
'/" .'_-:rZ
I_woe
.
/
•• ,,
.,,",1
•
,(lopc-)
10
......
..
11I-3-104: ,.",.
,
lO'
:-
'00
,
'_-li t'_" 12
!> .. " t'_~'
.'_-'2 ,t
.'-'"
.-'_- 11
.•
/
. ,,
/.
,
• I
• ,
rtkpc)
• ,
r Ikpl"l r ("pc)
Fig. 8. NFW best-fits solid lines of the rotation curves (filled circles) compared with
the CDR fits (dashed lines). The X2 values are also indicated
Crucial insight has come from disk-halo density decompositions of a number

of disk galaxies. These galaxies have a relevant amount of dark matter: the
contribution of the luminous matter to the dynamics is small and it can be easily
taken into account. Moreover, the high spatial resolution of the available rotation
curves allows us to derive the separate dark and luminous density profiles. We
find that dark matter halos have a constant central density region whose size
exceeds the stellar disk length-scale Rd. As result, the halo profiles disagree
with the cuspy density distributions typical of CDM halos which, therefore, fail
to account for the actual DM velocity data.
Pointing out that a review on the various efforts aimed to cope with the core
radii evidence will be published elsewhere, we conclude by stressing that, for any
theory of galaxy formation, time is come to seriously consider that stellar disks
(and perhaps also stellar spheroids) lay down in dark halos of constant density.
References
1. A. Borriello, P. Salucci: MNRAS in press astro-phl (2000)
2. J.S. Bullock, T.S. Kolatt, Y. Sigad, RS. Somerville, A.V. Kravtsov, A.A. Klypin,
J.R Primack, A. Dekel: MNRAS in press astro-ph/9908159 (2000)
3. A. Burkert: ApJ, 447, L25 (1995)
4. A. Burkert, J. Silk: ApJ, 488, L55 (1997)
5. S. Buries, D.Tytler: Space Sci. Rev., 84, 65 (1998)
6. S. Cole, C. Lacey: MNRAS, 281, 716 (1997)
7. E. Corbelli, P. Salucci: MNRAS, 311, 411C (2000)
8. R. Flores, J.R. Primack: ApJ, 427, L1 (1994)
9. K.C. Freeman: ApJ, 160, 811F (1970)
10. T. Fukushige, J. Makino: ApJ, 477, L9 (1997)
11. A.V. Kravtsov, A.A. Klypin, J.S. Bullock, J.R Primack: ApJ, 502, 48 (1998)
12. S.S. McGaugh, W.J.G. de Block: ApJ, 499, 41 (1998)
13. B. Moore: Nature, 370, 629 (1994)
14. B. Moore, F. Governato, T. Quinn, J. Stadel, G. Lake: ApJ, 499, L5 (1998)
15. J.F. Navarro, C.S. Frenk, S.D.M. White: MNRAS, 275, 56 (1995)
16. J.F. Navarro, C.S. Frenk, S.D.M. White: ApJ, 462, 563 (1996)
17. J.F. Navarro, C.S. Frenk, S.D.M. White: ApJ, 490, 493 (1997)
18. M. Persic, P. Salucci: MNRAS, 245, 577 (1990b)
19. M. Persic, P. Salucci: ApJS, 99, 501.. (1995)
20. M. Persic, P. Salucci, F. Stel: MNRAS, 281, 27P (1996)
21. M.-H. Rhee: PhD thesis, Groningen University (1996)
22. D. F. Roscoe: A&A , 343, 788 ((1999)
23. P. Salucci: MNRAS in press astro-ph/0007389 (2000)
24. P. Salucci, C. Ratnam, P. Monaco, L. Danese: MNRAS, 317, 488S (2000)
25. P. Salucci, A. Burkert: ApJ, 537L, 9S (2000)
26. P. Salucci, M. Persic: MNRAS, 309, 923 (1999)
27. J. Stil: Ph.D. Thesis, Leiden University (1999)
28. T.S. van Albada, J.S. Bahcall, K. Begeman, R Sancisi: ApJ, 295, 305 (1985)
29. F.C. van den Bosch, B.E. Robertson, J. Dalcanton, W.J.G. de Blok: AJ , 119,
1579V (2000)
The Amount of Dark Matter in Spiral Galaxies
Burkhard Fuchs
Astronomisches Rechen-Institut, Monchhofstr. 12-14, 69120 Heidelberg, Germany
Abstract. The 'maximum' disk hypothesis of galactic disks imbedded in dark matter
halos is examined. First, decompositions of the rotation curves of NGC 2613, 3198,
6503, and 7184 are analyzed. For these galaxies the radial velocity dispersions of the
stars have been measured. If the parameters of the decompositions are chosen according
to the 'maximum' disk hypothesis, the Toomre Q stability parameter is sytematically
less than one, which is a strong argument against the 'maximum' disk hypothesis. Next,
density wave theory arguments are used to describe the morphology of the spiral arms
of NGC 3223, 157, and 7083. It is shown that the 'maximum' disk hypothesis is not
consistent with the observed morphologies of the galaxies.
1 Introduction
An important aspect of the dark matter problem of spiral galaxies is the question
to what extent the galaxies are dominated by dark matter even in their inner
parts, where the optically visible disks reside. The presence of dark matter is
usually deduced from the decompositions of the rotation curves of the galaxies.
These are, however, highly ambiguous, and 'maximum' disk versus submaximal
disk decompositions of the rotation curves of spiral galaxies have been discussed
at great length in the literature. The general opinion is that the inner parts of
the galaxies are not dominated by dark matter (d. Bosma (1999) for a recent
review). However an increasing number of arguments have been put forward,
which challenge this conclusion:
• Considerations of the formation of the baryonic disks in dark halos by dis-

sipational collapse show that a considerable amount of dark matter is also
pulled into the inner parts during this process (Blumenthal et al. 1985).
• Gravitational lensing of a quasar by the spiral edge-on galaxy B1600+434
indicates that its disk is submaximal (Maller et al. 2000).
• Courteau & Rix (1999) have used the Tully-Fisher relation to study with a
large set of galaxies the statistical correlation of the peaks of the rotation
curves of the galaxies with the radial scale lengths h of the disks. They find
a dependency V c ex h- 1 / 2 , which cannot be the case, if the galaxies were
dominated by dark matter.
• Kranz & Rix (d. their contribution in this volume) have searched for the
signatures of spiral arms in the rotation curve of NGC 4254 and conclude
that its disk is submaximal.
26 Burkhard Fuchs
On the other hand, based on numerical simulations of the slowing down of the
rotation of bars in disks imbedded in dark matter halos, Debattista & Sellwood
(1998) contend vociferously that galactic disks must be massive. Tremaine &
Ostriker (1999) have made the suggestion that this problem could be possi-
bly overcome, however, if the inner part of the dark halo is rotating, although
Debattista & Sellwood (2000) claim that this would have to be at a level incon-
sistent with the low rotation of the stellar halos of galaxies. In addition Weiner
et al. (2000) find by modelling the velocity field of the barred galaxy NGC 4123
a high mass-to-light ratio for its bar. Thus arguments concerning the amount
of dark matter in galaxies are at present highly controversial.
The aim of this paper is to draw attention to the implications of the modelling
of the rotation curves for the internal dynamics of the disks, which are related
to the dynamical stability of the disks and the morphological appearance of the
spiral structure of the galaxies.
The sample of galaxies used here to study their dynamical stability has been
drawn from the list of Bottema (1993) of galaxies with measured stellar velocity
dispersions. The criteria were (a) that the rotation curve of each galaxy, pref-
erentially in HI, is observed, (b) that each galaxy is so inclined that the planar
velocity dispersions are measured, but (c) that the spiral structure is clearly
discernible (cf. also Fuchs 1999).
In section 3 density wave theory arguments will be used to descibe the mor-
phology of the spiral arms of NGC 3223, 157, and 7083, for which NIR photom-
etry and rotation curves are available (Block et al. 2000). This provides again
constraints on the decomposition of the rotation curves of the galaxies.
2 Decomposition of the Rotation Curves

and the Q Parameter as Diagnostic Tool
The rotation curve of each galaxy is fitted by the superposition of contributions
due to the stellar and gaseous disks, both modelled by thin exponential disks,
in the case of NGC 2613 a bulge, modelled by a softened T- 3 .5 density law, and
the dark halo, modelled by a quasi-isothermal sphere,
(1)
Detailed formulae for each of the contributions in (1) can be found, for instance,
in Fuchs, Mollenhoff & Heidt (1998). The radial scale lengths of the disks, h,
and core radii of the bulges, Tc,b, as well as the bulge to disk ratios have been
adopted from published photometry of the galaxies (cf. Bottema (1993), Broeils
(1992) and references therein). Only in the cases of NGC 3198 and 6503 HI data
were available, which allowed the determination of the Vc,g contribution in (1).
No quantitative photometry of the bulge of NGC 7184 is available.
The diagnostic tool, which I use to analyze the rotation curve models, is the
Toomre stability parameter of the disks, which is given by
Q= Kau (2)
3.36GEd
The Amount of Dark Matter in Spiral Galaxies 27
200 NGC 3198

1.5
•
..............:. dark holo
~~~
--- dill<
.5
_ • _ • _ • _ • _ • _ • _ • _ • _ .11_ ,~ • _
oOL...L..-'-L...L...l.-J'-'-.L...............i-JL..L....L-l....L........-'-1"-0-'-'
5 10 15 20 25 30 2 4 6 8
R [kpc) R [kpc)
Fig.!. 'Maximum' disk decomposition of the rotation curve of NGC 3198. The contri-
butions to the rotation curve due to the various components are indicated. The inferred
stability parameter is shown in the left panel.
~ 150 NGC 6503

~
! 100
............,: dark: halo
... - - _ _ _ _ disk
------- .5
0LJ.-,w.J...l...L....L..J....L..l...~l-W1..J...l ...............L..J....L...L..L..LL..U
o 2 3 4 5
R [kpc]
Fig. 2. 'Maximum' disk decomposition of the rotation curve of NGC 6503.
500 ....,r-rr-r......-r-r-r-r-r-rT""TO-r1-r1rrr-rr:J
400
NGC 2613
:-. > :....: ~. ~ .~~':"i. holo

.ii.i. -- .5
___ . _ . _ . _ . _ .b~~~ ._
oOLu....L..J...l....L-L...L.i...l.2..L...L.~3...u............41....L..L.J..L.5L.u...J...W6
R [kpc]
In (2) K denotes the epicyclic frequency, which can be directly derived from the
rotation curve, o-v the - measured - radial velocity dispersion of the stars, G
the constant of gravitation, and Ed the surface density of the disk, which follows
from the fits to the rotation curves. The stability parameter must lie in the range
1 < Q < 2, in order to prevent Jeans instability of the disk, on one hand, and
to allow the disks to develop spiral structures, on the other hand.
Decompositions of the rotation curves of the galaxies, which maximise the
disk contribution in (1), are shown in Figs. 1 to 4 together with the resulting
28 Burkhard Fuchs
400,,-.,....,............,.....,....,....r-r..-r-r-r"'T""'T....,.....,r-T""rr-I
NGe 7164
~ 300
'"
"- • .0
~ ZOO o stellar
0'
• HfJ
>"
. 'ci':"k balo
0
5 10 15 ZO 0 5 10 15 ZO
R [kpc) R [kpc]
stability parameters. As can be seen from the figures, the Q parameters are sys-
tematically close to or even less than one. That is impossible in real galactic
disks. As is well known since the classical paper by Sellwood & Carlberg (1984),
the disks would evolve fiercely under such conditions and heat up dynamically
on short time scales. If the model of Sellwood & Carlberg is scaled to the di-
mensions of NGC 6503, the numerical simulations indicate that the disk would
heat up within a Gyr from Q = 1 to 2.2 and any spiral structure would be sup-
pressed (cf. also Fuchs & von Linden 1998). The amount of young stars on low
velocity dispersion orbits, which would have to be added to the disk in order to
cool it dynamically back to Q = 1, can be estimated from (2). In NGC 6503 a
star formation rate of 40 M 0 /pc 2 /Gyr would be needed, while actually a star
formation rate of 1.5 M 0 /pc 2 /Gyr, as deduced from the Hae flux (Kennicutt et
al. 1994), is observed. Thus 'maximum' disks seem to be unrealistic under this
aspect.
250 LT'T"TT'rrr"""""rrr"""""rrr"""""rrr"'T'T'rrr"T'T"1
~
zoo NGe 3196
1.5
~ 150
.>Ii 0'
~ 100
>" dJok .5
. _. _. _. _ ~j;.l~ : .
o0lA....1-'-'-SL'-1..........1.L.Ow...J...LI.L.Sw...J...LZ.L.0w...J...LZ.L..S..............>..J30 466 10
R [kpc) R [kpc)
Fig. 5. Decomposition of the rotation curve of NGC 3198 with a submaximal disk.
This deficiency can be remedied, if submaximal disks are assumed. This is

illustrated in Fig. 5 for NGC 3198, where the mass-to-light ratio of the disk has
been reduced from M/LB = 3.5 to 2.2 M0 /LB,0' Within the optical radius the
dark halo contributes twice the mass of the disk and its core radius is of the
order of the radial scale length of the disk. As can be seen in Fig. 5 and similarly
in Fig. 6 for NGC 6503, the Q parameters lie in a more realistic range. There is,
NGe 6503
..... ........... darl< halo o
------- ell!",: __ .5
. - . - . - . - . - . - . ii ",u - .
0la.:.L..J-J-l...L...1...L...1..L.J....L...1...L..L.L...1...L...1..~-'-'-' o0L...W-L-..L..L.L...L.J.....WL...L..L........J....L.J.....L...L..L4.........L..J...5~
o 5 10 15 20 2 3
R (kpc] R (kpc]
Fig. 6. Decomposition of the rotation curve of NGC 6503 with a submaxima! disk.
however, a caveat about the interpretation of velocity dispersion measurements

in galactic disks that contain young stars. The problem is that stars that domi-
nate the spectra are relatively bright, young and have comparatively low velocity
dispersions, whereas the stars that dominate the disk mass are older and less lu-
minous, but have higher velocity dispersions. For the Galactic disk this effect can
be estimated quantitatively using data from the solar neighbourhood (JahreiB,
Wielen, & Fuchs 1998). A detailed analysis shows that the luminosity-weighted,
scale-height corrected radial velocity dispersion of stars in the Galactic disk is
(TU = 36 km/s, which has to be compared with 44 km/s of the old disk stars.
The weight of young stars is 25% of the total weight. In Sc galaxies, which are
bluer than the Galaxy with an averaged (B - V) of 0.66 mag, this might be
shifted even more towards young stars. On the other hand, Sc galaxies are more
gas rich, which has a destabilizing effect. Taken all together, the Q argument
seems to be quite robust.
•
•
Fig. 7. K' image of NGC 3223 (reproduced from Grosb0l & Patsis 1998).
30 Burkhard Fuchs
3 Spiral Density Wave Theory Constraints

on the Decomposition of Rotation Curves
The morphology of spiral galaxies is described theoretically by the density wave

theory of galactic spiral arms. One of the predictions of the theory is that spiral
density waves with a circumferential wave length of
(3)
have the largest growth rate and will dominate the morphological appearance of
the disk (Toomre 1981).
3.5
2.5
t
0<
"- 2
>.
15
.5
.5 I 1.5
(X+XO)/>".r
Fig. 8. Theoretical model of the spiral arms of NGC 3223 (Block et al. 2000). The
x-axis points radially outwards and the y-axis in the tangential direction. Length unit
is Acrit. The contours are given in arbitrary units. The disk is bounded at the left side
(x = -xo) by the massive bulge of the galaxy.
The value of the X parameter is about 2 in the case of a flat rotation curve,
but less for rising rotation curves (Athanassoula et al. 1987, Fuchs 1999). The
expected number of spiral arms is given by
27fR
m=T' (4)
Block et al. (2000) have presented theoretical models based on the work of Fuchs
(2001, in preparation) for the spiral arms of the galaxies NGC 3223, 157, and
7083, for which NIR photometry and rotation curves are available. The epicyclic
frequency and the value of the X parameter have been obtained directly from
the observed rotation curves for each galaxy. The spiral arms of all three galaxies
are very regular and clearly defined in the NIR (see Block et al. 2000 for images).
Equations (3) and (4) can be then used to determine the surface densities of the
disks, modelled again by thin exponential disks. NGC 3223 is a good example to
illustrate the constraint on the disk mass obtained this way from the morphology
of the galaxy in some more detail. In Fig. 7 a NIR image is reproduced and in
Fig. 8 the theoretical model of the spiral arms of the galaxy is shown, where
the same value of Oort's constant AI.no as in the optical part of NGC 3223 has
been adopted. The theoretical model, which has been calculated in rectangular
coordinates, has to be imagined to be folded around the galactic center of the
galaxy. Since NGC 3223 has two well defined spiral arms, this constrains the
critical wave length ACrit according to (3) and (4). This, in turn, determines
the surface density of the disk. Together with the radial scale length of the
disk measured by Grosb01 and Patsis (1998) this allows finally to calculate the
disk rotation curve (cr. (1)) shown in Fig. 9. Obviously the disk of NGC 3223 is
submaximal, and the same is also found for the two other galaxies.
,......, 300
I. .,.
•• •
(f)
"-
~
e 200 •
........
>" 100
OLL..J......L...J....J....J......l.....1-J....J....L.L..J......L...J....J....J......l.....1-J....J....J.....L...J
o 5 10 15 20
R [kpc]
Fig. 9. Rotation curve of NGC 3223. The observed data are indicated by the symbols
and the disk contribution to the rotation curve is shown by the dotted line.
32 Burkhard Fuchs
References
1. E. Athanassoula, A. Bosma, S. Papaioannou: 1987, A&A 179, 23
2. D.L. Block, I. Puerari, J.A. Frogel et al.: 2000, AS&SS 269-270, 5
3. G.R Blumenthal, S. M. Faber, R. Flores et al.: 1986, ApJ 301, 27
4. A. Bosma: 1999, 'Dark matter in disk galaxies'. In ASP Conf. Ser. 182, Galaxy
Dynamics, ed. by D. Merritt, J.A. Sellwood, and M. Valluri (Astron. Soc. Pac.,
San Francisco), p. 339
5. R Bottema: 1993, A&A 275, 16
6. A. Broeils: 1992, 'Dark and visible matter in spiral galaxies'. Thesis Univ. of Gronin-
gen
7. S. Courteau, H.-W. Rix: 1999, ApJ 513, 561
8. V.P. Debattista, J. A. Sellwood: 1998, ApJ 493, 5
9. V.P. Debattista, J. A. Sellwood: 2000, astro-ph/0006275
10. B. Fuchs: 1999, 'NGC 2613, 3198, 6503, 7184: Case studies against 'maximum'
disks'. In ASP Conf. Ser. 182, Galaxy Dynamics, ed. by D. Merritt, J.A. Sellwood,
and M. Valluri (Astron. Soc. Pac., San Francisco), p. 365
11. B. Fuchs, C. Mollenhoff, J. Heidt: 1998, A&A 336,878
12. B. Fuchs, S. von Linden: 1998, MNRAS 294, 513
13. P. Grosbl1ll, P. Patsis: 1998, A&A 336, 840
14. H. JahreiB, R Wielen, B. Fuchs: 1998, 'The impact of Hipparcos on our knowledge
of nearby stars'. In The Message of the Angles-Astrometry from 1798 to 1998, ed.
by P. Brosche, W.R Dick, O. Schwarz, & R Wielen (Harri Deutsch, Thun), 171
15. RC. Kennicutt, P. Tamblyn, C.W. Congdon: 1994, ApJ 435, 22
16. A.H. Maller, L. Simard, P. Guhathakurta et al.: 2000, ApJ 533, 194
17. J.A. Sellwood, RG. Carlberg: 1984, ApJ 282, 61
18. A. Toomre: 1981, 'What amplifies the spirals?'. In The Structure and Evolution
of Normal Galaxies, ed. by S.M. Fall & D. Lynden-Bell (Cambridge Univ. Press,
Cambridge), p. 111
19. S. Tremaine, J.P. Ostriker: 1999, MNRAS 306,662
20. B.J. Weiner, J.A. Sellwood, T.B. Williams: 2000, astro-ph/0008205
Measuring Stellar and Dark Mass Fractions
in Spiral Galaxies
Thilo Kranz, Adrianne Slyz, and Hans-Walter Rix
Max-Planck-Institut fUr Astronomie, K6nigstuhl 17, 69117 Heidelberg, Germany
Abstract. We explore the relative importance of the stellar mass density as compared
to the inner dark halo, for the observed gas kinematics thoughout the disks of spiral
galaxies. We perform hydrodynamical simulations of the gas flow in a sequence of po-
tentials with varying the stellar contribution to the total potential. The stellar portion
of the potential was derived empirically from K-band photometry. The output of the
simulations - namely the gas density and the gas velocity field - are then compared to
the observed spiral arm morphology and the Ha gas kinematics. We solve for the best
matching spiral pattern speed and draw conclusions on how massive the stellar disk can
be at most. For the case of the galaxy NGC 4254 (Messier 99) we demonstrate that the
prominent spiral arms of the stellar component would overpredict the non-circular gas
motions unless an axisymmetric dark halo component adds significantly in the radial
range Rexp < R < 3 Rexp .
1 Introduction
In almost all galaxy formation scenarios, non-baryonic dark matter plays an im-
portant role. Today's numerical simulations of cosmological structure evolution
quite successfully reproduce the observed galaxy distribution in the universe
[3]. While galaxies form and evolve inside dark halos their physical appearance
depends strongly on the local star formation and merging history. At the same
time the halos evolve and merge as well. According to the simulations, we expect
that the dark matter is important in the inner parts of galaxies [5],[6] and that
it thus has a considerable influence on the kinematics. These predictions are in
contrast to some studies which indicate that galactic stellar disks - at least of
barred spiral galaxies - alone dominate the kinematics of the inner regions [lJ.
Apparently this is also the case in our own Milky Way [2J.
Determining individual mass fractions of the luminous and dark matter is not
a straightforward task. The rotation curve of a disk galaxy is only sensitive
to the total amount of gravitating matter, but does not allow the distinction
between the two mass density profiles. For a detailed analysis it is necessary
to adopt more refined methods to separate out the different profiles. Previous
investigations used for example knowledge of the kinematics of rotating bars
[8] or the geometry of gravitational lens systems [4J. Here we would like to ex-
ploit the fact, that the stellar mass in disk galaxies is often organized in spiral
arms, i.e. in coherent non-axisymmetric structures. In most proposed scenarios,
the dark matter, however, is collisionless and dominated by random motions.
Therefore it is not susceptible to spiral structures. If the stellar mass dominates,
34 Kranz et al.
0°
22.5° 337.5"
67.5°
90°
112.5°
202.5°
180°
N l'
Fig. 1. Near infrared K'-band (2.1Ilm) image of NGC 4254 with a total exposure time
of 20 minutes at the Calar Alto 3.5 m telescope. Bright foreground stars are masked
out. The overlay shows the slit orientations of the spectrograph. We took 8 longslit
spectra (angles labeled in bold font) crossing the galaxy's center to measure the 2D
velocity field
the spiral arms, as traced by the near infrared (NIR) light, should induce con-
siderable non-circular motions in the gas, that manifest themselves as velocity
"wiggles"in observed gas kinematics. Using hydrodynamical gas simulations we
are able to predict these velocity wiggles and compare them to the observations.
Hence the contribution of the perturbative forces with respect to the total forces
can be determined quantitatively and can be used to constrain the stellar disk
to halo mass ratio.
2 Observations
For this analysis we need data to provide us with information on the stellar
mass distribution and on the gas kinematics of a sample of galaxies. To map
the stellar surface mass density it is most desirable to take NIR images of the
galaxies, because in this waveband dust extinction and population effects are
minimized [7]. During two observing runs in May 1999 and March 2000, we
obtained photometric data for 20 close-by NGC galaxies. We used the Omega
Prime camera at the Calar Alto 3.5 m telescope with the K-band filter (K' at
Stellar and Dark Mass Fractions in Spirals 35
Fig. 2. Simulation results for the gas density. Here we depict the best fitting result
(in contours) overlaid on a deprojected image of NGC 4254. To enhance the contrast
of the spiral arms, an axisymmetric model of the galaxy has been subtracted from the
original image. We find an excellent match to the spiral morphology
2.1 11m). It provides us with a field of view of 6~76 x 6~76. Figure 1 shows the
K-band image of the Messier galaxy M99. The labeled one arcminute scale bar
translates to 5.8 kpc within the galaxy.
The kinematic data were obtained with the TWIN, a longslit spectrograph at
the 3.5 m telescope. For a reasonable coverage of a galaxy's velocity field, we
needed to take 8 slit positions (or 16 position angles) across the entire disk of
the galaxy (also displayed in Figure 1). We chose longslit-spectroscopy rather
than fabry-perot interferometry because of its higher spectral resolution and
better sensitivity to faint emission. So far we were able to collect complete sets
of longslit spectra for only four galaxies, mostly due to only moderate weather
conditions during the spectroscopy runs.
3 First results
As a pilot project, we analyzed the data of NGC 4254 (M99), a late type spi-
ral galaxy with strong arms, located in the Virgo cluster. Assuming a constant
stellar mass-to-light ratio in the K-band image, the gravitational potential due
to the stellar mass fraction was calculated by direct integration over the whole
36 Kranz et al.
'. =0.44 , = 1.0

til
60 ~
'"
60
•
"- "-
S S
c., " c., "
2 40
(j
'.
e.- _.:,
0
OJ
>
c 20 c 20
0
~ :3
""...'0"
~
0
...0 0
0.0 0.5 1.0 1.5 0.0 0.5 1.0 1.5

radius [arcmin] radius [arcmin]
Fig. 3. Simulation results of the gas velocity. Here we compare two simulations (con-
tinuous lines) with different disk mass fractions fd = MdiskjMmaxdisk to the observed
kinematics (data points). The maximal disk case (right) is clearly not matching the
observations well. Displayed is only one (135°) out of 16 slit position angles
light/mass distribution. The mass-to-light ratio for the maximum disk contribu-
tion was scaled by the measured rotation curve. For the dark matter contribution
we assumed an isothermal halo with a core. To combine the two components we
chose a stellar mass fraction fd = Mdisk/Mmaxdisk and added the halo with the
variable parameters adjusted to give a best fit to the rotation curve. We used
this potential as an input for the hydrodynamical gas simulations.
Figure 2 presents the resulting gas surface density, as it settles in the poten-
tial. The morphology of the gas distribution is very sensitive to the speed with
which the spiral pattern of the galaxy rotates (pattern speed). In figure 2 we
printed the result of the simulation whose spiral structure best matches the K-
band image morphology. We find quite good agreement for a pattern speed of
Op = 23 km S-1 kpc- 1 , which places the corotation radius to 8.4 kpc.
To quantify the relevance of the stellar mass component, we need now to fit the
velocities - in particular the amplitude of the wiggles. In figure 3 a comparison
of the modelled and the measured rotation curves are presented for the position
angle of 135 0 • The two panels show the rotation curves for different disk mass
fractions: less than half maximal and the maximum disk case.
4 Discussion and outlook
Although there is quite some scatter in the observed gas kinematics, we find that
the velocity jumps, which are apparent in the simulations for the maximum disk
case are too large to be in agreement with the measurements. The inner part
of the simulated rotation curve « O~3) is dominated by the dynamics of the
small bar, which is present at the center of the galaxy. Its pattern speed might
be different from the one of the spiral's and thus relate to a mismatch in the
Stellar and Dark Mass Fractions in Spirals 37
inner part of the rotation curve. We conclude that an axisymmetric dark halo is
needed to explain the kinematics of the stellar disk. The influence of the stellar
disk is submaximal in the sense that we don't find strong enough velocity wiggles
in the observed kinematics as would be expected if the stellar disk was the major
gravitating source inside the inner few disk scale lengths. How this conclusion
might apply to other spiral galaxies will be the upcoming issue of this project.
We plan to extend our analysis at first to the 3 other galaxies where we have
already now complete data sets. Finally we intend to draw our final conclusions
on a basis of a sample consisting of 8 - 10 members. This should be sufficient
to determine reliable results about the luminous and dark mass distributions in
spiral galaxies.
References
1. V. P. Debattista, J. A. Sellwood: ApJ in press, astro-ph/0006275 (2000)
2. O. Gerhard: 'Dynamics of the Galaxy'. In: Galaxy Dynamics, Rutgers University,
USA, August 8-12, 1998, ed. by D. Merritt, J. A. Sellwood, M. Valluri (ASP Con-
ference Series, Vol 182, 1999), pp. 307-320
3. G. Kauffmann, J. Colberg, A. Diaferio, S. D. M. White: MNRAS, 303, 188 (1999)
4. A. Maller et al.: ApJ, 533, 194 (2000)
5. J. Navarro, C. Frenk, S. D. White: ApJ, 462, 563 (1996)
6. J. Navarro, C. Frenk, S. D. White: ApJ, 490, 493 (1997)
7. H.-W. Rix, M. Rieke: ApJ, 418, 123 (1993)
8. B. J. Weiner, J. A. Sellwood, T. B. Williams: ApJ in press, astro-ph/0008205 (2000)
Dark Matter Caustics
William H. Kinney and Pierre Sikivie
Department of Physics, University of Florida, Gainesville,

FL 32611, USA
E-mail: kinney@phys.ufl.edu, sikivie@phys.ufl.edu
Abstract. The late infall of cold dark matter onto an isolated galaxy such as our own
produces flows with definite velocity vectors at any physical point in the galactic halo.
It also produces caustics which are places where the dark matter density is very large.
The outer caustics are topological spheres whereas the inner caustics are rings. The self-
similar model of galactic halo formation predicts that the caustic ring radii an follow
the approximate law an ,...., lin. In a recent study of 32 extended and well-measured
galactic rotation curves, we found evidence for this law.
1 Introduction
Before the onset of galaxy formation but after the time t eq of equality between
matter and radiation, the velocity dispersion of the cold dark matter candi-
dates is very small, of order ova(t) rv 3.10- 17 eO~5Qev) (~)2/3 for axions and
1/2 2/3
<5vw(t) '" 10- 11 ( ~e: ) (~) for WIMPs, where to is the present age of
the universe and m a and mw are respectively the masses of the axion and the
WIMP. In the context of galaxy formation, such small velocity dispersions are
entirely negligible. Massive neutrinos, on the other hand, have primordial ve-
locity dispersion JvlI(t) == 5.3 10- 4 (~) (~)2/3 which is comparable to the
virial velocity in galaxies and therefore non-negligible in the context of galaxy
formation [1]. This is the reason why massive neutrinos are called 'hot dark
matter'.
Collisionless dark matter particles lie on a thin 3-dimensional (3D) sheet in
6D phase-space. The thickness of this sheet is the primordial velocity dispersion
ov. If each of the aforementioned species of collisionless particles is present, the
phase-space sheet has three layers, a very thin layer ofaxions, a medium layer
of WIMPs and a thick layer of neutrinos. The phase-space sheet is located on
the 3D hypersurface of points (r, v) : v = H(t)r + Llv(r, t) where H(t) = ft
is the Hubble expansion rate and Llv(r, t) is the peculiar velocity field. Fig. 1.1
shows a 2D section of 6D phase-space along the (z, z) plane. The wiggly line is
the intersection of the 3D sheet on which the particles lie in phase-space with
the plane of the figure. The thickness of the line is the velocity dispersion Jv,
whereas the amplitude of the wiggles in the line is the peculiar velocity Llv. If
there were no peculiar velocities, the line would be straight since z = H(t)z in
that case.
William H. Kinney and Pierre Sikivie 39
Fig. 1. The wiggly line represents the intersection of the (z, i) plane with the 3D sheet
on which the collisionless dark matter particles lie in phase-space. The thickness of
the line is the primordial velocity dispersion. The amplitude of the wiggles in the i
direction is the velocity dispersion associated with density perturbations. Where an
overdensity grows in the non-linear regime, the line winds up in clockwise fashion. One
such overdensity is shown.
The peculiar velocities are associated with density perturbations and grow
by gravitational instability as Llv ,...., t 2 / 3 . On the other hand the primordial
velocity dispersion decreases on average as 6v ,...., r 2 / 3 , consistently with Liou-
ville's theorem. When an overdensity enters the non-linear regime, the particles
in its vicinity fall back onto it. This implies that the phase-space sheet 'winds
up' there in clockwise fashion. One such overdensity is shown in Fig. 1. In the
linear regime, there is only one value of velocity, Le. one single flow, at a typical
location in physical space, because the phase-space sheet covers physical space
only once. On the other hand, inside an overdensity in the non-linear regime,
the phase-space sheet covers physical space multiple times implying that there
are several (but always an odd number of) flows at such locations.
At the boundary surface between two regions one of which has n flows and the
other n +2 flows, the physical space density is very large because the phase-space
sheet has a fold there. At the fold, the phase-space sheet is tangent to velocity
space and hence, in the limit of zero velocity dispersion (6v = 0), the density
diverges since it is the integral of the phase-space density over velocity space.
The structure associated with such a phase-space fold is called a 'caustic'. It is
a surface in physical space. It is easy to show that, in the limit of zero velocity
40 Dark Matter Caustics
dispersion, the density diverges as d '" Ju when the caustic is approached from
the side with n+2 flows, where (J is the distance to the caustic. Velocity dispersion
cuts off the divergence.
As mentioned above, the process of galactic halo formation involves the local
winding up of the phase-space sheet of collisionless dark matter particles. If the
galactic center is approached from an arbitrary direction at a given time, the
local number of flows increases. First, there is one flow, then three flows, then
five, seven... The number of flows at our location in the Milky Way galaxy today
has been estimated [2] to be of order 100. The boundary between the region with
one (three, five, ...) and the region with three (five, seven, ...) flows is the location
of a caustic which is topologically a sphere surrounding the galaxy. When these
caustic spheres are approached from the inside the density diverges as d '"
in the zero velocity dispersion limit. These spheres are the outer caustics in the
"*
phase-space structure of galactic halos. In addition there are inner caustics.
It is a little more difficult to see why there must be inner caustics, and to
derive their structure. See refs. [3,4] for details. The inner caustics are rings.
They are located near where the particles with the most angular momentum in
a given in and out flow are at their distance of closest approach to the galactic
center. A ring is a closed tube whose cross-section is a D_ 4 catastophe [5]. The
cross-section is shown in Fig. 2 in the limit of axial and reflection symmetry, and
where the transverse dimensions, p and q, are much smaller than the ring radius
a.
In the absence of any symmetry, the cross-section of the tube does not have
the exact shape shown in Fig. 2 but it still has that shape qualitatively, i.e. it
is still a closed line with three cusps one of which points away from the galactic
center.
The existence of caustic rings of dark matter follows from only two assump-
tions:
1. the existence of collisionless dark matter

2. that the velocity dispersion of the infalling dark matter is much less, by a
factor ten say, than the rotation velocity of the galaxy.
Only the second assumption requires elaboration. Velocity dispersion has the
effect of smoothing out caustics. The question is when is the velocity dispersion
so large as to smooth caustic rings over distance scales of order the ring radius a,
thus making the notion of caustic ring meaningless. In ref. [3] this critical velocity
dispersion was estimated to be 30 km/s = 10- 4 for the caustic rings in our own
galaxy, whose rotation velocity is 220 km/s. 10- 4 is much less than the primordial
velocity dispersion 8v of the cold dark matter candidates. However the velocity
dispersion Llv associated with density perturbations also smoothes caustics in
coarse grained observations. So the question is whether the velocity dispersion
Llv of cold dark matter particles associated with density perturbations falling
onto our galaxy is less than 30 km/s. The answer is yes with high probability
since the infalling dark matter particles are not associated with any observed
inhomogeneities. 30 km/s is of order the velocity dispersion of the Magellanic
q
p-a
Fig. 2. Cross-section of a caustic ring in the case of axial and reflection symmetry. The
galactic center is to the left of the figure. The z-direction is orthogonal to the galactic
plane. The p-direction is radial. a is the caustic ring radius. The closed line with three
cusps is the location of a caustic surface. The density diverges when the surface is
approached from the inside as (J-l/2 where (J is the distance to the surface.
Clouds. For the velocity dispersion of the dark matter particles presently falling
onto our galaxy to be as large 30 km/s, these particles would have to be part of
clumps whose mass/size ratio is of order that of the Magellanic Clouds. But if
that were the case, why did these clumps fail to become luminous?
One might ask whether caustic rings can be seen in N-body simulations of
galaxy formation. The generic surface caustics associated with simple folds of
the phase-space sheet have been seen [6]. However, caustic rings would require
far greater resolution than presently available, at least in a 3D simulation of
our own halo. Indeed, the largest ring in our galaxy has been estimated [3] to
have radius of order 40 kpc. It is part of an in and out flow that extends to the
Galaxy's current turnaround radius, of order 2 Mpc. To resolve this first ring,
the spatial resolution would have to be considerably smaller than 10 kpc. Hence
a minimum of 2· (lO~pc)3 4; (2Mpc)3 ~ 7.10 7 particles would be required to see
the caustic ring in a simulation of this one flow. However, the number of flows
at 40 kpc in our halo [8] is of order 10. So it appears that 109 particles is a
strict minimum in a 3D simulation of our halo. Even so, this addresses only the
kinematic requirement of resolving the halo in phase-space, assuming moreover
that the particles are approximately uniformly distributed on the phase-space
sheets. There is a further dynamical requirement that 2-body collisions do not
artificially 'fuzz up' the phase-space sheets. Indeed 2-body collisions are entirely
negligible in the flow of cold dark matter particles such as axions or WIMPs. On
the other hand, 2-body collisions are present, and hence the velocity dispersion
is artificially increased, in the simulations. This may occur to such an extent

that the caustics are washed away even if 109 particles are used.
In the self-similar infall model [7,8] of galactic halo formation the caustic ring
radii an are predicted [3]:
{a" n ~ 1,2, ...} '" (39, 195, 13, 10, 8, ...)kpc ( ~~;;) (O~7) (2;~7:,,) (1)
where h is the present Hubble rate in units of 100 km/s.Mpc, Vrot is the rotation
velocity of the galaxy and jmax is the maximum of its dimensionless angular
momentum distribution as defined in ref. [8]. In Eq. (1) we assume that the
parameter [7,8] € = 0.3.
Eq. (1) predicts the caustic ring radii of a galaxy in terms of its first ring
radius al. If the caustic rings lie close to the galactic plane they cause bumps in
the rotation curve, at the caustic ring radii. As a possible example of this effect,
consider [3] the rotation curve of NGC3198, one of the best measured. It has three
faint bumps at radii: 28, 13.5 and 9 kpc, assuming h = 0.75. The ratios happen
to be consistent with Eq. (1) assuming the bumps are caused by the first three
(n = 1,2,3) ring caustics ofNGC3198. Moreover, since Vrot = 150 km/s, jmax is
determined to equal 0.28. The uncertainty in h is a systematic effect that can be
corrected for when determining jmax because the bump radii scale like 1/hI where
hI is the Hubble rate assumed by the observer in constructing the rotation curve,
and the caustic ring radii scale as l/h. Rises in the inner rotation curve of the
Milky Way were also interpreted [3] as due to caustics n = 6,7,8,9,10,11,12 and
13. This determined the value of jmax of our own galaxy to be 0.263. The first five
caustic ring radii in our galaxy are then predicted to be: 41, 20, 13.3, 10, 8 kpc.
2 Evidence for Universal Structure in Galactic Halos

Motivated by these findings, we analyzed [9] a set of 32 extended well-measured
galactic rotation curves which had been previously selected [lOJ under the criteria
that each is an accurate tracer of the galactic radial force law, and that it extends
far beyond the edge of the luminous disk.
According to the self-similar caustic ring model, each galaxy has its own value
of jmax. Over the set of 32 galaxies selected in ref. [10], jmax has some unknown
distribution. However, the fact that the values of jmax of NGC3198 and of the
Milky Way happen to be close to one another, within 7%, suggests that the jmax
distribution may be peaked near a value of 0.27 . Our strategy is to rescale each
rotation curve according to
_ (220 km/s)
r-+r=r (2)
Vrot
and to add them in some way. Since Eq. (1) predicts the nth caustic radius an
to be distributed like jmax for all n, and it fixes the ratios an/al :::: l/n, the
sum of rotation curves should show the jmax distribution, once for n = 1, then
at about half the n = 1 radii for n = 2, then at about 1/3 the n = 1 radii for
n = 3,and so on. If the jmax distribution is broad, the sum of rotation curves is
unlikely to show any feature. However, if it is peaked, then the sum should show
a peak for n = 1 at some radius, then again at 1/2 that radius for n = 2, at 1/3
the radius for n = 3, and so on. If the jmax distribution is peaked at 0.263 (the
value for the Milky Way) the peaks in the sum of rotation curves should appear
at 41 kpc, 20 kpc, 13.3 kpc .,.
The procedure followed to add the 32 rotation curves is described in detail
in ref. [9]. Briefly, we proceeded as follows. For each rotation curve, all data
points with rescaled radii f < 10 kpc were deleted to remove the effect of the
luminous disk. The remaining points were then fitted to a line. The rotation
velocity Vrot used to rescale the radii in Eq. (2) is the average of that line. The
rms deviation ~ from the linear fit was determined for each galaxy. This
was taken to be the error on the residuals e5Vi, i.e. the differences between the
measured velocities in a rotation curve and the linear fit. Finally the sample of
32 galaxies was averaged in 2 kpc radial bins:
1 N,
bi == N.
t
L !5ii
j=l
j , (3)
where N i is the number of data points in the bin. The assigned error on each bi
is then simply 1/ /Ni. Fig. 3 shows the result.
,-.. 2
0
0
.:;
Ql
'"
0
'"
Fig. 3. Binned data for 32 galaxy sample, with peaks fit to Gaussians.
There are two features evident at roughly 20 and 40 kpc. A fit to two Gaus-
sians plus a constant indicates features at 19.4 ± 0.7 kpc and 41.3 ± 0.8 kpc, with
overall significance of 2.4<J and 2.6<J, respectively. Fig. 3 shows the fitted curve.
When the same fit is applied to the same data in 1 kpc bins, the significance of
the two peaks is 2.6 and 3.0 <J respectively. The locations of the features agrees
with the predictions of the self-similar caustic ring model with the jmax distri-
bution peaked at 0.27. The use of Gaussians to fit the peaks in the combined
rotation curve was an arbitrary choice in the absence of information on the jmax
distribution.
The existence of velocity peaks and caustic rings in the cold dark matter
distribution is relevant to axion [I1J and WIMP searches [12J. Caustics may also
be investigated using gravitational lensing techniques [13J.
Acknowledgement
This work was supported in part by the US Department of Energy under grant
No. DEFG05-86ER40272.
References
1. S. Tremaine and J.E. Gunn, Phys. Rev. Lett. 42 407 (1979); J.R. Bond, G. Efs-
tathiou and J. Silk, Phys. Rev. Lett. 45 1980 (1980); S.D.M. White, C.S. Frenk
and M. Davis, Ap. J. 274 L1 (1983).
2. J.R. Ipser and P. Sikivie, Phys. Lett. B291 288 (1992).
3. P. Sikivie, Phys. Lett. B. 432 139 (1998).
4. P. Sikivie, Phys. Rev. 060063501 (1999).
5. R. Gilmore, Catastrophy Theory for Scientists and Engineers, Wiley, 1981.
6. A.G. Doroshkevich et aL, M.N.R.A.S. 192321 (1980); A.A. Klypin and S.F. Shan-
darin, M.N.R.A.S. 204 891 (1983); J.M. Centrella and A.L. Melott, Nature 305
196 (1983); A.L. Melott and S.F. Shandarin, Nature 346 633 (1990).
7. J. A. Filmore and P. Goldreich, Ap. J. 281 1 (1984); E. Bertschinger, Ap. J.
SuppL 58 39 (1985).
8. P. Sikivie, 1.1. Tkachev and Y. Wang, Phys. Rev. Lett. 75 2911 (1995) and Phys.
Rev. 056 1863 (1997).
9. W. Kinney and P. Sikivie, Phys. Rev. 0, 61:087305 (2000).
10. K. G. Begeman, A. H. Broeils and R. H. Sanders, MNRAS 249 523 (1991); R. H.
Sanders, Ap. J. 473 117 (1996).
11. P. Sikivie, astro-ph/9810286, published in The Identification of Dark Matter, edited
by N. Spooner and V. Kudryavtsev, World Scientific 1999, pp. 58-65,
12. C. Copi, J. Heo and L. Krauss, Phys. Lett. B461 43 (1999).
13. C. Hogan, Ap. J. 52742 (1999).
Constraints on White Dwarfs
as Galactic Halo Dark Matter
Chris Flynn l and David Graff2
1 Tuorla Observatory, Piikkio, Finland (cflynn@astro.utu.fi)

2 University of Michigan, USA (david.JLgraff@yahoo.com)
Abstract. Old, cool white dwarf stars have recently been proposed as a candidate
for the dark matter in the Galactic halo, following the detection of very faint moving
objects in the Hubble Deep Field (HDF) [1]. We describe here an analysis [2] of ground-
based proper motion surveys in which nearby dark halo white dwarfs might be present,
if they have the colours and absolute magnitudes proposed. Very few such objects have
been found, whereas we argue here that many times more would be expected than
were found in the HDF if such objects formed a significant fraction of the dark halo.
We use this null-result to derive limits on the optical luminosity of stellar, dark matter
candidates.
1 Galactic Dark Matter as Faint Stars?

The MACHO and EROS microlensing projects have detected a microlensing
signal from dark objects in the Galactic halo [4,5]. Both groups find that the
microlensing can be explained by a Galactic dark halo 20% of which is in the
form of approximately 0.5 M0 objects.
This mass estimate suggests that the objects could either be low mass main
sequence red dwarf stars, or white dwarf stars. In order not to have been seen
directly, such objects must be very faint. It has been known for some years
that red dwarfs are too luminous, or they would have been detected directly
in the Hubble Deep Field (HDF), the deepest image taken with the Hubble
Space Telescope [3,6,7]. White dwarfs are more difficut to rule out through direct
imaging, because they have colours which makes them easier to confuse with
unrelated background objects than is the case with red dwarfs. This problem
can be circumvented by simply waiting; if there are dark halo white dwarfs
present in the Hubble Deep Field, then they are so nearby and have such high
velocities that they can be seen to move on time scales of just a few years.
Ibata et al (1999) [1] obtained new images of the HDF after a two year period,
and discovered a handfull of very faint, moving objects. The number, apparent
magnitudes and proper motions of these objects are consistent with old white
dwarfs making up part of the Galactic dark halo.
Is the dark halo partly made of faint white dwarfs? We examine that question
here. We begin by reviewing relevant properties of white dwarfs, and then discuss
existing proper motion surveys, in which counterparts should be present to the
putative white dwarfs seen in the Hubble Deep Field. No obvious counterparts
are found, and we conclude by placing upper limits on the luminosity of putative
stars in the Galactic dark halo.
46 Chris Flynn and David Graff
2 On White Dwarfs
White dwarfs are the end product of stellar evolution for stars of similar mass
to the Sun. They appear as a sequence in the Hertzsprung-Russell diagram,
offset well below the stellar main sequence of normal dwarf stars. Newly born
white dwarfs arrive at the luminous tip of this sequence and move down it as
they slowly cool. Most known white dwarfs are members of the Galactic disk, to
which most (> 99%) of the nearby stars also belong. They stern from a metal rich
parent population which is moving rapidly around the Galactic center (:::::: 220
kms- 1 ) and with low random velocities (:::::: 50 kms- 1 ). There is a minimum
luminosity below which disk white dwarfs have not had time to cool, and very
few white dwarfs are fainter than this limit (e.g. [8]). The end of the white dwarf
cooloing sequence is one of several independent methods which indicate that the
Galactic disk is about 10 Gyr old (e.g. [9]).
The Galactic spheroid1 is composed of stars with heavy element abundance
lower than the Sun by a factor of typically 10 to 1000, have large random motions
(circa 150 km S-I) and a small systemic rotation around the Galactic center
« 50 km S-I). In contrast to the disk, where the white dwarf progenitor stars
have a range of main sequence ages from very young up to circa 10 Gyr, the
progenitor population of the spheroid is rather old, 12-15 Gyr. A handful of
white dwarfs which are probable members of the spheroid have been only very
recently isolated [10]. The relative local densities of disk and spheroid white
dwarfs is consistent with studies of brighter stars (subdwarfs and giants) at
approximately 500:1, implying we understand their generation from the parent
populations.
The positions of disk and spheroid white dwarfs in the LHS catalog in the
colour luminosity plane are shown in Figure 1 by crosses and circles respectively.
3 Dark Halo White Dwarfs

A putative population of dark halo white dwarfs shares similiar kinematic prop-
erties with the spheroid white dwarfs, but would differ from them in three key
respects.
Firstly, the density distribution of the spheroid stars is well determined by
luminous stars and globular clusters, and follows a power law outward from the
Galactic center, p(R) <X R-3.5, where R is the Galactocentric radius [11]. If the
dark halo were made entirely of dim white dwarfs, they would require a density
distribution which follows p(R) <X R- 2 , in order to generate a gravitational
field which would account for the observed flat rotation curves of disk galaxies.
However, we know from the microlensing results that they do not dominate the
total mass of the halo. Our aim here is "merely" that the white dwarfs are
sufficiently numerous to account for microlensing. In that case, they could well
have an R- 3 .5 distrubution as discussed by Gates and Gyuk (2000) [12]. In their
1 The spheroid is also often called the stellar halo, but we do not use that term here
to avoid confusion with the dark halo
White Dwarfs as Dark Matter 47
12
12.5 o Spheroid WOs

o
.
LHS ~I
• Disk WOs
13 ew faint WOs
§ LHS 147
LHS 58
+
13.5 -u. +
+
14 o LHS 282
14.5 +
+
+ LHS 542
'"
~
15
~ 0+
15.5
+
J0050 5152A & eS0439-28 &
16
P351-50 & &7 WD0348.248
16.5
17 JD050-5152B &
17.5
18
-.5 0 .5 1.5 2.5 3
8-R
Fig. 1. Colour (B - R) verus absolute magnitude (in the R-band) diagram of nearby
white dwarfs. Disk white dwarfs are shown by crosses, and spheroid white dwarfs as
circles. Until recently, the faintest white dwarfs known were at MR ~ 16, but recently
four white dwarfs have turned up in new surveys designed to probe for them. These
objects are shown as triangles. One object, J0050-5152, is a binary, the secondary being
much fainter and its status as a white dwarf is still to be confirmed. All of these new
white dwarfs are still relatively bright, and probably not faint enough to be good dark
matter candidates.
model, normal CDM makes up the rest of the mass distribution and does follow
an R- 2 distribution.
Secondly, if white dwarfs comprised the entire Galactic dark halo, they would
have a similiar number density near the Sun to disk white dwarfs (~ 0.01 pc- 1 ),
and outnumber by almost 3 orders of magnitude the spheroid white dwarfs.
Thirdly, they would have to be considerably fainter than the end of the disk
white dwarf cooling sequence shown in Figure 1, to avoid having been detected
in surveys of faint stars. The Hubble Deep Field is the deepest image taken of
the sky, and has been used [3] to show that objects in the dark halo must be
fainter than Mv = 18.4 (approximately 2 magnitudes fainter than the faintest
known white dwarfs at the time) in order not to be seen in large numbers in
the HDF. However, this limit only applies to red objects (V - I > 1.8) and no
similar limits could be placed on stars blueward of the end of the disk white dwarf
cooling sequence, until Ibata et al [1], in a very elegant experiment, reobserved
the HDF and discovered faint, blue, starlike, moving objects. At about the same
time the surprising discovery was made that white dwarfs which have had long
enough to cool, cease becoming fainter and redder, but remain at approximately
constant luminosity while becomeing bluer, due to the development of H2 in their
atmospheres which induce very non-black body spectra [13,14]. This theoretical
development added credence to the interpretation of the "blue movers" in the
HDF as white dwarfs.
4 New Faint White Dwarfs
Ibata et aI's (1999) discovery has resulted in considerable activity by groups

searching for nearby counterparts to the candidate white dwarfs in the HDF. As
a result, a number of very low luminosity white dwarfs have turned up in new
proper motion studies by Ibata et al (2000), Hodgkin et al (2000) and Scholz et
al (2000) [15-17], along with a very low luminosity white dwarf identified by Ruiz
et al in 1995 [18]. The objects are shown in Figure 1 as triangles - they are all
fainter than the end of the white dwarf cooling sequence at M R ~ 15.5, and have
velocities typical of the spheroid white dwarfs. The objects are of great interest
both in constraining the amount of matter in low luminosity white dwarfs and
also testing white dwarf cooling models. In this paper we will focus on a single
question : are there enough of them to explain a significant fraction (~ 20 %) of
the dark matter?
5 Proper Motion Surveys
If the dark matter is partly in stellar form, then proper motion surveys are a
good way to look for it. Proper motion is the apparent angular motion of an
object on the sky, and it is large if the objects are either very near the Sun, or
if they are moving rapidly relative to the Sun. Both characteristics are what we
are after in a dark matter candidate, because they imply that the objects are
intrinsically faint and also not associated with the Galactic disk.
5.1 Search for Candidates
We have searched three proper motion surveys for nearby dark halo white dwarf
candidates [2]. The Luyten Half Second Survey (LHS, [19]) is very illustrative
of the search. The survey covers more than half the sky, and recovered objects
to a limiting magnitude of V = 18.4, with proper motions in the range 0.2 to
0.5 arcsecjyear. A very recent analysis [20] shows that the LHS is substantially
(90%) complete within this range, based on a new, deeper survey over a small
area within the LHS, and confirming our own analysis of the LHS.
In figure 2 we show the reduced proper motion versus colour magnitude

diagram for the LHS stars. This quantity is the proper motion equivalent of
absolute magnitude. In order to find good dark halo candidates, we are looking
for objects with large reduced proper motions. The diagram is dominated by
two stellar types; normal hydrogen burning dwarf stars on the main sequence
(mostly M dwarfs in the diagram) and white dwarfs on their cooling sequence.
10
12 M dwarfs
::t:
J:: 14
.2
oW
0
6 16
...
'"
l>. 18
...l>.0
'tl 20
'""
;l
'tl 22
'"
0:: ".: .
24 ---------------~~-~-------------
26
28
-1 o 2 3 4
Fig. 2. Reduced proper motion versus colour diagram for stars in the Luyten Half
Second (LHS) proper motion survey. The diagram is dominated by main sequence M
dwarfs and the cooling sequence of white dwarfs (WDs). Local counterparts to the
dark halo white dwarfs are expected to have reduced proper motions H :::::: 24 - 25, as
indicated by the horizontal lines. The maximum reduced proper motion detectible in
the LHS is H = 25.4 (solid line).
A search region is shown in the lower half of the figure. This region is where
one would expect to see counterpart objects (i.e. with the same kinematics and
absolute magnitudes but much more nearby) to the putative dark halo objects
discovered in the Hubble Deep Field. Although the limiting magnitude of HDF is
approximately 10 magnitudes fainter than LHS, the LHS more than compensates
for this by its much larger search area (by approx 2x 107 ). Detailed calculations
[2] show that the LHS surveys a volume 10 to 20 times greater than that surveyed
by HDF. We would expect therefore to see of order one magnitude more objects
in this region than were seen in the HDF. Observationally, no objects are found
in this region.
We have searched several other surveys in the same manner. In all of these
surveys, only a single object (a binary star) has been found with a reduced proper
motion which is similar to the moving objects in the Hubble Deep Field, and
indicative of high absolute space velocity and intrinsic faintness. These surveys
probe an order of magnitude more volume than the HDF, so one is confronted
with the problem of why several tens of counterparts to the HDF objects are
not found locally.
6 Where Are They?
We have not found nearby counterparts to the candidate white dwarfs of the
dark halo seen in the Hubble Deep Field. Is the dark halo indeed partly made of
white dwarfs but we have somehow missed the nearby ones? There are several
reasons why we may not have found nearby examples.
Firstly, they may simply be too faint to see yet. For example, for a dark halo
consisting of 20% dim white dwarfs, one would expect to find four or less in
the LHS catalog if the objects were fainter than M v ~ 17.5, i.e. this would be
consistent with no objects found at the 2-0- level. The difficulty with this scenario
is that fewer than 1 would be then expected to be visible in the HDF (whereas
the handful which were seen motivated this study in the first place). For the HDF
and nearby searches to be consistent, the more distant dark halo white dwarfs
(distances of circa 1 kpc) would have to be more intrinsically luminous than
nearby ones (distances of a few pc). This is implausible on kinematic grounds,
since the objects in the dark halo should be very well mixed over scales of 1
kpc around the Sun. There is no obvious way to explain the number density
and magnitudes of the moving objects in the HDF with the lack of nearby
counterparts, while maintaining their kinematics and volume density consistent
with the dark halo. The HDF will be reimaged in December 2000, which will
provide a third epoch observation and a straightforward check on the proper
motions of the objects.
Secondly, proper motion surveys may be less complete than their authors
think. This was our main concern in analysing the Luyten Half Second proper
motion survey, and we were very conservative in estimating its completeness.
Very recent independant work has shown that the LHS is substantially complete
within our search limits [20]. While we have well tested the Luyten completeness
for dim, low proper motion objects, we have not, nor can we test its completeness
for dim, high proper motion objects (J..L > 2.5 arcsec year).
A whole new generation of proper motion surveys are about to become avail-
able due to the availability of large area CCDs (e.g. VST, "the Very Large Tele-
scope Survey Telescope", the SLOAN survey, CADIS, amongst others). These
will be able to set very interesting, deeper limits on the optical luminosities on
white dwarfs as dark matter within a very few years, both by reaching deeper
and widening the proper motion search window.
While this paper was being prepared two new surveys were announced. Gold-
man and the EROS collaboration [21] have completed a substantial part of an
ongoing proper motion survey which will eventually cover 440 square degrees.
They are able to rule out that more than 18% of the dark halo is in Hydrogen
atmosphere white dwarfs (95% confidence limit) based on no detected candi-
dates. On the other hand de Jong et al (2000) [22] have found a number of very
interesting high proper motion white dwarf candidates in a small area of the the
ESO Imaging Survey, which if confirmed as white dwarfs, should be very dim
objects indeed. We look forward to more!
Acknowledgement
Our thanks to Hugh Harris for much help with the spheroid white dwarfs in the
LHS. This research was supported by the Academy of Finland.
References
1. Ibata, R., Irwin, M., Bienayme, 0., Scholz, Rand Guibert, J., 2000, ApJ, 523, L41
2. Flynn, C., Sommer-Larsen, J., Fuchs, B., Graff, D., Salim, S. 1999, astro-
phj9912264, MNRAS accepted
3. Flynn, C., Gould, A., and Bahcall, J., 1996, ApJL, 466, L55
4. Alcock C. et al. 2000, astro-phj0001272
5. Lassarre, T. et al (The EROS Collaboration), 2000, astro-phj0002253
6. Elson, R. A.W., Santiago, B. X., & Gilmore, G. F. 1996, New Astronomy, 1, 1
7. Mendez, RA., Minniti, D., de Marchi, G., Baker, A. and Couch, W.J.,1996, MN-
RAS, 283, 666
8. Knox, R, Hawkins, M. & Hambley, N. 1999, MNRAS, 306, 736 (KHH)
9. Jimenez, R, Flynn, C. and Kotoneva, E. 1998, MNRAS, 299, 515
10. Liebert, J., Dahn, C. C., Harris, H. C. and Legget, S. K. 1999, ASP Conf. Ser. 169:
11th European Workshop on White Dwarfs, p51
11. Wetterer, C. J. and McGraw, J. T. 1996, AJ, 112, 1046
12. Gates, E. and Gyuk, G. 2000, astro-phj0004399
13. Hansen, B. 1999a, ApJ, 517, 39
14. Hansen, B. 1999b, ApJ, 520, 680
15. Ibata, R, Lewis, G., Irwin, M., Totten, E., Quinn, T. 2000, astro-phj0002138
16. Hodgkin, S.T., Oppenheimer, B.R, Hambly, N.C., Jameson, RF., Smartt, S.J.,
Steele, LA., 2000, Nature, 403, 57
17. Scholz, R-D., Irwin, M., Ibata, R, Jahreijss, H., Malkov, O. Yu., 2000, A&A, 353,
958
18. Ruiz, M. T., Bergeron, P., Leggett, S. K. and Anguita, C. 1995, ApJL, 455, L159
19. Luyten, W., 1979, 2nd Edition, "LHS catalogue. A catalogue of stars with proper
motions exceeding 0" 5 annually", Univ. of Minnesota
20. Monet, D., Fisher, M., Liebert, J., Canzian, B., Harris, H. Reid, LN., 2000, astro-
phj0006008
21. Goldman, B., EROS collaboration, 2000, astro-phj0008383
22. de Jong, J. Kuijken, K. Neeser, M, 2000, astro-phj0009058
Contribution to Dark Matter
from Extragalactic Dust
Nikolaus Neininger
Radioastron. Inst. der Univ. Bonn, Auf dem Hugel 71, D-53121 Bonn, Germany
Abstract. Interstellar dust is only a tiny fraction of the general interstellar medium
(ISM), but it plays an important role as a tracer and as a catalyst in the formation
of molecules. Many of the grain properties had to be derived from the extinction of
starlight, but it has become possible to map its emission in continuum and spectral
lines. New, sensitive instruments even allow to map large extragalactic systems.
It was found that cold dust (T ~ 20 K) is distributed over large radii in the disks
of spiral galaxies, further out than any detectable molecules. This result may force us
to revise the current models of the composition of the ISM.
I present a few examples of these recent observations. Cold dust is found to follow
the large-scale HI warps (NGC 4565) and even to trace interactions (NGC 4631).
1 The role of dust for the interstellar medium

By mass, the interstellar dust is undoubtedly a negligible constituent of the
Universe, and even if we consider only the known interstellar medium (ISM) it
remains one of the smallest parts. A typical dust-to-gas ratio is about 1:100 and
the ratio of the gas mass to the total mass of the Milky Way is again of the order
of 100 (cf. Fig. 1). So why do we care about those few dust grains?
In astronomy, it is often necessary to use indirect "tracers" to derive im-
portant properties. To give a prominent example: molecular hydrogen (H 2 ) is
believed to account for about half of the gas mass of galaxies, but it is not
detectable in the normal ISM. The most common observable molecule is CO,
10 000 times less abundant than H2 ; CO observations are nevertheless the best
known access to the properties of the molecular hydrogen. An empirical relation
between the emission of CO and the hidden amount of H2 had been established
rather early [19], but it suffers from a number of severe problems, notably the
unknown densities, optical depths, temperatures and element abundances [13].
Moreover, the physical basis for this relation is unclear till today. Such an indi-
rect determination introduces of course considerable uncertainties - in particular
for the total mass. This is where the dust comes into play.
It is possible to determine the total masses of interstellar clouds from the
submillimetre (submm) thermal continuum emission of dust (see, e.g., [10,5,16]).
This emission can be very well described by a modified Planck law (see below)
and there exist relations between this spectrum and the total associated gas
mass. Of course, this calculation also is dependent on parameters that may be
difficult to obtain, in particular the dust temperature and its emissivity. But the
submm emission is optically thin, the physical basis of it is quite well understood
N. Neininger 53
/ / /
DM
/ / /
/
/
Baryons / Stars /
Gas
/
/ /
/ / /
/
(;;;"""
/
Dust
?
~.
{1
Fig. 1. The relative contributions to the content of the Universe following the propor-
tions given by Einasto (this volume). The dust seems negligible, but it is important
as a tracer for the gas and possibly for the total baryonic part. The ratios of detected
baryons (!h) to the total mass of various astronomical systems (Om) had to be changed
several times since the first detection of this discrepancy by Zwicky [21] in clusters of
galaxies, e.g. with the detection of hot gas emitting X-rays
and in any case, this approach is completely independent from the "CO-method"
or other techniques.
In addition, there is another advantage of submm measurements which is
particularly useful for cosmological studies: The emission peak of the coldest
dust component is typically situated at frequencies of a few 10 12 Hz (cf. Fig. 2).
Feasible observing frequencies are of the order of 1011 Hz, on the lower Rayleigh-
Jeans part of the spectrum. Together with some other observational details this
implies that the measured flux density of the thermal dust emission is essentially
independent of the distance out to redshifts of about z ~ 10 - in sharp contrast
to the "normal" r- 2 law. Only radio astronomy is able to probe such a large
volume of the Universe.
In a few cases, the spectral energy distribution (SED) of the thermal dust
component in the THz range could be properly sampled. This allows to derive the
temperatures of the dust components which vary of course with the surrounding
radiation field. For typical conditions, the properties of the interstellar dust result
in a "grey body" spectrum in the mm-IR range, with a temperature dependence
of about S ex: T 6 (instead of the T 4 for a Black Body), where S is the flux and T
the temperature. The details of the spectral shape depend on the composition
of the grains and their environment; they are subject of investigation.
This temperature dependence implies that a small amount of "warm" or
"hot" grains easily dominates the total flux, but the bulk of the dust mass is
in the cold 1 component. A temperature of a few degrees lower than previously
determined lead to a three times higher dust mass than derived before for a
sample of normal galaxies [12]. Typical temperatures for this component are now
believed to be of the order of 10 K in quiescent galaxies, rising to about 30 K in
more active objects. This range is very small compared to the difference in the
total energy output of the galaxies because the dust is radiating so efficiently
and it is difficult to heat it to higher temperatures. Hot grains are observed only
in the immediate vicinity of energy sources.
1 There is no common definition about the ranges, but several authors use now 20 K
as a separator between "warm" and "cold".
54 Dark Matter from extragalactic dust
Fig. 2. The SED of the star-

1000 burst galaxy M 82, from [2].
The lower frequencies are dom-
inated by Synchrotron emis-
100 sion, but the main contribu-
tion to the total energy out-
put in this frequency range is
S (Jy) due to the strong dust contin-
10 uum component with the peak
at about 4 x 10 12 Hz. In the
lower part of the plot the at-
mospheric transmission is indi-
cated; above 10 12 Hz it is effec-
tively zero. The straight lines in-
dicate the change of the spectral
index with red shift, measured
1/ (Hz) between rest frequencies of 1.5
and 350 GHz
1.1 The nature of interstellar dust
The precise properties of interstellar dust are still matter of extensive investi-
gation because they have to be derived by rather indirect methods. Most of the
following items are obtained from spectral line emission and extinction observa-
tions towards stars or from scattering and polarization data (see the review by
Mathis [14] or have a look at [6] and other contributions in that volume for more
details). General properties of dust are:
1) The dust grains consist mainly of silicates and carbon.

2) Typical sizes are of the order of 10- 9 ... 10-6 m (rather "smoke" than
dust).
3) Their structure is not well known, some of them may be "fluffy" aggre-
gates of smaller components.
4) A significant part of the grains is elongated.
5) Depending on the environment they may be covered with ices.
6) The small grains absorb and scatter (UV) light very efficiently; they
"shield" molecules against photodissociation.
7) The absorbed light is re-radiated as far-infrared continuum.
8) They are very resistent against photodissociation by UV photons.
9) Typical production places are the atmospheres of old, massive stars.
10) They serve as catalysts for the formation of molecules.
The last five points indicate the link between gas, stars and dust: dust consists
of heavy elements that are not present in the primordial gas; stars are needed
as sources for silicon, carbon, iron and the other known ingredients. The stars
N. Neininger 55
are formed in the dense cores of molecular clouds - the dust shields the deli-
cate molecules against photo-dissociation and the formation of molecules on the
surface of grains is a very efficient process.
2 Observations
2.1 How to look behind a brick wall
Unfortunately, the atmosphere is completely opaque over almost the whole range
of the emission spectrum of the dust, except for the lower Rayleigh-Jeans tail
and a few very narrow "windows" (see the lower part of Fig. 2). Only balloons,
rockets and satellites are able to probe a reasonably wide range on the high-
frequency side (which also hosts most of the important spectral lines of dust
constituents). Large ground-based telescopes with high angular resolution and
sensitivity are usually limited to frequencies below 350 GHz: higher up, even the
best, dry, observing sites at high altitudes can offer only a very small amount of
useful time. It is in particular the water vapor content of the atmosphere that
blocks the radiation in this range. In addition, it is a powerful (and variable!)
emitter, several orders of magnitude stronger than most astronomical sources.
The dust emission of extragalactic systems is so weak that a detailed mapping
of objects is only possible since a few years. The key to success was the use of
large arrays of low-noise bolometer elements cooled to temperatures of about
100 mK, of which the most prominent instruments are MAMB0 2 , SCUBA 3 and
SHARC 4 . Significant progress has also been made in the better understanding
of the removal of the noise introduced by the atmosphere.
2.2 The first large maps

The submm dust emission is optically thin in astronomical sources, so the most
favourable situation for the detection of weak emission is the "edge-on" config-
uration of a thin disk. This yields long lines of sight of many kpc within the
object. One of the first large galaxies that was completely mapped with high an-
gular resolution is NGC 891 [7]. In this galaxy, the profile of the emission along
the major axis turned out to be essentially identical for the CO and the thermal
dust emission. The properties of the dust indicated a molecular gas mass about
three times lower than previously derived from the CO - about the same as the
mass of the atomic gas within the same radius. The cold dust with temperatures
:S 20 K traces 20 times more mass than the warm dust in this galaxy.
2 MAx-Planck-Millimetre-Bolometerj consists of 37 detector elements (earlier versions
had 7 resp. 19 elements) sensitive to a 70 GHz wide band centered at 230 GHz. In
use at the 30-m telescope on Pico Veleta, Spain (ait. 2850m).
3 Sub-millimetre Common- User Bolometer Array; comprises one 37-element array for
the 350 or 450 GHz atmospheric "windows", another of 91 elements for the 670 or
850 GHz range. Installed on the JCMT 15-m telescope, Mauna Kea (ait. 4194m).
4 Submillimeter High Angular Resolution Camera; a linear array of 2 x 24 elements
operating either at 670 (±35) or 850 (±50) GHz on the csa 10-m telescope (also
on Mauna Kea, Hawaii, at 4072m).
Fig. 3. The edge-on galaxy

NGC 4565 as a negative image
from the Palomar Sky Survey
(POSS). In the midplane of the
thin stellar disk an absorbing
dust band is visible as a white
o~
stripe crossing the central bulge.
The contours trace levels of the
thermal dust emission observed
at A 1.2mm (230 GHz). Note
the extraplanar emission in the
north-west, which actually fol-
lows a known warp of the HI
" .. • disk which is much more ex-
o -s tended than the stellar disk.
ore minutes The dot in the lower right corner
indicates the angular resolution
The next object on the list was NGC 4565, another edge-on galaxy of similar
type, but less active than NGC 891. The map of this object showed something
new: the dust emission has a much larger extent than the CO emission, even
larger than the optical emission (Fig. 3). The temperature of the cold dust could
be derived to be 15 K in the outer disk and a detailed comparison of the mass
contributions could be made [16]. I would like to remind here that in most
galaxies the detectable CO emission is restricted to radii of a few kpc, so that
we do not know the properties of the molecular gas in large volumes of disk
galaxies. Their outer regions do form new stars, but the principal element for
this activity is invisible to us. Now it seems that the mm dust emission could
unveil at least part of this hidden material.
2.3 A special case: NGC 4631
Fig. 4. The galaxy NGC 4631

and the smaller of its two com-
panions, NGC 4627, shown as
a negative print from a red
POSS plate. The labels indicate
o arcminutes from the centre of
NGC 4631. In spite of its edge-
-2 on geometry, no clear dust lane
is visible and the whole galaxy
o -s is clearly asymmetric
cremin utes
N. Neininger 57
Now we set out to map other similar objects, but with specific differences. A
particularly interesting galaxy is known as NGC 4631. It is obviously distorted
(see Fig. 4) and mildly active over large parts of its disk. Early HI measurements
had revealed large "streamers" and "bridges" of gas [18] that are described in
more detail in a recent paper [17] (see Fig. 5). The unusual structure could be
explained very sucessfully with a model of a close encounter of NGC 4631 with
its two neighbours [4].
o Fig. 5. The HI emission of the

whole NGG 4631 group super-
imposed as contours on the
~~.
'. same red plate as in Fig. 4, from
8' [17]. The object on the lower
6 •
left-hand side is NGG 4656, a
..'*:~, .. distorted spiral. The smallest

companion is barly visible in
this picture, it has no detectable
HI-emission of its own, but may
be the origin of the vertical
-30
streamers [4]. Molecular gas was
found only in the central region
30 - 0 of NGG 4631. The box marks
the frame of Figs. 4 and 6
Today, many examples of such large and peculiar structures of atomic gas
around galaxies are known. The common explanation is an encounter or an
interaction. The gravitational forces tear the material out of the regular disks
and form the observed structures and the disturbed gas is more likely to clump
and form stars.
Fig. 6. A map of the emission

of NGG 4631 at A 1.2 mm. The
border line (dottell) corresponds
to a fixed sensitivity level in the
original map. The emission con-
sists of a thin disk plus extra-
planar features that correspond
partly with the known HI struc-
~ o -~
ture. The arc above the centre
orcminules has no counterpart in the distri-
bution of the atomic gas
In this respect, NGC 4631 is a "textbook example" of an interacting galaxy

and we set up a large map to check the properties of the dust in such an ac-
tive object. We found a well-defined thin disk which was not quite expected
because the optical extinction by dust is much more irregularly distributed than
in other edge-on galaxies (cf. Fig. 4); the dust disk extends out to the edges of
the optically visible emission and has clear extensions towards all four major HI
streamers - out to the border of our map. Moreover, extraplanar emission was
found forming a giant arc north of the central region (Fig. 6). The origin of this
material is still unclear - the encounter model only accounts for the HI streamers
which are described to consist of redistributed gas from the outer regions of the
involved galaxies [4J. Now it seems that we also have to explain the origin of
material containing "metals" (heavy elements) at some time before the interac-
tion (1.5 x 108 years ago in the old model). We certainly will have to modify the
interaction scenario: the outer disks of the two involved spiral galaxies and the
dwarf elliptical NGC 4627 (see Fig. 4) are not likely to contain large amounts of
dust according to present knowledge.
3 Retrospect and Outlook
The existence of interstellar dust was proven only in the beginning of the 20 th
century starting with the pioneering photographical work of E.E. Barnard [1 J
and the first quantitative analyses of M. Wolf [20J. For many years, the presence
of dust and its properties could be inferred only from its ability to absorb light.
Subject of these optical investigations are the properties of the "remainders"
of starlight after the passage of a dusty region. This approach uses mainly spec-
troscopy in the visible and UV bands, and polarimetry. It provides the basis of
our knowledge of dust properties. Unfortunately, despite the great progress there
remain fundamental questions such as: How much matter is associated with a
certain amount of extinction? How transparent are galaxies on larger scales? Are
the distances derived from Supernovae affected by extinction?
It was in particular IRAS (the InfraRed Astronomical Satellite, flown 1983)
that has shown that we can learn a lot more if we add the information from the
emission of dust. Of course, the origin of the radiation is still in the stars; but the
light we see is emitted from the dust clouds itself and not just modified by the
grains in the narrow lines of sight towards background stars. IRAS detected for
instance the ubiquitous Galactic "cirrus" [8] and new classes of galaxies which
are very active, but completely enshrouded by dust and hard to find in optical
bands [9]. More recently, SCUBA has detected even more extreme objects that
are not yet identified (see, e.g., [11,2]).
IRAS explored the range from the IR to 3 x 1012 Hz. Many properties of
the dust and the associated gas content of galaxies have been derived from its
measurements. Later it became clear, however, that IRAS was sensitive only to
the "warm" and "hot" dust - but this took some time to become accepted: As
late as 1995 it was still a debate about the presence of "very cold dust" [3J -
which is well proven now with the help of ISO and other data [16,12].
N. Neininger 59
Lower temperatures of the coldest dust component imply more mass in the
dust, more mass in the associated gas, different conditions in the ISM due to
the enhanced shielding - and maybe a different history of the fabrication of
"heavy" elements and molecules in space. Much more work needs to be done
until we will be able to claim a decent understanding of this field. There are still
large uncertainties about the temperatures, emissivities, chemical composition
and other properties of the dust, and of its distribution in galaxies. The most
prominent part of the emission spectrum of the dust remains difficult to access.
New instruments are used and planned to overcome this problem: the Infrared
Space Observatory (ISO) has contributed many details which are still being ex-
amined, the Stratospheric Observatory For Infrared Astronomy (SOFIA) is cur-
rently being built, and the Far InfraRed and Submillimetre Telescope (FIRST)
should reach its position beyond the moon's orbit in 2007. On the ground, the
existing bolometers are growing bigger and more sensitive, and the Atacama
Large Millimetre Array (ALMA) consisting of 64 antennas is being planned.
Nobody would dare to claim that observations of the interstellar dust will
solve the Dark Matter puzzle, but on the other hand, the number of new (and
often unexpected) findings in this field is still growing. Dust can obviously serve
as an indicator of gas in the space around galaxies and in clusters. It seems
certain that at least the understanding of the baryon content of the universe will
profit a lot from the investigation of dust.
References
1. E.E. Barnard: Astrophys. J. 38, 496 (1913) and 49, 1 (1919)
2. C.L. Carilli, M.S. Yun: Astrophys. J. 530, 618 (2000)
3. R Chini, E. Kriigel: in New extragalactic Perspectives in the New South Africa, ed.
by D.L. Block & J.M. Greenberg (Kluwer, Dordrecht 1996), pp. 329-344
4. F. Combes: Astron. Astrophys. 65, 47 (1978)
5. P. Cox, P.G. Mezger: Astron. Astrophys. Rev. 1, 49 (1989)
6. J.M. Greenberg, A. Li: in New extragalactic Perspectives in the New South Africa,
ed. by D.L. Block & J.M. Greenberg (Kluwer, Dordrecht 1996), pp. 118-134
7. M. Guelin, et al.: Astron. Astrophys. 279, L37 (1993)
8. M. Harwit, J.R Houck, G.J. Stacey: Nature 319, 646 (1986)
9. J.R Houck et al.: Astrophys. J. 290, L5 (1985)
10. R.H. Hildebrand: Q. JI. R. astr. Soc. 24, 267 (1983)
11. D. Hughes et al.: Nature 394, 241 (1998)
12. E. Kriigel, R Siebenmorgen, V. Zota, R Chini: Astron. Astrophys. 331, L9 (1998)
13. P. Maloney, J.H. Black: Astrophys. J. 325, 38 (1988)
14. J.S. Mathis: Ann. Rev. Astron. Astrophys. 28, 37 (1990)
15. N. Neininger, M. Dumke: Proc. Natl. Acad. Sci. USA 96, 5360 (1999)
16. N. Neininger, M. Guelin, S. Garcia-Burillo, R Zylka, R. Wielebinski: Astron. As-
trophys. 310, 725 (1996)
17. RJ. Rand: Astron. Astrophys. 285, 833 (1994)
18. L. Weliachew, R Sancisi, M. Guelin: Astron. Astrophys. 65, 37 (1978)
19. J.S. Young, N. Scoville: Astrophys. J. 258, 467 (1982)
20. M. Wolf: Astron. Nachr. 219/5239, 109 (1923)
21. F. Zwicky: Astrophys. J. 86, 217 (1937)
Astrophysical Axion Bounds
Georg G. Raffelt
Max-Planck-Institut rur Physik (Werner-Heisenberg-Institut)

Fahringer Ring 6, 80805 Miinchen, Germany
Abstract. The observed properties of stars and the neutrino signal of supernova
1987A provide upper limits to the axion mass, while the age and expansion rate of the
universe provide a lower limit. There remains a "window of opportunity" 10- 5 eV ;S
rna ;S 10- 2 eV, with large uncertainties on either side, where axions could exist and
where they would provide a significant fraction or all of the cosmic dark matter.
1 Introduction
The interest in axions as a possible dark matter candidate has recently soared
thanks to the heroic experimental progress which has led to full-scale searches
for galactic axions in Livermore [1,2] and Kyoto [3,4] which may well turn up
dark matter axions within the next few years (Fig. 1). There are also noteworthy
search programs for solar axions in Tokyo [5,6] and at CERN [7].
For such efforts to make sense one needs to understand the "window of op-
portunity" where axions are not excluded by astrophysical and cosmological
arguments. It is well known that the requirement that stars not lose too much
energy by axions leads to a lower limit on the Peccei-Quinn scale fa which can
be translated into an upper limit on the axion mass by virtue of the relationship
rna = 0.62 eV (10 7 GeV / fa)' It is also well known that the non-thermal produc-
tion in the early universe leads to an upper bound on fa (lower bound on rna)
lest axions "overclose" the universe. These topics are well-covered in a number
of reviews [8,9] and books [10,11]. Therefore, for the purposes of reminding the
participants of this workshop of the main points we may limit ourselves to a
brief summary.
2 Stellar Limits
2.1 Globular Cluster Stars
In analogy to neutral pions, axions generically interact with photons according

to La'Y = 9a'YE· Ba with 9a'Y = (a/27rfa) (E/N -1.92 ± 0.08). The parameter
E / N is a model-dependent fraction of small integers. This coupling allows for
the axion decay a -t 21' as well as for the Primakoff conversion a ++ l' in
the presence of external electromagnetic fields. Because charged particles and
photons are abundant in the interior of stars they are powerful axion sources.
Georg G. Raffelt 61
Battye& Sikivie
fa. Shellard et aI.
[GeV] ... ...
neV Too much
10 15 dark matter
(string scenario)
: : : D0 Kyoto Search
"Uvermore Search
10 12
I
... Dark llatter
109
I
SN 1987"
Too much
6 energy loss
10
Too_y
events in
detectors
103
ma.
~t
t Globular cluster stars
Laboratory experiments
Fig. 1. Summary of astrophysical and cosmological axion bounds. The globular cluster
limit assumes an axion-photon coupling corresponding to E/N = 8/3 as in GUT
models.
A novel energy-loss mechanism would accelerate the consumption of nu-

clear fuel in stars and thus shorten their lifetimes. A case where axion emis-
sion would be efficient and the stellar lifetime is well established are low-mass
helium-burning stars, so-called horizontal-branch (HB) stars. Low-mass red gi-
ants have a degenerate helium core (p ~ 106 gcm- 3 , T ~ 108 K) so that axion
emission is strongly suppressed relative to the cores of HB stars (p ~ 104 gem -3,
T ~ 108 K) whence the number ratio of these stars in globular clusters is a sen-
sitive measure for the operation ofaxionic energy losses. The observed number
ratios agree with standard theoretical expectations to within a few tens of per-
cent implying a limit [11] ga"! ;S O.6xlO- 10 Gey- 1 . In GUT axion models where
E/N = 8/3 this yields rna ;S OAeY (Fig. 1). Our often-quoted "red giant limit"
is less restrictive because it was based on the statistically less significant number
of "clump giants" in open clusters [12].
2.2 Supernova 1987A

Being a QeD phenomenon, axions a generically also couple to nucleons N by
(CN /2 fa Yijj N'Yj.,,''IsW N8IL a where the CN for protons and neutrons are model-
dependent numerical coefficients. The most significant limit on the axion-nucleon
coupling arises from the cooling speed of nascent neutron stars as established by
the duration of the neutrino signal from the supernova (SN) 1987A.
62 Astrophysical Axion Bounds
Apart from the well-known overall uncertainty of this argument caused by

the statistical weakness of only 19 observed neutrinos there is a problem re-
lated to the axion emission rate from the hot and dense nuclear medium. In a
naive perturbative picture this rate is computed as a bremsstrahlung process
N N ~ N N a with the nucleons interacting by a spin-dependent force. The re-
sulting nucleon spin fluctuations act as a source for the emission ofaxions. Like
any other bremsstrahlung process, this rate scales with the density as p2. How-
ever, if one studies axion emission from the more general perspective of linear
response theory it turns out that the p2 scaling is not maintained to arbitrary
densities. Rather, the axion emission rate does not exceed a certain limit which
can be estimated from sum rules of the spin-density dynamical structure func-
tions [13,14]. While a detailed calculation of these structure functions is not
available, simple estimates indicate that in a SN core one is well in the satura-
tion regime of the bremsstrahlung process. The previous naive emission rate is
thus reduced by about an order of magnitude. The same conclusion is reached if,
instead of appealing to saturation effects, the effective nucleon-nucleon scattering
rate is much smaller than indicated by the one-pion exchange approximation [15J.
Moreover, a previous often-quoted limit [16] of rna ~ 1 meV was based on
the generic coupling constants eN = 0.5 for both protons and neutrons. In
realistic axion models these couplings can be much smaller. For example, in the
popular KSVZ model which is representative for the class of hadronic axion
models the interaction with neutrons nearly vanishes. Altogether the SN 1987A
limit is reduced to roughly rna ~ 10 meV [13]. Inevitably this limit involves large
uncertainties which are difficult to quantify.
The SN 1987A axion limit was reexamined in a series of numerical cooling
calculations where the saturation effect was included and the coupling constants
to neutrons and protons were chosen appropriately for specific models [17J. For
KSVZ axions the limit was found to be about 8 meV, in perfect agreement with
the simple estimate of Ref. [13J. For DFSZ axions the limit varies between about
4 and 12 meV, depending on the assumed value of the angle f3 which measures the
ratio of two Higgs vacuum expectation values. Because this angle is not known
one can only use the least restrictive number as a conservative limit. In view of
the large overall uncertainties it is good enough to remember rna ~ lOmeV as
the current SN 1987A limit for both KSVZ and DFSZ axions.
Ifaxions interact too strongly they are trapped and contribute to the transfer
of energy rather than to a direct cooling of the inner SN core. Therefore, axions
with rna 2: 10 eV cannot be excluded on the basis of the duration of the SN 1987A
neutrino signal [18].
However, axions with masses larger than this, Le., with stronger interactions,
could actually cause a significant contribution to the signal measured in the 1MB
and Kamiokande II water Cherenkov detectors by the absorption on 16 0 and the
subsequent emission of r rays. To avoid too many events one can exclude the
range 20eV ~ rna ~ 20keV [19].
Georg G. Raffelt 63
2.3 White Dwarf Cooling
In certain models axions couple to electrons by (Ce/2fS1f;e"YJl."Y5'l/JeaJl.a with Ce

a model-dependent factor of order unity. For most purposes this derivative cou-
pling is equivalent to the pseudoscalar structure -igae¢e"Y5'l/Jea with the Yukawa
coupling gae = Cern e/ fa which one may parametrize by 0:26 == (g~e/41r)/10-26.
It was suggested that axion emission with 0:26 ~ 0.45 might dominate the
cooling of white dwarfs such as the ZZ Ceti star G117-BI5A for which the
cooling speed has been established by a direct measurement of the decrease of
its pulsation period [20]. Because of this suggestion a new bound on 0:26 was
derived by a method similar to the above number counts in globular clusters
:s
[21]. The resulting limit 0:26 0.5 is the best direct bound on the axion-electron
coupling, but it does not quite exclude the possibility that axions could playa
certain role in white dwarf cooling.
The most popular example where axions couple to electrons is the DFSZ
t
model where Ce = cos2 (3 with (3 an arbitrary angle. In this case one may
use the SN 1987A limits on the axion-nucleon coupling to derive an indirect (3-
dependent limit on the axion-electron coupling. In this way I infer from Ref. [17]
that the largest axion-electron coupling allowed by SN 1987A corresponds to
0:26 ~ 0.08. For typical parameters of old white dwarfs the axion luminosity is
0.70:26 times their photon luminosity [11]. Therefore, DFSZ axions do not seem
to be able to playa significant role in the cooling of old white dwarfs. However,
axion cooling may be important in strongly magnetized white dwarfs where the
cyclotron process provides for an additional emission channel [22].
3 Mass of Dark Matter Axions
Ifaxions interacted sufficiently strongly (fa ;S 108 GeV) they would have come
into thermal equilibrium before the QCD phase transition, leading to a back-
ground sea of invisible axions in analogy to the one expected for neutrinos [23].
This parameter range is excluded by the astrophysical arguments summarized
in Fig. 1 which imply that axions interact so weakly that they have never come
into thermal equilibrium. Still, the well-known misalignment mechanism will ex-
cite coherent oscillations of the axion field [24-27]. In units of the cosmic critical
density one finds for the axionic mass density
(1)
where h is the Hubble constant in units of 100 km S-1 Mpc 1 . The stated range
reflects recognized uncertainties of the cosmic conditions at the QCD phase
transition and uncertainties in the calculation of the temperature-dependent
axion mass. The cosmic axion density depends on the initial misalignment angle
8 i which could lie anywhere between a and 1r. The function F(8) encapsules
anharmonic corrections to the axion potential; for an analytic determination see
Ref. [28].
If fJ i is of order unity, axions with rna = 0(1 J.LeV) provide roughly the
cosmic closure density. The equivalent Peccei-Quinn scale fa = 0(10 12 GeV) is
far below the GUT scale so that one may speculate that cosmic inflation, if it
occurred at all, did not occur after the PQ phase transition. If it did not occur
at all, or if it did occur before the PQ transition with Treheat > fa, the axion
field will start with a different fJ i in each region which is causally connected at
T ~ fa. Then one has to average over all regions to obtain the present-day axion
density.
More importantly, because axions are the Nambu-Goldstone mode of a com-
plex Higgs field after the spontaneous breaking of a global U(l) symmetry, cosmic
axion strings will form by the Kibble mechanism [29]. The motion of these global
strings is damped primarily by the emission ofaxions rather than gravitational
waves. At the QCD phase transition the U(l) symmetry is explicitly broken
(axions acquire a mass) causing domain walls bounded by strings to form which
get sliced up by the interaction with strings. The whole string and domain-wall
system will quickly decay into axions. This complicated sequence of events leads
to the production of the dominant contribution of cosmic axions. Most of them
are produced near the QCD transition at T ~ AQCD ~ 200 MeV. After they
acquire a mass they are nonrelativistic or mildly relativistic so that they are
quickly redshifted to nonrelativistic velocities. Thus, the string and domain-wall
produced axions form a cold dark matter component.
In their recent treatment ofaxion radiation from global strings, Battye and
Shellard [31] found that the dominant source ofaxion radiation are string loops
rather than long strings, contrary to what had been assumed in the previous
works by Davis [29] and Davis and Shellard [30]. At a given cosmic time t the
average loop creation size is parametrized as (l) = at while the radiation power
from loops is P = "'J.L with J.L the renormalized string tension. The loop contri-
bution to the cosmic axion density is [31]
(2)
where the overall uncertainty has the same source as before. The exact values of
the parameters a and", are not known; Battye and Shellard expect 0.1 < a/", <
1.0. The expression in square brackets is then between 0.15 and 1.83.
The proper treatment ofaxion radiation by global strings has been contro-
versial. Sikivie and his collaborators [32,33] have consistently argued that the
motion of global strings was overdamped, leading to an axion spectrum emitted
from strings or loops with a flat frequency spectrum. In Battye and Shellard's
treatment, wavelengths corresponding to the loop size are strongly peaked; the
motion is not overdamped. In Sikivie et al.'s picture much more of the string-
radiated energy goes into kinetic axion energy which is redshifted so that ul-
timately there are fewer axions. The cosmic axion density is then of order the
misalignment contribution.
Ifaxions are the dark matter of the universe one may estimate 0.08 < fl a h2 <
0.40. I have assumed that the universe is older than 10 Gyr, that the total matter
density is dominated by axions with 0.3 < flmatter < 1, and that 0.5 < h < 1.0.
Georg G. Raffelt 65
Including all of the previously discussed uncertainties I arrive at a plausible mass

range for dark-matter axions of
6-250 JLeV Sikivie et al.,

(3)
rna = { 6-2000 JLeV Battye and Shellard,
as indicated in Fig. 1. Even though Battye and Shellard tend to favor larger
axion masses for the dark matter, the treatments of both groups imply the same
lower end for the plausible range. Evidently, the Livermore and Kyoto search
experiments cover a large fraction of the predicted range, even though it would
be desirable to extend the search to even larger masses.
4 Phase Space Distribution
The galactic phase-space distribution ofaxions may well exhibit novel features
which are of relevance for the search experiments. Different initial misalignment
angles in different causally connected regions lead to density fluctuations which
are nonlinear from the start. This leads to the formation of "axion mini clusters"
which may partially survive galaxy formation and thus can be found in the
Milky Way today [34]. For a suitably large initial density contrast these clusters
can condense into axionic boson stars by virtue of higher order axion-axion
couplings and may be detectable by the femtolensing effect [35]. The direct
search experiments need sufficient sensitivity to pick up the diffuse component
of the galactic axions which are not locked up in mini clusters.
Another interesting possibility is that axions may have maintained some of
their initial phase-space distribution, i.e. that they are not fully virialized in the
galaxy. In this case the axion velocity distribution would exhibit very narrow
peaks which could enhance the sensitivity of the direct search experiments and
in any case may be detectable in the laboratory [36,37].
5 Summary
After some refinements and corrections, the astrophysical and cosmological axion
limits seem to have stabilized to what is shown in Fig. 1. There remains a
"window of opportunity" 10- 5 eV ~ rna ~ 10- 2 eV where axions could still exist.
They would then contribute most or all of the dark matter of the universe. The
ongoing direct search experiments for galactic axions have reached a sensitivity
where they are in a position to confirm this bold hypothesis or to refute it.
Acknowledgments
This work was partially supported by the Deutsche Forschungsgemeinschaft un-

der grant No. SFB 375.
References
1. C. Hagmann et al.: Phys. Rev. Lett. 80, 2043 (1998)
2. H. Peng et al.: Nucl. Instrum. Meth. A 444, 569 (2000)
3. I. Ogawa, S. Matsuki, K. Yamamoto: Phys. Rev. D 53, R1740 (1996)
4. M. Tada et al.: Nucl. Phys. B (Proc. Suppl.) 72, 164 (1999)
5. S. Moriyama et al.: Phys. Lett. B 434,147 (1998)
6. Y. Inoue et al.: astro-phjOOl2338
7. K. Zioutas et al.: Nucl. Instrum. Meth. A 425, 482 (1999)
8. M.S. Turner: Phys. Rept. 197, 67 (1990)
9. G.G. Raffelt: Phys. Rept. 198, 1 (1990)
10. E.W. Kolb, M.S. Turner: The Early Universe (Addison Wesley, Redwood City
1990)
11. G.G. Raffelt: Stars as Laboratories for Fundamental Physics: The Astrophysics of
Neutrinos, Axions, and Other Weakly Interacting Particles (University of Chicago
Press, Chicago 1996)
12. G.G. Raffelt, D.S.P. Dearborn: Phys. Rev. D 36 2211 (1987); ibid. 37, 549 (1988)
13. H.-T. Janka et al.: Phys. Rev. Lett. 76, 2621 (1996)
14. G. Sigl: Phys. Rev. Lett. 76, 2625 (1996)
15. C. Hanhart, D.R Phillips, S. Reddy: astro-phj0003445
16. A. Burrows, M.S. Turner, RP. Brinkmann: Phys. Rev. D 39, 1020 (1989)
17. W. Keil et al.: Phys. Rev. D 56, 2419 (1997)
18. A. Burrows, T. Ressell, M.S. Turner: Phys. Rev. D 42, 3297 (1990)
19. J. Engel, D. Seckel, A.C. Hayes: Phys. Rev. Lett. 65, 960 (1990)
20. J. Isern, M. Hernanz, E. Garcia-Berro: Astrophys. J. 392, L23 (1992)
21. G.G. Raffelt, A. Weiss: Phys. Rev. D 51, 1495 (1995)
22. M. Kachelriess, C. Wilke, G. Wunner: Phys. Rev. D 56, 1313 (1997)
23. M.S. Turner: Phys. Rev. Lett. 59, 2489 (1987)
24. J. Preskill, M. Wise, F. Wilczek: Phys. Lett. B 120, 127 (1983)
25. L. Abbott, P. Sikivie: Phys. Lett. B 120, 133 (1983)
26. M. Dine, W. Fischler: Phys. Lett. B 120, 137 (1983)
27. M.S. Turner: Phys. Rev. D 33 889 (1986)
28. K. Strobl, T.J. Weiler: Phys. Rev. D 50, 7690 (1994)
29. RL. Davis: Phys. Lett. B 180, 225 (1986)
30. RL. Davis, E.P.S. Shellard: Nucl. Phys. B 324, 167 (1989)
31. RA. Battye, E.P.S. Shellard: Nucl. Phys. B 423, 260 (1994); Phys. Rev. Lett. 73,
2954 (1994); (E) ibid. 76, 2203 (1996)
32. D. Harari, P. Sikivie: Phys. Lett. B 195, 361 (1987)
33. C. Hagmann, P. Sikivie: Nucl. Phys. B 363, 247 (1991)
34. C.J. Hogan, M.J. Rees: Phys. Lett. B 205, 228 (1988)
35. E.W. Kolb, I.I. Tkachev: Phys. Rev. Lett. 71,3051 (1993); Phys. Rev. D 49, 5040
(1994); ibid. 50, 769 (1994); Astrophys. J. 460, L25 (1996)
36. P. Sikivie, J.R Ipser: Phys. Lett. B 291, 288 (1992)
37. P. Sikivie, I.I. Tkachev, Y. Wang: Phys. Rev. Lett. 75, 2911 (1995)
The Sloan Digital Sky Survey at the Millennium
Jon Loveday (for the SDSS collaboration)
Astronomy Centre, University of Sussex, Falmer, Brighton, BN1 9QJ, UK
Abstract. The Sloan Digital Sky Survey (SDSS) is carrying out a digital photometric
and spectroscopic survey over 11" steradians in the northern Galactic cap, plus a smaller
area in the south. An array of CCD detectors is used in drift-scan mode to image the
sky in five passbands to a limiting magnitude of r' '" 23. Selected from the imaging
survey, 106 galaxies, 10 5 quasars and '" 10 5 stars will be observed spectroscopically.
To date we have imaged 1700 square degrees and obtained almost 100,000 spectra. I
describe the current status of the survey, which is now in regular operation, and present
some preliminary results obtained from commissioning data which are of relevance to
dark matter.
1 Introduction
Systematic surveys of the local Universe provide some of the most important
constraints on dark matter, indirectly through the measurement of the clustering
of galaxies and clusters of galaxies on large scales, and directly via gravitational
lensing. Most existing galaxy and cluster catalogues are based on photographic
plates, and there is growing concern that such surveys might suffer from severe
surface-brightness selection effects, so that they are missing a substantial fraction
of the galaxy population. The limited volume of existing redshift surveys means
that even low-order clustering statistics, such as the galaxy two-point correlation
function, cannot reliably be measured on scales beyond lOOh-IMpc, an order
of magnitude below the scale on which COBE has measured fluctuations in the
microwave background radiation.
A collaboration was therefore formed with the aim of constructing a defini-
tive map of the local universe, incorporating digital CCD imaging over a large
area in several passbands and redshifts for around one million galaxies. In order
to complete such an ambitious project over a reasonable timescale, it was de-
cided to build a dedicated 2.5-metre telescope equipped with a large CCD array
imaging camera and multi-fibre spectrographs. The Sloan Digital Sky Survey
(SDSS) is a joint project of The University of Chicago, Fermilab, the Institute
for Advanced Study, the Japan Participation Group, The Johns Hopkins Uni-
versity, the Max-Planck-Institute for Astronomy, New Mexico State University,
Princeton University, the United States Naval Observatory, and the University
of Washington. Apache Point Observatory, site of the SDSS telescopes, is oper-
ated by the Astrophysical Research Consortium (ARC). Funding for the project
has been provided by the Alfred P. Sloan Foundation, the SDSS member institu-
tions, the National Aeronautics and Space Administration, the National Science
68 Jon Loveday
Foundation, the U.S. Department of Energy, Monbusho, and the Max Planck
Society, The SDSS Web site is http://www . sdss . org/.
2 Survey Status
I described the survey in my contribution to the predecessor of this conference

in 1998 [6] and a more recent technical summary is given by York et al. [7J. Very
briefly, the survey hardware comprises the 2.5-metre survey telescope, a 0.5-
metre photometric telescope (called the monitor telescope in its previous incar-
nation), a state-of-the-art imaging camera [5] that observes near-simultaneously
in five passbands u'g'r'i'z' [4J and a pair of dual beam spectrographs, each ca-
pable of observing 320 fibre fed spectra. The data are reduced by a series of
automated reduction pipelines and the resulting data products stored in an op-
erational database.
First light with the imaging camera was obtained on 9 May 1998; since then
we have imaged around 1700 square degrees, comprising some 13% of the to-
tal survey area. Our first extra-galactic spectra were obtained in June 1999; we
have since successfully observed 149 spectroscopic fields, each containing 640
spectra (including sky and calibration fibres), almost 100,000 spectra in total.
On the night of 3 October 2000 alone, we observed 7 fields, yielding in excess of
4400 spectra. This is almost certainly a world record for the largest number of
spectra obtained in a single night! The spectrographs are performing extreme-
ly efficiently, with an overall throughput of 20% in the blue (3900-6000 A) and
25% in the red (6000-9100 A). Five spectra, picked at random from plate number
354 observed on MJD 51792, are shown in Figure 1. The quality of the spectra
is evidently very high, and our spectral reduction software correctly measures
the redshifts, without human intervention, for 98.3% of galaxies and 91.0% of
quasars. For those cases when an incorrect redshift is estimated, 92% of galaxy
spectra and 85% of quasar spectra h~ve a warning flag set, allowing subsequent
human inspection. We plan to make the SDSS commissioning data, both im-
ages and spectra observed up until April 2000, available to the astronomical
community by the middle of 2001.
3 Science from SDSS Commissioning Data
3.1 Redshift 5.8 Quasar
One of the most exciting discoveries made from SDSS commissioning data was
the detection of a luminous quasar at redshift z = 5.80 [2]. The candidate object
was selected from the imaging data as an "i'-dropout", ie. a very red i* - z*
colour i . Subsequent spectroscopy with the Keck II telescope confirmed the object
1 The final SDSS bandpasses are indicated with primes: u' g' r' i' z'. The commission-
ing data is not yet finally calibrated so the current magnitudes are indicated with
asterisks: u*g*r*i*z*,
The Sloan Digital Sky Survey 69
-;: ,
-~ ~
~~
1!1? ,i
Ii
~~
,
3
i
Z
o I· ..
j
:
'
.,
'I' G!
}
:. e~
J. ·i·i
o
Z
..
'"
:z:
!
.
'"
'" :!
8".0 i
15 -
Ftr~----+-
I :. I
i
I~
,
~
,1,.11.'""\(0..------1:
~
i ~
~
~j.
?1 . ..
.J
.. ""J. t L "0
COZ COl aB ~ 0 ~- 01- ~ 0 ~- 01- OZ 01 0 01- at
-,uno:>
Fig. 1. Five out of almost 100,000 spectra observed and reduced by SDSS. Fits to
detected emission lines and absorption features are indicated.
70 Jon Loveday
to be a z = 5.80 quasar, the most distant known object in the Universe. The
Eddington luminosity of this quasar is consistent with a '" 3 x 109 solar mass
black hole, strongly suggesting that supermassive black holes already existed at
redshifts as high as z = 5.8, ie. when the Universe was less than IGyr old.
To date (October 2000), the SDSS has discovered more than 150 quasars at
redshift z > 3.5, including nine out of ten of the highest redshift quasars known.
We expect to discover several z > 6 quasars by the time the survey is complete.
Such observations will set strong constraints on cosmological models for galaxy
and quasar formation.
3.2 Galaxy-Galaxy Weak Lensing

One of the most direct methods for detecting and mapping dark matter in the
Universe is via gravitational lensing. Weak lensing of background galaxies by
foreground galaxies has been measured from 225 deg2 of SDSS commissioning
data [3J. A tangential shear signal has been measured around a stacked sample of
foreground galaxies out to angular radii of 600". This observation has been used
to model the mass distribution of the foreground galaxies as isothermal spheres
with velocity dispersion (Jv = 150-190 km/s. Neglecting the contribution from
neighbouring foreground galaxies, a 95% confidence lower limit to the truncation
radius of s > 260h- 1kpc was found, implying that dark halos of typical luminous
galaxies extend to very large radii.
From these weak-lensing measurements one can also estimate the galaxy-
mass correlation function ~gm(r). This was found [3J to be consistent in slope
and consistent to a factor of two in amplitude with the well-determined galaxy-
galaxy correlation function ~gg (r), thus suggesting that luminous galaxies are
quite faithful tracers of mass.
3.3 Galaxy Luminosity Function

An estimate of the luminosity function [1 J made using a sample of 11,000 galaxies
from the main galaxy sample (r· < 17.6 with median redshift (z) ~ 0.11) yields
a luminosity density a factor'" 2x larger than estimated from previous surveys.
This is most likely due to the use of isophotal magnitudes in these previous
surveys (see Figure 2): the Petrosian magnitudes measured by SDSS are a better
approximation to the total light in a galaxy. The cosmic density of stellar matter
fl. is thus probably higher than previously thought, making these observations
more consistent with galaxy formation models which typically predict a larger
fl. than has been observed in the past.
3.4 Other Analyses

Other analyses of SDSS commissioning data that are ongoing include measure-
ment of galaxy number counts in the five SDSS passbands and estimates of the
angular and spatial clustering of galaxies. We expect to be publishing the results
of these and other analyses in the near future.
The Sloan Digital Sky Survey 71
lO- z
,..-...
~~ 10-3
~
(oElo 10-4
10-5
lO- Z
,..-...
~~ 10-3
~
(oElo 10-4
10- 5
lO- Z
,..-...
~~ 10-3 Mr '.lIm = 25
~
f}um = 0.92
(0& 10- 4
({>*= 1.51 ± 0.13 (x10- Z )
M*= -20.72 ± 0.03
10- 5 ex = -1.0 ± 0.0
lO- Z
,..-...
10-3 Mr '. lIm = 26
~
(0& 10-4
f)um = 0.99
({>*= 1.42 ± 0.12 (x10- Z)
M*= -20.82 ± 0.03
10-5 ex = -1.1 ± 0.0
-22 -20 -18 -16
Mr'
Fig. 2. Comparison of the r' luminosity function estimated using Petrosian magni-
tudes (upper curve) and isophotal magnitudes (lower curve) at four different limiting
isophotes as indicated in each panel. The parameter hum indicates the fraction of the
Petrosian luminosity density measured at each isophote. From [lJ.
4 Conclusions
The Sloan Digital Sky Survey is now fully operational and is producing high
quality data at a prodigious rate. We have imaged more than 1700 deg 2 of sky
in five colours and have obtained almost 100,000 spectra. Much exciting science
has already come out of just a small fraction of the final dataset and we look
forward to many more exciting discoveries in the coming years.
72 Jon Loveday
References
1. Blanton M., et aI., 2000, submitted to ApJ
2. Fan, X. et aI., 2000, AJ, 120, 1167
3. Fischer P., et aI., 2000, AJ, 120, 1198
4. Fukugita, M., et ai, 1996, AJ, 111, 1748
5. Gunn J.E., et ai, 1998, AJ, 116, 3040
6. Loveday, J. 1998, in "Dark Matter in Astrophysics and Particle Physics 1998", eds.
H.V. Klapdor-Kleingrothaus and L. Baudis, Institute of Physics, p 305
7. York D.G., et aI., 2000, AJ, 120, 1579
X-Ray Measurements of the Dark Matter
Content of Galaxy Clusters
Mark Henriksen
Joint Center for Astrophysics, University of Maryland, 1000 Hilltop Circle, Baltimore
MD, 21043, USA
Abstract. Accurate characterization of the cluster baryon fraction depends on mea-

suring the temperature and gas density profile of a large sample the clusters out to
the full extent of the cluster atmosphere. Simulations show that the cluster baryon
fraction depends on radius and that the present measurements are biased in different
ways depending on the radius to which they are calculated. A present limitation is
that few clusters have accurate radial temperature profiles; this will change with XMM
and Chandra observations. Even with the present data, cluster baryon fractions have
become quite stable when calculated out to a standard radius of 2.5 Mpc and typi-
cally fall between 20 - 30%. The real remaining uncertainty at this point is in possible
systematic errors. Hard X-ray observatories, such the Rossi X-ray Timing Explorer,
can test one of the important assumptions of the model: that the cluster magnetic
field is dynamically unimportant at all radii. While the observations are not yet sensi-
tive enough to constrain a dynamically important magnetic field, several planned hard
X-ray experiments will.
1 Introduction: Baryon Fractions in Galaxy Clusters
Cluster mass derivations using X-ray data utilize the equation hydrostatic equi-
librium,
!!.. [n(r)kT(r) + B(r)2] = _CM(r)p, (1)
dr 81l' 2 r
with B(r) = O. The radial dependence of the gas pressure depends on the den-
sity and temperature radial profiles; the former is accurately determined with
ROSAT position sensitive proportional counter (PSPC) data out to moderate
radii. This also means that the cluster gas mass is well determined to mod-
erate radius which together with the cluster mass profile specifies the baryon
fraction. However, the temperature profile is not so easily determined because,
while emission weighted temperatures have been available for over two decades,
1- and 2-dimensional temperature maps for a few clusters have only recent be-
come available from the ASCA and BeppoSax missions. Measuring the baryon
fraction, obtaining the density and temperature out to large radius is crucial
since simulations show that the baryon fraction depends on the scale over which
it is measured. In addition, it has been known for some time that B(r) is not zero
based on Faraday rotation measurements of background cluster sources and hard
X-ray observations (references in Section 3). It may prove not to be negligible
in the equation of hydrostatic equilibrium. The argument that the correlation
74 Mark Henriksen
between velocity dispersion and cluster emission weighted temperature leaves

little room for magnetic energy is incorrect for the cluster as a whole since both
quantities only correlate well when taken in the central region of the cluster.
The error (for a significant magnetic field below the present detection limit)
in the mass determinations based on the gas pressure alone is evaluated for
both an isothermal gas and one obeying a polytropic law with an index ",5/3.
The error in the mass depends on the radius over which the mass is measured.
Comparison of the ratio of true mass to that derived only from the gas pressure
(mT /m g ) for an isothermal atmosphere indicates that within the central 2 core
radii (or ",500 kpc), mT/m g ~ 1.4 -1.8 while at 10 core radii, it is mT/m g ~ 1.0
- 1.3. The range reflects the possible gas-field distributions discussed above. This
highlights an important point, if the mass is determined only from knowledge of
the radial dependence of the gas pressure, the mass measurement in the central
region may be low by a factor of 2. This is consistent with comparisons between
strong lensing mass measurements and those made from gas pressure. However,
integrated over the entire gas distribution, the difference is no more than 30%.
Thus, in the case of an isothermal gas, cluster mass determinations made with
knowledge of the radial gas pressure over 2 - 3 Mpc are not affected much by a
magnetic field.
However, in the case of the non-isothermal gas, the results are quite different
(see Figure 1).
For a frozen-in field, the ratio of mT/m g is 1.3(4.7) for'Y = 1(5/3) within 3
Mpc. All parameter ranges and errors reported in this paper are 90% confidence
and use Ho = 50 km S-l Mpc 1 .
2 Observed Baryon Fractions
With ASCA and BeppoSax, it has been possible to measure cluster temperature
profiles since both missions return data which combine broad-band spectral data
J.
J
I
10
I
II'H=--~~-"'-~--;
"
---.....
Fig. 1. The ratio of true cluster mass to mass derived from the gas pressure is shown
versus radius. The atmosphere is ,= 5/3 and f3 = 2/3. Triangles are 6 = 5/6, hexagons
are 6 = 2/3, and squares are 6 = 1. These symbols are defined by equation 5. Typically,
the total cluster mass is derived by integration out to large radius. Thus, for a frozen
in field, the true mass would be much higher than calculated from the gas pressure.
X-ray Clusters 75
with modest modest spatial resolution over approximately 1/3 of the extent of
the cluster atmosphere.
Temperature profiles derived for 30 clusters observed with ASCA (Markevitch
et al. 1998) show that the cluster atmospheres are non-isothermal and can be
approximated by a polytropic law with an index of 1.2 - 1.3. In other clusters,
the atmosphere outside of the central region appears largely isothermal: Hydra
A (Ikebe et a. 1997), A1060 (Tamura et al. 1996), and Ophiucus (Matsuzawa et
al. 1996). For several clusters, gas baryon fractions have been calculated. Table
1 shows mass measurements culled from the literature.
Table 1. Mass Measurements of Clusters Using Temperature Profiles
Cluster Gas Fraction (GF) Radius Normalized GF

Xh- 3 / 2 Mpc to 2.5 Mpc
A4059 0.10 - 0.15 ~1 0.12 - 0.18

A2199 0.057 0.5 0.16
A496 0.056 0.5 0.16
A1060 0.11 - 0.16 0.5 0.21 - 0.31
A3571 0.19 1.7 0.24
A3562 0.19 1.4 0.27
While some authors calculate the gas fraction (which dominates the stellar
component) only out to the observed radius, this clearly is an arbitrary constraint
on the baryon fraction which betrays its consistency. In Table 1, the gas fractions
have been calculated out to 2.5 Mpc using the observed gas pressure radial
profile. The gas may well extend even further. The baryon fraction range is 20 -
30% percent. The galaxy stellar component adds another 5%. If the r<2.5 Mpc
region of clusters is representative of the average overall mass density of the
universe, then [} ~ 0.2 using an average baryon fraction of 0.06 from big-bang
nucleosynthesis.
3 Recent Results from ROSAT, RXTE, ASCA, BeppoSax

on Cluster Magnetic Field
Recent broad band X-ray observations by BeppoSax have produced detections
of non-thermal emission for the Coma cluster (Fusco-Femiano et al. 1999) and
A2199, (Kaastra et al. 1999) while RXTE observations place tight upper limits
on non-thermal inverse Compton emission in the 0.7 - 20 keY range for A754
(Valinia et al. 1999), A1367 (Henriksen 2000) A2256 (Henriksen 1999), and the
Coma cluster (Rephaeli et al. 1999). These results are summarized in Table 2.
76 Mark Henriksen
Table 2. Magnetic Field Measurements
Cluster Non-Thermal Detection? Mission

J.LGauss
A754 No B >0.3 RXTE/ASCA

A1367 No B>1.1 RXTE/ASCA/ROSAT
A2199 Yes B < 0.073 SAX
A2199 No ROSAT
A2256 Yes < 0.05 SAX
A2256 No B > 0.36 RXTE/ASCA
A1656 No RXTE
A1656 Yes SAX
While differences in modeling of the thermal emission may be of some signif-

icance, for A2256 and Coma, the hard X-ray emission is detected up to 80 keY
with SAX which should be free of thermal emission. However, for both of these
clusters, the detected non-thermal X-ray component has a much flatter spec-
tral index than predicted from the radio assuming the X-ray emission is inverse
Compton. In addition, the RXTE observations of A754, A1367, and A2256 were
used to specifically constrain non-thermal X-ray emission produced via inverse-
Compton since the spectral index was fixed at the radio value. Accurate modeling
of the thermal emission resulted in no detection of non-thermal emission due to
inverse Compton and placed tight upperlimits on this component. Taken to-
gether with the SAX detections this implies that the non-thermal emission from
A2256 and SAX is produced by some process other than inverse-Compton. Also,
the spatial detection of non-thermal emission for A2199 (Kaastra et al. 1999)
requires a very small average magnetic field if due to inverse Compton (Kemp-
ner and Sarazin 1999). Such small fields are inconsistent with the typical cluster
fields derived from Faraday rotation studies (Kim, Tribble,& Kronberg 1991;
Clarke, Kronberg, & Bohringer 1999). This also implies that a different emission
mechanism than inverse Compton (Blasi 2000; Sarazin & Kempner 2000) may
produce the hard X-ray emission.
A1367 is a relatively cool cluster and non-thermal emission should be more
easily detected at high energy as the thermal continuum declines. Our analysis
combines the hard X-ray band where RXTE may detect the non-thermal emis-
sion directly with soft X-ray band where the non-thermal emission may also
appear and ROSAT and ASCA are most sensitive. Also, fitting different data
sets with the same models allows consistency checks between data and minimizes
errors due to poor calibration in any part of a single data set.
X-ray Clusters 77
4 RXTE Observations of A1367: The Best Case

A1367 is a nearby, cool cluster with an extended radio halo. The RXTE Pro-
portional Counter Array (PCA) observation of A1367 produced 28,848 seconds
worth of good data after standard filtering. The top layer of the PCA is used
where the signal-to-noise is highest giving a background subtracted count rate
of 15.44 ± 0.05 counts S-1 in the 2 - 20 keY energy band. The ASCA GIS
spectrum consists of 37,364 seconds of good data with a background subtracted
count rate of 0.86±0.0066 counts S-l in the 0.7- 10 keV band. Preparation of the
GIS spectrum and related calibration issues are discussed in detail in Henriksen
(1998) where these data were first used. The PSPC exposure is 18,745 seconds in
duration with a count rate of 2.2±0.01 counts S-l in the 0.4 - 2 keY band. The
ROSAT PSPC and GIS spectra are taken from the same region of the cluster,
chosen to include the radio halo region: a circle centered at (J2000) 11:44:57.55,
+19:41:46.95 with radius of 16'. The SIS data are not used to analyze the radio
halo region since the cluster region spans 4 CCD chips which grossly complicates
modeling the instrument spectral response.
5 The Magnetic Field in A1367

5.1 Calculation of 
The average magnetic field, , is calculated from the radio spectrum and the
X-ray flux upper limit using the equations in Henriksen (1998). This procedure
combines the expressions for the synchrotron flux and the Compton flux to
eliminate the relativistic electron density to obtain an expression which is also
independent of the size of the emitting region or the distance to the cluster. An
expression for the non-thermal X-ray flux (Fe) measured from galaxy clusters
with diffuse radio halos is given in terms of observable quantities in Eq. (1).
The diffuse radio emission comes from synchrotron emission and is observable in
several clusters, including the Coma cluster, A400, A754, A1367, A2255, A2256,
and A2319. The cosmic microwave background photons (CMBR) scatter off of
the relativistic electrons which supply the radio emission and emerge as X-rays,
Fe = K 2 (kT){p+5)/2 -{p+1)/2 A Jf.-{p-1)/2df.. (2)

K1
In Eq. (1), K 2 , K 1 are constants, p is the energy spectral index of the powerlaw
distribution of relativistic electrons, kT is the energy of the CMBR photons,
 is the average value of the magnetic field perpendicular to the line-of-
sight, and A is the normalization on the radio spectrum (Henriksen 1998a). The
energy band of the observed flux determines the integration limits of the integral.
The lower limit for the average halo magnetic field is 1.24 f.LG.
5.2 Calculation of the Central Magnetic Field

In this section, the radial profile of the cluster magnetic field is derived from
the average cluster field lower limit under the simplest assumptions: that the
78 Mark Henriksen
magnetic field is "frozen in" to the cluster gas distribution and spherically sym-
metric.
The calculated is an emission weighted average value. The radial
profile is calculated from,
- JB(r)dFe/drdr
- Fe . (3)
The radial magnetic field distribution is derived from the average distribution
by making an assumption about its distribution relative to the intracluster gas.
The relationship of the field and gas distribution is determined by the parameter
<5 using,
(4)
where n(r) is given by equation (2). The value of Be depends on the radial extent
of the magnetic field. The visible extent of the radio halo serves as a lower limit.
The integration limit then is the extent of the radio halo, '" 8'. A value of <5
= 2/3 is the case of a "frozen-in" field. What we find is that the central field,
Be for the halo is >3.25J.LG. This is consistent with fields of a few micro Gauss
found from Faraday Rotation studies of the cores of non-cooling flow clusters
(Clarke, Kronberg, and Bohringer 1999). It is straightforward to evaluate the
relative importance of magnetic and gas pressure across the cluster. The radial
dependence of the ratio of magnetic to gas pressure is given by
PB = PB,e (1 + (X)2)-¥(26-OY). (5)

Pg Pg,c
The central gas pressure is 2x10- 11 dynes cm- 2 while the central magnetic
field pressure >4.2 x 10- 13 . Cluster radial temperature profiles are typically char-
acterized by 'Y = 1.25 (Markevitch et al. 1998). For the parameters: (3 = 2/3,
8 = 2/3, and 'Y = 1.25, at 15 core radii ("-'3 Mpc, the non-thermal to thermal
pressure ratio has only increased by 46% from the central value. Thus, if the
true magnetic field would have to be 6 times higher than the lower limit derived
here to affect the dynamics of the atmosphere. In this case, the non-thermal flux
implied from the synchrotron-inverse Compton model is 74 times lower than
our upper limit; this should be detectable with the next generation hard X-ray
detector.
6 Discussion
X-ray measurements of cluster masses generally differ from those derived from
strong lensing by a factor of 2 to 3 in the cluster center (Ota et al. 1998),
(Fischer and Tyson 1997). On the other hand, comparison of the masses derived
from weak lensing, which extend the measurements out to larger radii, and those
from the X-ray claim good agreement in the case of A2163 (Squires et al. 1997).
However, the masses derived from the X-ray are very dependent on the gas
temperature profile, especially at large radius where the gas temperature profile
X-ray Clusters 79
may fall dramatically. Not properly accounting for this will give fortuitously
good agreement with the lensing mass.
The parameter, 13, is the ratio of the specific energy in the galaxies to that
in the gas (Cavaliere and Fusco-Femiano 1976). One can also determine 13 from
fitting the X-ray surface brightness profile; this extends the determination of 13
to larger radii. A value of 1 is typically measured in the central region using the
velocity dispersion of the galaxies and the gas temperature. A value of", 0.66
is typical of the value at large radius. The parameter 13 could be rewritten as,
13 "'v 2 j(kT + B 2 ) where T and v are constant in the isothermal model. Thus,
the increasing importance of the magnetic field (B) at large radius might give
the low value of 13 found at large radii. This observational discrepancy allows for
magnetic energy density to be significant in the some clusters at large radius.
Future studies which provide accurate measurements of the temperature pro-
file at large radii in the clusters that show weak lensing will be critical to inferring
the importance of magnetic fields in the pressure support of galaxy clusters. The
effect of non-thermal pressure support can be directly evaluated through com-
parison of the mass profile at larger radii derived from these observations and
those derived from weak lensing. Direct detection of non-thermal emission from
a dynamically important magnetic field may become possible with the next gen-
eration hard X-ray detectors.
7 Conclusions
Cluster baryons fractions are in the range of 20 - 30a low nmatter cosmology.
It is now time to test the basic assumptions of the method. For the condition
of equal gas and magnetic pressure at the cluster center, underestimation of the
cluster mass using standard techniques that only rely on the gas pressure may
be as low as ",30% (isothermal atmosphere) or as high as ",5 (adiabatic atmo-
sphere) for a frozen-in field. Moderate temperature gradients, with an average
polytropic index of 1.2 - 1.3, are typical of nearby clusters indicating that the
global estimate of n based on their baryon fraction could be critically underes-
timated for clusters.
For the best case, A1367 galaxy cluster, an increase in sensitivity of a factor
of ",74 is needed to detect the magnetic field if it is in pressure equilibrium with
the gas at large radius. Detection of these fields will be possible with future hard
X-ray missions such as INTEGRAL and Constellation X
References
1. Blasi, P., 2000, ApJ, 532, 9L
2. Cavaliere, A., Fusco-Femiano, R., X-rays from a Hot Plasm in Clusters of Galaxies,
AA, 49, 137, (1976).
3. Clarke, T., Kronberg, P., Bohringer, H., 1999, in "Diffuse Thermal and Relativistic
Plasma in Galaxy Clusters", eds. H. Bohringer, L. Feretti, and P. Schuecker, MPE
Report 271, pp. 82-86
80 Mark Henriksen
4. Fusco-Femiano, R., et aI., 1999, ApJ, 513L, 21

5. Fusco-Femiano, R., et al., 2000, ApJ, 534L, 7
6. Henriksen, M., 1998, PASJ, 50, 389
7. Henriksen, M., 19'99, ApJ, 511, 666
8. Ikebe, Y, Makishima, K., Ezawa, H., et al., Structure of the X-Ray-emitting Gas
in the Hydra A Cluster of Galaxies, ApJ, 481, 660, (1997).
9. Jones, C., Forman, W., 1999, ApJ, 511, 65
10. Kaastra, J., et aI., 1999, ApJ, 519L, 119
11. Kempner, J., Sarazin, C., 2000, ApJ, 530, 282
12. Markevitch, M., Forman, W., Sarazin, C., and Vikhlinin, A., The Temperature
Structure of 30 Nearby Clusters Observed With ASCA: Similarity of Temperature
Profiles, AJ, 503, 77, (1998)
13. Markevitch, M., Sarazin, C., and Irwin, J., ApJ, 472,17, (1996).
14. Matsuzawa, H., Matsuoka, M., Ikebe, Y, et al., Radial Distributions of the Tem-
perature and Metal Abundances in the Ophiucus Cluster of Galaxies, PASJ, 48,
565, (1996).
15. Rephaeli, Y, Gruber, D., Blanco, P., 1999, ApJ, 511L, 21
16. Sarazin, C., Kempner, J., 2000, ApJ, 533, 73
17. Squires, G., Neumann, D., and Kaiser, N., et al., AJ, 482, 648, (1997).
18. Tamura, T., Day, C., Fukazawa, Y, et al., PASJ, 48, 671
19. Valinia, A., Henriksen, M., Loewenstein, M., Roettiger, K., Mushotzky, R., and
Madjesky, G., 1999, ApJ, 515, 42
Can Dark Matter See Itself?
Steen Hannestad
NORDITA
Blegdamsvej 17
DK-2100 Copenhagen
Denmark
Abstract. Many independent high-resolution simulations of structure formation in

cold dark matter models show that galactic halos should have singular core profiles.
This is in stark contrast with observations of both low- and high-surface brightness
galaxies, which indicate that the dark matter has almost constant density in the central
parts of halos. Basically there are three possible avenues to a solution to the problem,
which we discuss in turn. Observations of halo profiles could be more uncertain than
previously thought, and higher resolution observations could reveal that spirals do have
a singular core feature. The highest resolution simulations do not include a baryonic
component, and it is conceivable that violent star formation processes and similar
phenomena can destroy the singular dark matter core and lead to an almost constant
density core profile. Finally, we discuss in more detail the intriguing possibility that the
discrepancy hints at some new exotic physics of the dark matter. Warm dark matter
and self-interacting dark matter are two of the most promising candidates.
1 Introduction
Dark matter seems to be a necessary ingredient for structure formation in the
universe [lJ. The standard hierarchical clustering model where the dark matter is
in the form of very non-relativistic, collisionless particles has been very successful
in explaining structure from galactic scales to the largest scale observable, that
of the cosmic microwave background radiation (CMBR) [1,2]. In the 1980s it was
realised that the fiat, pure CDM model produces too much small scale structure
if it is normalized on large scales [3]. Some modification of the model is needed,
and several possible avenues for this exist. The most popular model initially
was mixed dark matter [4], where some of the dark matter is made up of light
particles with large free streaming length. The prime candidate for these light
particles is a neutrino with a mass of a few eV. However, recent results from
Super-Kamiokande [5] and other neutrino oscillation experiments suggest that
the mass of the most massive neutrino is of the order 0.1 eV, far too small a
mass to be cosmologically significant. Thus, the mixed dark matter model is
currently disfavoured although perhaps not completely excluded. However, data
from type Ia supernovae at high redshift suggests that the energy density in the
universe is dominated by a cosmological constant [6,7]. This also dampens small
scale structure formation and can bring the CDM model into agreement with
observations without the need for hot dark matter.
Recently, however, a new problem for the CDM model has surfaced, having
to do with structure on galactic scales and below. Observations of spiral galaxies,
82 Steen Hannestad
both high and low surface brightness, suggest that the dark matter in spirals is
in the form of a halo with almost constant central density [8-12]. To a reasonable
approximation it can be described by a universal profile of the form [12]
(1)
where the central density, Po, and the core radius, TO, depend on the specific sys-
tem. However, numerical simulations of halo formation consistently show much
more singular core profiles. The first large scale study of CDM halo profiles,
with sufficient resolution to resolve galaxy sized halos, was that of Navarro,
Frenk and White [13], who found that the simulated CDM halos also follow a
universal profile
(2)
known as the NFW profile. Pcoc and T s are again parameters that are to be
fitted to individual systems. Close to the center this profile approaches p ex:
1
T- , in strong disagreement with observations. More recent simulations with
much higher resolution find an even steeper profile, approaching p ex: T- 3 / 2 [14-
17]. Furthermore, it has been claimed that these CDM simulations are now
of sufficiently high resolution that the results for the central halo profile have
converged to the infinite resolution limit.
In addition to this problem with the halo density profiles, observations show
that a galaxy like the Milky Way contains almost an order of magnitude fewer
small satellite galaxies than what is found in CDM simulations [18,19].
2 Possible solutions
This discrepancy between CDM simulations and observations of galaxies is so

serious that it needs to be investigated more closely, because it could indicate a
fundamental flaw in our understanding of structure formation and the nature of
dark matter. There are basically three possible ways to remedy the discrepancy,
which we shall discuss in turn.
2.1 Observational solutions
Until very recently, relatively little effort has been devoted to measuring reliable
rotation curves in the inner parts of low surface brightness (LSB) galaxies, the
reason being that the outer parts of the rotation curves are completely dom-
inated by dark matter, and thus hold important information about the total
dark matter mass in the halo. Even if there is a singular core in the halo, its
integrated mass is only a small fraction of the total halo mass. In that case,
high angular resolution in the central part of the galaxy is not an important is-
sue. Therefore observations of galactic rotation curves have primarily been made
Can dark matter see itself? 83
using observations of the 21cm neutral hydrogen hyperfine-structure line with

radio telescopes. These observations have the advantage that neutral hydrogen
systems extend further out in most galaxies than the visible light, meaning that
the halo structure can be mapped out to very large radii. If the total halo mass is
the parameter to be determined then this technique is indeed the best possible.
But because of the poor angular resolution of radio observations there are indeed
significant effects of beam-smearing in the measurements of the inner rotation
curves. Furthermore there is usually not much neutral hydrogen present within
the central kpc of a galaxy.
Recently it was pointed out by van den Bosch and Swaters [20) that taking
beam smearing into account increases the uncertainty in rotation curve mea-
surements by a significant amount. In fact it seems that some LSB galaxies are
consistent with having a cusp-like feature in the central halo, whereas others are
still best fitted by a constant density core. At present it is not clear how impor-
tant this beam-smearing effect really is, and other very recent studies reach the
opposite conclusion, that galaxy halos are best fitted by constant density cores
[11).
Instead of using radio observations to probe the inner parts of rotation curves
it may be more feasible to use observations of HI! regions instead of neutral hy-
drogen. These observations can be made with optical telescopes and in principle
have very high angular resolution. HI! is usually also very abundant in the cen-
tral parts of galaxies. One very recent study of HI! rotation curves by Swaters,
Madore and Trewhella [21] indicates that there could be cusps present, but on
the other hand they also do not rule out the constant density cores. Clearly,
better observational data from the inner parts of galaxies are needed, as well
as an increased understanding of the possible uncertainties involved in these
observations.
It is more difficult to imagine an observational solution to the substructure
problem. If small satellite galaxies were present in galactic halos in the numbers
predicted by CDM simulations they would doubtless have been detected. How-
ever, that conclusion assumes that their mass-to-light ratio is not too different
from ordinary galaxies. As will be discussed in the next section, it has been
proposed that small satellite galaxies are not seen, simply because they have
extremely large mass-to-light ratios.
2.2 Astrophysical solutions
CDM simulations with very high resolution (sufficient to resolve cores of galactic
halos) at present do not include baryons [18,17). The reason is both that the
computational demands for this type of simulation are very high, and that there
is no really reliable way of including star formation, supernovae and similar
small scale features in the baryonic component. Without such high resolution
simulations it is difficult to completely exclude the possibility that a proper
treatment of the baryons would cure the discrepancy between simulations and
observations.
84 Steen Hannestad
Several scenarios have in fact been proposed that try to remedy the prob-
lem by invoking baryonic features. As was mentioned in the last section, small
satellite galaxies would not have been detected if they contain very few stars.
Bullock, Kravtsov and Weinberg [22] have suggested that when the universe was
reionised at a redshift z ~ 5, accretion of baryons onto existing low mass dark
matter halos was almost completely halted. The presence of a strong ionising
radiation field stops formation of galaxies with velocity dispersion smaller than
:: 30 km/s, almost exactly the scale below which the discrepancy between the
predicted and observed number of systems becomes apparent. If this explanation
is true, then the prediction is that galactic halos contain a very large number
of dark matter clumps with very few stars in them. Such clumps could possibly
have disastrous effect on disk galaxies. It is well known that thin disks are un-
stable to heating by the frequent passage through the disk of massive objects,
whereas thick disks are more robust. At present it is not clear how the distribu-
tion of dark matter clumps predicted by CDM would affect disk galaxies, and
better simulations of this effect would be highly desirable.
It has also been proposed that tidal interactions between baryons and dark
matter in the central halo can erase the cusp-like feature seen in pure CDM
simulations [23]. In this scenario a singular CDM halo forms at high redshift
and starts accreting a baryonic disk. At some point a massive burst of star
formation and subsequent supernova events occurs, initiating a galactic wind
that can eventually carry off almost all gas present in the disk. If not too much
star formation has occurred prior to the wind formation, the total baryonic mass
carried off could be close to the total mass of the disk. This dramatically changes
the gravitational potential felt by the dark matter and the subsequent violent
relaxation can erase the singular core. After this event, the baryonic disk which
is observed in present day spirals is slowly accreted at lower redshift.
Even though this scenario seems plausible there are a number of serious
questions related to it. Firstly, preliminary results of galactic winds driven by
star formation show that almost all metals can be easily expelled from the galaxy
because of their high opacity [24,25]. This fits well with the fact that metals are
observed in abundance in the intergalactic medium at high redshift. However,
it seems impossible to expel a large fraction of the hydrogen, which makes up
most of the mass [24,25]. Thus it seems unlikely that the required amount of
baryons can be expelled from the galaxy by this initial burst of star formation.
Secondly, the hypothesis that most of the baryons remain in diffuse gas until
they are expelled is neither supported nor ruled out by present observations.
In order to determine if this is indeed the case, a better understanding of star
formation is needed.
Thus, the final conclusion is that a scenario where the problem is resolved by
properly taking into account interactions between baryons and the dark matter
cannot be ruled out at present. However, explaining the cusp problem requires
some fairly strong assumptions about the behaviour of the baryonic component
at high redshift.
2.3 Possible particle physics solutions

If the astrophysical or observational solutions turn out not to work, then the
only option we have left is to consider solutions from particle physics. Roughly
this type of solution can be divided up into two categories, those that derive
from physics at the epoch of initial power spectrum formation and those which
come from changing the physical properties of the dark matter particles.
The first type of solution is in a sense the simplest because it does not affect
physics during structure formation, only the initial conditions. The initial condi-
tion in this regard is the power spectrum of fluctuations from inflation. In order
to solve the substructure problem we need to dramatically reduce fluctuations
on scales smaller than a galaxy, or
k (M )1/3 (3)
1 Mpc- 1 ~5 1011 M(')
This could for instance be the case in inflationary models with broken scale
invariance, as was proposed by Kamionkowski and Liddle [26]. These authors
showed that the substructure problem could indeed be solved by this method.
However, the cusp problem is more serious. It has been shown in N-body CDM
simulations, with an artificial power spectrum cut-off introduced, that dark mat-
ter halos also have singular cores [17]. The reason for this is simply that in any
cold, collisionless collapse there is a large amount of material with very low
entropy (temperature). This material eventually ends up in the centers of grav-
itational wells, forming the singular cores observed in simulations. Thus, the
conclusion is that introducing a power spectrum cut-off does not remedy the
problem, it is a generic feature in any collisionless CDM structure formation
scenario, regardless of the initial conditions.
This leads us to consider the other possible solution which has to do with the
nature of the dark matter itself. A very interesting possibility was proposed by
Spergel and Steinhardt [27] (see also [28-34]), namely that the cold dark matter
could possess relatively strong self-interactions. If there are such self-interactions
they have significant effect on halo formation. For example substructure clumps
will be evaporated by interactions with the smooth dark matter halo background,
and could decrease the number of substructure halos to the observed level.
The maximum entropy state of any self-gravitating system is the singular
isothermal sphere, regardless of possible self-interactions. However, if the inter-
action cross-section has the right magnitude, collapse to a singular halo could
be prevented for a sufficiently long time that present day halos would not show
singular cores. It has been shown in numerical simulations [35-37] that a cross
section higher than
~ ~ 10- 23 - 10- 22 cm2 /GeV (4)
m
leads to quick core-collapse and formation of a singular core. On the other hand,
cross sections smaller than
(5)
86 Steen Hannestad
will not have an observable effect on structure formation. If the cross section is
fine-tuned to a value
(6)
the initial expansion of the halo core prior to collapse lasts more than a Hubble
time, so that present day halos could fit observations (see A. Burkert in this
volume for a more thorough discussion of this model). At present it is not entirely
clear whether the scattering cross-sections needed to explain the substructure
problem are the the same as are needed to explain the cusp problem. If this
turns out not to be the case, then self-interacting cold dark matter is certainly
disfavoured.
Another possibility which has received a lot of attention recently is that dark
matter is not completely cold, but has some thermal motion in the early universe
[38-42]. If the dark matter has thermal motion, any fluctuations are erased on
scales smaller than the free-streaming length [1]
kstreaming::: 1 Mpc- 1 (mil keV)3/4, (7)

for particles which are in a relativistically decoupled thermal distribution. In the
old hot dark matter model of structure formation, where the dark matter was in
the form of neutrinos with a mass of"" 30 eV, the free-streaming length would
be of order kstreaming ::: 0.05 Mpc- 1 , roughly the size of a large cluster. This
is clearly too large to fit large scale observations, but if the mass of the dark
matter particle is"" 1 keY, the free-streaming length is of the order kstreaming :::
1 - 2 Mpc- 1 , just what is needed to explain the substructure problem. At first
sight this "warm" dark matter (WDM) model [38-45] would seem to suffer from
the same problem as those with a power spectrum cut-off, namely that low
entropy material clusters in the central parts of halos and produce singular
cores. However, there is one vital difference between this model and CDM with
a power spectrum cut-off. The warm dark matter has finite temperature, which
implies that the phase-space distribution occupies a finite volume in momentum
space. On the other hand, the CDM distribution is by definition a J-function in
momentum space. A useful quantity describing this is the average phase space
density [38,39]
Q = _P_ { < 00 for WDM (8)
- (v 2)3/2 == 00 for CDM .
In an adiabatic collapse to a lowered isothermal sphere, the central halo density
can be crudely estimated as [38,39]
Po ::: Q(3al/ 2 { < 00 for WDM . (9)

== 00 for CDM
Thus, WDM halos are expected to have non-singular cores. However, the ques-
tion is whether the same WDM particle mass can solve both the substructure
problem and the cusp problem. From studies of galactic substructure, as well as
the Lyman-a forest [41] it has been concluded that mWDM ~ 750 eV in order to
fit observations.
To date no N-body simulation with sufficient resolution to tackle the WDM

effect on halo cores has been performed. We are therefore for the moment forced
to rely on crude estimates of the effect, such as Eq. (9). Hogan and Da1canton
[38,39] have estimated that the WDM mass should be mWDM ~ 200 - 300 eV
in order to produce the correct core radii for low surface brightness galaxies.
It therefore seems that the collisionless WDM model has difficulty in ex-
plaining both the substructure and the cusp problem (however, see also Ref.
[46]). However, it should not be immediately dismissed because whereas the es-
timate of the mass needed to reproduce substructure is probably quite accurate,
the estimate of the mass needed to resolve the cusp problem is at best a crude
guess.
If it turns out that collisionless WDM does not work then WDM with self-
interactions might [47]. Even relatively weak self-interactions will keep the WDM
distribution in pressure equilibrium until T « m in the early universe. In that
case the WDM particles cannot free-stream and perturbation on small scales
are not damped. However, the model does not resemble CDM either because
the pressure equilibrium prevent fluctuations smaller than the Jeans mass from
growing [48-50]. Since the Jeans length is almost a factor of 2 smaller than the
free streaming scale [47]
kJ ~ 1.7 m~~t Mpc- 1 (10)

3/4 1
kstream ~ 1.1 m keV Mpc- , (11)
we find that the mass needed to explain the substructure problem in this model
is only m ~ 300 - 400 eV, which is quite close to the mass needed to explain
finite cores.
3 Discussion
We have reviewed the nature of the apparent discrepancy between CDM simu-
lations of galactic halos and observations of spiral galaxies. In addition we have
discussed which possible solutions there are to this problem. The simplest pos-
sibility is that either observations or simulations are in error, but presently it
is not at all clear whether or not this is indeed the case. If it turns out that
the discrepancy persists even with better simulations and observations, the only
other solution is some additional particle physics. Merely changing the initial
power spectrum from inflation does not work, so the only option is that the dark
matter is not standard CDM. Both self-interacting CDM and warm dark matter
are intriguing possibilities, although at the moment these models have not been
sufficiently investigated to determine whether they work better than CDM. In
any case, the CDM problem on small scales has stirred a lot of interest recently
and is likely to do so in the future as well.
References
1. J. A. Peacock, "Cosmological physics", Cambridge University Press (1999).
88 Steen Hannestad
2. See for instance M. Gross et al., Mon. Not. R. Astron. Soc. 301, 81 (1998).
3. G. Efstathiou, W. J. Sutherland and S. J. Maddox, Nature 348, 705 (1990).
4. M. Davis, F. J. Summers and D. Schlegel, Nature 359, 393 (1992).
5. Y. Fukuda et al., Phys. Rev. Lett. 81, 1562 (1998).
6. A. GRiess et ai., Astron. J. 116,1009 (1998).
7. S. Perlmutter et ai., Astrophys. J. 517, 565 (1999).
8. W. J. G. de Blok and S. S. McGaugh, Mon. Not. R. Astron. Soc. 290, 533 (1997).
9. S. S. McGaugh and W. J. G. de Blok, Astrophys. J. 499,41 (1998).
10. T. E. Pickering et al., Astron. J. 114, 1858 (1997).
11. P. Salucci and A. Burkert, Astrophys. J. Lett. 537, 9 (2000).
12. A. Borriello and P. Salucci, astro-ph/0001082.
13. J. F. Navarro, C. S. Frenk and S. D. M. White, Astrophys. J. 462, 563 (1996).
14. R. Flores and J. R. Primack, Astrophys. J. Lett. 427, 1 (1994).
15. J. F. Navarro, astro-ph/9807084 (1998).
16. J. F. Navarro and M. Steinmetz, astro-ph/9908114 (1999).
17. B. Moore et al., Mon. Not. R. Astron. Soc. 310, 1147 (1999).
18. B. Moore et ai., Astrophys. J. Lett. 524, 19 (1999).
19. S. Ghigna et ai., astro-ph/9910166 (1999).
20. F. C. van den Bosch and R. A. Swaters, astro-ph/0006048.
21. R. A. Swaters, B. F. Madore and M. Trewhella, Astrophys. J. Lett. 531, 107 (2000).
22. J. S. Bullock, A. V. Kravtsov and D. H. Weinberg, astro-ph/0002214.
23. J. Binney, O. Gerhard and J. Silk, astro-ph/0003199.
24. M.-M. Mac Low and A. Ferrara, Astrophys. J. 513, 142 (1999).
25. A. D'Ercole and F. Brighenti, Mon. Not. R. Astron. Soc. 309, 941 (1999).
26. M. Kamionkowski and A. R. Liddle, Phys. Rev. Lett. 84, 4525 (2000).
27. D. N. Spergel and P. J. Steinhardt, Phys. Rev. Lett. 84, 3760 (2000).
28. S. Hannestad, astro-ph/9912558
29. A. Burkert, Astrophys. J. Lett. 534, 143 (2000).
30. C. Firmani et ai., Mon. Not. R. Astron. Soc. 315, 29 (2000).
31. N. Yoshida et ai., Astrophys. J. Lett. 535, 103 (2000).
32. B. Moore et ai., astro-ph/0002308 Astrophys. J. Lett. 535, 21 (2000).
33. J. P. Ostriker, astro-ph/9912548
34. J. Miralda-Escude, astro-ph/0002050
35. B. D. Wandelt et ai., astro-ph/0006344
36. R. Dave et ai., astro-ph/0006218
37. N. Yoshida et al., astro-ph/0006134
38. C. J. Hogan and J. J. Dalcanton, astro-ph/0002330.
39. J. J. Dalcanton and C. J. Hogan, astro-ph/0004381
40. J. Sommer-Larsen and A. Dolgov, astro-ph/9912166 (1999).
41. V. K. Narayanan, D. N. Spergel and R. Dave, astro-ph/0005095.
42. P. Colin, V. Avila-Reese and O. Valenzuela, astro-ph/0004115.
43. R. Schaefer and J. Silk, Astrophys. J. 332, 1 (1988).
44. S. Colombi, S. Dodelson and L. M. Widrow, Astrophys. J. 458, 1 (1996).
45. S. D. Burns, astro-ph/9711304.
46. J. Madsen, astro-ph/0006074.
47. S. Hannestad and R. J. Scherrer, Phys. Rev. D 62, 043522 (2000).
48. E. D. Carlson, M. E. Machanek and L. J. Hall, Astrophys. J. 398, 43 (1992).
49. M. E. Machacek, Astrophys. J. 431, 41 (1994).
50. A. A. de Laix, R. J. Scherrer and R. K. Schaefer, Astrophys. J. 452, 495 (1995).
Self-Interacting Cold Dark Matter Halos
Andreas Burkert
Max-Planck-Institut fur Astronomie,

Konigstuhl 17,
D-69117 Heidelberg,
Germany
Abstract. The evolution of halos consisting of weakly self-interacting dark matter

particles is summarized. The halos initially contain a central density cusp as predicted
by cosmological models. Weak self-interaction leads to the formation of an isothermal,
low-density core which is in agreement with published data on the rotation curves of
dwarf galaxies. However, subsequently, core collapse leads to an even steeper central
density cusp. In order to explain the observed dark matter rotation curves by weak
interaction, the cross section must be in a narrow range around a/m p ~ O.lcm 2 g- 1 .
1 Introduction
Standard cosmological models predict that structure formation in the universe is
dominated by a collisionless, gravitationally interacting, cold dark matter (CDM)
component. This theory has been very successfull in explaining the observed
large-scale structures which might not be very surprising given the fact that
large-scale structure formation is dominated by the initial power spectrum which
to some extent can be fine-tuned.
A more stringent test of the CDM scenario are non-linear dark matter struc-
tures, that is dark matter halos on galactic scales which have decoupled from
the expansion of the universe and have achieved a quasi-static virial equilibrium
state. The internal structure of virialized dark matter halos is a result of the
collisionless gravitation interaction of dark matter particles which go through
a phase of violent relaxation during the merging epoch. Cold dark matter ha-
los therefore provide interesting insight into the nature of dark matter and its
interactions and are to a lesser extent affected by the initial power spectrum.
Cosmological simulations (Navarro et al. 1997) have indeed shown that virial-
ized CDM halos are reasonably approximated by a universal density distribution,
which originates from the energy and angular momentum redistribution during
the relaxation phase and which is not sensitive to the chosen initial conditions.
However it recently has also become clear that on these scales the predictions of
CDM models are not in good agreement with several observations.
Recent very high resolution simulations (Klypin et al. 1999, Moore et al. 1999)
have confirmed the earlier claims by Navarro et al. (1997) that CDM halos are
singular near their center with a density profile that diverges as p""" r-"(, where
'Y ~ 1.5. Such cores appear inconsistent with published data on the rotation
curves of galaxies (Moore 1994, Flores & Primack 1994, Burkert 1995, Salucd
& Burkert 2000) although part of this inconsistency might be due to limitations
90 Andreas Burkert
of the data (van den Bosch & Swaters 2000). The calculations have also shown
that the predicted number and mass distribution of galaxies in galactic clusters is
consistent with the observations. However, on scales of the Local Group, roughly
one thousand dark halos are expected, whereas less than one hundred satellite
galaxies are observed. This disagreement can also be attributed partly to the high
central densities of dark halos which stabilize them against tidal disruption. Mo
et al. (1998) and lateron Navarro & Steinmetz (2000) found that CDM models
reproduce well the I-band Tully-Fisher slope between the rotational speed of
galactic disks and their luminosity. They fail however to match the zero-point.
Whereas galactic disks with rotation speeds of order 200 kmls have radial scale
lengths of order 3 kpc, the cosmological models predict scale lengths of 300
pc for the same rotational velocity. Again, this problem can be traced to the
excessive central concentrations of cold dark halos and their stability against
tidal disruption which allows satellite galaxies with an embedded gas component
to spiral into large CDM halos by this loosing 90% of their angular momentum
by dynamical friction before the gas finally decouples from its surrounding dark
component and settles into the equatorial plane.
Motivated by these problems, Spergel & Steinhardt (2000) proposed a finite
cross-section for elastic collisions for CDM particles, such that their mean free
path is short in halo cores but long in their outer parts. They suggested that
this model could alleviate many of the difficulties, if the cross section would be
of order (J. = (J Imp ~ 1cm 2 g- 1 .
The Spergel and Steinhard model has motivated a large number of follow-up
studies. For example, Ostriker (2000) demonstrated that weak self-interaction
would lead to the growth of massive black holes in the centers of galactic
spheroids through the accretion of dark matter. Miralda-Escude (2000) pointed
out that collisional dark matter might produce galaxy cluster which are rounder
than observed. Mo & Mao (2000) and Firmani et al. (2000) investigated the
effect of self-interaction on galactic rotation curves. Hogan & Dalcanton (2000)
considered how the structural properties of weakly self-interacting CDM halos
scale with their mass.
2 The Evolution of Weakly Self-Interacting Dark Halos
Detailed numerical simulations of individual dark matter halos have been pre-
sented by several authors. Moore et al. (2000) and Yoshida et al. (2000) simulated
cluster evolution in the fluid limit of very large interaction cross sections. In this
case, collisional dark matter produces even more cuspy profiles than collision-
less CDM, leading to poorer fits to published rotation curves. Burkert (2000)
and lateron Kochanek & White (2000) studied the secular evolution of virialized
dark matter halos for more realistic values of the collision cross section using a
Monte-Carlo approach.
If the mean free path is not very small compared to the length scale of the
system, dark matter cannot be treated as a collision dominated, hydrodynamical
fluid and the halos show a very complex evolution which is summarized in figure
Self-Interacting Cold Dark Matter Halos 91
0.6
Q. 0.5
gn b
-
0
0.4
-1
0.3
-2 -1.5 -1 -0.5 -2 -1.5 -1 -0.5 0 0.5
log r log r
0.8
0.7
...... ..............
.....
':' .....
~ --
Q. 0 "":~.
QO b 0.6 ".
o
'.:
.\/"
-1 0.5
-2 LL.L.L...L.J.....LJ....L..L.L.L.L...L.J.....LJ...L..J
0.4
-2 -1.5 -1 -0.5 -2 -1.5 -1 -0.5 0 0.5
log r log r
Fig. 1. The evolution of a weakly interacting CDM halo. The density distribution p(r)
and the 3-dimensional velocity dispersion a(r) in dimensionless unts are shown. The
upper panels show the phase of core expansion with the dashed line corresponding to
the initial state and the solid line to the state of maximum expansion. The lower panels
show the subsequent epoch of core collapse.
1. In this simulation the density distribution initially is characterised by a Hern-

quist profile (Hernquist 1990) which provides an excellent fit to the structure
of virialized, collisionless CDM halos with a central density cusp of p ,....., r- 1 .
Note, that the velocity dispersion profile has a maximum at the inversion radius
ri = O.33r s and decreases towards the center for r < rio r s is the scale radius of
the dark halo which is related to its virial radius r200 through the concentration
r s = r200/c with c ~ 16 for CDM halos. For the Hernquist profile ri = r s /3.
Figure 1 shows the evolution of the dark matter density distribution and the
velocity dispersion profile inside the core region. As a result of energy exchange
by weak interaction the kinetic temperature inversion leads to heat conduction
inwards. The central velocity dispersion increases with time and the core ex-
pands, resulting in a shallower density distribution. After a relaxation timescale
92 Andreas Burkert
Trel =2 (
(J.
~yn
M
200
/ 2
rs ) ~ 100Tdyn (
1
~
gem
-2 )-1 ( )-1
~
-k
pc
(1)
an isothermal, constant density core has formed with a radius that is of order
rio Subsequently, weak interactions between the kinematically hotter core and
the cooler envelope lead to a flow of kinetic energy outwards which causes the
isothermal core to contract and heat up further due to its specifc heat, starting
a core collapse phase. Detailed simulations by Kochanek & White (2000) have
shown that on a timescale of only a few Trel an even steeper 1/r 2 would form
again.
3 Conclusions
Observations indicate low-density cores in dwarf galaxies, in contrast to the pre-

dictions by cosmological simulations. Weak self-interaction of dark matter par-
ticles could solve this problem, leading to constant-density cores on the typical
age (100 Tdyn) of dwarf galaxies if (J. 2: 0.1 g cm- 2 • Cross sections much larger
than this value would lead to core collapse and to very steep core density pro-
files, in contradiction with the observations. Additional constraints are provided
from the studies of galaxy clusters. Miralda-Escude (2000) points out that too
many particle collisions would produce galaxy clusters which are rounder than
observed. More detailed calculations by Yoshida et al. (2000) demonstrate that
this constraint requires cross sections close to the minimum value that would
still alter the rotation curves in dwarf galaxies. Combined with other arguments
(Wandelt et al. 2000) this restricts the value of the weak interaction cross-section
to a narrow range around 0.1 g cm- 2 •
References
1. A. Burkert: ApJ, 447, L25 (1995)
2. A. Burkert: ApJ, 534, L143 (2000)
3. C. Firmani, E. D'Onghia, C. Avila-Reese, G. Chincarini, X. Hernandez: MNRAS,
315, 29 (2000)
4. R. Flores, J.R. Primack: ApJ, 427, Ll (1994)
5. L. Hernquist: ApJ, 356, 359 (1990)
6. C.J. Hogan, J.J. Da1canton: astro-ph/0002330 (2000)
7. A.A. Klypin, S. Gottlober, A.V. Kravtsov, A.M. Khokholov: ApJ 516, 530 (1999)
8. C.S. Kochanek, M. White: ApJ, 543, 514 (2000)
9. J. Miralda-Escude: astro-ph/0002050 (2000)
10. H.J. Mo, S. Mao, S.D.M. White: MNRAS, 295, 319 (1998)
11. H.J. Mo, S. Mao: MNRAS, 318, 163 (2000)
12. B. Moore: Nature, 370, 629 (1994)
13. B. Moore, S. Ghigna, F. Governato, G. Lake, T. Quinn, J. Stadel, P. Tozzi: ApJ
524, L19 (1999)
14. J. Navarro, C. Frenk, S.D.M White: ApJ 490, 493 (1997)
15. J. Navarro, M. Steinmetz: ApJ, 538, 477 (2000)
Self-Interacting Cold Dark Matter Halos 93
16. J.P. Ostriker: Phys. Rev. Lett., 84, 3760 (2000)

17. P. Salucci, A. Burkert: ApJ 537, L9 (2000)
18. D.N. Spergel, P.J. Steinhardt: Phys. Rev. Lett., 84, 3760 (2000)
19. F.C. van den Bosch, R.A. Swaters: astro-ph/0006048 (2000)
20. B.D. Wandelt, R. Dave, G.R. Farrar, P.C. McGuire, D.N. Spergel, P.J. Steinhardt:
astro-ph/0006344 (2000)
21. N. Yoshida, V. Springel, S.D.M. White, G. Tormen: ApJ, 535, L103 (2000)
Part II
Cosmology and the Early Universe

Evidence for Dark Energy
from a Study of Type Ia Supernovae!
Gerson Goldhaber? for the Supernova Cosmology Project3
Institute for Nuclear and Particle Astrophysics, Lawrence Berkeley National

Laboratory, Center for Particle Astrophysics, University of California at Berkeley,
Berkeley, California 94720, USA
Abstract. Type la supernovae have been observed to be very good "Standard Can-
dles" after suitable calibration. In the Supernova Cosmology Project we have observed
over 80 such distant supernovae with redshifts between 0.18 and 1.2. In a study of 42
of these supernovae and comparison with 18 "near by" supernovae we have obtained
evidence that at the present epoch the expansion of the universe is accelerating. This
implies the presence of a positive cosmological constant or perhaps some other form
of "Dark Energy". Our data are strongly inconsistent with the previously preferred
cosmology with {]M = 1 and {]A = O. I show that a time stretching or contracting
parameter, s, alows a single "composite" curve to fit all the SNe for 0.3 < z < 0.7
as well as the nearby SNe. I also give a direct test that the red-shift is due to the
expansion of the universe rather than some other process, such as "tired light". I will
also briefly describe the plans of the SNAP collaboration4 to design, build and launch
a satellite. The aim is to discover and critically measure 2000 SNe per year with red-
shifts from 0.1 to 1.7 to tightly controll systematics. For example SNAP will allow us
to explore possible effects due to "grey" dust and/or evolution on our measurements.
Highlights are a 2 meter mirror and a one square degree field of view involving about
150 high resistivity CCD's and 3-arm spectrometer covering the region from near-UV
to near-IR.
1 This work was supported in part by the United States Department of Energy, con-
tract numbers DE-AC03-76SF00098, CfPA, and NSF contract number AST-9120005
2 Talk presented at NATO 2000, Cascais, Portugal, June 26 to July 7 2000, and at
DARK2000 Heidelberg, Germany, July 10 - 16, 2000. gerson@lbl.gov
3 G. Aldering a , A. Conleya, S. Deustuaa , S. Fabbro d , R.S. Ellis b , A. Fruchter9 , G.
Goldhaber a , A. Goobarh, D.E. Groom a , I.M. Hooki , M. Irvine, A.G. Kim j , M.Y.
Kim a , R.A. Knopa, R.G. McMahon e, C. Lidmano, P. Nugent a R. Pain d , C.R.
Pennypacker a , S. Perlmuttera , P. Ruiz-Lapuente k , B. Schaeferl and N. Waltonm . (a)
LBNL Berkeley California, (b) California Inst. of Technology, Pasadena, California,
(d) LPNHE, CNRS-IN2P3, University of Paris VI & VII, (e) Institute of Astronomy,
Cambridge U.K., (I) Dept. of Astronomy, Univ. of California, Berkeley, (g) Space
Telescope Science Inst., Baltimore, Maryland, (h) Dept of Physics, Stockholm Univ.,
Sweden, (i) Inst. of Astronomy, Univ. of Edinburgh U.K., (j) L.P.C.C. College de
France, Paris, (k) Dept. of Astronomy, Univ. of Barcelona, Spain, (l) Dept.of As-
tronomy, Yale Univ., New Haven Connecticut, (m) Isaac Newton Group, La Palma,
Spain, (0) ESO, La Scilla, Chile
98 G. Goldhaber
1 Introduction
When Einstein applied his General Theory of Relativity (1916) to study the dy-
namics of the Universe, the Univerese itself was assumed to be static. To obtain
such a static Universe Einstein had to introduce a repulsive force corresponding
to a "cosmological constant", A = 81rPvac, to compensate for the gravitational
attraction of the matter in the universe. Later, when Hubble discovered that
the universe was actually expanding (1929), Einstein called the cosmological
constant "his greatest blunder." All the same, since A is consistent with Ein-
stein's theory one need not assume that A = O. Thus the value of A becomes
an experimental question. Here {lAthe vacuum energy density, is given by {lA
= A/(3H6) and {lM = 81rGpM /(3H6) is the matter density of the universe. In
our current study we make a simoultaneous measurement of {lM and {lA which
is particularly sensitive to their difference. When we started out with this study
twelve years ago we were planning to measure the deceleration of the universe
qo. On the then prevalent assumption (prejudice) that {lA = 0 we expected a
positive deceleration of the universe due to the matter density. With our present
observations we find, to a high probability P(A > 0) > 99%, that qo is actually
negative, corresponding to an acceleration of the expansion of the universe!
There is good evidence that Type Ia supernovae (SNe Ia), the brightest of
all the different types of SNe, can be calibrated to have a standard brightness.
A plausible explanation for this behavior is that SNe Ia are the consequence of
the explosion of a white dwarf star as it approaches a critical mass, of 1.4 solar
masses, the Chandrasekhar limit.
In this talk I will discuss the past, present and future applications of Type
Ia SNe to the determination of cosmological parameters.
2 Past Results: the Observation of Dark Energy
Last year we published a paper, Perlmutter et al.[l], giving the analysis of 42

high redshift, 0.18 < z < 0.83, SNe compared with 18 low redshift SNe from the
Calan/Tololo [2,3] study for z < 0.11. This SCP result gave compelling evidence
for a positive cosmological constant A or some other form of Dark Energy and
was presented in preliminary form by Saul Perlmutter at the Jan 8,1998 meeting
of the AAS in Washington D.C.[4,5]. A similar result, by the "Hi-z Team", based
on 16 high redshift and 27 low redshift SNe was presented in preliminary form at
4 Curtis D., Goldhaber G., Graham J., Harris S., Harvey P., Heetderks H., Kim A.,
Lampton M., Lin R, Pankow D., Pennypacker C., Spadafora A., Smoot G., VC
Berkeley. Aldering G., Deustua S., Edwards W., Frye B., Groom D., Holland S.,
Kasen D., Knop R, Lafever R, Levi M., Nugent P., Perlmutter S., Robinson K.,
LBNL. Astier P., Genat J.,F. Hardin D., Levy J-., M. Pain R, Schamahneche K.,
IN2P3. Baden A., Goodman J., Sullivan G., V.Maryland. Ellis R., Metzger M., Cal-
Tech. Huterer D., V.Chicago. Fruchter A., STScI. C., Bebek Cornell V., Bergstrom
L., Goobar A., V., Stockholm. Lidman C., ESO. Rich J., CEA/DAPNIA. Mourao
A., Inst., Superior Tecnico,Lisbon.
Evidence for Dark Energy from a Study of Type Ia Supernovae 99
the Dark Matter 1998 conference by Alexei Filippenko on Feb 17 1998 at Marina
del Rey California [6]. Riess et al.[7] published their final results.
In the data analysis [I] the lightcurve points, measured in flux for each SN,
are fitted to R-band template lightcurves using the nonlinear fitting program
MINUIT. The function
(1)
is fitted to the data by adjusting the intensity I max at maximum light, the time
of maximum t ma,,, the stretch factor 8 (discussed below), so that the product
W == 8(1 +z) scales the template time axis, and a baseline level, b whose amplitude
is found to be < 0.02 and allows for small corrections in the background galaxy
subtraction. The function fR is a B-band template (FB(t)) K-corrected to the
R-band for the given redshift z and renormalized to unity at light maximum:
fR(O) = 1.
2.1 The K-Corrections

We compare our photometry measurements to nearby SN light curves measured
with a blue filter. Because of the large redshift, the spectral features captured
in the blue filter appear in the "red." We thus carry out our measurements with
a red filter and then translate our measurements into the blue. This correction
is called a cross filter K -correction. The transmission function of the two filters
is dependant of the epoch on the light curve and the stretch. The procedure
modifies the light curve template to allow for differences in the portion of the
spectrum captured by each filter [8,9] .
2.2 The Stetch Factor

The stretch factor we have introduced [10,11] distinguishes between SNe of differ-
ent instrinsic light curve width. The stretch factor, 8, accomplishes what Phillips
[12] introduced as Llm15 and Riess [13,14] as the MLCS method. All three meth-
ods give a means of characterizing the individual Type Ia SNe and most impor-
tantly showed a clear correlation with I max . The wider SNe, s > 1, are brighter
while the narrower SNe, 8 < 1, are dimmer. The important point is that this
effect can be corrected and reduces the scatter in I max to 0.17 magnitudes. We
have used this feature in the calibration of our "standard candles", I want to
stress however that our result is not dependent on this correction. We have
also reconstructed Figs 1 and 2 without the stretch correction. This gives larger
scatter of the data points but does not change the conclusion (see [1]).
2.3 The Observations

The phenomenon we observed is that the SNe are dimmer than expected for
their measured redshift assuming an {}M = 1 and {}A = 0, universe, or even
an {}M = 0.3, {}A = 0 universe. This implies that the SNe are more distant
100 G. Goldhaber
than expected and hence the expansion of the universe has undergone some
acceleration. Very recent results from the BOOMERANG and MAXIMA balloon
experiments analyzing new maps of the CMB anisotropy give strong evidence
for a flat universe atotal = aM + aA= 1 with an uncertainty of ±0.1 [15,16].
f'J
That result combined with galaxy cluster measurements [17], which indicate
aM 0.2 - 0.3 gives a strong confirmation of the evidence for aA > o. Our
f'J
best fit for a flat cosmology corresponds to aM = 0.28 ~tg~ (statistical) ~g:g~
(systematic). Or in round numbers aM = 0.3 and aA = 0.7 .
Figure 1 gives the Hubble plot for our SCP results, indicating the strong
preference for the above solution. The high z data points concentrate between
the curves labeled aM = 0 and 0.5 for a flat universe.
Figure 2 shows the aM, aAplane together with our best fit solution at the
68% to 99% confidence levels.
Figure 3 gives a compilation of the SN data together with the CMB anisotropy
data and the galaxy cluster data showing clear concordance between the vari-
ous different experiments This concordance gives a clear confirmation of the SN
result of a positive A.
3 Present Results: a Unique Composite Lightcurve

One aspect of Type Ia SNe I have been working on is illustrated here. In this
study we concentrate on 35 of the 42 SNe with 0.3 < z < 0.7.
We now introduce the concept of a "composite light-curve", an adjustment
of the time axis for each SN such that all the low-z and high-z data points can
be plotted on a single curve. To study the light-curve data in composite form, a
further step is added to the procedure of [1]: After the time of maximum t max ,
the maximum intensity I max and the stretch factor for each SN is obtained from
the fit, the procedure is reversed, in this case K-correcting the individual R-band
data points to points in the equivalent rest-frame B band. We finally divide by
the factor s x (1 + z) to bring all the SNe into their restframe and to s = 1 .
This composite curve is illustrated in Figure 4.
From the composite lightcurve we obtain several results:
• Both the high redshift and low redshift SNe fit the same uniqe lightcurve.
• The stretch factor, s, describes all the data from -10 days to ~ 25 days as
well as any parametrization can with the present data.
• Type Ia supernovae act as macroscopic clocks at cosmological distances. The
time broadening factor 1 + z, which was applied to each point of each SN,
shows clearly that the redshift can be explained by an expanding universe,
rather then some other explanation such as "tired light" [18,19,20].
The data discussed here shows that while Llm15 applies to the first 15 days
after maximum light [12], the falling part of the light curve, our stretch factor s
applies to both the rising and falling portions [20]. So far the theoretical analysis
of the Type Ia SN explosion mechanism has not yet explained why the same
factor s applies to both portions of the light curve (see for example [21,22,23)).
14 L.:....-.L..---'---...L.-...L---'---'--'---'---'----'-----'----'----'-----"'---'_'--"---'---.............
1.5
«l 1.0
::s
~ 0.5
~~-0.5
0.0 ~~~F=::=:t!!~"!!~1~~=!==!:==]~g:2 , gj72)
E_ 1 .0 (b) (I, 0)
-1.5L- ~ ~ ~ ~ _J
g 6
'.::1 4 1- <>- -
eu
.;;: 2iU...: o ···o···································o·····... ····...•.......................................-
.g a 0:Bo_ •, Y.~ •• ••
'0 kl.«>" .: •• .'7. • . • • •
:ii -2 ~ o······························o·· ···· .. · .. ·····~ .. ~ -
'0
C -41-·· .. ············· ..···· ..·····..·· ..·..·················· -
19 -6 (c)
'" 0.0 0.2 0.4 0.6 0.8 1.0
redshift Z
Fig. 1. (a) Hubble diagram for 42 high-redshift SNe Ia from the Supernova Cosmology
Project, and 18 low-redshift SNe Ia from the Calan/Tololo Supernova Survey, after
correcting both sets for the SN Ia lightcurve width-luminosity relation. The inner error
bars show the uncertainty due to measurement errors, while the outer error bars show
the total uncertainty when the intrinsic luminosity dispersion, 0.17 mag, of lightcurve-
width-corrected SNe Ia is added in quadrature. The unfilled circles indicate supernovae
not included in Fit C. The solid curves are the theoretical mBffective(z) for a range of
cosmological models with zero cosmological constant as indicated on the figure. (b) The
magnitude residuals from the best-fit flat cosmology for the Fit C supernova subset,
(.aM, .aA) = (0.28,0.72). The curves are for a range of flat cosmological models as
indicated on the figure. (c) The uncertainty-normalized residuals from the best-fit flat
cosmology for the Fit C supernova subset, (.aM, .aA) = (0.28,0.72).
102 G. Goldhaber
3
No Big Bang 99%
I/l"
95:
1
<
c: /
C'/,
0.r.
<2 t'Q"
-1 Ckl q"
~I)
0 1 2 3
nM
Fig. 2. The 68%, 90%, 95%, and 99% confidence regions in the !2M-!2A plane from Perl-
mutter et al. (6) (see this reference for details of the fit procedure). (The table of this two-
dimensional probability distribution is available at http://www-supernova.lbl.gov/.) In
cosmologies above the near-horizontal line the universe will expand forever, while below
this line the expansion of the universe will eventually come to a halt and recollapse.
This line is not quite horizontal because at very high mass density there is a region
where the mass density can bring the expansion to a halt before the scale of the uni-
verse is big enough that the mass density is dilute with respect to the cosmological
constant energy density. The upper-left shaded region, labeled "no big bang," repre-
sents "bouncing universe" cosmologies with no big bang in the past.The lower right
shaded region corresponds to a universe that is younger than the oldest heavy elements,
for any value of H o ;::: 50 km S-l Mpc- 1 .
4 The Future
4.1 Residual Points Which Need Clarification
• Why Now?
Our results indicate that we live in the epoch - give or take a few billion years
- during which the mass density of the universe has decreased sufficiently so
that the Dark Energy density, if taken as constant, now dominates.
f~:~supernovae
Y
~
'en
c: 'E
<d
Q) iii
"0 c: 1 SNAP
>-8 ~ Target Statistical Uncertainty
e>-
Q) rl
c: .- .CMS
Q) 8' . 800meran
E ~
~
a
<Il
~
(.)
l'G ~
>
Clusters
-1
a 2 3
mass density
Fig. 3. The flM, flA plane, showing the concordance between three types of experi-
ments. The SCP SNe Ia region with the CMB supperimposed, stradling the diagonal
line for a flat universe and the near vertical band corresponding to cluster data. The
small elipses in the triple overlap region represents the expected result after 2000 SNe
have been measured with SNAP
• What Causes the Dark Energy?

In particle physics, A is associated with the energy density of the vacuum.
That is, the energy density of all the different virtual particle pairs. The
trouble with this explanation is that the vacuum energy density is too large
by a factor of 10 120 . The usual assumption has been that since the universe,
as we know it, could not exist with such an enormous value, one has accepted
without explanation that A = O. A small positive value of A as observed from
the SNe data is causing severe theorectical problems. One suggested solution
is that there exists a new force, quintessence [24] with an effective negative
pressure that gives rise to the observed repulsion. Quintessence could be
constant, or change with time (z), or even track the mass density.
• Grey dust.
Since our principal effect is that our distant SNe are dimmer than expected,
could that be caused by dust? This cannot be ordinary dust as that would
absorb the blue end of the SNe spectrum more than the red end, which
104 G. Goldhaber
1.2
1.0
~ 0.8
I;:l
-c
....
Q)
N
0.6
'iil
El
Z'"'
0 0.4
0.2
0.0
0.2
....§ 0.1
.~ 0.0
Q -0.1
-0.2
§ 0.1
".i3
'S 0.0
Q -0.1
0.2
_ _ _. .
(c)
~ __-----..J.--
-0.2
-40 -20 a 20 40 60
Rest system days from peak.
Fig. 4. (a) The composite light curve and template for 35 SCP SNe (solid circles) and
18 (CalanjTololo) SNe (solid squares). Here each point (i) from each of the SNe has
been divided by 1 + Zi and by the stretch factor Si. The data points shown have been
averaged over all the SNe for each day relative to maximum light for the two data sets.
(b) Residuals for the SCP photometry fits to a template, see reference 10. The epoch,
between -40 and -20 days, has no SN signal. The large scatter observed comes from the
reference images which have shorter exposures and hence larger errors. (c) Residuals
for the CalanjTololo photometry fits to the template.
is contrary to our observations. The suggestion is that grey dust [25] could
take the form of carbon needles. There is some evidence from infrared studies
against such a suggestion. The measurement of about 10 SNe with Z > 1
could resolve this problem. So far we have 1 SN at Z = 1.2. At this redshift,
we are so far back in time, about 9 billion years, that the effect of a A was
negligible compared to aM. The Hubble curves for aM = 0.3 and aA = 0.7
begin to merge with aM = 0.3 and aA= 0 near z = 1.2 On the other hand,
if grey dust were responsible for the effect we observe, the curve for grey
dust would move further apart - a clear clean difference.
• Evolution.
Could the SNe occuring in the early universe be different - in particular be
dimmer - than present day SNe? Here again the region of z ~ 1.2 is crucial
in answering this question. If evolution were responsible for the effect we
observe at z ~ 0.5, then as we look back to a much earlier time, at z ~ 1.2,
this effect should be even larger. Thus here again, as in the above item, the
curve for evolution would move appart from the curve due to ilM = 0.3 and
ilA = 0.7.
How can we proceed?
Observatory Concept Design
Solar P.neh
Sun Shl.1d (not ahown)
KLI Blanket (not ahovn)
Sun Posltlon S.n.sor. (nc~ .hown)
Trus. Array
ceo Radiat.or
React.lon eel A.ael
Antennas
Trillo.ponder
Sat-teries
Telescope Mass M ory Unl t
Baffles Spacecuft. Control'
SP4CC Frllce Pover Control Unit.
~ct.erinl)Struct.ur
L19ht Sh leldo
.,
GlqilCl.m
IP. Im.ger 12 x O.S lbt .nqtn••
FIlters 1 x 5.0 lbC covine
spect.roqca.ph. 3 x 41 CIl'l diameter tal
Guiders Control.
Star Tracker
eyro Assembly
Fig. 5. A sketch of the preliminary designs for the SNAP Observatory
4.2 SNAP the SuperNova Acceleration Probe
Our proposal is to build a 2 m telescope, with a one square degree CCD camera
as well as 3 spectrometers from 0.3 to 1.7 J.Lm on a satellite - SNAP - the
SuperNova Acceleration Probe.
The SNAP proposal is spelled out in detail at http://snap.lbl.gov and in
reference [26]. Fig. 5 shows a preliminary design for SNAP
Aside from SNAP in the interim, before SNAP will be constructed, we also
plan a concentrated search and measurement of nearby SNe, a " Supernova
Factory" .
106 G. Goldhaber
1. 00 1TTTTTTT'TTTTl'TTTTTI"TTTT'I"I"TTTT'I"TTTT\'TT'\'TTTTTTTTTT"""""'TTTTTTTTTTTTTTTTTTTTTTTTTTTTn"ITTTT'T"lTTTT'TTTTn
UCBCCD .
0.80 data
model
0.60
0.40
0.20
O.
200 400 600 800 1000 1200
Wavelength (nm)
Fig. 6. Berkeley LBNL CCD Efficiency curve together with some other CCD's.
B-band Lightcurue Photometry for z = 0.8 Type fa
Fig. 7. SNe Type Ia light curve showing features SNAP will concentrate on.
Type Ia Spectral Features
..... - Type Ia Signature

- Kinetic Energy Signature
_Metallicity Indicators
co
- Luminosity Indicators
...,~ 0
c...
'tl ~
.......,
Q)
t-l 0
tl
E0
0
~
~
C\l
0
c
<:::i
0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Wavelength (J.Lm)
Fig. 8. Maximum light spectrum synthesis models of W7 (deflagration model by

Nomoto et al. 1984 see [27]) with varying metalicities which SNAP should be able
to measure.
The arguments are very convincing that the SNAP satellite, which is cur-
rently being designed with Saul Perlmutter as PI and Michael Levi as Co-PI
can resolve the above experimental questions. In addition SNAP should be able,
in one to three years of operation, to identify the nature and time dependence
of the dark energy. The data gathering method currently envisioned, of visiting
the same 20 square degree area every few days with the 1 square degree CCD
camera, with 1 billion pixels, ensures both SN discoveries and followup. Fig.
6 shows the efficiency curve for the new LBL high resistivity CCD's. Working
from a satellite ensures that the morphological type of galaxy, in which the SN
occurs, can be identified, as we have shown with HST images. The idea is then to
compare SNe in nearby galaxies (our reference SNe) with the distant SNe in the
same type of galaxy. This should reduce possible systematic evolution effects. In
general this galaxy identification is not possible with ground based telescopes.
This method should also allow SN discovery within 2 days from the explosion
yielding the early light curve which together with the late lightcurve (after 80
days) can supply information in addition to stretch for the calibration of the
standard candle. Fig. 7 shows the Type Ia SN light curve with emphasis on
what can be learned from the various epochs.
Evidence for grey dust should already have shown up in various infrared
measurements such as SCUBA, but where not seen. SNAP by going up to SNe
with a redshift of 1. 7 will readily distiguish between grey dust or evolution effects
and dark energy. The former two effects (if present) are expected to continue to
108 G. Goldhaber
increase with redshift while dark energy becomes negligible in the early matter
dominated universe.
The three-arm spectrometers envisioned for SNAP can provide accurate spec-
tra at serveral epochs during the life of the SNe. The near-UV spectrum is a
probe of metalicity of the SN. Specific line ratios (in addition to stretch) can
further calibrate the standard candle and probe for possible evoltionary effects.
Fig. 8 shows the UV spectral region sensitive to metalicity and the location of
the interesting line ratios.
We all know what a tremendous source of information the Hubble Deep
Fields (HDF) are. Well, SNAP with the repeated visiting of the same 20 square
degrees will cover an area about 1000 times greater then the HDF, and in a year's
operation will go about 2 magnitudes deeper. An enormous wealth of data for
the entire astronomical community!
Study groups have already started to investigate how SNAP can obtain much
more detailed information on gravitational lensing then ground based telescopes
as well as how Type II SNe can be utilized in a complementary way to Type Ia
for distance determinations.
After the first three years of dedicated operation the astronomical community
should be able to utilize SNAP to answer a wider range of problems. By that
time SNAP may be the only optical telescope in space and thus very valuable
to the entire community.
References
1. Perlmutter, S., et aI. 1999. Ap.J.,
2. Hamuy, M., et aI. 1993b. A.J. 106:2392
3. Hamuy, M., Phillips, M. M., Maza, J., Suntzeff, N.R, Schommer, R., & Aviles, R.
1995. Ap.J., 109:1
4. Perlmutter, S., et aI. 1998b. Ap.J., LBL-42230: "Presentation at the Jan-
uary 1998 Meeting of the American Astronomical Society," available at www-
supernova.LBL.gov and astro-ph; referenced in B.A.A.S., vol. 29, p. 1351 (1997).
5. Goldhaber, G. & Perlmutter, S. "Sources and Detection of Dark Matter in the
Universe" Elsevier, 1998, Cline, D. R, Editor, Physics Reports 307, 325
6. Filippenko, A., & Riess, A. "Sources and Detection of Dark Matter in the Universe"
Elsevier, 1998, Cline, D. B., Editor, Physics Reports 307, 31
7. Riess, A. G., et al. 1998, ApJ, 116, 1009
8. Kim, A., Goobar A., & Perlmutter S. 1996. P.A.S.P., 108:190.
9. Nugent, P., Kim, A., & Perlmutter, S. 2001. P.A.S.P., in preparation.
10. Perlmutter, S., et al. Presentations at the NATO ASI in Aiguablava, Spain, LBL-
38400, page 1.1; also published in Thermonuclear Supernova, P. Ruiz-Lapuente,
R. Canal, and J.Isern, editors, Dordrecht: Kluwer, page 749 (1997)
11. Perlmutter, S., et al. 1997. Ap.J., 483,565 .
12. Phillips, M. M. 1993. Ap.J., 413, L105.
13. Riess, A. G., Press, W. H., & Kirshner, R. P. 1995, ApJ, 438, L17
14. iess, A. G., Press, W. H., & Kirshner, R. P. 1996, ApJ, 473, 88
15. de Bernardis, P. 2000, astro-ph0011468
16. Hanany, S., et aI. 2000, astro-phOO05123
17. Bahcall, N. A.,Fan, X., & Cen, R. 1997,ApJ 485, L53

18. Goldhaber, G., et al. 1995. In Presentations at the NATO ASI in Aiguablava,
Spain, LB1-38400, page 11I.1; also published in Thermonuclear Supernova, P. Ruiz-
Lapuente, R. Canal, and J.Isern, editors, Dordrecht: Kluwer, page 777 (1997)
19. Leibundgut, B., et al. 1996. Ap.J. Lett., 466,L21 .
20. Goldhaber, G., Groom, D. E., Kim, A. et al. 2001, ApJ in preparation
21. Arnett, W. D. 1999, astro-ph/990903
22. Hoflich, P., & Khokhlov, A. M. 1996, ApJ, 457, 500
23. Hillebrandt W., & Niemeyer J. C., 2000, A R A & A in press (astro-ph/0006305)
24. Caldwell, R., Dave, R. & Steinhardt, P. J., 1998, Phys. Rev. Lett. 80,1582
25. Aguirre, A. N. 1999, ApJ 512, L19, and Aguirre, A. N. & Haiman, Z. 1999, astro-ph
9907039
26. Aldering, G., et al. 2001, P.A.P.S. in preparation
27. Nomoto, K. Thielman, F. & Yoki, K. 1984, ApJ,286, 644 ,
On the Mystery
of the Cosmic Vacuum Energy Density
Norbert Straumann
Institute of Theoretical Physics, University of Zurich

Winterthurertrasse, 190 - 8057 Zurich (Switzerland)
Abstract. After a short history of the A-term it is explained why the (effective)
cosmological constant is expected to obtain contributions from short-distance physics,
corresponding to an energy at least as large as the Fermi scale. The actual tiny value of
the cosmological constant by particle physics standards represents, therefore, one of the
deepest mysteries of present-day fundamental physics. Recent proposals of an approach
to the cosmological constant problem which make use of (large) extra dimensions are
briefly discussed. Cosmological models with a dynamical A, which attempt to avoid
the disturbing cosmic coincidence problem, are also reviewed.
1 Introduction
Several talks during this meeting will be devoted to the cosmological constant
problem. If I understand correctly, the organizers expect from me that I explain
in simple terms that we are indeed facing a profound mystery.
Before the new astronomical evidence for a positive (effective) cosmological
constant (reviewed by other speakers), one could at least hope that one day we
might have an understanding of a vanishing cosmological constant, and there
had been some interesting - although unsuccessful - attempts in this direction
(for a review see [1]). But now the situation is even more disturbing. We are
actually confronted with two quite distinct problems.
The first is the old mystery: why is the vacuum energy density so small ?
Many theoreticians are aware of this since a long time, at least those who wonder
about the role of gravity among the fundamental interactions. The second is
appropriably called the cosmic coincidence problem: since the vacuum energy
density is constant in time (at least shortly after the big bang), while the matter
energy density decreases as the universe expands, it is more than surprising
that the two are comparable just at the present time, while their ratio has been
tiny in the early Universe. This led to the idea that the effective cosmological
constant we observe today is actually a dynamical quantity, varying with time
(Ch. Wetterich will talk on this).
Before I am trying to explain why the actual smallness of the cosmological
constant is indeed a great mystery for fundamental physics, I begin with some
of the history of the A-term, which is quite interesting (this history may also be
considered as a warning to over-enthusiastic cosmologists, who believe that the
solution of great problems in cosmology lies just around the corner).
Norbert Straumann 111
2 On the History of the A-Term

The cosmological term was introduced by Einstein when he applied general rel-
ativity to cosmology for the first time. In his paper of 1917 [2] he found the
first cosmological solution of a consistent theory of gravity. This bold step can
be regarded as the beginning of modern cosmology. In a letter to P. Ehrenfest
on 4 February 1917 Einstein wrote about his attempt: Ich habe wieder etwas
verbrochen in der Gravitationstheorie, was mich ein wenig in Gefahr bringt, in
ein Tollhaus interniert zu werden.
In his attempt Einstein assumed that space is globally closed, because he
then believed that this was the only way to satisfy Mach's principle, Le. that
the metric field should be determined uniquely by the energy-momentum ten-
sor. In addition, Einstein assumed that the Universe was static. This was very
reasonable, because the relative velocities of the stars as observed at the time
were extraordinarily small in comparison with the velocity of light. (Recall that
astronomers only learned later that spiral nebulae are independent star systems
outside the Milky Way. This was definitely established when in 1924 Hubble
found that there were Cepheid variables in Andromeda and also in other galax-
ies. Five years later he announced the recession of galaxies).
These two assumptions were, however, not compatible with Einstein's original
field equations. For this reason, Einstein added the famous A-term which is
compatible with general invariance and the energy-momentum law VvTj.LV = 0
for matter. The modified field equations in standard notation [3] are
Gj.LV = 8trGTj.Lv + Agj.Lv, (1)

For the static Einstein universe these equations imply the two relations
1
8trGp = 2"
a
= A, (2)
where p is the mass density of the dust filled universe (zero pressure) and a is
the radius of curvature (The geometry of space is necessarily a 3-sphere with
radius a). Einstein was very pleased by this direct connection between the mass
density and geometry, because he thought that this was in accord with Mach's
philosophy! .
In the same year, 1917, de Sitter discovered a completely different static
cosmological model which also incorporated the cosmological constant, but was
anti-Machian, because it contained absolutely no matter. The model had one
very interesting property: For light sources moving along static world lines there
is a gravitational redshifts, which became known as the de Sitter effect. This
was thought to have some bearing on the redshift results obtained by Slipher.
Because the fundamental (static) worldlines in this model are not geodesic, a
freely-falling particle released by any static fundamental observer will be seen
1 Later, Einstein expressed himself critically about this philosophy. For instance, he
said in 1922: Mach was as a good scholar of mechanics as he was a deplorable philoso-
pher (Autant Mach fut un bon mecanicien, autant il fut un deplorable philosophe).
112 On the mystery of t.he cosmic vacuum energy density
by him to accelerate away, generating also local velocity (Doppler) redshifts

corresponding to peculiar velocities. In the second edition of his book, published
in 1924, Eddington writes:
de Sitter's theory gives a double explanation for this motion of recession; first
there is a general tendency to scatter.. .second there is a general displacement of
spectral lines to the red in distant objects owing to the slowing down of atomic
vibrations... which would erroneously be interpreted as a motion of recession.
An important discussion of the redshift of galaxies in de Sitter's model was

given by H. Weyl in 1923. Weyl introduced an expanding version of the de Sitter
model 2 . For small distances his result reduced to what later became known as
the Hubble law.
Let me not enter into all the confusion over the de Sitter Universe. It should,
however, be said that until about 1930 almost everybody knew that the universe
was static, in spite of the two important papers by Friedmann in 1922 and 1924
and Lemaitre's work in 1927. These path-breaking papers were in fact largely
ignored. The history of this period has - as is often the case - been distorted
in some widely read documents. Einstein too accepted the idea of an expanding
universe only much later. After the first paper of Friedmann, he published a
brief note claiming an error in Friedmann's work; when it was pointed out to
him that it was his error, Einstein published a retraction of this comment, with
a sentence that luckily was deleted before publication: [Friedmann's paper} while
mathematically correct is of no physical significance. In comments to Lemaitre
during the Solvay meeting in 1927, Einstein rejected the expanding universe
solutions as physically acceptable. According to Lemaitre, Einstein was telling
him: Vos calculs sont corrects, mais votre physique est abominable. On the other
hand, I found in the archiv of the ETH many years ago a postcard of Einstein
to Weyl in 1923 with the following crucial sentence: If there is no quasi-static
world, then away with the cosmological term. This shows once more that history
is not as simple as it is often presented.
It is also not well-known that Hubble interpreted his famous results on the
redshift of the radiation emitted by distant nebulae in the framework of the de
Sitter model. He wrote:
The outstanding feature however is that the velocity-distance relation may

represent the de Sitter effect and hence that numerical data may be introduced
into the discussion of the general curvature of space. In the de Sitter cosmology,
displacements of the spectra arise from two sources, an apparent slowing down
of atomic vibrations and a general tendency of particles to scatter. The latter
involves a separation and hence introduces the element of time. The relative
importance of the two effects should determine the form of the relation between
distances and observed velocities.
2 I recall that the de Sitter model has many different interpretations, depending on
the class of fundamental observers that is singled out.
However, Lemaitre's successful explanation of Hubble's discovery finally chan-

ged the viewpoint of the majority of workers in the field. At this point Einstein
rejected the cosmological term as superfluous and no longer justified [4]. He
published his new view in the Sitzungsberichte der Preussischen Akademie der
Wissenschaften. The correct citation is:
Einstein A. (1931) Sitzungsber. Preuss. Akad. Wiss. 235-37.
Many people have quoted this paper, but never read it. As a result, the
quotations gradually changed in an interesting, quite systematic fashion. Some
steps are shown in the following sequence:
• A. Einstein. 1931 Sitzsber. Preuss. Akad. Wiss....

• A. Einstein. Sitzber. Preuss. Akad. Wiss .... (1931)
• A. Einstein (1931). Sber. Preuss. Akad. Wiss ..
• A. Einstein .. 1931. Sb. Preuss. Akad. Wis .
• A. Einstein. S.-B. Preuss. Akad. Wis.... 1931
• A. Einstein. S.B. Preuss. Akad. Wiss. (1931) ...
• A. Einstein and Preuss, S.B. (1931) Akad. Wiss ....
Presumably, one day some historian of science will try to find out what happened
with the young physicist S.B. Preuss, who apparently wrote just one paper and
then disappeared from the scene.
After the A-force was rejected by its inventor, other cosmologists, like Ed-
dington, retained it. One major reason was that it solved the problem of the age
of the Universe when the Hubble period was thought to be only 2 billion years
(corresponding to the value H o '" 500 km S-1 Mpc 1 of the Hubble constant).
This was even shorter than the age of the Earth. In addition, Eddington and
others overestimated the age of stars and stellar systems.
For this reason, the A-term was employed again and a model was revived
which Lemaitre had singled out from the many possible solutions of the Fried-
mann-Lemaitre equations. This so-called Lemaitre hesitation universe is closed
and has a repulsive A-force (A > 0), which is slightly greater than the value
chosen by Einstein. It begins with a big bang and has the following two stages of
expansion. In the first the A-force is not important, the expansion is decelerated
due to gravity and slowly approaches the radius of the Einstein universe. At
about this time, the repulsion becomes stronger than gravity and a second stage
of expansion begins which eventually inflates into a whimper. In this way a
positive cosmological constant was employed to reconcile the expansion of the
universe with the ages of stars.
The repulsive effect of a positive cosmological constant can be seen from the
following consequence of Einstein's field equations for the time-dependent scale
factor a(t):
.. 47rG( 3) A
a = --3- p+ P a+ 3 a , (3)
where p is the pressure of all forms of matter.
114 On the Mystery of the Cosmic Vacuum Energy Density
For a better understanding of the action of the A-term it may be helpful to

consider a general static spacetime with metric (in adapted coordinates)
ds 2 = ep 2 dt 2 + gikdxidxk,
where ep and gik depend only on the spatial coordinates Xi. The component Roo
of the Ricci tensor is given by Roo = t1ep/ep, where t1 is the three-dimensional
Laplace operator for the spatial metric gikdxidxk [3]. Let us write Eq. (1) in the
form
(II: = 87rG), (4)
with
A A
Tp,v = 87rG g/Lv' (5)
This has the form of the energy-momentum tensor of an ideal fluid with energy
density PA = A/87rG and pressure PA = -PA. For an ideal matter fluid at rest
Einstein's field equation implies
~t1ep = 47rG[(P+3P) + ~)]. (6)

-2PA
Since the energy density and the pressure appear in the combination P + 3p, we
understand that a positive PA leads to repulsion (as in (3)). In the Newtonian
limit we have ep '" 1 + <jJ (<jJ: Newtonian potential) and P << P, hence we obtain
the modified Poisson equation
(7)
Historically, the Newtonian analog of the cosmological term was regarded by

Einstein, Weyl, Pauli, and others as a Yukawa term. This is completely mislead-
ing.
3 General Remarks
on the Cosmological Constant Problem
Classically, one can - as Einstein did - just set A = 0, simply because one may
not like the cosmological term. However, there is no good reason for this because
the A-term does not violate the fundamental principles of General Relativity.
Nowadays we distrust such simplicity assumptions of the kind Einstein invoked
when he crossed out the A-term. We have learned that complications in our
theories that are not forbidden by the fundamental principles actually occur.
Consider, as an example, the Standard Model of particle physics. In this case
all the gauge invariant and renormalizable terms are indeed present, as we know
from experiment.
In quantum theory the A-problem is much worse, because quantum fluctua-
tions are expected to give rise to an nonvanishing vacuum energy density, which
should be enormously larger than what is allowed by astronomical observations.

This I want to explain next.
Without gravity, we do not care about the energy of the vacuum, because
only energy differences matter. However, even then quantum fluctuations of the
vacuum can be important, as is beautifully demonstrated by the Casimir effect.
In this case the presence of the conducting plates modifies the vacuum energy
density in a manner which depends on the separation of the plates. This im-
plies an attractive force between the plates. Precision experiments have recently
confirmed the theoretical prediction to very high accuracy.
3.1 Vacuum Fluctuations, Vacuum-Energy

Recall first the situation for the one-dimensional harmonic oscillator (evergreen):
(8)
The canonical commutation relations [q,pJ = i prevail the simultaneous vanishing

of the potential energy (proportional to q2) and the kinetic energy (proportional
to p2). The lowest energy state results from a compromise between these two
energies, which vary oppositely as functions of the width of the wave function.
One understands in this way why the ground state has an absolute energy which
is not zero (zero-point energy w/2).
The same phenomenon arises for quantized fields. We consider, as an impor-
tant example, the free quantized electromagnetic field FJ.Lv(x), For this we have
for the equal times commutators the following nontrivial one (Jordan & Pauli,
1928):
[Ei(x),Bjk(x')] = i(Oija~k -Oika~)o(3)(X-X') (9)
(all other equal time commutators vanish); here B 12 = B 3 , and cyclic. This
basic commutation relation prevents the simultaneous vanishing of the electric
and magnetic energies. It follows that the ground state of the quantum field (the
vacuum) has a non-zero absolute energy, and that the variances of E and B in
this state are nonzero. This is, of course, a quantum effect.
In the Schrodinger picture the electric field operator has the expansion
E(x) = ()3/2
271"
1 J d k
~
3
2w(k)
L [.zw(k)a(k, >.) €(k, >.)ei k .+xh.c..
A
] (10)
(We use Heaviside units and always set n = c = 1.)

Clearly,
< E(x) >vac= O.
The expression < E 2 (x) > is not meaningful. We smear E(x) with a real test
function f:
Ef(x) : = J E(x + x')f(x')d3x'

116 On the mystery of the cosmic vacuum energy density
=
1
(21l")3/2
f J2w(k)
3
'7' 2w(k)a(k, t\)€(k, t\)eikx. f(k) + h.c. ,
d k ,,[.
A
where
It follows immediately that
For a sharp momentum cutoff j(k) = 8(K -Ikl), we have
The vacuum energy density for Ikl :S K is

1 2 2 2 K4
Pvac = 2' < E + B >vac=< E >vac= 81l"2'
3.2 Examples
A. Casimir effect
This well-known instructive example has already been mentioned. Let us consider
the simple configuration of two large parallel perfectly conducting neutral plates,
separated by the distance d. The vacuum energy per unit surface of the conductor
is of course divergent and we have to introduce some intermediate regularization
(a clever way is to make use of the (-function). Then we must subtract the
free value (without plates) for the same volume. Removing the regularization
afterwards, we end up with a finite d-dependent observable result. One can
similarly work out the other components of the energy-momentum tensor, with
the result
JLV _ 1l"2 1 d' ( )
< T >vac - 720 d4 lag -1,1,1, -3 . (11)
The corresponding Casimir force has now been tested to high accuracy [5].
B. Radiative corrections to Maxwell's equations

Another very interesting example of a vacuum energy effect was first discussed
by Heisenberg and Euler, and later by Weisskopf.
When quantizing the electron-positron field one also encounters an infinite
vacuum energy (the energy of the Dirac sea):
"0 "
" = - L...J f.p,tj'
p,u
(-)
where -€~l are the negative frequencies of the solutions of Dirac's equation.
(Note that this is negative, which gave already early rise to the hope that perhaps
fermionic and bosonic contributions might compensate. Later, we learned that
this indeed happens in supersymmetric theories.) The constant £0 itself again has
no physical meaning. However, if an electromagnetic field is present, the energy
levels €~~l will change. These changes are finite and physically significant, in that
they alter the equations of the electromagnetic field in vacuum.
The main steps which lead to the correction £1 of Maxwell's Lagrangian
£0 = -t FI'II F I'II are the following ones (for details see [6]):
First one shows (Weisskopf) that
£1 = - [£0 - £O!E=B=O] .
After a charge renormalization, which ensures that £1 has no quadratic terms,
one arrives at a finite correction which is for almost homogeneous fields a function
of the invariants
(12)
In [6] this function is given in terms of a I-dimensional integral. For weak fields
one finds
£1 = 4~:4 [(E 2 - B 2)2 + 7(E· B)2] +... (13)
(For a derivation using (-function regularization, see [7].)
For other fluctuation-induced forces, in particular in condensed matter physics,
I refer to the review article [8] by Kardar.
3.3 Coupling to Gravity?

When we consider the coupling to gravity, the vacuum energy acts like a cosmo-
logical constant, since by invariance reasons
< TI'II >vac = gl'lIPvac + higher curvature terms. (14)
(In special relativity this is an immediate consequence of the Lorentz invariance
of the vacuum state.) The effective cosmological constant, which controls the
large behavior of the universe, is given by
A = 8rrGPvae + Ao , (15)
where Ao is a bare cosmological constant in Einstein's field equations.
We know that PA == A/8rrG can not be much larger than the critical density.
3Ho2
Perit
8rrG
= 1.88 x 10- 29 h; g em- 3
(16)
= 8 X 10- 47
h;Ge V 4
,
where ho is the reduced Hubble parameter
ho = Ho/(lOOkm S-1 Mpc- 1 ) (17)

and is close to 0.6 [9].
It is a complete mystery as to why the two terms on the right hand side of
Eq. (15) should almost exactly cancel. This is the famous A-problem.
This question had basically been asked by Pauli very early in his professional
career, as I learned from some of his later assistants. Pauli wondered whether the
zero-point energy of the electromagnetic field could be gravitationally effective.
In those days the classical electron radius was considered to be natural cut-off,
= =
and thus for the vacuum energy density (in units with 1i c 1) Pauli obtained
vac
811"
= -(211" 31
0
wmaz
-w 2 dw
W
2
1 4
811"2 wmax '
with
W max =
Amax a
The corresponding radius of the Einstein universe in equation (2) would then be
a 2 M pl 1
a= 2/3 - - '" 31 km.
(2 11" ) me me
Pauli was quite amused to find that this universe would not even reach out the
moon.
If we take into account the contributions of the vacuum energy from the
vacuum fluctuations in the fields of the Standard Model up to the currently
explored energy, i.e. about the electroweak scale MF = G[//2, we cannot expect
an almost complete cancellation, because there is no symmetry principle in this
energy range that could require this. The only symmetry principle which would
imply a complete cancellation is supersymmetry, but supersymmetry is broken (if
it is realized in nature). Hence we can at best expect a very imperfect cancellation
below the electroweak scale, leaving a contribution of the order of Mj.. (The
contributions at higher energies may largely cancel if supersymmetry is realized
in nature.)
The Higgs field potential energy is of the same order of magnitude. Recall
that in the Standard Model we have for the Higgs doublet <[> in the broken phase
for < <[>*<[> >= ~¢2 the potential
1 A
V(4)) = --m 2 4>2
2
+ -4>4
8'
Setting as usual ¢ = v + H, where v is the value of ¢ where V has its minimum,
v = )27 2
= 2- 1/ 4G;1/2 '" 246GeV,
the Higgs mass is related to >. by >. = M'jdv2. For ¢ = v we obtain the energy
density of the Higgs condensate
~4 1 2 2 4
V ( ¢ = v) = - 2>' = - 8J2MF MH = O(MF )· (18)
The QCD vacuum energy density in the broken phase of the chiral symmetry
is also far too large,
4 4
rv A~cD/161r2 rv 10- GeV , (19)
namely at least 40 orders of magnitude larger than Perit.
So far string theory has not offered convincing clues why the cosmological
constant is so extremely small. The main reason is that a low energy mechanism
is required, and the low energy physics is described by the Standard Model.
Hence one expects again a contribution of order Mj. which is at least 50 orders
of magnitude too large (see, e.g., [10]).
I hope I have convinced you, that there is something profound that we do
not understand at all, certainly in field theory, but so far also in string theory.
4 Effective Cosmological Constant

in Brane-World Models
Recently there have been proposals to approach the cosmological constant prob-
lem within brane models that make essential use of extra dimensions.
Brane-world models are based on the idea, suggested by string theory, that
ordinary matter could be confined to a three-dimensional world - our apparent
universe - that is embedded in some higher-dimensional spacetime, in which
gravity and some other fields can propagate. In the most popular models of this
new version of the old Kaluza-Klein picture, the brane is a hypersurface of a
five-dimensional spacetime [11].
A large number of papers have been devoted to specific solutions of such
higher-dimensional models. For the investigation of certain issues, in particular
the cosmological constant problem, it is, however, advantageous to proceed in
a more general way. There are standard methods to derive the induced gravity
equation on the brane, as well as other induced equations for fields propagating in
the bulk. I discuss here only the effective four-dimensional gravity equation that
can be obtained directly from the Einstein equation in the bulk by using the well-
known equations of Gauss and Codazzi for submanifolds. For the simple example
where the energy-momentum tensor in the bulk is just the cosmological term,
this was first done by Shiromizu, Maeda and Sasaki [12]. It is straightforward
to extend this to more general models for bulk matter. Below I consider a self
interacting neutral scalar field. (In the meantime the Gauss-Codazzi formalism
has also been applied for this model in [13] and [14].)
The five-dimensional action is, in standard notation, taken to be
+ J
brane
[LM - t\(P)] J_g4 d4X . (20)
In the second term LM is the Lagrangian for the matter fields living on the brane
and A( ¢) is a ¢-dependent tension. Similar terms have to be added in case there
are additional branes.
Gauss's equation provides an expression for the Riemann tensor of the in-
duced metric on the brane in terms of the five-dimensional Riemann tensor and
the second fundamental form (extrinsic curvature) KJ1.v of the brane. This sym-
metric tensor is different on the two sides of the brane; the jump [KJ1.v] is given
by the Israel (-Darmois-Lanczos-Sen) junction condition:
(21)
where SJ1.V is the energy-momentum tensor of the brane:
(22)
Here, TJ1.v is the contribution of the matter fields confined to the brane, deter-
mined by LM in (20), and gJ1.V denotes the induced metric. For simplicity, we
impose reflection symmetry at the brane, whence K J1.V = 2 [KJ1.v]. Similarly, the
normal derivative of ¢ is then equal to dA/d¢.
With these ingredients, the Einstein tensor GJ1.V of gJ1.V can be expressed as
follows:
where
(24)
(25)
(26)
1 1 1 Ot{3 1 2
-4 TJ1.
11
= I1 TV + 12 TTJ1.v + 8" gJ1.V TOt {3T - 24 g J1. VT ,
( T = T:); (27)
EJ1.V is the electric part of the Weyl tensor with respect to the unit vector field
normal to the brane; EJ1.v is symmetric and traceless.
For simplicity, we have ignored a possible dependence of LM on ¢. (This does,
however, not affect the discussion below of the effective cosmological constant
on the brane.)
Apart from the last two terms, Eq. (23) is similar to the four-dimensional
Einstein equation. While all other terms are local, EJ1.v transmits non local grav-
itational degrees of freedom from the bulk to the brane. Such nonlocal terms
also appear in the induced equation for ¢. I emphasize that EJ1.v does not appear
in the trace of Eq. (23), which therefore provides a local expression for the Ricci
scalar. Note also that GN becomes a function of ¢ (on the brane), as in four-
dimensional scalar-tensor theories. It has only the correct sign for a positive
brane tension A.
I now concentrate on the effective cosmological constant .11 4 in order to see
whether the cosmological constant problem might be alleviated in such models.
Eq.(26) implies that .11 4 vanishes if and only if
(28)
For the special case of a vanishing bulk potential .11(¢) this is satisfied for
(29)
This self-tuning brane model was first proposed in [15]-[17] (see also Kaloper's
contribution to these proceedings). It has the remarkable feature that .11 4 van-
ishes independently of the amplitude in (29). The mechanism is thus stable with
respect to radiative corrections of the brane tension due to the confined matter
fields (of the Standard Model). Before further commenting on this, let us briefly
consider two other solutions of (28).
If .11(¢) is a constant, Eq. (28) can be satisfied with a constant brane tension
given by
(30)
This fine-tuning is the one appearing in the Randall-Sundrum model. Clearly,
.11 has to be negative. This special class of models is obtained if ¢ is a constant.
When Eq. (30) holds Eq. (23) reduces to
(31)
This is a good starting point for deriving the modifications of the Friedmann
equation, implied by the last two terms (see,e.g., [14]).
An interesting model that satisfies Eq. (26) was proposed some time ago by
Horawa and Witten [18] on the basis of eleven-dimensional M-theory. In this
model .11 and A are given by
(32)
where a: is a constant. Note that for these functions the action (20) is invariant
under ¢ -+ ¢ + canst, if a: is appropriably rescaled.
Let me now come back to the self-tuning mechanism for .11 = 0 and A(¢) given
by (29). First if all, this solution of (28) is clearly sensitive to vacuum energy
corrections in the bulk [19]. Furthermore, the appearance of naked singularities
in the bulk seems to be generic for self-tuned solutions [20], whose resolutions
require, therefore, again fine-tuning (H.P. Nilles will say more about this in his
contribution to this meeting). Moreover, the static self-tuned solutions presented

in [15], [16] are unstable: Arbitrary close to these there are exact dynamical
solutions for which the brane world collapses to a singularity or undergoes the
time reversed process [21].
In summary, I don't think that the cosmological constant problem is really
alleviated in brane models.
5 Quintessence
Possible ways of avoiding the cosmic coincidence puzzle have recently been dis-
cussed a lot. The general idea is to explain the accelerated expansion of the
universe by yet another form of exotic missing energy with negative pressure,
called quintessence. In concrete models this is described by a scalar field, whose
dynamics is such that its energy naturally adjusts itself to be comparable to the
matter density today for generic initial conditions.
Let me briefly describe a simple model of this kind [22]. For the dynamics of
the scalar field ¢ we adopt an exponential potential
(33)
Such potentials often arise in Kaluza-Klein and string theories. Matter is de-
scribed by a fluid with a baryotropic equation of state: PI = b - 1)PI'
For a Friedmann model with zero space-curvature, one can cast the basic
equations into an autonomous two-dimensional dynamical system for the quan-
tities
(34)
where
H = a/a, r = loga, ",2 = 81rG (35)
(a(t) is the scalar factor). This system of autonomous differential equations has
the form
dx dy
dr = !(X,Y;)..,1), dr =g(X,Yj)..,1), (36)
where! and 9 are polynomials in x and Y of third degree, which depend para-
metrically on ).. and 1. The density parameters nt/J and n I for the field ¢ and
the fluid are given by
(37)
The interesting fact is that, for a large domain of the parameters A, 1, the
phase portrait has qualitatively the shape of Figure 1. Therefore, under generic
initial conditions, there is a global attractor (a node or a spiral) for which
[}t/J = 31/)..2. For this "scaling solution" [}t/J/[}I remains fixed, and for any other
solution this ration is finally approached.
Unfortunately, if we set Pt/J = bt/J - l)pt/J we find that 1t/J = 2x 2/(X 2 + y 2),
and this is equal to 1 for the scaling solution. Thus this does not correspond to
It)
yo
+-_I.-
o
,
LL --L. ---L -l-J
-1 -0.5 o 0.5
unstable node xsaddle saddle
"scaling solution";
global attractor
Fig.!. Phase plane for I = 1, A = 3. The late-time attractor is the scaling solution
with x = y = 1/,;6 (from Ref. [22]).
a quintessence solution. Moreover, the condition that p</> should be subdominant

during nucleosynthesis implies a small value for n</>.
Proposals to obtain a quintessence component are reviewed in [23] (see also
the contribution of Ch. Wetterich to these proceedings).
Acknowledgements
I would like to thank H. Klapdor-Kleingrothaus for inviting me to the DARK
2000 third international conference on Dark Matter in astro- and particle physics
(Heidelberg, Germany, July 10-15, 2000), and for his effort in making this a
stimulating meeting covering all major aspects of the main topic. This work was
supported in part by the Swiss National Science Foundation.
References
1. S. Weinberg, Rev Mod. Phys. 61, 1 (1989)
2. A. Einstein, Sitzungsber. Konig!. Preuss. Akad. Wiss., phys.-math. Klasse VI, 142
(1917)
3. N. Straumann: General Relativity and Relativistic Astrophysics (Berlin:Springer),
1985
4. A. Einstein, Sitzungsber. Konig!. Preuss. Akad. Wiss., phys.-math. Klasse XII, 3
(1931)
5. S.K. Lamoreaux, Phys. Rev. Lett. 78, 5 (1997); U. Mohideen, A. Roy, Phys. Rev.
Lett. 81, 4549 (1998)
6. L.D. Landau, E.M. Lifshitz: Quantum Electrodynamics, Vol. 4, second edition, Perg-
amon Press (1982); 129
7. W. Dittrich, M. Reuter, Lecture Notes in Physics, Vol. 220 (1985); 6
8. M. Kardar, Rev. Mod. Phys. 71, 1233 (199)
9. B.R. Parodi, A. Saba, A. Sandage, G.A. Tammann, astro-phj0004063
10. E. Witten, hep-phj0002297
11. L. Randall, R. Sundrum, Phys. Rev. Lett. 83, 3370 (1999); Phys. Rev. Lett. 83,
4690 (1999)
12. T. Shiromizu, K. Maeda, M. Sasaki, Phys. Rev. D62, 024012 (2000)
13. K. Maeda, D. Wands, hep-thj0008188
14. A. Mennim, R.A. Battye, hep-thj0008192
15. N. Askani-Hamed, S. Dimopoulos, N. Kaloper, R. Sundrum, hep-thj 0001197
16. S. Kachru, M. Schulz, E. Silberstein, hep-thj0001206
17. V.A. Rubakov, M.E. Shaposhnikov, Phys. Lett. 125B, 139 (1983)
18. P. Horava, E. Witten, Nucl. Phys. B460, 506 (1996); Nucl. Phys. B475, 94 (1996)
19. S. Forste, Z. Lalak, S. Lavignac, H.P. Nilles, hep-thj0006139
20. C. Csaki, J. Erlich, Ch. Grojean, T.J. Hollowood, hep-thj0004133
21. P. Binetruy, J.M. Cline, Ch. Grojean, hep-thj0007029
22. E.J. Copeland, A.R. Liddle, D. Wands, Phys. Rev. D57, 4686 (1998)
23. P. Binetruy, hep-phj0005037
Can Quintessence Be Natural?
A. Hebecker and C. Wetterich

Institut fUr Theoretische Physik der Universitat Heidelberg
Philosophenweg 16, D-69120 Heidelberg, Germany
Abstract. We give a brief introduction to the framework of cosmological quintessence

scenarios and formulate conditions for the naturalness of the underlying field theoretical
models. The quintessence lagrangian is taken to be the sum of a simple exponential
potential and a non-canonical kinetic term. This parameterization covers most variants
of quintessence and makes the naturalness conditions particularly transparent. Several
"natural" scalar models lead, for the present cosmological era, to a large fraction of
homogeneous dark energy density and an acceleration of the scale factor as suggested
by observation.
1 Introduction
The phenomenology of the expanding universe appears to be converging on a set

of fundamental parameters that includes a non-zero homogeneous energy density
f vac ~ 2 X 10-
123 Mj, (see [1] and refs. therein). Furthermore, large redshift su-
pernova observations suggest that the cosmological scale factor is accelerating at

present [2]. Given the well-known difficulties in explaining why the cosmological
constant should be zero (see, e.g., [3]), it appears to be even harder to under-
stand a finite number that represents such a tiny fraction of the natural scale set
by the Planck mass Mp = 1.22 X 10 19 GeV. The scale discrepancies introduced
into physics by this large mass have triggered many attempts and speculations
to interpret the Planck mass as a dynamical scale [4], to understand a possible
time evolution of the cosmological constant [5], or to have the dynamics of a
scalar field adjusting the cosmological constant to zero [6,7]. Quintessence as
homogeneous dark energy of an evolving scalar field is partially successful in
explaining a small present-day value of the homogeneous energy density [8-12].
It can lead to a cosmology consistent with observation [13-19].
In this paper, we discuss the naturalness of different realizations of the
quintessence scenario from the perspective of the scalar field lagrangian
(1)
Here and in what follows all quantities are measured in units of the reduced
Planck mass M p, Le., we set M~ == M~/(81r) == (81rGN)-1 = 1. The lagrangian
of Eq. (1) contains a simple exponential potential V = exp[-<p] and a non-
standard kinetic term with k( <p) > O. If one wishes, the kinetic term can be
126 A. Hebecker and C. Wetterich
brought to the canonical form by a change of variables. Introducing the field
x = K(<p) with k(<p) = 8K(<p) (2)

8<p
one obtains
(3)
Nevertheless, the important question whether a given quintessence model can
be considered as natural from a field theory perspective can be discussed partic-
ularly simply in terms of the lagrangian of Eq. (1).
The simplest case, k(<p) = k = const., corresponds to the original quint-
essence model [8] with a potential term exp[ -xl k]. The cosmological evolution
is described by the two well-known equations
x+ 3HX -l exp[-x/ k] = 0, (4)
3H 2 = ~X2 + exp[-x/k] + Pr + Pm, (5)

where dots characterize time derivatives, H is the Hubble parameter, and Pr
and Pm are the energy densities of radiation and matter respectively. Let Pb
(with b = r or b = m) be the dominant background component. The evolution
of this component can be characterized by Wb = Pb/Pb, where Wr = 1/3 and
Wm = O. If k2 < l/nb (with nb = 3(1 + Wb) ), then the cosmologies are attracted
to a universal scaling solution for a wide class of initial conditions. For this
=:e
solution, the scalar field energy P l/nb, then the cosmological
attractor is a scalar dominated universe [8,10,20] with H = 2k 2 C 1 , w<p =
1/(3k 2 ) -1. Neither ofthese two asymptotic solutions provides for an acceptable
cosmology. We will show, however, that a transition from the first to the second
regime can result in an interesting and realistic cosmological evolution. For this
reason we investigate non-constant k(<p).
We restrict our discussions to potentials that are monotonic in X. (Otherwise,
the value of the potential at the minimum must be of the order of today's cos-
°.
mological constant, with Vmin ~ 10- 12 Cosmologies of this type are discussed
in [14].) All monotonic potentials can be rescaled to the ansatz Eq. (1). An initial
value of <p in the vicinity of zero corresponds then to an initial scalar potential
energy density of order one. We consider this as a natural starting point for cos-
mology in the Planck era. As a condition for naturalness we postulate that no
extremely small parameter should be present in the Planck era. This means, in
particular, that k(O) should be of order one. Furthermore, this forbids a tuning
to many decimal places of parameters appearing in k(<p) or the initial condi-
tions. For natural quintessence all characteristic mass scales are given by M p
Can Quintessence be Natural? 127
in the Planck era. The appearance of small mass scales during later stages of
the cosmological evolution is then a pure consequence of the age of the universe
(and the fact that V(<p) can be arbitrarily close to zero). In addition, we find
cosmologies where the late time behaviour is independent of the detailed initial
conditions particularly attractive. For such tracker solutions [8,9,12] no detailed
understanding of the dynamics in the Planck era is needed. One of our main
findings is the existence of viable cosmological solutions with high present-day
acceleration which are based on functions k(<p) that always remain 0(1).
Non-canonical kinetic terms have been considered in cosmology before. For
example, they were used in models of inflation [21] and as tool for the ad-
justment of the cosmological constant [7,22], most recently in the context of
quintessence [23]. A non-canonical kinetic term appears in supergravity theo-
ries [24] and was also used in [19] to relate the present-day cosmic acceleration
to the onset of matter domination at a ~ 10- 4 . In the context of higher dimen-
sional unification the identification of In <p with the volume of internal space or
some appropriate dilaton-type field generically leads to a non-canonical kinetic
term [25].
It is convenient to analyse the cosmological evolution using the scale factor a
instead of time as the independent variable. In this case, the evolution of matter
and radiation energy density is known explicitly and one only has to solve the
set of the two differential equations for the homogeneous dark energy density Pcp
and the cosmon field <p
dIn PCP
dIn a = -3(1 + wcp) , (7)
with n T = T/(3H 2 ) the fraction of kinetic field energy and Wcp = Pcp/Pcp. Here
the cosmon kinetic energy is denoted by T = <j;2 k2 (<p) /2 whereas Pcp = T - V and
Pcp = T + V specify the equation-of-state of quintessence. Thus, more explicitly,
the cosmology is governed by four equations for the different components of the
energy density Pm, Pr, Pcp and <p
dlnpm dlnpr
dIna = -3(1+wm ) , dIna =-3(1+wr ),
(8)
dlnpcp
dIna
= -6 (1- V(<p))
Pcp
, d<p
dIna =
6 (pcp - V(<p))
For our exponential potential V = exp[ -<p], the last equation can be rewrit-
ten as
dIn V
(9)
dIna k 2 ( - In V) (Pm + Pr + Pcp) .
We note that today's value of PCP plays the role of €vac and ncp = pcp/(3H 2 ). For
a rough orientation, today's value of <p must be <PO ~ 276 for all solutions where
the present potential energy is of the order of €vac.
The attractor solution in the simple case k(<p) = k = const., which has
already been discussed above, can be easily established from Eqs. (8) and (9) by
noting the constancy of Pip / Pb and V/ Pb.
If a solution obeying (approximately) Eq. (6) is valid during nucleosynthesis,
the "right tuning of the clock" requires nlp.$ 0.2 [8,26]. Another constraint arises
from structure formation since solutions with large constant nip slow down the
growth of density fluctuations [11]. This is described by the simple relation [11]
with € = ~2 (1 - J1- 24 nIp ) ,

25 (10)
where Jc is the density contrast of cold dark matter. The formation of galaxies
also requires nlp.$ 0.2 for a sufficiently long time after the onset of matter domi-
nation I. For building quintessence models, this constraint is the most stringent
one because it requires a recent increase of (}Ip that is relatively rapid on a
cosmological scale.
It has been emphasized early [8] that there is actually no reason why k(<p)
should be exactly constant and that interesting cosmologies may arise from vari-
able k(<p). In particular, one may imagine an effective transition from small k
(small (}Ip) in the early universe (nucleosynthesis etc.) to large k (nip ~ 1) to-
day [8,13,18,27].
2 Leaping Kinetic Term

A particularly simple case of a ep dependent kinetic coefficient k( ep) is obtained
if k suddenly changes from a small number k < 0.22 (consistent with nucle-
osynthesis and structure formation bounds) to a number above the critical value
1/ Jrib. Consider, for example, the function
k(<p) = kmin +tanh(ep-epl)+ 1 (with kmin = 0.1, epl = 276.6), (11)
that gives rise to the cosmological evolution of Fig. 1. This model, which com-
pletely avoids the explicit use of very large or very small parameters, realizes
all the desired features of quintessence. The homogeneous dark energy density
tracks below the background component in the early universe (k = 0.1) and
then suddenly comes to dominate the evolution when k rises to a value k = 2.1
approximately today. With a tuning on the percent level (the value of <PI has
to be appropriately adjusted) realistic present-day values of nip and wIp can be
realized. In the above example, one finds {}Ip,O = 0.70 and wIp,O = -0.80. Note
that, due to the extended tracking period, the late cosmology is completely in-
sensitive to the initial conditions. In the example of Fig. 1, the evolution starts at
the Planck epoch with a total energy density Ptot = 1.0, <p = 2.0 and <P = 0 (cor-
responding to nip = 0.14). We have checked explicitly other initial conditions,
e.g., with nip near one.
lOur bound is very conservative. A more realistic limit is probably given by
fll(J ;S 0.1 ... 0.15.
A----------------------------, I
0.5 (\;
\
~
" I
I
o -
V
---~------------------------------------~~'\\
- W~
- '---
-0.5
--on r
n m i'--
-1
-30 -20 -10 0
I09,oa=-lo9,o(1 +z)
Figure 1: Cosmological evolution with a leaping kinetic term. We show the fraction
=
of energy in radiation (il r ) and matter (il m ) with illp 1 - ilr - il m . The equation
of state of quintessence is specified by Wlp'
The present day value Wcp can be forced to be even closer to -1 if the leap
of k(cp) is made sharper or the final value of k is made higher by a simple gener-
alization of Eq. (11). Thus, all scenarios between a smoothly rising quintessence
contribution and a suddenly emerging cosmological constant can be realized.
As a limiting case of the sudden increase of k(cp), one can consider models
where k(cp) has a singularity at a certain value of cpo For example, the function
(with kmin = 0.1, CPl = 277.5) , (12)
leads to a cosmology very similar to the one displayed in Fig. 1. Note, however,
that the potential, when rewritten in terms of X = K (cp), approaches a constant
non-zero value at X -+ 00. Thus, one could argue that a cosmological constant
has, after all, been introduced in a hidden way. Nevertheless, the lagrangian
with non-canonical kinetic term may open up new perspectives on the problem of
sudden cosmic acceleration. In particular, it appears possible that the sudden rise
of the kinetic coefficient is the result of some transition in the cosmic evolution
which has a natural reason to occur in the present epoch.
3 Runaway Quintessence
A somewhat different realization of a cosmology with late-time acceleration is
obtained if the early history of the universe includes a prolonged period with
small k. To illustrate this, consider the particularly simple function
k(cp)= kmin + b (tanh(cp - cpd tanh(cp - CP2) + 1) (13)

(with k min = 0.15, b = 0.25, CPl = 50.0, CP2 = 254.8) ,
which leads to the cosmological evolution of Fig. 2. As cp increases, the coefficient
k (cp) (cf. the almost piecewise constant curve in Fig. 3) changes from the large
initial value 0.65 to a smaller intermediate value 0.15 and back to the large value.
, , ... - - ...
,,
I \
I \
I
0.5 I V
\ I ,\
,,
I
\ \
--
I \
o \_-- -...,1 - - - - .! - - - - - - - - - - - - - - -
- - Wll1
'- ~--
-0.5 ~( --- Or !.
- - -- Om
-1
-30 -20 -10 o
109 10 a=-10910{1 +z)
Figure 2: Cosmological evolution with cosmon field running to very large values and
mimicking a small cosmological constant.
Figure 3: Two different kinetic coefficients k(cp) leading to the runaway quintessence
scenario.
During the initial period with large k, the universe inflates and the back-
ground energy density (Le. radiation) becomes very small. When k drops, <p
accelerates and its kinetic energy dominates the universe (w<p = 1). Since kinetic
energy density decays faster than the background component, the universe be-
comes radiation dominated after a certain time, from which point on the value
of <p remains essentially frozen. At this time V (<p) has already become very
small and the cosmic evolution (including nucleosynthesis and structure forma-
tion) proceeds in the conventional way. However, at a certain moment (which
is chosen to be approximately now by a moderate tuning of the parameters in
Eq. (13)) the potential V(<p) becomes relevant again. Since in the meantime k
has returned to its large value, a new scalar dominated epoch starts.
In the example of Fig. 2, the evolution begins at Ptot = 1.0, <p = 2.0 and
r.p = O. These initial conditions lead to fl<p,o = 0.5 and w<p,o = -0.76 today.
Note that, in this example, no extended period of tracking exists. Therefore
today's cosmological parameters depend on the initial conditions. However, no
extreme tuning of the lagrangian parameters or the initial conditions is required.
Complete independence of initial conditions could be realized by introducing a
period of tracking before the sequence of events illustrated in Fig. 2.
The same qualitative scenario can also be realized without any abrupt
changes of k. For example, the function
(with k min = 0.1, <PI = 152.4, <P2 = 170.0)

(14)
(d. the parabola in Fig. 3) gives rise to a cosmological evolution that is very
similar to the one of Fig. 2, if the same initial conditions at the Planck epoch
are used. The essential qualitative feature of k(<p) is its small value during an
intermediate period, so that <p can run away to the large values that correspond
to a tiny V(<p).
4 Smoothly Changing Kinetic Terms

In Sect. 2, late time acceleration was achieved by a relatively sudden change
of the kinetic term. In Sect. 3, it was realized by an essentially frozen dark
energy contribution which suddenly becomes the dominant component. Even
though the latter does not require abrupt changes of the kinetic term, the whole
cosmic evolution is far from smooth. In this section, we want to explore whether
an interesting cosmology can be realized with a smooth function k(<p) and a
smooth, tracking evolution of <po
An obvious problem arises from the necessity to produce enough structure in
our universe. Assuming the approximate validity of the relation Eq. (6) during
structure formation, one needs a value k < 0.26 to fulfil the condition D 0.41 today to have, say, D 0.5. Thus, while loglO a
grows by about 3 units or less (which is a small fraction of its whole evolution
from loglO a :::: -30 to loglO a = 0), a significant change of k has to occur. An
even stronger rise of k is necessary to account for an appreciable acceleration of
the expansion today.
Within the approximate validity of Eq. (6) (with k -7 k(<p)) one has
d k( <p) = _1_ dJ?F:, 2: 0.007. (15)

d<p 3)3 d In a
Here the bound relates to the time of structure formation and corresponds to
the change of D<p from 0.2 to 0.5 mentioned before. Together with the value
<p :::: 250 and k = 0.26 (at the borderline allowed for structure formation) this
makes it obvious that this increase cannot be achieved by a linear rise of k with
<po Cosmologies saturating the bound Eq. (15) will not lead to an accelerating
universe today.
Let us next consider an exponential form of k(<p),
k(<p) =exp [(<P~<PI)] , (16)
which allows for a strong growth of k(<p) during the cosmic evolution. The phe-
nomenology arising from this functional form is, in fact, well known [9,13J be-
cause the corresponding canonical lagrangian possesses a simple power-law po-

tential:
V(X) = AX-a A = aa exp[-<PIJ. (17)
If a is large, k varies smoothly and <P follows the growth of ln a : .1<p .1(ln a).
Thus, if k changed by, say, a factor of two between loglO a = -3 and today, one
may roughly expect that it has changed by a factor of 210 ~ 1000 since the
Planck epoch. This violates our naturalness assumption. Smaller values of a
exacerbate this dilemma. Only for a ~ 6 acceleration can be realized [13J. In this
case A is a very small parameter when expressed in units of the Planck mass.
In our language this situation is highly unnatural 2 because the initial value of
k(<p) is very small, i.e., k(O) :::::J 10- 20 for a = 6.
Let us briefly mention a further interesting aspect of the model with ex-
ponential kinetic coefficient (or, equivalently, the power law potential for X).
With an initial condition <p « <PI, the potential energy V (<p) is far above the
tracking value at the beginning of the evolution (in [13] this is justified by an
equipartition requirement). Therefore, initially <P runs to very large values (and
correspondingly small V(<p)) as in our runaway-scenario of Sect. 3. If a is very
small, the age of the universe is insufficient for <p to return to tracking. Thus,
the effect of the potential energy in late cosmology is similar to a cosmological
constant: <p is almost constant and V(<p) very suddenly becomes the dominant
component. This last possibility, which is quite attractive phenomenologically,
suffers, however, from an "unnatural" tiny parameter in the lagrangian and a
tuning of the initial conditions. In our opinion, the runaway scenario of Sect. 3
represents a viable alternative with similar characteristics for late cosmology.
Let us finally note that replacing the exponential form of Eq. (16) by a
different function, e.g., k ,...., <pf3, does not solve the problem. Unless the present
era is effectively singled out as in Sect. 2, a rapidly growing k(<p) implies an
unnatural situation in the Planck era while a relatively flat k(<p) fails to produce
acceleration today.
5 Conclusions
We have formulated a condition for a natural quintessence scenario: in the Planck

era no extremely small parameter should appear neither in the effective action
nor in the initial conditions. We have presented examples that realize this sce-
nario and are consistent with present cosmological observations of a large fraction
in homogeneous energy density and acceleration in the scale factor. Translating
to a standard kinetic term our examples correspond to a relatively mild modifi-
cation of exponential potentials. Some other popular quintessence scenarios, like
the ones based on power law potentials with moderate powers, do not obey our
naturalness criterion.
2 Even in the case of small a no extremely small numbers appear directly in Eq. (16).
The smallness of k(<p) at the initial point <p ::::: 0 arises from the exponential factor
exp[-Pf]. This seems, however, to be only an optical improvement.
Despite the consistency of these scenarios with present day observations, we

feel that two issues are not yet understood in a completely satisfactory way. The
first one concerns the value of the potential for ep -+ 00. A modification of the
potential into e-l{) + A would introduce an asymptotic cosmological constant.
A tiny value of A is consistent with cosmological observations but incompatible
with our naturalness criterion. We mention two proposals to answer the question
why A is precisely zero in the quintessence context. One invokes the dilatation
anomaly [8] and the other is based on a dynamical tuning mechanism [23] (see
also [28]).
The second issue concerns the particular role of the present epoch. In all re-
alistic scenarios we have found, the present time is characterized by a relatively
sharp transition to a scalar dominated universe. Our era is singled out by this
transition. The question "why now" is much less dramatic than for a cosmologi-
cal constant: within quintessence the parameters in k(ep) have to be tuned on the
percent level in contrast to 10- 120 for the cosmological constant. Nevertheless,
a natural explanation of the special role of "today" would be very welcome. We
can imagine two solutions to this puzzle. Either the present phenomenological
constraints weaken such that smaller values of ill{) and IWl{) I are allowed. Or some
particularities of the present epoch may affect the dynamics. Some proposals are
based on the change of the effective equation of state of the clustering dark mat-
ter at the end of radiation domination [19]. Another possibility is the coupling
of the cosmon to clustering dark matter [8,29] that would be ineffective during
radiation domination.
In this context it is worthwhile to recall that the cosmon field ep represents
the average value of a fluctuating scalar field in a nonequilibrium, inhomoge-
neous universe. Thus, the potential V (ep) and the kinetic coefficient k( ep) are,
in principle, themselves time-dependent dynamical quantities. Their time evolu-
tion is described by the time-dependent effective action of nonequilibrium field
theory [30] that accounts for the nonequilibrium values of higher correlation
functions. The present epoch is characterized by the onset of strong nonlineari-
ties in the density fluctuations and therefore large higher correlation functions.
Could this be the origin of the effective dynamics discussed in this work?
References
1. N. Bahcall, J.P. Ostriker, S.Perlmutter and P.J. Steinhardt, Science 284 (1999)
1481;
L.M. Krauss, talk at PASCaS 98 (hep-ph/9807376)
2. S. Perlmutter et al., Astrophys. J. 517 (1998) 565;
A.G. Riess et al., Astron. J. 116 (1998) 1009
3. S. Weinberg, Rev. Mod. Phys. 61 (1989) 1 and talk at Dark Matter 2000
(astro-ph/0005265)j
S.M. Carroll, preprint EFI-2000-13 (astro-ph/0004075)j
P. Binetruy, lectures at the 15th fAP Meeting on Galaxy Dynamics and the 4th
Peyresq Meeting on Quantum Cosmology and Stochastic Gravity (hep-ph/0005037)
4. C. Brans and R.H. Dicke, Phys. Rev. 124 (1961) 925;
O. Bertolami, Nuovo Cim. B93 (1986) 36
5. M. Ozer and M.O. Taha, Phys. Lett. BI7l (1986) 363;

K Freese, F.C. Adams, J.A. Frieman and E. Mottola, Nucl. Phys. B287 (1987)
797;
M. Reuter and C. Wetterich, Phys. Lett. B188 (1987) 38
6. A.D. Dolgov, in The Very Early Universe: Proc. of the 1982 Nuffield Workshop at
Cambridge, ed. by G.W. Gibbons, S.W. Hawking and S.T.C. Siklos (Cambridge
Univ. Press) p. 449;
L.F. Abbott, Phys. Lett. B150 (1985) 427;
T. Banks, Nucl. Phys. B249 (1985) 332;
RD. Peccei, J. Sola and C. Wetterich, Phys. Lett. BI95 (1987) 183
7. S.M. Barr, Phys. Rev. D36 (1987) 1691
8. C. Wetterich, Nucl. Phys. B302 (1988) 668; Astron. Astrophys. 301 (1995) 321
(hep-ph/9408025)
9. B. Ratra and P.J.E. Peebles, Astrophys. J. Lett. 325 (1988) L17, Phys. Rev. D37
(1988) 3406
10. E.J. Copeland, A.R Liddle and D. Wands, Ann. N. Y. Acad. Sci. 688 (1993) 647,
Phys. Rev. D57 (1998) 4686
11. P.G. Ferreira and M. Joyce, Phys. Rev. Lett. 79 (1997) 4740, Phys. Rev. D58
(1998) 023503
12. RR Caldwell, R Dave and P.J. Steinhardt, Phys. Rev. Lett. 80 (1998) 1582
13. P.J. Steinhardt, L. Wang and I. Zlatev, Phys. Rev. Lett. 82 (1999) 896, Phys. Rev.
D59 (1999) 123504
14. A. Albrecht and C. Skordis, Phys. Rev. Lett. 84 (2000) 2076
15. P. Brax, J. Martin, Phys. Lett. B468 (1999) 40
16. I. Zlatev and P.J. Steinhardt, Phys. Lett. B459 (1999) 570
17. V. Sahni and L. Wang, astro-ph/9910097
18. T. Barreiro, E.J. Copeland and N.J. Nunes, Phys. Rev. D61 (2000) 127301
19. C. Armendariz-Picon, V. Mukhanov and P.J. Steinhardt, astro-ph/0004134 and
astro-ph/0006373
20. F. Lucchin, S. Matarrese, Phys. Rev. D32 (1985) 1316;
Y. Kitada, K Maeda, Class. Quant. Grav. 10 (1993) 703
21. P.J. Steinhardt and F.S. Accetta, Phys. Rev. Lett. 64 (1990) 2740
22. V.A. Rubakov, Phys. Rev. D61 (2000) 061501
23. A. Hebecker and C. Wetterich, hep-ph/0003287, to appear in Phys. Rev. Lett.
24. P. Binetruy, Phys. Rev. D60 (1999) 063502
25. Q. Shafi and C. Wetterich, Phys. Lett. B129 (1983) 387 and B152 (1985) 51
26. M. Birkel and S. Sarkar, Astropart. Phys. 6 (1997) 197
27. A. de la Macorra and G. Piccinelli, Phys. Rev. D61 (2000) 123503
28. KI. Izawa, hep-ph/0005182;
A.B. Kaganovich, hep-th/0007l44
29. L. Amendola, Phys. Rev. D62 (2000) 043511;
R. Bean and J. Magueijo, astro-ph/0007l99
30. C. Wetterich, Phys. Rev. Lett. 78 (1997) 3598
Preheating, Thermalization and Supergravity
Lev Kofman
CITA, University of Toronto, M5S 3H8, Canada
Abstract. This constribution collects new recent results on preheating after inflation.
We discuss tachyonic preheating in the SUSY motivated hybrid inflation; development
of equilibrium after preheating; theory of fermionic preheating and the problem of
gravitino overproduction from preheating.
1 Introduction
The best-fit universe is the flat FRW universe with scale-free scalar metric fluctu-
ations. The model is in agreement with the observations of the cosmic microwave
background radiation (CMB) anisotropy, the large scale structure (L88) of the
universe and the tests of the global geometry such as the high redshift supernovae
(8Ne). The theoretical scenario of the expanding universe includes a very early
stage of inflation, subsequent stage of particle creation during preheating and the
setting of the thermal equilibrium. The resulting hot expanding universe passes
through a sequence of crucial stages. As the universe expands, it opens up for
the observational tests, beginning "upward" from the big bang nucleosynthesis
(BBN), see the left panel of Figure 1.
Although inflation is an essential part of the cosmological paradigm, from
the particle physics perspective it is not easy to construct a satisfactory model
observable univer e reciprocal universe
Fig.1. Sketch of an expanding universe where the wavelengths A(t) are proportional
to a scale factor a(t) and "reciprocal" universe where the momenta k(t) '" l/A(t) are
inversly proportional to a(t).
136 Lev Kofman
of the very early universe including inflation. The right panel of Figure 1 shows
a theoretical "reciprocal" universe where the momenta k '" 1/)" are increasing
backwards in time. The reciprocal universe at the earliest times at high momenta
opens up for theoretical possibilities of the early universe physics, including re-
cent developments in brane cosmology, string motivated cosmology, supergravity
in cosmology etc.
Fundamental M-theory should encompass both supergravity and string the-
ory. At present the low-energy phenomenology is described by the N = 1 d = 4
supergravity. Some preferable choices of the Kahler potentials, superpotentials
and Yang-Mills couplings hopefully will be selected at the level of the fundamen-
tal theory. Until the fundamental theory of all interactions is well understood,
one may try to address the issues of the eary universe cosmology in the context of
the most general phenomenological N = 1 supergravity-Yang-Mills-matter the-
ory. This, in fact, was the case during the last almost 20 years. A rather lengthy
N = 1 phenomenological supergravity Lagrangian begins with the terms
e- 1I:- = _~Mp2
2
R- [) pi[)JLp. + eK (ViWV.W _ 3 WW*)
JL ~ ~ M2
P
- Xj 1)x~.-:t
. 1)Xj - (K/2"
e V~VJWXiXj + h.c. ) - 2'I/J
1 - RJL
JL
+ (~eK/2W1,bJLR'YJLv'I/JvR + 1,bJLL ~pi'YJLXi + 1,bRXieK/2ViW + h.c.)

+ ... (1)
A particular choice of the form of the Lagrangian is motivated and notations are
given in [4]. In Eq. (1) K is the Kahler potential, pi is the complex conjugate of
Pi.
According to the inflationary scenario, the Universe initially expands quasi-
exponentially in a vacuum-like state without entropy or particles. At the stage
of inflation, all energy is contained in a classical slowly moving fields P in the
inflaton sector. The last term of the 1st line of (1) is the scalar potential V(Pi)'
The equations of motion based on the first line should describe inflation, which
is a challenging problem by itself. The Lagrangian (1) contains also other fields
which give subdominant contributions to gravity. The Friedmann equation for
the scale factor a(t) and the Klein-Gordon equation for p(t) determine the evolu-
tion of the background fields. In the chaotic inflation models, soon after the end
of inflation, an almost homogeneous inflaton field p(t) coherently oscillates with
a very large amplitude of the order of the Planck mass around the minimum of its
potential. This scalar field can be considered as a coherent superposition of infla-
tons with zero momenta. The amplitude of oscillations gradually decreases not
only because of the expansion of the universe, but also because energy is trans-
ferred to particles created by the oscillating field. At this stage we shall recall
the rest of the fundamental Lagrangian which includes all the fields interacting
with inflaton. These interactions lead to the creation of many ultra-relativistic
particles from the inflaton. Gradually, the inflaton field decays and transfers all
of its energy to the created particles. In this scenario all the matter constituting
Preheating, Thermalization and Supergravity 137
the universe is created from this process of reheating. If the creation of parti-
cles is sufficiently slow, the particles would simultaneously interact with each
other and come to a state of thermal equilibrium at the reheating temperature
TR. This gradual reheating can be treated with the perturbative theory of par-
ticle creation and thermalization. However, typically particle production from
coherently oscillating inflatons occurs not in the perturbative regime but in the
non-perturbative regime of preheating [1].
In this contribution I will discuss several problems of preheating after infla-
tion, some of them related to the supergravity. This discussion is based on new
results derived in recent papers [3,4,7,5,6,2].
2 Tachyonic Preheating
Another popular class of inflationary models - hybrid inflation - involve multiple

scalar fields f>i in the inflaton sector. Previous studies of preheating in hybrid
models were concentrated on particle creation by parametric resonance that may
occur when homogeneous background fields oscillate around the minimum of the
potential. Such parametric resonance mayor may not be strong depending on
the coupling parameters. However, we recently found [6] that there is strong
preheating in hybrid inflation, but its character is quite different from preheat-
ing based on parametric resonance. It turns out that typically there is tachyonic
instability that appears in a broad class of hybrid inflation models. The backre-
action of rapidly generated fluctuations does not allow homogeneous background
oscillations to occur because all energy of the oscillating field is transferred to
the energy of long-wavelength scalar field fluctuations within a single oscillation.
However, this does not preclude the subsequent decay of the Higgs and infla-
ton inhomogeneities into other particles, and thus reheating without parametric
resonance.
Consider the simple potential for the two-field hybrid inflation is
(2)
where we used notations f>1 = =

1, f>2 a. Inflation in this model occurs while
the homogeneous f>1 field slow rolls from large 1 towards the bifurcation point at
1= ';;v (due to the slight lift of the potential in 1 direction). Once 1(t) crosses
the bifurcation point, the curvature of the a field, m~ == 8 2 Vj8a 2 , becomes
negative. This negative curvature results in exponential growth of a fluctuations.
Inflation then ends abruptly in a "waterfall" manner.
One reason to be interested in hybrid inflation is that it can be implemented
in supersymmetric theories. In particular, for illustration we will consider pre-
heating in the supersymmetric F-term inflation as an example of a hybrid model.
The simplest F-term hybrid inflation model (without undesirable domaine
walls) is based on a superpotential with three left-chiral superfields f>i = (f>1,
138 Lev Kofman
..j). (44>24>3 -
W = 24>1 V
2) . (3)
In this case, the spontaneous breaking of the local (global) U(l) symmetry be-
tween the 4>2 and 4>3 fields will lead to gauge (global) string formation.
In global SUSY, using the same notation for superfields and their complex
scalar components, this superpotential contributes
(4)
to the scalar potential. In general, 4>3 and 4>3 could be (oppositely) charged under
a local U(l) symmetry, in which case we should include aD-term, VD , which we
negelect here.
In this model, inflation occurs when chaotic initial conditions lead to (l4>d) »
v. When this happens, the fields 4>2 and 4>3 acquire large effective masses and
roll to their local minimum at (4)2) = (4)3) = O. In this limit, the potential (4)
becomes V ~ >.~4, which gives rise to a non-vanishing effective cosmological
constant. However, this is a false vacuum state; the true vacuum corresponds to
2
(4)24>3) = v4 and (4)1) = O. The slow-roll potential drives the evolution of the
inflaton towards its true VEV. When its magnitude reaches the value (l4>cl) = ¥
spontaneous symmetry breaking occurs.
For further discussion of symmetry breaking i!1 this model, let us rewrite (4)
in terms of polar fields: 4>3 = 14>3Ie iO , 4>2 = !4>2Ie iO . The potential becomes
VF = ~ (16!4>2!214>3!2 - 8v 214>2114>31 cos(O + 0) + v 4 ) + 4,\!4>2 12 (14)21 2 + 14>31 2) .

(5)
At the stage of symmetry breaking, when (14)24>31) begins to move away from
zero, the absolute phase Arg(4)24>3) = 0 + 0 acquires a mass and is forced to
zero. Note, however, that the potential is independent of the relative phase,
o- 0, reflecting the U(l) symmetry. Thus, in a quasi-homogeneous patch, the
U(l) symmetry allows us to choose the relative phase of the 4>2,4>3 fields to be
zero without any loss of generality. This choice, combined with the vanishing of
the absolute phase, is equivalent to choosing the two complex 4>2, 4>3 fields to
be real. In order to leave canonical kinetic terms, we define O'± == 14>31 ± 14>21.
Furthermore, as inflation has left the inflaton homogeneous across all the patches,
we may choose it to be real: ¢> == v'214>1 I·
In terms of these three real fields, the potential now becomes
(6)
In the symmetric phase, when O'± = 0, the 0' fields have an effective mass-
squared: m~(¢» = ,\ (2¢>2 =f v 2 ). We can now see that spontaneous symmetry
breaking occurs in this model exactly as in the two field model (2). For ¢> <
¢c = :fi, the (J + field has a tachyonic mass that triggers symmetry breaking
and the end of inflation. On the other hand, the (J _ field has always a large and
positive effective mass-squared, pinning it to zero. Thus, during inflation and at
the initial stages of symmetry breaking, this model behaves just like the standard
two field hybrid model discussed in the last section. We have only to apply the
constraint g2 = 2>' and identify the Higgs field with (J+. The equations for the
homogeneous background components ¢(t) and (J±(t) admits simple solution
1
¢(t) + y'2(J+(t) = ¢c , (J-(t) =0 . (7)
To study preheating in the F-term inflation, we have to analyse evolution

of the vacuum fluctuations. Consider vacuum fluctuations in the inflaton sector
Pi of the theory (5). Usual description in terms of a homogeneous background
plus small fluctuations gives us equations for fluctuations around the background
solution (7). We define the variances of fields:
and similar for ¢ field. Here P±,¢(k, t) are the spectra of the fluctuations.
log('}'.)
10
Fig. 2. Evolution of the background fields u + (t) and </>( t) after symmetry breaking and
the log of P+(k) for the mode with the momentum k = O.2-/Xv.
Numerical solutions of the equations for the background fields and for the
time evolution of the fluctuations of (J+ for the mode k where their spectrum is
maximum are plotted as the bold line at the Figure 2. Notice an enormous expo-
nential growth of the fluctuations within a single background oscillation. Indeed,
the amplitude P+(k) increases by factor 10 10 ! There are two factors which con-
tributes to such a strong instability of fluctuations in the model. First, oscillating
background fields are crossing the region with significant negative curvature of
the effective potential, which results in tachyonic instability. Second, this region
turn out to be a turning point for the background oscillations, where the fields
140 Lev Kofman
0.01
0.0001
Fig. 3. Means and variances in units of c/>c. The squared means {c/»2 and {0"+)2 are
ordinary solid lines while the field variances are thick lines. The mean of c/> starts at c/>c,
oscillates once, and then decays. The mean of 0"+ grows in antiphase to c/> and freeses
at c/>c.
spend significant portion of the oscillation. As a result, tachyonic instability is

lasting long enough to make the backreaction of the fluctuations to be signif-
icant already within single background oscillation. The regime of background
oscillations will even not be settled. Therefore practically from the beginning we
have to use the lattice simulations to study nonlinear dynamics of the fields. The
results of full lattice simulations in the model are plotted in Figure 3. The simula-
tions showed that the homogeneous fields <p and 0"+ initially followed the classical
trajectory (7) but, within one oscillation of the inflaton field, fluctuations grew
too large to speak meaningfully of the fields as homogeneous oscillators. These
fluctuations grew in such a way that a + = a_ * almost exactly throughout the
simulation. In other words Re 00"+ and 1m oa_ were excited while 1m 00"+ and
Re oa_ were not. Because of this we only plot the fields c/> and a+.
In [6] we develop a general theory of tachyonic preheating, which occurs due
to tachyonic instability in the theories with spontaneous symmetry breaking.
Our approach combines analytical estimates with lattice simulations taking into
account all backreaction effects. The process of spontaneous symmetry breaking
involves transfer of the potential energy into the energy of fluctuations produced
due to the tachyonic instability. We show that this process is extremely efficient
and requires just a single oscillation of the scalar field falling from the top of the
effective potential. We considered preheating in the hybrid inflation scenario,
including SUSY motivated F-term and D-term inflationary models.
3 Development of Equilibrium
The character of preheating may vary from model to model, e.g. parametric ex-
citation in chaotic inflation [1] and tachyonic preheating in hybrid inflation [6],
but its distinct feature remains the same: rapid amplification of one or more
bosonic fields to exponentially large occupation numbers. This amplification is
eventually shut down by backreaction of the produced fluctuations. The 'end

result of the process is a turbulent medium of coupled, inhomogeneous, classi-
cal waves far from equilibrium. Despite the development of our understanding
of preheating after inflation, the transition from this stage to a hot Friedmann
universe in thermal equilibrium has remained relatively poorly understood. The
details of this thermalization stage depend on the constituents of the fundamen-
tal Lagrangian (1) and their couplings, so at first glance it would seem that a
description of this process would have to be strongly model-dependent. Recently
we performed a fully nonlinear study of the development of equilibrium after pre-
heating [5]. We have performed lattice simulations of the evolution of interacting
scalar fields during and after preheating for a variety of inflationary models. We
have found, however, that many features of this stage seem to hold generically
across a wide spectrum of models. Indeed, at the end of preheating and beginning
of the turbulent stage t*, the fields are out of equilibrium. We have examined
many models and found that at t* there is not much trace of the linear stage of
preheating and conditions at t* are not qualitatively sensitive to the details of
inflation. We therefore expect that this second, highly nonlinear, turbulent stage
of preheating may exhibit some universal, model-independent features. Although
a realistic model would include one or more Higgs-Yang-Mills sectors, we treat
the simpler case of interacting scalars.
We have numerically investigated the processes of preheating and thermal-
ization in a variety of models and determined a set of rules that seem to hold
generically. These rules can be formulated as follows (in this section we use
notations if> = PI for the inflaton field and X, (J for other scalars Pi)
1. In many, if not all viable models of inflation there exists a mechanism for
exponentially amplifying fluctuations of at least one field X. These mechanisms
tend to excite long-wavelength excitations, giving rise to a highly infrared spec-
trum.
The mechanism of parametric resonance in single-field models of inflation
has been studied for a number of years. This effect is quite robust. Adding
additional fields (e.g. (J fields) or self-couplings (e.g. X4 ) has little or no effect
on the resonant period. Moreover, in many hybrid models a similar effect occurs
due to tachyonic instability. The qualitative features of the fields arising from
these processes seem to be largely independent of the details of inflation or the
mechanisms used to produce the fields.
2. Exciting one field X is sufficient to rapidly drag all other light fields with which
X interacts into a similarly excited state.
We have seen this effect when multiple fields are coupled directly to X and
when chains of fields are coupled indirectly to X. All it takes is one field being
excited to rapidly amplify an entire sector of interacting fields. These second
generation amplified fields will inherit the basic features of the X field, i.e. they
will have spectra with more energy in the infrared than would be expected for
a thermal distribution.
142 Lev Kofman
3. The excited fields will be grouped into subsets with identical characteristics
(spectra, occupation numbers, effective temperatures) depending on the coupling
strengths.
We have seen this effect in a variety of models. For example in the models
(9) which we are going to consider the X and a fields formed such a group. In
general, fields that are interacting in a group such as this will thermalize much
more quickly than other fields, presumably because they have more potential to
interact and scatter particles into high momentum states.
4. Once the fields are amplified, they will approach thermal equilibrium by scat-
tering energy into higher momentum modes.
This process of thermalization involves a slow redistribution of the particle
occupation number as low momentum particles are scattered and combined into
higher momentum modes. The result of this scattering is to decrease the tilt
of the infrared portion of the spectrum and increase the ultraviolet cutoff of
the spectrum. Within each field group the evolution proceeds identically for all
fields, but different groups can thermalize at very different rates.
Here we will illustrate these results with a simple chaotic inflation model with
a quartic inflaton potential. The inflaton ¢ has a four-legs coupling to another
scalar field X, which in turn can couple to two other scalars a1 and a2. The
potential for this model is
V = ~..\¢4 + ~l¢2X2 + ~h2x2a2

11
+ ~h2x2a2
22 (9)
4 2 2 2
Preheating in this theory in the absence of the ai fields is well studied. For
nonsmall if the field X will experience parametric amplification, rapidly rising
2
to exponentially large occupation numbers. In the absence of the X field (or

for sufficiently small g) ¢ will be resonantly amplified through its own self-
interaction, but this self-amplification is much less efficient than the two-field
interaction. The results shown here are for ..\ = 9 X 10- 14 (for CMB anisotropy
normalization) and g2 = 200..\. When we add a third field we use h~ = 100g 2
and when we add a fourth field we use h~ = 200g 2 •
One of the most interesting variable to calculate is the (comoving) number
density of particles of the fields n(t) and their occupation number nk. The evo-
lution of the total number density of all particles ntot is an indication of the
physical processes taking place. In the weak interaction limit the scattering of
classical waves via the interaction ~ g2 ¢2 X2 can be treated using a perturbation
expansion with respect to g2. The leading four-legs diagrams for this interaction
corresponds to a two-particle collision (¢X -+ ¢X), which conserves ntot. The
regime where such interactions dominate corresponds to "weak turbulence" in
the terminology of the theory of wave turbulence. If we see ntot conserved it
will be an indication that these two-particle collisions constitute the dominant
interaction. Conversely, violation of ntot(t) = canst will indicate the presence of
strong turbulence, i.e. the importance of many-particle collisions. Such higher
order interactions may be significant despite the smallness of the coupling pa-
rameter g2 (and others) because of the large occupation numbers nk. Later,
n Number Density
r,-..
/,-
1. x 10 13
/
/
1. X lOll
f
r
1. x 10 9
7
1. x 10
100000. t
0 500 1000 1500 2000
Fig. 4. Time evolution of number density of particles in the model (9). The curves
represent n¢, n x , n<71' n<72 from top to bottom. Unit of (conformal) time is a· 10- 36
sec.
when these occupation numbers are reduced by rescattering, the two-particle

collision should become dominant and ntot should be conserved. For a bosonic
field in thermal equilibrium with a temperature T and a chemical potential JL
the spectrum of occupation numbers in the limit of classical waves is given by
T
nk ~ ---. (10)
Wk - JL
Figure 4 shows an exponential increase of n(t) during preheating, followed

by a gradual decrease that asymptotically slows down. This exponential increase
is a consequence of explosive particle production due to parametric resonance.
After preheating the fields enter a turbulent regime. In our simulations we see
n(t) decreasing during this stage. This decrease is a consequence of the many-
particle interactions beyond the four legs rescattering.
Figure 5 illustrates the late-time spectrum of particles. Initially spectra are
concentrated at the infrared section, which is gradually flattening as it ap-
proaches a thermal distribution (10) (i.e. a slope of -1 to 0 depending on the
chemical potential and the mass). The spectra of three fields are essentially
identical, which leads to
(11)
Another important point is that the interaction of X and O"i does not affect the
preheating of Xi, but does drag O"i exponentially quickly into an excited state.
The fields O"i are exponentially amplified not by parametric resonance, but by
their stimulated interactions with the amplified X field. Unlike amplification by
preheating, this direct decay nearly conserves particle number, with the result
that n x decreases as O"i grow.
Interacting waves of scalar fields constitute a dynamical system. Dynamical
chaos is one of the features of wave turbulence. In [5] we address the question
how and when the onset of chaos takes place after preheating. To investigate the
144 Lev Kofman
occupation Number: t=2400.
loxl0'
1. x 106+--~------~-----'='-~ It
2 5 10 20
Fig. 5. Occupation number versus momentum for the model (9). The curves represent
spectra of particles for the fields ¢>, X, 0"1 and 0"2 from top to bottom All the fields other
than the inflaton have nearly identical spectra
onset of chaos we have to follow the time evolution of two initially nearby points
in the phase space. Consider the theory with the potential (9) with two fields
¢ and X only (which we collectively denote as I). Consider two configurations
of a scalar field f and f' that are identical except for a small difference of the
fields at a set of points XA. Chaos can be defined as the tendency of such nearby
configurations in phase space to diverge exponentially over time. This divergence
is parametrized by the Lyapunov exponent for the system, defined as
oX == ~log .1(t) (12)

t .1 0
where .1 is a distance between two configurations and .1 0 is the initial distance
at time O. In the context of preheating is is convenient to define .1 as
(13)
). t
Fig. 6. The Lyapunov exponent A for the fields if> and X using the normalized distance
function .1.
that is well regularized even while the field X is being amplified exponentially
during preheating. Figure 6 shows the Lyapunov exponent A. We see the onset
of chaos only at the end of preheating. The plot for the ¢ field is nearly identical.
The Lyapunov exponents for the fields were At/! ~ AX ~ 0.2 (in the units of time
adopted in the simulation). This corresponds to a very fast onset of chaos around
the moment t. where the strong tubulence begins.
The highlights of our study for early universe phenomenology are the fol-
lowing. The mechanism of preheating after inflation is rather robust and works
for many different systems of interacting scalars. There is a stage of turbulent
classical waves where the initial conditions for preheating are erased. Initially,
before all the fields have settled into equilibrium with a uniform temperature,
the reheating temperature may be different in different subgroups of fields. The
nature of these groupings is determined by the coupling strengths.
4 Parametric Excitations of Fermions

The interaction between bosons and inflaton(s) may results in the copious pro-
duction - preheating - of the bose particles, either due to the parametric res-
onance as in the chaotic inflation or due to the tachyonic instability as in the
hybrid inflation. Preheating of bosons has been studied in details with analytic
approximations as well as with the lattice simulations. Consider second line of
Eq. (1) and ignore mixing between fermions X and gravitino 'l/JIJ. (which cor-
responds to the rigid SUSY limit). There is interaction between inflaton and
fermions. Let us consider a simple Yukawa interaction h¢¢'l/J, which should lead
to the production of fermions from inflaton oscillations (in this section we use
notation ¢ for the inflaton field). For fermions, the Pauli exclusion principle
prohibits the occupation number from exceeding 1. For this reason, it has been
silently assumed that fermions are created in the three-legs perturbative process
¢ -t XX where individual inflatons decay independently into pairs of x-particles.
Following [2] let us, however, consider the Dirac equation for a massless quantum
Fermi field X(t, x) intracting with the background inflaton
[,IJ.\71J. + h¢(t)] X = a, (14)
where \7 IJ. is the derivative with the spin connection. Here, similar to the bosonic
case, the inflatons producing fermions also act not as individual particles but as a
coherently oscillating field ¢(t). Indeed, the equation for the eigenfunctions of the
quantum fluctuations in this theory can be reduced to a second-order equation
for an auxillary field X(t, x), so that 1JI = [')'1J.\71J. + hcp] X. The eigenmodes of
,0
the auxillary field have the form Xk(t)e+ik.xRr, where the R r are eigenvectors
,0
of the Dirac matrix with eigenvalue +1 (we are using the representation
of gamma matrices where = diag(i, i, -i, -i)). The temporal part of the
eigenmode obeys an oscillator-like equation with a complex frequency which
depends periodically on time
(15)
146 Lev Kofman
1.0
o.
0.6
nk
0.4
~
0.2
0
0 10 15 20
r
T
Fig. 7. The occupation number nk offermions in m~4?-inflation. The initial resonance

parameter is qo = 10 6 and the mode is K.~ ~ vqm 2 , T = ~.
where n = ..,ftif. The background oscillations enter in the form f(t) = ~,

where <Po is their amplitude. Without imaginary part, this equation will the the
equation for the fluctuations of the bose field, which results in its parametric
resonance. The imaginary part of the frequency in Eq. (15) guarantees the Pauli
blocking for the occupation number nk. The results for nk can be formulated as
follows [2]. Even though the Yukawa interaction contains a small factor h, one
cannot use the perturbation expansion in h. The strength of the effect is ulti-
mately determined by the dimensionless parameter q. For instance, for chaotic
inflation with >"4>4 potential, q = Y
is typically very large. For instance, in the
simple supergravity theory with W = v'X4>3 and single chiral multiplet, h = J2X
and q = 2. For the quadratic inflaton potential m 24>2, the parameter q = ~, p
where 4>0 is the amplitude of the inflaton oscillations, which initially is rv a.1Mp.
1.0
0.8
0.6
nk
0.4
0.2
0
0 50 100 150 200 250 300
",2
Fig. 8. The comoving occupation number of fermions in m~4>2-inflation after 50

inflaton oscillations for initial resonance parameter qo = 103 . Expansion of the universe
destroys the details of the resonance band and leads to a fermi-sphere of width ql/4 m .
The modes get fully excited with occupation numbers nk ~ 1 within tens of
oscillations of the field ¢>, and the width of the parametric excitation of fermions
in momentum space is about ql/4 mel I, where melI is the frequency of the back-
ground inflaton oscillations. It turns out that the analytic theory of fermionic
preheating can be advanced similar to that for the bosonic preheating, see [2]
for details. For illustration in Figure 7 we show the time evolution of the occu-
pation number of fermions in m 2 ¢>2 inflation, where excitations of fermions is a
stochastic process. Figure 8 shows the spectrum of fermionic excitations, which
stochastically filling a (Fermi) sphere in the momentum space [2].
5 Gravitino from Preheating
Let us now consider the third line in the supergravity Lagrangian (1), which
describes the gravitino field 'ljJw Assume that the gravitino mass m3/2 '" 102 -
103Gev. Such particles decay very late after nucleosynthesis and lead to disas-
trous cosmological consequences unless the abundance of gravitinos (in units of
the number density of photons) is extremely suppressed, n3/2/n"( < 10- 15 . This
puts constrains on the reheat temperature TR to avoid gravitino overproduction
from thermal scattering of particles in the very early universe, TR < 108 Gev.
However, gravitinos can be produced not only in the thermal bath after preheat-
ing but even earlier during the inflaton oscillations, similarly to the production
of fermions from preheating [3]. Thus the investigation of the non-thermal grav-
itino production in the early universe may serve as a useful tool to discriminate
among various versions of inflations.
To study gravitino production from preheating, first one shall derive its equa-
tion, which is a challenge by itself. The formalism for gravitinos in an expanding
universe and in the presence of complex scalar fields with non-vanishing VEV's
was recently formulated in paper [4]. The equation for the gravitino has on the
left hand side the kinetic part RJ1. == fJ1. lIpq 'Y5'YI,,'D p 'IjJq, and a rather lengthy right
hand side (we use the long derivative DJ1. with the spin connection and Christof-
fel symbols, for which DJ1.'Y1I = 0). Apart of varying gravitino mass m3/2 = ~,
p
the right hand side contains a chiral connection and various mixing terms like
those in the 3rd line of (1). For a self-consistent setting of the problem, the
gravitino equation should be supplemented by the equations for the fermions
Xi and gauginos \l: mixing with gravitino, as well as by the equations deter-
mining the gravitational background and the evolution of the scalar fields. We
formulated cosmological extension of the super-Higgs effect [4]. It turns out that
supersymmetry is spontaneously broken if the combination
(16)
is positive. In flat space-time usually supersymmetry breaking is associated with

the non-vanishing gravitino mass m3/2' In an expanding universe the Hubble pa-
rameter H plays an equally important role. For instance, the gravitino mass (i.e.
superpotential W) can vanish, but supersymmetry will be still spontaneously
148 Lev Kofman
broken. For further discussion of the nonthermal gravitino production, let us

make some simplifications. We consider the supergravity multiplet and a single
chiral multiplet containing a complex scalar field ip with a single chiral fermion
X. This is a simple non-trivial extension which allows us to study the gravitino
with a non-trivial FRW cosmological metric supported by the scalar field. A
nice feature of this model is that the chiral fermion X can be gauged to zero
so that the mixing between 'l/J/-l and X in (1) is absent. We also can choose the
non-vanishing VEV of the scalar field (inftaton) in the real direction. First we
will derive the equation for a spin 3/2 field in a curved background metric with
non-vanishing VEVs for the scalar fields. From (1) we can obtain the equation
for the gravitino We use a plane-wave ansatz 'l/J/-l ,...., eik-x for the space-dependent
part. Component 'l/Jo is related to 'l/Ji via the constraint equation. Next, 'l/Ji can be
decomposed into its transverse part 'l/J[, and to the longitudinal part 'l/Jf which
is defined by the trace ,i'l/Ji. Two degrees of freedom of'l/J/-l are associated with
the transverse part 'l/J[, which correspond to helicity ±3/2 and two degrees of
freedom are associated with ,i'l/Ji (or 'l/Jo) which correspond to helicity ±1/2.
Equation for the helicity ±3/2 states for J.l = i is
(,/-l8/-l + ;~,o +m3/2 a) 'l/J[ = o. (17)
The transformation 'l/J[ = a- I / 2 i[J{ reduces the equation for the transverse part
to the free Dirac equation with a time-varying mass term m3/2a, c.f. eq. (14).
In the previous section we explained how to treat this type of equation. The
essential part of If/[ is given by the time-dependent part of the eigenmode of the
transversal component XT(t), which obeys second-order equation (c.f. (15)):
.
XT + (2
k + (m3/2a) 2'
- i(m3/2a) ) XT = 0 . (18)
Production of helicity 3/2 gravitino is essential at the fast rolling stage of inftaton
evolution, when W may be changed nonadiabatically.
The corresponding equation for gravitino with helicity 1/2 is more compli-
cated. It is convenient to use combination (J = ,i'l/Ji which fully describes helicity
1/2 states. Equation for combination The equation for (J is
(19)
where fJ = - ~~ ..1- ~a,o(1 + 3..1), and
A
• p - 3m2M~
= p+3m2M~ + ,0 2inM~
p+3m2M~
= Al + ,oA2 • (20)
Here p and p are the energy-density and pressure of the background scalar field.
For the single scalar field IAI 2 = 1 for an arbitrary superpotential W. Thus
A can be represented as A = - exp (2i I~oo dt p(1})) , where J.l = DDW + ,1,
the correction L1 = O(Mp l
) is given in [4]. The time-dependent factor of the
spinor 0, which we denote as h(t), obeys a second-order differential equation. By

the substitution fk(t) = =
E(t)X(t), with E (-A*)I/2 e- f dtReB, the equation
for the function fk(t) is reduced to the oscillator-like equation for the time-
dependent mode function XL of the longitudinal component:
XL + (k 2 + ill - iJiL) XL = 0 (21)
with a-I ilL = fL-~H sin 2f fLdt-~m (1 + 3 cos 2 f fLdt). Equation (21) describes
the creation of gravitinos from preheating. Notable the gravitino with helicity
1/2 remains coupled to the changing background even in the limit Mp -+ 00.
In a sense, the gravitino with helicity 1/2 remembers its goldstino nature. Thus
gravitino production in this background in general is not suppressed by the
gravitational coupling. The main dynamical quantity which is responsible for
the gravitino production in this scenario will not be the small changing gravitino
mass m3/2, but the mass of the chiral multiplet fL, which is much larger than
m3/2'
But do we really produce gravitinos from preheating, or we describe the
production of the chiral fermion? To answer this question, we have to investigate
more realistic and more complicated problem with several chiral multiplets. As
the first step in this direction we derived equations for gravitinos for an arbitrary
number of chiral multiplets plus gYM sector [4]. For instance, generalization of
the equation (19) for the next simplest case of two chiral multiplets even in the
limit M p -+ 00 is reduced to the complicated second-order spinor equation
(at + iJ - ik· IIoA) 0 + (; [a; + (k 2

- ik· IIoA)] 0 = 0, (22)
the matrix (; is constructed from the backgroud scalars. We expect solutions of

this equations will allow us to find the residual gravitino production.
References
1. L. Kofman, A. Linde and A. Starobinsky, Phys. Rev. Lett. 73, 3195 (1994)
2. P. Greene and L. Kofman, Phys. Rev. D, hep-ph/0003018
3. R. Kallosh, L. Kofman, A. Linde, and A. Van Proeyen, Phys. Rev. D61, 103503
(2000).
4. R. Kallosh, L. Kofman, A. Linde, and A. Van Proeyen, Class. Quant. Gravity, 17,
4269 (2000); hep-th/0006179
5. G. Felder and L. Kofman, hep-th/0011160
6. J. Garcia-Bellido, P. Greene, G. Felder, L.Kofman, A. Linde, I. Tkachev, Preprint
CITA-00-60.
7. L. Kofman, in: General Relativity and Relativistic Astrophysics, 8th Canadian
Conference (AlP Proceedings 493, 1999), Eds. C. Burgess and R. Myers.
Dark Energy in Extra Dimensions
and String Theory: Consistency Conditions
H.P. Nilles
Physikalisches Institut, Universitiit Bonn, Nussallee 12, 53115 Bonn, Germany
Abstract. The smallness of the cosmological constant is one of the basic problems
in particle physics and cosmology. Various attempts have been made to explain this
mystery, but no satisfactory solution has been found yet. The appearance of extra
dimensions in the framework of brane world systems seems to provide some new ideas
to address this problem form a different point of view. We shall discuss some of these
new approaches and see whether or not they lead to an improvement of the situation.
We shall conclude that we are still far from a solution of the problem.
1 Introduction
We know that the cosmological constant is much smaller than one would naively
expect. This led to the belief that a natural approach to this problem would
be a mechanism that explains a vanishing value of this vacuum energy. While
cosmological observations[1,2] seem to be consistent with a nonzero value of the
cosmological constant, still the small value obtained lacks a satisfactory expla-
nation other than just being the result of a mere fine-tuning of the parameters.
Recently new theoretical ideas in extra dimensions have been put forward
to attack this problem. In the present talk I shall elaborate on work done in
collaboration with Stefan Forste, Zygmunt Lalak and Stephane Lavignac[3-5],
where the problem of fine-tuning has been analyzed in the framework of models
with extra dimensions that have attracted some attention recently.
One of the most outstanding open problems in quantum field theory is it to
find an explanation for the stability of the observed value of the cosmological
constant in the presence of radiative corrections. As we will see below (and as has
been discussed in several review articles[6-8]) a simple quantum field theoretic
estimate provides naturally a cosmological constant which is at least 60 orders
of magnitude to large. Quantum fluctuations create a vacuum energy which in
turn curves the space much stronger than it is observed. Hence, the classical
vacuum energy needs to be adjusted in a very accurate way in order to cancel
the contributions from quantum effects. This would require a fine-tuning of the
fundamental parameters of the theory to an accuracy of at least 60 digits. From
the theoretical point of view we consider this as a rather unsatisfactory situation
and would like to analyze alternatives leading to the observed cosmological con-
stant in a more natural way. In this talk we will focus on brane world scenarios
and how they might modify the above mentioned problem. In brane worlds the
observed matter is confined to live on a hypersurface of some higher dimensional
Hans Peter Nilles 151
space, whereas gravity and possibly also some other fields can propagate in all
dimensions. This may give some alternative point of view concerning the cosmo-
logical constant since the vacuum energy generated by quantum fluctuations of
fields living on the brane may not curve the brane itself but instead the space
transverse to it. The idea of brane worlds dates back to [9-11J. A concrete re-
alization can be found in the context of string theory where matter is naturally
confined to live on D-branes [12J or orbifold fixed planes [13J. More recently
there has been renewed interest in addressing the problem of the cosmological
constant within brane worlds, for an (incomplete) list of references see [14-42J
and references therein/thereof.
The talk will be organized as follows. First, we will recall the cosmological
constant problem as it appears in ordinary four dimensional quantum field the-
ory. We shall then elaborate on some of the past (four-dimensional) attempts to
solve the problem. Subsequently the general set-up of brane worlds will be pre-
sented. Particular emphasis will be put on a consistency condition (sometimes
also called a sum rule) for warped compactifications that has been overlooked
in various attempts to address the problem of the cosmological constant and
which is a crucial tool to understand the issue of fine-tunings in the brane world
scenario. Then we will study how fine-tunings appear in order to achieve a van-
ishing cosmological constant in the Randall Sundrum model [14,15J. We shall
argue that a similar fine-tuning is needed in the set-up presented in [21,22J once
the singularity is resolved. Finally, we elaborate on the issue of the existence
of nearby curved solutions and we will argue that it is this questions that has
to be addressed if one wants to understand the small value of the cosmological
constant.
2 The problem
The observational bound on the cosmological constant is
(1)
where Mpl is the Planck mass (of about 10 19 GeV) and the formula has been
written in such a way that the quantity appearing on the left hand side corre-
sponds to the vacuum energy density. This is a very small quantity once one
admits the possiblilty of the Planck scale as the fundamantal scale of physics.
Even in the particle physics standard model of weak, strong and electromagnetic
interactions one would expect a tree level contribution to the vacuum energy of
order of several hundred GeV taking into account the scalar potential that leads
to electroweak symmetry breaking. Moreover, in quantum field theory we expect
additional contributions from perturbative corrections, e.g. at one loop
(2)
in addition to >'0 the bare (tree level) value of the cosmological constant which
can in principle be chosen by hand. The supertrace in (2) is to be taken over
152 Dark Energy in Extra Dimensions and String Theory
degrees of freedom which are light compared to the scale set by the UV-cutoff.
Comparison of (1) with (2) shows that one needs to fine-tune 120 digits in >"OM~1
such that it cancels the one-loop contributions with the necessary accuracy.
Supersymmetry could ease this problem of radiative corrections (for a review
see[43]). If one believes that the world is supersymmetric above the TeV scale one
would still need to adjust 60 digits. Instead of adjusting input parameters of the
theory to such a high accuracy in order to achieve agreement with observations
one would prefer to get (1) as a prediction or at least as a natural result of the
theory (in which, for example, only a few digits need to be tuned, if at all).
This is the situation within the framework of four-dimensional quantum field
theories. The above discussion might be modified in a brane world setup which
we will discuss in this lecture. We should however mention already at this point
that "modification" does not necessarily imply an improvement of the situation.
Before we get into this discussion let us first recall some attempts to solve the
problem in the four-dimensional framework.
3 Possible solutions?
A starting point for a natural solution would be a symmetry that forbids a

cosmological constant. In fact, symmetries that could achieve this do exist: e.g.
supersymmetry and conformal symmetry. Unfortunately these symmetries are
badly broken in nature at a level of at least a few hundred GeV and therefore
the problem remains. Still one might think that the presence of such a symmetry
would be a first step in the right direction.
A second possible solution could be a dynamical mechanism to relax the
cosmological constant. Such a mechanism could be quite similar to the axion
mechanism that relaxes the value of the () parameter in quantum chromodynam-
ics (QCD). This mechanism needs a new ingredient, a propagating field that
adjusts is vacuum expectation value dynamically. For a review of these ques-
tions see [6,44]. In string theory the so-called "sliding dilaton" could play this
role as has been argued in [45,46]. In all these cases, however, one would then
expect the existence of an extremely light scalar degree of freedom which would
lead to new fifth force that probably should not have escaped our detection.
Other attempts to understand the value of the vacuum energy have used the
anthropic principle in one of its various forms. For a review see [6].
Given the present situation it is fair to say that we do not have yet a sat-
isfactory solution of the problem of the cosmological constant, at least in the
framework of four-dimensional string and quantum field theories. Could this be
better in a higher dimensional world? For an alternative way to address the
problem in less than four space-time dimensions see [7].
We should keep in mind, however, that the problem of the cosmological con-
stant is just a problem of fine-tuning the parameters of the theory in a very
special way. We now want to see whether this can be avoided in a higher dimen-
sional set-up.
4 What about extra dimensions d > 4?

In the so-called "brane world scenario" matter fields (quarks and leptons, gauge
bosons, Higgs bosons) are supposed to be confined to live on a hyper surface (the
brane) in a higher dimensional space, whereas gravity and possibly also some
additional fields can propagate also in directions transverse to the brane. Such
a picture of the universe is motivated by recent developments in (open) string
theory [12] and heterotic M-theory [13,47]. Since gravitational interactions are
much weaker than the other known interactions, the size of the additional dimen-
sion is much less constrained by observations than in usual compactifications.
In fact, the size of the additional dimensions might be directly correlated to the
strength of four-dimensional gravitational interactions[48]. Looking for example
on product compactifications of type I string theory it has been noted that it is
possible to push the string scale down to the TeV range when one allows at least
two of the compactified dimensions to be "extra large" (i.e. up to a j.lm)[53].
A first look at the question of the cosmological constant does not look very
promising. The naive expectation would be that the cosmological constant in
the extra (bulk) dimensions AB and that on the brane, the brane tension T,
should vanish separately. We would then essentially have the same situation as
in the four-dimensional case, with the additional problem to explain why also
AB has to vanish. The known mechanism of a sliding field [45,46] can be carried
over to this case [49-52], but does not shed any new light on the question of the
cosmological constant.
A closer inspection of the situation reveals the novel possibility to have a
flat brane even in the presence of a nonzero tension T. For a consistent picture,
however, here one also has to require a non-zero bulk cosmological constant AB
that compensates the vacuum energy (tension) of the brane. In some way this
corresponds to a picture where the vacuum energy of the brane does not lead
to a curvature on the brane itself, but curves transverse space and leaves the
brane flat. Curvature of the brane can flow off to the bulk, a mechanism that is
sometimes called "self-tuning".
For such a mechanism to appear we need to consider so-called warped com-
pactifications where brane and transverse space are not just a direct product. We
shall see that in this case we can have flat branes embedded in higher dimen-
sional anti de Sitter space, provided certain consistency conditions have been
fulfilled.
In the following we will be considering the special case that the brane is 1+3
dimensional and we have one additional direction called y. Then the ansatz for
the five dimensional metric is in general (M, N = 0, ... ,4 and j.l, v = 0, ... 3)
ds 2 ::: GMNdxMdx N = e2A(Y)Yl'l/dxl'dxl/ +dy 2 (3)
where the brane will be localized at some y. We split
(4)
into a vacuum value 91'1/ and fluctuations around it hl'//' For the vacuum value
we will be interested in maximally symmetric spaces, i.e. Minkowski space (M4 ),
de Sitter space (dS4 ) , or anti de Sitter space (adS4 ). In particular, we chose

coordinates such that
diag (-l,l,l,l) for:M4
g,.w = diag ( -1, e2v'At, e2v'At, e2v'At) for: dS4 (5)
{ diag ( _e 2.;:Ax 3 , e2.;:Ax 3 , e2.;:Ax 3 , 1) for: adS 4
That means we are looking for 5d spaces which are foliated with maximally
symmetric four dimensional slices. Throughout this talk, the five dimensional
action will be of the form
S5 = J xv'-G
d
5
[R - ~ (8</»2 - V (</»] - L Jd xNJi (</» °(y - Yi).
~
5
(6)
We allow for situations where apart from the graviton also a scalar </> propagates
in the bulk. The positions of the branes involved are at Yi. With lower case 9 we
denote the induced metric on the brane which for our ansatz is simply
g/tv = GMNO':O~. (7)
The corresponding equations of motion read
J-G [RMN - ~GMNR- ~8M</>8N</>+ ~ (8</»2 GMN + ~V(</»GMN]

+~NL Jio (y - Yi) g/tvolfJ0'N = 0 ,(8)
i
- ~~ V-G + ~OM (V-GG MN ON¢;) -,,;=g~ 6 (y - Yi) o¢/i (¢;) = O. (9)

~
After integrating over the fifth coordinate in (6) one obtains a four dimensional
effective theory. In particular, the gravity part will be of the form
8 4 ,grav = M~l / 4
d xyCg (R - A) , (10)
where R is the 4d scalar curvature computed from g. The effective Planck mass
is M~l = Jdye 2A , (note that we put the five dimensional Planck mass to one).
Now, for consistency the ansatz (5) should be a stationary point of (10). This
leads to the requirement A = 6A. Finally, the on-shell values of the 4d effective
action should be equal to the 5-dimensional one. This results in the consistency
condition[4] (see also[24]),
6AM 2 (11)
J(8d4)x --
5
Pl·
It has to be fulfilled for all consistent solutions of the Einstein equations, inde-
pendently whether the branes are flat or curved. Especially for foliations with
Poincare invariant slices the vacuum energy A should vanish. Curved solutions
would require a corresponding nonzero value of A. It is this adjustment of the pa-
rameters that replaces the traditional four-dimensional fine-tuning in the brane
world picture.
5 A toy example: the Randall-Sundrum set-up

As a warm-up example for a warped compactification we want to study the
model presented in [14]. There is no bulk scalar in that model. Therefore, we
put ¢ = canst in (6). Moreover, we plug in
(12)
where A B , T 1 and T2 are constants. There will be two branes: one at y = 0 and
a second one at y = Yo. Denoting with a prime a derivative with respect to y
the yy-component of the Einstein equation gives
6 (A,)2 = _ AB (13)
4
Following [14] we are looking for solutions being symmetric under y -t -y and
periodic under y -t y + 2yo. The solution to (13) is
(14)
where Iyl denotes the familiar modulus function for -Yo < y < Yo and the
periodic continuation if y is outside that interval. The remaining equation to be
solved corresponds to the /-LV components of the Einstein equation,
3A" =- i fJ (y) - :2 fJ (y - Yo) . (15)
This equation is solved automatically by (14) as long as y is neither 0 nor Yo.

Integrating equation (15) from -€ to €, relates the brane tension T1 to the bulk
cosmological constant AB ,
(16)
Integrating around Yo gives
(17)
These relations arise due to jf = 0 in the ansatz and can be viewed as fine-tuning
conditions for the effective cosmological constant (A in (10))[16]. Indeed, one
finds that the consistency condition (11) is satisfied only when (14) together with
both fine-tuning conditions (16) and (17) are imposed. Since the brane tension Ti
corresponds to the vacuum energy of matter living in the corresponding brane,
the amount of fine-tuning contained in (16), (17) is of the same order as needed
in ordinary 4d quantum field theory discussed in the beginning of this talk.
Next we have to address the important question: What happens if the fine-
tunings do not hold? Does this necessarily lead to disaster or do solutions exist
also in this case. Indeed it has been shown in [16] that in that case solutions exist,
however with jf i O. This closes the argument of interpreting conditions (16)
and (17) as fine-tunings of the cosmological constant. It also emphasizes the
new problem with the adjustment of the cosmological constant on the brane:
how to select the flat solution instead of these "nearby" curved solutions that
are continuously connected in parameter (moduli) space.
6 Going back to A B = 0: does it make sense?

Thus the generic higher dimensional set-up considers nonzero values of brane
tensions and the bulk cosmological constant. A fine tuning is needed to arrive
at a flat brane with vanishing cosmological constant.
Recently an attempt has been made to study the situation with AB = 0.
We will focus on a " solution" discussed in [21,22] (solution II of the second
reference). In this model there is a bulk scalar without a bulk potential
V(¢)=o. (18)
In addition we put one brane at y = 0, and a bulk scalar with a very specific
coupling to the brane via
4
fo (¢) = Toe b
</> , with: b = =F
3· (19)
Observe that this model already assumes fine-tuned values AB and b which would
have to be explained. We now make the same warped ansatz (3) as before. If again
we assume A = 0 in (5), the bulk equations seem to be solved by A' = ±~¢',
and
¢(y)= { ±£log
Ih-ccl
±210g i y + + d for: y < 0
+dfor:y>O' (20)
where d and c are integration constants (they would correspond to the vacuum
expectation values of moduli fields in an effective low energy description). Ob-
serve that with the logarithm appearing in (20) we are no longer dealing with
an exponential warp factor as (3) would suggest. As a result of this we have to
worry about possible singularities in the solution under consideration. We shall
come back to this point in a moment. Finally, by integrating the equations of
motion around y = 0 one obtains the matching condition
(21)
This means that the matching condition results in an adjustment of an integra-

tion constant rather than a model parameter (like in the previously discussed
example). So, there seems to be no fine-tuning involved even though we required
A = O. As long as one can ensure that contributions to the vacuum energy on
the brane couple universely to the bulk scalar as given in (19) it looks as if one
can adjust the vev of a modulus such that Poincare invariance on the brane is
not broken.
In fact it seems that a miracle has appeared: "solution" (20) is apparently
independent of the brane tension To. So if one would add something to To on
the brane, the solution does not change. This would also solve the problem of
potential contributions to the brane tension in perturbation theory, as they can
be absorbed in To. Is this so-called self-tuning of the vacuum energy a solution
to the problem of the cosmological constant? Unfortunately not, since there are
some subtleties as we shall discuss now.
We first notice that the uniform coupling of the bulk scalar to any contri-
bution to the vacuum energy on the brane may be problematic due to scaling
anomalies in the theory living on the brane [4]. Apart from that one would have
to worry about the correct strength of gravitational interactions. In order to be
in a agreement with four dimensional gravity, the five dimensional gravitational
wave equation should have normalizable zero modes in the given background. In
other words this means that the effective four dimensional Planck mass should
be finite. For the model considered with a single brane at y = 0 and c < 0 this
implies that J~oo dye 2A (y) should be finite. However, plugging in the solution
(20) one finds that this is not satisfied. Following [21,22] this could be solved by
choosing c > 0 and simultaneously cut off the y integration at the singularities
at Iyl = ~c. This prescription then yields a finite four dimensional Planck mass.
With this choice of parameters, however, we are approaching disaster. Check-
ing the consistency condition (11) one finds that it is not satisfied anymore. The
explanation for this is simple - the equation of motions are not satisfied at the
singularities, and hence for c > 0 (20) is not a solution to the equations of
motion. It is the singularities that have created the miracle mentioned above.
Of course, it has been often observed that singularities appear in an effective
low energy prescription, and that at those points new effects (such as mass-
less particles) appear as a result of an underlying theory to which the effective
description breaks down at this point. A celebrated example is N = 2 super-
symmetric Yang-Mills theory where singularities in the moduli space are due to
monopoles or dyons becoming massless at this point [54]. We might then hope
that a similar mechanism (e.g. coming from string theory) may save the solution
with c > 0 and provide a solution to the problem of the cosmological constant.
It should be clear by now, that this new physics at the singularity would be the
solution of the cosmological constant problem, if such a solution does exist at
all.
In the following, we will investigate such a mechanism and see whether it is
connected to a potential fine-tuning of the parameters. Does the new physics at
the singularity have to know about the actual value of the tension of the brane
at y = 0 or does it lead to a relaxation of the cosmological constant independent
of To?
To start this discussion, we first modify the theory in such a way that we
obtain a consistent solution in which the equations of motion are satisfied ev-
erywhere. This can, for example, be done by adding two more branes, situated
at Iyl = ~c to the setup. We then choose the coupling of the bulk scalar to these
branes as follows,
f± (¢) = T±eb±4>, (22)
where the ± index refers to the brane at y = ± ~c. These two additional source
terms in the action lead to two more matching conditions whose solution is
4 1
b+ = L = b = =f"3 and T+ = T_ = -2To. (23)
It is obvious that here a third fine tuning (apart from A B = 0 and b = =fV
has to be performed. The amount of fine-tuning implied by these conditions is
again determined by the deviation of the vacuum energy on the brane from the
observed value. Hence, the situation has worsened with respect to the question
of fine-tuning. However, we have learned that the consistency condition (11) is
a very important tool to analyze the question of the cosmological constant. A
short calculation shows that (23) is essential for the consistency condition (11)
to be satisfied.
7 The moduli space of warped solutions
So far, we focused on a very specific model and there remains the question
whether this situation is generic. For the given set of parameters we should then
scan the available moduli space of solutions parametrized by the values of the
bulk cosmological constant JiB, the brane tensions T and the various couplings
like b of the scalars to the brane. It is quite easy to see that the above observation
applies in general (for various explicit examples see [4]). The reason is the fact
that the amount of energy carried away from the brane by the bulk scalar needs
to be absorbed somewhere else. In principle, it could flow off to infinity, but, as
we have seen explicitely in the last chapter, this cannot happen since in this case
we would not be able it to localize gravity on the brane. In fact, it has been shown
in [27] that localization of gravity is possible only if there is either a fine-tuning
between bulk and brane parameters as observed in the original Randall-Sundrum
model or there are naked singularities as in the models of [21,22]. For the latter
case the consistency condition (11) requires the exactly fine tuned amount of
energy from the singularity to match the contribution from the branes. We have
seen this explicitly when studying a simple way of "resolving" the singularities by
adding new branes with the appropriate tension. However, any other resolution
of the singularities will lead to the same conclusions.
So far we have concentrated on solutions that lead to flat branes A = O. A
general discussion, however, should also address the question whether the moduli
space of solutions also contains "nearby" curved solutions that are continuously
connected to the flat solutions discussed so far. If they exist, the solution of the
cosmological constant problem would need to supply arguments why the flat
solutions are favoured over these "nearby" curved solutions.
A first step in this direction would be to study the response of the system
once the fine-tuning (which appears after the singularities are somehow resolved)
is relaxed. In various cases it has been shown that there exist also solutions
with A i- 0 [23]. Moreover, for any fixed value of A they fulfill the consistency
condition (11) for that value of A [4]. This means, that relaxing the fine-tuning
to zero cosmological constant will lead to a consistent (curved) nearby solution
with a non-vanishing effective cosmological constant A.
It has been argued in the literature that for the specific model which we
discussed above (b = ±1) there do not exist any nearby curved solutions [21,23].
This would be a rather remarkable result as it would imply that in some way
the solution with A = 0 would be unique and potentially stable. Observe that
t
the option of a smooth deformation of b away from Ibl = is not possible since
the Ibl i' ~ solutions are not smoothly connected to the former ones [22]. The
above argumention, however, is only true under the asumption that the bulk
cosmological constant As (or the bulk scalar potential) vanishes exactly. The
situation in which the scalar field received a nontrivial bulk potential has been
studied in [4] with the result that depending on the value of the bulk potential
at zero the effective cosmological constant is constrained to a certain non-zero
value. Thus also the flat solution with b = ±~ is continuously connected to
a nearby curved solution with A i' a and nonvanishing bulk potential. In all
the known cases we thus see that the moduli space does not contain isolated
flat solutions. This is another way of stating the fact that the problem of the
cosmological constant has not been solved.
So far we have concentrated on the discussion of classical solutions. As we
have argued before there is a second aspect of the cosmological constant problem
once we consider quantum corrections as well. Generically we would asume that
radiative corrections would destroy any fine-tuning of the classical theory if not
forbidden by a symmetry. Supersymmetry is an example, but since it is broken
in nature at the TeV scale it is not sufficient to stabilize the vacuum energy
to the degree of say 10- 3 eV. The special solution Ibl = ~ enjoys an additional
symmetry, a variant of scale invariance. This symmetry, however, has a quantum
anomaly and therefore cannot survive in the full quantum theory. A way out
would be to postulate a model with unbroken scale (or conformal) invariance,
i.e. a finite theory with vanishing ,a-function. But as in the case of supersymmetry
we know that this symmetry cannot be valid far below the TeV region and thus
cannot be relevant for the stability of the cosmological constant.
8 Outlook
From the above discussion it is clear that the brane world scenario gives a new
view on the problem of the cosmological constant. However, the present dis-
cussion has not provided a satisfactory solution, since in all the known cases a
fine-tuning is needed to achieve agreement with observations. In fact this fine-
tuning is of the same order of magnitude as the one needed in ordinary four
dimensional field theory. More work needs to be done to clarify the situation.
One direction would be to analyze in detail the possible implications of broken
(bulk and brane) supersymmetry in the general set-up. In the four-dimensional
case we need broken supersymmetry Msusy to be somewhere in the TeV re-
gion and also the value of the cosmological constant is essentially determined
by Msusy. In the brane world scenario one could hope to separate these scales.
Some gymnastics in numerology would suggest M§USY / MPlanck to be relevant
for the (small but nonzero) size of the cosmological constant. Unfortunately we
have not yet found a satisfactory model where such a relation is realized and the
problem of the size of the cosmological constant still has to wait for a solution.
Acknowledgements
It is a pleasure to thank Stefan Forste, Zygmunt Lalak and Stephane Lavignac
for collaboration on the subjects presented in this talk. The help of Stefan Forste
in the preparation of the present manuscript is highly appreciated. This work is
supported by the European Commission RTN programs HPRN-CT-2000-00131,
00148 and 00152.
References
1. S. Perlmutter et al. [Supernova Cosmology Project Collaboration], "Measurements
of Omega and Lambda from 42 High-Redshift Supernovae," Astrophys. J. 517, 565
(1999) [astro-ph/9812133].
2. P. M. Garnavich et al., "Constraints on Cosmological Models from Hubble Space
Telescope Observations of High-z Supernovae," Astrophys. J. 493, L53 (1998)
[astro-ph/9710123].
3. S. Forste, Z. Lalak, S. Lavignac and H. P. Nilles, "A comment on self-tuning and
vanishing cosmological constant in the brane world," Phys. Lett. B481 (2000) 360
[hep-th/0002164].
4. S. Forste, Z. Lalak, S. Lavignac and H. P. Nilles, "The cosmological constant prob-
lem from a brane-world perspective," JHEP 0009 (2000) 034 [hep-th/0006139].
5. S. Forste, "Fine-tuning of the cosmological constant in brane worlds," hep-
th/0012029.
6. S. Weinberg, "The Cosmological Constant Problem," Rev. Mod. Phys. 61 (1989)
1.
7. E. Witten, "The cosmological constant from the viewpoint of string theory," hep-
phj0002297.
8. P. Binetruy, "Cosmological constant vs. quintessence," hep-ph/0005037.
9. V. A. Rubakov and M. E. Shaposhnikov, "Extra Space-Time Dimensions: Towards
A Solution To The Cosmological Constant Problem," Phys. Lett. B125 (1983) 139.
10. V. A. Rubakov and M. E. Shaposhnikov, "Do We Live Inside A Domain Wall?,"
Phys. Lett. B125 (1983) 136.
11. K. Akama, "An early proposal of 'brane world'," Lect. Notes Phys. 176 (1982) 267
[hep-th/0001113].
12. J. Polchinski, "Dirichlet-Branes and Ramond-Ramond Charges," Phys. Rev. Lett.
75 (1995) 4724 [hep-th/9510017].
13. P. Horava and E. Witten, "Heterotic and type I string dynamics from eleven di-
mensions," Nucl. Phys. B460 (1996) 506 [hep-th/9510209].
14. L. Randall and R. Sundrum, "A large mass hierarchy from a small extra dimen-
sion," Phys. Rev. Lett. 83 (1999) 3370 [hep-phj9905221].
15. L. Randall and R. Sundrum, "An alternative to compactification," Phys. Rev. Lett.
83 (1999) 4690 [hep-th/9906064].
16. O. DeWolfe, D. Z. Freedman, S. S. Gubser and A. Karch, "Modeling the
fifth dimension with scalars and gravity," Phys. Rev. D62 (2000) 046008 [hep-
th/9909134].
17. C. P. Burgess, R. C. Myers and F. Quevedo, "A naturally small cosmological
constant on the brane?," Phys. Lett. B495, 384 (2000) [hep-th/9911164].
18. A. Kehagias and E. Kiritsis, "Mirage cosmology," JHEP 9911 (1999) 022 [hep-
th/9910174].
19. E. Verlinde and H. Verlinde, "RG-flow, gravity and the cosmological constant,"
JHEP 0005 (2000) 034 [hep-thj9912018].
20. C. Schmidhuber, "AdS(5) and the 4d cosmological constant," Nucl. Phys. B580
(2000) 140 [hep-thj9912156].
21. N. Arkani-Hamed, S. Dimopoulos, N. Kaloper and R. Sundrum, "A small cos-
mological constant from a large extra dimension," Phys. Lett. B480 (2000) 193
[hep-thj0001197].
22. S. Kachru, M. Schulz and E. Silverstein, "Self-tuning flat domain walls in 5d gravity
and string theory," Phys. Rev. D62 (2000) 045021 [hep-thj0001206].
23. S. Kachru, M. Schulz and E. Silverstein, "Bounds on curved domain walls in 5d
gravity," Phys. Rev. D62 (2000) 085003 [hep-thj0002121].
24. U. Ellwanger, "Constraints on a brane-world from the vanishing of the cosmological
constant," Phys. Lett. B473 (2000) 233 [hep-thj9909103].
25. J. Chen, M. A. Luty and E. Ponton, "A critical cosmological constant from mil-
limeter extra dimensions," JHEP 0009 (2000) 012 [hep-thj0003067].
26. S. P. de Alwis, A. T. Flournoy and N. Irges, "Brane worlds, the cosmological
constant and string theory," hep-thj0004125.
27. C. Csaki, J. Erlich, C. Grojean and T. Hollowood, "General properties of the self-
tuning domain wall approach to the cosmological constant problem," Nucl. Phys.
B584 (2000) 359 [hep-thj0004133].
28. E. Dudas and J. Mourad, "Brane solutions in strings with broken supersymmetry
and dilaton tadpoles," Phys. Lett. B486 (2000) 172 [hep-thj0004165].
29. G. T. Horowitz, I. Low and A. Zee, "Self-tuning in an outgoing brane wave model,"
Phys. Rev. D62 (2000) 086005 [hep-thj0004206].
30. B. Grinstein, D. R. Nolte and W. Skiba, "Adding matter to Poincare invariant
branes," Phys. Rev. D62 (2000) 086006 [hep-thj0005001].
31. V. Barger, T. Han, T. Li, J. D. Lykken and D. Marfatia, "Cosmology and hierarchy
in stabilized warped brane models," Phys. Lett. B488 (2000) 97 [hep-phj0006275].
32. P. Mayr, "Stringy world branes and exponential hierarchies," JHEPOOll, 013
(2000) [hep-thj0006204].
33. A. Krause, "A small cosmological constant, grand unification and warped geome-
try," hep-thj0006226, hep-thj0007233.
34. P. Binetruy, J. M. Cline and C. Grojean, "Dynamical instability of brane solu-
tions with a self-tuning cosmological constant," Phys. Lett. B489 (2000) 403 [hep-
thj0007029].
35. C. Barcelo and M. Visser, "Moduli fields and brane tensions: Generalizing the
junction conditions," gr-qcj0008008.
36. Z. Kakushadze, "'Self-tuning' and conformality," Mod. Phys. Lett. A15 (2000)
1879 [hep-thj0009199].
37. S. Kalyana Rama, "Brane world scenario with m-form field: Stabilisation of radion
modulus and self tuning solutions," hep-thj0010121.
38. A. Kehagias and K. Tamvakis, "A self-tuning solution of the cosmological constant
problem," hep-thjOOl1006.
39. J. E. Kim, B. Kyae and H. M. Lee, "A model for self-tuning the cosmological
constant," hep-thjOOl1118.
40. S. B. Giddings and E. Katz, "Effective theories and black hole production in warped
compactifications," hep-thj0009176.
41. G. Gibbons, R. Kallosh and A. Linde, "Brane world sum rules," hep-thj0011225.
42. R. Blumenhagen and A. Font, "Dilaton tadpoles, warped geometries and large
extra dimensions for non-supersymmetric strings," hep-thj0011269.
43. H. P. Nilles, "Supersymmetry, Supergravity And Particle Physics," Phys. Rept.

110, 1 (1984).
44. H. P. Nilles, "1997 TASI Lectures on the low-energy limit of string and M-theory,"
hep-ph/0004064.
45. J. P. Derendinger, L. E. Ibanez and H. P. Nilles, "On The Low-Energy D = 4,
N=l Supergravity Theory Extracted From The D = 10, N=1 Superstring," Phys.
Lett. B155, 65 (1985).
46. M. Dine, R. Rohm, N. Seiberg and E. Witten, "Gluino Condensation In Superstring
Models," Phys. Lett. B156, 55 (1985).
47. P. Horava and E. Witten, "Eleven-Dimensional Supergravity on a Manifold with
Boundary," Nuc!. Phys. B475, 94 (1996) [hep-th/9603142].
48. E. Witten, "Strong Coupling Expansion Of Calabi-Yau Compactification," Nucl.
Phys. B471, 135 (1996) [hep-th/9602070].
49. P. Horava, "Gluino condensation in strongly coupled heterotic string theory," Phys.
Rev. D 54, 7561 (1996) [hep-th/9608019].
50. H. P. Nilles, M. Olechowski and M. Yamaguchi, "Supersymmetry breaking and
soft terms in M-theory," Phys. Lett. B415, 24 (1997) [hep-th/9707143].
51. H. P. Nilles, M. Olechowski and M. Yamaguchi, "Supersymmetry breakdown at a
hidden wall," Nuc!. Phys. B530, 43 (1998) [hep-th/9801030].
52. A. Lukas, B. A. Ovrut and D. Waldram, "Gaugino condensation in M-theory on
S**1/Z(2)," Phys. Rev. D 57, 7529 (1998) [hep-th/9711197].
53. I. Antoniadis, N. Arkani-Hamed, S. Dimopoulos and G. Dvali, "New dimensions
at a millimeter to a Fermi and superstrings at a TeV," Phys. Lett. B436 (1998)
257 [hep-ph/9804398].
54. N. Seiberg and E. Witten, "Electric - magnetic duality, monopole condensation,
and confinement in N=2 supersymmetric Yang-Mills theory," Nuc!. Phys. B426
(1994) 19 [hep-th/9407087].
Models of Inflation, Supersymmetry Breaking
and Observational Constraints
Laura Covi
DESY - Theory Group: Notkestrasse 85: D-22603 Hamburg: Germany
Abstract. We review the connection between inflationary models and observations

and concentrate to describe models based on softly broken supersymmetry: in particular
running mass models: and their predictions. We then present a fit of the spectral index
of the curvature perturbation: assuming a flat ACDM cosmology.
1 Introduction
An epoch of inflationary expansion of the Universe is necessary to solve some

of the problems of the standard Big Bang cosmology: like the large scale ho-
mogeneity and isotropy: flatness and unwanted relics problems. Moreover it has
been also found that slow roll inflation can generate the small scale structure in
the Universe through a primordial gaussian curvature perturbation: originated
from the quantum fluctuations of the inflaton field.
In general a model of inflation consists in a scalar potential V (¢) for the
inflaton field ¢ satisfying slow roll conditions! [1]:
C= M~ (VVII) «12
(la)
7J = M~ (V
V')2 «1 (lb)
where the prime denotes derivative with respect to the field ¢.

The point of contact between observation and models of inflation is the spec-
trum Pn(k) of the curvature perturbation: which: in the slow roll approximation
3H 4> ~ - V': is given in terms of the inflaton potential V (¢) by
(2)
where the potential and its derivatives are evaluated at the epoch of horizon exit
k = aH. To work out the value of ¢ at this epoch one uses the relation
In(kend/k) == N(k) = M p 1<P {V/V')d¢:

2
(3)
<P.nd
1 As usual: in the following Mp = 2.4 x 1Q18GeV is the Planck mass: a is the scale
factor and H = a/a is the Hubble parameter: and k/a is the wavenumber.
164 Laura Covi
where N(k) is actually the number of e-folds from horizon exit of the scale k to
the end of slow-roll inflation. At the scale explored by the COBE measurement
of the cosmic microwave background (cmb) anisotropy: N(kcOBE) depends on
the expansion of the Universe after inflation in the manner specified by:
In this expression: Treh is the reheat temperature, and instant reheating is as-
sumed.
Given the above relations: the observed large-scale normalization pit~
10- 5 provides a strong constraint on models of inflation. But here we are in-
terested in the scale-dependence of the spectrum: defined by the, in general:
scale-dependent spectral index Tl;
Tl
(k) -1 =
-
dlnPn(k)
din k . (5)
According to most inflationary models: Tl has negligible variation on cosmological

scales so that Pn(k) ex p-l, but we shall also discuss an interesting class of
models giving a different scale-dependence.
From (2) and (3),
n - 1 = 2M~ (V" IV) - 3M~ (V' /V)2 : (6)
and in almost all models of inflation, (6) is well approximated by
Tl - 1 = 2M~(V" IV) . (7)
We see that the spectral index measures the shape of the inflaton potential V (¢),
being independent of its overall normalization. For this reason, it is a powerful
discriminator between models of inflation.
2 Supersymmetric models of hybrid inflation
A very successful and interesting type of inflationary model is hybrid inflation,

proposed by Linde [2]. In this case the potential depends on two fields: the
inflaton and another field, which triggers a phase transition and the end of slow
roll inflation and acquires a non vanishing v.e.v. at the end. The basic potential
is of the form:
(8)
so: for ¢ » rn1J;, the hybrid field "lj; has vanishing v.e.v. and inflation can take
place driven by Vel>, but when the inflaton becomes smaller: "lj; is displaced from
the origin and its v.e.v. stops slow roll inflation. Then a phase of oscillation of
the two fields around the true minimum of the potential occurs and the preheat-
ing/reheating process.
Models of inflation, supersymmetry breaking 165
We see then that the characteristic of hybrid inflation is that two different
part of the potential are responsible for the inflationary phase and for the fol-
lowing stage of reheating. So the power spectrum of the curvature perturbations
depends only on the inflationary potential V.p and the critical value <Pc = mtJ;,
which corresponds to the end of slow roll inflation.
Supersymmetric versions of hybrid inflation have been studied by many au-
thors (see [1] and references therein) and are based on the superpotential
(9)
where capital Greek letter denote the superfields corresponding to the lower case
Greek letter scalar field.
In the limit of global supersymmetry, such potential is perfectly flat with
respect to the inflaton field and the small slope needed for slow roll is generated
by supersymmetry breaking effects. Depending on the different mechanism con-
sidered: different scenarios are possible: as described in Table I, together with
the prediction for the spectral index and its derivative.
Table 1. Various models of hybrid inflation and their prediction for the spectral index
as a function of N = -log(k/kend) and its derivative, assuming small field values. In
the case of the simple linear term: n - 1 is given by the full expression (6) since '1
vanishes, but note that in supergravity generally, other contribution to the spectral
index coming from higher order terms are usually present and can be larger than the
one listed here [3].
V~(4))/\fo n-l dn/dlog(k) Origin of the

slope
1 _ ,\
4.r2
2
m'
log ( ..;:I'\~ )
Q
N+
1
2tr 2 4;2
>"Mf
m'M 2
p
( N+~
1
2~'~'
p
r 1 loop for spont.
broken susy
1 ± l:::i q} ±:.::£:..E.. 0 Susy breaking

2 Va Va
mass
1 ± {3....L
Mp
-3{32 0 Susy breaking lin-
ear term
1± L
M4
p ~
12
iti'F N (
M
2
~'FN
P r Sugra
term
quartic
Note that the COBE normalization constraints the overall scale Vo, while the
spectral index gives direct informations on the supersymmetry breaking effect
which dominates the inflaton potential.
166 Laura Covi
3 Running mass models
3.1 The potential
Let us consider now a specific type of models of hybrid inflation, the models with
a running inflaton mass[4-8]. In these models, based on softly broken supersym-
met ry 2, one-loop corrections to the tree-level potential are taken into account
by evaluating the inflaton mass-squared m 2 (In( Q)) at the renormalization scale
Q ::: </>, as long as </> greater than all other relevant scales.
1 2
V = Vo + 2m (In(Q))</> +....
2
(10)
The dependence on Q is only logarithmic due to supersymmetry, which ensures

the cancelation of the quadratic divergences: anyway since supersymmetry is
broken by the soft terms, a logarithmic divergence survives.
Over any small range of </>, it is a good approximation to take the running
mass to be a linear function of In </> and then one reproduces explicitly the ex-
pression of the tree potential plus loop correction:
1 2 1 V0 2
2
V = Vo + 2m (In(Q))</> - 2c (ln(Q)) M2 </> In(</>/Q) + ... . (11)
p
It has been shown [5] that the linear approximation is very good over the
range of </> corresponding to horizon exit for scales between kCOBE and 8h -1 Mpc.
We shall want to estimate the reionization epoch, which involves a scale of order
k;e~on "'- 1O- 2 Mpc (enclosing the relevant mass of order 10 6 8). Since only a
crude estimate of the reionization epoch is needed, we shall assume that the
linear approximation is adequate down to this 'reionization scale'.
A potential of the type (11) gives rise to four different models of inflation,
depending on the sign of c and the direction of rolling of the inflaton field,
towards or away from the origin3 .
The value of c is given by the well-known Renormalization Group Equation
for the inflaton mass, and it depends on the gauge and Yukawa couplings, Q and
A respectively, of the inflaton field:
Voc dm 2 20 _ 2 D 2 2
M~ = -di = 7 Qm
- 161l'2 1AI ml oop ' (12)
2 We denote as spontaneously broken supersymmetry any theory where supersymme-
try breaking preserves the super-trace relation Str M 2 = 0, while in softly broken
supersymmetry one has StrM 2 =I 0; e.g. the displacement of the inflaton field from
the minimum of the potential causes a spontaneous breaking in the inflaton sector
(which can give a soft breaking in the visible sector), while spontaneous or explicit
supersymmetry breaking in another (hidden) sector is needed to have soft breaking
in the inflaton sector. Note that in the first case, supersymmetry is restored once
the inflaton field settles in the true minimum, while in the second case the breaking
persists all the time, even if it can be affected by the dynamics during inflation.
3 We follow the labeling introduced in [5].
Here, C is a positive group-theoretic number of order I, mis the supersymmetry

breaking gaugino mass, D is a positive constant counting the number of scalar
particles interacting with the inflaton through Aand mfoop is their common susy
breaking mass-squared. Negligible supersymmetry breaking trilinear coupling is
assumed in the above expression.
We see that the running is then directly connected to the couplings of the
inflaton field and the supersymmetry breaking mass spectrum of our model and
so to complete our estimate of e: we need the gaugino or scalar mass. A very min-
imal and traditional hypothesis is that soft supersymmetry breaking is gravity-
1 4
mediated and that the scale of susy breaking during inflation V0 / coincides with
the scale of supersymmetry breaking in the present vacuum: Ms == n, where
F is the auxiliary field responsible for spontaneous supersymmetry breaking in
the hidden sector.
With gravity-mediated susy breaking, typical values of the masses are m2 '"
Imfoop I'" Vol M~: which makes lei of order of the coupling strength Q or IAI 2 .
At least in the case of dominance of the gauge coupling, one then expects a
small, but non-negligible value for e
lei'" 10- 1 to 10- 2 . (13)
In special versions of gravity-mediated susy breaking, the masses could be much

smaller: leading to lei « 1. In that case, the mass would hardly run, and the spec-
tral index would be practically scale-independent. With gauge-mediated susy
breaking, the masses could be much bigger; this would not lead to a model of
inflation (unless the coupling is very suppressed) because it would not satisfy
the slow-roll requirement lei ;:S, 1.
So we see that both from the theoretical and from the observational perspec-
tive, the interesting parameter region for the running mass models is given by
(13) .
3.2 The spectrum and the spectral index
Using (3) we find
sec~N(k) = cln(rP*/</J) (14)

f),N(k) == NCOBE - N(k) == In(klk coBE ): (15)
where s is an integration constant, which absorbs the dependence on the end of

inflation. The spectral index is then given, using (7), by
n(k) - I _ c~N(k)
2 - se - e. (16)
We see then that a relatively strong scale dependence arises for n(k), depending
on the magnitude of the constants sand e. To satisfy the slow-roll conditions
(1), both e and s must be smaller than 1 in magnitude.
168 Laura Covi
In order to evaluate the power spectrum later on (see (26) in the following
section), we also need the variation of dH which comes from integrating this
expreSSIOn,
dH(k) = exp [~(eC<1N _ 1) - cL1N] . (17)
dH(kcOBE) c
We are mostly interested in cosmological scales between kCOBE and kg, cor-
:s :s
responding to 0 L1N 4. In this range the scale-dependence of n is approx-
imately linear (taking lei :s
1) and the variation Lln == ng - nCOBE is given
approximately by
dn
Lln ~ 4 din k ~ 8se . (18)
4 Fit to a ACDM model

We will present here a global fit to the cosmological parameters according to
the procedure described in full detail in [9]. Following [10] we will take into
account also the recent measurements of the cmb anisotropy performed by the
Boomerang [11] and Maxima-1 [12] balloon experiments.
The observational constraints on the cosmological parameters and on the
spectral index have been studied by many authors, but in our analysis we will
use a different treatment of reionization and we will compare the present data
with the two parameters prediction for the scale dependence of the spectral index
in running mass models.
Observations of various types indicate that we live in a low density Universe,
which is at least approximately flat (see e.g. [11 ,12]). In the interest of simplic-
ity we therefore adopt the ACDM model, defined by the requirements that the
Universe is exactly flat, and that the non-baryonic dark matter is cold with neg-
ligible interaction. Essentially exact flatness is predicted by inflation, unless one
invokes a special kind of model, or special initial conditions. We shall constrain
the parameters of the ACDM model, including the spectral index, by performing
a least-squares fit to key observational quantities.
4.1 The parameters

The ACDM model is defined by the spectrum Pn(k) of the primordial curvature
perturbation, and the four parameters that are needed to translate this spectrum
into spectra for the matter density perturbation and the cmb anisotropy. The
four parameters are the Hubble constant h (in units of 100kms- 1 Mpe- 1), the
total matter density parameter Do, the baryon density parameter Db, and the
reionization redshift ZR. As we shall describe, ZR is estimated by assuming that
reionization occurs when some fixed fraction f of the matter collapses. Within
the reasonable range f '" 10- 4 to 1, the main results are insensitive to the precise
value of f.
The spectrum is conveniently specified by its value at a scale explored by
COBE, and the spectral index n(k). We shall consider the usual case of a con-
stant spectral index, and the case ofrunning mass models where n(k) is given by
the two-parameter expression in (16). Since Pn(kcoBE) is determined very ac-

curately by the COBE data we fix its value. Excluding ZR and Pn(kco BE ), the
ACDM model is specified by four parameters in the case of a constant spectral
index, or by five parameters in the case of running mass inflation models.
4.2 The data

As described in detail in [9,10], we consider a sample of data constituted by
seven observational quantities. Of these quantities, three are the cosmological
a
quantities h, 0 0 , B , which we are also taking as free parameters. We will
assume that, at least at some crude level, we can pretend that the errors are all
random and uncorrelated, and perform a least squares fit.
The other data are taken so to sample different observable scales: one one
side we use large scale structure observation, on the other measurements of the
cmb anisotropy.
So, first of all we consider the rms density perturbation at 8h- 1 Mpc, 178,
measured through the abundance of rich galaxy clusters at redshift Z = 0 to
a few [13] and the shape parameter r that specifies the slope of the galaxy
correlation function on scales of order Ih- 1 to 100h- 1Mpc [14,15]
Secondly we take also two data from the latest measurements of the cmb
anisotropy, i.e. the height of the first peak at t ~ 210 - 30 and the ratio between
the heights of the second and first peak. We consider the average of the two
experiment [11,12] and include the calibration error in quadrature.
We fix the value of the COBE normalization, as described in detail in [9].
The adopted values and errors are given in Table 2 and 3, with the results
of the fit for a constant and scale-dependent n.
4.3 Reionization
The effect of reionization on the cmb anisotropy is determined by the optical
depth r. We assume sudden, complete reionization at redshift ZR, so that the
optical depth r is given by [16]
r=O.035Z;h(JQo(I+ZR)3+1-Qo-l). (19)
In previous investigations, ZR has been regarded as a free parameter, usually

fixed at zero or some other value. In this investigation, we instead estimate
ZR, in terms of the parameters that we are varying plus assumed astrophysics.
Indeed, it is usually supposed that reionization occurs at an early epoch, when
some fraction f of the matter has collapsed into objects with mass very roughly
M = 10~. Estimates of f are in the range [17]
10- 4 .4 :s. f :s. 1 . (20)
In the case f « 1, the Press-Schechter approximation gives the estimate
V2O'(M) -1
1 + ZR c:::: ocg(Q ) erfc (/) (/«1). (21)
o
170 Laura Covi
Here (/(M) is the present, linearly evolved, rms density contrast with top-hat
smoothing, and de = 1.7 is the overdensity required for gravitational collapse (g
is the suppression factor of the linearly evolved density contrast at the present
epoch, which does not apply at the epoch ofreionization. See [9] for details). In
the case f '" I, one can justify only the rough estimate
(/(M)
1 + ZR '" g(no) (f '" 1), (22)
not very different from the one that would be obtained by using f = 1 in (21).
In our fits, we fix f at different values in the above range, and find that the
most important results are not very sensitive to f even though the corresponding
values of ZR can be quite different.
4.4 The predicted peak height

The CMBfast package [18] gives Cl, for given values of the parameters with
n taken to be scale-independent. Following [19], we parameterize the CMBfast
output at the first peak in the form
_ _ -(0) (220) 1)/2

Cpeak - C peak 10 (23)
where C~~~k is the value of Cpeak at the reference value of the parameters, where
11= 0, and
v == an (n - 1) + ah In(hjO.65) + ao In(!tojO.35) + abh2(!tb - 0.019) - 0.65f( r)r .

(24)
The coefficients are an = 0.88, ah = -0.37, ao = -0.16, ab = 5.4, and
C~~~k = 77.5J.1K. The formula reproduces the CMBfast results within 10% for
a 1-0" variation of the cosmological parameters, h,!to and !tb, and nCOBE =
1.0 ± 0.05.
With the function f( r) set equal to 1, the term -0.65r is equivalent to
multiplying Cpeak by the usual factor exp(-r). We use the following formula,
which was obtained by fitting the output of CMBfast, and is accurate to a few
percent over the interesting range of r:
f = 1- 0.165r/(0.4+ r). (25)
For the running-mass model, we start with the above estimate for n = I, and
rescale it according to the scale dependence of (17), i.e.
C peak dH(k(f., !to))

(26)
C(n=l) - dH(kcOBE(!tO)) .
peak
In the case of constant n, this prescription corresponds to the previous one with
an = 0.91, in good agreement with the output of CMBfast.
Models of inflation: supersymmetry breaking 171
5 Results
5.1 Constant n
For the case of a constant spectral index our results are summarized in Table
(2), together with the data points used.
Table 2. Fit of the ACDM model to presently available data, assuming reionization
when a fraction f = 10- 2 .2 of matter has collapsed (corresponding redshift at best fit is
ZR = 18). The first two rows show the data points, while the result of the least-squares
fit for the parameters is given in the lines three to five. All uncertainties are at the
nominal 1-0" level. The total X2 is 6.3 with three degrees of freedom
C2nd
n fhh 2 no h r 0"8 VOl st
~
c Ilst
data 0.019 0.35 0.65 0.23 0.56 74.0~J( 0.38

err. 0.002 0.Q75 0.075 0.035 0.059 5.0~J( 0.06
fit 0.99 0.021 0.38 0.62 0.19 0.56 70.8~J( 0.49
err. 0.05 0.002 0.06 0.05
2
X 0.9 0.2 0.2 1.3 0.002 0.4 3.3
The relative high value of the X2 is mainly due to the second peak contribu-
tion, but note that the discrepancy between the measured and fitted values of
the peak ratios is within the 2<7 limit and that the best fit value of [lbh2 is also
within 10" from the Big Bang Nucleosynthesis measurement.
We show also in Figure 1: the comparison of the dependence of the best fit
value of the spectral index on the the reionization redshift with the dependence
on the reionization fraction f. Note that a strong correlation between nand ZR
is present, while the correlation with f is much weaker: and in particular the
lower bound on n is practically independent of f. Low values of ZR and therefore
high f have lower X2 .
5.2 Running mass models
We performed the same fit using also the scale dependent spectral index given in
(16). In this case we obtain an allowed region in the plane s vs C, shown in Figure
2. In the same figure it is also displayed the most reasonable region of values for
the parameters, from theoretical arguments (see [9] for a full discussion).
In Table 3 are again summarized the results of the fit in this case: we have
fixed the value of c, so that the number of degrees of freedom is the same as
before. The value of n in the table, refers to a scale corresponding to the COBE
measurement. Since c is positive: smaller scales present larger spectral index
172 Laura Covi
1.25
1.2
1.15
1.1
c 1.05
0.95
0.9
0.85
0 5 10 15 20 25 30 35 40
z_ R
1.25
1.2
1.15
1.1
--------------
-_ ....... ---------
c: 1.05
...
..... ------
........................................................................................
0.95 --_ ... -_ .. ------_ .... - .. --
0.9 L---------4
0.85 L...----L_---L_....l-._....l-_..L...-_L...--1
1 1.5 2 2.5 3 3.5 4

109_10(1 If)
Fig. 1. The plots show nominal 1- and 2-(J' boWlds on n. In (a) the fit is performed fixing
the reioruzation epoch ZR, while in (b) is fixed instead the fraction f of matter which
has collapsed at the epoch of reioruzation (the corresponding reioruzation redshifts, at
best fit, are in the range 10 to 26)
n> nCOBE, e.g. n(k s ) = 1.009. Note that the value of X2 is in this case larger:
the minimum lies on the c = 0 line and favours no scale-dependence. Note
anyway that along the quasi degenerate s - c direction, corresponding to small
nCOBE, values of lei ~ 0.1- 0.2 are within the 70% CL contour.
0.3 r---r-----,---.,...--....-r:---,.-----,
Model (iv) (i)
0.2
0.1 _ _ '
o
•••••4 • • • • • • • • • • • • • • • . . • • • • • • •
CJ) -0.1
-0.2
-0.3
-0.4
(iii)
-0.5
-0.3 -0.2 -0.1 0 0.1 0.2
c
0.3
Model (iv) (i)
....
0.2 ....
.........' ..... .'
.'
0.1
CJ) -0.1
-0.2
-0.3
-0.4
-0.5
-0.3 -0.2 -0.1 0 0.1
c
Fig. 2. The parameter space for the running mass model. As discussed in [10] the model
comes in four versions, corresponding to the four quadrants of the parameter space.
In panel (a), we show the region allowed by observation, in the case that reionization
occurs when f '" 1; the scale-dependence of the prediction for n is also displayed in
=
this panel by the branches of the hyperbola 8sc ..1n == ns - nCOBE, for the reference
value ..1n = 0.04. In panel (b), the straight lines correspond to nCOBE = 1.2,1.0 and
0.8, and the shaded region is disfavoured on theoretical grounds
174 Laura Covi
Table 3. Fit of the ACDM model to presently available data for the running mass
models. We have fixed c = 0.1 and so the free parameters are neOBE = 1 + 2(8 - c),
and the next three quantities in the Table. Reionization is taken to occur when a
fraction f = 10- 2 .2 of matter has collapsed, as done previously (the corresponding
redshift at best fit is ZR = 21.) Every quantity except neOBE is a data point, with the
value and uncertainty listed in the first two rows. The result of the least-squares fit is
given in the lines three to five. All uncertainties are at the nominal 1-0' level. The total
X2 is 8.4 with three degrees of freedom
neOBE fhh 2 no h f 0'8 81't c

~
2nd
e illt
data 0.019 0.35 0.65 0.23 0.56 74.0 ilK 0.38

err. 0.002 0.075 0.075 0.035 0.059 5.0 ilK .06
fit 0.94 0.021 0.40 0.59 0.19 0.53 67.6 ilK 0.49
err. 0.04 0.002 0.05 0.05·
2
X 0.9 0.4 0.6 1.2 0.2 1.6 3.5
6 Conclusion
We have presented a fit of the ACDM model to a global data set, assuming that
a gaussian primordial curvature perturbation is the only one. We focused on the
spectral index n, specifying the shape of the curvature perturbation, considering
separately the case of a practically scale-independent spectral index, and the
scale-dependent spectral index predicted by running mass inflation models. In
contrast with other groups, we calculate the reionization epoch within the model
on the assumption that it corresponds to the epoch when some fraction f of the
matter collapses, the results being only mildly dependent on f in the reasonable
range f ;:;: 10- 4 .
For the scale-independent case, we obtain a spectral index n = 0.99 ± 0.05
for an intermediate value of f. The result for all f is given in Figure 1. We
stress that the best fit result strongly depends on the procedure used to treat
the reionization redshift ZR.
In the case of running mass models, the scale-dependent spectral index de-
pends on parameters sand c, the latter being related to the inflaton coupling
which produces the running. We have delineated the allowed region in the s-c
plane. An unsuppressed coupling c '" 0.1 is allowed by the data, leading to a
noticeable scale-dependence of the spectral index. The fit with c = 0.1 is less
good than with a scale-independent spectral index, but still acceptable.
Acknowledgments
I am very grateful and indebted to David H. Lyth, with whom this work has
been done. I would like to thank prof. H.V. Klapdor-Kleingrothaus and the
Organizing Committee of DARK2000 for their kind invitation to participate to
this very interesting workshop and for partial financial support.
References
1. D. H. Lyth, A. Riotto: Phys. Rept.314, 1 (1999)
2. A. D. Linde: Phys. Lett. B259, 38 (1991)
3. W. Buchmiiller, 1. Covi, D. Delepine: Phys. Lett. B491 183 (2000)
4. E. D. Stewart: Phys. Lett.391B, 34 (1997); Phys. Rev. D56, 2019 (1997)
5. 1. Covi, D. H. Lyth: Phys. Rev. D59, 063515 (1999)
6. 1. Covi, D. H. Lyth, 1. Roszkowski: Phys. Rev.D60, 023509 (1999)
7. 1. Covi: Phys. Rev.D60, 023513 (1999)
8. G. German, G. Ross, S. Sarkar: Phys. Lett.B469, 46 (1999)
9. D. H. Lyth, 1. Covi: Phys. Rev. D62 103504 (2000)
10. 1. Covi, D. H. Lyth: astro-phj0008165
11. P. De Bernardis et. al.: Nature 404, 955 (2000)
12. S. Hanany et al.: astro-phj0005123
13. P. T. P. Viana, A. R. Liddle: astro-phj9902245
14. A. R. Liddle, D. H. Lyth, P. T. P. Viana, M. White: MNRAS 282, 281 (1996)
15. W. Sutherland et. al.: astro-phj9901l89
16. J. A. Peacock: Cosmological physics (Cambridge University Press, Cambridge 1999)
17. A. R. Liddle, D. H. Lyth: MNRAS 273, 1177 (1995)
18. http://WWw.5ns.ias.edu/~matiasz/CMBfa5t/CMBfast.html
19. M. White: Phys.Rev. D53 3011 (1996)
Big Bang Nucleosynthesis
and Related Observations
Keith A. Olive1 ,2
1 TH Division, CERN, Geneva, Switzerland

2 Theoretical Physics Institute, School of Physics and Astronomy,
University of Minnesota, Minneapolis MN, USA
Abstract. The current status of big bang nucleosynthesis is summarized. Particular

attention is paid to recent observations of 4He and 1Li and their systematic uncer-
tainties. Be and B are also discussed in connection to recent 1Li observations and the
primordial 1Li abundance.
1 Introduction
The simplicity of the standard model of Big Bang Nucleosynthesis (BBN) and
its success when confronted with observations place the theory as one of the
cornerstones of modern cosmology. BBN is based on the inclusion of an extended
nuclear network into a homogeneous and isotropic cosmology. Apart from the
input nuclear cross sections, the theory contains only a single parameter, namely
the baryon-to-photon ratio, TJ. Other factors, such as the uncertainties in reaction
rates, and the neutron mean-life can be treated by standard statistical and Monte
Carlo techniques[2-5J. The theory then allows one to make predictions (with
specified uncertainties) of the abundances of the light elements, D, 3He, 4He,
and 7Li. As there exist several detailed reviews on BBN, I will briefly summarize
the key results and devote this contribution to the impact of recent observations
of 4He and 7Li along with the related observations of Be and B. In referring
to the standard model, I will mean homogeneous nucleosynthesis, with three
neutrino flavors (Nv = 3), and a neutron mean life of 886.7 ± 1.9 s [6J.
The dominant product of big bang nucleosynthesis is 4He, resulting in an
abundance of close to 25% by mass. Lesser amounts of the other light elements
are produced: D and 3He at the level of about 10- 5 by number, and 7Li at
the level of 10- 10 by number. The resulting abundances of the light elements
are shown in Figure 1, over the range in T}1O = 10 10 T} between 1 and 10. The
curves for the 4He mass fraction, Y, bracket the computed range based mainly
on the uncertainty of the neutron mean-life. Uncertainties in the produced 7Li
abundances have been adopted from the results in Hata et al.[3J. Uncertainties
in D and 3He production are small on the scale of this figure. The dark shaded
boxes correspond to the observed abundances and will be discussed below.
At present, there is a general concordance between the theoretical predictions
and the observational data, particularly, for 4He and 7Li[7J. These two elements
indicate that TJ lies in the range 1.55 < TJ < 4.45. There is limited agreement for
Keith A. Olive 177
0.26
0.25
Y
0.24
0.23
0.22
-4
10
D,3He
H
·s
10 3He
.,
10
7Li
H
-10
10 ...:..~ ....._.....L•...::.::: _ _J
10
'1110
Fig. 1. The light element abundances from big bang nucleosynthesis as a function of
1'/10·
D/H as well, as will be discussed below. High D/H narrows the range to 1.5 <
< 3.4 and low D/H is compatible at the 20' level in the range 4.2 < TJ < 5.3.
TJ
2 Data
The primordial 4He abundance is best determined from observations of Hell -+

He! recombination lines in extragalactic Hll (ionized hydrogen) regions. There
is a good collection of abundance information on the 4He mass fraction, Y, a /H,
and N/H in over 70 such regions[8-1O]. Since 4He is produced in stars along with
178 Big Bang Nucleosynthesis
0.30
0.28
0.26 •
Y 0.24
0.22
0.20
0.18
0 so 100 ISO 200
Fig. 2. The Helium (Y) and Oxygen (O/H) abundances in extragalactic HI! regions,
from refs. [8J and from ref. [lOJ. Lines connect the same regions observed by different
groups. The regression shown leads to the primordial 4He abundance given in Eq. (I).
heavier elements such as Oxygen, it is then expected that the primordial abun-
dance of 4He can be determined from the intercept of the correlation between Y
and O/H, namely Yp = Y(O/H ~ 0). A detailed analysis [11] of the data found
Yp = 0.238 ± 0.002 ± 0.005 (1)

The first uncertainty is purely statistical and the second uncertainty is an esti-
mate of the systematic uncertainty in the primordial abundance determination.
The solid box for 4He in Figure 1 represents the range (at 20"stad from (1). The
dashed box extends this by including the systematic uncertainty. The He data
is shown in Figure 2.
The helium abundance used to derive (1) was determined using assumed
electron densities n in the HII regions obtained from SII data. Izotov, Thuan,
& Lipovetsky [9] proposed a method based on several He emission lines to "self-
consistently" determine the electron density. Their data using this method yields
a higher primordial value
Yp = 0.244 ± 0.002 ± 0.005 (2)

As one can see, the resulting primordial 4He abundance shows significant sen-
sitivity to the method of abundance determination, leading one to conclude that
the systematic uncertainty (which is already dominant) may be underestimated.
Indeed, the determination (1) of the primordial abundance above is based on a
combination of the data in refs. [8], which alone yield Yp = 0.228±0.005, and the
data of ref. [10] (based on SII densities) which give 0.239 ± 0.002. The abundance
Keith A. Olive 179
(2) is based solely on the self-consistent method yields and the data of [10]. One
should also note that a recent determination [12] of the 4He abundance in a
single object (the SMC) also using the self consistent method gives a primordial
abundance of 0.234 ± 0.003 (actually, they observe Y = 0.240 ± 0.002 at [O/H]
= -0.8, where [O/H] refers to the log of the Oxygen abundance relative to the
solar value, in the units used in Figure 2, this corresponds to 106 0/H = 135).
Therefore, it will useful to discuss some of the key sources of the uncertainties in
the He abundance determinations and prospects for improvement. To this end,
I will briefly discuss, the importance of reddening and underlying absorption in
the H line line measurements, Monte Carlo methods for both H and He, and
underlying absorption in He.
The He abundance is typically quoted relative to H, e.g., He line strengths
are measured relative to Hf3. The H data must first be corrected for underlying
absorption and reddening. Beginning with an observed line flux F('>"), and an
equivalent width W(.>..), we can parameterize the correction for underlying stellar
absorption as
x (.>..) = F('>")( W(.>..) + a)) (3)
A W(.>..)
The parameter a is expected to be relatively insensitive to wavelength. A red-
dening correction is applied to determine the intrinsic line intensity 1('>") relative
to Hf3
x =
(.>..) 1('>") =
XA('>") lOf(>')C(H~) (4)
R I(Hf3) XA(Hf3)
where f('>") represents an assumed universal reddening law and C(Hf3) is the
correction factor to be determined. By minimizing the differences between X R (.>..)
to theoretical values, X T (.>..) , for.>.. = Ha,H'Y and H8, one can determine the
parameters a and C(Hf3) self consistently [13], and run a Monte Carlo over the
input data to test the robustness of the solution and to determine the systematic
uncertainty associated with these corrections.
In Figure 4 [13], the result of such a Monte-Carlo based on synthetic data
with an assumed correction of 2 A for underlying absorption and a value for
C(Hf3) = 0.1 is shown. The synthetic data were assumed to have an intrinsic
2% uncertainty. While the mean value of the Monte-Carlo results very accurately
reproduces the input parameters, the spread in the values for a and C(Hf3) are
considerably larger than one would have derived from the direct X2 minimization
solution due to the covariance in a and C(Hf3).
The uncertainties found for H f3 must next be propagated into the analysis for
4He. We can quantify the contribution to the overall He abundance uncertainty
due to the reddening correction by propagating the error in eq. (4). Ignoring all
other uncertainties in X R (.>..) = I('>")/I(Hf3), we would write
ax
X = In 10 f('>") aC(H~) (5)
In the example discussed above, aC(H~) '" 0.04 (from the Monte Carlo), and
values of fare 0.237,0.208,0.109, -0.225, -0.345, -0.396, for He lines at '>"'>"3889,
.
2
C(H~)
Fig.3. A Monte Carlo determination of the underlying absorption a (in A ), and

reddening parameter C(H(3), based on synthetic data.
4026, 4471, 5876, 6678, 7065, respectively. For the bluer lines, this correction
alone is 1 - 2 % and must be added in quadrature to any other observational
errors in XR. For the redder lines, this uncertainty is 3 - 4 %. This represents the
minimum uncertainty which must be included in the individual He I emission
line strengths relative to H,B.
Next one can perform an analogous procedure to that described above to
determine the 4He abundance [13]. We again start with a set of observed quan-
tities: line intensities I()..) which include the reddening correction previously
determined along with its associated uncertainty which includes the uncertain-
ties in C(H,B)j the equivalent width W()"); and temperature t. The Helium line
intensities are scaled to H,B and the singly ionized helium abundance is given by
(6)
where E()..)/E(H,B) is the theoretical emissivity scaled to H,B. The expression (6)
also contains a correction factor for underlying stellar absorption, parameterized
now by aHeI, a density dependent collisional correction factor, (1 + I)-I, and a
flourecence correction which depends on the optical depth T. Thus y+ implicitly
depends on 3 unknowns, the electron density, n, aHeI, and T.
One can use 3-6 lines to determine the weighted average helium abundance,
ii. From ii, we can calculate the X2 deviation from the average, and minimize
Keith A. Olive 181
x2 , to determine n, aHeI, and r. Uncertainties in the output parameters are also

determined. In principle, under the assumption of small values for the optical
depth r(3889), it is possible to use only the three bright lines >'4471, >'5876, and
>'6678 and still solve self-consistently for He/H, density, and aHeI. Of course,
because these lines have relatively low sensitivities to collisional enhancement,
the derived uncertainties in density will be large.
The addition of >'7065 was proposed [9] as a density diagnostic and then,
>'3889 was later added to estimate the radiative transfer effects (since these
are important for >'7065). Thus the five line method has the potential of self-
consistently determining the density and optical depth in the addition to the 4He
abundance. The procedure described here differs somewhat from that proposed
in [9], in that the X2 above is based on a straight weighted average, where as in [9]
the difference of a ratio of He abundances (to one wavelength, say >'4471) to the
theoretical ratio is minimized. When the reference line is particularly sensitive
to a systematic effect such as underlying stellar absorption, this uncertainty
propagates to all lines this way.
Adding >'4026 as a diagnostic line increases the leverage on detecting un-
derlying stellar absorption. This is because the >'4026 line is a relatively weak
line. However, this also requires that the input spectrum is a very high quality
one. >'4026 is also provides exceptional leverage to underlying stellar absorption
because it is a singlet line and therefore has very low sensitivity to collisional
enhancement (i.e., n) and optical depth (Le., r(3889)) effects.
As in the case of the hydrogen lines, Monte-Carlo simulation of the He data
can be used to test the robustness of the solution for n, aHeI, and r [13]. Figure
4 presents the results of modeling of 6 synthetic He I line observations. The four
panels show the results of a density = 100 cm- 3 , aHeI = 0, and r(3889) = 0
model. The solid lines show the input values (e.g., He/H = 0.080) for the original
calculated spectrum. The solid circles (with error bars) show the results of the
X2 minimization solution (with calculated errors) for the original synthetic input
spectrum. The small points show the results of Monte Carlo realizations of the
original input spectrum. The solid squares (with error bars) show the means and
dispersions of the output values for the X2 minimization solutions of the Monte
Carlo realizations.
Figure 4 demonstrates several important points. First, the X2 minimization
solution finds the correct input parameters with errors in He/H of about 1%
(less than the 2% errors assumed on the input data, showing the power of using
multiple lines). There is a systematic trend for the Monte Carlo realizations to
tend toward higher values of He/H. This is because, the inclusion of errors has
allowed minimizations which find lower values of the density and non-zero values
of underlying absorption and optical depth. Note that the size of the error bars
in He/H have expanded by roughly 50% as a result. We can conclude from this
that simply adding additional lines or physical parameters in the minimization
does not necessarily lead to the correct results. In order to use the minimization
routines effectively, one must understand the role of the interdependencies of the
individual lines on the different physical parameters. Here we have shown that
Synthetic Data (T = 1.8, EW(HB) = 1(0)

09rrrTTTTTl""TTrTTTTlTT1""TTrTT,.,..,.TTl""TTrT'1
~. ~'~F~:;':' ....
OIl'
.....,;.
If" t
.; oe
.....
.l\.
'
"
111'
~
01
·03 05 .1 l' .2 .25 3
--
,\I,aorptlonlEWl
09
.;
~:~~:f~~tj;':~(::.. :~ .
.
'.'
Do! H~~, * . 4 - ' ' - ' - - - ' - - - - - - - - - 1

-
-
.; oe
111'1- - 01'
01 ~u...J...............I...............L..L",-,-
1 "'-'-'-1'-'-''-'--'....L1............-'-'-'
.CIt ., u .2 10 20
Opal Oeplh(3llllll) CtoSq..,ed
Fig. 4. Results of modeling of 6 synthetic He I line observations. The four panels show
the results of a density = 100 em-a, aBel = 0, and r(3889) = 0 model.
trade-offs in underlying absorption and optical depth allow for good solutions at
densities which are too low and resulting in helium abundance determinations
which are too high. Note that in the lower right panel of Figure 4 that the values
of the X2 do not correlate with the values of y+. The solutions at higher values
of absorption and y+ are equally valid as those at lower absorption and y+.
Figure 5 shows the results of the Monte Carlo when both T and aHel f.
0, and n = 100 cm -3. It is encouraging that in perhaps more realistic cases
where the input parameters are non-zero, we are able to derive results very close
to their correct values. The average of Monte Carlo realizations is remarkably
close to the straight minimization for all of the derived parameters (n, aHel, T
and y+). However, there is an enormous dispersion in these results due to the
degeneracy in the solutions with respect to the physical input parameters. This
results in error estimates for parameters which are significantly larger than in the
straight minimization. For example, the uncertainties in both the density and
optical depth are almost a factor of 3 times larger in the Monte Carlo. When
propagated into the uncertainty in the derived value for the He abundance, we
find that the uncertainty in the Monte Carlo result (which we argue is a better,
not merely more conservative, value) is a factor of 2.5 times the uncertainty
obtained from a straight minimization using 6 line He lines. This amounts to
an approximately 4% uncertainty in the He abundance, despite the fact that we
Keith A. Olive 183
Synthetic Data (T .. 1,B, EW(HB) .. 100)

.. I I T Il!l
. ".
;. .OS
=1- -
Jl1
I I , rt1LL.J....LL-'--'-.L...I...JL.L..J.....L.L~u...J.....L.L..L...L..l..Li...J....L.J
'0 'DO I'll 2DO .D.5 .1 " .2 ,2l
OeNly Ab....ptionlE'M
.011
T 1" I 'r I .011 I I r I
- -
~ ' ~.~,:.' '':J''.:,:~; "~;·~\.,~.>i~"/>i.:
•.
;. .08 ~-~~'.r.';':':~f~.~t~-:~~f~.\-~:ii,~~:"'j'i.IlIi,., .......;..... ;.;. ,; ,:..,j--
r.,:~ ~: ..:: .....
- -
.111 Lu..w..l..L.L.I...L.Lu. 'u.l.J...J

'J..J...I...l..L.L..L.'l.LJ.. 'L..U...'Lu...u..J rt1 L.L...L.
'...L-L-I-'L-L-.L...L--L..I'-LL...L-L..1...J.
'-I-L....L-J
'.~ .~ ,1 .1~
OpllCOl De pIh !3a!9l
.2 .2:1 .:J
" 20
Fig.5. Similar plot to Figure 4 except that the underlying absorption is 0.1 A and
r(3889) = 0.1.
assumed (in the synthetic data) 2% uncertainties in the input line strengths. This
is an unavoidable consequence of the method - the Monte Carlo routine explores
the degeneracies of the solutions and reveals the larger errors that should be
associated with the solutions.
In Figure 6, I show the result of a single case based on the data of ref. [10] for
SBS1l59+545. Here, the helium abundance and density solutions are displayed.
The vertical and horizontal lines show the position of the solution in [10]. The
circle shows the position of the our solution to the minimization, and the square
shows the position of the mean of the Monte-Carlo distribution. The spread
shown here is significantly greater than the uncertainty quoted in [10].
2.2 7Li
The abundance of 7Li has been determined by observations of over 100 hot,
population-II halo stars, and is found to have a very nearly uniform abun-
dance[14]. For stars with a surface temperature T > 5500 K and a metallicity
less than about 1/20th solar (so that effects such as stellar convection may not
be important), the abundances show little or no dispersion beyond that which is
consistent with the errors of individual measurements. The Li data from Ref.[15]
Fig.6. A Monte Carlo determination of the helium abundance and electron density
(in cm- 3 ) for the region 8B811159+545. 8olutions for a' and T are not shown here.
indicate a mean 7Li abundance of
Li/H = (1.6 ± 0.1) x 10- 10 (7)
The small error is statistical and is due to the large number of stars in which 7Li
has been observed. The solid box for 7Li in Figure 1 represents the 20'stat range
from (7).
There is, however, an important source of systematic error due to the pos-
sibility that Li has been depleted in these stars, though the lack of dispersion
in the Li data limits the amount of depletion. In fact, a small observed slope
in Li vs Fe and the tiny dispersion about that correlation indicates that deple-
tion is negligible in these stars [16]. Furthermore, the slope may indicate a lower
abundance of Li than that in (6). The observation[17] of the fragile isotope 6Li
is another good indication that 7Li has not been destroyed in these stars[18].
The weighted mean of the 7Li abundance in the sample of ref. [16] is [Li]
= 2.12 ([Li] = log 7Li/H + 12) and is slightly lower than that in eq. (7), the
difference is a systematic effect due to analysis methods. It is common to test for
the presence of a slope in the Li data by fitting a regression of the form [Li] =
a+ f3 [Fe/H]. These data indicate a ratherlarge slope, f3 = 0.07 -0.16 and hence
a downward shift in the "primordial" lithium abundance L1[Li] = -0.20 - -0.09.
Models of galactic evolution which predict a small slope for [Li] vs. [Fe/H], can
produce a value for f3 in the range 0.04 - 0.07 [19]. Of course, if we would like to
Keith A. Olive 185
extract the primordial 7Li abundance, we must examine the linear (rather than
log) regressions. For Li/H = a' + b'Fe/Fe0, we find a' = 1 - 1.2 X 10- 10 and
b' = 40 -120 X 10- 10 . A similar result is found fitting Li vs O. Overall, when the
regression based on the data and other systematic effects are taken into account
a best value for Li/H was found to be [19]
Li/H = 1.23 x 10- 10 (8)
with a plausible range between 0.9 - 1.9 X 10- 10 . The dashed box in Figure 1
corresponds to this range in Li/H.
. ....
.. .
·.....
··· . .
10- 9
. '1::.- .
:c 10-
10
........
·· .
• • -,0
-,
:::3
10-11
Li lolal
(;(,r
,,:,'
-'Li p~inlol"dja.l
~,
,,
10- 12
-4 -3 -2 -1 a
[ Fe/H ]
Fig. 7. Contributions to the total predicted lithium abundance from the adopted GCE
model of ref. [20], compared with low metallicity stars (from [16]) and a sample of high
metallicity stars. The solid curve is the sum of all components.
Figure 7 shows the different Li components for a model with eLi/H)p =

1.23 x 10- 10 • The linear slope produced by the model is b' = 65 X 10- 10 , and is
independent of the input primordial value (unlike the log slope given above). The
model [20] includes in addition to primordial 7Li, lithium produced in galactic
cosmic ray nucleosynthesis (primarily Q + Q fusion), and 7Li produced by the
v-process during type II supernovae. As one can see, these processes are not suffi-
cient to reproduce the population I abundance of 7Li, and additional production
sources are needed.
3 LiBeB
The question that one should ask with regard to the above discussion of 7Li (and
as we will see below when discussing concordance, 7Li will play an important
role in determining the baryon density "l), is whether or not there is additional
evidence for the post big bang production of 7Li. There is in fact evidence in the
related observation of the intermediate mass elements of 6Li, Be and B. While
these elements are produced in the big bang [21], their predicted primordial
abundance is far below their observed abundance, which like 7Li is determined
by observations of old metal poor halo stars. Whereas in the range "liD = 1.5-4.5,
standard BBN predicts abundances of
6Li/H ~ (2 - 9) x 10- 14
9Be/H ~ (0.04 - 2) x 10- 17
lOB/H ~ (0.5 - 3) x 10- 19
11B/H ~ (0.02 -1) x 10- 16 (9)
the observed abundances found in Pop II halo stars are: 6Li/H ~ few x 10- 12 ,
9Be/H '" 1 -10 X 10- 13 , and B/H '" 1-10 x 10- 12 . It is generally recognized
that these isotopes are not of primordial origin, but rather have been produced
in the Galaxy, through cosmic-ray nucleosynthesis.
Be and B have been observed in the same pop II stars which show Li and
in particular there are a dozen or so stars in which both Be and 7Li have been
observed. Thus Be (and B though there is still a paucity of data) can be used as
a consistency check on primordial Li. Based on the Be abundance found in these
stars, one can conclude that no more than 10-20% of the 7Li is due to cosmic ray
nucleosynthesis leaving the remainder (the abundance in Eq. (8)) as primordial.
This is consistent with the conclusion reached in Ref.[19].
In principle, we can use the abundance information on the other LiBeB iso-
topes to determine the abundance of the associated GCRN produced 7Li. As it
turns out, the boron data is problematic for this purpose, as there is very likely
an additional significant source for 11 B, namely v-process nucleosynthesis in su-
pernovae. Using the subset of the data for which Li and Be have been observed
in the same stars, one can extract the primordial abundance of 7Li in the context
of a given model of GCRN. For example, a specific GCRN model, predicts the
ratio of Li/Be as a function of [Fe/H]. Under the (plausible) assumption that all
of the observed Be is GCRN produced, the Li/Be ratio would yield the GCRN
produced 7Li and could then be subtracted from each star to give a set of primor-
dial 7Li abundances. This was done in [22] where it was found that the plateau
was indeed lowered by approximately 0.07 dex. However, it should be noted
that this procedure is extremely model dependent. The predicted Li/Be ratio
in GCRN models was studied extensively in [23]. It was found that Li/Be can
vary between 10 and '" 300 depending on the details of the cosmic-ray sources
and propagation-e.g., source spectra shapes, escape pathlength magnitude and
energy dependence, and kinematics.
Keith A. Olive 187
In contrast, the 7Li/ 6Li ratio is much better determined and far less model
dependent since both are predominantly produced by a - a fusion rather than by
spallation. The obvious problem however, is the paucity of 6Li data. As more 6Li
data becomes available, it should be possible to obtain a better understanding
of the relative contribution to 7Li from BBN and GCRN.
The associated BeB elements are clearly of importance in determining the
primordial 7Li abundance, since Li is produced together with Be and B in accel-
erated particle interactions such as cosmic ray spallation. However, these pro-
duction processes are not yet fully understood. Standard cosmic-ray nucleosyn-
thesis is dominated by interactions originating from accelerated protons and
a's on CNO in the ISM, and predicts that BeB should be "secondary" versus
the spallation targets, giving Be ex 0 2 • However, this simple model was chal-
lenged by the observations of BeB abundances in Pop II stars, and particularly
the BeB trends versus metallicity. Measurements showed that both Be and B
vary roughly linearly with Fe, a so-called "primary" scaling. If 0 and Fe are
co-produced (i.e., if O/Fe is constant at low metallicity) then the data clearly
contradicts the canonical theory, i.e. BeB production via standard GCR's.
There is growing evidence that the O/Fe ratio is not constant at low metallic-
ity[24], but rather increases towards low metallicity. This trend offers a solution
to resolve discrepancy between the observed BeB abundances as a function of
metallicity and the predicted secondary trend of GCR spallation [20]. As noted
above, standard GCR nucleosynthesis predicts Be ex 0 2 , while observations show
Be Fe, roughly; these two trends can be consistent if O/Fe is not constant in
f'V
Pop II. A combination of standard GCR nucleosynthesis, and v-process produc-

tion of 11 B may be consistent with current data.
Thus the nature of the production mechanism for BeB (primary vs. sec-
ondary) rests with the determination of ratio of O/Fe at low metallicity. In any
case, it is clear that given a primary mechanism, it will be dominant in the early
phases of the Galaxy, and secondary mechanisms will dominate in the latter
stage of galactic evolution. The cross over or break point is uncertain. In Figure
8, a plausible model for the evolution of BeB is shown and compared with the
data [25]. Shown by the short dashed lines are standard galactic cosmic-ray nu-
cleosynthesis, which is mostly secondary, but contains some primary production
as well. The long dashed curves are purely primary, and in the case of boron, the
v process has been included and this too is primary. The solid curves represent
the total Be and B abundance as a function of [O/H]. As one can see such a
model fits the data quite well.
4 Concordance
Let us now to turn to the question of concordance between the BBN predictions
and the observations discussed above. This is best summarized in a comparison of
likelihood functions as a function of the one free parameter of BBN, namely the
baryon-to-photon ratio fJ. By combining the theoretical predictions (and their
uncertainties) with the observationally determined abundances discussed above,
10- 10
10- 11 ·Balmer Data

[O/H]b,...k= -1.75
:r: 10- 12
"-
Q)
a:l
10- 13 ....
10- 14
10- 9 • pure Balmer

a King
6 other
10- 10
::r:
"-
a:l
10- 11 - - - GCR
AP
...... I/-proc
.- - Total
10- 12
-3 -2 -1 o
[O/H]
Fig. 8. Be vs 0 (top paneQ and B vs 0 (bottom paneQ. Data shown are found to have
a break point as indicated. Models are adjusted to achieve the break point and O/Fe
slope of these data.
we can produce individual likelihood functions [7] which are shown in Figure 9.
A range of primordial 7Li values are chosen based On the the abundances in Eqs.
(7) and (8) as well as a higher and lower value. The double peaked nature of the
7Li likelihood functions is due to the presence of a minimum in the predicted
lithium abundance in the expected range for 1]. For a given observed value of
7Li, there are two likely values of 1]. As the lithium abundance is lowered, One
Keith A. Olive 189
tends toward the minimum of the BBN prediction, and the two peaks merge.
Also shown are both values of the primordial 4He abundances discussed above.
As one can see, at this level there is clearly concordance between 4He, 7Li and
BBN.
1.0
0.9
0.8
0.7
.-.
.=: 0.6 LI (1.23) / \ U (1.9)
:J
~..:I
~
.
0.5
0.4
1-- Li(l.6)
?
~
0.3
'3
=
• ..:1 9
0.2
0.1
0.0
1.00 4.00 6.00 8.00
-- 10.00
0.00
Tho
Fig. 9. Likelihood distributions for four values of primordial 7Li/H (10 lD x 7Li = 1.9
(dashed), 1.6 (dotted), 1.23 (solid), and 0.9 (dash-dotted)), and for 'He (shaded) for
which we adopt Yp = 0.238 ± 0.002 ± 0.005 (Eq. (1)). Also shown by the long dashed
curve is the likelihood function based on the 'He abundance from Eq. (2).
The combined likelihood, for fitting both elements simultaneously, is given

by the product of two of the functions in Figure 9. The combined likelihood is
shown in Figure 10, for the two primordial values of 7Li in Eqs. (7) and (8). For
7Lip = 1.6 x 10- 10 (shown as the dashed curve), the 95% CL region covers the
range 1.55 < 1]10 < 4.45, with the two peaks occurring at 1]10 = 1.9 and 3.5. This
range corresponds to values of DB between
(10)
For 7Lip = 1.23 x 10- 10 (shown as the solid curve), the 95% CL region covers the
range 1.75 < 1]10 < 3.90. In this case, the primordial value is low enough that
the two lithium peaks are more or less merged as is the total likelihood function
giving one broad peak centered at 1]10 ~ 2.5. The corresponding values of DB in
this case are between
(11)
When deuterium is folded into the mix, the situation becomes more compli-
cated. Although there are several good measurements of deuterium in quasar
absorption systems [26], and many of them giving a low value of D/H ~ (3.4 ±
1.000
1.500
~
..)
~J 1.000
X
~
.) Q.5OO
:I: 1/
"..l
0.000
..
0.00 2.00 4.00 6.00 '.00 10.00
'1110
Fig. 10. Combined likelihood distributions for two values of primordial 7Li/H (lO lO x
7Li = 1.6 (dashed), 1.23 (solid»), and 4He with Yp = 0.238 ± 0.002 ± 0.005 (Eq. (1)).
0.3) X 10- 5 [28], there remains an observation with D/H nearly an order of
magnitude higher D/H ~ (2.0 ± 0.5) x 10- 4 [29].
1.6
1.5
1.4
~ l1i~h OIH
1.3 Low OIH
) 1.2
'" ..l1/ 1.1
1.0
~ 0.9
:il
"oJ
0.8
0.7
0.6
0.5
~ 0.4
.) 0.3
III 1/
"..l
0.2
0.1
0.0
--- ----
0.00 2.00 4.00 6.00 8.00 10.00
'1110
Fig. 11. Likelihood distributions for two values of primordial 7Li/H (10 10 x 7Li = 1.6
(dashed) and 1.23 (solid»), and 4He with Yp = 0.238 ± 0.002 ± 0.005 from Eq. (1)
(shaded) and Yp = 0.244 ± 0.002 ± 0.005 from Eq. (2) (long dashed). Also shown are
the two likelihood functions for high and low D/H as marked.
Keith A. Olive 191
Because there are no known astrophysical sites for the production of deu-
terium, all observed D is assumed to be primordial. As a result, any firm deter-
mination of a deuterium abundance establishes an upper bound on "1 which is
robust. Thus the ISM measurements[27] of DIH = 1.6 x 10- 5 imply an upper
bound "110 < 9.
It is interesting to compare the results from the likelihood functions of 4He
and 7Li with that of D/H. This comparison is shown in Figure 11. Using the
higher value of D/H = (2.0 ± 0.5) x 10- 4, we would find excellent agreement
between 4He, 7Li and DIH. The predicted range for "1 now becomes
1.6 < "110 < 3.2 (12)
with the peak likelihood value at "110 = 2.1, 4He and 7Li abundances from eqs.
(1) and (8) respectively. This corresponds to fl B h2 = .008~:gg~. The higher
7Li abundance of eq. (7) drops the peak value down slightly to "110 = 1.8 and
broadens the range to 1.5 - 3.4. The higher 4He abundance shifts the peak and
range (relative to eq. (12)) up to 2.2 and 1.7 - 3.5.
4
D/H = (2.0±0.5)X1 0.
...... L
47
5 - - L247
4
/ \
. .
! "..'.... ...
3 : .t /....... ..
: :~. \\ ':
.
• f
'. : ..
','
:: ::
.' '. I
~ ~~
\ ::::.: ../
I, ", : :
~
2
'. .
1 10
'11 10
Fig. 12. 50%, 68% & 95% C.L. contours of £47 and £247 where observed abundances
are given byeqs. (1 and 7), and high D/H.
If instead, we assume that the low value of D/H = (3.4 ± 0.3) x 10- 5 [28] is
the primordial abundance, there is hardly any overlap between the D and 7Li,
particularly for the lower value of 7Li from eq. (8). There is also very limited
overlap between D/H and 4He, though because of the flatness of the 4He abun-
dance with respect to 1], as one can see, the likelihood function for the larger
value of 4He from eq. (2) is very broad. In this case, D/H is just compatible
(at the 2 a level) with the other light elements, and the peak of the likelihood
function occurs at roughly 1]10 = 4.8 and with a range of 4.2 - 5.6.
5
D/H = (3.4±0.3)X1 0.
...... L
47
5 - - L247
1 10
T'l10
Fig. 13. 50%, 68% & 95% C.L. contours of £47 and £247 where observed abundances
are given byeqs. (1 and 7), and low D/H.
It is important to recall however, that the true uncertainty in the low D/H
systems might be somewhat larger. Mesoturbulence effects[30] allow D/H to be
as large as 5 x 10- 5 . In this case, the peak of the D/H likelihood function shifts
down to 1]10 ~ 4, and there would be a near perfect overlap with the high 1]
7Li peak and since the 4He distribution function is very broad, this would be a
highly compatible solution.
Keith A. Olive 193
We can obtain still more information regarding the compatibility of the

observed abundance and BBN by considering generalized likelihood functions
where we allow N v to vary as well [7,31,32,4]. The likelihood functions now
become functions of two parameters £(7], N v).
The peaks of the distribution as well as the allowed ranges of 7] and N v are
easily discerned in the contour plots of Figures 12 and 13 which show the 50%,
68% and 95% confidence level contours in £47 and £247 projected onto the Tf
N v plane, for high and low D/H as indicated. £47 corresponds to the likelihood
function based on 4He and 7Li only, whereas £247 includes D/H as well. The
crosses show the location of the peaks of the likelihood functions. £47 peaks at
N v = 3.2, 7]10 = 1.85 and at N v = 2.6, 7]10 = 3.6. The 95% confidence level
allows the following ranges in 7] and N v
1.7:::; N v :::; 4.3 1.4 :::; 7]10 :::; 4.9 (13)
Note however that the ranges in 7] and N v are strongly correlated as is evident
in Figure 12.
With high D/H, £247 peaks at N v = 3.3, and also at 1}1O = 1.85. In this case
the 95% contour gives the ranges
2.2:::; N v :::; 4.4 1.4 :s 1}10 :::; 2.4 (14)
Note that within the 95% CL range, there is also a small area with 7]10 = 3.2-3.5
and N v = 2.5 - 2.9.
Similarly, for low D/H, £247 peaks at N v = 2.4, and 7]10 = 4.55. The 95%
CL upper limit is now N v < 3.2, and the range for 7] is 3.9 < 7]10 < 5.4. It is
important to stress that these abundances are now consistent with the standard
model value of N v = 3 at the 2 (J level.
Acknowledgments
This work was supported in part by DoE grant DE-FG02-94ER-40823 at the
University of Minnesota.
References
1. T.P. Walker, G. Steigman, D.N. Schramm, KA. Olive and K Kang, Ap.J. 316
(1991) 51; S. Sarkar, Rep. Prog. Phys. 59 (1996) 1493;
KA. Olive, astro-ph/9901231; K.A. Olive, G. Steigman, and T.P. Walker, Phys.
Rep. 333-334 (2000) 389.
2. L.M. Krauss and P. Romanelli, Ap.J. 358 (1990) 47;
M. Smith, L. Kawano, and R.A. Malaney, Ap.J. Supp. 85 (1993) 219.
3. N. Rata, R.J. Scherrer, G. Steigman, D. Thomas, and T.P. Walker, Ap.J. 458
(1996) 637.
4. G. Fiorentini, E. Lisi, S. Sarkar, and F.L. Villante, Phys.Rev. D58 (1998) 063506.
5. K. M. Nollett and S. BurIes, Phys. Rev. D61 (2000) 123505.
6. D.E. Groom et aI. Bur. Phys. J. C15 (2000) 1.

7. B.D. Fields and KA. Olive, Phys. Lett. B368 (1996) 103;
B.D. Fields, K Kainulainen, D. Thomas, and KA. Olive, New Ast. 1 (1996) 77.
8. B.E.J. Pagel, E.A. Simonson, RJ. Terlevich and M. Edmunds, MNRAS255 (1992)
325;
E. Skillman and RC. Kennicutt, Ap.J. 411 (1993) 655;
E. Skillman, RJ. Terlevich, RC. Kennicutt, D.R. Garnett, and E. Terlevich, Ap.J.
431 (1994) 172.
9. Y.1. Izotov, T.X. Thuan, and V.A. Lipovetsky, Ap.J. 435 (1994) 647; Ap.J.S. 108
(1997) 1.
10. YI. Izotov, and T.X. Thuan, Ap.J. 500 (1998) 188.
11. KA. Olive, E. Skillman, and G. Steigman, Ap.J. 483 (1997) 788;
B.D. Fields and KA. Olive, Ap.J. 506 (1998) 177.
12. M. Peimbert, A. Peimbert, and M.T. Ruiz, astro-ph/0003154.
13. KA. Olive and E. Skillman, astro-ph/0007081.
14. F. Spite, and M. Spite, A.A. 115 (1982) 357.
15. P. Molaro, F. Primas, and P. Bonifacio, A.A. 295 (1995) L47;
P. Bonifacio and P. Molaro, MNRAS 285 (1997) 847.
16. S.G. Ryan, J.E. Norris, and T.C. Beers, Ap.J. 523 (1999) 654.
17. V.V. Smith, D.L. Lambert, and P.E. Nissen, Ap.J. 408 (1992) 262; Ap.J. 506
(1998) 405;
L. Hobbs, and J. Thorburn, Ap.J. 428 (1994) L25; Ap.J. 491 (1997) 772;
R Cayrel, M. Spite, F. Spite, E. Vangioni-Flam, M. Casse, and J. Audouze, A.A.
343 (1999) 923.
18. G. Steigman, B. Fields, KA. Olive, D.N. Schramm, and T.P. Walker, Ap.J. 415
(1993) L35;
M. Lemoine, D.N. Schramm, J.W. Truran, and C.J. Copi, Ap.J. 478 (1997) 554;
M.H. Pinsonneault, T.P. Walker, G. Steigman, and V.K Naranyanan, Ap.J. 527,
180 (1998);
B.D.Fields and KA. Olive, New Astronomy, 4 (1999) 255;
E. Vangioni-Flam, M. Casse, R. Cayrel, J. Audouze, M. Spite, and F. Spite, New
Astronomy, 4 (1999) 245.
19. S.G. Ryan, T.C. Beers, KA. Olive, B.D. Fields, and J.E. Norris, Ap.J. Lett. 530
(2000) L57.
20. B. Fields and KA. Olive, Ap.J. 506, 177 (1998).
21. D. Thomas, D.N. Schramm, KA. Olive, and B.D. Fields, Ap.J. 406 (1993) 569.
22. KA. Olive, and D.N. Schramm, Nature 360 (1993) 439.
23. B.D. Fields, KA. Olive, and D.N. Schramm, Ap.J. 435 (1994) 185.
24. G. Israelian, RJ. Garcia-Lopez, and R Rebolo, Ap.J. 507, 805 (1998);
A.M. Boesgaard, J.R King, C.P. Deliyannis, and S.S. Vogt, A.J. 117,492 (1999).
25. B.D. Fields, KA. Olive, E. Vangioni-Flam, and M. Casse, Ap.J. 540 (2000) 930.
26. S. Buries, these proceedings.
27. S. Buries and D. Tytler, Ap.J. 499 (1998) 699; Ap.J. 507 (1998) 732.
28. J.K Webb, RF. Carswell, KM. Lanzetta, R Ferlet, M. Lemoine, A. Vidal-Madjar,
and D.V. Bowen, Nature 388 (1997) 250;
D. Tytler, S. Buries, L. Lu, X.-M. Fan, A. Wolfe, and B.D. Savage, A.J. 117 (1999)
63.
29. J.L. Linsky, et al., Ap.J. 402 (1993) 694; J.L. Linsky, et al.,Ap.J. 451 (1995) 335.
30. S. Levshakov, D. Tytler, and S. Buries, astro-ph/9812114.
31. KA. Olive and D. Thomas, Astro. Part. Phys. 7 (1997) 27.
32. KA. Olive and D. Thomas, Astro. Part. Phys. 11 (1999) 403.
Big Bang N ucleosynthesis in the Precision Era
Scott Burles 1 ,2
1 Experimental Astrophysics Group, Fermilab, Batavia, lL 60510

2 University of Chicago, Department of Astronomy and Astrophysics, Chicago, lL,
60637
Abstract. Recent measurements of the primeval deuterium abundance and improved

nuclear input to big-bang nucleosynthesis (BBN) precisely peg the baryon density,
[lBh = 0.0189 ± 0.0019 (95% cl). The uncertainty is due to that in the deuterium
2
abundance and input nuclear data, in the ratio of about 2 to 1. The tight constraint
sets the stage for a direct comparison with current and planned measurements of the
cosmic microwave background anisotropies, and with it, a cosmological test at the level
of 5%.
1 Introduction
In this contribution, I will present current results of big bang nucleosynthesis

(BBN) calculations in the standard model: a homogeneous FRW cosmology with
3 light neutrinos. The state of BBN is summarized in Fig. 1. I will the discuss
the status of primordial deuterium measurements and the tantalizing comparison
with recent measurements of the cosmic microwave background [1,2]. Please refer
to Keith Olive's contribution in these proceedings for an excellent overview of
BBN [3], as well as other timely reviews in the literature [4-9].
Fig. 1 shows the four light isotopes and the relative abundances as a func-
tion of baryon density, DBh 2 (which is directly proportional to the baryon to
photon ratio, 7] * 3.65e7). The width of bands represent 95% confidence lim-
its (cl) as determined by recent Monte Carlo calculation[10,1l]. The analytic
fits to the abundances, and likelihood functions are presented in BurIes et a1.
[12]. The boxes and arrows represent measurements, or more precisely, inferred
constraints, on the observed primordial abundance of the light isotopes. The
combined weight of the deuterium measurements (which will be summarized at
the end), yields a very strong constraint on the baryon density denoted by the
vertical band:
OBh 2 = 0.0189 ± 0.0019 (95% cl). (1)
2 Nuclear Reaction Rates in BBN
The 12 nuclear reactions shown in Fig. 2, along with the underlying cosmo-
logical model, are the critical inputs to standard big bang nucleosynthesis. To
draw statistical conclusions from BBN, one must determine the rates with the
196 Scott Buries
h2
I;;;l';;:1!?"l
[2
B
0.005 0.01 0.02 0.03
~.~::
0.23
0.22 4 He
Fig. 1. Recent BBN abundance predictions of the light elements; shown as bands of
95% confidence. The solid boxes represent current measurements of primordial light
element abundances. The two 4He mass fractions are from extragalactic HII samples
[31,32], and the 7Li value is obtained from samples of warm metal poor halo stars
[33]. The vertical band represents the 95% cl constraint on the baryon density using
weighted by all D/H measurements (see text)
BBN in the Precision Era 197
corresponding uncertainties of each reaction. A complete treatment of these 12

reactions was undertaken by Smith, Kawano, & Malaney (SKM) [13] in 1993,
based largely on the rate compilation of Caughlan & Fowler [14]. Much of the
effort directed towards and conclusions draw from standard BBN since has been
based on the reaction rate determinations of SKM [9,15]. Although, the recent
work of Vangioni-Flam et al. [16] use extreme limits from the new NACRE
compilation.
1. p f--tn
2. p(n, ,)d
12 3. d(p, , )3He
4. d(d, n )3He
5. d(d,p)t
6. t(d, n)4He
7. t(a, ,)7Li
8. 3He(n,p)t
9. 3He(d,p)4He
10. 3He(a, ,)7Be
11. 7Li(p, a)4He
12. 7Be(n,pfLi
1
Fig. 2. The reaction network vital for accurate predictions up to mass seven, and the
12 critical reactions
Due to the importance of the reaction rate determinations, we decided to

critically reassess the published rates and uncertainties. We also investigated the
possibility of tying, by a direct method, the uncertainties in BBN abundances
to the available data in each of the 12 cross sections. The results are shown in
Figs. 1,5,6. We find a direct treatment of the data gives factors of two and three
reduction in the predicted uncertainties of deuterium and 7Li respectively.
In Fig. 3, we find a good example of the difference between the two reaction
rate assessments. In the top panel, we present six separate data sets obtained
from the literature. For inclusion, we accepted only data sets which were inde-
pendently normalized, and where errors were separated into independent and
correlated contributions. In Fig. 3, one finds a large range of uncertainties (1
sigma errors are shown), as well as very different samplings in each of the data
198 Scott Buries
sets. In the treatment of SKM, the central cross section fit is given by the best
fit polynomial (dot-dashed line), effectively a 2nd order expansion about zero
energy. The uncertainty is determined by a symmetric, constant vs. energy, rela-
tive uncertainty which encompasses all possible data (dot-dot-dot-dashed lines).
In contrast, a Monte Carlo treatment which repeatably realizes the data taking
into account both independent and correlated errors gives the central solid curve
as the best fit with two outer solid curves which represent the 95% confidence
level. The very precise, highly sampled data set of Brune et al [17J was published
after the treatment of SKM. But a prescription which demands inclusion of all
data is driven by data with the lowest precision, and including Brune would
likely not have affected the final uncertainty in this reaction.
In stark contrast to the previous reaction, our method breaks down for the
simple reaction p(n,,)2H. (Fig. 4). The lack of data over the important range
in energy (shown by the horizontal bracket below the cross section curves) does
not allow for a free fit to the cross section data. We are forced to adopt the
ENDF-BjVI evalution[18] and with a one sigma uncertainty of 5 percent.
3 Primordial Deuterium
Until recently, deuterium was used to set an upper limit to the baryon density
(around 10% of critical density), based upon the fact that the big bang must
produce at least the amount of deuterium seen in the local interstellar medium
(ISM)[19,20J. Together with measurements of the abundances of the other light
elements produced in the big bang, a concordance interval for the baryon density
was derived, 0.007 :S il B h 2 :S 0.024 [9]. For two decades the BBN baryon density
has stood as the best determination of the amount of ordinary matter and the
linchpin in the case for nonbaryonic dark matter [7].
Over the last five years, and more dramatically in the last two, systematic
searches and measurements of deuterium towards bright high reshift QSOs yield
a substantially tighter constraint on the primordial abundance of deuterium.
Fig. 7 shows the current situation in high redshift deuterium. Weighting the
measurements and combining, one finds the bound, (D jH)p = 3.3 ± 0.25 x 10- 5 .
The situation has not been arrived at without controversy. Early indications
of D jH at high redshift pointed towards much higher values [21,22J. Explanations
of the dramatic differences in the deuterium limits ranged from possible hydrogen
interlopers [23,24J to chemical evolution [25J to inhomogeneous BBN [26J to
systematic shortcomings in absorption profile abundance determinations [27].
It was appreciated that deuterium is rarely seen in QSO spectra, but exactly
the rare nature of detectable deuterium absorption subjects it to possible biases
and contamination. As an example, in candidate absorption systems at redshift
z = 3, it is almost as likely to find and measure a "clean" deuterium system
as it is to find and measure one which has been significantly contaminated by
a random hydrogen interloper. In other words, although the chance contamina-
tion of an interloper is rare, it is similar to the probability of detecting a clean
deuterium absorber. In forming samples of candidate deuterium systems, one
3 He (n,p) 3 H
o COSTEllO 70
CZ)
o....
x x BORZAKOV 82
co • BRUNE 99
o GIBBONS 59
-
/). BATCHELOR 55
tl COON 50
en
~
OCZ)
e~
......... x
(')e
- -
co
o "-
'-"
CZ)
o....
X
"<t
o -------
....
0.01 0.1
EC},( (MeV)
Fig.3. Cross-section data and fits for the reaction 3He(n,p)3H. Solid curves show
the best fit and 95% cl from our Monte Carlo method [10,11]; broken curves indicate
the corresponding best-fit and 95% cl curves from earlier work [13]. The bracket at the
bottom indicates the energy range where this cross section is needed in order to compute
all light-element abundances to an accuracy of one-tenth of their current uncertainties.
The lower panel shows the sensitivity of the final 7Li abundance to changes in the cross
section as a function of E cm
200 Scott BurIes
...x
'of'
a
IC:l
- p (n,l') 2H
° SUZUKI 95
x NAGAI 97
............
-
lila
~ '; Io!.-.-.-----_
e
O~
..........
e
(')
0 ...
'-'a
~';
zGC!)
...a
...x
N
(II
c:i
..,.
......
-
-'
11t-----i----i-...++1I++t--+--+-++++++t---+-++++++I--+-+-+-;>-++~
r-c:i
1lO
o
0.01 0.1 1
Ecw (MeV)
Fig. 4. Cross-section data and adopted fits for the reaction p(n,g)2H. The curves are
the same as in Fig.3. The bottom panels also show the relative sensitivity of deuterium
(92) and 7Li (97) to this reaction as a function of energy
._._._-----_.-._.-.-._.- . - ' ---"
u
:::s
o
o
I
N
c:i
I
Q)
:I:
en
"i=:
'-'
Ii.
'l:I
'l:I
"i=:
ti
Ii:
Q)
:I:
en
I:l
~
'-'
'l:I
:I:
en........
~
'l:I
'-'
'l:I
1 2 5 10
1]10
Fig. 5. Reaction contributions to the deuterium abundance uncertainty. The bands

represent 95% el, and the offset is relative to the respective rates in SKM. For compar-
ison, the dot-dashed lines delineate the same confidence levels calculated by SKM
202 Scott Buries
'-'-'- ...
d
o-<r4.... :_··c ""
-
Full Me
"..
.~.
~ :.c ...
o
d
I
---'
_.-.-.-._.-. _.-" -'-"
_____ 0-'
n decay
p(n;y)d
d(p;y)3He
---- .
-....-
,
.~
d(d.n)3He
- -- --
d(d,p)~
~(d.n)'He
~(a.gfLi -- -
~e(n.p)~ I
~e(d.p)'He
~e(a;y)7Be -- -
1ie(a;yfBe
.
7Li(p,nfBe
7U (p.a)'He .~
2 5 10
Fig. 6. Same as in Fig. 5, but for the total 7Li abundance uncertainty. All 12 reactions
are shown here, including a possible systematic offset in the reaction 3He(a, ,),7Be,
which gives 11% higher 7Li at 'fJ = 5.2
-3.0
95%c1
00014
-3.5 T
r
01251 01759
o120zr--
tE.
0
r
eo -4.0
-
0
~
~.~.
00130
J
fl~t 01937
t
~. QOlOS
-4.5 ~
<\..... 004lot
-5.0
16 17 18 19 20
-2
logN(ffi)em
Fig.T. Summary of deuterium abundance measurements at high redshift. Measure-

ments are denoted by bars in both axes, and limits are shown as arrows, all at 95% d.
Details on each QSO absorbers can be found in Q0014[21,22,34], Q1202[35], Q0130[36],
Q1202 and Q1759[37], Q1937[38], QI009[39], Q0420[40], and QOI05[41]. The sensitivity
limit show the current technically feasible limit of Lyman-a detection at high redshift
might, or should, expect to find cases where deuterium in significantly over esti-
mated by random hydrogen interlopers. Upon closer examination of these high
deuterium abundance candidates, the majority have been explained by hydro-
gen absorption rather than the other possibilities listed above. The candidate
systems which do yield strong constraints on the deuterium abundance all agree
to statistical uncertainty. This lack of significant scatter argues against possible
astration or other post-BBN processing, as well as systematic model biases.
4 Concluding Remarks
A key test of the BBN prediction, and indeed the consistency of the standard cos-
mology itself, lies ahead. Measurements of cosmic microwave background (CMB)
anisotropy on small angular scales can ultimately determine the baryon density
to an accuracy of around 1%. The physics involved is very different: gravity-
driven acoustic oscillations of the photon-baryon fluid when the Universe was
204 Scott Buries
around 500,000 years old. The first step toward this important goal was taken
recently when the BOOMERanG and MAXIMA CMB experiments reported re-
sults for the baryon density: [}Bh 2 = 0.032~g:gg~ (95% d) [1]. At about the 20-
level, this independent measure of the amount of ordinary matter agrees with the
BBN prediction and supports the longstanding BBN argument for non-baryonic
dark matter.
The CMB determination of the baryon density should improve dramatically
over the next few years, making a very precise comparison of the two methods
possible. The difference between the BBN and CMB baryon densities has already
triggered lively discussion in the literature [28]. In addition, other independent
constraints on the baryon density can be calculated from the opacity of the
Lyman-a forest [29] and galaxy duster baryon fractions [30].
I am indebted to my collaborators: Kenneth Nollett, Jim Truran, and Mike

Thrner. I also wish to thank the organizers of Dark 2000 for the engaging meeting
in Heidelberg.
References
1. A.H. Jaffe et al, astro-ph/0007333.
2. U. Seljak, this volume, (2001).
3. K. A. Olive, this volume, (2001).
4. D. Tytler et al, Physica Scripta T85, 12, (2000) (astro-ph/0001318).
5. K.A. Olive, G. Steigman, & T. P. Walker, Phys. Rept. 333-334, 389 (2000).
6. K.A. Olive, Eur. Phys. J. C 15, 133 (2000) (Review of Particle Properties).
7. M.S. Turner, Phys. Rep. 333-334, 619 (2000).
8. S. Sarkar, Rept. Prog. Phys. 59, 1493 (1996).
9. C.J. Copi, D.N. Schramm and M.S. Turner, Science 267, 192 (1995).
10. S. Buries et al, Phys. Rev. Lett. 82, 4176 (1999).
11. K. M. Nollett and S. Buries, Phys. Rev. D 61, 123505 (2000).
12. S. Buries, K. M. Nollett and M.S. Turner, Astrophys. J., submitted (astro-
ph/0010171) .
13. M. Smith, L. Kawano, and R. Malaney, Astrophys. J. Suppl. Ser. 85, 219 (1993);
also see earlier work by L.M. Krauss and P. Romanelli, Astrophys. J. 358, 47
(1990).
14. G. R. Caughlan and W. A. Fowler, At. Nucl. Data Tables, 40, 283 (1988).
15. G. Fiorentini, E. Lisi, S. Sarkar, and F. L. Villante, Phys. Rev. D, 58, 063506,
(1998).
16. E. Vangioni-Flam, A. Coc, and M. Casse, A & A, 360, 15 (2000).
17. C. Brune, K. I. Hahn, R. W. Kavanagh, and P. R. Wrean, Phys. Rev. C, 60, 015801
(1999).
18. G. M. Hale, D. C. Dodder, E. R. Sicilano, and W. B. Wilson, LANL ENDF-B/VI
evaluation, 125, Rev. 2 (1997).
19. J. Linsky et al, Astrophys. J. 451, 335 (1995)j J. Linsky, in The Primordial Nuclei
and their Galactic Evolution, eds. N. Prantzos, M. Tosi, and R. Von Steiger (Kluwer
Academic Publishers, Dordrecht, 1998), p.285j N. Piskunov et al, Astrophys. J. 474,
315 (1997); A. Vidal-Madjar et aI, Astron. Astrophys. 338, 694 (1998).
20. R. Epstein, J. Lattimer and D.N. Schramm, Nature 276, 198 (1976).
21. A. Songaila et al, Nature 368, 599 (1994).

22. M. Rugers and C.J. Hogan, Astrophys. J. 459, L1 (1996).
23. G. Steigman, Mon. Not. R. Astron. Soc. 269, 53L (1994).
24. K. Jedamzik and G. M. Fuller, Astrophys. J. 483, 564 (1997).
25. S. Scully, M. Casse, K. A. Olive, and E. Vangioni-Flam, Astrophys. J. 476, 521
(1997).
26. J. K. Webb, R. F. Carswell, K. M. Lanzetta, R. FerIet, M. Lemoine, A. Vidal-
Madjar, and D. V. Bowen, Nature, 388, 250 (1997).
27. S. A. Levshakov, W. H. Kegel, and F. Takahara, Mon. Not. R. Astron. Soc. 302,
707 (1999).
28. See e.g., W. Hu et al, astro-phj0006436j M. Tegmark and M. Zaldarriaga, astra-
phj0004393j M. White et al, astro-phj0004385j A. Lange et aI, astro-phj0005004j
M. Tegmark et al, astro-ph/0008167j W. H. Kinney et al, astro-ph/0007375j M.
Orito et al, astra-phj0005446j S. Esposito et aI, astro-ph/0007419.
29. D. H. Weinberg, J. Miralda-Escude, L. Hernquist, and N. Katz, AStrophys. J.,
490, 564 (1997).
30. L. E. Grego, Ph. D. Thesis, Univ. of Chicago (1999).
31. K.A. Olive, G. Steigman and E. Skillman, Astrophys. J. 483, 788 (1998).
32. Y. I. Izotov and T. X. Thuan, Astrophys. J. 500, 188 (1998).
33. P. Bonifacio and P. Molaro, Mon. Not. R. astron. Soc. 285, 847 (1997). The more
recent work of S. G. Ryan et al, Astrophys. J. 523, 654 (1999) examines 23 metal-
poor stars and finds a mean of (1.32±0.12) x 10- 10 • However, they also find a trend
of 7LijH with metallicity, so interpretation of this result is more complicated.
34. S. Buries et al, Astrophys. J. 519, 18 (1999).
35. E. J. Wampler et al, Astron. Astrophys. 316, 33 (1996).
36. D. Kirkman et al, Astrophys. J. 529, 655 (2000).
37. S. Buries and D. Tytler, in The Primordial Nuclei and Their Galactic Evolution,
eds. N. Prantzos, M. Tosi, and R. von Steiger (Kluwer, Dordrecht).
38. S. Buries and D. Tytler, Astrophys. J. 499, 699 (1998).
39. S. Buries and D. Tytler, Astrophys. J. 507, 732 (1998).
40. R. F. Carswell et ai, Mon. Not. R. astron. Soc. 278, 506 (1996).
41. D. Tytler et al, B.A.A.S. 196.3511T (2000); J. M. O'Meara et al, in preparation
(2000).
Part III
Beyond the Standard Model

Testing a (Stringy) Model of Quantum Gravity
Nick E. Mavromatos
Department of Physics, Theoretical Physics, King's College London, Strand, London

WC2R 2LS, United Kingdom, and
CERN, Theory Division, CR-l211 Geneva 23, Switzerland
Abstract. I discuss a specific model of space-time foam, inspired by the modern non-
perturbative approach to string theory (D-branes). The model views our world as
a three brane, intersecting with D-particles that represent stringy quantum gravity
effects, which can be real or virtual. In this picture, matter is represented generically by
(closed or open) strings on the D3 brane propagating in such a background. Scattering
of the (matter) strings off the D-particles causes recoil of the latter, which in turn results
in a distortion of the surrounding space-time fluid and the formation of (microscopic,
i.e. Planckian size) horizons around the defects. As a mean-field result, the dispersion
relation of the various particle excitations is modified, leading to non-trivial optical
properties of the space time, for instance a non-trivial refractive index for the case
of photons or other massless probes. Such models make falsifiable predictions, that
may be tested experimentally in the foreseeable future. I describe a few such tests,
ranging from observations of light from distant gamma-ray-bursters and ultra high
energy cosmic rays, to tests using gravity-wave interferometric devices and terrestrial
particle physics experiments involving, for instance, neutral kaons.
1 Introduction
The theory of Quantum Gravity still eludes us, despite considerable efforts of
theorists for more than fifty years. This may be partly due to the fact that the
theory by its very nature is associated with the structure of space and time, and
as such it may be completely different from theories that describe the rest of
the (known) fundamental interactions in Nature. In fact, many of the properties
that characterize the known field theories, such as locality, renormalizability,
unitarity etc, may not be features of a complete theory of quantum gravity.
Even symmetries, such as Lorentz invariance, may not be exact at Planck length
scales, i p ....., 10- 35 m, which is the characteristic scale at which quantum gravity
effects are expected to set in.
At present, there is no complete mathematical model for quantum gravity.
However, there is a considerable number of attempts, which may be classified,
roughly, into three major categories. The first is the canonical approach, where
one tries to formulate the model in a background independent way, i.e. to give
space time at Planckian scales a polymer-like structure, similar to 'spin net-
works', and from these (rather abstract) building blocks to construct the inter-
actions [1] and the observable universe. The second approach is the one in which
the quantum gravitational interactions are represented as a 'stochastic medium',
which gives space time non-trivial optical properties ('space-time foam') [2]. This
210 Nick E. Mavromatos
approach, which is more phenomenological than the first one, is based on the
expectation that any consistent field theory of quantum gravity should involve
microscopic event horizons (foam), surrounding black holes or other singulari-
ties of space time. The latter are classical solutions of Einstein theory (or its
extensions), and therefore such configurations should also represent quantum
fluctuations, which should be part of the (still unknown) complete integration
measure of the gravitational path integral. The third approach, and so far the
most developed formally, is string theory and its modern non-perturbative ex-
tension (D-branes) [3,4]. The discovery of D branes has revolutionised the study
of black-hole physics. Now one has quasi-realistic string models of black holes in
different dimensions, which one can use to study profound issues concerning the
reconciliation of general relativity and quantum mechanics. A key breakthrough
was the demonstration that the entropy of a stringy black hole corresponds to
the number of its distinct quantum states [5]. Thus D branes offer the prospect
of accounting exactly for the flow of information in processes involving particles
and black holes.
At first instance, the string approach to quantum gravity may seem to have
overcome the loss of unitarity that is believed to characterise quantum gravita-
tional interactions in the second ('space-time foam') approach. However it is not
immediately apparent that an observer in string theory will not perceive loss
of information in any given particle/D-brane interaction: the answer depends
whether she/he is able to recover all the information transferred from the scat-
tering particle to the recoiling black hole. It is important to address this issue at
both the macroscopic and microscopic levels, where the answers may differ. In
the case of a macroscopic black hole, it is difficult to see how in practice all the
quantum information may be recovered without a complete set of observations
of the emitted Hawking radiation [6]. However, even if this is possible in prin-
ciple, the problem of the microscopic 'end-game' that terminates the Hawking
evaporation process is unsolved, in our view. In this sense, the string theory
approach to quantum gravity may lead to effective stochastic models. However,
such stochastic models usually employ non-equilibrium physics, and as such can-
not be described by critical string theory. Indeed, as we shall discuss below, it is
our belief that proper quantum gravitational interactions in string theory involve
at a certain stage departure from equilibrium, which, in terms of string-theory
nomenclature, implies [21] the inclusion of non-critical (Liouville) strings [8,9].
The latter quantify the process of information loss in a mathematically consistent
way, as we shall discuss in the next section.
It may be useful for what follows to recall one of the intuitive ways of formu-
lating the information loss in the process of Hawking radiation from a macro-
scopic black hole, whose stringy analogue we discuss in this talk. Consider the
quantum-mechanical creation of a pure-state particle pair lA, B) close to the
(classical) black-hole horizon of such a macroscopic black hole. One can then
envisage that particle B falls inside this horizon, whilst particle A escapes as
Hawking radiation. The quantum state of the particle B is apparently unobserv-
able, and hence information is apparently lost.
Testing Quantum Gravity 211
This argument is very naive, and one would like to formulate a more pre-
cise treatment of this process at the microscopic level, suitable for describing
space-time foam [2]. The purpose of this talk is to review such a specific stringy
treatment [10-12] of the interaction between closed-string particle 'probes' and
D-brane black holes (defects). We have developed an approach capable of accom-
modating the recoil of a D-brane black hole struck by a closed-string 'probe',
including also quantum effects associated with higher-genus contributions to the
string path integral. We have shown explicitly [13,11] how the loss of information
to the recoiling D brane (assuming that it is unobserved) leads to information
loss, for both the scattered particle and also any spectator particle. This in-
formation loss can be related to a change in the background metric following
the scattering event, which can be regarded as creating an Unruh-like 'thermal'
state.
In a recent paper [14J, which we shall review in the next section, we took this
line of argument a step further, by demonstrating that closed-string particlejD-
brane scattering leads in general to the formation of a microscopic event horizon,
within which string particles may be trapped. The scattering event causes ex-
pansion of this horizon, which is eventually halted and reversed by Hawking
radiation [6J. Thus we have a microscopic stringy realization of this process. A
peculiarity of this approach is that the conformal invariance conditions select
preferentially backgrounds with three spatial dimensions. This leads to a con-
sistent formulation of the interaction of D3 branes with recoiling D particles,
which are allowed to fluctuate independently only on the D3-brane hypersur-
face. Some physical consequences of the model and their (possible) experimental
tests, which could be generic to other models of space-time foam, will be also
reviewed in this talk.
2 A Stringy Model of Space-Time Foam

In this section we shall review the basic features of a theoretical model of space-
time foam, proposed in [14], which is based on a modern version of non-critical
Fig. 1. The world as a D3 brane 'punctured' by D particles. The scattering on the

D-particles of string states, either closed (gravitons) or open (matter fields) that live
on the D3 brane, cause the D-particle to recoil, leading to stochastic effects in the
propagation of the low-energy states, as well as to non-zero 'vacuum' energy on the D3
brane.
string theory. According to this model, our world is viewed as a fluctuating

D(irichlet) 3-brane, embedded in a higher-dimensional (bulk) space time (see
fig. 1). For formal reasons, we start with a Euclideanized D4 brane and follow
the procedure of identifying the Liouville mode (arising from recoil) with the
(Euclidean) time coordinate XO. As discussed in [14J this procedure results even-
tually in a Minkowskian signature. The D3 brane is punctured by D-particles,
that represent defects in the fabric of the D3 space time, and thus can be viewed
as genuine quantum-gravity singular effects (d. analogy with microscopic black
holes). The foamy structure of space time is caused as a consequence of the
distortion of the space-time fluid surrounding the D-particle, which occurs due
to the recoil of the D-particle asa result of the scattering of matter strings off
it. The recoil of the (massive, hyper-Planckian) defect causes the formation of
microscopic horizons, which surround the defect, trapping part of the scattered
matter in the interior.
In the language of (perturbative) world-sheet (a-model) string theory, which
suffices to describe the recoil effects to leading order, target-space quantum fluc-
tuations are incorporated by appropriate summation over world-sheet topolo-
gies [12J. Such higher-genus effects lead to an oscillating behaviour of the hori-
zon, characterized by initial expansion, stasis, and shrinking, which in physical
terms may be interpreted as a result of a phenomenon analogous to Hawking
radiation in conventional field theory [6J. The above situation involves a single-
scattering event. However, conceptually one may think of a statistical ensemble
of (virtual) defects, whose scattering with matter strings will create analogous
phenomena involving a statistical distribution of dynamical horizons. This is the
stringy picture of space time foam, whose consequences we shall explore in this
talk.
2.1 Formulation of D-Brane Recoil
We now proceed to review briefly the mathematical formalism underlying the

above model. As discussed in references [10-12], the recoil of a D-brane string
soliton after interaction with a closed-string state is characterized by a a model
on the string world sheet E, that is deformed by a pair of logarithmic opera-
tors [15J:
IE {O, ... , 3} (1)
defined on the boundary 8E of the string world sheet. Here XI,! E {O, ... ,p}
obey Neumann boundary conditions on E, and denote the D-brane coordinates,
whilst f -t 0+ is a regulating parameter and 8€(X I ) is a regularized Heaviside
step function. The remaining yi, i E {p + 1, ... ,9} in (1) denote the transverse
bulk directions (d. fig. 1). For reasons of convergence of the world-sheet path
integrals we take the space-time {XI,yi} to have Euclidean signature.
In the case of D particles [10-12], the index I takes the value 0 only, in which
case the operators (1) act as deformations of the conformal field theory on the
world sheet. The operator Ui IaE 8n X i D € describes the movement of the D brane
induced by the scattering, where Ui is its recoil velocity, and Yi f aE OnXiCe

describes quantum fluctuations in the initial position Yi of the D particle. It
has been shown rigorously [12] that the logarithmic conformal algebra ensures
energy-momentum conservation during the recoil process: Ui = (k; + k;)/MD,
where k1 (k 2 ) is the momentum of the propagating closed string state before
(after) the recoil, and M D = 1/(£898) is the mass of the D brane, where 98 is the
string coupling, which is assumed here to be weak enough to ensure that the D
brane is very massive, and £8 is the string length.
In order to realize the logarithmic algebra between the operators C and D
(1), one uses as a regulating parameter [10]
2
t- '" In[L/a] == A, (2)
where L (a) is an infrared (ultraviolet) world-sheet cutoff. The recoil operators

(1) are relevant, in the sense of the renormalization group for the world-sheet
field theory, having small conformal dimensions .de = -t 2 /2. Thus the a-model
perturbed by these operators is not conformal for t :f; 0, and the theory re-
quires Liouville dressing [8,9,11]. The consistency of this approach is supported
by the above-mentioned proof of momentum conservation during the scattering
process [12].
As discussed in [11,13], the recoil deformations create a local distortion of
the space-time surrounding the recoiling D brane, which may also be determined
using the method of Liouville dressing. In [11,13] we concentrated on describing
the resulting space-time in the case when a D-particle defect embedded in a D-
dimensional space-time recoils after the scattering of a closed string. To leading
order in the recoil velocity Ui of the D particle, the resulting space-time was
found, for times t » 0 long after the scattering event at t = 0, to be equivalent
to a Rindler wedge, with apparent 'acceleration' Wi [13], where E is defined
above (2). For times t < 0, the space-time is flat Minkowski. There is hence
a discontinuity at t = 0, which leads to particle production and decoherence
for a low-energy spectator field theory observer who performs local scattering
experiments long after the scattering, and far away from the location of the
collision of the closed string with the D particle [13].
This situation is easily generalized to Dp branes [16]. The folding/recoil de-
formations of the Dp brane are relevant deformations, with anomalous dimension
-t 2 /2, which disturbs the conformal invariance of the world-sheet a model, and
restoration of conformal invariance again requires Liouville dressing [8,9,11], as
discussed above. To determine the effect of such dressing on the space-time ge-
ometry, it is essential to write [11] the boundary recoil deformations as bulk
world-sheet deformations
(3)
where the Thz denote renormalized folding/recoil couplings [12]. Such couplings
are marginal on a flat world sheet, and the operators (3) are marginal also on a
curved world sheet, provided [9] one dresses the (bulk) integrand by multiplying
it by a factor eD:lirP, where r/> is the Liouville field and ali is the gravitational con-
formal dimension. This is related to the flat-world-sheet anomalous dimension
2
-E /2 of the recoil operator, viewed as a bulk world-sheet deformation by [9]:
ali = - ~b + J9j + ~, where Qb is the central-charge deficit of the bulk world-

g;
sheet theory. In the recoil problem at hand, as discussed in [13], Q~ ,...., E4 / > 0,
for weak folding deformations gli, and hence one is confronted with a supercriti-
cal Liouville theory. This implies a Minkowskian-signature Liouville-field kinetic
term in the respective (J model [17], which prompts one to interpret the Liouville
field as a time-like target field.
There are two approaches which one can follow. In the first of them [18], this
time is considered as a second time coordinate [7], which is independent of the
(Euclideanized) Xo. The presence of this second 'time' does not affect physical
observables, which are defined for appropriate slices with fixed Liouville coordi-
nate, e.g., r/> -+ 00 or equivalently E-+ 0. From the expression for Q we conclude
that ali ,...., E, to leading order in perturbation theory in E, to which we restrict
ourselves here. In the second approach [7], which we shall mainly follow here, the
(Minkowskian) Liouville field r/> is identified with the (initially Euclidean) coor-
dinate XO, and hence one is no longer considering constant Liouville field slices.
In this approach, however, one still identifies c 2 with the target time, which in
turn implies that the perturbative world-sheet approach is valid, provided one
works with sufficiently large times t, i.e. small E2 .
The XI-dependent field operators Bf(X I ) scale with E as [11]: Bf(X I ) ,....,
e- fxI B(X I ), where B(X I ) is a Heaviside step function without any field con-
tent, evaluated in the limit E -+ 0+. The bulk deformations, therefore, yield the
following (J-model terms:
(4)
where the subscripts (0) denote world-sheet zero modes, and gg = Yi.
Upon the interpretation of the Liouville zero mode ¢(O) as a (second) time-
like coordinate, the deformations (4) yield metric deformations of the generalized
space-time with two times. The metric components for fixed Liouville-time slices
can be interpreted [11] as expressing the distortion of the space-time surrounding
the recoiling D-brane soliton. For clarity, we now drop the subscripts (0) for the
rest of this paper, and we work in a region of space-time such that E(r/> - XI)
is finite in the limit E -+ 0+. The resulting space-time distortion is therefore
described by the metric elements
Gc/>c/> = -1, Gij = Oij, GIJ = OIJ, Gil = 0,

Gc/>i = (E 2 gJ: + EgliXI) B(X I ) , i = 4, ... 9, 1= 0, ... 3 (5)
where the index ¢ denotes Liouville 'time', not to be confused with the Eu-
clideanized time which is one of the Xl. To leading order in Egli' we may ignore
the E2 1i term. The presence of B(X I ) functions and the fact that we are working
in the region Yi > 0 indicate that the induced space-time is piecewise continuous
(the important implications for non-thermal particle production and decoher-
ence for a spectator low-energy field theory in such space-times were discussed
in [13,11], where the D-particle recoil case was considered).
We next study in more detail some physical aspects of the metric (5), re-
stricting ourselves, for simplicity, to the case of a single Dirichlet dimension z
that plays the role of a bulk dimension in a set up where there are Neumann
coordinates X I, I = 0, ... 3 parametrizing a D4 (Euclidean) brane, interpreted
as our four-dimensional space-time. Upon performing the time transformation
¢ ~ ¢ - ~EglzXI z, the line element (5) becomes:
ds 2 = _d¢2 + (8 IJ - ~E2gIz9JZ Z2) dX I dX J +
(1 + ~E2gIz9JZ Xl X J) dz 2 - Eglz Z dX I d¢ ,
(6)
where ¢ is the Liouville field which, we remind the reader, has Minkowskian sig-
nature in the case of supercritical strings that we are dealing with here. One may
now make a general coordinate transformation on the brane X I that diagonal-
izes the pertinent induced-metric elements in (6) (note that general coordinate
invariance is assumed to be a good symmetry on the brane, away from the
'boundary' Xl = 0). The so-diagonalized metric becomes [18,14]
ds 2 = _d¢2 + (1 - c? Z2) (dX I )2 + (1 + a 2 (X I )2) dz 2 - Eglz Z dX I d¢ ,
1
a = "2E9lz '" 9s1LlPzl/Ms (7)
where the last expression is a reminder that one can express the parameter a
(in the limit E ~ 0+) in terms of the (recoil) momentum transfer t1Pz along the
bulk direction.
A last comment, which is important for our purposes here, concerns the
case in which the metric (7) is exact, i.e., it holds to all orders in ?hzz, This
is the case where there is no world-sheet tree-level momentum transfer. This
naively corresponds to the case of static intersecting branes. However, the whole
philosophy of recoil [10,12] implies that, even in that case, there are quantum
fluctuations induced by the sum over genera of the world sheet. The latter implies
the existence of a statistical distribution of logarithmic deformation couplings
of Gaussian type about a mean-field value gfz = O. Physically, the couplings
gIz represent recoil velocities of the intersecting branes, hence these Gaussian
fluctuations represent the effects of quantum fluctuations about the zero recoil-
velocity case, which may be considered as quantum corrections to the static
intersecting-brane case. We therefore consider a statistical average << ... >>
of the line element (6) where « ... »= r~:: dglz (J7ir)-l e-gL;r\ ..).
and the width ris found [12] after summation over world-sheet genera to be
proportional to the string coupling 9s. In fact, it can be shown [12] that r scales
r
as E!', where is independent of E.
We see from (2.1), assuming that 9Iz = O(lud) where Ui = 9 s C:.Pi/Ms is the
recoil velocity [10,12], that the average line element ds 2 becomes:
«ds 2 »= _d¢2 + (1- o? z2) (dX I )2 + (1 + 0: 2 (X I )2) dz 2,
0: = _1_f. 2 r (8)
2V2
Thus the average over quantum fluctuations leads to a metric of the form (7),
but with a parameter 0: determined by the width (uncertainty) of the pertinent
quantum fluctuations [12].
An important feature of the line elements (7) and (8) is the existence of a
horizon at z = 1/0: for Euclidean Neumann coordinates XI. Since the Liouville
field ¢ has decoupled after the averaging procedure, one may consider slices of
this field, defined by ¢ = const, on which the physics of the observable world
can be studied [18]. From a world-sheet renormalization-group view point this
slicing procedure corresponds to selecting a specific point in the non-critical-
string theory space. Usually, the infrared fixed point ¢ -+ 00 is selected. In that
case one considers (2) a slice for which f.2 -+ O. But any other choice could do,
so 0: may be considered a small but arbitrary parameter of our effective theory.
The presence of a horizon raises the issue of how one could analytically continue
so as to pass to the space beyond the horizon. The simplest way, compatible,
as we discussed in [18], with the low-energy Einstein's equations, is to take the
absolute value of 1 - 0:2 z 2 in the metric element (7) and/or (8).
We now pass onto the second approach [7], in which one identifies the Liou-
ville mode ¢ with the time coordinate XO on the initial Dp brane. In this case,
as we shall see, the situation becomes much more interesting, at least in certain
regions of the bulk space time, where one can calculate reliably in a world-sheet
perturbative approach. Indeed, far away from the horizon at Izl = 1/0:, i.e.,
for 0: 2 z2 << 1, the line element corresponding to the space-time (8) after the
identification ¢ = XO becomes:
L (dX )2
3
ds 2 ::: _o:2 z 2 (dXO)2 + dz 2 + i
(9)
i=l
implying that XO plays now the role of a Minkowskian-signature temporal vari-

able, despite its original Euclidean nature. This is a result of the identification
¢ = XO, and the fact that ¢ appeared with Minkowskian signature due to the
supercriticality (Q2 > 0) of the Liouville string under consideration.
Notice that the space time (9) is flat, and hence it satisfies Einstein's equa-
tions, formally. However, the space time (9) has a conical singularity when one
compactifies the time variable XO on a circle of finite radius corresponding to an
inverse 'temperature' (3. Formally, this requires a Wick rotation XO -+ iXo and
then compactification, iXo = (3e iIJ , e E (0, 21r]. The space-time then becomes a
conical space-time of Rindler type
3
2 1 2 (3 2 z 2 (de
dSconical = 41r20: )2
+ dz 2 + '~
"' (
dX i) 2 (10)
t=l
with deficit angle 15 == 21r - a(3. We recall that there is a 'thermalization theorem'
for this space-time [19], in the sense that the deficit disappears and the space-
time becomes regular, when the temperature is fixed to be
T = a/21r (11)
The result (11) may be understood physically by the fact that a is essentially
related to recoil. As discussed in [13], the problem of considering a suddenly fluc-
tuating (or recoiling) brane at XO = 0, as in our case above, becomes equivalent
to that of an observer in a (non-uniformly) accelerated frame. At times long after
the collision the acceleration becomes uniform and equals a. This implies the
appearance of a non-trivial vacuum [19], characterized by thermal properties of
the form (11). At such a temperature the vacuum becomes just the Minkowski
vacuum, whilst the Unruh vacuum [19] corresponds to f3 -+ 00. Here we have
derived this result in a different way than in [13], but the essential physics is the
same.
2.2 D-Particle Recoil, Vacuum Energy and the Dimensionality

of the Brane World
As we have seen above, the recoil of a D-particle in the situation of fig. 1 induced
a non-trivial distortion of the D3 hypersurface. The distortion is such as to induce
non-trivial contributions to the vacuum energy on the D3 brane, as discussed in
detail in [20,21,14].
To see this, we recall that the four-dimensional space-time, in which the
defect is embedded, is to be viewed as a bulk space-time from the point of view
of the world-sheet approach to the recoil of the D particle. Following the same
approach as that leading to (9), involving the identification of the Liouville field
with the target time, t, one observes again that there exists an (expanding)
horizon, located at
(12)
where {Xi}, i = 1, ... 3 constitute the bulk dimensions, obeying Dirichlet bound-
ary conditions on the world sheet, and b' is related to the momentum uncertainty
of the fluctuating D particle. The variance b' was computed [12] using a world-
sheet formalism resummed over pinched annuli, which has been argued to be the
leading-order effect for weak string coupling 98:
(b' )2 = 49; (1 _ 285 82 Ekin ) + O( 6) (13)

£28 18 9 M D c2 98
where E kin is the kinetic energy scale of the fluctuating (heavy) D particle,
MD = 98/£8 is the D-particle mass scale, and £8 is the string length. Note
the dependence of the variance b' on the string coupling 98' which arises be-
cause quantum corrections come from the summation over world-sheet topolo-
gies [7,12]' and 98 is a string-loop counting parameter.
For the region of space-time inside the horizon one obtains the following
metric on the D3 brane, as a result of recoil of the D particle embedded in it:
3
r
2
= LX; < t 2 /b 12 (14)
i=l
Note that the scalar curvature corresponding to the metric (14) has the form
R = -4/r 2 , and as such has a singularity at the initial location r = 0 of the
D-particle defect, as expected. This metric is a solution of Einstein's equations
in a four-dimensional space-time {Xi, t}, with a non-trivial "vacuum" energy A,
provided there exists a four-dimensional dilaton field of the form:
<p = lnr + b/lnt (15)
which has non-trivial potential V(<p):
(16)
Above we have ignored the fluctuations of the D3 brane in the bulk directions.
When these are taken into account there may be additional contributions to
the vacuum and excitation energies on the D3 brane, which in fact are time-
dependent, relaxing to zero asymptotically, as discussed in [7,22J.
From (16),(15) we observe that, in general, there is an explicit r or t depen-
dence in the dilaton potential V and the vacuum energy A, which cannot be all
absorbed in the field <po This implies violation of Lorentz invariance in the bulk,
as a result of the recoil of the D3 brane. The result is in agreement with the
thermalization theorem (11), discussed in subsection 2.1.
It is interesting to remark [14] that the metric equations are satisfied for the
simple case of a free scalar (dilaton) field <p of the form (15), only for d = 3
spatial Neumann coordinates, independent of the value of bl. It seems therefore
that the restoration of conformal invariance in the case of recoiling D particles
embedded in a Dp brane, or equivalently the satisfaction of the corresponding
equations of motion in the Liouville-dressed problem, constrains the number of
longitudinal dimensions on the Dp brane to three. In other words, only a D3
brane can intersect with recoiling (fluctuating) D particles in a way consistent
with the restoration of conformal invariance in the manner explored here.
2.3 Energy Conditions and Horizons in Recoil-Induced Space-Times
It is interesting to look at the energy conditions of such space times, which

would determine whether ordinary matter can exist within the horizon region
displayed above. There are various forms of energy conditions [23], which may
be expressed as follows:
Strong
Dominant TIJ.vert ~ 0,
Weak TIJ.v~IJ.~V ~ 0,
Weaker TIJ.v(IJ.(V ~ O. (17)
where gIJ.v is the metric and TIJ.v the stress-energy tensor in aD-dimensional
space-time, including vacuum-energy contributions, ~IJ. and TlIJ. are arbitrary
future-directed time-like or null vectors, and (IJ. is an arbitrary null vector. The
conditions (17) have been listed in decreasing strength, in the sense that each
condition is implied by all its preceding ones.
It can be easily seen from Einstein's equations for the metric (14) that inside
the horizon b,2r2 ~ t 2 the conditions are satisfied, which implies that stable
matter can exist inside such regions of the recoil space-time. On the other hand,
outside the horizon the recoil-induced metric assumes the form:
(18)
The induced scalar curvature is easily found to be:
Notice that there is a curvature singularity at 2t 2 = b'2r2, which is precisely the

point where there is a signature change in the metric (18).
Notice also that, in order to ensure a Minkowskian signature in the space-
time (18), one should impose the restriction 2 > +
b/2 2
> 1. Outside this region,
the metric becomes Euclidean, which matches our (formal) construction of hav-
ing initially a (static) Euclidean D4 brane embedded in a higher-dimensional
(bulk) space time. Notice that in such a region one can formally pass onto a
Minkowskian four-dimensional space time upon a Wick rotation of the (Eu-
clidean) time coordinate XO. In this (Wick-rotated) framework, then, the space
time inside the bubbles retains its Minkowskian signature due to the specific
form of the metric (14).
The above metric (18) does not satisfy simple Einstein's equations, but this
was to be expected, since the formation of such space-times is not necessarily a
classical phenomenon. In ref. [14] we linked this fact with the failure of the energy
conditions in this exterior geometry. These considerations suggest that matter
can be trapped inside such horizon regions around a fluctuating D-particle defect.
This sort of trapping is interesting for our space-time-foam picture, as it implies
that such microscopic D-brane horizons act in a similar way as the intuitive
description of a macroscopic black-hole horizon discussed in the Introduction,
as illustrated in Fig. 2.
To reinforce the interpretation that matter is trapped in the interior of a
region described by the metric (14), we now show that a matter probe inside the
horizon 'bubble' experiences an energy-dependent velocity of light. First rewrite
the metric in a Friedmann-Robertson-Walker (FRW) form:
ds' = e'I"' (b"dthw - :' t.(dx')') (19)
where we were careful when performing coordinate redefinitions not to absorb in

them the factor b', which, depends (13) on the energy scale of the matter probe.
We are interested in matter at various energies propagating simultaneously in
such a space-time, and performing a coordinate transformation could not absorb
an energy-dependent factor such as b'. When we consider the encounter of a
matter probe, such as a photon, with a fluctuating D-particle defect, the kinetic-
energy scale E kin may be identified with the energy scale E of the matter probe.
We recall that energy conservation has been proven rigorously in the world-
sheet approach to D-brane recoil [12], and survives the resummation over higher
genera.
We observe from (19) that the overall scale factor may be absorbed into a
redefinition of the spatial part of the dilaton (15), implying that stable matter
experiences an energy-dependent 'light velocity'
285 2 E ) 1/2
Cint(E) = b'c = 2cg s ( 1- 18:~c2 (20)
in the space-time (14), where MD = Msi gs is the D-particle mass scale. The
energy-independent factor 2g s may in fact be absorbed into the normalization of
the FRW time coordinate tFRW, thereby making a smooth connection with the
velocity of light in vacuo in the limiting case of E / M D c2 -+ O. It is important
to note that, because of the specific form (13) of the variance b', the resulting
effective velocity (20) in the interior of the bubble is subluminal [24]. On the
other hand, we see from (18) that matter propagates at the normal in vacuo
light velocity C in the exterior part of the geometry.
If one considers pulses containing many photons of different energies [25,26],
then the various photons will experience, as a result of the dynamical formation
;
, (\.'
:g-"
. . .i Q
.:.;,;, :i-ii
,.
.::::
.,
.
...............................
-." --ii
0
.:
L ll .! 1.. · 0:.1
Fig. 2. A schematic representation of scattering in D-foam background. The dashed

boxes represent events just before, during and after the scattering of a closed-string
probe on one particular D brane defect. The scattering results in the formation of an
shaded bubble, expanding as indicated by the dotted line, inside which matter can be
trapped and there is an energy-dependent refractive index.
of horizons, changes in their mean effective velocities corresponding on average

to a refractive index L1c(E), where the effective light velocity:
(21)
Here ~ is a quantity that depends on the actual details of the scenario for quan-
tum space-time foam, in particular on the density of the D-brane defects in space.
In a dilute-gas approximation, ~ might plausibly be assumed to be of order one,
as can be seen as follows. Consider a path L of a photon, which encounters N
fluctuating D-particle defects. Each defect creates a bubble which is expected to
e
be close to the Planckian size s , for any reasonable model of space-time foam.
Inside each bubble, the photon propagates with velocity (20), whereas outside it
propagates with the velocity of light in vacuo c. The total time of flight for this
probe will therefore be given by:
ttotal =
L-Ne s
C
es (
+N ~ 1 -
2
9s
285 E
18 MDC 2
)-1/2 (22)
In a 'dilute gas approximation' for the description of space time foam, it is

natural to assume that a photon encounters, on average, 0(1) D particle defect
in each Planckian length es, so that N ,. . ., ~L/es, where ~ ::; 1. From (22), then,
one obtains a delay in the arrival time of a photon of order
2285 L E
L1t,....., ~9s36 MDC 3 + ... , (23)
corresponding to the effective velocity (21). In conventional string theory, 9; /21l' ,. . .,

1/20, and the overall numerical factor in (23) is of order 4.4~. However, 9s should
rather be considered an arbitrary parameter of the model, which may then be
constrained by phenomenological observations [26] through limits on (23).
2.4 Breathing Horizons in Liouville String Theory

and the Emergence of Space-Time Foam
The tendency of the horizon (12) to expand is a classical feature. Upon quanti-
zation, which corresponds in our picture to a proper resummation over world-
sheet topologies, one expects a phenomenon similar to Hawking radiation. Such a
phenomenon would decelerate and stop the expansion, leading eventually to the
shrinking of the horizon. This would be a dynamical picture of space-time foam,
which unfortunately at present is not fully available, given that at microscopic
distances the world-sheet perturbative analysis breaks down. However, we be-
lieve that this picture is quite plausible, and we can support these considerations
formally by recalling that time t is the Liouville field in our formalism.
The dynamics of the Liouville field exhibits a 'bounce' behaviour, when con-
sidered from a world-sheet view point [27,7], as illustrated in Fig. 3. This is a
general feature of non-critical strings, whenever the Liouville field is viewed as
a local renormalization-group scale of the world sheet. The flow of the Liouville
scale is in both directions between fixed points of the world-sheet renormalization
group: Infrared fixed point ~ Ultraviolet fixed point ~ Infrared fixed point.
This formalism is similar to the Closed-Time-Path (CTP) formalism used
in non-equilibrium quantum field theories [28]. The absence of factorization is
linked to the evolution from a pure state lA, B) to a mixed density matrix, p,
which cannot be described by a conventional S matrix.
In our approach, the logarithmic algebra of the recoil operators forces the
regularizing parameter € (2) to be identified with the logarithm of the world-sheet
area scale A = ILja1 , and hence with the target time. In the bounce picture
2
outlined above, there will be a 'breathing mode' in the recoil-induced space-

time, characterized by two directions of time, corresponding to the processes of
expansion, stasis and shrinking of the horizon in the recoil-induced space-time
(14), all within a few Planckian times. This is the Liouville-string description of
Hawking radiation.
3 Physical Consequences of the Model

3.1 Modified Dispersion Relations and Analogies with Superfluids
The result (21) implies a modified dispersion relation for matter propagation in
the above-model of space time foam, which violates linearly Lorentz invariance
on the brane D3 (we remind the reader that violation of Lorentz symmetry (LIV)
is a generic feature of the recoil formalism we discuss here, and already occurs
in the bulk, as discussed in section 2.2):
(24)
where MQG denotes an effective scale at which quantum-gravitational interac-

tions set in. We note that such modifications of dispersion relations appear as
a generic feature of the non-critical string theory approach to quantum gravity,
where the time is identified as the Liouville mode [30].
4
~~'R
-:=\~
IR
Fig. 3. Contour of integration appearing in the analytically-continued (regularized)

version of world-sheet Liouville string correlators. The quantity A denotes the (com-
plex) world-sheet area. This is known in the literature as the Saalschutz contour [28],
and has been used in conventional quantum field theory to relate dimensional regular-
ization to the Bogoliubov-Parasiuk-Hepp-Zimmermann renormalization method. Upon
the identification of the Liouville field with target time, this curve resembles closed-time
paths in non-equilibrium field theories.
In the specific case discussed here (20) the function f( -..1!-M

QG
) is linear in
3
the small quantity pjMQG, where MQG '" 28 562 MD. In general, other models
9.
of quantum gravity foam may yield more suppressed modifications, where the
function f(pjMQG) starts from quadratic (or higher-order) terms in pjMQG [31].
Clearly such modified dispersion relations are direct consequences of the induced
violations of Lorentz symmetry. Some experimental tests will be discussed later
on.
For the moment we note that [33] such modifications of dispersion relation
is a typical effect occuring in open systems in condensed matter. In fact the
non-diagonal form of the original induced metric (5) is common in condensed-
matter situations where one encounters the motion of fermions in superfluids
in the Landau-Khalatnikov two-fluid framework [32]. We now turn briefly to a
discussion of this analogy.
Indeed, it was observed in [32] that relativistic fermionic quasiparticle excita-
tions appear near the nodes of such systems, with a spin-triplet pairing potential
Vp,p' ex: p. p' and an energy gap function d(p) '" cpx in the polar phase, where
Px denotes the momentum component along, say, the x direction, and c denotes
the effective 'speed of light' in the problem. This is, in general, a function of the
superflow velocity w: c( w), that is determined self-consistently by solving the
Schwinger-Dyson-type equations that minimize the effective action.
This system was considered in the context of 3He in a container with station-
ary rigid walls and a superflow velocity w taken, for simplicity, also along the
x direction. The Doppler-shifted energy of the fermions in the pair-correlated
state with potential Vp,p' is given by
E(px, lOp) = J€~ + c2 pi + wpx, (25)
where lOp = (p2 - p}) 12m, is the energy of the fermion in the absence of the
pair correlation, PF is the Fermi momentum and m is the mass of a superftuid
(e.g. Helium) atom [32]. The term wpx appearing in the quasiparticle energy
spectrum (25), as a result of the motion of the superfluid, yields an effective
off-diagonal (l+l)-dimensional metric G!-'v with (contravariant) components
GOO = -1, GO I = w, (26)
The off-diagonal elements of the induced metric (26) are analogous to those of
our metric (5) upon the interpretation of the Liouville field as target time [7,33].
In this analogy, the role of the recoil velocity u in our quantum-gravitational
case is played by the superflow velocity field w.
An important feature of the superfluid case is the appearance of an horizon
that characterizes the metric (26). This arises when the superflow velocity w = c,
in which case the metric element Gll in (26) crosses zero, leading to a signature
change for superluminal flow w > c. In fact, as shown in [32] by an analysis of the
gap equation, the superluminal flow branch is not stable, because it corresponds
to a saddle point rather than a minimum of the effective action. This suggests
that the intactness of the analogy with our problem, in which on the one hand
we do have the formation of horizons (12), and on the other the special dynamics
that governs the recoil problem [12] keeps the photon velocity subluminal (20),
may be maintained.
3.2 Other Stochastic Effects: Light-Cone Fluctuations
The above-mentioned modified dispersion relation (24) and the induced refrac-
tive index (21) may be viewed as a sort of mean field effects in the full quantum
theory. As discussed in [24], the summation over world-sheet topologies of the
stringy a-model we are examining here, leads to additional stochastic fluctua-
tions of the widths of the pulses of massless particle probes (photons) propagat-
ing in the space-time-foam background. Such fluctuations are associated with
non-zero elements of the following (target-space) correlation functions between
two gravitons:
(27)
where the correlators are taken with respect to the full theory of quantum-gravity
foam. In our a-model D-brane framework, to leading order such fluctuations in-
corporate resummation of a sub-class of world-sheet topologies (annuli) [12], but
in more complete situations other topologies must be included, which makes
the full expression unknown. Nevertheless, from the leading order calculations
we have the result that such stochastic fluctuations will lead to a stochastic
spread on the arrival times of photons (massless probes) with the same energy,
in contrast to the the (mean-field) refractive effect (21) which relates photons in
different energy channels. Moreover, the stochastic effect will be suppressed by
extra powers of the string coupling 98 as compared to (23). This phenomenon is
similar with the one predicted in the context of conventional quantum-field the-
ory of gravity involving graviton coherent states [34] and is probed independently
of any possible modification of dispersion relations.
3.3 Charged Particles and Transition Radiation?
As we have stressed above, the basic feature of our model [14] is the formation
of 'bubbles' (see fig. 2) with non-trivial refractive index (21), thereby giving
the notion of a 'medium'. So far we have examined the propagation of massless
neutral probes in such a medium. When charged particles are considered one is
prompted to draw an analogy [26] with the situation encountered in electrody-
namics of interfaces between two media with different dielectric constants (and
refractive indices). In such a situation the phenomenon of transition radiation
(TR) takes place [35]: when a charged particle crosses the interface separating
two media with different refractive indices and dielectric constants radiation is
emitted in the forward direction, which is appreciable for highly energetic par-
ticles. The physical reason for TR is the fact that the moving electromagnetic
fields of the charged particle induce a time-dependent polarization in the medium
which emits radiation. The radiated fields from different points in space combine
coherently in the neighbourhood of the path and for a certain depth (formation
depth) in the medium, giving rise to TR with a characteristic angular distribu-

tion and intensity that depends on the Lorentz factor (and hence the energy)
of the charged particle. For the case of relevance to us here, in which the par-
ticle crosses an interface separating the vacuum from a medium with refractive
index close to unity, the bulk of the TR spectrum comprises of highly energetic
photons.
In the case of the space-time foam model discussed in [14] and reviewed here,
one should expect similar effects if he/she views the D-brane defects as "real"
(some sort of "material reference system" [20,36]), the recoil of which gives rise
to the 'physical' bubble picture of fig. 2. Of course this is only an analogy, and
the actual calculation differs from the electromagnetic case, especially due to the
microscopic (Planckian) size of the bubbles, which approaches the uncertainty
limits. However, we believe that qualitatively similar phenomena take place, but
we expect them to be suppressed, due to trapping of a significant part of the
emitted radiation inside the microscopic fluctuating horizons. It goes without
saying that the characteristics of the associated TR, if any, depend crucially on
the details of the space-time foam picture. It may even be averaged out. Never-
theless, the possibility of detection of energetic photons accompanying charged
particles due to space time foam quantum-gravity effects is an interesting issue
deserving a separate study, which we shall turn to in a forthcoming publication.
3.4 Time-Dependent "Vacuum" Energy
An important feature of our (non-critical) stringy model is the appearance of a

non-trivial "vacuum" energy, which actually is time dependent, relaxing to zero
asymptotically. This is a generic feature of D-brane space-time models [20] and
may have important physical consequences. The recoil of the D-particles in our
picture, as a result of the scattering of strings on them, excites the ground state
of the system, with the inevitable consequence of the appearance of a non-zero
(time-dependent) excitation energy, which plays the role of a time-dependent
"vacuum energy". Although the characterization "vacuum" is really misleading
in the sense that in the recoil picture one is dealing with an excited state of the
D-brane system, however for our purposes we shall continue to use it. This is on
account of two facts: (i) in the framework of our model, an observer living on
the recoiling D3 brane of fig. 1 cannot tell the difference between living in an
excited state and in the ground state of the system. (ii) in our scenario for the
space-time foam the recoil may represent virtual quantum fluctuations, which
can be attributed to properties of the "space-time-foam" non-equilibrium state.
It is important to notice that in the situation depicted in fig. lone encounters
two kinds of contributions to the "vacuum" energy. The first occurs as a result of
recoil effects from the D-particles embedded in the D3 brane. As discussed in [20],
such effects lead to positive excitation (or "vacuum") energies exhibiting a 1/t2
time dependence as t -+ 00. In addition to this, one encounters contributions
to the "vacuum" energy coming from the bulk space time, as a result of the
recoil (quantum) fluctuations of the D3 brane along the bulk directions. Such
contributions may lead to negative (anti-de-Sitter type) contributions to the

vacuum energy on the brane [22]' which in certain models also scale as 1/t2 .
Both types of contributions to the vacuum energy are responsible for a su-
persymmetry obstruction, in the sense that the excited state of the system of
recoiling D-branes (non-critical strings) is not supersymmetric, despite the fact
that the true ground state of the system (no recoil, critical strings) is. The pos-
sibility of opposite sign contributions may imply cancellations in certain model
yielding strongly suppressed or even zero vacuum energy. However, it should be
remarked that a small positive contribution to the vacuum energy, scaling as
1/t2 , is still compatible with (if not desirable on account of) recent astrophysical
data, coming, for instance, from high-redshift supernovae [37J.
4 Experimental Tests
4.1 Astrophysical Tests of Modified Dispersion Relations

and the Associated Lorentz Symmetry Violation
It is interesting to remark that the modified dispersion relations (24) may have
falsifiable consequences in the foreseeable future, especially if one looks at distant
astrophysical probes such as light from Gamma-Ray-Bursters (GRB) [25,43J
and ultra-high-energy cosmic rays [44J. Such tests fall into the general category
of experimental probes of Lorentz symmetry [38,31J. Indeed, in our framework
Lorentz Invariance is only a symmetry of the low energy effective theory, which
is reminiscent of the situation encountered in condensed-matter systems with
relativistic excitations near certain points (nodes) of their fermi surfaces (e.g.
d-wave superconductors). Near these points, the effective low-energy field theory
appears relativistic, which is not the case of the full theory.
In a similar manner, for energies much lower than the Planck energy, Mp,
which is the characteristic scale of Quantum Gravity, Lorentz symmetry seems
a good symmetry of the effective theory, whilst there may be violations of it for
energies near M p where the concept of space and time may change drastically. In
the model considered above, we have seen that this is indeed the case, and such
manifestations of Lorentz Invariance Violations (LIV) are the modified dispersion
relations (24) and the induced refractive index effects (21). We should notice,
however, that the LIV in our model are different from the ones suggested by
Coleman and Glashow [38J. In that model the violations of Lorentz symmetry
results in the propagation velocity of massless particle species (e.g. neutrinos )
being species dependent Ci, whilst in our case (21) the violation depend only on
the energy content of the particle, being otherwise universal, and in this sense
the induced LIV are compatible with the equivalence principle.
Gamma-Ray-Burster Observations We presented in [26J a detailed analysis

of the astrophysical data for a sample of Gamma Ray Bursters (GRB) whose
redshifts z are known (see fig. 4 for the data of a typical burst: GRB 970508).
We looked (without success) for a correlation with the redshift, calculating a
regression measure for the effect (23) and its stochastic counterpart associated
with (27). Specifically, we looked for linear dependences of the 'observed' Llt and
the spread Lla/E (with E denoting energies) on z == 2· [1 - (1/(1 + Z)1/2] ~
Z - (3/4)z2 + ..., which expresses the cosmic-expansion-corrected redshift. We
determined limits on the respective quantum gravity scales MQG and Mstoch by
constraining the possible magnitudes of the slopes in linear-regression analyses
of the differences between the arrival times and widths of pulses in different
energy ranges from five GRBs with measured redshifts, as functions of z. Using
the current value for the Hubble expansion parameter, H o = 100· ho km/s/Mpc,
where 0.6 < ho < 0.8, we obtained the following limits [26]
15 15
MQG ~ 10 GeV, Mstoch ~ 2 x 10 GeV (28)
on the possible quantum-gravity effects.

This is one kind of tests that could yield useful limits on space-time foam
models in the future. However, I should remark that such analyses have to be
performed with care. The regression index should yield reliable information only
in case one has a statistically-significant population of data, with known red-
shifts, something which at present is not feasible (it is worthy of pointing out,
however, recent claims [39] according to which a systematic study of the avail-
able luminosity and spectral lag data of GRB's can lead to an estimate of the
respective redshifts. If true, such studies can provide us with statistically sig-
nificant samples of GRB data relevant to our quantum-gravity precision tests).
Moreover, detailed knowledge on the emission mechanisms [40] at the source are
essential in order to disentangle effects that may be due to conventional physics,
--
OIUf7CMI 'Ans. . . Ol..I . . Q.)
1-- 11_.
.r·
. .f"·).·,
), ... ,' ....
I- I t
J:./\ ... ·.
.,' •., I (,"(. '.,. f.
J- /. \.
f
-.>.
...... ' .. I I I
_I
..... l .......,. 1 •
-_.. . ... .'\

o• '"'' • 1••11. .
1-_......1'/
~ ~.
1f-- l / '\ I
"·~··t
'•
J-"/\ Il-. ""'" •

'Of I I
. I:.f\ ...
-
- It f
• _\,1 flo • c.l\ ,"••

00.) 't j • o a. IQI U(II.
Fig. 4. Time distribution of the number of photons observed by BATSE in Channels 1

and 3 for GRB 970508, compared with the following fitting functions [26J: (a) Gaussian,
(b) Lorentzian, (c) 'tail' function, and (d) 'pulse' function. We list below each panel the
positions t p and widths a p (with statistical errors) found for each peak in each fit. The
various fitting functions provide systematic errors in precision tests of quantum-gravity
effects [26J.
i.e. physics which is unrelated to foam effects. For instance, it is known [41] that
non-trivial vacua in effective (non-linear) theories of quantum electrodynamics,
associated with thermalized fermions or photons (e.g. cosmic microwave back-
ground radiation), lead to non-trivial refractive indices. However, the energy
dependence on the probe energy in such cases is different from our effect (21),
in the sense that it either leads to an energy-independent light velocity, which
simply changes value (jumps) as the Universe expands, or it leads to an energy
and temperature dependent refractive index, which however decreases with in-
creasing probe energy, and hence leads to the opposite effect than (23). Such
conventional physics effects, therefore, have to be disentangled from the pure
space-time foam effects in all the relevant analyses. It is probably worthy of
mentioning that a systematic study of the observed GRB indicates [42] that the
pulses of light become narrower, and the arrival times shorter, as one goes from
the low- to the high- energy channels. This is opposite to the quantum-gravity
effect (23), and is probably related to conventional physics phenomena at the
source.
Ultra-High-Energy Cosmic Rays Recently, ultra-high-energy cosmic rays

(UHECR) [44], with energies higher than 1020 eV, have been invoked [45-48]
as very sensitive probes of Lorentz invariance violations, and in particular of
the modified dispersion relations (24), with sensitivities that, depending on the
model, reach and/or exceed by far Planckian energy scales. In particular, it has
been argued [46] that possible modifications of the dispersion relation, due to
quantum gravity effects, could provide an explanation of the observed violation
of the GZK cut-off [49], and also be responsible for a significant increase in the
transparency of the Universe [45], in such a way so as the sources of UHECR
could be extragalactic, lying much further (at cosmological distances), in contrast
with the common belief, based on Lorentz-invariant models, that the origin of
UHECR should be within at most 50 Mpc radius from us [44]. Such modifications
in the dispersion relation have also been invoked as a possible explanation of
certain discrepancies between the observed 'Y spectrum of Markarian 501 and
expectations based on a new estimate of the infrared background [47].
Although, most likely, conventional explanations could account for such vi-
olations of GZK cutoff and other UHECR related effects [50], however the fact
that such phenomena exhibit sensitivities to Planckian (and even sub-Planckian)
scales is by itself remarkable and one cannot exclude the possibility of even hav-
ing experimental signatures of quantum-gravitational effects in the near future.
For instance, it has been argued [48] that certain models of deformed Lorentz
symmetry cannot lead to threshold effects that account for a violation of GZK
cut-off, in contrast to our model, and hence UHECR data can be used to dis-
entangle various models of space-time foam. In addition, since UHECR involve
charged particles, the possibility of foam-induced transition radiation discussed
in the previous section, should be taken into account as a means of excluding
models.
4.2 Terrestrial Experiments on Space-Time Foam

We shall conclude this section by mentioning briefly that space-time quantum-
gravity models can also be tested in terrestrial particle-physics experiments,
involving neutral kaons [51-53] and other sensitive probes of quantum mechanics,
as well as gravity-wave interferometric experiments [54].
In the latter case, the effects are similar to the ones associated with the
GRB experiment, and stem from the fact that space-time foam effects induce
stochastic modifications of the dispersion relations for photons, and as such
appear as noise in the gravity-wave interferometers. It is remarkable that the
next-generation facilities of this kind could be sensitive (in principle) to Planck-
size effects [54].
In the neutral-kaon or other meson experiments, the effects of quantum grav-
ity are more subtle and are associated with the modification of the quantum
mechanical evolution of the density matrix of (neutral kaon) matter propagating
in a space-time foam background. A parametrization of possible deviations from
the Schr6dinger evolution has been given [51], assuming energy and probabil-
ity conservation, in terms of quantities a, (3, "{ that must obey the conditions
a, "{ > 0, a"{ > (32 stemming from the positivity of the density matrix p.
These parameters induce quantum decoherence and violate CPT [52]. Exper-
imental data on neutral kaon decays so far agree perfectly with conventional
quantum mechanics, imposing only the following upper limits [55]:
a < 4.0 x 1O-17GeV, (3 < 2.3 x 1O-19GeV, "{ < 3.7 x 1O- 21 GeV (29)
We cannot help being impressed that these bounds are in the ballpark of mk/Mp,
which is the maximum magnitude that we could expect any such effect to have.
It has been pointed out in ref. [56] that within the context of linear maps the
requirement of complete positivity of p results in further restrictions, in partic-
ular only two of the coefficients, a, "{ are non vanishing. Together with energy
conservation, this requirement leads to the so-called Lindblad parametrization
for the non-quantum mechanical evolution [57]. Recently, however, it has been
argued [58] that such a special form of linear evolution leads to effects that are
significantly more suppressed than (29), by many orders of magnitude, which
casts doubt on claims [56] that complete positivity of linear maps can be tested
experimentally in the foreseeable future.
However, in our Liouville-string case, which is the basis of the present model
of quantum gravity foam, the deviations from the conventional quantum mechan-
ical evolution in the respective density matrix are non linear [7,59]. In such a case,
the parameters a, (3, "{ can only be viewed as appropriate averages, which them-
selves depend on the wave-functional of the system. This is a non-trivial feature
of our formalism of identifying time with the Liouville mode [7]. In the particu-
lar case of recoiling D-particles the non-linear temporal evolution of the system
has been computed explicitly [60]. Such non-linear evolution of the quantum-
gravitational 'environment' also results, in general, in a non-linear evolution of
low-energy matter propagating in this background. Moreover, in this specific ex-
ample energy is not conserved during the scattering of strings with D-particle
defects, as a result of recoil of the latter. This is also in agreement with the
explicit breaking of translational invariance by the presence of D-branes, and is
captured formally by the very special properties of Liouville dynamics.
As discussed in [59], such features lead to important deviations from the (spe-
cific) Lindblad evolutionary form. which, in turn implies the possibility of signifi-
cant enhancement of the effects: the latter can be as large as (29), thereby offering
the possibility of experimental tests in the next-generation of neutral-kaon (or
other meson) experiments [52,53], as well as future neutrino facilities [61].
5 Instead of Conclusions
We have discussed in this article a microscopic mechanism for the dynamical

formation of horizons by the collisions of closed-string particle 'probes' with
recoiling D-particle defects embedded in a p-dimensional space time, which may
in turn be viewed as a Dp brane domain wall in a higher-dimensional target
space. As we have argued before, the correct incorporation of recoil effects, which
are unavoidable in any quantum theory of gravity that reproduces the conceptual
framework of general relativity in the classical limit, necessitates a Liouville
string approach in the context of a (perturbative) world-sheet framework.
The most important result of our approach is the demonstration of the dy-
namical formation of breathing horizons, which follows directly from the restora-
tion of conformal invariance by means of Liouville dressing. The non-trivial opti-
cal properties induced by the propagation of light in such a fluctuating space-time
may be subject to experimental verification in the foreseeable future, and are
already constrained by existing data [25,26]. The fact that the refractive index
in the bubbles of space-time foam is subluminal implies the absence of birefrin-
gence in light propagation, which is, however, possible in other approaches to
space-time foam [29].
It is important to stress that the sensitivity to Planckian effects may not
be so remote as one naively thinks. There are both terrestrial and astrophysical
experimental tests, which are currently under way or about to be launched, that
may not be far from excluding (or even verifying!) space-time foamy models
of quantum gravity. It goes without saying that such a sensitivity is highly
model dependent. For instance the sensitivity of the GRB test to the effect (23)
depends crucially on the specific model of foam described above, in which the
effect is linearly suppressed by the quantum gravity scale. If, for some reason,
the effect is quadratically suppressed [31], such a sensitivity is lost [26], however
such quadratic models may be experimentally testable by means of UHECR
experiments. Within the framework of our model, the linear effect is undoubtedly
a feature of the single scattering event of a string with a D-particle in the foam.
In the case of many D-particles it is possible that the effect is further suppressed.
This depend on the (yet unknown) details of the statistical dynamics of the foam.
Certainly much more work, both theoretical and 'phenomenological' is nec-
essary before even tentative conclusions are reached on such important matters
as an understanding and the possibility of experimental signatures of quantum
gravity. But as explained above, there are optimistic signs that this task may not
be impossible. Allow me, therefore, to close this lecture by recalling a statement
from Sherlock Holmes (by Sir A. Conan-Doyle), which was reminded to me by
my collaborator A. Campbell-Smith: If you eliminate the impossible, whatever
remains, no matter how improbable, must be the truth.
Acknowledgements
This work is dedicated to the memory of T. Ypsilantis. The work of N.E.M.

is supported in part by PPARC (UK). The author wishes to thank Prof. H.
Klapdor-Kleingrothaus (Chairman) for inviting him to the DARK2000 third in-
ternational conference on Dark Matter in astro- and particle physics (Heidelberg,
Germany, July 10-15 2000). He also thanks D. Fargion and V. Mitsou for dis-
cussions on cosmic rays and transition radiation respectively, and H. Hofer for
his interest and support.
References
1. C. Rovelli and L. Smolin, Phys. Rev. Lett. 61, 1155 (1988); Nucl. Phys. B331,
80 (1990); A. Ashtekar, C. Rovelli and L. Smolin, Phys. Rev. Lett. 69, 237
(1992); A. Ashtekar, Lectures on non-perturbative canonical gravity (World Sci-
entific, Singapore 1991); A. Ashtekar and J. Lewandowski, Class. Quant. Grav.
14, A55 (1997); for a recent review see: C. Rovelli, Living Reviews Vol. 1;
http://www.livingreviews.org/Articles;'
2. J.A. Wheeler, Annals of Physics (NY) 2, 605 (1957); S.W. Hawking, Nuclear
Physics B144, 349 (1978); S.w. Hawking, D.N. Page and C.N. Pope, Physics Let-
ters B86, 175 (1979); J. Ellis, J. Hagelin, D. Nanopoulos and M. Srednicki, Nuclear
Physics B241, 381 (1984); T. Banks, L. Susskind and M.E. Peskin, Nuclear Physics
B244, 125 (1984); L. J. Garay, Physical Review D58, 124015 (1998).
3. M.B. Green, J.H. Schwarz and E. Witten, String Theory Vol. I and II (Cambridge
Univ. Press 1987);
4. J. Polchinski, Physical Review Letters 75, 4724 (1995); J. Polchinski, TASI Lectures
on D-branes, hep-th/9611050.
5. A. Sen, Invited talk at the 29th International Conference on High-Energy Physics
(!CHEP 98), Vancouver, Canada, 23-29 July 1998, hep-ph/9810356.
6. S. W. Hawking, Commun. Math. Phys. 43 (1975) 199.
7. For reviews, see: J. Ellis, N. E. Mavromatos and D. V. Nanopoulos, J. Chaos,
Solitons and Fractals 10, 345 (1999), hep-th/9805120; J. Ellis, N. E. Mavromatos
and D. V. Nanopoulos, invited contribution to the 2nd International Conference on
Physics Beyond the Standard Model: Beyond the Desert 99: Accelerator, Nonaccel-
erator and Space Approaches, Ringberg Castle, Tegernsee, Germany, 6-12 Jun 1999,
gr-qc/9909085; J. Ellis, N. E. Mavromatos and D. V. Nanopoulos, gr-qc/0005100,
presented at 4th International Symposium on Sources and Detection of Dark Matter
in the Universe (DM 2000), Marina del Rey, California, 23-25 Feb 2000.
8. F. David, Modern Physics Letters A3, 1651 (1988).
9. J. Distler and H. Kawai, Nuclear Physics B321, 509 (1989).
10. I. I. Kogan, N. E. Mavromatos and J. F. Wheater, Physics Letters B387, 483

(1996).
11. J. Ellis, N. E. Mavromatos and D. V. Nanopoulos, International Journal of Modern
Physics A13, 1059 (1998).
12. N. E. Mavromatos and R J. Szabo, Physical Review D59, 104018 (1999).
13. J. Ellis, P. Kanti, N. E. Mavromatos, D. V. Nanopoulos and E. Winstanley, Modern
Physics Letters A13, 303 (1998).
14. J. Ellis, N. E. Mavromatos and D. V. Nanopoulos, gr-qc/0006004, Phys. Rev. D
in press.
15. V. Gurarie, Nuclear Physics B410, 535 (1993); J.S. Caux, I.I. Kogan and A.M.
Tsvelik, Nuclear Physics B466, 444 (1996); M.A.!. Flohr, International Journal
of Modern Physics All, 4147 (1996); M.R. Gaberdiel and H.G. Kausch, Nuclear
Physics B489, 293 (1996); I.I. Kogan and N.E. Mavromatos, Physics Letters B375,
111 (1996); M.R Rahimi-Tabar, A. Aghamohammadi and M. Khorrami, Nuclear
Physics B497, 555 (1997); I.I. Kogan, A. Lewis and a.A. Soloviev, International
Journal of Modern Physics A13, 1345 (1998).
16. J. Ellis, N.E. Mavromatos and E. Winstanley, Phys. Lett. B476, 165 (2000).
17. I. Antoniadis, C. Bachas, J. Ellis and D.V. Nanopoulos, Nucl. Phys. B328, 117
(1989).
18. G. K. Leontaris and N. E. Mavromatos, Phys. Rev. D61, 124004 (2000).
19. W.G. Unruh, Physical Review D14, 870 (1976).
20. J. Ellis, N. E. Mavromatos and D. V. Nanopoulos, Gen. ReI. Grav. 32, 943 (2000).
21. J. Ellis, N.E. Mavromatos and D.V. Nanopoulos, International Journal of Modern
Physics A13, 5093 (1998).
22. A. Campbell-Smith and N. E. Mavromatos, Phys. Lett. B488, 199 (2000)
23. RM. Wald, General Relativity, University of Chicago Press, Chicago (1984).
24. J. Ellis, N.E. Mavromatos and D.V. Nanopoulos, Gen. ReI. Grav. 32, 127 (2000);
Physical Review D61, 027503 (2000).
25. G. Amelino-Camelia, J. Ellis, N. E. Mavromatos, D. V. Nanopoulos and S. Sarkar,
Nature 393, 763 (1998), astro-ph/9712103;
26. J. Ellis, K. Farakos, N.E. Mavromatos, V.A. Mitsou and D.V. Nanopoulos, Astro-
phys. J. 535, 139 (2000) [astro-ph/9907340J.
27. !. Kogan, Phys. Lett. B265 (1991) 269.
28. J. Schwinger, J. Math. Phys. 2 (1961) 407; H. Umezawa, Advanced Field Theory:
Micro, Macro and Thermal Concepts (American Inst. of Physics, N.Y., 1993). For
recent discussions, see: E. Calzetta and B.L. Hu, Phys. Rev. D37 (1988) 2878; E.
Calzetta, S. Habib and B.L. Hu, Phys. Rev. D37 (1988) 2901.
29. R. Gambini and J. Pullin, Phys. Rev. D59, 124021 (1999); J. Alfaro, H.A. Morales-
Tecotl and L.F. Urrutia, Phys. Rev. Lett. 84, 2318 (2000).
30. G. Amelino-Camelia, J. Ellis, N. E. Mavromatos and D. V. Nanopoulos, Int. J.
Mod. Phys. A12, 607 (1997).
31. L. Gonzalez-Mestres, hep-ph/99050430 and physics/0003080 and references
therein.
32. N. B. Kopnin and G. E. Volovik, Pisma Zh. Eksp. Teor. Fiz. 67, 124 (1998) [cond-
mat/9712187J; G. E. Volovik, gr-qc/0005091 and references therein.
33. J. Ellis, N. E. Mavromatos, D. V. Nanopoulos and G. Volkov, gr-qc/9911055, Gen.
Re!. Grav. in press.
34. H. Yu and L. H. Ford, Phys. Rev. D60, 084023 (1999) and gr-qc/0004063, and
references therein.
35. see for instance: J.D. Jackson, Classical Electrodynamics (John Wiley & Sons, New
York 1975).
36. C. Rovelli, Class. Quant. Grav. 8, 297 (1991); ibid. 317.

37. S. Perlmutter et ai., astro-ph/9712212; A.G. Riess et ai., astro-ph/9805201; P.
Garnavich et ai., astro-ph/9806396.
38. For a sample of representative references see: V. A. Kostelecky and S. Samuel,
Phys. Rev. 039, 683 (1989); S. Coleman and S. L. Glashow, Phys. Lett. B405,
249 (1997); S. L. Glashow, A. Halprin, P. I. Krastev, C. N. Leung and J. Pantaleone,
Phys. Rev. 056, 2433 (1997); V. A. Kostelecky and C. D. Lane, Phys. Rev. 060,
116010 (1999); O. Bertolami and C. S. Carvalho, Phys. Rev. 061, 103002 (2000).
39. E. E. Fenimore and E. Ramirez-Ruiz, astro-ph/0004176; D. E. Reichart et ai.,
astro-ph/0004302.
40. T. Piran, Physics Reports 314, 575 (1999).
41. J. I. Latorre, P. Pascual and R. Tarrach, Nucl. Phys. B437, 60 (1995); W. Dittrich
and H. Gies, Phys. Rev. 058, 025004 (1998); K. Scharnhorst, Annalen Phys. 7,
700 (1998) [hep-th/9810221], and references therein; V. A. De Lorenci, R Klip-
pert, M. Novello and J. M. Salim, Phys. Lett. B482, 134 (2000); M. Novello,
V. A. De Lorenci, J. M. Salim and R Klippert, Phys. Rev. 061, 045001 (2000);
M. H. Thoma, hep-ph/0005282.
42. see for instance: J.P. Norris, G.F. Marani and J. T. Bonnell, Astrophys. J. 534,
248 (2000).
43. S. D. Biller et ai., Phys. Rev. Lett. 83, 2108 (1999); P. Kaaret, Astronomy and
Astrophysics 345, L32 (1999).
44. for recent reviews see: A.V. Olinto, astro-ph/0003013; G. Sigl, astro-ph/0008364.
45. T. Kiffune, astro-ph/9904164.
46. R Aloisio, P. Blasi, P. L. Ghia and A. F. Grillo, Phys. Rev. 062, 053010 (2000).
47. RJ. Protheroe and H. Meyer, astro-ph/0005349.
48. G. Amelino-Camelia and T. Piran, hep-ph/0006 and astro-ph/0008107.
49. K. Greisen, Phys. Rev. Lett. 66, 748 (1966); G.T. Zatsepin and V.A. Kuzmin,
Pis'ma Zh. Eksp. Teor. Fiz. 4, 114 (1966) (JETP Lett. 4, 78 (1966)).
50. D. Fargion and B. Mele, astro-ph/9906451; see also D. Fargion, these proceedings.
51. J. Ellis, J. Hagelin, D. Nanopoulos and M. Srednicki, Nucl. Phys. B241 (1984),
381.
52. J. Ellis, N.E. Mavromatos and D.V. Nanopoulos, Phys. Lett. B293 (1992), 142;
Int. J. Mod. Phys. All (1996), 1489;
J. Ellis, J. L. Lopez, N.E. Mavromatos and D.V. Nanopoulos, Phys. Rev. D53
(1996), 3846.
53. P. Huet and M. Peskin, Nucl. Phys. B434 (1995), 3.
54. G. Amelino-Camelia, Nature 398, 216 (1999) Phys. Rev. D62, 024015 (2000).
55. RAdler, et ai. (CPLEAR Collaboration), J. Ellis, J. Lopez, N.E. Mavromatos,
and D.V. Nanopoulos, Physics Letters B364, 239 (1995).
56. F. Benatti and R Floreanini, Nucl. Phys. B488 (1997) 335. ibid. B511, 550 (1998);
Phys. Lett. B468, 287 (1999).
57. G. Lindblad, Comm. Math. Phys. 48 (1976), 119; For a review see V. Gorini et ai.,
Rep. Math. Phys. 13 (1978), 149.
58. S. Adler, hep-ph/0005220.
59. J. Ellis, N.E. Mavromatos and D.V. Nanopoulos, gr-qcj0007044.
60. N. E. Mavromatos and R. J. Szabo, hep-thj9909129, Int. J. Mod. Phys. A in press.
61. E. Lisi, A. Marrone and D. Montanino, hep-phj0002053.
Particles in the Bulk:
A Higher-Dimensional Approach to Neutrino
and Axion Phenomenology
Keith R. Dienes**
Department of Physics, University of Arizona, Thcson, AZ 85721 USA

E-mail: dienes~physics.arizona. edu
Abstract. In this talk, I discuss recent developments concerning the possibility of large
extra spacetime dimensions and their relation to neutrino physics. After briefly review-
ing how such dimensions can lower the fundamental GUT, Planck, and string scales, I
then outline how these scenarios lead to a new higher-dimensional seesaw mechanism
for generating neutrino oscillations - perhaps even without neutrino masses. I also
discuss how neutrino flavor oscillations can occur in a higher-dimensional theory even
if the Standard Model on the brane is flavor-diagonal, the bulk theory is flavor-neutral,
and the brane/bulk couplings are flavor-blind. Finally, I discuss how extra dimensions
lead to new mechanism contributing to the "invisibility" of the QCD axion. This talk
reports on work done in collaboration with Emilian Dudas, Tony Gherghetta, and Ina
Sarcevic.
1 Lowering the fundamental scales of physics

The possibility of large extra spacetime dimensions has recently received con-
siderable attention. This is clearly an exciting prospect. One of the earliest pro-
ponents of TeV-scale extra dimensions was Antoniadis [1]' who attempted to
use such extra dimensions to explain supersymmetry breaking. Later, Witten [2]
pointed out that extra large dimensions could lower the string scale below its
usual value near 1018 GeV, and subsequently Lykken [3] proposed that Witten's
idea could be extended to lower the string scale all the way to the TeV range.
Finally, in March 1998, it was proposed that extra dimensions could also be
used to lower the fundamental Planck scale [4] as well as the fundamental GUT
scale [5]. Thus, combining these different proposals, it becomes possible to con-
template a self-consistent scenario in which all high fundamental energy scales
(GUT, Planck, and string scales) are eliminated in favor of large extra spacetime
dimensions!
It is important to distinguish two different types of extra spacetime dimen-
sions. First, there are so-called "universal" extra dimensions. These extra dimen-
sions are experienced by all forces, both gauge and gravitational; in technical
** Invited plenary talks given at Neutrino 2000: 19 th International Conference on
Neutrino Physics and Astrophysics (held in Sudbury, Canada, June 2000), and at
DARK 2000: Third International Conference on Dark Matter in Astro- and Particle
Physics (held in Heidelberg, Germany, July 2000). To appear in the Proceedings.
Keith R. Dienes 235
terminology, these extra dimensions are "in the brane". Because they affect the
gauge forces (as probed by accelerator experiments), such dimensions can be
no larger than roughly an inverse TeV. By contrast, the second class of extra
dimensions are felt only by gravity; they are perpendicular to the D-brane on
which the gauge forces are localized, and may therefore be considered "off the
brane". The sizes of such extra dimensions are significantly less constrained, and
may in fact be as large as a millimeter.
Both of these types of extra dimensions play a role in lowering the fun-
damental scales of physics. Indeed, as outlined above, there are three different
proposals: extra dimensions to lower the GUT scale [5J, extra dimensions to lower
the Planck scale [4], and extra dimensions to lower the string scale [2-4,7,5J. We
shall now briefly review these three proposals.
In the proposal of Ref. [5J to lower the GUT scale, one introduces some
number ~ of "universal" extra spacetime dimensions "in the brane" [so that the
Standard Model resides on a D(3+~) braneJ, and imagines that these dimensions
have a common radius R ;S (TeV) -1. Because these extra dimensions are felt by
the gauge forces, they change the running of the three gauge couplings from
logarithmic to power-law behavior:
(1)
The emergence of power-law behavior is expected simply from dimensional anal-

ysis, since the gauge couplings themselves become dimensionful in higher dimen-
sions, and hence have a classical scaling in addition to their quantum-mechanical
(logarithmic) running. This power-law behavior can also be realized via a Kaluza-
Klein summation, as discussed in Refs. [11,5J. In Eq. (1), X6 is a normalization
constant and (b i , bi ) represent the one-loop beta-functions appropriate for the
zero-mode and excited Kaluza-Klein states respectively. The exact values of these
beta-functions depend on details of the compactification, as discussed in Ref. [5].
However, as shown in Ref. [5], the remarkable feature of this higher-dimensional
running is that gauge coupling unification is still generally preserved, but with
a lowered unification scale! As an interesting case, let us consider R- 1 = 1 TeV
and ~ = 1. With one-loop beta-function coefficients (b ll b2 , b3 ) = (33/5,1, -3)
and (b ll b2 , b3 ) = (3/5, -3, -6), corresponding to a certain orbifold compactifi-
cation discussed in Ref. [5], we then find the unification shown in Fig. 1. An
important point to notice is that no large hierarchy is needed between the scale
of the extra dimensions and the lowered GUT scale.
This reduced-scale unification leads to many important quantitative ques-
tions. How predictive is this unification? How perturbative is it? How sensitive
is it to unification-scale effects? What about higher-loop corrections? These is-
sues are discussed in Ref. [6J. The upshot is that this sort of unification scenario
is predictive, perturbative, and not unreasonably sensitive to unification-scale
effects. There have also been many further extensions of these basic ideas [8J.
These include the study of two- and higher-loop effects; the incorporation of
extra matter beyond the MSSM in order to increase the numerical accuracy of
236 Extra Dimensions and their Implications for Neutrinos and Axions
60
40
20
Fig.!. Unification of gauge couplings at the new unification scale MbuT :::::! 20 TeV,
assuming the appearance of a single extra spacetime dimension of radius R- 1 = 1 TeV.
the unification; alternative derivations of these RGE's from a Wilsonian perspec-

tive; studies of regularization independence; the extension of these ideas to the
power-law running of Yukawa couplings; the higher-dimensional evolution of soft
supersymmetry-breaking mass parameters; multi-step higher-dimensional unifi-
cation scenarios; and alternative embeddings of the Standard Model into higher
dimensions. Alternative ideas pertaining to reduced-scale gauge unification have
also been discussed in Refs. [9].
Extra dimensions can also be used to lower the Planck scale, as pointed out in
Ref. [4]. Indeed, in many respects this Planck-scale proposal and the above GUT-
scale proposal are the gravitational/gauge counterparts of each other. Whereas
the GUT proposal utilizes 8 extra dimensions "in the brane" with radius R to
modify the running of the three gauge couplings, the Planck proposal of Ref. [4]
utilizes some number n of extra dimensions of radius r "off the brane" to mod-
ify the running of the effective dimensionless gravitational (Newton) coupling
Keith R. Dienes 237
GN(J.l) == J.l2GN. As expected, the presence of the extra dimensions enhances

the power-law running of this gravitational coupling, changing the scaling be-
havior from J.l2 to J.l2+n. This in turn lowers the Planck scale [i. e., the funda-
mental gravitational scale, defined as the scale where GN(J.l) '" 0(1)]. Unlike the
GUT proposal, however, one typically requires a significant hierarchy between
the scale of the extra dimensions and the lowered Planck scale. For example,
in the case n = 2 with a lowered Planck scale in the TeV range, one finds r ~
millimeter ~ (10- 4 evt 1. This hierarchy is exactly as large as the original hi-
erarchy between the electroweak scale and the usual four-dimensional Planck
scale. 1
Type I' string theory
-1
awing
10MeV: l00GeV ,O.5TaV :10TeV log I-l

llr' . MZ 'llR ;MOUT
:
gauge: 40 : 40 50 100
gravity: 40 : 90 100 100
Fig. 2. The unification of gauge and gravitational couplings within the framework of
a Type I string theory, assuming a string scale at M.tring = 10 TeV. Note that the
running of GN (J.L) is not shown to scale in this figure.
Finally, combinations of both types of extra dimensions can be used to lower

the string scale [7,5]. For Type I strings, the string scale ultimately depends
on the six-volume V6 of compactification from ten flat dimensions to four flat
dimensions:
Mstring '" M
1
J
QGUT
V6
-1/4
•
Planck
(2)
Therefore, as discussed in Ref. [5], if we seek to combine the above GUT and
Planck scenarios together within string theory, we can write Vi; = R5 r 6-5 where
1 As pointed out in Ref. [12J, it may be possible to avoid the former hierarchy and
nevertheless explain the latter hierarchy by virtue of a "warp" rescaling factor. Issues
surrounding gauge coupling unification in this scenario are discussed in Ref. [13J.
(R,8) describe the extra dimensions "in" the brane (to produce a lowered GUT
scale) and (r,6 - 8) describe the extra dimensions "off" the brane (to produce a
lowered Planck scale). If we demand that the lowered GUT scale coincide with
Mstring, we can then solve to obtain a self-consistent solution. For example, let
us consider an illustrative case with 8 = 1 and R- 1 ~ 0.5 TeV. This implies
that MbuT ~ 10 TeV, which turns out [5] to imply that the remaining five
extra dimensions must have radius r ~ (10 MeVt 1 • Thus, putting the pieces
together in this example, we are led to a unified embedding into string theory,
as illustrated in Fig. 2. Above the string scale Mstring = 10 TeV, the physics is
described in terms of a full Type I string theory. Below 10 TeV, by contrast, the
physics is described by a series of effective field theories in which the gauge and
gravitational forces feel different numbers of spacetime dimensions. Together,
everything is balanced so as to produce a self-consistent simultaneous lowering of
GUT, Planck, and string scales. Of course, other configurations are also possible.
2 Light neutrino masses without heavy mass scales:

A higher-dimensional seesaw mechanism
As we have seen, the lesson from the above developments has been that heavy
mass scales in four dimensions can be replaced by lighter mass scales in higher
dimensions. However, low-energy neutrino data seem to provide independent ev-
idence for yet another heavy mass scale, namely the seesaw scale. The seesaw
mechanism relies on the existence of a new heavy mass scale M ~ MGUT asso-
ciated with a right-handed neutrino singlet field N. The question then emerges
whether it is possible to generate light neutrino masses without the introduc-
tion of a heavy mass scale, perhaps by some intrinsically higher-dimensional
mechanism.
To date, there have been essentially two ideas concerning how this might
be accomplished within the large extra-dimension framework: one proposal [10]
utilizes a higher-dimensional seesaw mechanism, and the other [14] utilizes a
higher-dimensional volume factor. Both proposals originate with the same ob-
servation: because the right-handed neutrino is a Standard-Model gauge singlet,
it need not be restricted to a "brane" with respect to the full higher-dimensional
space. It is therefore possible for this field to experience extra spacetime di-
mensions and thereby accrue an infinite tower of Kaluza-Klein excitations. This
then leads to a number of higher-dimensional mechanisms for suppressing the
resulting neutrino mass without a heavy mass scale. In the following, we shall
concentrate on one of the features discussed in Ref. [10], namely the intriguing
possibility that in higher dimensions, neutrino oscillations need not imply the
existence of neutrino masses at all! This would then eliminate the need for a
high fundamental scale. Other ideas are also discussed in Refs. [10,14,15].
We begin by assuming that the right-handed neutrino feels extra dimensions,
while the left-handed neutrino VL does not. For concreteness, we consider a Dirac
fermion lJt in five dimensions, and work in the Weyl basis in which lJt can be
decomposed into two two-component spinors: lJt = ('lPI, 1f2) T. When the extra
Keith R. Dienes 239
spacetime dimension is compactified on a Z2 orbifold, it is natural for one of

the two-component Weyl spinors, e.g., 1/11l to be taken to be even under the Z2
action y -t -y, while the other spinor 1/12 is taken to be odd. If the left-handed
neutrino l/L is restricted to a brane located at the orbifold fixed point y = 0,
then 1/12 vanishes at this point and so the most natural coupling is between l/L
and 1/11, This then results in a Lagrangian of the form
[, = / etx dy M s { ifl ijjll Oil 1/11 + if2 ijjll Oil 1/12 }
+/ d4X{ihijjll DIll/L + (ml/LtPtllI=O + h.c.)} (3)
where y is the coordinate of the extra compactified spacetime dimension and

where M s is the mass scale of the higher-dimensional fundamental theory (e.g.,
a reduced Type I string scale). Note that the last term represents the Dirac
brane/bulk Yukawa coupling between l/L and tPl.
Next, we compactify the Lagrangian (3) down to four dimensions by expand-
ing the five-dimensionallJ! field in Kaluza-Klein modes. Imposing the orbifold re-
lations tPl,2( -y) = ±tPl,2(y) implies that our Kaluza-Klein decomposition takes
the form tPl(X,y) = (211"R)-1/2 2:::"=0 tP~n)(x) cos(ny/R) and a similar result for
tP2 with cosine replaced by sine. For convenience, we shall also define the linear
combinations N(n) == (tP~n) + tP~n))/..j2 and M(n) == (tP~n) - tP~n))/..j2 for all
n > O. Inserting this decomposition into Eq. (3) and integrating over the com-
pactified dimension, we then obtain an effective four-dimensional Lagrangian in
which the Standard-Model neutrino l/L mixes with the entire tower of Kaluza-
Klein states of the higher-dimensional lJ! field with a mass mixing matrix of the
form
0 m m m
m Mo 0 0
M= m 0 Mo + -k0 (4)
m 0 0 Mo --k
In Eq. (4), we have defined the basis (l/L,tP~0),N(I),M(I),N(2),M(2),... ). Note

that m == m/ ../211" RMs is the Dirac coupling suppressed by a volume factor
corresponding to the extra spacetime dimension.
The parameter M o in Eq. (4) represents an additional contribution that may
arise if we implement a Scherk-Schwarz twist upon compactification. Topological
considerations permit only two values: Mo = 0 and M o = (2R)-I. Let us here
consider the non-trivial possibility Mo = (2R)-I. It is then possible to solve
for the eigenvalues and eigenstates of the mass mixing matrix in Eq. (4). Re-
markably, it turns out that for any value of mR, there exists an exactly zero
eigenvalue, with a corresponding mass eigenstate given exactly by
where we have defined N(O) == 1/JiO) . Even though this result is exact for all mR,
in most realistic scenarios (see Ref. [10]), we have mR « 1. Thus, we see that
even though this neutrino mass eigenstate contains a small, non-trivial admix-
ture of Kaluza-Klein states, the dominant component of our massless neutrino
eigenstate remains the left-handed gauge-eigenstate neutrino ilL, as required phe-
nomenologically. Nevertheless, this particular admixture of excited Kaluza-Klein
states has rendered the neutrino eigenstate exactly massless! In other words, the
effects of the infinite tower of Kaluza-Klein states for the 1ft field have driven the
neutrino mass exactly to zero.
Even though this state has vanishing mass, neutrino oscillations nevertheless
arise due to the non-trivial mixings between the left-handed neutrino and the
infinite tower of Kaluza-Klein states. This arises because our higher-dimensional
seesaw mechanism has managed to yield a mass matrix with a zero eigenvalue
without becoming diagonal. Thus, in such higher-dimensional scenarios, neutrino
oscillations do not necessarily require neutrino masses!
Of course, we have been discussing only the simple case of oscillations be-
tween left- and right-handed neutrinos. However, this type of higher-dimensional
seesaw mechanism can easily be generalized to include the case of flavor oscil-
lations as well. Most flavor models in the literature thus far introduce one bulk
neutrino for each of the three brane neutrinos, thereby extending flavor into
the bulk. However, in such cases, the brane/bulk couplings become arbitrary
3 X 3 mixing matrices whose parameters are undetermined. Moreover, the three
bulk neutrinos can in principle correspond to different extra spacetime dimen-
sions with different radii. Thus, one obtains a scenario with many undetermined
parameters governing neutrino masses and mixing angles.
Therefore, let us instead consider a "compact" model [16] in which there
is only one bulk neutrino 1ft for all three flavor brane neutrinos IIi (i = 1,2,3)
on the brane. Moreover, let us imagine that each of these brane neutrinos has a
corresponding Majorana mass mi, but for simplicity we will take the brane theory
(i. e., the Standard Model) to be completely flavor-diagonal. Likewise, we shall
also take our brane/bulk couplings to be completely flavor-neutral (parametrized
by a single parameter m as before). With M o = 0 we then obtain a mass matrix
of the form
ml 0 0 m m m
0 m2 0 m m m
0 0 m3 m m m
M= m m m 0 0 0 (6)
m m m 0 li1 0
m m m 0 0 -li1
It turns out that the eigenvalues >. of this matrix are given exactly as the
solutions to the transcendental equation
(7)
Keith R. Dienes 241
For each solution .x to Eq. (7), the corresponding mass eigenstate IVA) is exactly
given by
__ 1 [(~ m )-l~.x ~.x '(k l ]

IliA) -..;N;. ~ .x - mj (:-; A - mi IlIi) + k~OO A - k/ R IN )
(8)
where N A is an overall normalization constant and where we have defined
N(k) if k > 0
N(k) == M(k) if k < 0 (9)
if k = 0 .
{
7P~O)
Note that the different flavor eigenstates IlIi) in Eq. (8) consist of different
linear combinations of the different mass eigenstates IVA) for each A. Thus, the
different flavor eigenstates will experience a relative oscillation with each other.
This oscillation is entirely "bulk-mediated" in the sense that there are no explicit
flavor mixings on the brane; it is the presence of the higher-dimensional bulk
which is completely responsible for inducing the flavor oscillations on the brane.
As an explicit example, let us consider the case with mR = 0.01, m3R» 1,
and ml,2R = 1 - om/2 for various om. We then obtain the neutrino oscil-
lations shown in Fig. 3 as functions of a dimensionless time parameter i ==
(1/2R2)(L/E). Here the subscripts (1,2,3) correspond to (III, 112, 113) == (lie, IIJ.l' liT)
respectively. Note that these flavor oscillations arise even without flavor mixing
angles on the brane. Although this special case assumes nearly degenerate neu-
trinos on the brane, it is also possible to achieve significant flavor oscillations
even when the brane neutrinos are non-degenerate [16].
This illustrates that in higher dimensions, it may not be necessary to have
large flavor mixing angles on the brane in order to accommodate experimental
data; small (or even vanishing) flavor mixing angles on the brane may suffice.
Furthermore, even though this model contains only five free parameters, it yields
a surprisingly rich neutrino oscillation phenomenology [16], and exploits the
higher-dimensional nature of the bulk in an essential way. Thus, this model might
be profitably used as the basis of a detailed investigation of the experimental
viability of various higher-dimensional neutrino oscillation mechanisms [16].
This model also exhibits another intriguing feature. When the brane/bulk
coupling m is large, one might have naIvely expected to lose all initial probability
of brane neutrinos into bulk neutrinos due to the strong brane/bulk mixing.
However, it turns out even as m -+ 00, we lose only 1/3 of the initial probability
into bulk neutrinos [16]. In other words, 2/3 of the original probability always
remains "on the brane" even when m -+ 00. This property holds regardless of the
values of R or mi, and is intimately connected with the structure of the model
in which we have taken only a single bulk neutrino. (By contrast, if we had
taken a separate bulk neutrino for each brane neutrino, we would have found
that all initial neutrino probability would be lost into the bulk as m -+ 00.)
This surprising observation suggests that in this model, the large-m case may
08
0.6
2p.. P,->,
04
om = 5x 10-'
02
PZ->l
0
0 50 100 150 200
1:
08
06
...,
ir
04
02
0
0 50 100 150 200
1:
0.8
06
...,
ir
04
02
Fig. 3. Bulk-mediated neutrino flavor oscillations with mR = 0.01 and ml,2R = 1 =F

8m/2, for various 8m. As discussed in the text, these flavor oscillations are essentially
"maximal" even though all mixing angles on the brane vanish identically.
Keith R. Dienes 243
be able to evade various four-dimensional bounds (such as those from supernova

cooling rates) which ordinarily restrict the sizes of mixings with sterile neutrinos.
Investigation of these and other issues is currently underway [16].
3 Extra dimensions and "invisible" axions
Many of the above ideas are completely general, and apply to other bulk fields
as well. Towards this end, let us now discuss how extra spacetime dimensions
may contribute to the invisibility of the QCD axion. Like the graviton and right-
handed neutrino, the QCD axion is also a Standard-Model singlet. The QCD
axion is therefore free to propagate into the bulk.
Can this be used to lower the fundamental Peccei-Quinn (PQ) symmetry-
breaking scale? This issue has been investigated in Refs. [17,18]. As explicitly
shown in Ref. [18] (and first proposed in Ref. [4]), it is indeed possible to exploit
the volume factor of large extra dimensions in order to realize a large effective
four-dimensional PQ scale from a smaller, higher-dimensional fundamental PQ
scale. Thus, once again, no large fundamental energy scales are required.
However, as discussed in Ref. [18], the presence of Kaluza-Klein axions can
have important and unexpected effects on axion phenomenology. Just as in the
neutrino case discussed above, the nalve four-dimensional axion mixes with the
infinite tower of Kaluza-Klein axions, with a mass matrix given in Ref. [18].
This mixing has a number of interesting phenomenological consequences. First,
as shown in Ref. [18], under certain circumstances the mass of the axion essen-
tially decouples from the PQ scale, and instead is set by the radius of the extra
spacetime dimension! Thus, axions in the 10- 4 eV mass range are consistent
with (sub-)millimeter extra dimensions. This decoupling implies that it may be
possible to adjust the mass of the axion independently of its couplings to matter.
This is not possible in four dimensions.
Second, as discussed in Ref. [18], the usual four-dimensional axion is no longer
a mass eigenstate because of the non-trivial axion mass mixing matrix. This
implies that the four-dimensional axion should undergo laboratory oscillations
which are entirely analogous to neutrino oscillations. Moreover, because the ax-
ion is now a bulk field, Standard-Model particles couple not only to the axion
zero-mode, but rather to the entire linear superposition a' rv En an (where an
are the axion Kaluza-Klein modes). Therefore, the quantity of phenomenological
interest is the probability Pa'~a,(t) that a' is preserved as a function of time.
This probability [18] is shown in Fig. 4. Unlike the neutrino case, we see that the
probability drops rapidly from 1 (at the initial time t = 0) to extremely small
values (expected to be ~ 10- 16 when an appropriately truncated set of 1016
Kaluza-Klein states are included in a'). At no future time does this probability
regenerate. Essentially, the axion state a' has "decohered" and becomes invisible
with respect to subsequent laboratory interactions. This decoherence is therefore
a possible mechanism contributing to an invisible axion.
Finally, one can investigate the effects of Kaluza-Klein axions on cosmologi-
cal relic axion oscillations. In this regard it is important to understand whether
0.8
0.6
0.4
0.2
o
o 0.001 0.002 0.003 0.004
(m~Q/2p) t
Fig. 4. The axion preservation probability Pa/-+a/(t) as a function of the number n max
ofaxion Kaluza-Klein states which are included in the analysis. In this plot we show
the results for (a) n max = 1; (b) n max = 2; (c) n max = 3; (d) n max = 5; and (e)
n max = 30. As n max increases, the axion probability rapidly falls to zero as a result of
the destructive interference of the Kaluza-Klein states, and remains suppressed with-
out significant axion regeneration at any later times. This "decoherence" of the axion
implies that there is negligible probability for subsequently detecting the original axion
state at any future time. Further details can be found in Ref. [18].
the coupled axion Kaluza-Klein states accelerate or retard the dissipation of the
cosmological energy density associated with these oscillations. Remarkably, one
finds [18J that the net effect of these coupled Kaluza-Klein axions is to either
preserve or enhance the rate of energy dissipation. This implies that the usual
relic oscillation bounds are loosened in higher dimensions, which suggests that
it may be possible to raise the effective PQ symmetry-breaking scale beyond
its usual four-dimensional value. This could therefore potentially serve as an-
other factor contributing to axion invisibility. Together, these results suggest
that it may be possible to develop a new, higher-dimensional approach to axion
phenomenology. Other ideas in this direction can be found in Ref. [19J.
Keith R. Dienes 245
4 Conclusions
Only experiment will decide if large extra spacetime dimensions actually exist,
and if the fundamental high-energy scales of physics are really as low as the
TeV-range. Nevertheless, what is remarkable about the recent developments is
that they illustrate that the fundamental energy scales are not immutable, and
that the parameter space for physics beyond the Standard Model is significantly
broader than had been previously thought. Moreover, it is equally remarkable
and gratifying that ideas originally born in string theory are having such a
profound effect on the answers to primarily phenomenological questions, and
that these ideas may be potentially testable in the not-too-distant future. If
nothing else, these may be the most valuable lessons that we may take with us
from the brane world.
Acknowledgments
I wish to thank the organizers for their invitation to present this work at such
a stimulating conference. This research was supported in part by the National
Science Foundation under Grant PHY-0007154.
References
1. I. Antoniadis, Phys. Lett. B246 (1990) 377.

2. E. Witten, Nucl. Phys. B471 (1996) 135.
3. J.D. Lykken, Phys. Rev. D54 (1996) 3693.
4. N. Arkani-Hamed, S. Dimopoulos, and G. Dvali, hep-ph/9803315j hep-ph/9807344j
I. Antoniadis et al., hep-ph/9804398.
5. K.R. Dienes, E. Dudas, and T. Gherghetta, Phys. Lett. B436 (1998) 55
[hep-ph/9803466]j Nucl. Phys. B537 (1999) 47 [hep-ph/9806292].
6. K.R. Dienes, E. Dudas, and T. Gherghetta, hep-ph/9807522.
7. G. Shiu and S.-H.H. Tye, hep-th/9805157j Z. Kakushadze and S.-H.H. Tye,
hep-th/9809147.
8. See, e.g., D. Ghilencea and G.G. Ross, hep-ph/9809217j S.A. Abel and S.F. King,
hep-ph/9809467j Z. Kakushadze, hep-th/9811193j Z. Kakushadze and T. Tay-
lor, hep-th/9905137j I. Antoniadis et al., hep-ph/9810410j T. Kobayashi et
al., hep-ph/9812221j A. Delgado, A. Pomarol, and M. Quiros, hep-ph/9812489j
P. Nath and M. Yamaguchi, hep-ph/9902323, hep-ph/9903298j P. Nath, Y. Ya-
mada, and M. Yamaguchi, hep-ph/9905415j C.D. Carone, hep-ph/9902407,
hep-ph/9907362j A. Delgado and M. Quiros, hep-ph/9903400j P.H. Frampton and
A. Rasin, hep-ph/9903479j J.W. Moffat, hep-ph/9904446j A. Perez-Lorenzana and
R.N. Mohapatra, hep-ph/9904504j H.-C. Cheng, B.A. Dobrescu, and C.T. Hill,
hep-ph/9906327j D. Dumitru and S. Nandi, hep-ph/9906514j J.D. Lykken and
S. Nandi, hep-ph/9908505j E.G. Floratos and G.K. Leontaris, hep-ph/9906238j
G.K. Leontaris and N.D. Tracas, hep-ph/9908462j J. Kubo, H. Terao, and
G. Zoupanos, hep-ph/9910277j A. Dedes and P. Kanti, hep-ph/0003051.
9. See, e.g., C. Bachas, hep-ph/9807415j K Benakli, hep-ph/9809582j C.P. Burgess,

L.E. Ibanez, and F. Quevedo, hep-ph/9810535j L.E. Ibanez, C. Mwioz,
and S. Rigolin, hep-ph/9812397j L.E. Ibanez, hep-ph/9905311j E. Halyo,
hep-ph/9906677j N. Arkani-Hamed et al., hep-ph/9908146.
10. KR Dienes, E. Dudas, and T. Gherghetta, Nucl. Phys. B557 (1999) 25
[hep-ph/9811428].
11. T.R Taylor and G. Veneziano, Phys. Lett. B212 (1988) 147.
12. L. Randall and R Sundrum, hep-th/9906064.
13. KR Dienes, E. Dudas, and T. Gherghetta, Nucl. Phys. B567 (2000) 111
[hep-ph/9908530].
14. N. Arkani-Hamed et al., hep-ph/9811448.
15. See, e.g., G. Dvali and A. Smirnov, hep-ph/9904211j A. Pilaftsis, hep-ph/9906228j
A. Das and O. Kong, hep-ph/9907272j RN. Mohapatra, S. Nandi, and A. Perez-
Lorenzana, hep-ph/9907620j A. Ioannisian and A. Pilaftsis, hep-ph/9907522j
G.C. McLaughlin and J.N. Ng, hep-ph/9909558, nucl-th/0003023j RN. Moha-
patra and A. Perez-Lorenzana, hep-ph/9910474; A. Ioannisian and J.W.F. Valle,
hep-ph/9911349j R Barbieri, P. Criminelli, and A. Strumia, hep-ph/0002199j
A. Lukas et al., hep-ph/0008049.
16. KR Dienes and 1. Sarcevic, hep-ph/0008144j KR Dienes and 1. Sarcevic, to
appear.
17. S. Chang, S. Tazawa, and M. Yamaguchi, hep-ph/9908515j hep-ph/9909240.
18. KR. Dienes, E. Dudas, and T. Gherghetta, Phys. Rev. D62 (2000) 105023
[hep-ph/9912456].
19. L. Di Leila et al., hep-ph/0006327j E. Ma, M. Raidal, and U. Sarkar,
hep-ph/0007321.
Dark Matter in Supergravity
R. Arnowitt, B. Dutta, and Y. Santoso
Department of Physics, Center for Theoretical Physics, Texas A&M University,

College Station, TX 77843-4242, USA
Abstract. We consider neutralino-proton cross sections for halo dark matter neu-
tralinos (X?) within the framework of supergravity models with R-parity invariance
for models with universal soft breaking (mSUGRA) and models with nonuniversal soft
breaking. The analysis includes the necessary corrections to treat the large tan{3 region
(i.e. L-R mixing in the squark and slepton mass matrices, loop corrections to the band
r masses,etc) and includes all coannihilation phenomena. For mSUGRA, dark matter
detectors with current sensitivity are seen to be probing the region where tan{3 ,(,25,
nx~h2 < 0.1, mx~ .:s 90 GeV, and for the light Higgs, mh .:s 120 GeV. Nonuniversal
models can have a much larger cross section, and current detectors can probe part of
the parameter space where tan{3 ,(, 4. Minimum cross sections are generally greater
than 10- 9 pb to 10- 10 pb for m1/2 < 600 GeV (and hence accessible to planned fu-
ture detectors), with the exception of a region when J-L < 0 where for m1/2 ,(, 450
GeV, 4.:s tan{3 .:s 20, the cross section drops to a minimum of about 1 x 10- 12 pb at
m1/2 = 600 GeV, tan{3 ~ 10. In this region, the gluino and squarks lie above 1 TeV,
but should still be accessible to the LHC.
1 Introduction
If the dark matter that exists in the Milky Way is a supersymmetric weakly in-
teracting particle (wimp), there are several ways in which it might be detected.
Annihilation of two wimps in the halo might give rise to signals of gamma rays,
anti-protons or positrons. Dark matter particles caught by the gravitational fields
of the Sun or Earth would be expected to sink to the center, and there annihilate
leading to neutrinos that might be detected on the surface of the earth. Finally
direct detection of incident wimps from their scattering by nuclear targets on
the Earth is possible. Of these, the last possibility appears most promising,
and there are now a large number of detectors searching for supersymmetric
wimps. We consider here what signals might be available within the framework
of supergravity(SUGRA) models with grand unification of the gauge coupling
constants at the GUT scale MG ~ 2 x l016GeV. There are three different types
of SUGRA models currently being investigated, which differ by the mechanisms
used to achieve supersymmetry(SUSY) breaking in the physical sector. These
are gravity mediated SUGRA models, gauge mediated models, and anomaly me-
diated models. Of these, the gravity mediated models with R-parity invariance
have the most robust candidate for particle dark matter, and we will restrict
our discussion here to such models. In gravity mediated models, the dark mat-
ter particle is the lightest supersymmetric particle, the LSP, (absolutely stable
248 R. Arnowitt, B. Dutta, and Y. Santoso
due to the R-parity invariance), and this is generally the lightest neutralino, x~.
The nucleus-x? scattering cross section contains a spin independent part and a
spin dependent part. For heavy nuclear targets, the spin independent scattering
dominates, and it is possible to extract from data the x?-proton cross section,
(Tx?-p' There are a number of astronomical uncertainties, but making conven-
tional assumptions, current detectors (DAMA, CDMS, UKCDM) are sensitive
to halo x~ if
(Tx?-p ;:: 1 x 1O-6 pb (1)
and future detectors (GENIUS, Cryoarray) plan to achieve sensitivities of
We discuss here how these sensitivities might relate to supergravity models.

In particular, we consider the minimal supergravity GUT model (mSUGRA)[I]
which has universal soft breaking masses at Me, and nonuniversal soft breaking
models[2] which allow nonuniversal Higgs masses and nonuniversal third genera-
tion squark and slepton masses at Me (but keep the gaugino masses universal at
Me). While the models are physically different, they lead to qualitatively similar
results: Current detectors are sensitive to a significant part of the SUSY parame-
ter space, and future detectors should be able to cover all of the parameter space,
except for special regions where there is an accidental cancelation of terms mak-
ing (Tx? _p anomalously small. Each of the above models contains a number of
arbitrary new parameters. In spite of this they can still make relevant predic-
tions for two main reasons: (i) Using the renormalization group equations (RGE)
starting from Me, they allow for radiative breaking of SU(2) x U(l) at the elec-
troweak scale (and thus furnish a natural explanation for the Higgs mechanism);
(ii) Along with being able to calculate (Tx?-p, the models can also calculate the
relic density of neutralinos, i.e. [}x?h 2 , where [}x? = Px?/Pc, px? is the relic
mass density of the X?, and Pc = 3Ho/81rGN. Here Ho = h(lOOkm/s Mpc) is
the Hubble constant, and G N is the Newton constant. Both of the above lead
to important constraints on the SUSY parameter space. Thus one has that
(3)
where (Tann is the annihilation cross section in the early universe, v is the relative
neutralino velocity at annihilation, and < ... > means thermal average. The
dominant Feynman diagrams for (Tann and spin independent (Tx?-p are shown
in Fig.l, and roughly speaking (Tann depends on the crossed diagrams relative
to (Tx?-p' Thus usually, then, when (Tx?-p is large, (Tann will also be large, and
hence by Eq(3), [}x?h 2 will be small. Thus lower bounds on [}x?h 2 will produce
upper bounds on (Tx? _p' In the following, we will assume h = 0.70 ± 0.07 and for
matter(m) and baryonic matter(b) the values [}m = 0.3 ± 0.1, and [}b = 0.04.
(This corresponds to a dark energy amount of [}A ....., 0.65). For the dark matter
then one has [}x~ = 0.26 ± 0.10, and if one combines errors in quadrature,
Dark Matter in Supergravity 249
one finds nx~h2 = 0.13 ± 0.05. Since there is undoubtedly a large amount of
systematic error in the above estimates, in the following we will assume the
approximately 20' spread of
0.02 < nx~ h2 < 0.25 (4)
The lower bound of Eq.(4) lies somewhat below other estimates. However, it
also allows for the possibility that not all the dark matter in the Galaxy are
neutralinos (e.g. some may be machos). In addition to the above, there are
accelerator bounds that constrain the SUSY parameter space. In the following we
use the LEP bounds for the light Higgs (h) of mh > 104 GeV for tanj3 = 3, mh >
102 GeV for tanj3 =5 and for the light chargino m x!, > 102 GeV. (For tanj3 >5,
the Higgs mass bounds do not restrict the parameter space significantly.) The
Tevatron gives the gluino (9) mass bound of m g > 270 GeV (for gluino and
squarks nearly degenerate). In addition there is the CLEO measurment of the
b ~ s +"( decay. We take here a 20' range around the experimental central value
of the b ~ X s + "( branching ratio[3]:
1.8 X 10- 4 < B(B ~ X s"() < 4.5 x 10- 4 (5)
Of the above, the most significant constraints come from the Higgs mass bounds
and the b ~ s"( branching ratio.
2 Theoretical Analysis
In order to get accurate results, it is necessary to include a number of corrections

in the calculations. We list some of these here: (1) One needs to run the two loop
gauge RGE and one loop Yukawa RGE from Me = 2 x 10 16 GeV down to the
electroweak scale, iterating to get a consistent SUSY mass spectrum. (2) Below
the SUSY scale Ms, one runs the QCD RGE for contributions dominated by
light quarks. (3) It turns out that results are somewhat sensitive to bounds
on the Higgs mass mh, and so one needs to use the one loop, two loop and
pole mass corrections to accurately calculate the value of mho (4) L-R mixing
in the sfermion mass matrices must be included. These are important for large
tanj3 and in the third generation. (5) One loop corrections to mb and m T are
included. This is needed to get the correct value of the band r Yukawa coupling
constants, and again are important for large tan 13· (6) Leading order (LO)[4]
and some next to leading order (NLO)[5] corrections to the b ~ s"( decay are
included. All of the above are under good theoretical controll except perhaps
for the b ~ s"( constraint l . We note that we do not make any assumptions on
1 Recent analyses[6] appear to have calculated the most important NLO corrections to
the branching ratio for b -+ 5"( for large tanj3. These corrections have not been treated
here, but will be included in [7] (where the bounds on mh will also be updated). We
do not believe this will effect the predictions of the maximum and minimum cross
sections given below, but may modify which regions of parameter space get excluded.
~O
XI
~O
XI
h,H.A,Z ~
+ f
~O -
XI f
~O -
xI f
~O ~O
XI Xl
~O ~O
/
XI XI
q
~ ~
q
q
+ h,H
q q
Fig.1. Dominant diagrams for O"ann (upperdiagrams) and spin independent part of
O"x~_p(lower diagrams).
the nature of the GUT group at grand unification. Hence we do not impose
b - T (or b - T - t) Yukawa unification at Mo, and do not impose proton decay
constraints. Such phenomena depend sensitively on unknown post-GUT physics,
and so the validity of these constraints are unclear. For example, string models
in which there is Wilson line breaking of the GUT group to the Standard Model
group at Mo, require gauge coupling constant unification but neither Yukawa
unifications implied by the GUT group nor the SUGRA proton decay constraints
need hold[8].
SUSY theory allows one to calculate neutralino-quark scattering (Fig.l), and
one must convert this to neutralino-proton scattering to compare with experi-
ment. To do this we follow the proceedures of [9], which requires three param-
eters: (i) the pion-nucleon sigma term, O"rrN = Ij2(m u + md) < pluu + ddlp >,
(ii) 0"0 = O"rrN - (m u + md) < plsslp >, and (iii) the quark mass ratio r =
2m s j(m u + md). We use here the values O"rrN = 65 MeV (based on analy-
ses[lOJ making use of recent 1r - N scattering data), 0"0 = 30 MeV [11]' and
r = 24.4 ± 1.5[12J. If one were to use instead the value O"rrN = 45 MeV (based
on older 1r - N data) then the value of O"x.~ - p would be reduced by a factor of
about 3.
3 mSUGRA Model
3.1 Introduction
The mSUGRA model has universal soft breaking and so depends on a minimum
number of new parameters i.e. four parameters and one sign. These are (1) mo,
the universal scalar particle mass at MG. (2) ml/2, the universal gaugino mass at
MG. (Alternately, one may use mx~ or my since these scale approximately with
ml/2, i.e. mx~ :::: OAml/2' and my :::: 2.8ml/2)' (3) Ao, the universal cubic soft
breaking mass at MG. (4) tan.B =< H2 > / < HI >, where < H2 > gives mass
to the u-quarks and < HI > gives mass to the d-quarks and charged leptons. In
addition, the sign of the Higgs mixing parmeter J.1. is undetermined. (J.1. appears in
the superpotential W as J.1.HI Hd We take for this parameter space the following
ranges:
mo ~ 1 TeV (6)
ml/2 ~ 600 GeV (which corresponds to my ~ 1.5 TeV, mx~ ~ 240 GeV) (7)
2 < tan.B < 50 (8)
JAo/mol ~ 5 (9)
If one increases the ml/2 bound to ml/2 = 1 TeV (corresponding to my =2.5
TeV, which is the upper detection limit for gluinos at the LHC), the neutralino-
proton cross section will drop by a factor of about 2-3 at the high end of the
parameter space.
3.2 Maximum Cross Section
We examine first the maximum cross section the model can achieve. (J'x~-p is an
increasing function of tanf3, and a decreasing function of ml/2 and mo. Thus the
maximum (J' Xo _p should occur at large tanf3 and small mx~' This is illustrated in
Fig.2 where the maximum cross section is plotted at a function of mxo for tanf3
= 20, 30, 40, 50, in the range of cross sections acessible to current dete~tors. One
sees that current detectors with the sensitivity of Eq.(l), have begun to sample
part of the parameter space for tanf3 .:::. 25. Further, from the maximum tanf3 =
50 curve, one sees that only neutralinos with mass mx~ ~ 90 GeV are accessible
to such detectors. Fig.3 shows nx~_ph2 as a function of mx~ for tanf3 = 30,
when (J'x~-p takes on its maximum value of Fig.2. One sees that nx~h2 is an
increasing function of mx~ as expected from the discussion in Sec.!, i.e. since
(J'x~-p decreases with mx~' one expects that the early universe annihilation cross
will similarly decrease, and hence nx~h2 will increase by Eq.(3). Since mx~ ~ 90
GeV for current detector sensitivities, we see that current detectors are accessing
only the region where nx~h2 ~ 0.1. It is clear that the future very accurate
determinations of nCDM by the MAP and Planck satellites will greatly sharpen
the predictions of the SUGRA models. Fig.4 shows the light Higgs mass for
tan.B =30 when (jx~-p takes on its maximum value. For mx~ <90GeV (the range
10
5
~
10
"8- 2
'0
......
'-'0.. 1
0 .....
tt< 0.5
0.2
80 120 140
mx~ (GeV)
Fig. 2. Maximum ax~_p as a function of mx~ for tan/1 = 20,30,40,50, obtained by

varying A o and mo over the parameter space[13]. The constraint on flx~h2 of Eq.(4)
has been imposed.
0.2
0.15
0.1
""..c:
cro-
0.07
0.05
0.03
70 80 90 100 110 120
Fig. 3. flx~h2 as a function of mx~ for tan/1 =30 when ax~_p takes on its maximum
value (as in Fig.2)[13].
accesible by current detectors) one has mh ::;120 GeV. Such a range of Higgs
mass would be accessible to RUN2 at the Tevatron, if the run achieves maximum
luminosity.
3.3 Minimum Cross Sections
We turn next to consider how small the (Jx~-p cross sections can get to see
how sensitive future detectors must be to cover the full parameter space. It is
127.5
125
,-...
;> 122.5
0
0
'-" 120
.c
E
117.5
115
112.5
70 80 90 100 110 120
mx~ (GeV)
Fig. 4. mh as a function of mx-o for tan/3 =30, when (j XO _p takes on it maximum

1 1
value[13].
convenient to divide the discussion into the region below coannihilation effects
and the region where coannihilation can take place.
Below coannihilation (mx~ :::; 150 GeV) In this region there is no coan-
nihilation, and the smallest cross sections occur at the smallest values of tanJ3.
Fig.5 shows the minimium value of the ax~_p cross section as a function of mx~
for tanJ3=3. One sees that the cross section decreases with increasing mx~ as
0.014
,-... 0.012
.D
0..
~
0.01
0
,....;
'-'0.. 0.008
0'-
~ 0.006
0.004
0.002
100 110 120 130

mx~ (GeV)
Fig. 5. Minimum ax~_p for tan/3 = 3 for ml/2 < 345 GeV[7].
expected, and in this domain we have
CTX~_p ~ 4 x 1O-9 pb for mx~ ~ 140 GeV. (10)
which would be accessible to planned future experiments (such as GENIUS).
Coannihilation region (mx~ ~ 150 GeV) Coannihilation in the early uni-

verse occurs when a second SUSY particle becomes nearly degenerate with the
neutralino LSP, and hence increase the annihilation cross section. This effect is
significant in mSUGRA due to two "accidents": (1) The x.~ is a Majorana spinor
and so its early universe annihilation cross section CTX~-x~ is supressed relative
to e.g. R-slepton (iR ) annihilations:
CTvO_vO ~
"-1 "-1
(l/lO)(CT"-1-
v o /-R ,CT/-R /-R ) (11)
(2) There is an accidental near degeneracy between lR and x.~ in a small

region of parameter space. To see this, one may look at low tan;3, where one has
the analytic formulae for the selectron and neutralino masses of
m;R = m~ + (6/5)(ac/41r)hm~/2 - sin 2 BwMa, cos 2;3 (12)
mx~ ~ (aI/ a c)m1/2 (13)

where h = (1/;31)[1- (1/(1 + ;31t)] and ;31 is the U(l) beta function and t =
2In[Mc/Mz]. Numerically, Eqs.(13) and (14) give
(14)
m~~ ~ 0.16m~/2 (15)

One sees that for small mo, the eR can become degenerate with the x.~, and
as m1/2 increases, mo correspondingly increases to maintain the region of near
degeneracy. Thus one has a corridor in the mo - m1/2 plane of increasing mo and
m1/2 where coannihilation effects can occur, extending the region where Eq(4)
can be satisfied. The importance of this effect has been stressed in [14], where the
analysis has been carried out for low and intermediate tanf3, an example of which
is shown in Fig.6. One sees that the coannihilation effect begins at m1/2 ~ 400
GeV (i.e. mx~ ~ 150GeV). For large tan;3, the sitiuation is more complicated as
L-R mixing in the slepton mass matrices becomes important, particularly for the
third generation, and generally the light 1\ is the lightest slepton, considerably
lighter than the other sleptons. We consider first the case where J.L > O. (We use
the Isajet sign convention for J.L). Fig.7 shows the allowed region in the mo -m1/2
plane where Eq.(4) is satisfied for tanf3 = 40. One sees that there is a significant
A o dependence, with larger A o allowing for larger mo. In general the thickness of
the corridor is tSmo ~ 25 GeV. There is no longer any non coannihilation region
200 r.---.---.---------, 200 .,..,.....,l-~--......,..-8-b-)-1ll-n -~=-3-, -j1-:>-0""

- ..,..,~ .
(,Ct'6~'"
0,
o o
E 100 " 100
100 100 300 400 ~OO 600 100 200 300 400 ~oo 600
mIn mIt.!
100 ,....--------~-....,
~~.. ~ d)13ll~ .. 10,j1:>0
i'~ I\f;"~
(,I\~
". \.NO~'
'/".
::=
::>
:: 100
100 200 300 400 ~OO 600 100 200 300 400 500 600
min min
Th. tighl.,Aod«i 01'<0 l,t Ih. "'''''.'.g>col1y p.../.rnd "'g"m ""th 0.1 $ 0;: '$ 0.3,
171. ligh/ tioIhcJ ,'"u Jh.1.O the I""oll.n ./ tho CD,m.log=Jly p.../,rnd "'9'.n .i .n, 190.....
CDOnnthilnti.n. with the light .I,p/o"l, In the do", Jhod,d reg",n. in Ih. boU.m ngil' ./.och
pond, tit. LSP i.r tho TR, I.od,"g t. on unocupl461, .6undon« ./ choN).d d"rlc m"'ter, ALso
.Aown .... tho l,tom..... ",nt.u" m•• = 95 C, V ond m. = 95, 100,105, 1:0 C,V, ... .,./1 ...
• n india/ion .j the .I,pt.n bound from LEP (31}. In tho 01'<.6.101.0 Ih. IOtid ",n'.ur, ,h,
sealdr pot~nti41 contain, charge (md/or colDur on:a.bng minlm4.
Fig. 6. Fig. 6 of Ellis etal[14]
left, as the corridors terminate at ml/2 above the non coannihilation domain
(for large tanj3). (The termination is due to the mh and b -+ s"( constraints.)
The minimum value of ml/2 decreases with increasing Ao, as does the thickness
of the allowed corridor. Thus for very large Ao, the existence of these corridors
eventually becomes a fine tuning, Since larger values of A o allow for larger values
of mo, one expects the ax~_p cross section to decrease with A o. This is illustrated
in Fig.8 where ax~_p is given as a function of ml/2 for tan j3 = 40 for two values
of A o. Thus one expects the minimum detection cross section to occur at largest
Ao and smallest tanj3. This is illustrated in Fig.9. where the cross section is
plotted for A o = 4ml/2' J.L >0, tanj3 = 40 and tanj3 = 3. Because the higher
tanj3 allows TTio to become larger (compare with Fig.6) which also reduces the
cross section, the tanj3 dependence is mostly neutralized for large ml/2' One has,
o
S
300
350
fil (GeV)
2
Fig. 7. Allowed corridors in mo - ml/2 plane satisfying the relic density constraint
Eq(4) for tan,B=40, J.L >0 and (from bottom to top) Ao = ml/2, 2ml/2, 4ml/2 [7].
0.04
,-.... 0.03
"&
-
\0
'0
' -'0.. 0.02
0 ......
t;)tl-<.
0.01
OL......_"--_ _,..-'--:,_ _---:-::--:--_ _..."..._ _,..-'--:,_ _~

350 400 450 500 550 600
fil (GeV)
2
Fig. 8. qx.~-p as a function of ml/2 for tan,B =40, J.L > 0, A o = 2ml/2 (upper curve)
and A o = 4ml/2 (lower curve)[7].
however, the lower bound on the cross section of
(Jx.~-p ~ 1 x 1O-9 pb, for ml/2 < 600GeV (mx.~ < 240 GeV), J..L >0 (16)
which should still be accesible to the proposed future detectors.
We next turn to the case of J.L < O. As pointed out in [15], at low and in-
termediate tanj3, an accidental cancellation can occur in part of the parameter
space in the coannihilation region which can greatly reduce (Jx.~-p' We investi-
gate here whether this cancellation continues to occur in the high tanj3 region.
,-., 0.0125
.g,
-
10
'0 0.01
' -"0.0.0075
0·.....
/?-<
l:5 0.005
0.0025 r------------=========:::d
400 450 500 550 600
fil (GeV)
2
Fig. 9. (}"x~-p as a function of ml/2 for Ao = 4ml/2' J.L > 0, tan!, = 40 (upper
=
curve) ,tan !' 3 (lower curve)[7].
What occurs is seen in Fig.10 where (Jx~-p is shown for tanj3 =20, 5 and 10 (in
descending order). One sees that the cross section decreases between tanj3 = 5
0.0005
,-.,
-& 0.0001
-
10
'0 0.00005
'-"0.
0'-
to/?-< 0.00001
5 .. 10- 6
350 400 450 500 550 600

ml (GeV)
2
Fig. 10. (}"x~-p for J.L < 0, tan!, = 20, 5, 10 (descending order on the right)[7].
and tanj3 = 10, but then rises again at higher tanj3. Thus one has that
(Jx~-p < 1O- 1o pb for 4 ~ tanj3 ~ 20; ml/2 > 450 GeV(m g .2: 1.1 TeV); J.L> 0
(17)
and the minimum cross section occurs at tanj3 ~ 10:
((Jx~-p)min ~ 1 x 1O- 12 pb at tanj3 = 10, ml/2 ~ 600GeV (18)

Thus in this region of parameter space the proposed future detectors would
not be able to detect mSUGRA X~ wimps. However, the absence of detection of
halo wimps would then imply that squarks and gluinos should lie above 1 TeV,
but at masses still acessible to the LHC. Also then, mSUGRA would require that
tanj3 would be in the restricted range given in Eq(18), and p, be negative. This
would allow a number of cross checks on the validity of the mSUGRA model.
4 Nonuniversal SUGRA Models

In most discussions of SUGRA models with nonuniversal soft breaking terms, the
universality of the the soft breaking masses at Ma of the first two generations of
squarks and sleptons is maintained to suppress flavor changing neutral currents.
However, one may allow both the Higgs masses and the third generation squark
and slepton masses to become nonuniversal at Mo. One can parameterize this
situation at Ma as follows:
mJ 1
+ <h);
= m~(1 mJ 2 = m~(1 + 02); (19)
mq~ = m~(1 + 03); m t ; = m~(1 + 04); mr~ = m~(1 + 05);
mb~ = m~(1 + 06); mlZ = m~(1 + 07)'
where qL == (h, bL) squarks, l£ == (v r , h) sleptons, etc. and mo is the universal
mass for the first two generations of squarks and sleptons. The Oi are the devi-
ations from universality (and if one were to impose SU(5) or SO(10) symmetry
one would have 03=04= 05, and 06=od In the following we limit the Oi to obey:
(20)
and maintain gauge coupling constant unification and gaugino mass unification
at Mo.
While there are a large numbers of new parameters, one can get an under-
standing of what effect they produce from the following. The neutralino X~ is a
mixture of gaugino (mostly bino) and higgsino parts:
(21)
The dominant spin independent (Jx~-p cross section is proportional to the in-
terference between the gaugino and higgino amplitudes, and this interference is
largely governed by the size of p,2. As p,2 decreases, the interference increases,
and hence (Jx~-p increases. Radiative breaking of SU(2) x U(I) determines the
value of p,2 at the electroweak scale. To see the general nature of the effects of
nonuniverality, we consider low and intermediate tanj3 where an analytic form
exists for p,2 (see e.g. Arnowitt and Nath, Ref[2]):
2=~[(1-3Do_~) (I-D o (o o)_I+Doo 01 )] 2(22)

P, t2 _ 1 2 t2 + 2 3 + 4 2 2 + t2 mo
+ universal parts + loop corrections.
Here t = tan,B and Do ~_1- (mtl200GeV sinj3)2 ~ 0.2 (Note that the Higgs
and squark nonuniversalties enter coherrently, roughly in the combination 63 +
64 -62.) We see from Eq.(22) that 1-£2 is reduced, and hence aX.~_p incresed for 63,
64,61 < 0,62 > 0, and 1-£2 is increased for 63, 64, 61 > 0,62 < O. Thus one can get
significantly larger cross sections in the nonuniversal models with the first choice
of signs for the 6i, and one can reduce the cross sections (though not by such a
large amount) with the second choice. The above analytic results are illustrated
in Fig.l1, where the maximum aX.~_p for the universal and nonuniversal models
are plotted for tan{3 = 7. One sees that one can increase the cross section by a
10
5
~
,D
0..
\0
I
0,..; 1
'-'0..
0 ......
0.5
'ON
0.1
0.05
65 70 75 80 85 90 95 100
m~~ (GeV)
Fig.n. Maximum ax~_p for tan,8 = 7, Jl >0 for nonuniversal model, 03, 04, 01 < 0,
02 >0 (upper curve), and universal model (lower curve) [13].
factor of 10 to 100 by an appropriate choice of signs. Thus current detectors can

probe regions of lower tan,B for nonuniversal models than for the universal one.
The allowed range can be seen from Fig.12, where the maximum cross sections
are plotted for tan,B = 5,7,and 15. Current detectors with sensitivity of Eq.(I)
thus can probe parts of the parameter space with tan{3 ~ 4, and from the tan,B =
15 curve, we see that parts of the high tan{3 part of the parameter space has
already been eliminated. However, the very low tan,B values are on the edge of
being eliminated by the LEP constraint on the light Higgs mass. Thus Fig.13
shows that mh is quite small if mX.~ is light, and one would have to raise the
lower bound on tan,B as LEP raises the lower bound on mho
As in mSUGRA, the minimum cross sections occur for the largest m1/2 and
smallest tan,B, and so they occur in the coannihilation region. We consider here
only the case where the Higgs masses are nonuniversal Le. 61,2 # 0 (the other 6i
set to zero). Results then are similar to the mSUGRA case. For 1-£ > 0 we find
(J'x.?-p ~ 1 x 1O- 9 pb; for m1/2 ~ 600 GeV, fJ- > 0 (23)
100 . - - - - - - - - - - - - - - - - - - - - - ,
50
,.-..
.D 10
0.
\0
I
0 5
......
'-'0.
0 ......
'ON. 1
0.5
0.1
70 80 90 100 110 120 130
mx~ (GeV)
Fig. 12. Maximum (Jx.~-p for nonuniversal SUGRA models for tanj1 =5,7 and 15 (in
ascending order)[13].
12 0 r----~---------.,------~-___.
110
,.-..
o~
'-'
100 '---------~---
..c::
8
90
80
80 100 120 140
mx~ (GeV)
Fig. 13. mh as a function of mX.~ for tanj1 =7 when (Jx.~-p takes on the maximum
value of Fig.12[13].
For J.L <0 one again can get a cancelation reducing the cross section to a minimum
near tanl3 = 10:
(Jx~-p ;(, 1 x 1O- 12 pb at ml!2 = 600 GeV, tan 13 ~ 10, J.L < 0 (24)
5 Conclusions
We have examined here the predictions of several SUGRA models which possess
gauge coupling constant unification at Me ~ 2 x 10 16 GeV, to see what parts
of the SUSY parameter space are accessible to current detectors obeying Eq. (1),
and what will be accessible to future detectors with the sensitivity of Eq.(2). For
the minimal SUGRA model with universal soft breaking parameters, mSUGRA,
current detectors are scanning parts of the parameter space where tanf3 ;(, 25,
mx~ :5 90 GeV and Dh2 :5 0.1. In addition, the light Higgs obeys mh :5 120
GeV, and hence possibly would be accessible to RUN2 at the Tevatron. For
nonuniversal models, where one allows the Higgs and third generation squark
and slepton softbreaking masses to be nonuniversal, the neutralino-proton cross
section can be significantly increased, by a factor of 10-100, with an appropriate
choice of sign in the soft breaking deviations from universality. Thus current
detectors here could scan regions of parameter space as low as tanf3 ~ 4, though
in these regions mh is very light, and the the minimum allowed tanf3 may have
to be raised as LEP raises the the bound on the Higgs mass. However, the
possibility of large cross section here has already allowed current detectors to
exclude parts of the high tanf3 region, e.g. when tanf3 ;(,15. How low SUGRA
cross sections can lie is complicated by the existance of coannihilation effects
where the R-sleptons (particularly the 1\) can become nearly degenerate with
the neutralino. This allows the relic density constraint Eq.(4) to be satisfied in a
narrow rising corridor (about 25 GeV wide in mo) in the mo - ml/2 plane rising
to relatively large mo, and thus reducing the size of the X~ - p cross section. For
large tanf3, the effect is sensitive to the value of Ao, the range of mo increasing
with Ao. Thus for J.L >0, one finds for ml/2 =600 GeV, the minimum cross
section at e.g. tanf3 = 40, A o = 4ml/2 is almost the same as that at tanj3 = 3,
the increase of the cross section due to the increase in tan/3 being offset by the
decrease due to the allowed large value of mo· One finds however, that for J.L > 0,
at ml/2 = 600 GeV (my;; 1.5 TeV), the minimum cross sections would still
be accessible to detectors with the sensitivity of Eq.(2). The minimum cross
sections for J.L < 0 is complicated by the possibility of accidental cancelations
in the scattering amplitudes, allowing the cross section to sink below 10- 10 pb
in certain regions of the parameter space. Thus one finds for mSUGRA that
CTx~_p < 1 x 10 -10 pb for m1/2 "" > 450 GeV ( my> "" 1.1 TeV ) when 4 ""
< tan/3 ""<
20, with a minmum cross section of 1 x 10- 12 pb reached at tan /3 ~10. Similar
results hold for the nonuniversal models. In this domain SUGRA models imply
that halo dark matter would not be accessible to detectors with sensitivities of
Eq.(2), and that the gluino and squarks would be quite heavy. They would still
however be observable at the LHe which can detect gluinos with mass my :5 2.5
TeV [16].
6 Acknowledgement
This work was supported in part by National Science Foundation Grant No.
PHY-9722090.
References
1. A.H. Chamseddine, R. Arnowitt, P. Nath: Phys. Rev. Lett. 49, 970 (1982); R. Bar-
bieri, S. Ferrara, C.A. Savoy: Phys. Lett. B 119, 343 (1982); L. Hall, J. Lykken, S.
Weinberg: Phys. Rev. D 27, 2359 (1983); P. Nath, R. Arnowitt, A.H. Chamseddine:
Nucl. Phys. B 227, 121 (1983).
2. For previous analysis of nonuniversal models see: V. Berezinsky, A. Bottino, J. Ellis,
N. Fornengo, G. Mignola, S. Scopel: Astropart. Phys. 5, 1 (1996); Astropart. Phys.
6, 333 (1996); P. Nath, R. Arnowitt: Phys. Rev. D 56, 2820 (1997); R. Arnowitt,
P. Nath: Phys. Lett. B 437, 344 (1998); A. Bottino, F. Donato, N. Fornengo, S.
Scopel: Phys. Rev. D 59, 095004 (1999); R. Arnowitt, P. Nath: Phys. Rev. D 60,
044002 (1999).
3. M. Alam et al.: Phys. Rev. Lett. 74, 2885 (1995).
4. S. Bertolini, F. Borzumati, A. Masiero, G. Ridolfi: Nucl. Phys. B 353, 591 (1991).
5. H. Anlauf: Nucl. Phys. B 430, 245 (1994); M. Chiuchini, G. Degrassi, P. Gambino,
G.F. Giudice: Nucl. Phys. B 527, 21 (1998); Nucl. Phys. B 534, 3 (1998).
6. M. Carena, D. Garcia, U. Nierste, C.E.M. Wagner: hep-ph/0010003; G. Degrassi,
P. Gambino, G.F. Giudice: hep-ph/0009337.
7. R. Arnowitt, B. Dutta, Y. Santoso: Coannihilation in SUGRA and D-Brane Mod-
els, in preparation.
8. M.B. Green, J.H. Schwarz, E. Witten: Superstring theory, vol. 2. (Cambridge Uni-
versity Press, 1987)
9. J. Ellis, R. Flores: Phys. Lett. B 263, 259 (1991); Phys. Lett. B 300, 175 (1993).
10. M. Olsson: Phys. Lett. B 482, 50 (2000); M. Pavan, R. Arndt, I. Strakovsky,
R. Workman: nucl-th/9912034, Proc. of 8th International Symposium on Meson-
Nucleon Physics and Structure of Nucleon, Zuoz, Switzerland, Aug., (1999).
11. A. Bottino, F. Donato, N. Fornengo, S. Scopel: Astropart. Phys. 13, 215 (2000).
12. H. Leutwyler: Phys. Lett. B 374, 163 (1996).
13. E. Accomando, R. Arnowitt, B. Dutta, Y. Santoso: Nucl. Phys. B 585, 124 (2000).
14. J. Ellis, T. Falk, K. Olive, M. Srednicki: Astropart. Phys. 13, 181 (2000).
15. J. Ellis, A. Ferstl, K. Olive: Phys. Lett. B 481, 304 (2000).
16. ATLAS: Detector and Physics Performance Technical Design Report, vol. 1,
CERN-LHCC-99-14, ATLAS-TDR-14 (1999); vol. 2, CERN-LHCC-99-15, ATLAS-
TDR-15 (1999).
Dark Matter in SUSY *
A. Bottino
Dipartimento di Fisica Teorica, Universita di Torino

and INFN, Sez. di Torino, Via P. Giuria 1, 1-10125 Torino, Italy
e-mail bottino@to.infn.it
Abstract. We investigate the discovery capabilities of current experiments of direct

search for WIMPs, when their results are analyzed in terms of relic neutralinos. We
point out which are the main astrophysical and particle physics uncertainties to be
taken into account for a proper comparison between theory and experimental data. The
relevant neutralino cosmological properties, locally and on the average in the universe,
are derived in various supersymmetric schemes; part of the susy configurations probed
by current WIMP experiments are shown to entail relic neutralinos of cosmological
interest.
1 Introduction
Along the past years the experiments of direct search for Weakly Interacting Mas-
sive Particles (WIMP) [IJ have progressively increased their discovery potential,
most remarkably when their data are interpreted in terms of relic neutralinos
[2J. In Ref. [3J we have investigated by how much the supersymmetric parameter
space is probed by WIMP direct searches with current sensitivities [4-6J. In our
analysis we took into account the following important points: i) current uncer-
tainties in astrophysical properties, ii) uncertainties in hadronic quantities, iii)
new bounds from LEP searches for Higgs and supersymmetric particles, iv) im-
proved evaluations of cosmological parameters. Here we report the main results
of Ref. [3], to which we refer for more details. Previous studies of the possible
interpretation of the annual-modulation effect [4] in terms of relic neutralinos
were reported in [7-10J. Other comparisons of the experimental data of Ref. [4]
with susy calculations may be found in Refs. [11-16J.
Before we investigate the experimental data in terms of susy models, let us
establish the sensitivity range for current experiments of WIMP direct search.
To do this we assume that in the WIMP-nucleus cross section the coherent part
is dominant over the spin-dependent one and that the WIMP couples equally
to protons and neutrons. This entails that the WIMP-nucleus cross section may
be expressed in terms of a WIMP-nucleon scalar cross section a~~:l~:on).
We then have to define an appropriate phase-space distribution function
for the WIMPs in our halo. We assume here that this factorizes as PW . f (v),
though this is not the most general case [17]). In turn, PW is factorized in terms
of the local value for the non-baryonic dark matter PI, i. e. PW = ~ . PI, where
~ =PW/PI. The range used here for PI is 0.2 GeV cm- 3 ~ PI ~ 0.7 GeV cm- 3 ,
* Based on work done in collaboration with F. Donato, N. Fornengo and S. Scopel
264 A. Bottino
where the upper side of the range takes into account the possibility that the mat-
ter density distribution is not spherical, but is described by an oblate spheroidal
distribution [17,18]. The default choice for f(v) is the one derived from the
isothermal-sphere model, i.e. the isotropic Maxwell-Boltzmann distribution in
the galactic rest frame. However, it has been recently shown that deviations
from this standard scheme, either due to a bulk rotation of the dark halo [19,20]
or to an asymmetry in the WIMP velocity distribution [21-23], influence the
determination of the WIMP-nucleus cross sections from the experimental data
quite sizeably. In a typical plot, where the WIMP-nucleus cross section is given
in terms of the WIMP mass, the effect introduced by the mentioned deviations
from the Maxwell-Boltzmann is generically to elongate the contours towards
larger values of the WIMP mass. This is the case for the the annual-modulation
region of the DAMA Collaboration [4]. In Ref. [9] it is shown that, by imple-
menting the dark halo with a bulk rotation according to the treatment in Ref.
[20], the annual-modulation region moves towards larger values of the WIMP
mass, i.e. up to mw "" 200 GeV. A similar effect is obtained by introducing an
asymmetry in the WIMP velocity distribution f (v). In most analyses in terms
of relic neutralinos all these effects, which are extremely important when exper-
imental results of WIMP direct detection are being compared with theoretical
models for specific candidates, have been overlooked.
In the light of the present experimental data [4,5] and of the previous consid-
erations on the astrophysical uncertainties, the mw range of particular interest
is
40 GeV ::; mw ::; 200 GeV. (1)

In case of the neutralino this mass range is quite appropriate. In fact, the lower
extreme is indicative of the LEP lower bound on the neutralino mass m x [24].
For the high side of the range we remark that, though a generic range for m x
might extend up to about 1 TeV, requirements of no excessive fine-tuning [25]
would actually favour an upper bound of order 200 GeV.
For a WIMP whose mass is in the range of Eq.(I) and whose coherent inter-
actions with ordinary matter are dominant over the the spin-dependent ones,
the sensitivity of current WIMP direct experiments [4,5] may be stated as
4· 10 -10 n barn ::; (nucleon)

O"scalar
2
::;. 10- 8 n barn. (2)
Eqs. (1-2) define in the space mw - O"~~~l~:on) a region R which represents the
current sensitivity region of WIMP direct searches.
2 Supersymmetric Models
The calculations presented in this paper are based on the Minimal Supersymmet-
ric extension of the Standard Model (MSSM), in a number of different schemes.
The essential elements of the MSSM are described by a Yang-Mills Lagrangian,
Dark matter in SUSY 265
the superpotential, which contains all the Yukawa interactions between the stan-
dard and supersymmetric fields, and by the soft-breaking Lagrangian, which
models the breaking of supersymmetry.
Implementation of this model within a supergravity scheme leads naturally
to a set of unification assumptions at a Grand Unification (GUT) scale, MauT:
=
i) Unification of the gaugino masses: Mi(MauT) m1/2, ii) Universality of the
=
scalar masses with a common mass denoted by mo: mi(MauT) mo, iii) Univer-
sality of the trilinear scalar couplings: AI(MauT) = Ad(MauT) = AU(MauT) =
Aomo.
This scheme is denoted here as universal SUGRA (or simply SUGRA). The
relevant parameters of the model at the electro-weak (EW) scale are obtained
from their corresponding values at the MauT scale by running these down ac-
cording to the renormalization group equations (RGE). By requiring that the
electroweak symmetry breaking is induced radiatively by the soft supersymmetry
breaking, one finally reduces the model parameters to five: m1/2, mo, A o, tan /3(=
vdvd and sign J.L (the vi's are the Higgs vacuum expectation values and J.L is
the coefficient of the Higgs mixing term). In the present paper, these parameters
are varied in the following ranges: 50 GeV ~ m1/2 ~ 1 TeV, mo ~ 1 TeV, -3 ~
A ~ +3, 1 ~ tan /3 ~ 50. In Ref. [26J relic neutralinos in the window mo ,...., 1-3
TeV, allowed by fine-tuning arguments [25], are specifically considered.
Models with unification conditions at the GUT scale represent an appealing
scenario; however, some of the assumptions listed above, particularly ii) and
iii), are not very solid, since, as was already emphasized some time ago [27],
universality might occur at a scale higher than MauT ,...., 10 16 GeV, e.g., at the
Planck scale. More recently, the possibility that the initial scale for the RGE
running, M[, might be smaller than MauT ,...., 10 16 has been raised [15,28], on
the basis of a number of string models (see for instance the references quotes in
[15]). In Ref. [15] it is stressed that MI might be anywhere between the EW scale
and the Planck scale, with significant consequences for the size of the neutralino-
nucleon cross section. An empirical way of taking into account the uncertainty
in M[ consists in allowing deviations in the unification conditions at MauT. The
properties of these non-universal SUGRA schemes are discussed in [3] and in
the references quoted therein.
Here, alternatively to the universal SUGRA scheme, we only consider a phe-
nomenological susy model whose parameters are defined directly at the elec-
troweak scale. This effective scheme of MSSM, denoted here as effMSSM, pro-
vides, at the EW scale, a model described in terms of a minimum number of
parameters: only those necessary to shape the essentials of the theoretical struc-
ture of an MSSM. A set of assumptions at the electroweak scale is implemented:
a) all trilinear parameters are set to zero except those of the third family, which
are unified to a common value A; b) all squark soft-mass parameters are taken
=
degenerate: miji mij; c) all slepton soft-mass parameters are taken degenerate:
=
mii mi; d) the U(1) and SU(2) gaugino masses, M1 and M2 , are assumed to
be linked by the usual relation M 1 = (5/3)tan 2 Bw M 2 (this is the only GUT-
induced relation we are using, since gaugino mass unification appears to be better
266 A. Bottino
motivated than scalar masses universality). As a consequence, the supersymmet-

ric parameter space consists of seven independent parameters. We choose them
to be: M 2 ,J.t, tan,B,mA,mq,mj,A and vary these parameters in the following
ranges: 50 GeV :s M 2 :s 1 TeV, 50 GeV :s 1J.t1 :s 1 TeV, 80 GeV :s mA :s
1 TeV, 100 GeV:S mq,mj:S 1 TeV, -3:S A:s +3, 1 :s tan,B :s 50 (mA is the
mass of the CP-odd neutral Higgs boson). Effective MSSM schemes at the EW
scale have been used in analyses of relic neutralinos, usually with the further
assumption of slepton-squark mass degeneracy: m q = mj) [7,10,12,29-31]. In
the results hereby displayed in the form of scatter plots only configurations with
m q 2: mj are shown. However, it is interesting to note that some configurations
WIt. h mverse
. h'lerarchy m q <_ mj pro duce some mcrease
. . O'scalar
m (nucleon) at Iow m
x
values.
The neutralino is defined as the lowest-mass linear superposition of photino
(-1'), zino (Z) and the two higgsino states (Hf, H?,): X == al i+a2Z+a3Hf +a4H2'.
Hereafter, the nature of the neutralino is classified in terms of a parameter P,
defined as P == ar + a~. The neutralino is called a gaugino when P > 0.9, a
higgsino when P < 0.1, mixed otherwise.
We refer to [3] for specifications about the experimental constraints employed
in our calculations. We only recall here that the new LEP2 bounds [24,32] con-
strain the configurations of relevance for relic neutralinos more severely as com-
pared, for instance, with those considered in Ref. [10].
The results for the neutralino relic abundance [}xh2 have been obtained with
the procedure indicated in Ref. [33]. The neutralino-nucleon cross section has
been calculated with the formulae reported in Ref. [7,34]. We stress that this
cross section suffers from significant uncertainties in the size of Higgs-quark-
quark and squark-quark-neutralino couplings. This point was raised in Ref.
[34], which triggered a reconsideration of this important point in a number of
subsequent papers [13,14,35]. In the present note we use for the couplings pre-
viously mentioned what we have defined as set 1 in Ref. [34] to which we refer
for details. We stress that using for the couplings other set of values, well within
the present uncertainties, would increase the values of the WIMP-nucleon cross
section by a factor of a few.
3 Results and conclusions
Figs. 1 and 2 display the scatter plots for O'~~~l~:on) versus [}xh2 for universal
SUGRA and effMSSM. The two horizontal lines denote the sensitivity region
defined by Eq. (2). The two vertical lines denote a favorite range for [}mh2,
0.05 :s [}mh2 :s 0.3 ([}m is the matter cosmological density divided by the
critical density and h is the Hubble constant in units of 100 km S-1 Mpc 1 ) .
We stress that in the present note, apart from some features reported in Figs.
6-7, we do not restrict ourselves to any particular interval of [}mh2. It is also
worth noticing that, according to the most recent determinations [36], the lower
bound on [}mh2 tends toward a value of about 0.08. However, due to the fact
A. Bollino, F. Donalo, N. fornengo, S. Scopel (2000)

10- 6 ~--,--r-'--'-'rT""1",----'r-....-",-'1
" n .iTI--'---r-'-..-r"'--,-:~
.:,
I 1
10. 7
I I J
~
:.
---------------t-------1---- ,
10 6
I I:~
J
C
I I !,
10- 9
I I
·~
~
---------:- -.-.- ~ -.T. ~ ~,~ .~:-, -:-C'- -- .;

~1
co •
.D
C
. "1 "'~;' ",:. or':t',

'-'
10- tO ·1
•• : t . · •. ' ••.01
: ~.:
~ •
j
c
0
'. :: 41°·: :.:.~i.··; .:0'. ~ '1'~ ~
'" ,.' ...'.:.~.".,'ti ,... '. !
<>~
'U.! ~~
= 10- 11
~
c u
1:,~
•
. I -'
.. I ...... r"~~"
. ')
_:'.'
~..
..
:j
"j
I ~ ~
10- 12 -.'
I ~,
I I :
..1
10- 13
I ,1.. ~
-:,
I
10- 14 L-_-'---'----'--'-L..I...Ju.J.._ _'---'--...1-L...L.J...J...J-'--_-'----''---'---'-_,_,,_...J.J

10- 3 10- 2 0.1
{1
X
h2
Fig. 1. Scatter plot of <7~~:l~:on) versus Q x h 2 for universal SUGRA. Set 1 for the
quantities m q < ijq >'s is employed. Only configurations with positive j.t are shown and
m x is taken in the range of Eq. (1). The two horizontal lines bracket the sensitivity
region defined by Eq. (2). The two vertical lines denote the range 0.05 ::; fl m h 2 ::; 0.3.
The region above fl x h 2 = 0.7 is excluded by current limits on the age of the universe.
All points of this scatter plot denote gaugino configurations.
that the determinations of the matter density in the universe and of the Hubble
constant are still subject to variations, a conservative attitude seems advisable.
The results displayed in Figs. 1-2 show that the present experimental sensitiv-
ity in WIMP direct searches allows the exploration of supersymmetric configura-
tions of cosmological interest. The extent of the susy parameter space which may
actually be probed experimentally depends sensitively on the susy scheme. We
remind that, should we use other sets for the Higgs-quark-quark and neutralino-
quark-squark couplings, the scatter plots would go up by a factor of a few.
In Fig, 3 we report a plot which provides a thorough information about the
cosmological properties of the neutralinos which are being investigated by WIMP
268 A. Bottino
" Bottino. P. Donalo. S Fornengo, S ScopeI (~OOO)

10- 8
10- 7 x x
x
10- a
--...
C lO- D
....
<I;l
.D
C
........-
10- 10
C0
" ...
'U.!
~
~ ..
c" 10- 11
b
10- 12
x
x .,
i
0 ~
10 13
10- 1•
10- 3 10- 2 0.1
[} h~
X
Fig. 2. Scatter plot of O'~;~~:on) versus fl x h 2 for effMSSM. Notations as in Fig. 1 except
that here the scatter plot contains neutralinos of various configurations: dots denote
gauginos, circles denote higgsinos and crosses denote mixed configurations. Both signs
of IJ- are shown.
direct searches: the local density Px is given versus the relic abundance Dx h2 .
The procedure for obtaining this plot is the following [34]:
. I d [ (nucleon)] / (nucleon) h [ (nucleon)] d
1) Px IS eva uate as Px' O'scalar expt O'scalar ,were Px' O'scalar expt e-
notes the experimental value, and O'~;:l~:on) is calculated as indicated above; 2) to
each value of Px one associates the corresponding calculated value of Dx h 2 . The
scatter plot in Fig. 3 is derived from the lowest value of the annual-modulation
region of Ref. [4], [Px/(0.3 GeV cm- 3 ) 'O'~;:I~I:on)]exPt = 1 . 10- 9 nbarn, and
by taking m x in the range of Eq. (1). This plot, obtained in case of eflMSSM,
shows that the most interesting region, i. e. the one with 0.2 GeV cm- 3 :S Px :S
0.7 GeV cm- 3 and 0.05 :S Dm h2 :S 0.3 (cross-hatched region in the figure),
is covered by susy configurations probed by the WIMP direct detection. The
properties displayed in this plot are commented in [3]. Here we only remark that
10 1
x
~ x
0
00
° 0 x
0
x
x
0
...,,
,-...
"
'"' -1
E i,
()
I
>Q) ~
0
i
x
'j
Q.
><
I
I
0.1 .-1.,
x
,o
-1
,
:
:
~
I
10- 2 L...:~'-'-_"'--..n..~~~_~-'-....I-....I-.L.J.....L.J...w.._ _..!---,---,-......L..~""'"J I

10- 3 10 2 0.1
Fig. 3. Scatter plot of Px versus fl x h 2 . This plot is derived from the experimental
value [Px/(0.3 GeV cm- 3 ) .a~~:I~:on)lexPt = 1.10- 9 nbarn and by taking m x in the
range of Eq. (1), according to the procedure outlined in the text, in case of effMSSM.
Set 1 for the quantities m q < ijq >'s is employed. The two horizontal lines delimit the
range 0.2 GeV cm- 3 :::; Px :::; 0.7 GeV cm- 3 ; the two vertical ones delimit the range
0.05 :::; fl m h 2 :::; 0.3. The region above fl x h 2 = 0.7 is excluded by current limits on
the age of the universe. The band delimited by the two slanted dot-dashed lines and
simply hatched is the region where rescaling of PI applies. Dots denote gauginos, circles
denote higgsinos and crosses denote mixed configurations
to neutralinos whose representative points fall inside the band delimited by the
slanted dot-dashed lines and simply-hatched in the figure, one should assign
a rescaled local density Px = PI x rl x h2 /(rl m h2 )min, where (rl m h2 )min is the
minimum value of rlm h2 compatible with halo properties.
The properties of the supersymmetric configurations which stay inside the
favored region 0.2 GeV cm- 3 ~ Px ~ 0.7 GeV cm- 3 and 0.05 ~ rlm h2 ~ 0.3
and and of those which stay inside the corridor where rescaling applies (i. e. the
corridor between the two slanted dot-dashed lines) are shown in Figs. 4-5. These
270 A. Bottino
s. Seopel (2000)
.----.--,-
Fornengo.
,
I
I
10
1
90 100 110 120 130 140
ffi h (GeV)
Fig. 4. Scatter plot in the plane mh - tan (3 of the SUGRA supersymmetric configu-
rations which stay either inside the region 0.2 GeV cm- 3 :::; Px :::; 0.7 GeV cm- 3 and
0.05 :::; fl m h 2 :::; 0.3 or within the corridor of rescaling in the plane Px versus fl x h 2 . Set
1 for the quantities m q < ijq >'s is employed. Crosses (dots) denote configurations with
fl x h 2 > 0.05 (fl x h 2 < 0.05). The hatched region on the right is excluded by theory.
The hatched region on the left is excluded by present data from LEP [24] and CDF
[37]. The solid line represents the 95% C.L. bound reachable at LEP2, in case of non
discovery of a neutral Higgs boson
figures provide the scatter plots of mh - tan f3 (mh being the mass of the lightest
CP-even neutral Higgs boson). Fig. 4 displays a feature that we already pointed
out in Ref. [8]: in SUGRA only high values of tanf3, tanf3.< 40, are involved in
present direct detection experiments. Similar conclusions have also been reached
in more recent papers [14,38]. Fig. 5 shows that the WIMP direct searches probe
much larger regions in case of effMSSM than in universal SUGRA. In this figure
we also display, by a dashed line, what would be the boundary of the scatter
plot, in case set 2 [34] for the quantities m q < ijq >'s is employed instead of set
1. We point out that, in deriving our results, we have taken into account the
'. "
~
x/
..
x
10 /
/
/
/
/
/
/
/
/
/
/
1
90 100 110 120 130 140
ffi h (G V)
Fig. 5. Same as in Fig. 4 for configurations in effMSSM. The dashed line denotes to
which extent the scatter plot expands if set 2 for the quantities m q < ijq > 's is used
experimental constraint on sin2 (a - (3) [32]. This constraint is stronger than the
experimental one displayed in terms of tan (3 versus mh in Figs. 4-5.
It is interesting to note that, should the continuation of the LEP running
provide some support in favor of a Higgs boson at a mass of about 115 GeV [39],
this would fit remarkably well within the configurations displayed in Figs. 4 [40].
Our final figures (6 and 7) provide the scatter plots for the quantity ~a~~~l~:on)
versus m x ' ~ is taken to be ~ = min{1, ~~O~2}, in order to have rescaling in the
neutralino local density, when rlXh2 turns out to be less than (rlm h2)min (here
(rl m h2 )min is set to the value 0.05). In universal SUGRA our results reach a
maximum for a~~~l~:on) at the level of about 10- 9 nb, a feature which is in
common, for instance, with the results of Refs. [14,35,31]. Lower values for the
WIMP-nucleon cross section are found in evaluations where various inputs, each
one having the effect of suppressing the value of a~~~l~:on), are employed con-
comitantly [13,16]: i) low values for tan(3, tan(3 :S 10; ii) small values for the
272 A. Bottino
A. Bollino. r. Donalo. N. rornengo, s. Seopel (2000)

10- 1
10- 8
]0-9
c::
S-
CIl
.0 10- 10
t::
C-
o
"L
U..!! 10-
11
~ d
C"
~W
b
""" 10 IZ
10- 13
•x
10- 1•
0 50 100 150 200 250
m x (GeV)
Fig. 6. Scatter plot of ~U~~:l~:on) versus m x in case of universal SUGRA. Set 1 for
the quantities m q < ijq >'s is employed. Crosses (dots) denote configurations with
Q X h 2 > 0.05 (Q x h 2 < 0.05). The dashed line delimits the upper frontier of the scatter
plot, when the inputs of Ref. [13] are used. The solid contour denotes the 3u annual-
modulation region of Ref. [4] (with the specifications given in the text)
quantity m s < ss >, iii) a tight lower bound on the neutralino relic abundance
il x h 2 > 0.1 . In fact, should we use the same inputs as in [13], we would obtain
the scatter plot which stays below the dashed line displayed in Fig. 6, in agree-
ment with the results of Ref. [13J. In Figs. 6-7 the solid line denotes the frontier
of the 30' annual-modulation region of Ref. [4], when only the uncertainties in
PI and in the dispersion velocity of a Maxwell-Boltzmann distribution, but not
the ones in other astrophysical quantities, are taken into account. As discussed
in the Introduction, effects due to a possible bulk rotation of the dark halo or
to an asymmetry in the WIMP velocity distribution would move this boundary
towards higher values of m x ' Our results in Figs. 6-7 show that the susy scatter
plots reach up the annual-modulation region of Ref. [4J, even with the current
A OoUmo. P Donat.o, Fornengo. S Seopel (2000)

'I ..---r-
.
'.
..
'" .. -. .
~-
10- 12
10 13
50 100 150 200 250

m x (GeV)
Fig. 7. Same as in Fig. 6 in case of effMSSM
stringent bounds from accelerators (obviously, more easily in effMSSM than in

SUGRA).
Let us conclude by briefly summarizing the main results reported in the
present note. We have quantified the extent of the exploration attainable by
current WIMP direct experiments in terms of various supersymmetric schemes.
We have shown that these direct experiments for WIMPs, when interpreted in
terms of relic neutralinos, are indeed probing regions of the supersymmetric
parameter space compatible with all present bounds from accelerators.
We have proved that part of the configurations probed by WIMP experi-
ments, and not disallowed by present accelerator bounds, entail relic neutralinos
of cosmological interest. This result is at variance with the conclusions of some
analyses recently appeared in the literature (see for instance [13]). We have also
considered neutralinos which might contribute only partially to the required
amount of dark matter in the universe.
274 A. Bottino
We have stressed that the determination of the actual sensitivity region in

terms of the WIMP-nucleon cross section and of the WIMP mass from the
experimental data depends quite sizeably on uncertainties of various origins,
mainly: i) possible effects due to a halo bulk rotation and/or to asymmetries
in the WIMP velocities distribution, ii) significant uncertainties in the deter-
mination of Higgs-quark-quark and neutralino-quark-squark couplings. These
effects have been taken into account in our analysis.
Acknowledgements
This work was partially supported by the Research Grants of the Italian Min-
istero dell'Universita e della Ricerca Scientifica e Tecnologica (MURST) within
the Astropartic1e Physics Project.
References
1. For a review on WIMP direct searches see, for instance: A. Morales: Proceedings
of TAUP99, Nucl. Phys. B (Proc. Buppl.) 87, 477 (2000)
2. A. Bottino, F. Donato, G. Mignola, S. Scopel, P. Belli, A. Incicchitti: Phys. Lett.
B 402, 113 (1997)
3. A. Bottino, F. Donato, N. Fornengo, S. Scopel: hep-phj0010203,
ftp://wftp.to,infn.it/pub/apg.
4. R. Bernabei et al. (DAMA Collaboration): Phys. Lett. B 480, 23 (2000); preprint
ROM2F/2000-26, INFN/AE-00/10, http://mercury.lngs.infn.it/lngs/preprint
5. R. Abusaidi et al. (CDMS Collaboration): Phys. Rev. Lett. 84, 5699 (2000)
6. A comparative discussion of the experimental features and implications of the
DAMA [4] and CDMS [5] experiments may be found in B. Bernabei et al.:
preprint ROM2/2000-32, to appear in the Proceedings of the PIC20 Conference,
http://www.lngs.infn.it/lngs/htexts/dama/dama7.html
7. A. Bottino, F. Donato, N. Fornengo, S. Scopel: Phys. Lett. B 423, 109 (1998),
Phys. Rev. D 59, 095003 (1999)
8. A. Bottino, F. Donato, N. Fornengo, S. Scopel: Phys. Rev. D 59, 095004 (1999)
9. P. Belli, R. Bernabei, A. Bottino, F. Donato, N. Fornengo, D. Prosperi, S. Scopel:
Phys. Rev. D 61, 023512 (2000)
10. A. Bottino, F. Donato, N. Fornengo, S. Scopel: Phys. Rev. D 62, 056006 (2000)
11. R. Arnowitt, P. Nath: Phys. Rev. D 60, 044002 (1999)
12. V.A. Bednyakov, H.V. Klapdor-Kleingrothaus: Phys. Rev. D 62, 043524 (2000)
13. J. Ellis, A. Ferstl, K.A. Olive: Phys. Lett. B 481, 304 (2000)
14. E. Accomando, R. Arnowitt, B. Dutta, Y. Santoso: Nucl.Phys. B 585, 124 (2000)
15. E. Gabrielli, S. Khalil, C. Munoz, E. Torrente-Lujan, hep-phj0006266 v2.
16. J. Ellis, A. Ferstl, K.A. Olive, hep-phj0007113.
17. J. Binney, S. Tremaine: Galactic Dynamics, Princeton University Press, Princeton,
1987.
18. E.!. Gates, G. Gyuk, M.S. Turner: Astrophys. J. Lett. 449, L123 (1995)
19. M. Kamionkowski, A. Kinkhabwala: Phys. Rev. D57, 3256 (1998)
20. F. Donato, N. Fornengo, S. Scope!: Astrop. Phys. 9, 303 (1999)
21. J.D. Vergados: Phys. Rev. 83, 3597 (1998), Phys. Rev. D 62, 023519 (2000); P.
Ullio, M. Kamionkowski, hep-phj0006183
22. N.W. Evans, C.M. Carollo, P.T. de Zeeuw, astro-ph/0008156

23. A. M. Green, astro-ph/0008318
24. I.M. Fisk and K Nagai, talks at the XXXth Int. Conf. on High Energy Physics,
Osaka, July 2000, http://www.ichep2000.hep.sci.osaka-u.ac.jp
25. V. Berezinski, A. Bottino, J. Ellis, N. Fornengo, G. Mignola, S. Scopel: Astrop.
Phys. 5, 1 (1996)
26. J.L. Feng, KT. Matchev, F. Wilczek: Phys. Lett B482 388 (2000)
27. N. Polonsky, A. Pomarol: Phys. Rev. Lett. 73, 2292 (1994) and Phys. Rev. D 51,
6532 (1995); M. Olechowski, S. Pokorski: Phys. Lett. B 334, 201 (1995); D. Met-
alliotakis, H.P. Nilles: N1.I.cl. Phys. B 435, 115 (1995); A. Pomarol, S. Dimopoulos:
N1.I.cl.Phys. B 453, 83 (1995); H. Murayama: talk given at the 4th International
Conference on Physics Beyond the Standard Model, Lake Tahoe, USA, 13-18 de-
cember 1994, hep-ph/9503392; J.A. Casas, A. Lleyda, C. Munoz: Phys. Lett. B
389, 305 (1996)
28. S.A. Abel, B.C. Allanach, F. Quevedo, L.E. Ibanez, M. Klein, hep-ph/0005260
29. A. Bottino, V. de Alfaro, N. Fornengo, G. Mignola, S. Scopel: Astrop. Phys. 1, 61
(1992)
30. L. Bergstrom, P. Gondolo: A strop. Phys. 6, 263 (1996)
31. V. Mandie, A. Pierce, P. Gondolo, H. Murayama, hep-ph/0008022 v2
32. P.J. Donan (ALEPH Collaboration), March 2000,
http://alephwww.cern.ch/ALPUBIseminarIlepcmar2000Ilepc2000.pdf
33. A. Bottino, V. de Alfaro, N. Fornengo, G. Mignola M. Pignone: Astrop. Phys. 2,
67 (1994)
34. A. Bottino, F. Donato, N. Fornengo, S. Scopel: Astrop. Phys. 13, 215 (2000)
35. A. Corsetti, P. Nath, hep-ph/0003186
36. See, for instance, W. Freedman: talk at COSM02K, Korea, September 2000
37. J.A.Valls (CDF Coli.) FERMILAB-Conf-99/263-E CDF;
http://fnalpubs.fnal.gov I archive/1999 I conf/Conf-99-263-E.html.
38. A.B. Lahanas, D.V. Nanopoulos, V.C. Spanos, hep-ph/0009065
39. Talks given by D. Schlatter (ALEPH Collaboration), T. Camporesi (DELPHI Col-
laboration), J.J. Blaising (L3 Collaboration), C. Rembser (OPAL Collaboration)
at the special seminar at CERN on September 5, 2000 (see links to the LEP exper-
iments at http://cern.web.cern.ch/CERN/Experiments.html)
40. For theoretical considerations about a Higgs boson of this mass in universal
SUGRA see J. Ellis, G. Ganis, D.V. Nanopoulos, KA. Olive, hep-ph/00009355
Collider Signatures
of Sneutrino Cold Dark Matter
Stephan Kolb 1 , Martin Hirsch 2 , Hans Volker Klapdor-Kleingrothaus 1 , and

Orlando Panella3
1 Max-Planck-Institut fur Kernphysik, P.O. 10 39 80, D-69029 Heidelberg, Germany

2 Department of Physics and Astronomy, University of Southampton, Highfield,
Southampton S017 IBJ, England
3 Istituto Nazionale di Fisica Nucleare, Sezione di Perugia, Via A. Pascoli, 1-06123
Perugia, Italy
Abstract. Decays of sneutrinos are considered in the case that in the presence of
lepton-number violation in the sneutrino sector the lighter r-sneutrino is the Lightest
Supersymmetric Particle and the Cold Dark Matter in the Universe. In such circum-
stances the signals from sparticle decays differ considerably from the "standard" case
where the lightest neutralino is the Lightest Supersymmetric Particle and it is found
that in a wide range of parameters compatible with the sneutrino Cold Dark Matter
hypothesis signatures characteristic for such a scenario should be easily observable at
for example a Next Linear Collider.
Recently there has been particular interest in sneutrinos, the scalar coun-
terparts of the neutrinos appearing in supersymmetric (SUSY) extensions of
the Standard Model (SM) [1], due to the fact that Lepton-number (L) violation
present in the sneutrino sector of the low-energy SUSY Lagrangian [2,3] has huge
impacts both on sneutrino and neutrino phenomenology. The intimate connec-
tion between sneutrino and neutrino properties implies that if the sneutrino bears
"Majorana" properties so does the neutrino, and vice versa. Sheding light on the
as yet unresolved questions concerning the neutrino mass [4] is an unexpected
feature of the SUSY version of the SM once L violation by sneutrinos exists.
Further potentially observable consequences include L-violating processes such
as neutrinoless double beta Ov,6,6-decay (without the need of R-parity violation)
[5], e-e- -t X-X- and sneutrino oscillations [6,3].
Particularly interesting is the impact of neutrino/sneutrino properties on
Cosmology and the still unresolved questions of nature and origin of the dark
matter in the universe. Whereas massive neutrinos are long known to be an
interesting candidate for the hot component of dark matter in the universe, it
emerged only recently that in the presence of L violation sneutrinos may well
serve as cold component of dark matter [7]. The big experimental efforts (for
a recent overview see e.g. [8]) that are being made to observe e.g. neutrino
oscillations (LSND, GNO, Super Kamiokande etc.), Ov,6,6-decay (Heidelberg-
Moscow, Nemo, GENIUS among others), to establish SUSY (e.g. at the LHC,
Next Linear Collider), to observe CDM (HDMS, CDMS, GENIUS among others)
etc. will hopefully provide interesting insight into these questions soon.
Stephan Kolb et al. 277
One of the benefits of SU8Y extensions of the 8M is that under certain cir-
cumstances the LSP is stable and provides a candidate for the Cold Dark Mat-
ter in the Universe (CDM). This possibility has been ruled out for L-conserving
sneutrinos: sneutrinos with masses of order 100GeV annihilate rapidly via s-
channel ZO -exchange so that no cosmologically interesting relic abundance is
obtained. To reduce the annihilation rate it was proposed that sneutrinos should
be either very light (2GeV [9]) or very heavy (of order lTeV [10]). The first case
is excluded from ZO-width measurements, the second case is excluded from di-
rect nuclear recoil experiments like the Heidelberg-Moscow setup ([10] and ref.
therein).
The situation changes if L is not conserved in the sneutrino sector. L violation
for the SU(2)L-doublet sneutrinos has been introduced in a model-independent
way in [2] by means of an effective L-violating mass term m'iIvLvL + h.c. which
may be present below the electroweak symmetry breaking scale. In [3] L is vi-
olated by SU(2)L-singlet sneutrinos which, below the electroweak symmetry
breaking scale, mix with the SU(2)L-doublet sneutrinos. The result of both ap-
proaches is that the light sneutrino states v~,h ("i" light, "h" heavy, i generation
index) are no longer the interaction eigenstates, violate L and exhibit a mass
difference.
L violation reopens the possibility that the CDM is made up of sneutrinos
[7]: if the mass splitting of two sneutrino states (of the same generation) is bigger
than about 5GeV the sneutrino may be a viable CDM candidate due to the fact
that the coupling to the ZO is off-diagonal, i.e. ZOv~vf for any generation i. This
is a consequence of angular momentum conservation and Bose symmetry, thus
suppressing both the annihilation of sneutrinos in the early universe and the
elastic sneutrino scattering rates in counting experiments. Furthermore, sneu-
trino pair annihilation into gauge bosons and neutrinos has to be suppressed
resulting in the additional conditions m;;LSP < mw, M 1 > 200GeV where M 1
is the mass of the U(l)y gaugino.
~
l,l
-I
VI - - - - - - - - - - , VI •
x-
+
, _
,,' 2
1, 1
VI ----------~
Zo~< f
f
Fig. 1. Three-body sneutrino decays into fermions and LSP-sneutrino.

278 Collider Signatures of Sneutrino Cold Dark Matter
Bounds on the sneutrino mass-splitting can be derived from the upper limits
on neutrino masses, on Ovj3j3-decay and from the Baryon Asymmetry in the
Universe (BAU). The constraints from the neutrino mass [2,3] allow the sneutrino
mass-splitting being large enough for the third generation so that the lighter
r-sneutrino may be the CDM. On the other hand, the requirement that the
BAU should not be erased by sneutrino-induced L-violating scatterings after the
electroweak phase transition allows for sneutrino CDM only if the gauginos are
very heavy M1 ,M2 > 500GeV and for opposite sign gaugino mass parameters
[11]. However, this constraint holds only in the case when sphaleron-mediated
processes are in equilibrium immediately after the electroweak phase transition.
If e.g. the BAU is generated during the electroweak phase transition the lighter
r-sneutrino may be the CDM.
If the conditions mentioned before are not fulfilled the sneutrino abundance
alone cannot account for the CDM in the universe, but still the lightest sneutrino
could be the LSP. This is not true in the very special case of the mSUGRA model.
Though there are ranges in the M 1 , J.L, tan 13, mo, A o parameter space where the
sneutrino could be the LSP, the right-handed charged sleptons get too light to
be compatible with the bounds on their masses [12].
The possibility of one sneutrino state being the LSP and in the case of con-
served R-parity being a CDM candidate may have particularly interesting con-
sequences for the sneutrino decay signatures to be expected at colliders. Usually
the lightest neutralino is assumed to be the LSP and, if R-parity is conserved,
e.g. the prevailing signature of a slepton pair produced at a Next Linear Collider
(NLC) (see e.g. [15] and ref. therein) is simply an acoplanar lepton pair and
missing momentum from the neutralino LSP. The situation is different for sneu-
trino LSP since the decay chains of the sparticles often contain heavy sneutrino
states whose decays into the LSP sneutrino produce characteristic final states,
see below. Therefore in case the lightest sneutrino being the LSP the expected
SUSY signals differ considerably from the case the neutralino being the LSP.
In what follows we will assume that the lighter r-sneutrino is the LSP with
the sneutrinos of the first two generations being almost degenerate in mass, and
that there is a substantial mass splitting (of order lOGeV) in the r-sector since
this possibility is the cosmologically interesting one. The characteristic feature
of such a scenario should be that the decay chains of decaying sparticles contain
copiously rr-pairs, lr-pairs (l = e, J.L) and jets since such pairs are produced by
the decays of sneutrinos not being the LSP into the LSP-sneutrino.
On the other hand, if the lightest neutralino is the LSP r-pairs and jets are
produced by transitions from non-LSP neutralinos into LSP-neutralinos.
However, the generation off-diagonal signature could be reproduced by such
decays only if generation mixing in the neutralino-slepton-Iepton vertex is size-
able. If a mixing matrix is introduced into the neutralino-slepton-Iepton vertex
the current bounds on the branching ratio BR of transitions r -t l'Y (l=e,J.L),
BR < 0(10- 6 ) [12], set limits on its entries. Applying mass insertion on the
external r-line the relevant expression can be found in [13]. A rough estimate on
the generation mixing may be obtained if one assumes that there are no cance-
Table 1. Visible sneutrino decay channels into the LSP-sneutrino ii~ by exchange of
x± and Zoo
Leptonic: -.It
V.,. ~ r:l:r'f It X:l:,ZU
-h
v.,. ~ 1±1'f It (1= e,J.l) ZO
-h
v.,. ~ r±r±l±l±It (1 = e, J.l) X±
iii ~ r±l'f It (1 = e, J.l) X±
Hadronic: lit
v.,. ~ qqIt ZU
lations between contributions from different neutralino and slepton mass-states

entering the amplitude. For a common SUSY particle mass of 100GeV and for
a bino-dominated neutralino an upper bound on the mixing matrix elements
connecting the third with the first and second generations IUlT I2 < 0(10- 2 ) can
be deduced.
The limit depends on the ratio r = m~o/mf and becomes slightly more
restrictive for smaller values of r. In the limit where r becomes very large no
constraint is obtained, but since it is assumed that one neutralino is the LSP this
case is not of interest. Therefore it seems unlikely that generation off-diagonal
lepton pairs are produced copiously by decaying heavy neutralinos. An additional
possibility to distinguish between the two cases is provided by the different angu-
lar distributions of off-diagonal lepton pairs originating from decaying sneutrinos
and neutralinos.
In the following the partial decay widths of sneutrinos are calculated for
the first time under the assumption that there are no two-body decay channels
kinematically accessible (i. e. the gauginos are heavier than all six sneutrino
states). In the opposite case the final decay products are the same but the total
decay width should be much bigger.
The parameters are chosen in accordance with the results of [7] in order to
assure the viability of sneutrino CDM. Furthermore, it is assumed that the e- and
J.l-sneutrinos have masses between the values of the heavy and light r-sneutrinos,
if they are heavier additional decay channels into the heavier r-sneutrino are
present.
All sneutrinos but the LSP decay via neutralino, chargino and ZO three-body
decays into the lighter r-sneutrino plus fermions (note that there is no Higgs-
mediated channel since the Higgs couples only either to two light or two heavy
sneutrinos). These decay modes are depicted in figure 1. The decay width of the
decay /1m -+ /In + two f ermions is
2
1 1
rtot = -2- 1T
mm (21T )5 -mm
4 2 9 rXo
4('
+ rX+ + rZo + rXoZo + rX+ Zo
I I I ')
.
Note that there is no interference between chargino and neutralino contributions

for any final state. The expressions for the various contributions can be found
in [14].
Provided the escaping fermions being not too soft to be detected the ex-
pected signatures are listed in table. The visible channels consist of one or more
Table 2. Partial decay widths in eV for the transitions ve ,/1- -+ v~sP when two-body
transitions are kinematically excluded. The mass splitting of the T-sneutrinos is taken
to be 10GeV, the mass of v~sP is 70GeV, the masses of the e- and j.L-sneutrinos are
75GeV and their mass-splitting has been neglected. The different ratios are M 1 = M 2
(A), Ml = (5ay /3aw )M2 (B), M1 = -(5ay /3aw )M2 (C) and M 1 = -(ay law )M2
(D). "I)) ("II))) stands for j.L=100 (-100) GeV, "a)) ("b))) stands for tanj3=2 (40). M2 is
given in GeV. The parameters and in particular the ratios MIl M 2 have been chosen
in accordance with [7]: for these parameters v~sP has a relic abundance sufficient to
account for the CDM. r x - (rxQ) denotes the chargino- (neutralino-) mediated channel.
If the e- and j.L-sneutrinos are heavier than v~ an additional decay channel of the
former into the latter is open. The cases where the lightest neutralino is lighter than
the decaying sneutrinos have been omitted.
r y- ryQ myQ ryQ myQ
M2 = 400 - - 77.1 - 69.9 Ia

0.133 1.217 86.9 23.20 82.5 Ib
0.032 0.248 97.6 2.165 96.6 IIa
0.114 A 0.943 88.2 B 14.29 84.1 IIb
M2 = 800 0.009 0.094 89.5 1.036 86.5 Ia
0.006 0.041 94.0 0.348 92.3 Ib
0.003 0.021 98.9 0.152 98.5 IIa
0.006 0.038 94.6 0.311 93.0 IIb
M2 = -400 0.032 3.480 95.1 - 74.5 Ia
0.114 2.354 93.5 185.2 82.1 Ib
0.540 1.418 87.7 19.30 89.8 IIb
0.133 C 2.227 92.8 D 126.1 83.4 lIb
M2 = -600 0.008 0.411 99.2 10.09 89.3 Ia
0.020 0.331 96.4 49.52 93.4 Ib
0.039 0.250 93.1 2.334 94.9 IIa
0.022 0.321 96.0 4.522 94.0 IIb
lepton pairs or jets and missing momentum. Each decaying sneutrino possesses
individual characteristics. The transitions ve,J.' are background-free on tree-level,
whereas the transition ii~ -+ ii~sP r±r'f + II is simulated by the decay of a
heavier into a lighter neutralino which subsequently decays into ii~sP v. How-
ever, in this case the leptons possess another angular distribution. Hence, for
ii; being the LSP initially produced sneutrinos result in a signal which allows
for each visible event to track the flavour of the decaying sneutrino, deduce its
mass using missing momentum and therefore pin down their properties e.g. in
e+e- -+ iil iil.
For the example parameters used in tables 2,3 in the case of decaying heavy
r-sneutrinos the branching ratio of the visible decay channels is about 50%, the
rest being invisible neutrino final states from neutralino- and ZO-exchange. The
contribution of the ZO-channel is constant and in particular the width into the
remaining visible hadronic and fermionic states is rather = 21.850eV. The total
Table 3. Partial decay widths reT,T'r into final states containing T'S in eV for the
transitions ii~ -+ iifsp for the parameters defined in table 2. reT denotes the (chargino-
mediated) width into a e±T'F -pair (r"T ~ reT), r TT is the (chargino- and ZO-mediated)
width containing T±T'F -pairs in the final state and r tot is the total width (when two-
body transitions are kinematically excluded). The contribution of the ZO-channel is
constant and in particular the width into the remaining visible hadronic and fermionic
states is rotheT = 21.850eV. The total visible width is rotheT + r TT + reT + r"T ~
22eV - 23eV.
reT r TT Ttot Ttot

M z = 400 - - - - Ia
0.195 0.956 47.261 84.052 Ib
0.037 0.166 42.748 48.603 IIa
0.160 0.613 A 46.043 B 70.691 lIb
Mz = 800 0.013 0.777 42.379 46.191 Ia
0.009 0.955 42.083 43.952 Ib
0.003 1.359 42.213 43.341 IIa
0.008 9.931 42.0797 43.819 lIb
Mz = -400 0.374 0.166 51.508 - Ia
0.160 0.613 49.738 280.64 Ib
1.917 18.315 68.619 99.441 IIa
0.195 0.956 C 49.853 D 212.69 lIb
M z = -600 0.009 0.895 44.163 64.086 Ia
0.027 0.362 43.317 56.409 Ib
0.068 0.078 42.728 48.970 IIa
0.030 0.309 43.225 53.735 lIb
visible width is (rer ~ rJ1.r)
rather + rrr + ·rer + rJ1.r ~ 22eV - 23eV .

Due to destructive interference of the chargino- and ZO-mediated channels for
the parameters chosen the TT-final state typically makes up only a few percent
of the visible channels. An exception is the case C/D, M 2 = -400, IIa. The [1'-
channel accounts roughly for 0.1% to 1% of the visible events. About 10% of the
vi decay themselves into the visible state (see table 2). Hence, for the projected
LC-Iuminosity of the TESLA project of 300 (fb· y)-l [15] and a sneutrino pair
production cross-section of O(100fb) (for mji ,...., O(100GeV)) about ten events
containing a single-sided two-acoplanar [±r'f -pair may be expected per year.
The situation is different for the decays of e- and p.-sneutrinos. The ZO-
channel does not contribute (in the absence of mixing in generation space) and
rvis=rlr' For most of the parameters relevant for sneutrino CDM the visible
partial decay width is of order 10% so that for the integrated luminositity 50
(fb· y)-l and a sneutrino pair production cross-section of O(100fb) (for mji ,....,
O(100GeV» several hundred visible sneutrino decay events containing a T±['f-
pair are expected. Such a signal would be a clear hint for vfsP. On the other
hand, in the case M1 = M2/2 for high M2 the visible width is negligible: r vis ~
1O- 10 eV, rxo ~ 1O- 2 eV.
In conclusion, the LSP being a sneutrino changes the signals expected for
the decays of sparticles considerably in comparison with the case of a neutralino
LSP. For the cosmologically interesting case of sneutrino CDM sneutrinos have
to violate L and only the lighter r-sneutrino can account for the CDM. In this
case final sparticle-decay states are expected to frequently contain generation-
diagonal fermion-pairs (which are present for a neutralino LSP as well) and in
particular r±Z=!:-pairs (l=e, J.l-) which would provide a clear signal for sneutrino-
LSP. The latter ones are not present for a neutralino LSP. In the case that all
sneutrino states are lighter than the neutralinos in most of the range of interest
for sneutrino CDM the partial decay widths into the visible final states are of
order 10% of the total decay width for decaying i/e,J1. and 50% for decaying i/~ of
the total decay width producing hundreds of events at e.g. the NLC. It therefore
should be possible to settle the question of the sneutrino being CDM at such a
facility.
References
1. For a phenomenological overview and references see e.g. H.E. Haber and G.L.
Kane, Phys. Rep. 111 (1985) 75.
2. M. Hirsch, H.V. Klapdor-Kleingrothaus and S. Kovalenko, Phys. Lett. B 403
(1997) 291.
3. Y. Grossmann and H.E. Haber, Phys. Rev. Lett. 18 (1997) 3438.
4. R.N. Mohapatra and P.B. Pal, Massive Neutrinos in Physics and Astrophysics, World
Scientific (1991); H.V. Klapdor-Kleingrothaus and A. Staudt, Non-accelerator Par-
ticle Physics, lOP (1995); H.V. Klapdor-Kleingrothaus and K Zuber, Particle As-
trophysics, lOP (1997).
5. M. Hirsch, H.V. Klapdor-Kleingrothaus and S. Kovalenko, Phys. Rev. D 51 (1998)
1947.
6. M. Hirsch, H.V. Klapdor-Kleingrothaus, St. Kolb and S. Kovalenko, Phys. Rev. D
51 (1998) 2020.
7. L.J. Hall, T. Moroi and H. Murayama, Phys. Lett. B 424 (1998) 305.
8. See e.g. corresponding contributions in H.V. Klapdor-Kleingrothaus and I.
Krivosheina (eds.), Proc. Int. Workshop Beyond the Desert 1999, Castle Ringberg,
Germany, lOP (2000) and references therein.
9. L.E. Ibanez, Phys. Lett. B 131 (1984) 160; J.S. Hagelin, G.L. Kane and S. Raby,
Nucl. Phys. B 241 (1984) 638.
10. T. Falk, KA. Olive and M. Srednicki Phys. Lett. B 339 (1994) 248.
11. H.V. Klapdor-Kleingrothaus, St. Kolb and V.A. Kuzmin, Phys. Rev. D 62 (2000)
035014.
12. C. Caso et al., Bump. Phys. J. C 3 (1998) 1.
13. R. Barbieri, L. Hall and A. Strumia, Nucl. Phys. B 445 (1995) 219.
14. St. Kolb, M. Hirsch, H.V. Klapdor-Kleingrothaus and O. Panella, Phys. Lett. B
418 (2000) 262.
15. A. Wagner, Nucl. Phys. B (Pmc. Supplement) 19 (1999) 643.
Searching for Supersymmetric Dark Matter-
the Directional Rate for Caustic Rings
J.D. Vergados
Theoretical Physics Division, University of Ioannina, GR-451l0, Greece

E-mail:Vergados@cc.uoi.gr
Abstract. The detection of the theoretically expected dark matter is central to par-
ticle physics and cosmology. Current fashionable supersymmetric models provide a
natural dark matter candidate which is the lightest supersymmetric particle (LSP).
The theoretically obtained event rates are usually very low or even undetectable. So
the experimentalists would like to exploit special signatures like the directional rates
and the modulation effect. In the present paper we study these signatures focusing on
a specific class of non-isothermal models involving flows of caustic rings.
1 Introduction
In recent years the consideration of exotic dark matter has become necessary in
order to close the Universe [1]. Recent data from the High-z Supernova Search
Team [2] and the Supernova Cosmology Project [3]' [4] suggest the presence of
a cosmological connstanta A. In fact the situation can be adequately described
=
by a barionic component [}B 0.1 along with [}CDM =
0.3 and [}A 0.6 (see =
also Turner, these proceedings).
Since this particle is expected to be very massive, m x ~ 30GeV, and ex-
tremely non relativistic with average kinetic energy T :S lOOK eV, it can be
directly detected [5t [6] mainly via the recoiling nucleus.
Using an effective supersymmetric Lagrangian at the quark level, see e.g.
Jungman et al [1] and references therein, a quark model for the nucleon [7,10]
and nuclear wave functions [6] one can obtain the needed detection rates. They
are typically very low. So experimentally one would like to exploit the modulation
of the event rates due to the earth's revolution around the sun. In our previous
work [8]' [9] we found enhanced modulation, if one uses appropriate asymmetric
velocity distribution. The isolated galaxies are, however, surrounded by cold
dark matter, which, due to gravity, keeps falling continuously on them from all
directions [11]. It is the purpose of our present paper to exploit the results of
such a scenario.
2 The Basic Ingredients for LSP Nucleus Scattering

The differential cross section can be cast in the form [9]:
du - - v2 2 -
da(u, v) = 2(J.Lr bv )2 [( 175 + 17v c2 ) F (u) + 17spinFll (u)] (1)
284 J. D. Vergados
r. spin (
L.lspin = (Jp,Xo spin
-
Ev = (Jp,Xo
V
(V (5)
(V = (/Lr/m~)2 A2 (1- f~ A - 2Z )2[(0)2[1_ 1 21/ + 1 (2u )] (6)

(1 + -*)2 f~ A c (2/Lrb)2 (1 +1/)2 (v 2 )
Iv
(J;,x o = proton cross-section with i = 5, spin, V given by:
(J;'x o = (JO U~)2 (scalar) , (the isovector scalar is negligible, i.e. (J: = (J~)
(J;~~~ = (JO 3 U1 + f1)2 (spin) , (J~xo = (Jo U~ + g)2 (vector)
where m p is the proton mass, 1/ = mx/mNA, and /Lr is the reduced mass and
1
(Jo = 27r(G 38
F m N )2::: 0.77 x 1O- cm
2
(7)
22 1
U = q b /2 or Q = Qou, Qo = Am b2 (8)
N
where b is (the harmonic oscillator) size parameter, q (Q) is the momentum
(energy) transfer to the nucleus. In the above expressions F(u) is the nuclear
form factor and Fpp'(u) are the spin form factors [6] (p,p' are isospin indices)
The differential non-directional rate can be written as
p(O) m
dR = dRnon-dir = -
m
- Ad(J(u,v)lvl
mN
(9)
x
where p(O) = 0.3GeV/cm 3 is the LSP density in our vicinity and m is the
detector mass
The directional differential rate [12] in the direction e is given by :
1
dRdir = p(O) Am v.eH(v.e) 2 d(J(u, v) (10)
m x mN 7r
where H the Heaviside step function. The factor of 1/27r is introduced, since we
have chosen to normalize our results to the usual differential rate.
We will now examine the consequences of the earth's revolution around the
sun (the effect of its rotation around its axis is expected to be negligible) i.e. the
modulation effect.
Following Sikivie we will consider 2 x N caustic rings, (i,n) , i=(+.-) and
n=I,2, ...N (N=20 in the model of Sikivie et al), each of which contributes to the
local density a fraction Pn of the the summed density P of each type i = +,-.
and has velocity Yn = (Ynx, Yny, Ynz) , in units of vo = 220 K m/ s, with respect
to the galactic center.
Searching for Supersymmetric Dark Matter 285
We find it convenient to choose the z-axis in the direction of the motion of

the the sun, the y-axis is normal to the plane of the galaxy and the x-axis is in
the radial direction. The needed quantities are taken from the work of Sikivie
(table 1 of last Ref. [11]) by the definitions Yn = vn/vo,Ynz = vn</>/vo,Ynx =
Vnr/VO,Yny = vnz/vo . This leads to a velocity distribution of the form:
N
f(d) = L 8(v' - Vo Yn) (11)
n=1
The velocity of the earth around the sun is given by [6].
VB = Vo + VI = Vo + VI (sino: x - coso: cos, y + coso: sin, z) (12)
where 0: is the phase of the earth's orbital motion, 0: = 0 around second of June.
In the laboratory frame we have [9] V = v' - VB
3 Event Rates
Integrating Eq. (9) we obtain for the total non-directional rate
- 2p
R = R t p(O) [1 - h(a, Qmin)COSO:] (13)
The integration was performed fromu = mmin to u = Umax , where

2 2
Q . (Yesc (Yn) ,n = 1, 2, ... , N)
Umin = - min
Q ,U max = mzn - 2 ,max 2 (14)
° a a
Here Yesc = ~, with vescape = 625K m/ s is the escape velocity from the galaxy.
Qmin is the energy transfer cutoff imposed by the detector and a = [\,/'2JLrbvotl.
Also Pn = dn/p,p = 2:::=1 dn (for each flow +,-). In the Sikivie model [11]
2pjp(O) = 1.25. R is obtained [5] by neglecting the folding with the LSP velocity
and the momentum transfer dependence, i.e. by
2
- p(O) m JT::?\ - - (v ) -
R =-
m
- A V (v 2)[Es + E spin + - 2 Ev] (15)
xmN C
and it contains all SUSY parameters except m x The modulation is described

in terms of the parameter h. The effect of folding with LSP velocity and the
nuclear form factor is taken into account by t (see table 1)
There are now experiments under way aiming at measuring directional rates
, Le. the case in which the nucleus is observed in a certain direction. The rate
will depend on the direction of observation, showing a strong correlation with
the direction of both the sun's and the earth's motion. In the favorable situation
the rate will merely be suppressed by about a factor of 27r relative to the non-
directional rate. This is due to the fact that one does not now integrate over the
azimuthal angle of the nuclear recoiling momentum.
286 J. D. Vergados
Table 1. The quantities t and h entering the total non-directional rate in the case
of the target 531 127 for various LSP masses and Qmin in KeV. Also shown are the
quantities r}, h} i = u, d and j = x, y, Z, C, 5, entering the directional rate for no energy
cutoff. For definitions see text.
LSP mass in GeV
Quantity Qmin 10 30 50 80 100 125 250
t 0.0 1.451 1.072 0.751 0.477 0.379 0.303 0.173

h 0.0 0.022 0.023 0.024 0.025 0.026 0.026 0.026
U
rz 0.0 0.726 0.737 0.747 0.757 0.760 0.761 0.761
U
ry 0.0 0.246 0.231 0.219 0.211 0.209 0.208 0.208
U
rx 0.0 0.335 0.351 0.366 0.377 0.380 0.381 0.381
hUz 0.0 0.026 0.027 0.028 0.029 0.029 0.030 0.030
hUy 0.0 0.021 0.021 0.020 0.020 0.019 0.019 0.019
h~ 0.0 0.041 0.044 0.046 0.048 0.048 0.049 0.049

hcU
0.0 0.036 0.038 0.040 0.041 0.042 0.042 0.042
hsU
0.0 0.036 0.024 0.024 0.023 0.023 0.022 0.022
d 0.253 0.243 0.240 0.239 0.239
rz 0.0 0.274 0.263
d 0.011 0.008 0.007 0.007 0.007 0.007
ry 0.0 0.019
r~ 0.0 0.245 0.243 0.236 0.227 0.225 0.223 0.223
h~ 0.0 0.004 0.004 0.004 0.004 0.004 0.004 0.004
d
hy 0.0 0.001 0.000 0.000 0.000 0.000 0.000 0.000
h~ 0.0 0.022 0.021 0.021 0.020 0.020 0.020 0.020

d
hc 0.0 0.019 0.018 0.018 0.017 0.017 0.017 0.017
hds 0.0 0.001 0.001 0.000 0.000 0.000 0.000 0.000
t 10.0 0.000 0.226 0.356 0.265 0.224 0.172 0.098

h 10.0 0.000 0.013 0.023 0.025 0.025 0.026 0.026
t 20.0 0.000 0.013 0.126 0.139 0.116 0.095 0.054

h 20.0 0.000 0.005 0.017 0.024 0.025 0.026 0.026
Searching for Supersymmetric Dark Matter 287
We need distinguish the following cases: a) e has a component in the sun's

direction of motion, Le. 0 < 8 < 1r/2, labeled by i=u (up). b) Detection in the
opposite direction, 1r/2 < 8 < 1r, labeled by i=d (down). Thus we find:
1. In the first quadrant (azimuthal angle 0 ~ </> ~ 1r/2).
. - 2p t· .
Rdir = Rp(O) 21r[(r~ - cos a hi)ez.e
· . hi
+ (r~ + cosah; + 2c (Icosal + cosa))ley.el
· . hi
+ (r~ - sinaha+ 28 (Isinal- sina))lex.el] (16)
2. In the second quadrant (azimuthal angle 1r/2 ~ </> ~ 1r)

. - 2p t · .
R dir = R p(O) 21r [(r~ - cos a hi)ez.e
. . hi
+ (r~ + cosah;(u) + 2c (Icosal - cosa))ley.el
+ (r~ + sinah; + i (Isinal + sina))lex.el] (17)
3. In the third quadrant (azimuthal angle 1r ~ </> ~ 31r/2).

. - 2p t · .
Rdir = Rp(O) 21r[(r~ - cos a hl)ez.e
. . hi(u)
+ (r~ - cosah;(u) + T(lcosal- cosa))ley.el
+ (r~ + sinaH~ + ~~ (Isinal + sina))le",.el] (18)
4. In the fourth quadrant (azimuthal angle 31r/2 ~ </> ~ 21r)

. - 2p t · .
R dir = R-() -[(r~ - cos a hl)ez.e
pO 21r
· . hi
+ (r~ - cosah; + 2c (Icosal - cosa))ley.el
+ (r~ - sinah; + i (Isinal- sina))lex.ell (19)
4 Conclusions
We have calculated the parameters describing characteristic signatures needed to
reduce the formidable backgrounds in the direct detection of SUSY dark matter,
such as : a) The modulation effect, correlating the rates with the motion of the
Earth and b) The directional rates, correlated with both with the velocity of the
sun and that of the Earth (see table 1).
288 J. D. Vergados
We have focused on the LSP density and velocity spectrum obtained from a
recently proposed non-isothermal model, involving caustic rings [11]. Our results
for isothermal models have appeared elsewhere [8,9].
The quantities t and h are given in table 1. We see that the maximum in
this model does not occur around June 2nd, but about six months later. The
difference between the maximum and the minimum is about 4%, i.e. smaller
than that predicted by the asymmetric isothermal models [8,9].
For the directional experiments we found that the biggest rates are obtained
close to the direction of the sun's motion. They are suppressed compared to
the usual non-directional rates by the factor fred = ",j(27r) , '" = u~. We find
'" ~ 0.7, i = up (observation in the sun's direction of motion) while '" ~ 0.3,
i = down ( in the opposite direction). The modulation is a bit larger than in
the non-directional case. The largest difference between the maximum and the
minimum, 8%, occurs not the sun's direction of motion, but in the x-direction
(galactocentric direction).
In the case of the isothermal models the reduction factor along the sun's
direction of motion is now given fred = toj(47r t) = ",j(27r). Using the values
of to obtained previously [9], we find that", is around 0.6 for the symmetric
case and around 0.7 for maximum asymmetry (A = 1.0). The modulation of the
directional rate depends on the direction of observation. It is generally larger and
increases with the asymmetry parameter A. For Qmin = 0 it can reach values up
to 23%. Values up to 35% are possible for large Qmin, but at the expense of the
total number of counts [9J.
Finally in all cases t deviates from unity for large reduced mass. Thus when
extracting the LSP-nucleon cross section from the data one must divide by t.
Acknowledgments: The author happily acknowledges partial support of this
work by TMR No ERB FMAX-CT96-0090 of the European Union.
References
1. For a recent review see e.g.
2. A.G. Riess et aI, Astron. J. 116 (1998), 1009.
3. RS. Somerville, J.R Primack and S.M. Faber, astro-ph/9806228; Mon. Not. R
Astron. Soc. (in press).
4. S. Perlmutter et aI, Astrophys. J., 517, (1999) 565;
S. Perlmutter, M.S. Turner and M. White, Phys. Rev. Let. 83,670 (1999).
5. J.D. Vergados, J. of Phys. G 22, 253 (1996).
6. T.S. Kosmas and J.D. Vergados, Phys. Rev. D 55, 1752 (1997).
7. M. Drees and M.M. Nojiri, Phys. Rev. D 48, 3843 (1993); Phys. Rev. D 47,4226
(1993).
8. J.D. Vergados, Phys. Rev. Let. 83, 3597 (1999)
9. J.D. Vergados, Phys. Rev. D62 (2000) 023519-1 ;astro-ph/0001190
10. T.P. Cheng, Phys. Rev. D 382869 (1988); H -Y. Cheng, Phys. Lett. B 219347
(1989).
11. P. Sikivie, I. Tkachev and Y. Wang Phys. Rev. Let. 75, 2911 (1995; Phys. Rev. D
56, 1863 (1997); P. Sikivie, Phys. Let. b 432, 139 (1998); astro-ph/9810286
12. C.J. Copi, J. Heo, and L.M. Krauss, Phys. Lett. 461 B, (1999)43.
Primordial Black Holes as Dark Matter
Karsten Jedamzik
Max-Planck-Institut fur Astrophysik, Karl-Schwarschild-Str. 1, 85740 Garching,

Germany
Abstract. Primordial black holes (PBHs) may readily form during the radiation dom-
inated stages of the universe from the gravitational collapse of horizon-size energy den-
sity fluctuations of moderate amplitude. PBH formation is particularly efficient during
a cosmic QCD transition, due to a generic decrease in pressure forces. This allows for
a primordial black hole mass function which is peaked close to the QCD horizon scale,
Mh ~ 2M0 (Tc /100MeV)-2, where T c is the cosmic QCD phase transition temper-
ature. Such formed PBHs are a viable cold dark matter candidate and may offer an
explanation for the results of microlensing surveys, as performed by the MACHO and
EROS collaborations, that a fraction of the galactic halo dark matter may be in form
of compact massive objects. It may well be that MACHO and EROS have only de-
tected the low-mass tail of a PBH population comprising the dark matter with a mass
function extending beyond Mbh > 2M0 . Observational signatures and constraints of
cosmic solar mass PBH dark matter are discussed.
1 PBR Formation During the QeD Epoch

It is long known that only moderate deviations from homogeneity in the early
universe may lead to abundant production of PBH's from radiation [1]. For a ra-
diation equation of state (i.e. p = p/3, where p is pressure and p is energy density)
there is approximate equality between the cosmic Jeans-, MJ, and horizon-, M h ,
masses. The ultimate fate of an initially super-horizon density fluctuation, upon
horizon crossing, is therefore determined by a competition between dispersing
pressure forces and the fluctuation's self-gravity. For fluctuation overdensities
exceeding a critical threshold at horizon crossing (fJp/ p)hc ~ fJ~D ~ 0.7 [2] for-
mation of a PBH with mass Mpbh ......, Mh results.
The universe must have passed through a color-confinement quantum chro-
modynamics (QeD) transition at cosmic temperature T ~ 100MeV. Recent lat-
tice gauge simulations indicate that the transition between a high-temperature
quark-gluon phase and a low-temperature hadron phase may be of first order [3],
even though such simulations are still plagued by limited resolution and prob-
lems to account for finite strange quark mass. A first order phase transition is
characterized by coexistence of high- and low-temperature phase at coexistence
temperature T e . Both phases may exist in pressure equilibrium, P~g = p~ but
with different and constant (at Tc ) energy densities, P~g - p~ = L, where L is
the latent heat. During phase coexistence adiabatic expansion of the universe
causes a continuous growth of the volume fraction occupied by hadron phase
(1 - fqg), on the expense of quark-gluon phase, such that through the release
290 Karsten Jedamzik
of latent heat the universe is kept at Te . The transition is completed when all
space is occupied by hadron phase.
Consider a volume element of mixed quark-gluon- and hadron phase- dur-
ing phase coexistence. Provided a typical length scale of the volume element is
much larger than the mean separation between quark-gluon and hadron phase
(i.e. the mean hadron- or quark-gluon- bubble separation, Is) one may regard the
volume element as approximately homogeneous. The average energy density of
the volume element is (p) = p~ + fqgL and continuously varies with the change
of fqg, whereas pressure remains constant, P = p~. Upon adiabatic compres-
sion of mixed quark-gluon/hadron phase there is therefore no pressure response,
v;ff = V(8p/8(p))s = 0 [4J. Of course, the pressure response may only vanish
if thermodynamic equilibrium is maintained. For rapid compression time scales
or small compression amplitudes this may not be the case, whereas it is antici-
pated that approximate thermodynamic equilibrium applies over a Hubble time
and order unity compression factors. During phase coexistence the universe is
effectively unstable to gravitational collapse for all scales exceeding Is. Note that
a vanishing of v;!!, which was independently discovered by [5J, may also have
interesting non-gravitational effects on density perturbations.
These considerations have led me [4J to propose PBHs formed during the
QeD epoch from pre-existing initially superhorizon density fluctuations, such as
leftover from an early inflationary period of the universe, as a candidate for non-
baryonic dark matter. Fluctuations crossing into the horizon during the QeD
epoch experience a significant reduction of pressure forces over that regime of
the fluctuation which exists in mixed phase. Since the PBH formation process
is a competition between self-gravity and pressure forces, and V s = 1/V3 is
constant during most other radiation dominated epochs, the threshold for PBH
formation should be smaller during the QeD epoch than during other early eras,
b~CD < b~D. Only a slight favor for PBH formation during the QeD epoch may
effectively lead to the production of PBH on only the approximate QeD horizon
mass scale M~CD ~ 2M0 (Te /lOOMeV)-2. This holds true for strongly declining
probability distribution functions for the pre-existing fluctuation overdensities.
For example, assuming Gaussian statistics, PBH formation is dominated for
bp/ p in the range be and be + (J'2/b e , where (J' is the variance of the Gaussian
distribution. This range is very small, (J'2 / be::: 10- 2 , if PBH mass density is not
to exceed the present closure density, [lpbh::: 1. For [lpbh ~ 1 PBH formation
during the QeD epoch is also a very rare event with only a fraction", 10- 8 of
horizon volumes collapsing to black holes.
The possible production of PBH during the QeD epoch is not a completely
new suggestion. In fact, in the mid seventies it was believed that a QeD era was
characterized by an ever-increasing production of massive hadronic resonances.
Such a " soft" (i.e. almost pressure-less) Hagedorn era was argued to be suspect
since overproduction of primordial black holes seemed likely [6J. In the eighties
it was argued that the long-range color force could lead to the generation of
subhorizon density fluctuations which in turn could collapse to planetary sized
PBHs [7]. Nevertheless, the simple properties of mixed phase during a cosmic
Primordial Black Holes 291
first-order transition and their possible implications for PBH formation on the
QeD horizon mass scale have so far been overlooked.
2 Theoretical Predictions for QeD PBH Scenarios

It is valuable to advance the initial suggestion of possible abundant production of
PBH during the QCD epoch to a complete and predictive scenario. I outline here
to which degree this may be accomplished and briefly describe the theoretical
issues in QCD PBH scenarios.
2.1 Threshold Reduction
Results of numerical simulations of the PBH formation process [8] confirm the
reduction of PBH formation threshold, oc,
during first-order phase transitions.
Figure 1 shows Oc as a function of the epoch when fluctuations cross into the
horizon. The epoch is labeled by the average cosmic energy density, Po(to), at
fluctuation horizon crossing time, to. The calculation assumes the occurance of
a first-order phase transition between average cosmic energy densities Pc and
Pc/2. In this energy density regime pressure p(p) is assumed to be constant. If
the transition is to be associated with a first-order QCD phase transition these
parameters correspond to p~9 = Pc , p~ = pcl2 , and L = 2p~. It is evident that
0.7
065
"Ou 0.6
055
0.1 1 10
Tho = Po(lo)/Po
Fig. 1. The PBH formation threshold as a function of the fluctuation horizon crossing
"time" The = po(tO)/Pe [8], where po(to) is the average cosmic energy density at horizon
crossing and pc is the energy density at the onset of a first-order phase transition. See
text for details.
the required overdensity for PBH formation is reduced for fluctuations crossing
into the horizon close to the onset of the transition. For The » 1 or « 1 the
threshold approaches t5 e -+ t5~D, whereas for The::::: 1 it is approximately t5~CD.
For fluctuations entering the horizon during the QCD epoch one typically finds
the evolution of the fluctuation into two different spatial regimes. An inner part
of the fluctuation exists in pure guark-gluon phase p > P~g surrounded by an
outer part existing in pure hadron-phase p < p~. The enhanced density in the
inner part of the fluctuation assists the collapse to a PBH. This is in contrast to
PBH formation during simple radiation dominated eras, where the fluctuation's
density distribution is continuous. A latent heat of L/ p~ ::::: 2 seems appropriate
for the QCD transition. A canonical bag model with total statistical weights of
9qg = 51.25 and 9h = 17.25 for quark-gluon- and hadron- phases [9], respectively,
predicts even larger L/ p~ = 2.63, whereas lattice simulations may favor smaller
L [10]. It is not clear if the QCD transition is indeed of first order. For higher
order QCD transitions threshold reduction is still very likely but would have
to be verified by using accurate p(T), p(T), and vs(T) determined from lattice
gauge simulations. Due to the duration of the QCD transition, L/ p~ ,...., 1, one
expects threshold reduction which will always be of order unity.
2.2 Mass Function
A crucial prediction of a QCD PBH dark matter scenario is the average QCD
PBH mass. To a good zero-order approximation PBH masses in a scenario of
collapse of fluctuations upon horizon crossing are given by the horizon mass at
the epoch of collapse. There is seemingly approximate agreement of the QCD
horizon mass scale M~CD ::::: 2M0 (Te /l00MeV)-2 and the inferred masses of
compact objects in the galactic halo by the MACHO and EROS collaborations,
M ,...., 0.5M0 , a fact which seems quite intriguing. Nevertheless, there still remain
large uncertainties in the prediction for average QCD PBR mass, (M~~D). The
QCD equation of state, order of the transition, and transition temperature are
as yet not precisely determined. The transition temperature may fall somewhere
in the range 200 MeV;:: T e ;:: 50 MeV implying a factor sixteen uncertainty in
M~CD, and equally large uncertainty in (M~~D). Assuming a first order transi-
tion, (M~~D) may also depend on L and the equation of states above, and below,
the transition point. An accurate determination of (M;t~D) requires detailed and
reliable lattice gauge simulation data. Approximate trends may be obtained by
using a bag equation of state. A PBR mass function, as well as (M~~D), is
obtained by convolving the distribution function for density contrast of the pre-
existing density perturbations, t5 = t5p/ p, with a relation associating final PBR
mass, M pbh (t5), with density contrast. For PBH formation during epochs with a
simple radiation dominated equation state this relation Mpbh(O) has been deter-
mined [11], whereas the equivalent relation in the QCD equation of state case
is yet unknown [8]. In any case, the average PBR mass, as well as the mass
function, are thus also dependent on the statistics of the pre-existing density
perturbations and in the absence of a knowledge of this statistics on the scales
relevant for QCD PBH formation detailed predictions seem unfortunately hard
to achieve. It may be that a QCD PBH mass function would be fairly broad
extending over orders of magnitude in mass, in particular, if the pre-existing
density perturbations exhibit an extended non-Gaussian tail.
2.3 Contribution to n pbh

The contribution of QCD PBHs to the closure density at the present epoch is de-
pendent on the fraction of space which is overdense by more than 8~CD. COBE
normalized, exactly scale-invariant (n = 1) Gaussian power spectra, imply negli-
gible PBH production. Gaussian blue spectra with 1.37 :::; n :::; 1.42 predict Dpbh
in QCD PBHs in the range 10- 5 to 103 [12], though such spectra seem to be in
conflict with recent observations of the cosmic microwave background radiation
anisotropies by the BOOMERANG and MAXIMA balloon experiments [13]. It
should be stressed though that these observations are far from a direct determi-
nation of the primordial density perturbations on the QCD horizon scale, rather,
conclusions based on spectral indices involve extrapolation by many orders of
magnitude. Since only an exceedingly small fraction of horizon volumes need
to collapse during the QCD epoch in order to obtain large Dpbh at late times,
density perturbations with an exactly scale-invariant, COBE normalized power
spectrum, but with a non-Gaussian, skew-positive distribution tail, seem an at-
tractive possibility for the formation of QCD PBH dark matter. Nevertheless, it
is not clear why Dpbh rv 1 should result, such that scenarios to form QCD PBH
dark matter have been critizised to suffer from fine-tuning.
2.4 Accretion Around Recombination

It is long known that black holes may efficiently accrete after the epoch of re-
combination (14). Whereas accretion does not appreciably change the black hole
masses, conversion of accreted baryon rest mass energy into radiation may pro-
duce substantial radiation backgrounds. The presently observed X-ray and/or
UV backgrounds may be incompatible with a population of PBHs with mass
Mpbh > 10 M 0 and D pbh > 0.1 [14], but a population of Mpbh rv IM0 PBHs
4
with large Dpbh should be consistent with these backgrounds. Recently, it has
been suggested that UV radiation given off shortly after recombination by ma-
terial accreting on compact objects may induce an early reionization of the uni-
verse [15], thereby increasing the optical depth T for cosmic microwave back-
ground photons (CMBR) between redshift z ~ 1100 and z = O. Since T is
observationally constrained this could result into limits on the abundance of
such compact objects. Though such limits could be potentially stringent, they
depend on details, such as the efficiency with which rest mass is converted into
UV radiation and the angular momentum of accreting material, that they do not
seem conclusive at present. It is also not clear if a delay in the recombination due
to accreting PBHs wouldn't have some observationally desirable features [16].
Finally, accretion of baryons on PBHs shortly before the epoch of recombination
may produce distortions in the blackbody of the cosmic microwave background
radiation. Nevertheless, simple estimates shown that that the resulting black-
body distortions would be below the current FIRAS limit.
2.5 PBH Formation During Other Epochs

Efficient PBH formation during the QCD era may, in principle, imply formation
of PBHs during other epochs as well. For example, during the e+ e- -annihilation
there is a decrease in the speed of sound which may result in a bias to form PBHs
on the approximate horizon scale of this era. Further, for power spectra of the
underlying density distribution characterized by n > 1 QCD PBH formation may
be accompanied by PBH formation at earlier times on mass scales M « M~CD.
It is important to verify that such PBHs do not violate observational constraints
[17].
3 Observational Signatures of QeD PBH Dark Matter

In the following, observational signatures of and constraints on QCD PBH dark
matter are summarized.
3.1 Galactic Halo Microlensing Searches

The results of microlensing searches for compact, galactic halo dark matter by
the MACHO and EROS collaborations [18] provide some motivation for QCD
PBH dark matter. The MACHO collaboration has detected 13-17 microlensing
events in 5.7 years of observations towards the LMC, whereas EROS has ob-
served 3 events. The number of observed events are significantly higher than
expected from known backgrounds. A possible explanation of these observations
is the existence of a population of compact objects in the galactic halo with
approximate masses M ,. . ., 0.5M0 . It is not clear though, if these objects may
actually contribute the bulk of the halo dark matter. For a "standard" halo, and
when all MACHO masses are below ~ 1M0 only a fraction f ~ 0.2 of the halo
may be in form of MACHOS. Nevertheless, for a lighter Milky Way halo and/or
extended MACHO mass functions these conclusions may change, such that f
may increase.
3.2 Quasar Microlensing

The optical depth for microlensing of distant quasars by a cosmic component of
compact, solar mass objects with Dc ,. . ., 1 is remarkably large. In fact, a constraint
of Dc ~ 0.2 for a population of compact objects with masses Me""'" 1M0 has been
derived from observations of broad line radiation- to continuum radiation- flux
ratios of,....., 100 quasars [19]. This limit relies on the assumption that most contin-
uum radiation is emitted from within a compact ~ O.lpc region in the center of
the quasar, whereas the broad line radiation emerges from a much more extended
region around the quasar. The limit is independent of the clustering properties of
the compact objects. There is as yet no conclusive model for quasar variability.
It has thus been proposed that quasar variability is due to microlensing of an
De '" 1 component of compact objects with Me '" 10- 3 M0 [20]. Nevertheless,
long-term observations of the variability of double images of quasars can be used
to constrain the abundance of such small :::'10- 2M 0 mass objects in a distant
galaxy [21].
3.3 Gravitational Wave Detection from PBH Binaries
It has been shown that a fraction 10- 2 - 10- 1 of QCD PBHs may form in PBH
binaries [22]. This value is in rough agreement with the fraction of binaries ob-
served by the MACHO collaboration. Gravitational waves emitted during PBH-
PBH mergers are above the expected detection threshold for the LIGO /VIRGO
interferometers when occurring within a distance of '" 15Mpc. For galactic halos
consisting exclusively of QCD PBH dark matter with Mpbh '" 0.5M0 this im-
plies that up to a few mergers per year may be detected by the next generation
gravitational wave interferometers [22]. It is particularly encouraging that the
gravitational wave signal is sensitive to the masses of PBH within the binary.
One may hopefully also distinguish between neutron star and black hole binaries.
Establishing the existence of black holes with masses well below the upper mass
limit for neutron stars may strongly argue in favor of primordial black holes.
3.4 Galactic Disk Accretion
Limits may be placed on galactic halo PBH number densities by the accretion
induced radiation which may be observed when a halo PBH passes through the
galactic disk in the solar vicinity [23]. Nevertheless, even the'" 108 objects which
will be observed within the Sloan Digital Sky Survey will not provide sufficient
statistics to establish, or rule out, an all QeD PBH halo with masses as small
as '" IM0 .
4 Conclusion
QCD PBHs are a dark matter candidate offering a possible explanation for the
observations of the MACHO and EROS collaborations of a number of microlens-
ing events towards the LMC. The existing bias to form PBHs during the QCD
transition, as well as the approximate equality between the resulting PBH masses
and the inferred microlens masses seem intriguing. These observations could have
detected the low-mass tail of an extended PBH mass function comprising the
halo dark matter. Nevertheless, the inferred mass scales of the microlenses are
also close to those of ordinary stars, suggesting less "exotic" explanations of the
observations. Though, a halo abundantly populated with red dwarfs or white
dwarfs seems to be ruled out [24], there are other, cosmologically less interesting
explanations ofthe MACHO/EROS observations, such as a thick LMC disk (for
a review cf. [25]). I have outlined here to which degree accurate predictions for
the properties of QeD PBH dark matter may be made. Most uncertain is the
n
contribution to of such objects since it relies on knowledge about the under-
lying density perturbations on mass scales not accessible to cosmic microwave
background radiation observations. A combination of observational techniques,
such as galactic microlensing searches, quasar microlensing searches, and gravita-
tional wave interferometry may point towards the abundant existence of PBHs.
Ultimately, the unambiguous detection of a black hole well below the maximum
mass for neutron stars may argue strongly for its primordial nature.
References
1. Ya. B. Zel'dovich, J.D. Novikov: Sov. Astron. 10 602 (1967) S. W. Hawking: MN-
RAS 152 75 (1971) B. J. Carr: ApJ 201 1 (1975)
2. J.C. Niemeyer, K Jedamzik: Phys. Rev. D 59 124013 (1999)
3. Y. Iwasaki et al.: Zeit. f. Phys. 11 343 (1996)
4. K Jedamzik: Phys. Rev. D 55 R5871 (1997)
5. C. Schmid, D. J. Schwarz, P. Widerin: PRL 18 791 (1997)
6. G. F. Chapline: Phys. Rev. D 12 2949 (1975)
7. M. Crawford, D. N. Schramm: Nature 298 538 (1982)
8. K Jedamzik, J.C. Niemeyer: Phys. Rev. D 59 124014 (1999)
9. G. M. Fuller, G. J. Mathews, C. R Alcock: Phys. Rev. D 31 1380 (1988)
10. C. DeTar: Nucl. Phys. B 42 73 (1995) T. Blum et al.: Phys. Rev. D 51 5153 (1995)
C. Bernard et al.: Nucl. Phys. B 41 503 (1996)
11. J.C. Niemeyer, K Jedamzik: Phys. Rev. Lett. 80 5481 (1998)
12. C.Y. Cardall, G.M. Fuller: astro-ph/9801103
13. A. Balbi et al.: astro-phj0005124 A.H. Jaffe et al.: astro-phj0007333
14. B.J. Carr, MNRAS 189 123 (1979)
15. M.C. Miller: astro-phj0003176
16. P.J.E. Peebles, S. Seager, W. Hu: Astrophys. J. 539 L1 (2000)
17. A.M. Green, A.R Liddle: Phys. Rev. D 56 6166 (1997)
18. C.F. Alcock et. al.: astro-phj0001272 T. Lasserre et al.: Astron. Astrophys. 355
L39 (2000)
19. J.J. Dalcanton, C.R Canizares, A. Granados, C.C. Steidel, J.T. Stocke: ApJ 424
550 (1994)
20. M.RS. Hawkins: MNRAS 218 787 (1996)
21. J. Wambsganss, RW. Schmidt, W.N. Colley, T. Kundic, E.L. Turner: astro-
phjOO10232
22. T. Nakamura, M. Sasaki, T. Tanaka, KS. Thorne: ApJL 481 L139 (1997) K Ioka,
T. Tanaka, T. Nakamura: Phys. Rev. D 60 083512 (1999)
23. A.F. Heckler, E.W. Kolb: ApJL 412 85 (1996)
24. K Freese, B.D. Fields, D.S. Graff: astro-phj0007444
25. D.S. Graff: astro-phj0005521 E. Kerins: astro-phj0007137
Formation of Primordial Black Holes
by Multi-Winding String Collapse
Michiyasu Nagasawa
Department of Information Science, Faculty of Science, Kanagawa University,

Kanagawa 259-1293, Japan
Electronic address: nagasawa@info.kanagawa-u.ac.jp
Abstract. Primordial black hole formation by cosmic string collapse is reconsidered

when the winding number of the string is larger than the unity. The line energy density
of the multi-winding string becomes greater than that of the single winding string so
that the probability of the black hole formation by the string collapse during the loop
oscillation would be strongly enhanced. Although the production of the multi-winding
defect is suppressed and its number density should be small, the enhancement of the
black hole formation by the large energy density may result in a large number of residual
black holes in the present universe which contributes more to the cosmological energy
density compared to the ordinary string scenario and give more stringent constraint
on the string model.
1 Introduction
Topological defects[1] are considered to be produced in the early universe during

the cosmological phase transitions accompanied by some kinds of symmetry
breaking. They would contribute not only to the experimental investigation of
particle physics models in our universe as a high energy laboratory but also to
the theoretical explanation of various unresolved problems in the standard Big-
Bang cosmology. In this talk, we pay particular attention to a cosmic string and
the dark matter problem which is one of the most important subjects both in
the observational astrophysics and the modern particle cosmology.
A cosmic string is a line-like topological defect which can be characterized
almost by one model parameter, T), the symmetry breaking scale of the phase
transition in which the string is generated. Particularly the line energy density
of the string, j.L, is expressed as
(1)
using T). In the course of the cosmic evolution, the size and number distribution
of the string is believed to obey the scaling model. In the scaling distribution, the
ratio of the energy density of the cosmic string to the cosmological background
energy density should be time independent. The numerical value of this ratio
can be written approximately by
(2)
298 Michiyasu Nagasawa
where M pl is the Planck mass. Note that when 'T/ ....., the grand unification scale,
that is, 1015 - 16 GeV,
GJ-L""" 10- 6 , (3)
which is suitable for the initial seed amplitude of the cosmological structure for-
mation. This is why the GUT scale string has been not only regarded as one of
the possible consequence from some unified theories but also considered to be a
promising candidate of the required density perturbation seed for galaxies and
clusters of galaxies. The viability of such a scenario can be investigated by the
direct comparison between the results of numerical simulations and the various
observational facts such as the galaxy distribution and the cosmic microwave
background radiation fluctuation similarly to other cosmological structure for-
mation scenarios. Although in the literature, the string scenario seems to be
a less promising one than that based on the inflationary epoch, the fact that
there is no established version suggests cosmological defects may have played an
important role in the cosmic evolution history.
In this talk, we concentrate on the constraint on the model parameter in
which the cosmic string is produced using the black hole formation by loop
oscillation. The point which has not been discussed so far is we pay particular
attention to the multi-winding number case.
2 PBHs from Cosmic Strings

In this section, let we briefly review the primordial black hole formation from
oscillating string loops.
Black holes are one of the most exciting consequence of the general relativis-
tic gravitation theory and their astrophysical and cosmological influences have
been investigated by many people. Although the conventional source of their
production is the gravitational collapse of astronomical bodies, the primordial
formation in the early universe is also an interesting and important issue which
is worth to be studied in detail.
Particularly the black holes whose mass is ::: 10 15 g have the life-time which
is comparable to the age of the universe so that they would evaporate at present
and may provide the sources of ultra high energy cosmic rays including extra-
galactic ,-rays[2] and other astroparticle phenomena whose mechanisms have
not been solved completely. In addition to that, the relic black holes might
contribute to the energy density of the present universe and solve the dark mat-
ter problem which is one of the most important cosmological problems. Such
primordial black hole formation could be predicted not only by the density per-
turbations produced during the inflationary expansion of the universe but also
by the collapses of oscillating string loops.
In the standard picture of the cosmic string evolution, it is believed that the
distribution of the size and number of strings obeys the one scale model, that is,
the scaling distribution. In this formula, the string can be classified to two kinds
of string, one is an infinitely long horizon-scale string and the other is a loop. As
we mentioned in the previous section, the relative energy density of the infinite
Formation of PBHs by Multi-Winding String Collapse 299
strings is scale-invariant since they lose their energy in the course of cosmic
evolution. In the conventional model, the main channel of the infinite string
energy loss is considered to be a loop generation by the small-scale structure of
long strings. Although there exists a recent claim which says that the infinitely
long strings have very small wiggles on them so that the dominant energy loss
mechanism of the string should be a direct particle production[3J, the conclusion
that the resulting string distribution can be described by the scaling formula is
unchanged.
Whether the energy loss mechanism of the string loop is the gravitational
wave radiation or not, oscillating loops may collapse to black holes. When the
loop whose total length is equal to l is compactified into the region whose radius
is 2GfJ'z during its oscillation, all the energy the loop has is contained within
the gravitational radius so that a black hole of mass ILL would appear. Although
such a procedure still remains a conjecture, it is believed that the probability of
black hole formation during a loop oscillation, PBH can be written as
(4)
where "" is a numerical coefficient and a is a power index which have been
estimated as[4J
(5)
or[5J
a ~ -0.5 rv 0.5 , (6)
and[6J
a = 4.1 ± 0.1 , (7)

"" = l04.9±o.2 , (8)
based on various assumptions and calculations. Hereafter for simplicity, we em-

ploy a numerical value a = 4 as the most distinct case. Since"" is cancelled out
in the calculation process, its value does not affect the final conclusion.
Combined with the observational constraints obtained from the existence of
primordial black holes, the upper limit on the important string parameter, GIL
can be derived. Although the evolution and the final destiny of the black hole
have not been completely determined yet, there are two kinds of constraints by
the evaporation of the black hole and its massive relics, which is naturally de-
duced from the assumption that the black hole loses its energy and mass due to
the Hawking radiation. The former constraint is obtained from the observation of
galactic and extra-galactic cosmic rays such as 1'-ray bursts, 1'-ray background,
anti-protons and so on. The latter is based on the consideration that the black
hole should not disappear away but leave a massive relic. Then it would con-
tribute to the energy density of the universe and the total mass can be limited
by the fact that the cosmic evolution must obey the standard history and the
universe must not be over-closed.
Although there are many uncertainties such as what the final state of the
black hole is, how much the loop number density is and how much the black
hole formation probability is, the summarized constraint results to[7]
Gp ::; (1 - 3) x 10- 6 . (9)
Note that this is in rough agreement with the bound by the cosmic microwave
background radiation anisotropy as
Gp ::; (1 - 2) x 10- 6 , (10)
and the most stringent constraint on the string model by the pulsar timing ob-
servation. As we mentioned in the previous section, the above conditions become
marginal when "l '" the GUT scale.
3 Multi-Winding String
In the literature, only the simplest string configuration, that is, a string whose
winding number, n, equals one was investigated since it was implicitly assumed
that it seemed to be natural. Recently, however, it is claimed that the multi-
winding string may play an important role in the cosmological evolution of the
early universe. One is the initial condition for the inflationary universe and the
other is the electroweak baryogenesis.
The inflation scenario is the most promising paradigm which can solve many
problems the standard Big-Bang theory cannot explain. So far, however, there
has been no convincing model of the inflation and people have invented many
models. Among them, the topological inflation[8] model can naturally provide
an initial condition for the inflationary expansion. Particularly when
(11)
the topological inflation can occur at the GUT scale[9].

The baryon asymmetry problem is one of the most significant problems in
modern cosmology and particle physics. Recently one effective scenario of elec-
troweak baryogenesis using the string has been proposed[11]. In this case, when
(12)
the deviation from the thermal equilibrium which is one of the necessary con-
ditions for the baryon number generation can be satisfied by sphaleron bound
states on strings and the following their decay.
Therefore it would be useful if the existence of the multi-winding string can
be constrained by some astronomical and cosmological observations and here we
consider the primordial black holes produced by the string loop oscillation. In
order to perform a quantitative analysis, we estimate the formation probability
of the multi-winding string. Although similar consideration can be applied to
the multi-winding monopole which may be useful for the topological infiation,
hereafter we will concentrate on the string case.
We employ the Abelian Higgs model with the Lagrangian as
1 v 1 tIt
L = -:4FI' FI'V - 2(DI'¢) (DI'¢) - SA(¢ ¢ -
22
TJ) , (13)
D I' = 81' - ieAI' , (14)
Fl'v = 81'A v - 8vAI' , (15)
where ¢ is a complex scalar field, AI' is a gauge vector field, e is the gauge
coupling constant.
In this model, there is a well-known string solution called the Nielsen-Olesen
vortex[12J and the string configuration with a fixed winding number, n, can be
determined by one parameter, (3, which can be defined as
(3 = ~2 = (ms) 2 , (16)
e mv
where m s is the mass of the scalar field and m v is the mass of the vector field. The
important characteristic of the string configuration is that as (3 or the winding
number, n, increases, the width scale of the string core also increases.
The stability of the multi-winding string has been analyzed and in some
parameter range, it is stable. For example, the calculation of the string line
energy density shows that the multi-winding string is stable for the case (3 < 1
and unstable for (3 > 1[13J. Moreover, the interaction force between two vortices
which are two-dimensional slices of the string is attractive when (3 < 1 and
repulsive when (3 > 1[14J.
Now we estimate the formation probability of the multi-winding string. In
this talk, we review the calculation process briefly and the detailed method can
be found in the reference[15J.
Before introducing how to estimate the string formation probability for the
multi-winding, let us summarize that for the single winding case[16J. In the
Kibble mechanism, the phase of the Higgs field is considered to take random
value at each correlated region whose size is of scale, ~ which is the correlation
length of the fields. The result shows that the formation probability of the single
winding string, P(I) is equal to 1/4. In this procedure, the string identification
process can be described as follows. First divide the physical space into domains
whose size is typically of~, that is, the correlation scale. Then assign the phase of
the Higgs field randomly to each representative point of every domain. Finally
interpolate the phase between two representative points so that the gradiellt
energy of the Higgs field takes the minimum value. Thus we can distinguish the
region where there is a winding number and a string exists from that where there
is no winding number and we cannot find a string.
Based on the above argument let us proceed to the multi-winding string
version. If we simply apply the Kibble mechanism procedure to the multiple
winding case, we have to encounter a problem. Since the phase difference between
two neighboring representative points in the triangle division method which we

have described, the total difference of the phase along the triangle circumference
should be smaller than or equal to 311", which means it must be 211" at most
because of the phase continuity. Thus the winding number cannot be larger than
the unity. The most natural solution to this situation may be the employment
of other polygon than the triangle, for example, a hexagon. In the hexagon case,
the total phase difference is improved to be 611" and the region within which the
winding number becomes two can be allowed. However, there remains a problem
even in this case because we cannot distinguish the state there is one piece of
double winding string from the state there are two pieces of single winding string.
Moreover, if we apply the triangle method to the area where one double winding
string can be found by the hexagon method, we will misunderstand that there is
one single winding string. Therefore not only the winding number but also even
the magnitude of the total winding depends on the method of space dividing.
Thus in order to estimate the formation probability of the multi-winding
string correctly, we introduce a new scale, R within which there should be only
one piece of string. Then the number of vertices the polygon has becomes 11"Rj ~.
Thus the total phase difference is 11" x 11"Rj ~ = 11"2Rj ~. The most natural interpre-
tation would be that R is comparable to the diameter of the string core which
is approximately equal to the inverse of the scalar mass which results
(17)
where Tc is the temperature at which the phase transition terminates and the
configuration of topological defects cannot be erased by the thermal fluctuations
of fields. On the other hand, the correlation scale, ~ can be expressed as[17]
1
~"'-. (18)
Tc
As a consequence, the possible maximum winding number which belongs to one
string should be
(19)
where [ ] denotes the Gauss's symbol. Thus we can say that the multi-winding
string can be produced when A << 1.
Even in the case A '" 1, we cannot completely deny the formation of the
multi-winding configuration since in the actual situation, the correlation length
scale can be inhomogeneous, that is, be various at each correlated region. Based
on the result of the numerical calculation using the toy model[15], we estimate
the black hole formation possibility in the next section.
Before closing this section, let us mention another possibility. When the self-
coupling constant of the scalar field is smaller than the gauge coupling constant,
that is, f3 < 1 for the local gauged string case, the attractive force acts on strings
and they would accumulate to a multi-winding string. In this case, the formation
probability of the string whose winding number equals n, P(n), can be easily
calculated as
P(n) = P(l) . (20)
n
This is also the case which the black hole formation probability is calculated
based on the result in the reference[15] in the following section.
4 PBHs from Multi-Winding Loops
In this section, we estimate the primordial black hole formation probability by

the oscillating string loop. Since we have the formula for the ordinary single
winding string case, the only thing we have to do is to clarify the difference
when we consider the multi-winding one.
First we assume the modified formula of the parameter which characterizes
the multi-winding string. If the line energy density of n winding string can
be written as A(n)j.L then A(n) ~ n since otherwise a multiple winding string
becomes energetically unstable to the division into single winding strings. We
write the probability of n winding string production per correlation volume
at the initial formation epoch as P(n). Then we can calculate explicitly two
modifications by the increase of the winding number which affect the energy
density of the mass relic by the black hole evaporation.When A(n) > 1 the time
that the black hole of specific mass'" 10159 which is evaporating at present was
formed becomes earlier. Then more work the relative enhancement of the black
hole number density by the cosmic expansion A(n)1/2 and the increase of loop
number density due to the scaling distribution of the string A(n)2, although the
loop creation size and other parameters are not completely determined. As a
result, the overall modification factor for the string whose winding number is
equal to n, f(n), should be described as
f(n) = P(n)A(n)Q+5/ 2 . (21)
At last we can estimate the modification factor of the black hole formation
probability for the multi-winding string. The first case is the string formation
probability is calculated including the fluctuation of the correlated region size.
The assumption for the parameter is
a=4, A(n)=n, (22)
which makes the modification rather large. The final expression of the factor,
f(n), can be written as
f(n) = P(n)n 6 .5 , (23)
and the numerical values for n = 1 - 4 are depicted in Table 1. In this case, f (n)
is too small to enhance the black hole production so that the result is trivial,
that is, the constraint on the string model parameter is unchanged. In contrast
to that, the other case in which the string coalescence is taken into account may
be more interesting. Using the same assumption for the parameters, a and A(n),
as the former case, the formula of the modification factor can be calculated as
f(n) = P(I)n 5 .5 . (24)
The ratio, f(n)/ f(l) are shown in Table 2 for n = 2 - 4. It can be obviously
seen that the degree of the enhancement becomes greater as n increases.
Table 1. Modification Factor
P(n) f(n)
1 0.2102 0.2101
4
2 8.36 x 10- 7.57 X 10- 2
3 4.8 X 10- 7 6.1 X 10- 4
4 8 X 10- 11 7 X 10- 7
Table 2. Relative Modification Factor
I ~~n?1 14531421
. 12050 I
5 Conclusions
In this talk, we have estimated how the observational constraint on the particle
physics model parameter in which the cosmic string is produced should be mod-
ified when we consider the dark matter production by the multi-winding string
which may be useful for the topological inflation and the electroweak baryoge-
nesis. The modified formula of the constraint on the line energy density which
can be translated to that on the symmetry breaking scale, 'TJ, can be written as
f(n))-2/(3+ 211 ) -6
GIt::; ( f(l) 10, (25)
in which we assume the simple scaling distribution of the string.

The numerical values of the above modification factor are calculated in two
cases. One is the case that the multi-winding string is produced at the initial
formation epoch and the modification is not so significant since
f(n) ::; f(l) . (26)
In the other case, the dynamical evolution of the string after its formation is an-
alyzed and the string accumulation by the attractive interaction between strings
makes the enhancement remarkable as
f(n) » f(l) , (27)
which means the upper bound on 'T/ must be much lower.

Thus we can say that more stringent constraint by primordial black holes on
the model parameter might be obtained by multi-winding strings. In other words,
the contribution to the cosmological dark energy density as massive relics from
black holes produced by multi-winding strings may become more dominant than
the usual single winding scenario. This is not the end of the story. There may
be other effects which can enable the abundant formation of the multi-winding
defect and further work would be needed.
References
1. T. W. B. Kibble, J. Phys. A 9, 1387 (1976).
For a review of topological defects, see, e.g., A. Vilenkin and E. P. S. Shellard,
Cosmic Strings and Other Topological Defects (Cambridge University Press, Cam-
bridge, England, 1994).
2. B. J. Carr, Astrophys. J. 201, 1 (1975).
D. Page and S. Hawking, Astrophys. J. 206, 1 (1976).
B. J. Carr, Astrophys. J. 206, 8 (1976).
J. H. MacGibbon and B. J. Carr, Astrophys. J. 371, 447 (1991).
3. G. Vincent, N. D. Antunes and M. Hindmarsh, Phys. Rev. Lett. 80, 2277 (1998).
4. S. W. Hawking, Phys. Lett. B 231, 237 (1989).
5. A. Polnarev and R. Zembowicz, Phys. Rev. D43, 1106 (1991).
6. R. R. Caldwell and P. Casper, Phys. Rev. D53, 3002 (1996).
7. J. H. MacGibbon, R. H. Brandenberger and U. F. Wichoski, Phys. Rev. D57, 2158
(1998).
8. A. Vilenkin, Phys. Rev. Lett. 72, 3137 (1994).
A. D. Linde, Phys. Lett. B 327, 208 (1994).
9. A. A. de Laix, M. Trodden and T. Vachaspati, Phys. Rev. D 57, 7186 (1998).
10. For a review of electroweak baryogenesis, see, e.g., M. Trodden, Rev. Mod. Phys.
71, 1463 (1999).
11. V. Soni, Phys. Lett. B 394, 275 (1997).
12. H. B. Nielsen and P. Olesen, Nucl. Phys. B 61, 45 (1973).
13. E. B. Bogomol'nyi and A. I. Vainshtein, Sov. J. Nucl. Phys. 23, 588 (1976).
14. L. Jacobs and C. Rebbi, Phys. Rev. B 19, 4486 (1979).
L. M. A. Bettencourt and R. J. Rivers, Phys. Rev. D 51, 1842 (1995).
15. T. Okabe and M. Nagasawa, Phys. Lett. B 461, 49 (1999).
16. T. Vachaspati and A. Vilenkin, Phys. Rev. D 30, 2036 (1984).
T. Prokopec, Phys. Lett. B 262, 215 (1991).
17. M. Yamaguchi and J. Yokoyama, Phys. Rev. D 56, 4544 (1997).
Baryonic Q-Balls as Dark Matter
Alexander Kusenko
Department of Physics and Astronomy, UCLA, Los Angeles, CA 90095-1547

RBRC, Brookhaven National Laboratory, Upton, New York 11973
Abstract. Supersymmetric extensions of the Standard Model predict the existence of

Q-balls, some of which can be entirely stable. Affleck-Dine baryogenesis can result in
a copious production of stable baryonic Q-balls, which can presently exist as a form of
dark matter.
1 Q-balls from Supersymmetry

In a class of theories with interacting scalar fields ¢ that carry some conserved
global charge, the ground state is a Q-ball [1,2], a lump of coherent scalar con-
densate that can be described semiclassically as a non-topological soliton of the
form
¢(x, t) = eiwt¢(x). (1)
Q-balls exist whenever the scalar potential satisfies certain conditions that were
first derived for a single scalar degree of freedom [1] with some abelian global
charge and were later generalized to a theory of many scalar fields with different
charges [3]. Non-abelian global symmetries [4] and abelian local symmetries [5]
can also yield Q-balls.
For a simple example, let us consider a field theory with a scalar potential
U(ep) that has a global minimum U(O) = 0 at ep = O. Let U(ep) have an unbroken
global l U(l) symmetry at the origin, ep = o. And let the scalar field ep have a
unit charge with respect to this U(l).
The charge of some field configuration ep(x, t) is
1
Q = 2i J ep * at epd3 x.
B
(2)
Since a trivial configuration ep(x) == 0 has zero charge, the solution that mini-
mizes the energy,
(3)
and has a given charge Q > 0, must differ from zero in some (finite) do-
main. This is a Q-ball. It is a time-dependent solution, more precisely it has
1 Q-balls associated with a local symmetry have been constructed [5J. An important
qualitative difference is that, in the case of a local symmetry, there is an upper limit
on the charge of a stable Q-ball.
Alexander Kusenko 307
a time-dependent phase. However, all physical quantities are time-independent.

Of course, we have not proven that such a "lump" is finite, or that it has a lesser
energy than the collection of free particles with the same charge; neither is true
for a general potential. A finite-size Q-ball is a minimum of energy and is stable
with respect to decay into free <p-particles if
U(<p) /<p2 = min, for O. (4)

One can show that the equations of motion for a Q-ball in 3+ 1 dimensions
are equivalent to those for the bounce associated with tunneling in 3 Euclidean
dimensions in an effective potential Uw(<p) = U(<p) - (1/2)w 2<p2, where w is such
that it extremizes [7]
(5)
Here S3(W) is the three-dimensional Euclidean action of the bounce in the po-
tential Uw(<p). The Q-ball solution has the form (1), where ep(x) is the bounce.
The analogy with tunneling clarifies the meaning of condition (4), which
simply requires that there exist a value of w, for which Uw(<p) is negative for
some value of <p = <PO :I a separated from the false vacuum by a barrier. This
condition ensures the existence of a bounce. (Clearly, the bounce does not exist
if Uw(<p) ~ a for all Wo,
Uw(<p) is somewhere negative. If one considers a Q-ball in a metastable false
vacuum, then Wo = O. The mass of the <p particle is the upper bound on w
in either case. Large values of w correspond to small charges [7]. As Q -+ 00,
w -+ wo0 In this case, the effective potential Uw(<p) has two nearly-degenerate
minima; and one can apply the thin-wall approximation to calculate the Q-ball
energy [1]. For smaller charges, the thin-wall approximation breaks down, and
one has to resort to other methods [7].
The above discussion can be generalized to the case of several fields, <Pk, with
different charges, qk [3]. Then the Q-ball is a solution of the form
(6)
where <p(x) is again a three-dimensional bounce associated with tunneling in the
potential
Uw(<p)
A
= U(<p) - 21w2 " '22

LJ qk l<Pk! . (7)
k
As before, the value of w is found by minimizing £w in equation (5). The bounce,

and, therefore, the Q-ball, exists if
~' = 2U«p) / ( Y; q,,,,i,o) ~ min,

for l<Pol2 > O. (8)
The soliton mass can be calculated by extremizing £w in equation (5). If ICPol2
defined by equation (8) is finite, then the mass of a soliton M(Q) is proportional
308 B-balls as Dark Matter
to the first power of Q:
M(Q) = [tQ, if Irpol2 =I 00. (9)

In particular, if Q -+ 00, [t -+ p, (thin-wall limit) [1,2]. For smaller values of Q,
[t was computed in [7]. In any case, [t is less than the mass of the ¢ particle by
definition (8).
However, if the scalar potential grows slower than the second power of ¢,
then Irpol2 = 00, and the Q-ball never reaches the thin-wall regime, even if Q
is large. The value of ¢ inside the soliton extends as far as the gradient terms
allow, and the mass of a Q-ball is proportional to QP, P < 1. In particular, if
the scalar potential has a flat plateau U(¢) ,...., m at large ¢, then the mass of a
Q-ball is [11]
(10)
This is the case for the stable baryonic Q-balls in the MSSM discussed below.
It turns out that all phenomenologically viable supersymmetric extensions of
the Standard Model predict the existence of non-topological solitons [3] associ-
ated with the conservation of baryon and lepton number. If the physics beyond
the standard model reveals some additional global symmetries, this will further
enrich the spectrum of Q-balls [6]. The MSSM admits a large number of differ-
ent Q-balls, characterized by (i) the quantum numbers of the fields that form a
spatially-inhomogeneous ground state and (ii) the net global charge of this state.
First, there is a class of Q-balls associated with the tri-linear interactions that
are inevitably present in the MSSM [3]. The masses of such Q-balls grow linearly
with their global charge, which can be an arbitrary integer number [7]. Baryonic
and leptonic Q-balls of this variety are, in general, unstable with respect to their
decay into fermions. However, they could form in the early universe through the
accretion of global charge [8,9] or, possibly, in a first-order phase transition [10].
The second class [11] of solitons comprises the Q-balls whose VEVs are
aligned with some flat directions of the MSSM. The scalar field inside such
a Q-ball is a gauge-singlet [12] combination of squarks and sleptons with a non-
zero baryon or lepton number. The potential along a flat direction is lifted by
some soft supersymmetry-breaking terms that originate in a "hidden sector" of
the theory at some scale As and are communicated to the observable sector by
some interaction with a coupling g, so that gA ,...., 100 GeV. Depending on the
strength of the mediating interaction, the scale As can be as low as a few TeV (as
in the case of gauge-mediated SUSY breaking), or it can be some intermediate
scale if the mediating interaction is weaker (for instance, g ,...., As /mplanck and
As ,. . , 10 10 GeV in the case of gravity-mediated SUSY breaking). For the lack of
a definitive scenario, one can regard As as a free parameter. Below As the mass
terms are generated for all the scalar degrees of freedom, including those that
parameterize the flat direction. At the energy scales larger than As, the mass
terms turn off and the potential is "flat" up to some logarithmic corrections. If
the Q-ball VEV extends beyond As, the mass of a soliton [11,13] is no longer
proportional to its global charge Q, but rather to Q3/4. A hybrid of the two
types is yet another possibility [14].
This allows for the existence of some entirely stable Q-balls with a large
baryon number B (B-balls). Indeed, if the mass of a B-ball is M B (1 TeV) x
f"V
3 4
B / , then the energy per baryon number (MBIB) (1 TeV) x B- 1 / 4 is less
f"V
than 1 GeV for B > 10 . Such large B-balls cannot dissociate into protons and
12
neutrons and are entirely stable thanks to the conservation of energy and the
baryon number. If they were produced in the early universe, they would exist at
present as a form of dark matter [13].
2 Fragmentation of Affleck-Dine Condensate into Q-balls

Several mechanisms could lead to formation of B-balls and L-balls in the early
universe. First, they can be produced in the course of a phase transition [10].
Second, thermal fluctuations of a baryonic and leptonic charge can, under some
conditions, form a Q-ball. Finally, a process of a gradual charge accretion, sim-
ilar to nucleosynthesis, can take place [8,9,15]. However, it seems that the only
process that can lead to a copious production of very large, and, hence, stable,
B-balls, is fragmentation of the Affleck-Dine condensate [13J.
At the end of inflation, the scalar fields of the MSSM develop some large ex-
pectation values along the flat directions, some of which have a non-zero baryon
number [16]. Initially, the scalar condensate has the form given in eq. (1) with
¢(x) = canst over the length scales greater than a horizon size. One can think
of it as a universe filled with Q-matter. The relaxation of this condensate to the
potential minimum is the basis of the Affleck-Dine (AD) scenario for baryogen-
esis.
It was often assumed that the condensate remains spatially homogeneous
from the time of formation until its decay into the matter baryons. This as-
sumption is, in general, incorrect. In fact, the initially homogeneous conden-
sate can become unstable [13J and break up into Q-balls whose size is deter-
mined by the potential and the rate of expansion of the Universe. B-balls with
12 < loglO B < 30 can form naturally from the breakdown of the AD condensate.
These are entirely stable if the flat direction is "sufficiently flat", that is if the
potential grows slower than </>2 on the scales or the order of ¢(O). The evolution
of the primordial condensate can be summarized as follows:
Affleck-Dine condensate
~~
baryons baryonic Q-balls
t
:""
~ unstable /
(decay) /
~ble
"' ...... _,"-ela.!~4. _~
Dark Matter
This process has been analyzed analytically [13,22J in the linear approxima-
tion. Recently, some impressive numerical simulations of Q-ball formation have
been performed [23J; they confirm that the fragmentation of the condensate into
Q-balls occurs in some Affleck-Dine models. The global charges of Q-balls that
form this way are model dependent. The subsequent collisions [13,24J can further
modify the distribution of soliton sizes.
Fig. 1. The charge density per comoving volume in (1+1) dimensions for a sample
potential analyzed numerically during the fragmentation of the condensate into Q-
balls.
In supersymmetric extensions of the Standard Model, Q-ball formation oc-

curs along flat directions of a certain type, which appear to be generic in the
MSSM [25J.
3 SUSY Q-balls as Dark Matter

Conceivably, the cold dark matter in the Universe can be made up entirely of
SUSY Q-balls. Since the baryonic matter and the dark matter share the same
origin in this scenario, their contributions to the mass density of the Universe
are related. Most of dark-matter scenarios offer no explanation as to why the
observations find [}DARK '" [}B within an order of magnitude. This fact is ex-
tremely difficult to explain in models that invoke a dark-matter candidate whose
present-day abundance is determined by the process of freeze-out, independent
of baryogenesis. If one doesn't want to accept this equality as fortuitous, one is
forced to hypothesize some ad hoc symmetries [26J that could relate the two quan-
tities. In the MSSM with AD baryogenesis, the amounts of dark-matter Q-balls
and the ordinary matter baryons are related [13J; one predicts [17J [}DARK = [}B
for B-balls with B '" 1026 . However, the size of Q-balls depends on the su-
persymmetry breaking terms that lift the flat direction. The required size is in
the middle of the range of Q-ball sizes that can form in the Affleck-Dine sce-
nario [13,22,23]. Diffusion effects may force the Q-balls sizes to be somewhat
smaller, B '" 10 22 - 10 24 , if they are to be CDM and to generate the baryon
asymmetry of the universe through partial evaporation [18].
104S
40
10
3S
10
30
10
0 102S
20
10
10 IS
10
10
2
10
Fig. 2. The resent limits on the baryon numbers of electrically neural dark-matter
Q-balls from a paper by J. Arafune et al. [28].
The value B '" 1026 is well within the present experimental limits on the
baryon number of an average relic B-ball, under the assumption that all or most
of cold dark matter is made up of Q-balls. On their passage through matter, the
electrically neutral baryonic SUSY Q-balls can cause a proton decay, while the
electrically charged B-balls produce massive ionization. Although the condensate
inside a Q-ball is electrically neutral [12], it may pick up some electric charge
through its interaction with matter [19]. Regardless of its ability to retain electric
charge, the Q-ball would produce a straight track in a detector and would release
the energy of, roughly, 10 GeV Imm. The present limits [19,27,28] constrain the
baryon number of a relic dark-matter B-ball to be greater than 1022 (Fig. 2).
Future experiments are expected to improve these limits. It would take a detector
with the area of several square kilometers to cover the entire interesting range
B '" 1022 ... 1030 .
4 Star Wreck: the Q- ball Invasion

In non-supersymmetric theories, nuclear matter of neutron stars is the lowest-
energy state with a given baryon number 2 • In supersymmetric theories, however,
a Q-ball with baryon number 1057 can be lighter than a neutron star. I am going
to describe a process that can transform a neutron star into a very large B-ball.
The time scale involved is naturally of the order of billion years.
Dark-matter superballs pass through the ordinary stars and planets with a
negligible change in their velocity. However, both SEeS and SENS stop in the
neutron stars and accumulate there [20]. As soon as the first Q-ball is captured
by a neutron star, it sinks to the center and begins to absorb the baryons into
the condensate. High baryon density inside a neutron star makes this absorption
very efficient, and the B-ball grows at the rate that increases with time due to the
gradual increase in the surface area. After some time, the additional dark-matter
Q-balls that fall onto the neutron star make only a negligible contribution to the
growth of the central Q-ball [20]. So, the fate of the neutron star is sealed when
it captures the first superball.
According to the discussion in section 3, the energy per unit baryon number
inside the relic B-ball is less than that in nuclear matter. Therefore, the absorp-
tion process is accompanied by the emission of heat carried away by neutrinos
and photons. We estimate that this heating is too weak to lead to any observable
consequences. However, the absorption of nuclear matter by a baryonic Q-ball
causes a gradual decrease in the mass of the neutron star.
Neutron stars are stable in some range of masses. In particular, there is a
minimal mass (about 0.18 solar mass), below which the force of gravity is not
strong enough to prevent the neutrons from decaying into protons and electrons.
While the star is being consumed by a superball, its mass gradually decreases,
reaching the critical value eventually. At that point, a mini-supernova explosion
occurs [30], which can be observable. Perhaps, the observed gamma-ray bursts
may originate from an event of this type. A small geometrical size of a neutron
star and a large energy release may help reconcile the brightness of the gamma-
ray bursts with their short duration.
Depending on the MSSM parameters, the lifetime of a neutron star t s can
r
range from 0.01 Gyr to more than 10 Gyr [20]:
t s '" ~ x (200~eV Gyr, (11)

where (3 is some model-dependent quantity expected to be of order one [20]. The
ages of pulsars set the limit t s > 0.1 Gyr.
It is interesting to note that t s depends on the fifth power of the mass pa-
rameter m associated with supersymmetry breaking. If the mini-supernovae are
observed (or if the connection with gamma-ray bursts is firmly established), one
can set strict constraints on the supersymmetry breaking sector from the rate
of neutron star explosions.
The naturally long time scale is intriguing.
2 I remind the reader that black holes do not have a well-defined baryon number.
5 B-ball Baryogenesis
An interesting scenario that relates the amounts of baryonic and dark matter
in the Universe, and in which the dark-matter particles are produced from the
decay of unstable B-balls was proposed by Enqvist and McDonald [22J.
6 Phase Transitions Precipitated by Solitosynthesis
In the false vacuum, a rapid growth of non-topological solitons [8J can precipitate
an otherwise impossible or slow phase transition [9J.
Let us suppose the system is in a metastable false vacuum that preserves
some U(l) symmetry. The potential energy in the Q-ball interior is positive in
the case of a true vacuum, but negative if the system is in the metastable false
vacuum. In either case, it grows as the third power of the Q-ball radius R. The
positive contribution of the time derivative to the soliton mass can be written
as Q2/ J ;[J2(x)d3x ex: R- 3, and the gradient surface energy scales as R2. In the
true vacuum, all three contributions are positive and the Q-ball is the absolute
minimum of energy (Fig. 3). However, in the false vacuum, the potential energy
inside the Q-ball is negative and goes as ex: - R 3 • As shown in Fig. 3, for small
charge Q, there are two stationary points, the minimum and the maximum. The
former corresponds to a Q-ball (which is, roughly, as stable as the false vacuum
is), while the latter is a critical bubble of the true vacuum with a non-zero charge.
E(R),
\
\
\ " false vacuum
\
\ ~ "/j
\
- I ~
Q-ball Q-bounce R
Fig. 3. Energy (mass) of a soliton as a function of its size. In the true vacuum, Q-ball
is the global minimum of energy (solid curve). In the false vacuum, if the charge is less
than some critical value, there are two solutions: a "stable" Q-ball, and an unstable
"Q-bounce" (dashed curve 1) . In the case of a critical charge (curve 2), there is only
one solution, which is unstable.
There is a critical value of charge Q = Qc, for which the only stationary
point is unstable. If formed, such an unstable bubble will expand.
If the Q-ball charge increases gradually, it eventually reaches the critical
value. At that point Q-ball expands and converts space into a true-vacuum
phase. In the case of tunneling, the critical bubble is formed through coincidental
coalescence of random quanta into an extended coherent object. This is a small-
probability event. If, however, a Q-ball grows through charge accretion, it reaches
the critical size with probability one, as long as the conditions for growth [9] are
satisfied. The phase transition can proceed at a much faster rate than it would
by tunneling.
7 Conclusion
Supersymmetric models of physics beyond the weak scale offer two plausible
candidates for cold dark matter. One is the lightest supersymmetric particle,
which is stable because of R-parity. Another one is a stable non-topological
soliton, or Q-ball, carrying some baryonic charge.
SUSY Q-balls make an appealing dark-matter candidate because their forma-
tion is a natural outcome of Affleck-Dine baryogenesis and requires no unusual
assumptions.
In addition, formation and decay of unstable Q-balls can have a dramatic ef-
fect on baryogenesis, dark matter, and the cosmic microwave background. Pro-
duction of unstable Q-balls in the false vacuum can cause an unusually fast
first-order phase transition.
My work was supported in part by the US Department of Energy grant DE-
FG03-91ER40662, Task C, and by a UCLA Council on Research faculty grant.
References
1. G. Rosen: J. Math. Phys. 9,996 (1968) ibid. 9,999 (1968); R. Friedberg, T. D. Lee,
A. Sirlin: Phys. Rev. D 13, 2739 (1976); S. Coleman: Nuel. Phys. B 262, 263 (1985)
2. T. D. Lee and Y. Pang, Phys. Rept. 221, 251 (1992)
3. A. Kusenko: Phys. Lett. B 405, 108 (1997)
4. A. M. Safian, S. Coleman, M. Axenides: Nucl. Phys. B 297, 498 (1988);
A. M. Safian: Nucl. Phys. B 304, 392 (1988); M. Axenides: Int. J. Mod. Phys.
A 7, 7169 (1992); M. Axenides, E. Floratos, A. Kehagias: Phys. Lett. B 444, 190
(1998)
5. K. Lee, J. A. Stein-Schabes, R. Watkins, L. M. Widrow: Phys. Rev. D 39, 1665
(1989); T. Shiromizu, T. Uesugi, M. Aoki: Phys. Rev. D 59, 125010 (1999)
6. D. A. Demir: Phys. Lett. B 450, 215 (1999); D. A. Demir: hep-ph/0006344.
7. A. Kusenko: Phys. Lett. B 404, 285 (1997), hep-th/9704073
8. K. Griest, E. W. Kolb: Phys. Rev. D 40, 3231 (1989); J. A. Frieman, A. V. Olinto,
M. Gleiser, C. Alcock: Phys. Rev. D 40, 3241 (1989)
9. A. Kusenko: Phys. Lett. B 406, 26 (1997)
10. J. A. Frieman, G. B. Gelmini, M. Gleiser, E. W. Kolb: Phys. Rev. Lett. 60, 2101
(1988); K. Griest, E. W. Kolb, A. Maassarotti, Phys. Rev. D 40, 3529 (1989);
J. Ellis, J. Hagelin, D. V. Nanopoulos, K. Tamvakis: Phys. Lett. B 125, 275 (1983)
11. G. Dvali, A. Kusenko, M. Shaposhnikov: Phys. Lett. B 417, 99 (1998)

12. A. Kusenko, M. Shaposhnikov, P. G. Tinyakov: Pisma Zh. Eksp. Teor. Fiz. 67, 229
(1998)
13. A. Kusenko, M. Shaposhnikov: Phys. Lett. B 418, 46 (1998)
14. S. Kasuya and M. Kawasaki, hep-ph/0006128.
15. S. Khlebnikov, I. Tkachev: Phys. Rev. D61, 083517 (2000)
16. I. Affleck, M. Dine: Nucl. Phys. B 249, 361 (1985); M. Dine, L. Randall, S. Thomas:
Phys. Rev. Lett. 75, 398 (1995); Nucl. Phys. B 458, 291 (1996); A. Anisimovand
M. Dine: hep-ph/0008058.
17. M. Laine, M. Shaposhnikov: Nucl. Phys. B 532, 376 (1998)
18. R. Banerjee and K. Jedamzik, Phys. Lett. B484, 278 (2000)
19. A. Kusenko, V. Kuzmin, M. Shaposhnikov, P. G. Tinyakov: Phys. Rev. Lett. 80,
3185 (1998)
20. A. Kusenko, M. Shaposhnikov, P. G. Tinyakov, I. I. Tkachev: Phys. Lett. B 423,
104 (1998)
21. M. Boz, D. A. Demir and N. K. Pak, Mod. Phys. Lett. A15, 517 (2000)
22. K. Enqvist, J. McDonald: Phys. Lett. B 425, 309 (1998); Nucl. Phys. B 538, 321
(1999); Phys. Rev. Lett. 81,3071 (1998); Phys. Lett. B 440, 59 (1998); Phys. Rev.
Lett. 83, 2510 (1999)
23. S. Kasuya, M. Kawasaki: Phys. Rev. D 61, 041301 (2000); S. Kasuya and
M. Kawasaki: Phys. Rev. D62, 023512 (2000)
24. M. Axenides, S. Komineas, L. Perivolaropoulos, M. Floratos: Phys. Rev. D61,
085006 (2000); R. Battye and P. Sutcliffe: hep-th/0003252; T. Multamaki and
I. Vilja, Phys. Lett. B482, 161 (2000); T. Multamaki and 1. Vilja: Phys. Lett.
B484, 283 (2000)
25. K. Enqvist, A. Jokinen and J. McDonald, Phys. Lett. B483, 191 (2000)
26. D. B. Kaplan: Phys. Rev. Lett. 68, 741 (1992)
27. 1. A. Belolaptikov et al.: astro-ph/9802223 M. Ambrosio et al. [MACRO Collab-
oration]: Eur. Phys. J. C13, 453 (2000) B. C. Choudhary [MACRO Collabora-
tion]: hep-ex/9905023 G. Giacomelli, L. Patrizii: DFUB-98-30, hep-ex/0002032,
5th ICTP School on Nonaccelerator Astroparticle Physics, 'I'rieste, Italy, 29 Jun -
10 lui 1998; E. Aslanides et al. [ANTARES Collaboration]: astro-ph/9907432
28. J. Arafune, T. Yoshida, S. Nakamura and K. Ogure: hep-ph/0005103
29. M. Axenides, E. G. Floratos, G. K. Leontaris, N. D. Tracas: Phys. Lett. B 441, 67
(1999)
30. M. Colpi, S. L. Shapiro, S. A. Teukolsky: Astrophys. J. 414, 717 (1993)
K. Sumiyoshi, S. Yamada, H. Suzuki, W. Hillebrandt: astro-ph/9707230
Gluino Axion
Durmu§ A. Demir
The Abdus Salam International Centre for Theoretical Physics, 1-34100 Trieste, Italy
Abstract. We propose a new axionic solution of the strong CP problem with a Peccei-
Quinn mechanism using the gluino rather than quarks. The spontaneous breaking of
the global R symmetry around 1011 GeV is related to the supersymmetry breaking
scale of 1 TeV, solving therefore the J-t problem. The low-energy theory is the MSSM
with all soft masses are O(J-t), and most general flavour and CP violations. The mass
and couplings of the resulting axion are in the allowed axion window.
In particle theory there appear several hierarchy or naturalness problems

associated with quantities which are not protected by a symmetry principle.
One such problem concerns the mass of the Higgs boson in the standard model
(SM) which receives large radiative corrections O(Mpt} instead of the expected
order of Mw. This problem is nicely solved by supersymmetry (SUSY) thanks to
Fermi-Bose degeneracy. The minimal supersymmetric model (MSSM), however,
has its own hierarchy problem driving from the Dirac mass of Higgsinos (J.L) in
that this parameter is as out of control as the Higgs boson mass in the SM [1].
Another class of hierarchy problems is related to the CP nonconservation. It
is known that CP is violated in the mixings [2] and decays [3] of the neutral kaons.
Besides, experiments put an upper bound on the electric dipole moments (EDM)
of particles, in particular, the neutron [4]. In contrast to the lepton EDMs, the
neutron EDM receives contributions from all sources of CP violation: the QCD
vacuum angle (), the single phase in the CKM matrix 8, and the SUSY soft
phases ¢ [5]. Fig. 1 illustrates these contributions in seperate boxes together with
their numerical estimates in units of the upper bound, d';xp [4]. Clearly, the ()
(8) contribution is far above (below) the present bound. The SUSY contribution
•• •
+ + SUSy
Fig. 1. Three distinct contributions to the neutron EDM in the MSSM in units of the
present experimental upper bound d~xp ~ 0.63 X 10- 25 e - cm [4].
Durmu§ A. Demir 317
exceeds the bound by three orders of magnitude (assuming that Msusy '" Mw),
where the phases of trilinear couplings, '" parameter and gaugino masses [6] are
collectively denoted by ¢. It is clear from the figure that 101 .:s 10- 9 to agree with
the bound. The question of why 101 is so small creates the so-called strong CP
problem - a hierarchy, a naturalness and a fine-tuning problem.
In what follows, first the QCD contribution will be throughly analyzed, and
at the end, the SUSY contribution will be discussed in the resulting framework.
The chiral properties of the O-vacua [5] enables one to express () as a direct
sum of the bare vacuum angle and the phases of the masses of all colored particles
in the spectrum, that is, in the MSM
(1)
where M u and M d are the respective mass matrices of the charge = 2/3 and
charge = -1/3 quarks, and M 3 is the mass of the gluino.
°
The celebrated Peccei-Quinn solution [7] promotes to a dynamical field via
the quark masses which are endowed with a dynamical phase coming from the
°
Goldston boson of a global, color-anomalous, U(I)pQ symmetry spontenously
broken at a scale fpQ. The instanton-induced potential for attains its minimum
for (0) = 0 whereby solving the strong CP problem. However, the spectrum is
widened by a new peusdoscalar, axion, a == fpQ (0 - (0)). The existing data
on the axion phenomenology rules out fpQ '" Mw [8] whereas the intermediate
scales fpQ '" 109 -10 12 GeV with dynamical masses for quarks [9] or for heavy
color triplets [10] are both allowed [11].
One notes that none of the scenarios in ([7-10]) requires SUSY. However,
the SUSY models accomodate a number of global symmetries that are explicitly
broken by (not necessarily real) the soft masses. Indeed, in the absence of non-
gauge interactions, the MSSM possesses two such symmetries [12]' a global U(I)
symmetry which leaves the superpotential (W) invariant, and an R-symmetry,
U(I)R. On the other hand, the ",-problem solving, next-to-MSSM possesses
only an R-symmetry [13]. For a simultaneous solution of the strong CP and
'" problems, the R symmetries are particularly useful thanks to their strong
anomaly [13] [14].
The main goal of the discussions here is to form a SUSY framework where (i)
°
U(I)pQ is replaced by the U(I)R symmetry of the MSSM, (ii) the", parameter
(== Msusy) is stabilized via fpQ and Mpl, and (iii) becomes a dynamical
field due solely to the phase of the gluino mass (1). Such an axion model can
be realized using a nonrenormalizable [15] as well as a renormalizable [16] su-
perpotential, though the discussions below will be based on the former.
Following the discussions in [12,13] we define the R-characters of the MSSM
fields as follows: The quark (Q,fLc,dC ) and lepton (L,e- C ) chiral superfields have
R = +1 whereas the Higgs (Hu,fld ) chiral superfields and the vector superfields
have R = O. Moreover, we introduce a singlet superfield (as needed in all Peccei-
Quinn type models) S with R = 1. We generalize the", parameter to a local
318 Gluino Axion
operator using this singlet:
"
p,(S) =-1 (")2
Mpl
S , (2)
so the the superpotential of the model takes the form
which has R = +2. The mass parameter m;

will be detailed below.
With the field content above, requiring exact U(I)R invariance, part of the
complete Lagrangian consisting of the lowest spin components of each superfield
can be written as
L1£ = 1p,(S)1 2 [QtYQQ + uctyuuc + dctYddc + LtYdJ + e-ctYeec]

+ {p,(S)t [kuQ . Hu U + kdQ . Hd d + ke£· Hd e + h.c.}
C C C
]
+ \p,(SW [Yu1 Hu1 2 + Yd\Hd!2 + (kl'Hu . Hd + h.c.)]

+ {p,(S)t [k3X~X~ + k2X~X~ + kIXIXI] + h.c.}, (4)
where X~ is the gluino octet, X~ the SU(2)L gaugino triplet, and Xl the U(I)y
gaugino singlet. The dimensionless parameters kl ,2,3, YQ, ... ,e, Yu,d and ku,d,e are
matrices in the flavour space. The terms proportional to 1p,(S)!2 are invariant un-
der U(I)R by themselves, so their coefficients are not necessarily of order 1p,(S)1 2.
Here we must make the additional assumption that the underlying mechanism
of supersymmetry breaking is such that J.1-(S) acts as a kind of "messenger" field.
The Higgs doublets have vanishing R charges; hence, the electroweak break-
ing leaves U(I)R unbroken. It is thus clear that U(I)R breaking can happen
only via the VEV of the singlet. As was discussed in [15] this requires a soft
negative mass-squared for the singlet generated by the interactions at higher
energies; moreover, m; should remain around the singlet VEV itself. Given that
=
the singlet develops a VEV; \(S)I V s then one can perform the decomposition
S(x) = ~[Vs + s(x)] eicp(x), (5)
where ~(x) is the corresponding Goldstone boson. From the charge assignments
of the MSSM spectrum it is obvious that gluino is the only colored fermion
contributing to the conserved U(I)R current
(6)
in the four-component notation >. a = (X~, XV. However, the gluino also con-
tributes to the color current, and hence, there exists a triangular loop of gluinos
connecting JZ,9 to two glouns, which gives rise to the quantum aomaly
!'iI'J5,9 _ 6g; Gl'vGo.{J (7)

U I' - 647l'2 f.l'vo.{J a a .
Since J~ couples to ep as aJLepJ~, the effective QCD vacuum angle takes the form
0= 0QCD + 6ep(x) , (8)

where the nondynamical phases in the quark mass matrices and the phase of
the complex constant k3 are included in 0QCD. In close anology with [10] ep(x)
develops a potential in the nontrivial instanton background, which is minimized
for (B) == 0 [i.e. (ep) = -OQCD/6], to all orders in perturbation theory. Rather
than the quarks, it is thus the gluino which realizes the Peccei-Quinn mechanism
of solving the strong CP problem.
The resulting axion, the gluino axion, a == vs[ep(x) - (ep)], has the mass
ftr
marvm tr - ' (9)
f PQ
and the lifetime
r(a -+ 21) rv ( : : ) 5 r(1T -+ 21) . (10)
An explicit calculation [16] shows that the loops of charged gauginos cancel with
those of the charged Higgsinos so that the electrommagnetic anomaly vanishes.
This then means that a -t 11 is mediated only by the 1T O -+ 11 decay. This is
in contrast to the models of [10] or [9] where the ratio of the electromagnetic
anomaly to the strong one enters the axion coupling to two photons, and thus,
brings a dependence on the Peccei-Quinn charges [11].
One can take v s /V2 rv 1011 GeV, which is in the middle of the range of
10 to 1012 GeV allowed by astrophysical and cosmological bounds[11] on fpQ.
9
The effective theory below V s is then a replica of the MSSM with the effective J..L
parameter
(11)
which is the right scale for SUSY breaking. This seesaw mechanism for the
J..L parameter results from the introduction of the composite operator given by
Eq. (2) into the theory, the dynamics of which are presumably dictated by physics
at or near the Planck scale. On the other hand, the scale of the J..L parameter is
fixed by the astrophysical and cosmological bounds on the axion decay constant
fpQ which gives (or receives) a meaning to (from) the intermediate scale V s [14].
Replacing J..L(S) in (4) by (11), one obtains the low-energy softly broken
MSSM Lagrangian
.cs,:;~tSM = Qt M~Q + tiet M~ctie + det MJcde + 1) MiL + i et M;Je

+ {AuQ· Hu tic + AdQ· Hd de + AeL· Hd e-e] + h.c.}
+ M1J.JHu 2 + M1J. 1Hd1 2 + (J..LeffBHu · Hd + h.c.)
I d
+ {M3 ,\3,\3 + M2'\~'\~ + M1 ,\1 Al + h.c.}, (12)

320 Gluino Axion
which (i) conserves R parity, (ii) has all soft massses stabilized at the weak
scale, and (iii) offers most general sources for CP and flavour violations via the
dimensionless parameters in (4). To see the last point explicitly, it is convenient
to reproduce some of the MSSM soft terms:
complex gaugino masses :
M3 = Ik 3 1J.t:ff' M2 = k2 J.t:tt, M1 = k1J.t:ff ' (13)
complex trilinear couplings:
Au = J.t:ffku , Ad = J.t:ffkd , Ae = J.t:ffke , (14)
general sfermion mass matrices :
M~ = YQIJ.teffI 2 , ... ,M;c = Yec!J.teffI 2 (15)
Higgs sector soft masses :
It is convenient to discuss some phenomenological implications of these re-

sults in connection with the SUSY contribution in Fig. 1. One notes that after a
stabilization of the soft masses to the weak scale via the effective J.t parameter,
all three generations of sfermions will contribute to physical observables with
most general flavour and CP violations coming from the dimensionless param-
eters in (4). In particular, it is not possible to choose the sfermions of first two
generations heavy and degenerate [17J; therefore, for SUSY contribution in Fig.
1 to agree with the experiment (with ¢ ....., 0(1)) one has to rely on the cancel-
lation mechanism [18J. Apart from this, in general, CP and flavour violations
are important by themselves for having observable CP violation in [19] in KO
and BO systems, and in the Higgs boson system [6,20J. With the advent of the
measurements of KO and BO system CP violation data [22], one will be able to
constrain other sectors through their simultaneous analysis similar to [21J.
In the present model, the chargino and sfermion sectors remain unaltered.
The neutralino sector, however, is widened by the presence of the singlino (==
axino) S which has a mass ....., lJ.tett I, and couples to the MSSM Higgsinos via
lJ.teffl 2 IVa""" 1O- 9 1J.teffl· Due to its suppressed couplings to the MSSM states,
the singlino is long-living; however, it can still induce observable effects with a
large sample of the SUSY events in next generation coUiders [23J.
In conclusion, it is possible to have a simultaneous solution to strong CP
problem and the J.t problem with a minimal extension of the MSSM provided
that the gaugino masses are specifically promoted to local operators given by
J.t(S). Cearly, (8) serves two important purposes: its magnitude determines the
scale of supersymmetry breaking and its phase solves the strong CP problem.
References
1. N. Polonsky: hep-ph/9911329 M. Cvetic, D. A. Demir, J. R. Espinosa, L. Ev-
erett, P. Langacker: Phys. Rev. D56, 2861 (1997) [hep-ph/9703317] D. A. Demir,
N. K. Pak: Phys. Rev. D57, 6609 (1998) [hep-ph/9809357]
2. J. H. Christenson et al.: Phys. Rev. Lett. 13, 138 (1964)

3. A. Alavi-Harati et al.: Phys. Rev. Lett. 83, 922 (1999) [hep-exj9903007]
4. P. G. Harris et al.: Phys. Rev. Lett. 82, 904 (1999)
5. S. Dar: hep-ph/0008248
6. M. Dugan, B. Grinstein, L. Hall: Nucl. Phys. B255, 413 (1985) E. Ma, D. Ng,
Phys. Rev. Lett. 65, 2499 (1990) D. A. Demir, Phys. Rev. D60, 095007 (1999)
[hep-phj9905571] Phys. Rev. D60, 055006 (1999) [hep-ph/9901389] A. Pilaftsis
and C. E. Wagner, Nucl. Phys. B553, 3 (1999) [hep-ph/9902371] A. Pilaftsis, Phys.
Lett. B435, 88 (1998) [hep-ph/9805373]
7. R. Peccei, H. Quinn: Phys. Rev. Lett. 38, 1440 (1977)
8. S. Weinberg: Phys. Rev. Lett. 40, 223 (1978) F. Wilczek: Phys. Rev. Lett. 40, 279
(1978)
9. M. Dine, W. Fischler, M. Srednicki: Phys. Lett. Bl04, 199 (1981) A. Zhitnitskii:
Sov. J. Nucl. Phys. 31, 260 (1980)
10. J. E. Kim: Phys. Rev. Lett. 43, 103 (1979) M. A. Shifman, A. Vainshtein, V.
Zakharov, Nucl. Phys. B166, 493 (1980)
11. G. Raffelt: In these proceedings
12. S. Dimopoulos, S. Thomas: Nucl. Phys. B465, 23 (1996)
13. D. A. Demir: hep-ph/9911435
14. J. E. Kim, H. P. Nilles: Phys. Lett. B138, 150 (1984) W. Buchmuller, D. Wyler:
Phys. Lett. B12l, 321 (1983) E. J. Chun, J. E. Kim, H. P. Nilles: Nucl. Phys.
B310, 105 (1992) E. J. Chun: Phys. Rev. D59, 015011 (1999) J. E. Kim: Phys.
Lett. B452, 255 (1999)
15. D. A. Demir, E. Ma: hep-ph/0004148
16. D. A. Demir, E. Ma, U. Sarkar: hep-ph/0005288
17. A. G. Cohen, D. B. Kaplan, A. E. Nelson: Phys. Lett. B388, 588 (1996) [hep-
ph/9607394]
18. T. Ibrahim, P. Nath, Phys. Rev. D51, 478 (1998) Phys. Lett. B4l8, 98 (1998)
Phys. Rev. D58, 111301 (1998) M. Brhlik, G. J. Good, G. L. Kane, Phys. Rev.
D59, 115004 (1999)
19. K. S. Babu, R. N. Mohapatra: Phys. Rev. Lett. 83, 2522 (1999) [hep-ph/9906271]
G. L. Kane: hep-ph/0008190 D. A. Demir, A. Masiero, O. Vives: Phys. Rev. D61,
075009 (2000) [hep-ph/9909325] Phys. Lett. B419, 230 (2000) [hep-ph/9911337]
T. M. Aliev, D. A. Demir, M. Savci: hep-ph/9912525 F. Kruger, E. Lunghi: hep-
ph/0008210
20. D. A. Demir: Phys. Lett. B465, 177 (1999) [hep-ph/9809360] Nucl. Phys. Proc.
Suppl. 81, 224 (2000) [hep-ph/9907279] G. L. Kane, L. Wang: hep-ph/0003198
M. Boz: hep-ph/0008052
21. T. M. Aliev, D. A. Demir, E. Iltan, N. K. Pak: Phys. Rev. D54, 851 (1996) [hep-
ph/9511352]
22. Y. Nir: hep-ph/0008226
23. S. P. Martin: hep-ph/0005116
Part IV
Gravitational Lensing
and Baryonic Dark Matter
Gravitational Lensing and Dark Matter
M.R.S. Hawkins
University of Edinburgh, Royal Observatory, Blackford Hill, Edinburgh EH9 3HJ,

Scotland
Abstract. This paper reviews the idea that dark matter may be in the form of small
compact bodies detectable by their microlensing effect on quasars. The basic evidence
for this comes from the statistical analysis of quasar light curves, and this is reviewed.
Other lines of evidence come from the microlensed light curves of gravitationally lensed
quasar systems, and the structure of individual quasar light curves. Predictions for the
statistics of variations of competing models for quasar variability are summarised and
compared with observations. An essential point to be established for the viability of
the microlensing model is that the observed variation cannot be intrinsic to the quasars
themselves. We present arguments that time dilation of the timescale of variation does
not occur, and hence the observed variability is caused by some intervening process.
This is most plausibly microlensing by a population of planetary mass black holes
created in the QeD epoch. Such objects would be sufficient to make up the dark
matter.
1 Introduction
The idea that dark matter may be in the form of planetary mass bodies which
betray their presence by the microlensing of quasars was first put forward in
1993 [3]. Since then the idea has been developed in a number of directions in-
cluding the statistical analysis of quasar light curves [4,5,8], planetary mass
MACHO events in the Galactic halo [6] and the identification of caustic crossing
events due to microlensing in quasar light curves [7]. Other lines of argument
have included the study of the light curves of multiply lensed quasar systems
where it is known that microlensing is taking place, and comparisons between
the light curves of nearby AGN where microlensing cannot be taking place, and
distant AGN where it is argued that it is.
There would at present appear to be three broad approaches to explaining
quasar variability. The original idea was derived in conjunction with the mod-
elling of the quasar power source as an accretion disc around a massive black
hole. Variations in brightness were produced by instabilities in the accretion
disc, and in turn defined the dimensions of the emitting region. It has turned
out to be hard to model this process in a form which makes concrete predictions
about the statistical properties of the quasar light curves. A second approach,
the 'Christmas tree' model, envisages quasar emission as coming from a super-
position of a number of discrete events, most notably supernova explosions. The
third possibility, outlined above, postulates that the variations in light are due
to microlensing. In practice, it seems highly probable that all three processes are
326 M.R.S. Hawkins
involved at some level. The importance of the microlensing model is not that it
sheds light on the nature of quasars; on the contrary: it tends to mask any in-
trinsic variations which would help. It is that it implies the existence of sufficient
material in the form of microlensing bodies to make up the missing mass.
In this paper we summarise some of the previous work on the analysis of
quasar variability: compare predictions of the competing models with observa-
tional data: and present recent results on the search for a signature of time
dilation in quasar light curves which could provide a definitive test.
2 Analysis of Quasar Variability

The statistical analysis of quasar light curves has focussed on testing for prop-
erties of observed variation which would be expected from gravitational lensing:
but not necessarily for other models of quasar variability. These properties in-
clude:
1. The statistical symmetry of the variation: in the sense that the arrow of
time cannot be deduced by analysis of the light curves. The tests done so
far imply that the variations are indeed symmetrical. This is a necessary
condition for the microlensing hypothesis to satisfy: and on the whole is not
to be expected for other models of quasar variability.
2. Perhaps the one point of agreement between the numerous authors who
have analysed quasar light curves is that there is a decrease of amplitude
with increasing luminosity. This has no natural explanation in most models
of quasar variability: but is to be expected if the cause is microlensing. This
is because more luminous quasars being larger will be more resolved by the
microlenses: resulting in a smaller amplitude of variation.
3. Achromatism is a well known property of gravitational lensing: and one
might expect it to be a property of microlensing light curves. If the source
(ie the quasar disc) is point like or of uniform colour then the variations
will indeed be achromatic: but if there is a colour gradient across the source
there can be colour changes with very specific characteristics. Other models
of quasar variability typically predict strong colour changes of a different type
and so this can in principle be used as a method to test the various models.
So far: observations of quasar light curves tend to support the microlensing
hypothesis: while data for Seyfert galaxies point to intrinsic variations.
4. Time dilation is an expected property of all intrinsic modes of variability in
the sense that the timescale of variation will increase with redshift. Estab-
lishing the status of such a correlation would be crucial to determining the
reality of the microlensing hypothesis. Despite much effort no correlations
have so far been established: and developments in this area form the subject
of much of this paper.
An additional point which deserves further investigation concerns the nature

of the light curves of very nearby AGN where microlensing cannot plausibly be
taking place due to the small optical depth to lensing. If the dominant mechanism
Gravitational lensing and dark matter 327
for variability were intrinsic one should see no difference between these light
curves and those of more distant quasars. In fact they are very different with
nearby quasars showing mainly small amplitude fluctuations.
A detailed examination of the individual light curves of quasars also illumi-
nates the nature of the variability mechanism. Although most of the features
have an undulating achromatic structure, there are some which bear a strong
resemblance to caustic crossing features of the type which would be produced by
the microlensing of an unresolved source. This manifests itself in characteristic
sharp spikes and is more pronounced in the blue where the source would be more
compact. It is very hard to see how these features could be produced by intrinsic
processes [7].
An argument of a rather different nature comes from observations of the in-
dividuallight curves of multiply lensed quasar systems. These sytems are best
known for their use in measuring the Hubble constant, where the time delay
between small features in the light curves is measured. An interesting feature of
these light curves is that although small scale features repeat with small time
delays: there are frequently long term changes of individual images relative to
the others. There is a general consensus that this must be due to microlensing,
for lack of any other plausible explanation. One might argue that if such systems
are commonly microlensed it is reasonable to suppose that all quasars are mi-
crolensed. The counter argument to this is that given there is a massive galaxy
along the line of sight splitting the images: it is probably responsible for the
microlensing as well. In fact this argument does not really bear close scrutiny.
For there to be a good chance of microlensing by the intervening galaxy it must
be composed almost entirely of microlensing bodies: in other words they would
form the dark matter in the galaxy halo. This is tantamount to saying that they
comprise the drk matter in general. It would thus seem that the presence of
microlensing events in multiply lensed quasar systems gives strong support to
the proposal that all quasars are being microlensed.
3 Structure Functions
Although structure functions have commonly been used to analyse variability in

quasar light curves [9,2], there has been little in the way of firm model predictions
with which to compare them. In a recent paper [11], Kawaguchi et al. make a
very good start towards rectifying this. They present a disk instability model
which is sufficiently detailed that they can make predictions as to the structure
function of the resulting variations. This has the form of a power law with a long
timescale cut-off. The detailed shape depends on free parameters in the model,
but the index of the power law appears to be robust: in the range 0.41-0.49.
They also make predictions for the starburst model and find a similar form for
the structure function - a power law with a long timescale cut-off. In this case
however: the index is in the range 0.74-0.90, again depending on the value of
free parameters.
328 M.R.S. Hawkins
The structure function for microlensing variations has not so far been pub-
lished by any of the various groups who have carried out computer simulations
of microlensing light curves. However, long runs of simulated data have been
published [12], and it is not difficult to evaluate the structure function from this
published material. The result is shown in the right hand panel of Fig. 1, and is
a power law of index 0.23. We thus see that all three models predict power law
structure functions, but with very different slopes.
0IIIlIIw4 IItnat1Ire , . . . . . 1IrgtjI. . . . . . . . . . faIIoUaD
~
...0 ."-
1 ..
II)
",
]1 ]0 ••
••
•• •
II
JY
ct
•• II ...
Jet •
• •
1 • 1
tl.e 0 o.e I I.e t1 0 o.e I I.e
LactC7-'e) Lac"
Fig. 1. The left hand panel shows the observed structure function for quasar light
curves from the long term monitoring programme referred to in the text. The right
hand panel shows the structure function for simulated microlensing curves taken from
the literature [12]
The left hand panel of Fig. 1 shows the observed structure function from
a large long term quasar monitoring programme covering 23 years. Details of
the project have already been published [4,8], but the structure function of the
light curves has not hitherto been analysed. There are a total of 622 quasars
in the survey, to a magnitude limit B < 21.5 and in the redshift range 0 <
z < 3.5. The sample is large enough that it can be divided into luminosity and
redshift bins simultaneously to avoid the well-known degeneracy between these
two parameters. The light curves were sampled regularly every year for a period
of 23 years from 1977 to 1999 and the structure functions of individual light
curves were combined to give an average for any particular choice of the redshift
and luminosity parameters.
The observed structure function in the left hand panel of Fig. 1 also has a
power law slope with what appears to be a long timescale cut-off. The index of
the power law is 0.23. This value is not consistent with either the prediction for
the disc instability model or for the supernova burst model, but agrees well with
prediction for microlensing in the right hand panel of Fig. 1.
A further use to which structure functions may be put is in measuring asyme-
tries in the variation. This is achieved by evaluating structure functions in which
only contributions from the rising or falling parts of the light curves are included
in the integration. These two structure functions may then be compared. Fig. 2
shows a pair of such structure functions as open and closed circles. It will be
seen that within the errors the two functions are the same. This would not be
expected for the disc instability model where increase in brightness occurs grad-
ually until an unstable collapse occurs, or for the supernova model where the
component events are characterised by sharp rises in brightness followed by a
gradual decline. Thus these two models predict opposite effects. Microlensing
on the other hand predicts no difference between the two curves. On this basis,
microlensing would appear to give the best fit to the observations: but at present
the data is still too noisy to give a definitive result.
. . l. . raad're
~.
•t
tt
t
•
I I
o G.I I 1.1
Lot !!me (JMn)
Fig.2. Structure functions for the rising (open circles) and falling (closed circles) parts
of the quasar light curves
4 Power Spectra and Time Dilation
In the analysis of quasar variability there are two parameters of particular in-
terest. The amplitude: or related parameters such as the RMS variation are
relatively easily measured, the main problem being that too short a period of
monitoring can mean that they have yet to converge on a stable or asymptotic
value [8]. The measurement of the timescale of variation presents much more
330 M.R.S. Hawkins
of a problem. Most of the work in the literature to date has concentrated on

the structure function [9,2] or the closely related autocorrelation function [4].
Although these functions are robust, and are subject to relatively minor win-
dowing problems, the points are not independent of each other, and it is not easy
to carry out a satisfactory error analysis on them. In addition, the interpretation
of the shapes of both of these functions is not easy.
The Fourier power spectrum in principle contains the same information, but
in practice for a finite run of discrete data ther are big differences in the ease with
which the information can be extracted and the extent to which it is distorted by
'instrumental' effects. Perhaps the most important advantage of power spectrum
analysis is that one gets an unambiguous and independent measure of the power
on each timescale, with an easily measured error. It is not entirely clear why the
power spectrum has not been used more frequently for the analysis of quasar
light curves; it seems most likely that it is because the data must be evenly
sampled and contain a reasonably large number of points to be satisfactorily
interpretted.
The most puzzling question about quasar variability at the present time is
why it has been so hard to detect the effects of time dilation. Several authors
have failed to find any correlation between timescale and redshift [2,4], but one
might argue that their samples were not large enough, and that the monitoring
did not continue for sufficiently long. Another possibility is that the procedure for
measuring timescale using autocorrelation or structure functions was inadequate.
In this paper we attempt to rectify all these defects by a new power spectrum
analysis of the much enlarged and extended quasar monitoring programme.
In Fig. 3 we show power spectra of subsamples (containing around 100
quasars each) binned according to redshift and luminosity. In the top two pan-
els the sample is divided into two luminosity bins - faint on the left and bright
on the right. In each panel there are two sets of symbols, closed circles for low
redshift objects and open ones for high redshift. It will be seen that in each
case the power spectrum is a straight line implying a power law relation, and
that data for high and low redshift sit exactly on top of each other. Given the
effects of time dilation, one would expect the open circles to be moved about
0.3 logarithmic units to the left in each panel. The strong implication is that no
time dilation effect is present.
It will be noticed that in the top two panels of Fig. 3, the slope of the data
for the more luminous quasars is steeper than that for the fainter ones. This
can be seen more clearly in the bottom two panels where low redshift data is
plotted on the left, and high redshift on the right. The closed and open symbols
are low and high luminosity objects respectively. It is clear from these plots that
there is more short timescale power for low luminosity quasars at both high and
low redshift. The clear separation of the various subsamples in these bottom
two panels shows that the power spectrum analysis is capable of measuring real
differences in the variability properties of subsamples in a consistent way.
Power spectrum analysis can also be used to examine any changes of timescale
with colour. Fig. 4 shows the power spectrum for the same quasars in blue and
-11>11>-115 -11>11>-.
0 0 .
... •
)1 ••
t •• •
.
)1 ~ a •
J. •t:a.,. J,~
t •••
I •a..
••~
11.1 •
11.1
.
Lot..,....
-1 -o.a 0 -1 -o.a 0
(JMn) Lot rr.ca-r (JMn)
0.1 < • < 1.'1 1.'I<.<U
0 0 .
... • ...
)1 •• )1
t
•• •
•• • •
••• •••••
•
• •••
J, J,
••••
.. •
• •••••
•••
-.
11.1
. 11.1
-1 -o.a 0 -1 -0.1 0
Lot rr.ca-r (JMn) Lot rr.ca-r (JMn)
Fig. 3. Fourier power spectra for sub-samples of quasar light curves. The top two panels
show data for low and high luminosity quasars. The filled and open circles are power
spectra for low and high redshift objects respectively. The bottom two panels show
data for low and high redshift quasars. The filled and open circles are power spectra
for low and high luminosity objects respectively. This figure shows that the timescale
of quasars does not change with redshift for both luminosity bins. It also shows that
low luminosity quasars have more short timescale power than more luminous ones
red passbands. As for Fig. 3 there is a power law relation with no significant
difference between the data for the two colours. The implication is that within
the errors the variation of the quasars is achromatic.
5 Discussion
The evidence from Fig. 4 strongly suggests that the timescale of quasar variation
does not exhibit the effects of time dilation. Since the acceptance of Einstein's
_.......
332 M.R.S. Hawkins
o,....__....~ ............_,....__......,
Jr~
a .
•
e
J,
••
e
e. a•••
. •
t 1.1 -1 -o.a 0
... ~CJ-n)
Fig.4. Power spectra for a sample of quasars in blue (closed circles) and red (open
circles)
theory of General Relativity there has never been any serious doubt that time
dilation is a fundamental property of the Universe, and the phenomenon has
recently been neatly demonstrated by groups studying distant supernovae [13].
There is still one way to avoid the conclusion that quasar variation does not
undergo time dilation, involving a kind of 'cosmic conspiracy'. As we look to
quasars at higher redshift we are observing shorter wavelength light, and it is
possible that quasars vary more rapidly at shorter wavelengths so as to exactly
counteract the effects of time dilation and thus keep the high and low redshift
data in Fig. 3 superimposed. However, the data in Fig. 4 shows that this cannot
be the case or the closed circles would be offset from the open ones by 0.15
logarithmic units to the right.
Given that we live in an expanding universe and that the phenomenon of
time dilation has been observed in distant supernovae, the fact that it does not
occur in quasar light curves can only mean that the variation we measure does
not originate from the quasar itself, but has an external cause which is at most
only subject to small time dilation effects. There are a number of mechanisms
acting along the line of sight which could in principle cause variations, including
various extinction processes, but so far the only process which can reproduce the
timescale and other properties of the light curves is microlensing. This means
that there exists a population of planetary mass compact bodies sufficient to
make up the missing mass. There has been much discussion as to the nature of
such bodies [4,14,10] and it seems fair to say that the most plausible candidates
are primordial black holes formed during the QeD epoch. These objects are not
subject to constraints on baryon synthesis, can be readily formed in the early
universe, and have microlensing properties capable of producing the variations

seen III quasars.
6 Conclusions
In this paper we have reviewed various mechanisms for quasar variability: and
argued that when confronted by observations, gravitational microlensing is best
able to explain them. We have presented new evidence to show that quasar
variability does not suffer the effects of time dilation, and so the variations
cannot be intrinsic to the quasars themselves. The most plausible explanation is
that quasars are being microlensed by a population of planetary mass compact
bodies sufficient to make up the dark matter. The best candidates for these
bodies are primordial black holes formed during the QeD epoch.
References
1. I. Aretxaga, R Cid Fernandes, RJ. Terlevich: MNRAS 286, 271 (1997)
2. S. Cristiani, S. Trentini, F. La Franca, I Aretxaga: P. Andreani: R Vio: A. Gemmo:
A&A 306: 395 (1996)
3. M.RS. Hawkins: Nature 366: 242 (1993)
4. M.RS. Hawkins: MNRAS 278: 787 (1996)
5. M.RS. Hawkins: A.N. Taylor: ApJ 482: L5 (1997)
6. M.R.S. Hawkins: MNRAS 296: L20 (1998)
7. M.RS. Hawkins: A&A 340: L23 (1998)
8. M.RS. Hawkins: A&AS 143: 465 (2000)
9. I.M. Hook: R.G. McMahon: B.J. Boyle: M.J. Irwin: MNRAS 268: 305 (1994)
10. K. Jedamzik: Phys. Rep. 307: 155 (1998)
11. T. KawaguchI: S. Mineshige: M. Umemura: E.L. Turner: ApJ 504: 671 (1998)
12. G.F. Lewis: J. Miralda-Escude: D.C. Richardson: J. Wambsganss: MNRAS 281:
647 (1993)
13. A.G. Riess: A.V. Filippenko et al.: AJ 114: 722 (1997)
14. M. Walker: M. Wardle: ApJ 498: 1125 (1998)
The MACHO Project 5.7 Year LMC Results
M. J. Lehner l , C. Alcock2 ,3, R. A. Allsman4, D. R. Alves 5 , T. S. Axelrod 6,

A. C. Becker7, D. P. Bennett 2 ,8, K. H. Cook 2 , \ N. DalaI 3 ,9, A. J. Drake2 ,6,
K. C. Freeman6, M. Geha2 , K. Griest 3 ,9, S. L. MarshaIl 2 ,3, D. Minniti 2 ,1O,
C. A. Nelson 2 ,3, B. A. Peterson6, P. Popowski 2 , M. R. Prate, P. J. Quinn l !,
C. W. Stubbs 3 ,6,7, W. Sutherland l2 , A. B. Tomaney7, T. Vandehei 3 ,9, and
D. Welch l3
1 Department of Physics and Astronomy, University of Sheffield, Sheffield S3 7RH,

UK
2 Lawrence Livermore National Laboratory, Livermore, CA 94550, USA
3 Center for Particle Astrophysics, University of California, Berkeley, CA 94720,
USA
4 Supercomputing Facility, Australian National University, Canberra, ACT 0200,
Australia
5 Space Telescope Science Institute, Baltimore, MD 21218, USA
6 Research School of Astronomy and Astrophysics, Canberra, ACT 2611, Australia
7 Departments of Astronomy and Physics, University of Washington,
Seattle, WA 98195, USA
8 Department of Physics, University of Notre Dame, South Bend, IN 46556, USA
9 Department of Physics, University of California San Diego, La Jolla, CA 92093,
USA
10 Depto. de Astronomia, P. Universidad Catolica, Santiago 22, Chile
11 European Southern Observatory, D-8574 8 GiiIching bei Miinchen, Germany
12 Department of Physics, University of Oxford, Oxford OXl 3RH, UK
13 McMaster University, Hamilton, Ontario L8S 4M1, Canada
Abstract. The MACHO collaboration has analyzed 5.7 years of photometry on ap-
proximately 11.7 million stars in the Large Magellanic Cloud (LMC) in a search for
gravitational microlensing events. Two sets of cuts were used in the event selection
process, and 13 and 17 events were found in the different sets. If the lenses are in the
Galactic halo, then likelihood analysis for a standard halo model gives a halo mass
fraction of about 0.2 with a 95% confidence interval of 0.08-0.5 and lens masses in the
range 0.15-0.9 Mo.
1 Introduction
If a significant fraction of the dark matter in the Galactic halo consists of Machos
then these objects can be detected by gravitational microlensing of stars in the
Magellanic Clouds [1,2]. If an object passes near the line of sight of a background
star, the object will act as a gravitational lens and the background star will
appear to be magnified by a factor
u 2 +2
(1)
A = Uvu 2 +4'
M. J. Lehner et aI. 335
where u is the impact parameter to the line of site in units of the Einstein ring
radius
RE = 4Gmx(L - x) (2)
c2 L
where m is the lens mass, x is the observer-lens distance, and L is the observer-
source distance. The lenses are generally in motion with respect to the line of
site, and the magnification is transitory with
2 2(t - to) 2] 1
2
u(t) = [Urn in + ( i ) , (3)
where Urnin is the minimum impact parameter, to is the time of peak magnifica-
tion, and i is the Einstein diameter crossing time, given by
(4)
where Vol is the lens velocity component perpendicular to the line of site. Note
that all of the important information about the lens (m, x, Vol) is contained in
the single parameter i, and the maximum magnification depends only on the
minimum impact parameter, that is, A rnax = A(Urnin)'
2 Data Collection and Event Selection

The MACHO Collaboration has monitored the brightnesses of millions of stars
in the LMC and SMC between 21 July, 1992 and 3 January, 2000 in the search
for such events. During this period the collaboration has had full-time use of
the 1.27-meter telescope at Mount Stromlo Observatory, Australia. The camera
system consisted of a dichroic filter which is used to give simultaneous imaging
of a 42' x 42' field in two colors, using eight 20482 pixel CCDs. As of 1998 March,
over 70,000 exposures had been taken with the system, over 5 terabytes of raw
image data. About 55% are of the LMC, the rest are of fields in the Galactic
center and SMC. In this paper we provide a short summary of the analysis of
5.7 years of data from 30 fields in the LMC. For a more detailed description of
the results the reader is strongly urged to consult our main results paper [3] and
our paper on the efficiency analysis [4].
The observations described here comprise 21,570 images distributed over the
30 fields. These include most of our observations of these fields in the time span
of 2067 days from 1992 September 18 to 1998 March 17 as well as a fraction
of our observations taken between 1992 July 22 and 1992 August 23 when our
system was still in an engineering phase. The mean number of exposures per
field is 21570/30 = 719, with a range from 180 to 1338. The sampling varies
significantly between fields, since the higher priority fields were often observed
twice per night with an average of about 4 hours between exposures.
After each image was taken it was photometrically reduced, and for each
star in the image we recorded information on the star's flux (in two passbands),
336 The MACHO Project 5.7 Year LMC Results
an error estimate, the X2 of the fit to a point spread function, and other such
statistics. These data were then assembled in to a time series, and the resulting
lightcurves were searched for microlensing. The event selection was performed
in several steps. First, a series of filters was run on each lightcurve to find any
object with significant variability ("level-1 cuts"). A microlensing fit was then
applied to these lightcurves, and a loose cut was made on the fit X2 ("level-
1.5 cuts"). The next series of cuts ("level-2 cuts") were then used to attempt
to eliminate all of the remaining lightcurves which do not contain microlensing
events while keeping as many real events as possible. This presents a problem,
since we of course can not calibrate the system and must therefore tailor our
cuts to the actual data. This introduces a possibility for a large systematic error
in our results since one can come up with any set of cuts to keep the events one
wants. Therefore, in order to test the robustness of our results, we have used two
sets of level-2 cuts. One set of cuts (set A) is very stringent, designed to accept
only high signal-to-noise events with a good microlensing fit, while the other
(set B) has a more relaxed cut on microlensing shape in order to search for low
signal-to-noise events. After applying these cuts to our data, we found 13 and
17 events for cuts A and B respectively. (See [3] for lightcurves and parameters
of these events, and a more detailed description of our selection criteria.)
Note that as long as the event detection efficiency is calculated properly, and
the selection criteria are sufficiently stringent to accept only real microlensing
events, changes in the selection criteria should be accounted for in the efficiency
calculations, and the details should not greatly affect the final results (in the
limit of a large number of detected events). This statement implicitly ignores
exotic microlensing events such as binary lens or parallax microlensing events
that have lightcurves that differ from those used in our efficiency determination.
We have not determined our efficiency for exotic events, but selection criteria
set B is designed, in part, to be more sensitive to such events. Furthermore, a
much more sensitive search for exotic lensing events has been carried out, and
none were found. So, we do expect that the difference between selection criteria
set A and set B is a reasonable indication of our selection criteria systematic
error, and we find that this difference is fairly small.
An important cut used in both selection criteria which was not used previ-
ously [5] is a cut on supernovae in distant galaxies behind the LMC. Supernova
events have a similar shape to microlensing events, and they occur only once
and have a flat baseline before and after the event, another signature in com-
mon with microlensing events. Most of the background SNe are expected to be
of type Ia [6], and fortunately much is known about the lightcurve shapes of
such events [7,8]. A simple cut on lightcurve shape (X§N - X~L < 0, where X§N
and X~L are fits to SNe and microlensing) identifies several possible background
SNe, and follow-up images of these stars reveal a background galaxy near most of
the stars which fail this cut. This cut is therefore added to both sets of selection
criteria. See Fig. 1 for examples of lightcurves which pass and fail this cut.
14
12
10
) 8
6
4
o~!!ii!~:2Ii
14
12
10
<~ 8
6
4
o~~"t::S:~ii!c:==iI~~~c::::::::I~!l£3
500 1000 1500 2000
JD - 2448623.5
Fig. I. Example of an event passing both sets of cuts (top two lightcurves) and an
event failing the supernova cut (bottom two lightcurves). The lightcurves showing the
supernovae event include the best microlensing fit (solid line) and the supernova fit
(dotted line)
3 Efficiency
In order to use these events to draw any conclusions as to the abundance and
masses of Machos in the Galactic Halo, we need to know the efficiency with which
we can detect microlensing events. As mentioned above, all of the important
information about the lens (mass, position, velocity) is contained in the event
duration i. Therefore we must know the efficiency as a function of i, and this
efficiency can be used with a model of the halo in a maximum likelihood analysis
to estimate the lens mass and dark matter fraction consisting of Machos.
The best way to estimate the efficiency is to add simulated lightcurves to
existing data in order to include the effects of varying seeing, sky background
subtraction, sampling rates, etc. of the images in different fields. However, this
is complicated by the fact that most of the objects we see in the images are
not actual stars, but unresolved blends of two or more stars. Only one of the
stars in the blend is generally lensed at a given time, and this will distort the
shape of the light curve. This is because the measured magnification will differ
from the true magnification, which would tend to lower the detection efficiency
since events of higher magnification are more easily detected, and lensed stars
which are blended will show less magnification than is actually occurring. This
reduction in the efficiency is offset, however, by the fact that there are many
more stars than objects being monitored, increasing the overall exposure. Any
robust efficiency measurement must carefully treat these two competing effects.
The efficiency calculation proceeds in several steps which are described in
detail in [4]. First, an accurate color-magnitude diagram of the LMC fields is
constructed. This is accomplished by combining the color-magnitude diagram
as seen in the Macho data with a color-magnitude diagram from the Hubble
Space Telescope (HST) which covers much fainter stars than can be seen with
the Macho telescope [9]. An artificial star is then chosen at random from this
distribution and added at a random location to an image of one of the MACHO
fields. Different levels of flux are then added to the star and the magnification
recovered by the photometry code is determined. In this way a database of
recovered vs added flux at varying seeing, sky, and crowding is generated in each
passband for a large number of stars sampled from across the color-magnitude
diagram. Next, simulated events are added into existing lightcurves. First, an
object is matched to a blended object in the artificial star database. Next, an
event is generated, where the parameters Umin and to are chosen uniformly,
since microlensing events are uniform in these parameters. The timescales are
chosen from a logrithmic distribution in order to determine the efficiency for
short timescale events as well as for long duration events. These parameters are
used to generate the magnification A(t), and for each point in the lightcurve the
recovered flux Arec from the artificial star database is added to each passband,
and the errors are adjusted accordingly. Finally, the cuts described above are
applied to the simulated lightcurve, and the efficiency is determined from the
number of recovered versus input events.
The efficiency as a function of i is shown in Fig. 2. The efficiency for event
selection set B is much higher than for set A, since set B was designed to be less
stringent. Note also that the efficiency for large timescale events increases with
the time span of the data being analyzed. This is because a significant baseline
is required to see that any possible event is not a variable star, and an explicit
maximum timescale cut is introduced in order to ensure a flat baseline before
and/or after the event. The maximum timescale is increased as the baseline
increases, which is why the year-5 data has a higher efficiency at large timescales
than the year-lor year-2 data.
4 Results
Using the detection efficiencies described in Section 3, a likelihood analysis is
performed to estimate the lens mass and halo fraction, and the results are shown
in Fig, 3. The likelihood analysis includes expected contributions from the Milky
Way disk, spheroid, and halo, and from the LMC disk. The case of a dark LMC
0.7
_ _ Year 5 Photometric Efficiency Criteria A
..... .. .... Year 5 Photometric Efficiency Criteria B
0.6 - - - - Year 2 Photometric Efficiency
_ _ Year 1 Photometric Efficiency
0.5
>.
0
~
-
<ll
:§ 0.4
~
~
0
:;j
...,<ll 0.3
0
<ll
Cl
0.2
l (days)
Fig. 2. Efficiency as a function of event duration
halo is also considered. These results are model dependent, of course, and the
results for different halo models can be found in [3]. Note that the results from
the two sets of selection criteria are very similar, indicating that the criteria
used do not introduce much systematic error into the final results. Also, note
that the addition of a dark LMC halo does not significantly change the results.
The LMC halo model is designed to be as conservative as possible given the
available data on the LMC, but the results are nonetheless model dependent. It
is yet to be determined if all of these events are actual halo lenses. To do that
in a model independent fashion will require the detection of exotic events which
deviate from the standard light curve shape (for example, due to the parallax
arising from the motion of the Earth around the Sun [10]), which should allow
one to break the degeneracy of the event parameters in i. This will require a
much larger survey in a site with good seeing and a large follow-up effort. As
mentioned above, the MACHO Collaboration has stopped collecting data, so this
will be left up to other projects, such as EROS II [11]. IT, however, the lenses are
in fact part of a halo population, then it appears that for a standard spherical
halo model between 10% and 40% of the halo is made of Machos with masses
0.2-0.8 M0 . The nature and origin of these objects remains unclear.
--o
::g
'-'"
100
S 10-1
10-2 ~+--+~-+--+--+-I--+--+-'±=--+-+--+~---+--1---+-+-+--=l
--
~
o
'-'"
10°
A (no lmc halo) B (no lmc halo)

10- 2 II...-.L.--.L.--.L..-.L..-..L...-...L........L........L-...L-...L-....L-....L--L.-.....I---l---l-......I----L..---L.......J
o 0.2 0.4 0.6 0.8 o 0.2 0.4 0.6 0.8

f f
Fig. 3. Maximum likelihood contours of mass and halo fraction, for both sets of selec-
tion criteria and for models including and excluding contributions from an LMC halo.
The contours shown are for 34%, 68%, 90% and 95% confidence levels. Also shown
in the upper left panel is the most likely lens mass and halo fraction from our year-2
analysis, as well as the 90% confidence level contour
The upper left panel in Fig. 3 also shows the most likely lens mass and halo
fraction and the 90% confidence level contour from our year-2 analysis [5]. The
most likely halo fraction has dropped significantly, from about 50% to about
20%. This is attributable mainly to small number statistics. Also, improvements
in our analysis and efficiency determination have shown that the efficiency results
for our year-2 analysis were slightly underestimated, increasing the resulting halo
fraction by 10% or so. See [3] for a more in-depth discussion of this issue.
Acknowledgements
We are very grateful for the skilled support given our project by the technical
staffs at the Mt. Stromlo and CTIO Observatories, and in particular we would
like to thank Simon Chan, Glen Thorpe, Susannah Sabine, and Michael McDon-
ald, for their valuable assistance in obtaining the data. This work was performed
under the auspices of the U.S. Department of Energy by University of California
Lawrence Livermore National Laboratory under contract No. W-7405-Eng-48.
Work performed by the Center for Particle Astrophysics personnel is supported
in part by the Office of Science and Technology Centers of NSF under coop-
erative agreement AST-8809616. Work performed at MSSSO is supported by
the Bilateral Science and Technology Program of the Australian Department
of Industry, Technology and Regional Development. DM is also supported by
Fondecyt 1990440. CWS thanks the Packard Foundation for their generous sup-
port. WJS is supported by a PPARC Advanced Fellowship. CAN was supported
in part by an NPSC Fellowship. ND and KG were supported in part by the DOE
under grant DEF03-90-ER 40546. TV was supported in part by an IGPP grant.
References
1. B. PaczyIiski: ApJ 304, 1 (1986)
2. K. Griest: ApJ 366, 412 (1991)
3. C. Alcock et aI: ApJ 542, 281 (2000)
4. C. Alcock et al: astro-ph/0003392 (2000)
5. C. Alcock et aI: ApJ 486, 697 (1997)
6. E. Woods and A. Loeb: ApJ 508, 760 (1998)
7. M. M. Phillips: ApJ 413, L105 (1993)
8. A. G. Riess, W. H. Press, and R. P. Kirshner: ApJ 473, 88 (1996)
9. C. Alcock et al: AJ 119, 2194 (2000)
10. C. Alcock et aI: ApJ 454, L125 (1995)
11. T. Lasserre et al: In this proceedings
Are There MACHOs in Our Galactic Halo?
Thierry Lasserre
CEA, DSM, DAPNIA, Centre d'Etudes de Saclay, F-91191 Gif-sur-Yvette Cedex,

France
Abstract. We present the new results from the ERos2 collaboration concerning the
galactic dark matter content of our dark halo, probed via the search for microlensing
effects towards the Magellanic Clouds. In the present article, we report the analysis
of 25 million stars of the Large Magellanic Cloud, monitored over three years. Four
candidates have been found, which is much lower than expected if MACHOS represent a
significant component of the galactic dark halo. xWe combine these new ERos2 results
with those from our search towards the Small Magellanic Cloud as well as earlier ones
from the ERos1 experiment. The combined data, sensitive to compact objects in the
wide mass range 10- 7 - 10M 0 , allowed us to derived a strong upper limit on the
abundance of MACHOS. Following this combined analysis, we ruled out MACHOS with
mass lower than a few solar mass as a substantial component of our dark halo.
Introduction
The search for gravitational microlensing in our Galaxy has been going on for a
decade, following the proposal to use this effect as a probe of the dark matter
content of the Galactic halo [18]. The first microlensing candidates were reported
in 1993, towards the LMC [9,2] and the Galactic Centre [24] by the EROS, MACHO
and OGLE collaborations.
Because they observed no microlensing candidate with a duration shorter
than 10 days, the ERosl and MACHO groups were able to exclude the possibility
that more than 10% of the Galactic dark matter resides in planet-sized objects
[10,3,21,22,6].
However a few events were detected with longer timescales. In their two-year
analysis [4]' the MACHO group estimated, from 6-8 candidate events towards the
LMC, an optical depth of order half that required to account for the dynamical
mass of the "standard" spherical dark halo!; the typical Einstein radius crossing
time of the events, tE, implied an average mass of about 0.5 M0 for halo lenses
[4]. Based on two candidates, ERosl set an upper limit on the halo mass fraction
in objects of similar masses [8], that is below that required to explain the rotation
curve of our Galaxy 2.
The second phase of the EROS programme was started in 1996, with a ten-fold
increase over EROS! in the number of monitored stars in the Magellanic Clouds.
1 4 x 10 11 M0 within 50 kpc
2 Assuming the original two ERos1 candidates are microlensing events, they would
correspond to an optical depth six times lower than that expected from a halo fully
comprised of MACHOS.
Thierry Lasserre 343
The analysis of the first two years of data towards the Small Magellanic Cloud
(SMC) allowed the observation of one microlensing event [20] also detected by the
MACHO collaboration [5]. This single event, out of 5.3 million monitored stars,
allowed ERos2 to further constrain the halo composition, excluding in particular
that more than 50 % of the standard dark halo is made up of 0.01 - 0.5 Me;)
objects [1]. In contrast, an optical detection of a halo white dwarf population
was reported by Ibata et al. [13], compatible with a galactic halo full of white
dwarfs.
Very recently, the MACHO group presented an analysis of 5.7 year light curves
of 10.7 million stars in the LMC [7] with an improved determination of their
detection efficiency and a better rejection of background supernova explosions
behind the LMC. They now favour a galactic halo MACHO component of 20% in
the form of 0.4 Me;) objects. Within a few days, the detection of a halo white dwarf
population at the level of a 10% component was also reported by Ibata et al. [14].
Simultaneously, the ERos2 group presented its results from a two-year survey of
17.5 million stars in the LMC [16]. One ERos1 microlensing candidate, ERos1-
LMC-2, was seen to vary again, 8 years after its first brightening, and was thus
eliminated from the list of microlensing candidates. Two new candidates were
identified. Because this is much lower than expected if MACHOS are a substantial
component of the galactic halo, and because these two new candidates do not
show excellent agreement with simple microlensing light curves, EROS chose to
combine these results with those from previous EROS analyses, and to quote an
upper limit on the fraction of the galactic halo in the form of MACHOS.
In this article, we describe an update on the ERos2 LMC data, the analysis
of the three-year light curves from 25.5 million stars. While the sensitivity is
improved, the main conclusions are unchanged compared to the two-year analysis
[16]. One of the two-year candidate was seen to vary in the third season and
was thus rejected. Three new candidates have been detected. We combine these
ERos2 LMC results with those of previous independent EROS analyses, and derive
the strongest limit obtained thus far on the amount of stellar mass objects in
the Galactic halo.
1 Experimental Setup and LMC Observations
The telescope, camera, telescope operation and data reduction are as described in
[11] and [20]. Since August 1996, we have been monitoring 66 one square-degree
fields in the LMC, simultaneously in two wide passbands. Of these, data prior to
May 1999 from 39 square-degrees spread over 64 fields have been analysed. In
this period, two thirds of the fields were imaged about 210 times in average; the
remaining third were imaged only about 110 times. The exposure times range
from 3 min in the LMC center to 12 min on the periphery; the average sampling
is once every 4 days (resp. 8 days).
344 Are There MACHOs in Our Galactic Halo?
2 LMC Data Analysis
The analysis of the LMC data set was done using a program independent from
that used in the SMC study, with largely different selection criteria. The aim is
to cross-validate both programs (as was already done in the analysis of ERosl
Schmidt photographic plates, [8]) and avoid losing rare microlensing events 3 .
The analysis is very similar to that reported in [16J. We only give here a list of
the various steps, as well as a short description of the differences with respect
to our two-year analysis. A detailed description of the analysis will be provided
in [15J and [17J.
We first select the 6% "most variable" light curves, a sample much larger than
the number of detectable variable stars. This subset of our data is "enriched"
in genuine variable stars 4 , but also and mainly in photometrically biased light
curves, i.e. those of stars especially sensitive to the observing conditions, such as
stars very close to nebulosities or to bright stars. Working from this "enriched"
subset, we apply a first set of cuts to select, in each colour separately, the light
curves that exhibit significant variations. We first identify the baseline flux in
the light curve - basically the most probable flux. We then search for runs along
the light curve, i.e. groups of consecutive measurements that are all on the same
side of the baseline flux. We select light curves that either have an abnormally
low number of runs over the whole light curve, or show one long run (at least
5 valid measurements) that is very unlikely to be a statistical fluctuation. We
then ask for a minimum signal-to-noise ratio by requiring that the group of
5 most luminous consecutive measurements be significantly further from the
baseline than the average spread of the measurements. We also check that the
measurements inside the most significant run show a smooth time variation.
The second set of cuts compares the measurements with the best fit point-
lens point-source constant speed microlensing light curve (hereafter "simple mi-
crolensing"). They allow us to reject variable stars whose light curve differs too
much from simple microlensing, and are sufficiently loose not to reject light
curves affected by blending, parallax or the finite size of the source, and most
cases of multiple lenses or sources. We also require that the fitted time of maxi-
mum magnification lie within the observing period or very close to it, and that
the fitted timescale is shorter than 300 days. The latter cut is equivalent to re-
quiring that the baseline flux of the star is observed for at least a few months;
this is necessary in any analysis using this baseline flux. At this stage of the
analysis, all cuts have been applied independently in the two passbands.
After this second set of cuts, stars selected separately in the two passbands
represent about 0.01 % of the initial sample; almost all of them are found in two
thinly populated zones of the colour-magnitude diagram. The third set of cuts
deals with this physical background. The first zone contains stars brighter and
3 We have checked that the present program finds the same SMC candidate as reported
in Palanque-Delabrouille et aI. (1998).
4 We monitor our selection efficiency with Monte-Carlo simulated variable star and
microlensing light curves.
much redder than those of the red clump; variable stars in this zone are rejected if
they vary by less than a factor two or have a very poor fit to simple microlensing.
The second zone is the top of the main sequence, where the selected stars, known
as blue bumpers [4J, display variations that are almost always smaller than 60%
of the base flux or at least 20% lower in the visible passband than in the red one.
These cannot correspond to simple microlensing, which is achromatic; neither
can they correspond to microlensing plus blending with another unmagnified
star, as it would imply blending by even bluer stars, which is very unlikely.
We thus reject all candidates from the second zone exhibiting one of these two
features.
Compared to the two-year analysis [16], two new cuts are introduced to reject
other types of variable stars that were not present in the two-year analysis. The
first one is aimed at stars which have a roughly constant luminosity for some
time, then vary typically over one or two months to reach a new constant level.
We cannot yet conclude whether these are physical variable stars or some kind
of instrumental problem. The second cut is aimed at novre and supernovre. It
rejects light curves which have a rise time significantly smaller than the decline
time; it is not applied to events with a timescale longer than 60 days, in order
not to reject microlensing phenomena with parallax effects, that also show an
asymmetry.
The final cuts are simply tighter cuts on the fit quality, applied to both colours
(whereas similar previous cuts were applied independently in each passband),
and a requirement that the observed magnification be at least 1.40 .
The tuning of each cut and the calculation of the microlensing detection ef-
ficiency are done with simulated simple microlensing light curves, as described
in [20,15J. For the efficiency calculation, microlensing parameters are drawn as
follows : time of maximum magnification to uniformly within the observing pe-
riod ±150 days, impact parameter normalised to the Einstein radius Uo E [0,2]
uniformly, and timescale tE E [1,400] days uniformly in In(tE). All cuts on the
data were also applied to the simulated light curves.
Only four candidates remain after all cuts. Of the two candidates presented
in the two-year analysis [16], ERos2-LMC-3 is still a member of this list, while
ERos2-LMC-4 was seen to vary at least twice in the third season and was thus
rejected. There are three new candidates, numbered 5 to 7. Their light curves
are shown in Figs. 1 and 2; microlensing fit parameters are given in Table 1. Al-
though the candidates pass all cuts, agreement with simple microlensing is not
excellent. In particular, ERos2-LMC-5 is dubious: it has a bad fit to simple mi-
crolensing and is located in an atypical region of the colour-magnitude diagram.
The geometric mean of the candidates timescales is about 32 days, including
that of the ERos1 candidate LMC-l.
The efficiency of the analysis, normalised to events with an impact param-
eter Uo < 1 and to an observing period Tobs of three years, is summarised in
Table 2. The main source of systematic error is the uncertainty in the influence
of blending. Blending lowers the observed magnifications and timescales. While
this decreases the efficiency for a given star, the effective number of monitored
~3500
~ "1000
;.500
.:;:
2000
1500
000
500
o
2500 2600 2700 2800 2900 3000 3100 3200 3300
JD - 2.447.8915
Cond,dot. EROS-LMC-3 (blue bond)
'2000
.
::l
0000
... 8000
16000
14000
12000
10000
2700 2800 2900 3000 3100 3200 3300

JD - 2447.8 I 5
Cond,dole EROS-LMC-5 (blue bond)
Fig. 1. Light curves of candidates EROS-LMC-3 and 5 (visible passband). The plain
curves show the best point-lens point-source fits; time is in days since Jan. 1, 1990 (JD
2,447,892.5).
Table 1. Results of microlensing fits to the four ERos2 LMC candidates; tE is the
Einstein radius crossing time in days, Uo the impact parameter, and c~fV) the R(V)
blending coefficients, constrained to be smaller than unity.
2
UQ tE C~l C~l X / dof VJ Rc
LMC-3 0.21 44 0.75 1 219/143 22.4 21.8

LMC-5 0.58 24 0.91 1 658/176 19.2 19.4
LMC-6 0.38 36 0.72 1 682/411 21.3 21.8
LMC-7 0.23 33 0.45 1 722/356 22.7 22.3
stars is increased so that there is partial compensation. This effect was studied
with synthetic images using measured magnitude distributions [19]. Our final
efficiency is within 10% of the "naive" sampling efficiency. Compared to the ef-
ficiency of the two-year analysis [16], the present one is improved for the longest
5000 , : - - - - - - - - - - . . , . - - - - - - - - - - - - ,
'5'4500
o
~4000
~3500
3000
~500
2000
1500 f;l-~fi-ofhO+----
1000
500 ~~~_:_!:7'_'~;:':_'_~~~~~::';:::"_"_:~::"__'__:;!;,:=___~~~.
2~00 2600
C.ond'dole ER05-L"C- (Iu· bond)
~3500
:J
%3000
....22500
2000
1500
1000
500 E---'""...-fl-'-~ ..-H----4--t'l!'n
o
2500 2600 2700 2800 2900 3000 3100 3200 J300 3400
JD-2 44 7.815
Cond,do e ER05-L'~C-7 (blue bond)
Fig. 2. Same as Fig.2 for candidates EROS-LMC-6 and 7. The plain curves show the
best point-lens point-source fits; time is in days since Jan. 1, 1990 (JD 2,447,892.5).
and shortest durations, but slightly lower for average durations around 50 days.
This is largely explained by the fact that we have included in the present analysis
stars in external LMC fields that were sampled less frequently.
Table 2. ERos2 detection efficiency in % for the LMC 3-year analysis, as a function
of the Einstein radius crossing time tE in days, normalised to events generated with
Uo < 1, and to Tabs = 3 yrs. We analysed N. = 25.5 X 10 stars.
6
tE 3 6.3 13 28 40 60 90 120 175 250 360
€ 0.5 2.7 6.7 11 14 16.5 19 20.5 22 17.5 2

3 Limits on Galactic Halo MACHOs
EROS has observed six microlensing candidates towards the Magellanic Clouds,
one from ERos1 and four from ERos2 towards the LMC, and one towards the
SMC. As discussed in [20], and further in [12], we consider that the long duration
of the SMC candidate together with the absence of any detectable parallax, in
our data as well as in that of the MACHO group [5], indicates that it is most likely
due to a lens in the SMC 5 . For that reason, the limit derived below uses the five
LMC candidates. (The limit corresponding to all six candidates would be about
a factor 1.13 times the limit shown, for masses larger than 0.01 solar mass.)
The limits on the contribution of dark compact objects to the Galactic halo
are obtained by comparing the number and durations of microlensing candidates
with those expected from Galactic halo models. We use here the so-called "stan-
dard" halo model described in [20] as modell, but have checked that we obtain
similar results for other reasonable halo models. The model predictions are com-
puted for each EROS data set in turn, taking into account the corresponding
detection efficiencies ([8,22,1] and Table 2 above), and the four predictions are
then summed. In this model, all dark objects have the same mass M; we have
computed the model predictions for many trial masses M in turn, in the range
[10- 8 M0 , 102 M0 ]·
The method used to compute the limit is as in [8]. We consider two ranges
of timescale tE, within or outside the interval I = [7.5; 190] days. This interval
was chosen as follows. We first determine the average mass corresponding to the
mean duration of the five LMC candidates, at about 0.2M 8 . We then compute the
expected distribution of microlensing timescales for this average mass and check
that the observed spread in timescales for the candidates is compatible with the
width of this distribution. This means that our candidates are compatible with
the hypothesis that their spread in mass contributes very little to the width of the
timescale distribution. The interval I is then chosen as a symmetrical interval in
In(tE) that contains 99% of the timescale distribution for halo MACHOs ofO.2M 0 .
Of course, all five LMC candidates have timescales well within the interval I.
We can then compute, for each mass M and any halo fraction f, the combined
Poisson probability for obtaining, in the four different EROS data sets taken as a
whole, zero candidate outside I and five or less within I. For any value of M, the
limit fmax is the value of j for which this probability is 5%. Whereas the actual
limit depends somewhat on the precise choice ofI, the difference (inferieure a 5%)
is noticeable only for masses around 0.01 and 10 M0 . Furthermore, we consider
our choice for I to be a conservative one.
Figure 3 shows the 95% C.L. exclusion limit derived from this analysis on
the halo mass fraction, j, for any given dark object mass, M. The solid line
corresponds to the five LMC candidates; it is the main result of this article. This
limit rules out a standard spherical halo model fully comprised of objects with
any mass function inside the range [10- 7 - 10] M 0 . In the region of stellar mass
5 Alternatively, it can be argued that, if due to a galactic halo lens, this event corre-
sponds to a lens population distinct from that observed towards the LMC.
.
.100
~
c
.2
u xcIuded at 95% CL
~ 0 by ERO 11990-95
VI
VI and EROS2 S C 1996·98
o
E and ERO 2 L 1C 1996-99
o
~ 60 with 5 candidates -
40
PermUted
by MACHO 6 years
at 95% CL
20
o
10" 10" 10" 10" 10" 10" 10" 10" 10 100
Moss of he de lee ors (M.)
Fig. 3. 95% C.L. exclusion diagram on the halo mass fraction in the form of compact
objects of mass M, for the standard halo model (4 x lOll M 0 inside 50 kpc), from
all LMC and SMC EROS data 1990-99. The solid line is the limit inferred from the five
LMC microlensing candidates. The new MACHO 95% C.L. accepted region is the closed
contour, with the preferred value indicated by the cross.
objects, where this result improves most on previous ones, the new LMC data
contribute about 73% to our total sensitivity (the SMC and ERos1 LMC data
contribute 10% and 17% respectively). The total sensitivity for tE = 50 days,
that is proportional to the sum of N. Tabs E(tE = 50d) over the four EROS data
sets, is about 3.2 times larger than that of the MACHO two-year analysis [4]' and
two thirds that of the six-year analysis [7].
4 Discussion
After nine years of monitoring the Magellanic Clouds, EROS has a meager crop of
five microlensing candidates towards the LMC and one towards the SMC, whereas
about 30 events are expected towards the LMC for a spherical halo fully com-
prised of 0.4M 0 objects. Moreover, some of the candidates cannot be considered
excellent. These candidates were obtained from four different data sets analysed
by independent, cross-validated programs. So, the small number of observed

events is unlikely to be due to bad (and overestimated) detection efficiencies.
This allows us to put strong constraints on the fraction of the halo made of
objects in the range [10- 7 MG , 10 MG ], excluding in particular at the 95% C.L.
that more than 40% of the standard halo be made of objects with up to 1 MG'
The preferred value quoted by the MACHO six-year analysis [7], f = 0.2 and
0.4 MG , is consistent with our limit as can be seen in Fig. 3. (The upper part
- about 25% - of the domain allowed by [7J is excluded by the limit we report
here.)
There are several differences which should be kept in mind while comparing
the two experiments. First, EROS uses less crowded fields than MACHO with the
result that blending is relatively unimportant for EROS. (Were EROS results to
be corrected for blending, the detection efficiency would increase slightly and
the reported limit would be stronger.) Second, EROS covers a larger solid angle
(64 deg 2 in the LMC and 10 deg 2 in the SMC) than MACHO, which monitors
primarily 15 deg 2 in the central part of the LMC. The EROS rate should thus be
less contaminated by self-lensing, i.e. microlensing of LMC stars by dimmer LMC
objects, which should be more common in the central regions. The importance
of self-lensing was first stressed by WU [25J and Sahu [23J. Third, the MACHO
data have a more frequent time sampling.
The results from EROS and MACHO are apparently consistent, but the way
they are interpreted is different. MACHO reports a signal and considers the con-
tamination of its sample as low or null. ERos2 quotes an upper limit and does
not claim its sample to be background-free. The position of the lenses along the
line of sight, halo or Magellanic Clouds, is also an issue. MACHO has compared
the spatial distribution of its candidates across the face of the LMC and observes
a better agreement with the halo hypothesis than with a specific model of the
LMC. On the other hand, because the EROS stars are spread over a wider field, the
fact that the EROS sample corresponds to a lower central value of the event rate
(about twice lower than that of MACHO) is compatible with an interpretation
where a noteable fraction of the events are due to self-lensing. The small number
of EROS candidates precludes at present any definitive conclusion on that topic.
It seems likely that the single most important input to the question of the
position of the lenses will come from the comparison of the microlens candidates
samples towards the SMC with those towards the LMC. Because the two lines
of sight are rather close (about 20 degrees apart), the timescale distributions
of microlensing candidates towards the two Clouds should be nearly identical if
lenses belong to the galactic halo. Also, the event rates should be comparable,
although the ratio is more halo model dependent. At present, EROS has analysed
two seasons of SMC data [IJ and MACHO has not yet presented its detection
efficiency towards the SMC. From the published EROS efficiencies, and assuming
that the MACHO efficiencies towards the SMC are similar to those towards the
LMC, it can be expected that the completed experiments will have gathered
between five and ten microlenses towards the SMC. This should allow a significant
comparison of the timescales [12J.
Finally, let us mention that, given the scarcity of our candidates and the
possibility that some observed microlenses actually lie in the Magellanic Clouds,
EROS is not willing at present to quote a non zero lower limit on the fraction of
the Galactic halo comprised of dark compact objects with masses up to a few
solar masses.
References
1. Afonso C. et al. (EROS), 1999, A&A 344, L63
2. Alcock C. et al. (MACHO), 1993, Nat 365, 621
3. Alcock C. et al. (MACHO), 1996, ApJ 471,774
4. Alcock C. et al. (MACHO), 1997a, ApJ 486, 697
5. Alcock C. et al. (MACHO), 1997b, ApJ 491, L11
6. Alcock C. et al. (MACHO), 1998, ApJ 499, L9
7. Alcock C. et al. (MACHO), 2000, preprint astro-phj0001272, to appear in ApJ
8. Ansari R. et al. (EROS), 1996, A&A 314, 94
9. Aubourg E. et al. (EROS), 1993, Nat 365, 623
10. Aubourg E. et al. (EROS), 1995, A&A 301, 1
11. Bauer F. et al. (EROS), 1997, in Proceedings of the "Optical Detectors for Astron-
omy" workshop (ESO, Garching)
12. Graff D., T. Lasserre and A. Milsztajn, paper submitted to the Nu2000 conference
(Sudbury)
13. Ibata R. et al., 1999, ApJ 524, L95
14. Ibata R. et al., 2000, ApJ 532, L41
15. Lasserre T., 2000, PhD thesis, Universite de Paris 6 (in French)
16. Lasserre T. et al. (EROS), 2000a, A&A 355, L39
17. Lasserre T. et al. (EROS), 2000b, in preparation
18. Paczynski B., 1986, ApJ 304, 1
19. Palanque-Delabrouille N., 1997, PhD thesis, University of Chicago and Universite
de Paris 7
20. Palanque-Delabrouille N. et al. (EROS), 1998, A&A 332, 1
21. Renault C. et al. (EROS), 1997, A&A 324, L69
22. Renault C. et al. (EROS), 1998, A&A 329, 522
23. Sahu K. C., 1994, Nat 370, 275
24. Udalski A. et al. (OGLE), 1993, Acta Astron. 43, 289
25. Wu X.-P., 1994, ApJ 435, 66
What Are MACHOs?
Interpreting LMC Microlensing
David S. Graff
University of Michigan, Astronomy Dept., Ann Arbor, MI 48109, USA
Abstract. I discuss two hypotheses that might explain LMC microlensing: the Halo
stellar remnant lensing hypothesis and the unvirialized LMC lensing hypothesis. I show
that white dwarfs cannot contribute substantially to the cosmic baryon budget; they
are strongly constrained by chemical evolution and background light measurements.
Although there have been some claims of direct optical detections of white dwarfs in
the Halo, I show how the full sample of direct optical searches for halo lenses do not
support the Halo lens hypothesis.
N-body simulations suggest that the LMC may be naturally excited out of virial
equilibrium by tidal forcing from the Milky Way. New measurements of LMC kine-
matics not only do not rule out the unvirialized LMC lensing hypothesis, but even
moderately favor it (at 95% confidence).
I discuss future microlensing observations that will resolve this issue: high quality
detailed measurements of microlensing events, exotic microlensing events, comparing
different lines of sight, and statistics of the HR diagram. These techniques have all been
applied, but are not yet successful owing to the relatively low quality and quantity
of Magellanic cloud microlensing events discovered by ground based search teams. A
space based search program involving the SNAP satellite will generate enough events
and high quality events to break the degeneracy
1 Introduction
Microlensing today has a wide variety of scientific applications ranging from

stellar atmospheres [34] to Galactic structure [5] to searching for planets [19]
[2], but the initial prime mover of microlensing, which seduced so many particle
astrophysicists and cosmologists such as myself into dirtying our hands with
grungy astronomy, has been the search for dark matter in the Milky Way halo.
Specifically, we wish to determine what fraction of the halo is composed of lumps
of dark matter that could lens background stars in other galaxies, such as the
Magellanic Clouds. These lumps of matter are known as MACHOs (MAssive
Halo Compact Objects) by which I refer to any halo objects massive enough to
cause detectable gravitational microlensing. The MACHOs stand in contrast to
WIMPs (Weakly Interactive Massive Particles), putative particle-dark matter
candidates that are not massive enough to microlens. MACHOs are also distinct
from Halo stars, sometimes known as the stellar Halo. Halo stars are massive
enough to lens, but are not dark. They make up less than 1% of the mass of
the Halo [20] and thus cannot be responsible for the microlensing events seen
towards the LMC.
David S. Graff 353
There are several candidate objects that in principle could be MACHOs.

The only surviving baryonic candidates are white dwarfs, with perhaps a few
other stellar remnants, which I will discuss at length. Some of the more exotic
nonbaryonic models include primordial black holes [Jedamzik, this volume] and
Mirror Matter MACHOs [32].
As dark matter experiments, microlensing searches have been phenomenally
successful, among the most successful of all dark matter searches. The MACHO
and EROS experiments have published a combined limit in which they have ruled
out enormous regions in parameter space [1], limits that have been tightened by
results presented at this meeting [Lasserre, this volume; Lehner, this volume],
[30], [6]. These results exclude objects with mass in the range 10- 7 - 1M0 from
making up all the dark matter in the halo.
However, microlensing results still present a mysterious signalj the MACHO
experiment has reported an excess of microlensing events towards the Magellanic
Clouds with time scales of tens of days. These events are difficult to explain. If
one interprets them as being due to a halo of lenses, then their total mass is
9~~ x 10 10 M 0 , which, depending on the halo model chosen, makes up some
,...., 20% of the mass of the halo. They have long time scales which, if interpreted
as being due to MACHOs in the Halo, suggest that the lenses have mass in the
range 0.1 - 1M0 [Lehner, this volume], [6]. The only known dark astrophysical
objects that have masses in this range are white dwarfs. Taken at face value,
this result could be interpreted to mean that white dwarfs are common in the
universe, perhaps being a significant fraction of all baryons.
The white dwarf hypothesis gained strength when Ibata et al. [28] claimed
to have detected them in the Hubble Deep Field and Ibata et al. [29] claimed
further detection of one additional halo white dwarf in a photographic proper
motion survey.
In this paper, I will show that white dwarfs make poor dark matter candi-
dates, and contribute negligibly to the cosmological baryon budget. Thus, mi-
crolensing experiments have not identified a significant baryonic dark matter
candidate. I will show that the detections of Ibata et al. do not require a large
population of halo white dwarfs.
I have not been able to completely rule out white dwarfs as being responsible
for microlensingj in fact, Gates and Gyuk [13] have suggested that the MACHO
experiment may have detected a new component of the Galaxy composed of
white dwarfs. Still, I will establish that white dwarfs are strongly constrained,
exotic lensing candidates requiring several conditions.
Before one accepts any potentially controversial interpretation of an exper-
imental result, one must be sure that the result is not due to an unaccounted
for background signal in the experiment. I will discuss a possible background
for the microlensing experiments, lensing by ordinary stars near the LMC. I will
show that this background has not been ruled out observationally, is suggested
by some theoretical calculations, and has even been detected observationally,
though the statistical significance of these detections is not compelling.
354 What Are MACHOs?
Fortunately, this frustrating state of affairs will not last forever. I will discuss
tests that can be performed on qualitatively and quantitatively better data to
settle this question, and new experiments which will make these data available.
2 Can MACHOs Be White Dwarfs?
2.1 Cosmology and MACHOs
We begin this section with a discussion of the total cosmological density of

MACHOs in units of the critical density, Dmacho' Most of this work is taken
from [10]. Since Microlensing has as its ancestry, the search for dark matter,
the cosmological density of MACHOs is of critical importance, if anything, more
important than the mass density of MACHOs around the Milky Way.
If we assume that MACHOs trace dark matter, then Dmacho = Dmfhalo ,.....
0.06. Here, Dm is the density of cosmological density of collisionless matter and
fhalo is the fraction of the mass of the halo within the LMC radius of 50 kpc
composed of MACHOs. Making the minimal assumption that only Milky Way
type spiral galaxy halos contain MACHOs, the lower bound on the cosmic density
of MACHOs is Dmacho > 0.001 - 0.01
The above discussion is independent of what the MACHOs actually are.
What if the MACHOs were stellar remnants, white dwarfs or neutron stars?
Stellar remnants are in some respects attractive MACHO candidates; they have
the right mass, and are dark. However, as I will show, stellar remnants make
poor dark matter candidates.
The constraints against stellar remnants are ultimately due to limits on the
quantity of nuclear fusion. Large numbers of white dwarfs mean that lots of nu-
clear fusion had to take place. While a traditional stellar population will convert
perhaps,..., 5% of its mass from hydrogen to helium, most of the hydrogen being
locked up in dwarf stars, a stellar remnant will contain no hydrogen. Pound for
pound, a white dwarf MACHO population implies thus that,..., 20 times more
fusion will have taken place than a similar mass of stars.
Since a large white dwarf MACHO population implies that there has been
copious fusion, we can place limits on this population by placing limits on the
two byproducts of fusion, energy and heavy elements. A cosmologically signifi-
cant population of white dwarfs severely modifies the chemical enrichment of its
surrounding. Under a typical scenario, a 3 M 0 progenitor star will eventually
die into a 0.6 M 0 white dwarf, but the remaining 80% of its mass is released as
chemically enriched gas. The chemical evolution implied by this gas is analyzed
in [9].
The strongest limits come from abundances of carbon and nitrogen. Standard
chemical yields of low metallicity stars suggest that the ejected gas of white
dwarfs is enriched with a solar abundance of either carbon or nitrogen (depending
on the extent of hot bottom burning). Since Galactic halo stars have a carbon
abundance of ,..., 10- 2 solar, only,..... 10- 2 of halo material can have processed
through stars at the time of the formation of the halo. Similarly, the mean
David S. Graff 355
carbon enrichment of the universe at z ~ 3 is '" 10- 2 solar as measured in

Lyman a absorption systems. Thus we see that only'" 10- 2 of all baryons can
have passed through stellar progenitors of white dwarfs by z ~ 3. (See [9] for a
more detailed calculation).
Chabrier [7] has suggested that zero metallicity white dwarfs may not emit
carbon, finessing these limits. In that case, more robust, but less restrictive
chemical evolution limits can be placed with Helium. In [9], we showed that
the helium evolution due to a cosmological remnant population limits Pop. III
remnants to DWD < 0.002h- 1 , still an insignificant component of baryons. Thus,
remnants cannot contribute significantly to baryonic dark matter.
A parallel limit can be placed using the light emitted by the stellar progen-
itors. This limit is slightly weaker than the chemical evolution limits, but far
more robust. Zero metallicity stars may not emit Carbon, but they certainly
emit light! Using limits on the Infrared background, Graff et al. (1999) showed
that Dwd < 0.004h. Again, we conclude that stellar remnants cannot contribute
to baryonic dark matter.
The original scientific goal of microlensing was to identify baryonic dark
matter. As we have seen, we can place robust limits on the cosmological density
of stellar remnants, the only astrophysical objects that could be responsible
for the signal seen by the MACHO experiment. Thus, no stellar object can
contribute significantly to baryonic dark matter.
2.2 White Dwarfs in the Milky Way Halo

Even though white dwarfs cannot be significant components of cosmological dark
matter, might they not still be present in the Milky Way halo? Could not the
Milky Way halo be an exceptional place in which much of the mass was composed
of stellar remnants [13]? In this system, the lensing detected by the MACHO
experiment is due to a new stellar remnant component of the Milky Way, not
associated with the dark matter halo.
It is difficult to constrain the possibility that the Milky Way halo alone could
contain large numbers of white dwarfs. Obviously, limits on background light do
not apply to our own halo, but only to distant galaxies. Such a halo of white
dwarfs is inconsistent with measured low carbon abundances of halo stars [14].
However, a galactic wind driven by SN Ia from these white dwarfs could blow
the carbon-enriched gas out of the halo [9].
A possible way to confirm the existence of a spheroid population of white
dwarfs is to try to directly detect them. If such a spheroid exists, then its white
dwarfs are the most common type of star in the Milky Way. Their detection is
not trivial however, because they can be quite dim, Mv '" 18, and it is difficult
to separate them from the overwhelming background of brighter Milky Way stars
and distant galaxies.
Before I begin discussion of direct detection of white dwarfs, I should mention
that there has been a recent revolution in the theoretical study of white dwarf
luminosities, colors, and cooling curves. Before 1997, no one had calculated what
white dwarf atmospheres were like cooler than 4000 K, roughly the temperature
of the then coolest observed white dwarf. However, a Macho population of white
dwarfs would be older and thus likely cooler than disk white dwarfs.
The new theory of white dwarfs [26J [35J has two results pertinent to optical
searches for white dwarfs. 1) Old white dwarfs with helium dominated atmo-
spheres would have cooled to invisibility, and could never be directly detected,
and 2) cool hydrogen atmosphere white dwarfs emit most of their light in the V
and R bands, and have spectral energy distributions very far from black body.
Point 1) means that no direct search for white dwarfs could ever rule out the
existence of a Macho population of white dwarfs: the Machos could be all helium
atmosphere white dwarfs. However, Point 2) above makes optical searches for
hydrogen atmosphere white dwarfs relatively more powerful and model indepen-
dent, since the white dwarfs are emitting their light in optical frequencies.
There have been two broad strategies to search for search for a halo popu-
lation of white dwarfs. In one, deep images are taken at high galactic latitude,
thus eliminating the background of disk stars. Here, the strongest background is
distant galaxies. The high spatial resolution of the HST can be used to separate
galaxies from stars [11J.
The other method is to look for high proper motion objects. Halo white
dwarfs should have high proper motions due to their high velocity, and low
intrinsic magnitude. Proper motion searches have ranged from shallow photo-
graphic searches over wide solid angles [31J [29J to deep narrow searches of the
Hubble Deep Field [28].
Interpreting the proper motion surveys is controversial, since they are not
consistent. While comparing the various proper motion surveys [12], we found
that the LHS survey [31J was by far the most powerful, tens of times more
powerful than the other published surveys. Yet, the LHS survey does not find
evidence of a MACHO population of white dwarfs while two other surveys, [28J
[29J find a handful of objects suggesting that the halo might be full of white
dwarfs. [See Flynn and Graff, this volumeJ
There are two different possible interpretations of these conflicting results:
either the halo is full of white dwarfs and the LHS survey does not see them, or
the halo does not contain many white dwarfs, and the handful of objects seen
by the two Ibata et al. surveys are a mix of Poisson fluctuations and background
objects. I consider these two possibilities below.
The LHS survey was done some thirty years ago, and its high proper motion
stars were often detected by hand. Thus, there is no modern artificial star-Monte
Carlo estimate of its efficiency. However, in [12J, we estimated the efficiency of
the LHS survey by the numbers of bright and dim stars, and found that it was at
least 60% efficient down to mag. RL = 18.5. This estimate can only be based on
dim, low proper motion start since there are very few dim high proper motion
stars in the sample. Possibly, the survey misses the dim high proper motion
stars, although there are some reasons to think otherwise [12J.
David S. Graff 357
2.3 Conclusion
White dwarfs cannot make a significant component of Baryonic Dark Matter.

They would cause too much enrichment of carbon, nitrogen, and helium. They
would also create an infrared background above current limits.
Even though white dwarfs cannot greatly contribute to the cosmic baryon
census, they could be over-represented in the Milky Way halo. Direct searches
can never rule out this possibility since a high fraction of white dwarfs could
have helium atmospheres and be too dim to see. There have been some claimed
detections of white dwarfs, but, in my opinion, these detections are not yet
compelling.
3 Other Lensing Candidates,

Especially LMC Self Lensing
Even though it would be exciting if the MACHOs turned out to be some new
nonbaryonic candidate, before we are driven to these candidates, we must first
verify that there are no other viable baryonic lensing candidates.
One obvious baryonic candidate is lensing by ordinary stars. Ordinary stars
have the right mass, typically 0.1 - IM0 , but they are not usually thought of as
making good dark matter candidates, since they are not Dark! Ordinary stars
are known to make up a negligible fraction of the local halo mass density [20].
However, various schemes have been proposed in which stars do cause a large
optical depth towards the LMC.
Wu [39] and Sahu [33] proposed that the LMC could generate self lensing,
lensing of LMC stars by other LMC stars. However, the self lensing optical
depth of a virialized disk galaxy is proportional to the velocity dispersion, T =
2
20"2/ c sec2 i [16], where 0" is the line of sight velocity dispersion and i is the
inclination angle. The velocity dispersion of the LMC is measured to be low in a
variety of stellar populations representing a wide variety of ages and metallicities
[24]. Thus, the bulk of stars in the LMC are in a thin, face on disk with a low
optical depth, lower than that observed by the MACHO group.
Zhao [41] suggested that the Milky Way halo could contain small recently
accreted objects such as the Sagittarius Dwarf, and tidal tails ripped off these
objects and the Magellanic Clouds. He proposed that if one of these lumps of
matter were interposed along the line of sight to the LMC, it could perhaps
cause sufficient microlensing to account for the MACHO observations.
If such systems of objects were distributed randomly in the Halo, as we would
expect if they arose from Sagittarius-Dwarf-like systems, then the probability
that an individual one would by chance be aligned with the LMC is quite low,
('" 10- 4 ) [18]. Yet they cannot be numerous, since if such objects were composed
of ordinary luminous stars, in order to have a density sufficient to cause the
measured microlensing, they would have a surface brightness high enough to be
visible to the naked eye. The only way they could have escaped detection is if
they lie exactly in front of the LMC, or, like the Sagittarius dwarf, lay behind the
galactic center. Thus, the only likely way that there could be an object along the
line of sight to the LMC is if it was somehow associated with the LMC, perhaps
a tidal tail lifted off the LMC by interactions with the Milky Way or SMC, or
perhaps a part of the LMC itself, a thick "shroud" [8].
Several papers have been written about whether or not there is an object
along the line of sight to the LMC, too many to review here. The net conclusion
of this literature is that such a population cannot be ruled out [40] if it is close
enough to the LMC in both positions and velocities, within approximately 10
kpc and 30 km S-l. If the object is in this range, it is swamped by stars within
the LMC proper, and is difficult to detect.
In Graff et al. [22] we hoped to uncover a separate object by examining the
velocities of a large ensemble of carbon stars in the LMC. The idea behind this
search was that any separate population should have a velocity that is different
from that of the LMC. We found, at 94% statistical confidence, evidence of a
population displaced 30 km S-l from the LMC. If this population exists, it would
likely be at a distance from the LMC sufficient to cause a significant microlensing
signal.
Numerical simulations of the LMC-Milky way system show that thtidal forces
from the Milky Way can perturb the LMC in a way to generate a large optical
depth [38]. In these simulations, resonances between the LMC orbit around the
Milky Way and the LMC orbits lift portions of the LMC away from the main
disk, without increasing the velocity dispersion, thus generating an appreciable
optical depth.
3.1 Conclusion
An as yet undetected population of ordinary stars could cause the measured

microlensing population. This population must be close to the LMC in both
distance and radial velocity, otherwise it would have already been detected. N-
body simulations suggest that such a population could have been ripped off the
LMC by tidal interactions with the Milky Way. I have also presented, though
at only the 94% confidence level, evidence of a non-LMC disk population, the
Kinematically Distinct Population, or KDP. If this population is confirmed, it
could explain the Microlensing detected by the MACHO collaboration.
4 Microlensing's Future
The MACHO experiment has now stopped taking data, and published the anal-
ysis of the large part of its LMC microlensing data. These data, as we have
explored, raised intriguing possibilities about the possible nature of the dark
matter in the Milky Way. However, the MACHO data cannot break the strong
degeneracies inherent in microlensing.
To answer the dark matter question, we do not need to fully break the mi-
crolensing degeneracies, to solve each event for the mass, parallax, and proper
motion of the lens. We only want to determine if the lenses are in the Halo, in
David S. Graff 359
which case they are a new dark matter particle, or if they are in the LMC, in
which case they are probably ordinary stars.
4.1 Gound-Based Surveys
The near future will belong to ground based surveys, the EROS and OGLE col-
laborations. Both of these experiments are similar to the MACHO collaboration,
using 1 meter class telescopes, though with more advanced CCDs, better sites,
and, at least in the case of the OGLE experiment, better seeing.
The EROS experiment alone may confirm whether or not the lenses are halo
dark matter. Already there is a dichotomy between lensing in the LMC and in
the SMC: the two lensing events detected in the SMC have been shown to be in
the SMC and not in the Halo. If the LMC lensing events are due to Halo lenses,
the optical depth towards the SMC should be roughly equal to that of the LMC,
so we would expect a handful of events towards the SMC. This lack of events
towards the SMC is not yet significant, but by the time the EROS experiment
is finished, EROS and MACHO combined should detect a total of six events
towards the SMC. If these events are not present, the Halo lensing hypothesis
will be in trouble.
Likewise, EROS is tuned to be able to compare the microlensing optical depth
in the outskirts of the LMC to the optical depth in the center. If there is a dearth
of events towards the edges of the LMC, again the Halo lensing hypothesis will
be in trouble.
Despite the promise of the EROS experiment, microlensing towards the LMC
will still be a game of small numbers, based on almost laughably few events (it
would be funnier if so many people had not devoted so much time, energy,
and money to finding these few events). To really achieve its full potential,
and to break the microlensing degeneracies, microlensing searches will need to
make great improvements in either the quantity or quality of the uncovered
microlensing events.
The next step in generating microlensing events would have been to move to
a larger, 2 m class ground based telescope. Such a project was proposed by [37],
but, unfortunately, is having funding difficulties. However, it will be possible to
leapfrog this step by borrowing the SNAP satellite (http://snap .lbl. gov).
4.2 Satellite Surveys
The Supernova Acceleration Probe (SNAP) satellite was originally proposed to

search for high redshift supernovae. Its wide field of view and excellent space
based seeing will allow it to far outclass the current ground based surveys. A
reasonable program discussed in [23J will find 250 microlensing events per year.
Of these, 16 will be taken with 1% photometric resolution.
There are several proposed techniques to determine whether the observed
lensing is indeed due to lenses in the Halo. These techniques have heretofore
been limited by the low quantity and quality of microlensing events. However,
the two order of magnitude increase in quantity of SNAP events, and order of
magnitude increase in photometric precision will allow these techniques to come
into there own.
4.3 How Will SNAP Resolve the Degeneracy?

As noted above, SNAP should detect some 16 events with 1% photometric res-
olution. If these events conform to microlensing lightcurves, there should be no
further doubt that they are due to microlensing and not to some exotic unclas-
sified variable star.
If a typical LMC microlensing event is measured every day with 1% photo-
metric resolution, then one could measure its microlensing parallax [17], a small
deviation from the standard microlensing light curve due to the motion of the
earth around the sun [15]. In that case, one can still not completely break the
degeneracy of the microlensing event, but it should still be possible to separate
halo lensing (which should have detectable parallax) from LMC lensing (which
should not). This technique could only be applied to events brighter than V < 21
and as discussed above, SNAP should see", 16 of these events per year.
The microlensing parallax signal scales as the square of the event time scale,
so we would only be able to measure the parallax of the longer events. Thus,
the parallax technique would not be sensitive to the possibility that, for some
reason, the longer events are due to LMC self-lensing while the shorter events
are due to, e.g., brown dwarfs in the halo. Therefore, we note other methods
SNAP will be able to use to break the microlensing degeneracy.
Other strategies to break the microlensing degeneracy will make use of the
shear quantity of microlensing events detected by SNAP. If the microlensing
events are truly due to halo lensing, then we would expect only a small change
in the optical depth and time scales of microlensing events across the face of
the LMC. The MACHO group has already used this technique to rule out one
particular model of LMC selflensing [6], but has not ruled out all realistic models
of self lensing, being hampered by the relatively low number of events in their
sample, and by the limited spatial extent of their fields. The SNAP program,
with its ability to detect hundreds of events across the face of the LMC, would
be able to clearly rule out models of LMC self lensing.
In addition to being uniform across the face of the LMC, the optical depth
must also be uniform across the H-R diagram. Under LMC self-lensing models,
the source stars will tend to be towards the back of the LMC [42]. They should
thus be somewhat more reddened and somewhat dimmer than the LMC field
stars. The MACHO group has looked for this effect in their sample, but has
been unable to draw firm conclusions owing to the relatively small number of
events in their sample [3]. In addition, by verifying that the much larger sample
of events are evenly drawn from the HR diagram, SNAP will confirm that the
events are true microlensing events and not due to some heretofore unknown
type of variable star.
By generating a large number of events, SNAP will generate a decent sample
of rare events, such as finite source size events [4], amplification of a binary source
David S. Graff 361
[25J or events due to a binary lens [36J. All of these variations on the standard
microlensing curve allow a partial breaking of the microlensing degeneracy, by
uncovering one of the two hidden parameters, the parallax of the lens and its
proper motion (relative to the source in both cases). Still, this partial breaking
will be enough to simply distinguish between the Halo-lensing hypothesis and
the self-lensing hypothesis, though it won't be able to do finer measurements of,
for example, the mass function of the lenses.
High amplification events and binary lens events should be completely solv-
able if intensely monitored from a satellite such as SNAP by using the motion
of the satellite as its orbit moves the satellite in and out of the caustic [27J. The
non-linear motion of the satellite as the satellite orbits the earth causes a small
(1 %) deviation in the shape of the light curve during the caustic crossing. This
technique will only work if the caustic crossing time scale is about as long, or
longer than the satellite orbit time, 14 hours. Thus, the satellite parallax tech-
nique can only be applied to events that are known to be self-lensing events,
which have much longer caustic crossing time scales than halo lensing events.
Still, this technique, by directly solving the event, will resolve the mass function
of the binary population of the LMC. That is, we will be sure of the mass of
the components of the lens, whereas now, we have to estimate the mass of the
lens statistically, and based on assumptions of the parallax and proper motions
of the lenses.
In summary, SNAP will be able to break the microlensing degeneracy using
several independent techniques, and thus unambiguously determine whether or
not the lenses lie in the Halo or in the LMC. SNAP thus has the potential to
identify a large component of the dark matter in the Galactic Halo.
5 Editorial Musings
I have discussed two leading explanations for LMC microlensing events, that
the halo is full of white dwarfs, or that the LMC is sufficiently far from virial
equilibrium to generate a large optical depth with a small velocity dispersion.
To some extent, both explanations have similarly weak observational support;
neither be ruled out, and each has statistically weak observational evidence.
However, the white dwarf hypothesis requires a chain of unlikely events: massive
amounts of baryons must have undergone star formation with a radically differ-
ent, extremely narrow mass function, and these stars must not have emitted any
Carbon. Further, this star formation mechanism can only have occurred in the
inner halos of Milky Way type galaxies, from which a galactic wind must remove
ejected gas. Occam's razor suggests that before we believe such a long chain of
new cosmology, or in a novel dark matter candidate such as primordial black
holes, we should adopt the simpler notion that microlensing experiments have
simply found a background of lensing by ordinary stars. Of course, it is better
to rely on hard data than on philosophical niceties. Fortunately, this data will
be forthcoming.
We may get lucky, and ground based experiments may resolve the Halo Macho
degeneracy. Should it be funded, the SNAP satellite will provide a major leap
in microlensing sensitivity. The orders of magnitude increase in the quality and
quantity of microlensing events will provide several techniques to finally resolve
this issue.
References
1. Afonso, C. et al.: ApJ 532, 340 (2000)
2. Albrow et al.: ApJL submitted, astro-ph/0008078
3. Alcock et al.: ApJ submitted, astro-ph/0008282
4. Alcock et al.: ApJ 491, 436 (1997)
5. Alcock et al.: ApJ 541, 734 (2000)
6. Alcock et al.: ApJ 542, 248 (2000)
7. Chabrier, G.: ApJ 513, 103 (2000)
8. Evans, N. W., & Kerins, E. J.: ApJ 529, 91 (2000)
9. Fields, B. D., Freese, K, & Graff, D. S.: New Astron. 3, 347 (1998)
10. Fields, B. D., Freese, K, & Graff, D. S.: ApJ 534, 265 (2000)
11. Flynn, C., Gould, A. & Bahcall, J. N.: ApJ 466, 55 (1996)
12. Flynn, C., Sommer-Larsen, J., Fuchs, B., Graff, D. S., & Salim, S.: MNRAS, in
press, astro-ph/9912264 (2000)
13. Gates, E. & Gyuk, G.: ApJ in press, astro-ph/0004399
14. Gibson, B. K & Mould, J. R.: ApJ 482, 98 (1997)
15. Gould, A. P.: ApJ 396, 104 (1992)
16. Gould, A. P.: ApJ 441, 77 (1995)
17. Gould, A. P.: ApJ 506, 253 (1998)
18. Gould, A. P.: ApJ 525, 734 (1999)
19. Gould, A. P. & Loeb, A.: ApJ 396, 104 (1992)
20. Graff, D. S. & Freese, K: ApJ 456, 49 (1996)
21. Graff, D. S., Freese, K, Walker, T. P. & Pinsonneault, M. H.: ApJ 523, 77 (1999)
22. Graff, D. S., Gould, A. P., Suntzeff, N., Schommer, R A. & Hardy, E.: ApJ 540,211
(2000)
23. Graff, D. S. & Kim, A.: ApJ submitted
24. Gyuk, G., Dalal, N., & Greist, K: ApJ 535, 90 (2000)
25. Han, C & Gould, A.: ApJ 480, 196 (1997)
26. Hansen, B. M. S.: ApJ 520, 680 (1999)
27. Honma, M.: ApJ 517, 39 (1999)
28. Ibata, R, Richer, H. B., Gilliland, R L., & Scott, D.: ApJ 524, 95 (1999)
29. Ibata, R, Irwin, M., Bienayme, 0., Scholtz, R., & Guibert, J.: ApJ 532, 41 (2000)
30. Lasserre, T. et al.: A & A 355, 39 (2000)
31. Luyten, W. J.: LHS Catalogue: a catalogue of stars with proper motions exceeding
0.5" annually (Minneapolis: University of Minnesota, Minneapolis 1999)
32. Mohapatra, R.N. & Teplitz, V.L. : Phys. Lett. B462, 302 (1999)
33. Sahu, K: Nature 370, 275 (1994)
34. Sackett, P.: 'Microlensing and the Physics of Stellar Atmospheres'. In Microlens-
ing 2000: A New Era of Microlensing Astrophysics ed. by J.W. Menzies and P.D.
Sackett (Astronomical Society of the Pacific, 2000)
35. Saumon, D. & Jacobson, S.B.: ApJ 511, 107 (1999)
36. Schneider, P. & Weiss, A.: A&A textbf164, 237 (1986)
David S. Graff 363
37. Stubbs, C.W.: 'The Case for a Next Generation LMC Microlensing Survey'. In The
Third Stromlo Symposium: The Galactic Halo ed. by T.S.Axelrod & M.E.Putnam
(American Society of the Pacific 1999) vol. 165, p. 503
38. Weinberg, M.: ApJ 532, 922 (2000)
39. Wu, X.-P.: ApJ 435, 66 (1994)
40. Zaritsky, D., Schectman, S. A., Thompson, I., Harris, J. & Lin, D. N. C.: AJ 111,
2268 (1999)
41. Zhao, H. S.: MNRAS 294, 139 (1998)
42. Zhao, H. S. Graff, D. S. & Guhathakurta, P.: ApJ 532, 37 (2000)
Microlensing by Non-Compact Astronomical
Objects: Theory and Possible Interpretation
of Observational Data
Alexander F. Zakharov
Institute of Theoretical and Experimental Physics,

B. Cheremushkinskaya, 25, Moscow, 117259, Russia
Abstract. Microlensing distant stars by non-compact objects such as neutralino stars

is considered. Recently Gurevich and Zybin considered the objects as microlenses.
Using the non-singular density distribution we analyse microlensing by non-compact
objects. We obtain the analyticai solutions of the gravitational lens equation and the
analytical expression for the amplification factor of the gravitational lens. We show
that using the model of microlensing by non-compact objects it is possible to interpret
microlensing event candidates having two typical maximums of light curves which are
usually interpreted as binary microlenses.
1 Introduction
The first results of observations of microlensing which were presented in the

papers [1-3] have discovered a phenomenon, predicted in the papers [4,5]. The
basics of microlensing theory and observational data are given in the reviews [6-
9] and in the book [10]. A matter of the gravitational microlens is unknown till
now, although the most widespread hypothesis assumes that they are compact
dark objects as brown, red or white dwarfs. Nevertheless, they could be presented
by another objects, in particular, an existence of the dark objects consisting of
the supersymmetrical weakly interacting particles (neutralino) has been recently
discussed in the papers [11,12]. The authors showed that the stars could be
formed on the early stages of the Universe evolution and to be stable during
cosmological timescale. Using the singular model distribution microlensing by
non-compact lenses were analysed in the papers [13-15]. The geometric optics is
used in our model and effects connected with diffraction and mutual interference
of images and analysed in the papers [16-18] are neglected.
2 Non-singular model for compact microlenses
We approximate the density of distribution mass of a neutralino star in the

following form
(1)
Alexander F. Zakharov 365
where r is the current value of a distant from stellar center, Po is a mass density
of a neutralino star for a boundary of a core (or for a distance r c from a center),
r c is a radius of a core. So we use the nonsingular isothermal sphere model (or the
model of an isothermal sphere with a core). The dependence is approximation of
the dependence which has been considered in the paper [8], where the authors
considered the model of non-compact object with a core. It is clear that the
singular (degenerate) dependence is the limiting dependence of (1) for r c --+ O.
So, it is not difficult to obtain surface density mass, according to expression
(1)
»
2
In the case, if Flo ~, then E(e) -+ 2trpo ~. In that case the lens
v{2+r~
equation has the following form
(2)
where DB is a distance from the source to the observer, D d is a distance from

the gravitational lens to the observer, D dB ia a distance from the source to the
gravitational lens, vectors (7J,e) define a deflection on the plane of the source
and the lens, respectively
(3)
We calculate the microlens mass

2dT R
1o
~
Mz = 8trporc2 r
-2--2
r + Te
= 8trpoTc2( R z - Tcatan-Z)
re
~ 8trpoT e2 R z . (4)
We use characteristic value of a radius T e , corresponding the microlens "mass"

Mz = 8trpoT~Rz, thus we obtain lens equation in the dimensionless form. We
introduce the dimensionless variables by the following way
7J DB
x=f, Y=-, 110 = r e Dd' (5)
Te 110
k(x) = E(aox) ,
E er
() = -I!
a~ x tr R2
2, (
d xk x
') x - x'
Ix-x '1 2 .
As we supposed that surface density is an axial symmetric function then the
equation of the gravitational lens may be written in the scalar form [19,10]
y = x - o:(x) = X -
m(x)
-x-,
r
m(x) = 2J x'dx'k(x').
o
366 Microlensing by Non-compact Objects
Fig. 1. The right hand side of the gravitational lens equation for various values of the
parameter D.
We remind, that we have the following expression for the function k(x)
ko
k(x) = Jf+X2'
k = 21rporo = 21rMz G DdDds = _1r_4GMz DdDds = ~ R~ .

o E TcR z Cl Ds 4T c R x c2 Ds 4 TcR x
cr
Hence, the lens equation has the following form[lO]
y=x-D
Jx 2 + 1-1 , (6)
x
where D = 2ko.
3 Analysis of the gravitational lens equation

We will show that gravitational lens equation has only one solution if D < 2 and
have three solutions if D > 2 and y > Ycr (we consider gravitational lens equation
for Y > 0), where Ycr is a local maximal value ofright hand of Eq. (6). In order to
illustrate the analytical relationships obtained in the previous section, we show
in Fig.l the right hand side of the gravitational lens equation for different values
of the parameter D. The values Xcr and Ycr for D > 2 characterize the position
of the local maximum of this function.
It is possible to show that we determine the value X cr which corresponds to
Ycr using the following expression
2 2D - 1 - J 4D + 1 (7)
x cr = 2 '
It is easy to see that according to (7) x~r > 0 if and only if D > 2 and
_ D J1 + x~r -1
Ycr - X cr - , (8)
X cr
If we choose X cr < 0 then Ycr > o. So, if D ~ 2 then gravitational lens equation
has only one solution for (y > 0), if D > 2 then gravitational lens equation has
one solution (if Y > Ycr), three distinct solutions (if Y < Ycr), one single solution
and one double solution (if Y = Ycr).
It is possible to show that gravitational lens equation is equivalent to the
following equation
X
3
- 2yx 2 - (D 2 - y2 - 2D)x - 2yD = 0, (9)
jointly with the inequality
X
2
- yx + D > 0. (10)
Thus it is possible to obtain the analytical solutions of gravitational lens equation

by the well-known way. We perform z = x-2y/3 and obtain incomplete equation
of third degree
Z3 + pz + q = 0, (11)
where p = 2D - D 2 - f
and q = ~ (f - D(D + 1)), so we have the following
expression for the discriminant
If Q2: 0 then Eq. (11) has unique real solution (therefore the gravitational lens
equation (6) has unique real solution). We use Cardan expression for the solution
x= « -q/2 + JQ + « -q/2 - JQ + 2y/3. (13)
° °
We suppose the case D > 2. If Y > Ycr then the gravitational lens equation
has unique solution. If Q ~ then we use the expression (13) for the solution.
If Q < then we have the following expression
x = 2yIP
-3" cos 0: +32k1r + 2y/3, (k = 0,1,2) (14)
where
coso: = - q (15)
2J-(P/3)3 '
°
and we select only one solution which corresponds to the inequality (10) which
corresponds to k = in (14) because if the gravitational lens equation has only
one solution then we have a positive solution x for a positive value of impact
parameter y therefore there is the inequality x > y which is easy to see from
(8). It is possible to check that maximal solution of (9) corresponds to k = 0
therefore the solution is the solution of (8).
If y < Ycr then the gravitational lens equation has three distinct solutions
and we use the Eqs. (14-15) to obtain the solutions.
We consider now the case D < 2. We know that the gravitational lens equa-
tion has unique solution for the case. If Q 2: 0 then we use the expression (13)
for the solution. If Q < 0 then we have the following expressions (14-15) and
we select only one solution which corresponds to the inequality (10) which also
corresponds to k = 0 as in the previous case.
It is known that magnification for gravitational lens solution Xk is defined by
the following expression
ILk= (1_ D(v'I"+X2- 1)) (1+DvT"+'X2- 1_ D 1 ) , (16)

X x 2
VI + x 2
so the total magnification is equal
(17)
where the summation is taken over all solutions of gravitational lens equation
for a fixed value y.
4 Two types of light curves

Let us consider examples of light curves for various parameter values. Fig. 2
shows a light curve corresponding to microlensing by non-compact body for
D = 1.9. In this case the light curve qualitatively resembles the light curve for
a compact (Schwarzschild) microlens, as well as noncompact microlens whose
density distribution is described by a singular isothermal sphere model when
r c = 0 [13).
Fig. 3 shows a light curve corresponding to microlensing by a non-compact
body when D = 4. When the source has a finite size characterized by the radii
R s = 0.01,0.03 and 0.1, the light curve undergoes a change: its maxima decrease
with increasing R s (fig. 4). In this case, the light curve has two maxima and is
qualitatively similar to light curves observed in the MACHO [20J and OGLE [21J
experiments (see fig. 5). Such light curves have usually been interpreted as the
result of microlensing by binary lens [9,6J. However, they could be associated
with microlensing by a single compact gravitational microlens if the external
gravitational field is taken into account [15J.
5 Polarization during microlensing

Let us consider linear polarization of light scattered in the star atmosphere
(similar to [22,23)). We define the intensity I l , I r as lying in the plane of the line
of sight and normal to the surface and as perpendicular to it, respectively.
Fig. 2. The light curve corresponds microlensing by noncompact object for D = 1.9.
80.0
60.0
40.0
20.0
0.0 1...L-.o .&..L.. ......J

-0.6 -0.2 0.2 0.6
Fig. 3. The light curve corresponds microlensing by noncompact object for D = 4.

The light curve resembles the light curve for OGLE #7 event.
We shall define the relative degree of the polarization similar to Ref. [23]
p = Ir - II. (18)
I r +11
We shall place the origin of the cartesian coordinates at the center of the
visible disk of lensed star. Then the Ox will be directed to the gravitational
lens, located at an angular distance () from the origin of the coordinates. We
determine the location of a point on the star by the angular distance r from
the origin of the coordinates and by the angular distance <p from the Ox axis.
Let IR and h be the intensities of the radiation at the point of the visible
stellar disk with coordinates (r,<p) (r = Jx 2 +y2, <p = arcsin ~)

x 2+y2
at the
observation through a polaroid, oriented parallel and perpendicular to the Ox
axis, respectively. Then, according to the law of transformation of the Stokes
parameters (and respectively, the intensities I r and It) we have
h (r, <p) = Ir(r) sin 2 <p + II (r) cos 2 <p (19)

IR(r, <p) = II (r) sin 2 <p + Ir(r) cos 2 <po (20)
If we observe the source without gravitational lens (and other distorting

factors) the flux HR observed through a polaroid L is the intensity sum of all
disk elements, namely
HL = 1 12
1< d<p
R
h(r,<p)rdr (21)
where R is the angular size of a star, Similarly we have the following expression
for the flux HR observed through a polaroid R
(22)
So we have a degree polarization
which is equal zero from symmetry of expressions (21 - 22).

In the presence of the gravitational lens with a spherically symmetric field,
the flux from an infinitely small surface element dB on the stellar disk dHo will
Fig. 4. Light curve corresponding to microlensing by a non-compact object for D =4

and different source radii, namely R s = 0.01, 0.03 and 0.1.
J 1.6
~ 1.: 1' J""!'+""'''''''''''II'' . "'''1

> 2.2
r-;::;::;:::::;:::;::::::;:::::;;-;::;;::::;::::;::~
15 II
j
!
~
16
17
,. I~
1140
o. .. 11110
·LJ.. -
1180
°
1\ ."..
~J
~
.-,.
1 r 0-
I
OGLE #7
18 1992 1993
"---'---'750
-. . . . . --'-.. . . . --'-.. . . . --'--'---'---'--'II
------------------- --------------------
800
- -'-.L-J
850
'-'--'-~-'-'---'--'-'---'--'-
1100 1150 1200

.....
JD. hel. - 2448000
Fig. 5. Microlensing event candidate: the OGLE # 7 event, which is often interpreted
using a model with binary compact microlens [21]. The regions a and b of the caustic
intersections are shown on an enlarged scale in the two insets. The MACHO collabo-
ration obtained several dozen additional data points to the OGLE observations) in the
two wavelenght bands: these data demonstrated the achromatic character of the light
curve.
be amplified depending on the angle Bs between the true direction to the center
of the surface element and the direction to the gravitational lens so that the flux
dH can be written as dH o = A(Bs )dHO, where A(B) is the amplification factor,
Bs depends on the coordinates r and <p as follows
B; = B2 + r 2 - 2Br cos <p,
so the flux H L observed through L is the following integral:
2
HL = 1< d<p
R
1 1
A(x,y)h(r, <p)rdr, (23)
similarly we have the following expression of the flux HR, observed through a
polaroid R
HR =
2
1< d<p
R
1 1
A(x,y)IR(r, <p)rdr. (24)
In the presence of the gravitational lens on averaging HR(B) and HdB) are not
equal and the total flux of the radiation will have a degree of polarization
P(B) = HR(B) - HL(B) .
HR(B) + HL(B)
For the description of the intensity distribution II and I r over the disk of the
approximate expressions, obtained by Bochkarev and Karitskaya [24],
1 I _ 1 + 16.035j.L + 25.503j.L2
I + r - 1 + 12.561j.L + O.331j.L2 '
I, + I r 0.1171 + 3.32071£ + 6.1522JL2

= (25)
1 - JL 1 + 31.416JL + 74.0112JL2 '
where JL is the cosine of the angle between the line of sight and the normal to
the star surface, so we have
5.1 The singular microlens model
3.60E-003
3.S9E-003
3.S8E-003
3.S7E-003
3.S6E-003
o.....o...............................................
3.SSE -oo~ 1'-'.S......................................... 1.S
Fig. 6. Comparison of the polarization curve for a compact lens (the dashed line) and
a non-compact lens (the solid line). The polarization curve for a non-compact object
was calculated in the framework of the singular density distribution model.
We consider microlensing by a star in framework of a rough model which is

rather clear and we obtain analytical expressions. Of course, a more exact model
of influence of the gravitational field of neutralino star may be considered [8],
nevertheless, we think that the qualitative estimation of the effect was considered
correctly.
We approximate the density of distribution mass of a neutralino star in form
a 2
PNeS(r) = PO-T'
r
(26)
where r is the current value of a distant from stellar center, Po is mass density
of a neutralino star for distance ao from a center, ao - "radius" neutralino star.
The dependence is approximation of the dependence which has been considered
in the paper [11], namely
(27)
The general discussion of noncompact microlens properties in framework of the

singular model is in Refs. [13-15].
In framework of singular model for a non-compact microlens polarization

properties was analysed by Belokurov and Sazhin [23]. The authors concluded
that polarization curves for compact and non-compact objects could different
when the respective light curves are similar, but the conlusion is caused by
degenerate properties of the singular model as it was shown in the paper [26].
The polarization curves for compact and noncompact objects are presented
on Fig. 6. We see two peaks on polarization curve for a noncompact object.
The appearance of the peaks is connected with a derivative discontinuity of an
amplification factor for a noncompact object. But the discontinuity follows from
a singularity of the gravitational lens equation for x = O. The singularity is a
result of the singularity of the density distribution (26) for T = O.
5.2 Two types of polarization curves for the nonsingular model
3.567E-003
"
I \
3.566E-003 I \
I \
I \
3.565E-003 I \
I \
I \
3.564E-003 I \
I \
I \
3.563E-003 I
I \
\
I \
I ...
3.562E-003 ,I ...
,
3.561E-003
3.560E-00~2.5 -1.5 -0.5 0.5 1.5 2.5
Fig. 7. Comparison of the polarization curve for a compact lens (the dashed line) and a
non-compact lens (the solid line). The polarization curve for a non-compact object was
calculated in the framework of the non-singular density distribution model (D = 1).
Let us consider the previous sample in the framework of nonsingular mi-

crolens model: the mass of the dark body is M x = 5 X 10- 3 M0 , Tc = O.lRx , the
radius of the dark body is R x = 1014 em. Distances are Lsd = 5 kpc, L s = 10
kpc; the radius of the background star is R s = 15R0 , impact parameter via the
radii of the Einstein cone is p = 0.85. Therefore the parameter of nonsingular
model is D = 1. The polarization curves for compact and noncompact lenses are
shown in Figure 6. So, the conclusion of Belokurov and Sazhin [23] is connected
with the degeneracy of the singular gravitational lens model.
6 Conclusions
The light curve corresponding to non-compact microlens is shown in Fig.3 (for
D = 4). The finite maximal value of the amplification in Fig.3 is connected
4.5E-003
4.0E-003
3.5E-003
3.0E-003
2.5E-003
2.0E-003
1.5E-003 eu.u u.....u. ......

-0.6 -0.4 -0.2 -0.0 0.2 0.4
Fig. 8. A comparison of the polarization curves for a compact lens (the dashed line)
and a noncompact lens (the solid line). The polarization curve for a noncompact object
was calculated in framework of the nonsingular density distribution model (D = 4).
with a calculation of amplification for a finite set of times and if we consider

the amplification on the all interval then the maximal value of the amplification
must be infinite. It is easy to see that the light curves resemble the light curve
for OGLE # 7 event candidate that is usually interpreted by binary lens model
[21]. We recall that the appearance of two types of light curves for a toy density
distribution model for noncompact object was discussed by Ossipov and Kurian
[25]. More detailed analysis of the nonsingular model and its consequences are
presented in the paper [26]. Using the singular and non-singular models polariza-
tion during microlensing was analysed and degenerate properties of the singular
model are discussed in the paper [9].
Let us consider the previous sample in the framework of nonsingular mi-
crolens model: the mass of the dark body is Mx = 5 X 10- 3 M0 , T c = O.lRx , the
radius of the dark body is R x = 10 14 em. Distances are Lsd = 5 kpc, L s = 10 kpcj
the radius of the background star is R s = 15R0 , impact parameter via the radii
of the Einstein cone is p = 0.85. Therefore the parameter of the nonsingular
model is D = 1. The polarization curves for compact and noncompact lenses
have similar shapes and the respective light curves for the cases have similar
shapes also. So, the conclusion of Belokurov and Sazhin [23] is connected with
the degeneracy of the singular gravitational lens model.
Let us consider the other sample in the framework of nonsingular microlens
model: the mass of the dark body is M x = 5 X 10- 3 M 0 , T c = 0.05R x , the
radius of the dark body is R x = 10 13 cm. Distances are Lsd = 5 kpc, L s = 10
kpcj the radius of the background star is R s = 15R0 , impact parameter via the
radii of the Einstein cone is p = 0.85. The polarization curves are displayed in
Fig. 7, which have different shapes, but the light curves have different shapes
for the cases also. It is easy to see that the light curves remind the light curve
for OGLE # 7 event candidate that is interpreted by two lens model usually
[21). More detailed analysis of the nonsingular model and its consequences are
presented in the Ref. [26]. Detailed discussion of these degenerate properties of

the singular model is given in the paper [27].
7 Acknowledgements
I would like to thank M.V. Sazhin for valuable discussions of various aspects of
microlensing. This work was partially supported by the Russian Foundation for
Basic Research (project # 00-02-16108).
References
1. C. Alcock et al.: Nature 365, 621 (1993)
2. E. Aubourg et al.: Nature 365, 623 (1993)
3. A. Udalski et a1.: ApJ 426, L69 (1994)
4. A.V. Byalko: AZh 46, 998 (1969)
5. B. Paczinsky: ApJ 304, 1 (1986)
6. B. Paczinsky: preprint astro-ph/9604011 (1996)
7. E.Roulet, S. Mollerach: preprint astro-ph/9603119 (1996)
8. A.V. Gurevich, KP. Zybin, V.A. Sirota: Uspekhi Phys. Nauk 167, 913 (1997)
9. A.F. Zakharov, M.V. Sazhin: Uspekhi Phys. Nauk 168, 1041 (1998)
10. A.F. Zakharov: Gravitational Lenses and Microlenses, (Janus, Moscow, 1997, in
Russian)
11. A.V. Gurevich, KP. Zybin: Phys. Lett. A 208, 276 (1995)
12. A.V. Gurevich, KP. Zybin, V.A. Sirota: Phys. Lett. A 214, 232 (1996)
13. A.F. Zakharov, M.V. Sazhin: Journ. Exper. Theor. Phys. 110, 1921 (1996)
14. A.F. Zakharov, M.V. Sazhin: Journ. Exper. Theor. Phys. Lett. 63, 894 (1996)
15. A.F. Zakharov, M.V. Sazhin: Pis'ma v Astron. Zhurn. 23, 403 (1997)
16. A.F. Zakharov: Astron. Astrophys. Trans. 5, 85 (1994)
17. A.F. Zakharov: Astron. Lett. 20, 359 (1994)
18. A.F. Zakharov, A.V. Mandzhos: Journ. Exper. Theor. Phys. 104, 3249 (1993)
19. P. Schneider, J. Ehlers, E.E. Falco: Gravitational Lenses, (Springer, Berlin - Hei-
delberg - New York, 1992)
20. C. Alcock et al.: preprint astro-ph/9606165 (1996)
21. A. Udalski et al.: ApJ 436, L103 (1994)
22. M.V. Bogdanov, A.M. Cherepashchuk, M.V. Sazhin: Astrophys. Space Sci. 235,
219 (1996).
23. V.A. Belokurov, M.V. Sazhin: Phys. Lett. A 239, 215 (1998).
24. N.G. Bochkarev, B.A. Karitskaya: Soviet Astron. Lett. 9, 14 (1983).
25. D.L. Ossipov, V.E. Kurian: Phys. Lett. A 223, 157 (1996)
26. A.F. Zakharov: Astron. Reports 43, 325 (1999)
27. A.F. Zakharov: Phys. Lett. A 250 67 (1998)
Part V
Hot Dark Matter - Neutrino Masses:

Phenomenology and Experiments
Neutrino Physics: Status and Prospects
J. W. F. Valle
Instituto de Fisica Corpuscular - C.S.I.C. - Univ. de Valencia,

Edificio Institutos de Paterna, Apartado de Correos 22085, 46071, Valencia - Spain
http://neutrinos.uv.es
Abstract. Solar and atmospheric neutrino data strongly indicate the need for physics
beyond the Standard Model. The simplest, but not unique, interpretation of the data
is in terms of neutrino oscillations. I summarize the results of the latest three-neutrino
global analysis of the neutrino data, in particular the bounds on the angle 813 probed in
reactor experiments. Even though not implied by the data, bi-maximal neutrino mixing
emerges as an attractive possibility, posing a challenge for unified theories of neutrino
mass. I give a brief overview of the theoretical alternatives to generate bi-maximal or
bi-Iarge leptonic mixing inspired on the idea of Unification, which typically employ
either a see-saw mechanism or high dimension operators, with or without family sym-
metries. They can lead to either hierarchical or quasi-degenerate neutrino mass spectra.
Supersymmetric with bilinear breaking of R-parity provides a simple bottom-up-type
model which allows to probe neutrino mixing also within the context of high-energy
collider experiments such as the LHC. Reconciling solar, atmospheric and reactor data
with the LSND hint requires a light sterile neutrino, a possibility which can be probed
at neutral-current-sensitive solar & atmospheric neutrino experiments. Alternative in-
terpretations of the solar neutrino data exist, consistent with the atmospheric data,
such as resonant spin flavor precessions of V e .
1 Introduction
Undoubtedly the solar [1] and atmospheric [2,3] neutrino problems provide
the two most important milestones in the search for physics beyond the Stan-
dard Model (SM). Of particular importance has been the recent confirmation
by the Super-Kamiokande collaboration of the zenith-angle-dependent deficit of
atmospheric neutrinos. Altogether solar and atmospheric data give a strong evi-
dence for V e and vp, conversions, respectively. Neutrino conversions are a natural
consequence of theories beyond the Standard Model [4]. The first example is
oscillations of low-mass neutrinos. The simplest way to account for the small-
ness of neutrino masses is in the context of Majorana neutrinos: their mass
violates lepton number. Its most obvious consequences would be processes such
as neutrino-less double beta decay [5], or CP violation properties of neutrinos [6],
so far unobserved. Neutrino masses could be hierarchical, with the light V r much
heavier than the vp, and V e • While solar neutrino rates favour the small mixing
angle (SMA) MSW solution, present data on the recoil-electron spectrum prefer
the large mixing MSW [7] (LMA) solution [8,9]. When interpreted in terms of
neutrino oscillations, the observed atmospheric neutrino zenith-angIe-dependent
deficit clearly indicates that the mixing involved is maximal. In short we have
380 J. W. F. Valle
the intriguing possibility that, unlike the case of quarks, neutrino mixing is
bi-maximal [10J. Supersymmetry with broken R-parity provides an attractive
origin for bi-maximal neutrino oscillations, which can be tested not only at the
upcoming long-baseline or neutrino factory experiments but also at high-energy
collider experiments such as the LHC.
In addition to the solar and atmospheric neutrino data from underground
experiments there is also some indication for neutrino oscillations from the LSND
experiment [UJ. Barring exotic neutrino conversion mechanisms one requires
three mass scales in order to reconcile all of these hints, hence the need for
a light sterile neutrino [12-14J. Out of the four neutrinos, two of them lie at
the solar neutrino scale and the other two maximally-mixed neutrinos are at
the HDM/LSND scale. These schemes imply the admixture os sterile neutrinos
both in solar as well as atmospheric neutrino experiments [15], allowing for this
to be tested in neutral current sensitive experiments. Cosmology can also place
restrictions on these four-neutrino schemes [16J.
2 Indications for New Physics
The most solid hints in favour of new physics in the neutrino sector come from
underground experiments on solar [1J and atmospheric [2,3J neutrinos. The most
recent SK data correspond to Ul7-day solar [IJ and 71 kton-yr (1l44-day)
atmospheric data samples, respectively. There are also new data from Soudan-2
(5.1 kton-yr) and MACRO.
SuperK. SNO
I Chlorine
10"
Bahee!l-Pin_nnea..lt. 2000
10"
PP ,.,IX
10 1•
X
;3 *10'"
10 •
f;::;
10·
0 'Be
c:: 10~
'i:
~
;3 10·
<1>
Z 10·
10 •
10 •
10 •
10 '0.1 0.3
Neutrino Energy (MeV)
Fig. 1. Bahcall-Pinsonneault solar neutrino fluxes.

Neutrino Physics: Status and Prospects 381
1
~
(f)
(f)
"- (I)
+oJ
C
Q.)
>
w
Fig. 2. Measured solar neutrino event rates normalized to SSM prediction.
2.1 Solar Neutrinos
Our sun produces neutrinos through various nuclear reactions which take place
in its interior. The predicted spectrum of solar neutrinos is illustrated in Fig. 1,
taken from [17]. I will refer to this BPOO model as "the" SSM. Solar neutrinos are
detected either with geochemical methods (the ve +37 Cl -+37 AT + e- reaction
at the Homestake experiment and the V e +71 Ga -+71 Ge + e- reaction at the
Gallex, Sage and GNO experiments) or through Vee scattering on water, using
Cerenkov techniques at Kamiokande and SuperKamiokande (or SK, for short).
As summarized in Fig. 2 [1] all experiments observe a deficit of 30 to 60 % whose
energy dependence follows mainly from the lower Chlorine rate. Note that Fig. 2
includes the latest results from SK, SAGE & GNO presented at v2000, but not
the first results from SNO. It is convenient to present the predictions of various
standard solar models in terms of the 7Be and 8B neutrino fluxes, normalized to
the predictions of the BPOO solar model [17], as seen in Fig. 3, which includes
most of the existing solar models. On the other hand the values of the fluxes
indicated by measured neutrino event rates are shown by the contours in the
lower-left part of the figure, with a negative best-fit 7Be neutrino flux! This dis-
crepancy strongly suggests the need for new particle physics [18]. Since possible
non-standard astrophysical solutions are rather constrained by helioseismology
studies [19] one is led to assume the existence of neutrino conversions, such as
those induced by very small neutrino masses.
The high statistics of SK after 1117 days of data-taking also provides very
useful information on the recoil electron energy spectrum with event rates given
382 J. W. F. Valle
1.5
• BP 98
o BP98 CIT
• CDR 97
... RVCD 98
o GONG 96
eDS 96
1
• .BP 95
II Proffitt 94
x KS 94
v CDF 94
* JCD 94
"" SSD 94
I:>. CDF 93
• TCL 93
o BPML 93
+BP 92
~
3a
• BP 92
2a ... SBF 90
o minimum x" 'tIrBU 88
o 0.5 1 1.5 2
cfl(BB)/BP98
Fig. 3. Data versus SSM predictions
~
0.9
(j)
(j)
......... 0.8
0
-+-'
0
0 0.7
0.6
0.5
0.4
0.3
8 9 10 11 12 13 14 15
Eo (MeV)
Fig. 4. Measured recoil electron energy spectra [1].
for 18 bins starting at 5.5 MeV 1. The spectrum in Fig. 4 is well described by the
flat hypothesis Xllat = 13/(17dof), in contrast with hints from previous 825-day
sample. Moreover, SK measures the zenith angle distribution (day/night effect)
1 They have also reported results of a lower energy bin 5 MeV < E e <5.5 MeV, but
due to systematic errors this is not yet included in the analysis.
which is sensitive to the effect of the Earth matter in the neutrino propagation
Fig. 5. One sees a slight excess of events at night, but the corresponding day
versus night asymmetry AD / N = ~ = -0.034±0.022±0.013is only 1.30" away
2
from zero. In order to combine this day-night information with the spectral data,
SK has also presented separately the measured recoil energy spectrum during the
day and during the night. This will be referred in the following as the day-night
spectra data and contains 2 x 18 data bins.
Note that the absence of clear hint of spectral distortion, day-night or sea-
sonal variation implies that, despite the increasing weight of such rate-independent
observables, by themselves, they do not suggest the show any clear indication
for physics beyond the standard model. From this point of view, the solar neu-
trino problem rests heavily on the rate discrepancy. Nevertheless, as we will see,
rate-independent observables are already playing an important role in selecting
amongst different solutions of the solar neutrino problem.
~ 0.7
(f)
~0.65
.B 0.6 DAY N1 N2 N3 N4 N
o
00.55
0.5
0.45
0.4
0.35
0.3-1 -0.6 -0.2 0.2 0.6 1
COS~ ...n
Fig. 5. SK Zenith angle distribution normalized to the SSM prediction [IJ.
2.2 Atmospheric Neutrinos
Neutrinos produced as decay products in hadronic showers from cosmic ray col-
lisions with nuclei in the upper atmosphere have been observed in several exper-
iments [2,3J. Although individual vII- or V e fluxes are only known to within 30%
accuracy, their ratio is predicted to within 5% over energies varying from 0.1 GeV
to 100 GeV [20J. The long-standing discrepancy between the predicted and mea-
sured /-LIe ratio of the muon (Vp. +vp.) over the electron atmospheric neutrino flux
(ve + ve) [21J found both in water Cerenkov experiments (Kamiokande, Super-
Kamiokande and 1MB) as well as in the iron calorimeter Soudan2 experiment is
384 J. W. F. Valle
2 I I I I I I
,-...
ZCU
-
~1
Z
::1.
:II:
I
I
I
I I I I I I
OF·
reJus Soudan-2 Kamiokande
1MB Nusex SK
Fig. 6. Measured atmospheric neutrino event rates normalized to theoretical predic-

tion.
illustrated in Fig. 6 2. This evidence has now been strengthened by the fact that
it exhibits a strong zenith-angle dependence [2] as can be seen from Fig. 7. The
zenith-angle distributions for the Super-Kamiokande e-like are shown in the left
panels, both in the sub-GeV (upper panels) and multi-GeV (lower panels) energy
range. The thick solid line is the expected distribution in the SM. It is consiostent
with the SM expectations. In contrast J.L-like events displayed in the right-panels
show a clear deficit of neutrinos coming from below which is very suggestive
indeed of vlJo oscillations. The thin full line is the prediction for the overall best-
fit point of ALL-ATM data tan 2 813 = 0.025, ~m52 = 3.3 x 10- 3 eV 2 and
tan 2 823 = 1.6. The dashed (dotted) histogram correspond to the distributions
for ~m52 = 3.3 (2.85) x 10- 3 eV 2 , tan 2 823 = 3.0 (3.1) and tan 2 813 = 0.33 (0.54)
which are allowed at 90 (99)% CL. Zenith-angle distributions have also been
recorded for upward-going muon events in Super-Kamiokande and MACRO, as
illustrated in Fig. 8. The thick solid line is the expected distribution in the SM,
while the thin full line is the prediction for the overall best-fit point of ALL-ATM
data tan 2 813 = 0.025, ~m52 = 3.3 x 10- 3 eV2 and tan 2 823 = 1.6. The dashed
(dotted) histogram correspond to the distributions for ~m52 = 3.3 (2.85) x 10- 3
eV 2 , tan 2 823 = 3.0 (3.1) and tan 2 813 = 0.33 (0.54) which are allowed at 90 (99)%
CL.
2 No deficit was seen in Frejus and Nusex buth these have larger errors
400 400 ,....,...--.-~~.,..-r~,.....,.~~-r~~--.-.--,
SK sub-GeV (e) SK sub-GeV (~)
200 f-
100 f- - 100
0 0
-0.8 -0.4 0 0.4 0.8 -0.8 -0.4 0 0.4 0.8
100 250
..... ~.K multi-GeV (e)
75
,.-----
...........
. . . . r"·"3---- 200
: ____ 1
":;:.::::.:
150
50
100
25 BeSIFil
50 90% c.L.
99%C.L.
Standard Model
0 0
-0.8 -0.4 0 0.4 0.8 -0.8 -0.4 0 0.4 0.8
cos e cos e
Fig. 7. SK zenith-angle distributions for contained events versus the SM and the os-
cillation hypothesis.
2.3 Global 3-Neutrino Fits
In what follows we will assume just the three known "active" neutrinos exist
postponing any discussion of "sterile" neutrinos to the end. The simplest and
most generic explanation of the solar and atmospheric neutrino anomalies is in
terms of V e and vJ10 oscillations. This section summarizes the results of the lastest
global analysis of neutrino data performed in ref. [9] and illustrates how the
required neutrino parameters are determined through a X2 fit of the experimental
data. The role played by the reactor data [22] is also discussed.
The most economical joint description of solar and atmospheric anomalies in-
volves oscillations amongst all three known types of neutrinos. Here I summarize
the results of the recent global analysis [9] of the solar [1], atmospheric [2,3] and
reactor [22] neutrino data in terms of three-neutrino oscillations. The present
discussion goes beyond previous three-neutrino oscillation analyses including
only solar [23] or only atmospheric neutrino data [24]. It also updates earlier
joint studies [25]. As we saw the solar neutrino data includes the recoil electron
energy spectra for day and night periods. On the other hand the atmospheric
386 J. W. F. Valle
SK thru (J.1) SK stop (J.1)

1-
3
I;; 0.8 -
---y--.:.
"'"
<;' '"
I I
e 2 -
,., <..>
"'"s: r~~------
~
0.4 - I ········1···· -
ft.=- I
T
0.2 - -
0
-I -0.8 -0.6 -0.4 -0.2 -0.8 -0.6 -0.4 -0.2 o
cos a
6
5 BeSIFil
~
9O%C.L.
I;; 99%C.L.
4 Standard Model
"'"'"
<;'
e
,., <..> 3
"'"s:
2
~
ft.=-
o L...-'-............--'-~~L...-'- ............- - ' -............~'-'-~-J

-I -0.8 -0.6 -0.4 -0.2 0
cos a
Fig. 8. Zenith-angle distributions for upward-going muon events in Super-Kamiokande

and MACRO.
data sample includes not only contained events but also the upward-going v-
induced muon fluxes. In addition to previous Frejus, 1MB, Nusex, and Kamioka
data we use the most recent 71 kton-yr (1144 days) SK data set, the 5.1 kton-
yr contained events of Soudan2, and the results on up-going muons from the
MACRO detector.
The pattern of neutrino oscillations expected in any fundamental (gauge)
theory of neutrino mass is determined by the structure of the lepton mixing
matrix [4,26]. For the simplest three-neutrino theories this is in general char-
acterized by three mixing angles and three CP violating phases [27]. The latter
include, in addition to the Dirac-type phase analogous to that of the quark sector,
two extra physical [6] phases associated to the Majorana character of neutrinos.
Conservation of CP implies that Dirac phases are zero modulo 1r, while Majo-
rana phases are zero modulo1r/2 [28,29]. For our following discussion all three
phases are set to zero. In this case the mixing matrix can be conveniently chosen
in the form [27]
(1)
This way the joint study of solar and atmospheric neutrino oscillations will
be characterized by a five-dimensional parameter space
(2)
where all mixing angles are assumed to lie in the full range from [0, 1l" /2].
From the required hierarchy in the splittings .1m~tm » .1m~ indicated by
the solutions to the solar and atmospheric neutrino anomalies (see below) it
follows that the analyses of solar data constrain three of the five independent
oscillation parameters, namely, .1m~I' {}12 and {}13 since for most cases oscilla-
tions over the atmospheric scale average out. Conversely, from the point of view
of the atmospheric data analysis one can effectively assume that the lighter neu-
trinos become degenerate so that one can rotate away the corresponding angle
{}12 leading to the simplified form [30]
(3)
for the leptonic mixing matrix. As a result only three oscillation parameters:
L\m~2' {}23 and {}13 are necessary to describe the 3-neutrino propagation of at-
mospheric neutrinos.
It follows from the above discussion that {}13 is the only parameter common
°
to both analyses and may potentially allow for some "cross-talk" between the
two sectors. It is known that for L\m~2 » L\mr2 and {}13 = the atmospheric
and solar neutrino oscillations decouple in two 2-v oscillation scenarios. In this
respect our results also contain as limiting cases the pure two-neutrino oscillation
scenarios and update previous analyses on atmospheric neutrinos [31,32] and
solar neutrinos [8,33].
In order to compute the solar neutrinos survival probabilities for any value
of the neutrino mass and mixing the full expression for the survival probability
has been used, without appealing to the usual approximations whose validity
defines the MSW [7] or the " just-so" [34] regime. This treatment of neutrino os-
cillations is therefore unified, with MSW and vacuum oscillations considered on
the same footing. Likewise, it includes conversions in the "dark-side", i. e. with
{}12 > 1l" /4 [35]. Results are found by numerically solving the Schrodinger neu-
trino evolution equation in the Sun and the Earth matter, using the electron
388 J. W. F. Valle
number density of BP2000 model [36] and the Earth density profile given in the
Preliminary Reference Earth Model (PREM) [37].
Reactor Limits
To start the summary of the global 3-neutrino fits we first note that, of all
laboratory searches for neutrino oscillation, reactors provide the most sensitive
one when it comes to comparing with the data from underground experiments.
Thus we will first consider the region of oscillation parameters which can be ex-
cluded from reactor experiments. The restrictions on L\m~2 and sin 2 (28 13 ) that
follow from the non observation of oscillations at the Chooz reactor experiment
are shown in Fig. 9, taken from [9]. The curves represent the 90,95 and 99% CL
-'
u
~
::;
E10
-1 =
a> EXCLUDED
<J
1
10
0.1 0.20.30.40.50.60.70.80.9 1
sin2(2~'3)
Fig. 9. Region in .1m52 and sin 2 (29 13 ) excluded by the Chooz reactor.
excluded region defined with 2 d. o. f. for comparison with the Chooz published
results. In what follows we will compare this direct bound with those obtained
from a global analysis of solar and atmospheric data, as well as consider its effect
in combination with the latter.
Solar Data Fit
We first present the allowed regions of solar oscillation parameters 812 , L\m~1
as a function of (h3' All plots are taken from (9) where details of the analysis
can be found. In Fig. 10 we give the allowed three-neutrino oscillation regions in
Llm~1 and tan2 812 from the measurements of the total event rates at the Chlo-
rine, Gallium, Kamiokande and Super-Karniokande experiments. The different
panels represent the alloyed regions at 99% (darker) and 90% CL (lighter)
10-3
,....-.. 2
ton "13=O.OB
>Q)
:"I
10-1
............
-
10-5
,
:"I
~
10-6
N
E
<J 10-7
lO-8r ~
09
--
10
:-
10-1
~
Rates Rates ~
10-1 L.U1lJl.-_........._ - " -

05 01
10-6 1005 10.4 10-3 10-2 1001 1 10. 100. 10 10-1 10-3 10. 2 10 1 10. 100.
2
to n 19- 12
Fig. 10. 3-v oscillation regions allowed at 99% (darker) and 90% CL (lighter) by
measurements of the total solar neutrino event rates. The best-fit is for SMA.
3
......... 10- ,.,"T"'"T""'!'TTl"T..,..."...,..--ro"""--T'Tlr.lrTTl"""ro"":::!-rT'T'1!F""""""""""""TTT,,-nr-rrr'1lll!'-mP!f .-nco" <T'"
>Q)
:"I
10-1
............ 10-5
E
:"I
6
10.
<J 10.7
10.8
10-9
01
10
10. 1 l..Lu.uLJ.............l.UlJ.L..u.u.LJ.l.U.OIi....uJwL.Jw...-...................WlIL..u.w.L..uJ!l4-J..Wl,JL..WJU....J......".-LUl"'->.W;...J
100610.510.410-3 10-2 10.1 1 10. 100.10.5 10-4 10.3 10.2 1001 1 10. 100.
2
ton 19- 12
Fig. 11. 3-v oscillation solar oscillation regions excluded at 99% CL by the day-night
spectra.
obtained as sections for fixed values of the mixing angle tan 2 (}13 of the three-
dimensional volume defined by X2 - X:nin=6.25 (90%), 11.36 (99%). The best-fit
point is denoted as a star. It occurs, as expected, for the small mixing MSW solu-
390 J. W. F. Valle
tion (SMA) simply because this is the situation which most strongly suppresses
the unwanted 7Be neutrino flux. It is characterized by a non-zero 813 value. For
higher 813, the description worsens. Although relatively weak, the limit on 813
from solar data is totally independent on the allowed range of the atmospheric
mass difference ..:1m~2'
E
<J
1 o·} L.U.LUI....1~..J..WWl....LJWlIL.ll1lOL..UJWlIL..JWllIIUJJJIllL...L.Ll.Il4~L..U.I1llIL.llll'.Lli;w:L.L.Wll.lu.uJ""-'-ill1If
10. 6 10.5 10.4 10.3 10,2 10.1 1 10 100 10,5 10-4 10,3 10,2 10,1 1 10. 100.
2
to n 19 12
Fig. 12. 3-v oscillation regions alloyed by all of the solar neutrino data. The best-fit
is for LMA.
~15
99 % CL
10
90 % CL
5
Fig. 13. Relative quality of three-neutrino solutions to the solar neutrino problem.
The three-neutrino solar oscillation regions excluded by the measurement

of the day-night spectra data in the Super-Kamiokande 1117-day data sample
is illustrated in Fig. 11.
Finally, the allowed three-neutrino solar oscillation regions in Llm~l and
tan 2 (}l2 which follows from the global analysis of all solar neutrino data is pre-
sented in Fig. 12. The best-fit point now shifts to LMA, as indicated. The
relative quality of the various oscillation solutions of the solar neutrino problem
is illustrated in Fig. 13. This figure gives LlX 2 as a function of tan 2 (}l3 from the
3-neutrino analysis of the solar data. The dotted horizontal lines correspond to
the 90%, 99% CL limits. The left panel corresponds the analysis of total rates
only, while the right panel corresponds to the global analysis. The dotted hor-
izontal lines correspond to the 90%, 99% CL limits. Although all the various
SMA, LMA, LOW and vacuum solutions provide acceptable global descriptions
of the solar data, they are not equally good. From the right panel in Fig. 13
we conclude that, for small enough tan 2 (}l3 values (so that we gets effectively
a two-neutrino scheme) the LMA solution is the best, while SMA is the worst.
One notices also that the electron recoil energy day-night spectra, are playing
an increasing role in discriminating between different solutions to the solar neu-
trino problem, pushing the best-fit point towards the LMA solution [9], a trend
already noted in earlier 2-neutrino analyses due to the same reason [8J.
Since the characteristic average energies of different neutrino flavours is dif-
ferent in a supernova, one expects that neutrino oscillations have a potentially
important impact on the observed ve signal of supernova SN 1987A [38J. This is-
sue has been recently re-analysed in ref. [39J. Performing a maximum-likelihood
analysis using as fit parameters the released binding energy E b and the aver-
age neutrino energy (Ev.) , it has been found that ve t+ Vj.£,T oscillations with
large mixing angles have lower best-fit values for (Ev.) than small-mixing angle
(SMA) oscillations. Moreover, the inferred value of (Eve) is already in the SMA
case lower than those found in simulations. This conflict had been previously
interpreted [38J as evidence against the large mixing oscillation solutions to the
solar neutrino problem. The more detailed analysis given in ref. [39J has found,
however, that the LMA-MSW solution is not really in any serious conflict with
the current understanding of SN physics with the LOW solution more strongly
disfavored. In contrast, the vacuum oscillation to the solar neutrino problem
can be excluded at the 40' level for all of the SN parameter ranges found in
simulations.
Another issue which could playa more significant role in future investigations
is that of seasonal variations, expected in the just-so regime and, more subtly,
also in the MSW large mixing solutions, LMA and LOW. The first would result
from the eccentricity of the Earth's orbit around the Sun and could be tested
by searching for seasonal variations in the 7Be neutrino flux at the Borexino
experiment, and possibly at KamLAND [40J. The latter would result from the
regeneration effect at the Earth (day-night effect) and might be tested through
time variations of event rates at GNO and Borexino [41J.
392 J. W. F. Valle
An interesting theoretical issue is the possible effect that random fluctuations

in the solar matter density [42-44J may have on the solar neutrino event rates.
The existence of such noise fluctuations at a few percent level is not excluded by
present helioseismology studies. The correlation length £0 associated with the
scale of the fluctuation can be assumed to lie between the mean free path of the
electrons in the solar medium, l free"'" 10 em, and the neutrino oscillation length
in matter, Am, e. g. lfree« £0 « Am. Even small fluctuations can have an
important effect on averaged solar neutrino survival probabilities, especially for
small solar mixing angles [42,43J. The fluctuations can affect the 7Be neutrino
component of the solar neutrino spectrum, implying that Borexino can probe,
at some level of precision, the magnitude of solar matter density fluctuations [45J.
Atmospheric and Reactor Data Fit
Here I present the allowed regions of atmospheric oscillation parameters B23 ,

Llm~2 for different values of the parameter Bl3 , common to solar and atmospheric
analyses. All plots are taken from [9J where details can be found. In Fig. 14 we
display the allowed (tan 2 B23 , Llm~2) regions for different tan 2 B13 values, that
follow from the combination of Super-Kamiokande atmospheric neutrino events.
The regions refer to 90, 95 and 99% CL. The best-fit point is denoted as a star
and corresponds to tan 2 B13 = 0.026. In Fig. 15 we present the three-neutrino
-1
,-... 10 ,.: =
>OJ
:'>I
ton
2
~13=0.026
-
ton
2
~13=0.31 I ton 219-13 =0.55
::
'-"'10
:'>I
~
", o
<J
E 10
10 L_...J....,I.....L.L-'..lll.L---l-J-L...U...1.llL-.L-L..l...Lll.U.L..---L.....L..J....1..u.J.U...--l....-l-LU..l.l..LL.-.L...J...J...J...llllI
1
10 1 10 1 10 1 10
to n 'l9-Z3 Z
Fig. 14. 90, 95 and 99% CL (tan 2 023 , Llm~2) regions allowed by combining all atmo-
spheric data.
regions in (tan 2 B23 , Llm~2) allowed by the combination of all atmospheric neu-
trino data plus Chooz. The best-fit point is denoted as a star. Comparing
-1
,.-... 10
>OJ
:'1.1
........... 10
:'1.1
,..,
N
=
E 10
<J
10 -1
10 1 10 1 10
Fig. 15. 90, 95 and 99% CL 3-1I (tan2823' Llm52) regions allowed by combining all
neutrino data.
Fig. 14 and Fig. 15 one can see the weight of the reactor neutrino bound on the
global analysis. The best global fit has tan 2 013 = 0.005 and for tan 2 013 = 0.075
even the 99% CL allowed region disappears. Notice the important complemen-
tarity between atmospheric data and the strong reactor limits on 013 since the
latter apply only for Llm52 ;:: 10- 3 eV2.
Combining Solar, Atmospheric and Reactor Data
We also obtain the allowed ranges of parameters from the full five-dimensional
combined analysis of all of the above neutrino data. In Fig. 16 we give the re-
gions in Llm~l and tan 2 012 allowed by the global analysis of solar, atmospheric
and reactor neutrino data. The left panel gives the regions for the unconstrained
analysis defined in terms of the increases of LlX 2 for 5 d.oJ. from the global best
fit point denoted as a star. The right panel shows the values of tan 2 013 beyond
which the 99% CL region starts to disappear.
3 Making Sense of Neutrino Data
Physics beyond the Standard Model is required in order to explain solar and
atmospheric neutrino data. While neutrino oscillations provide an excellent fit
and a powerful way to determine neutrino mass and mixing, there is a plethora
of alternative mechanisms, some of which quite attractive, which could play
a role in the interpretation of the data. These include flavour changing neu-
trino interactions [27,46,47] both in the solar [46,48,49] and atmospheric [50]
neutrino problems, Resonant Spin-Flavour Precession mechanisms [29,51,52) for
394 J. W. F. Valle
10-3
~
:-0
>Q) 10-4
'-"" 10-s •
I'ol
-
N
10-6
~
E
<l
-r-
Solar + Atm. + CHOPZ Solor + Atm. + CHopZ
10-/ W-1J1l..Lu......L.J..Ul.L.J..l.Ul.lw..u..........llCIIC-llIJl:lL.1.lllU....L.WllJ.....l.ll1lll.....l..W........JJJ..I...u.u.......WU4....J..WoLLw..I
10-6 10-s 10-4 10-3 10-2 10-/ 1 10. 10.6 10'S 10-4 10.3 10-2 10-/ 1 10. 100.
tan2~12
Fig. 16. (Llm~l' tan 2 912 ) regions allowed by the global neutrino data analysis.
solar neutrinos, and the possibility of fast neutrino decays [53] which could also
playa role in the solar [54] and/or atmospheric neutrino problems [55].
Some of these may have a plausible theoretical origin. For example, FC neu-
trino interactions may arise in models with extra heavy leptons [56-59] as well
as in supergravity theories [60], where they may be, moreover, calculable by the
renormalization group evolution. A possible signature of theories leading to FC
interactions would be the existence of sizeable flavour non-conservation effects,
such as J.l -t e + "f, J.l - e conversion in nuclei, unaccompanied by neutrinoless
double beta decay. In contrast to the intimate relationship between the latter
and the non-zero Majorana mass of neutrinos due to the Black-Box theorem [5]
there is no fundamental link between lepton flavour violation and neutrino mass.
In particular lepton flavour violation can be sizeable in the massless neutrino
limit [58,59].
Moreover there are more exotic effects such as violations of equivalence prin-
ciple, Lorentz invariance and CPT which have been proposed [61]. Nevertheless
in what follows I will confine myself to the standard neutrino oscillation interpre-
tation of the data. While this is more justified for the atmospheric case, where
the room for exotics is getting smaller and smaller, for the case of solar neutrinos
there are competitive non-oscillation data fits [52] which account for the data in
an excellent way for the neutrino data.
3.1 Solar Plus Atmospheric
These data can be accounted for with the three known neutrinos. They fix the
two mass splittings ..1m~ & ..1m;tm' and two of the three neutrino mixing angles,
the third being small on account of the Chooz reactor results [22] and, to a lesser
extent also of atmospheric and even solar data. The smallness of this angle will
limit the prospects to probe leptonic CP violation at a neutrino factory.
The first idea that comes to mind is to accommodate such a pattern in seesaw
theories of neutrino mass [62].
/
x
$// /
/
/
N N /
/
In seesaw schemes the smallness of neutrino mass follows from the fact that
lepton number is violated at a very large scale, around 109 GeV and 10 14 GeV,
to account for the atmospheric scale. This can be implemented in left-right sym-
metric schemes [63] or simply within the context of the SU(3) ® SU(2) ® U(l)
model [64]. In general seesaw schemes do not predict mixing angles, so that the
maximal mixing indicated by the atmospheric data and possibly also by the so-
lar data can be easily accomodated. However in unification seesaw schemes the
smalness of the CKM angles also suggestes that leptonic mixing angles should
be small. To this extent the recent neutrino observations pose a challenge for
GUT model builders. For attempts to reconcile solar and atmospheric data in
unified models with specific texture anzatze, see ref. [65,66].
Despite the fact that theory alone can not predict neutrino properties from
first principles, I will simply mention some examples of predictive theoretical
schemes for accounting for the neutrino anomalies.
The minimalistic approach [40] rests on the obervation that gravity alone
can account for the solar neutrino data by Planck-mass L-violating effects, while
the atmospheric neutrino anomaly can be due to the existence of a single right-
handed neutrino at an intermediate mass scale between 109 GeV and 10 14 GeV.
Such simplest scheme solves the solar and atmospheric neutrino puzzles with
the smallest amount of beyond the Standard Model ingredients. Even though
the neutrino mixing angles are not exactly predicted, they can be naturally
large, which agrees well with the current experimental situation. One test for
the model is the search for anomalous seasonal effects at Borexino.
The next scheme is based on the idea that neutrino masses arising from
a common seed at some neutrino unification scale M x [67], while neutrino
mass splittings are induced by renormalization effects. Surprinsingly enough such
a simple theoretical ansatz is consistent with present neutrino data and predicts
that the leptonic analogue of the Cabibbo angle ()0 describing solar neutrino
oscillations is nearly maximal, due to the smallness of Breactor. These features
396 J. W. F. Valle
agree both with latest data on the solar neutrino spectra and with the reactor
neutrino data. Neutrinos can contribute to the hot dark matter since their nearly
degenerate whose mass could lie in the electron-volt range. In contrast to other
mechanisms leading to quasi-degenerate neutrinos [14,68] where there may be a
naturallness problem [69] here this is not the case because the two leading mass-
eigenstate neutrinos present in V e form a pseudo-Dirac neutrino (opposite CP
signs), avoiding conflict with neutrinoless double beta decay. While supersym-
metry may playa role in generating the atmospheric splitting in the unification
idea it is, in principle, not an essential ingredient.
I now turn to the possibility that the mechanism of generating neutrino mass
is genuinely supersymmetric. This is the idea that neutrino mass arises from
the violation of R parity [71], the most attractive possibility being that of
bilinear violation of R-parity [72]. It corresponds to the simplest unified exten-
sion of the Minimal Supersymmetric Standard Model with R-Parity violation
introduced in a way that renders a systematic investigation of R parity violation
effects not only in neutrino physics but also for supersymmetry phenomenology
at collider experiments. An attractive possibility within the context of such the-
ories is to consider models with anomalous U(1)H horizontal symmetries.
A recent such model has been described in [70]. It has been shown that bilinear
R-parity violating terms induce a neutrino mass at tree level of approximately
((;/2)6 eV where (;/ ~ 0.22 is the U(1)H breaking parameter and <5 is an integer
number that depends on the horizontal charges of the leptons. For <5 = 1 a unique
self-consistent model arises in which i) all the superpotential trilinear R-parity
violating couplings are forbidden by holomorphy; ii) the tree level neutrino mass
falls in the range suggested by the atmospheric neutrino problem; iii) radiative
contributions to neutrino masses are strongly suppressed resulting in a squared
solar mass difference of few 10- 8 eV 2 which only allows for the LOW (or quasi-
vacuum) solution to the solar neutrino problem; iv) the neutrino mixing angles
are not suppressed by powers of (;/ and can naturally be large.
Thrning to the more general case of neutrino mass arising from the violation
of R parity without any special symmetry imposed on the bilinear terms, let me
mention the model described in ref. [73]. It has been shown that it provides a
predictive scheme for neutrino masses which can account for the observed atmo-
spheric and solar neutrino anomalies in terms of bi-maximal neutrino mixing.
The spectrum is naturally hierarchical, since only the tau neutrino picks up mass
at the tree level 3, by mixing with neutralinos, while the masslessness of the other
two neutrinos is lifted only by calculable genuine loop corrections. Despite the
smallness of neutrino masses R-parity violation can be observable at present and
future high-energy colliders [74]. Most importantly, the model provides an un-
ambiguous cross-check of the mixing angles involved in the neutrino anomalies
at accelerators, by measuring the decay patterns of the lightest neutralino [75]
and/or other supersymmetric particles such as the stop quark [76).
3 Though this may be itself calculable from renormalization-group evolution from uni-
fication down to weak-scale if the boundary conditions on the soft SUSY breaking
terms are universal
Bi-maximal models may also be tested at KamLAND [77] or through the

measurement of leptonic CP violation at a neutrino factory [78], which could
lead to non-negligible CP asymmetries in neutrino oscillations [79]. However this
is limited by the smallness of 813 . Unfortunately the effects of the CP violation
intrinsic of the Majorananeutrino system [27] are helicity suppressed [6], though
a potential test of the CP properties and Majorana nature of neutrinos has been
suggested in ref. [80].
3.2 Adding LSND: Four-Neutrino Models
Accounting for the results of the LSND experiment [11] requires a fourth light
neutrino in order to participate in the oscillations together with the three known
neutrinos. In order to avoid affecting the invisible Z decay width, well-measured
at LEP, the fourth neutrino must be an SU(2) 0 U(l) singlet. The theoretical
requirements are:
• to understand what keeps the sterile neutrino light, since the SU(2) 0 U(l)
gauge symmetry would allow it to have a large bare mass
• to account for the maximal neutrino mixing indicated by the atmospheric
data, and possibly by the solar
• to account from first principles for the scales Llm~, Llm~tm and
Llm'iSND/HDM
} L:l.m~tm
} L:l.mLSND
} ~rn;ol
Fig. 17. (2,2)-symmetric 4-neutrino schemes.
The most elegant possibilities Fig. 17 match exactly with the phenomenolo-
gically favored ones, namely, those with maximal (2,2) symmetry, two degenerate
neutrinos on top and two massless ones on bottom [12,13] 4. The lightness of the
sterile neutrino can be accounted for by the underlying protecting symmetry,
such as lepton number. Moreover, in the original models [12,13] this mass arises
at one-loop order only. Alternatively, it may follow from volume suppression
in models with extra-dimensions [82]. As for the maximal atmospheric mixing
4 See (14,81J for more references
398 J. W. F. Valle
it follows naturally since to first approximation the heaviest neutrinos form a

quasi-Dirac pair whose components mix maximally. Finally the splittings which
generate solar and atmospheric oscillations arise due to breaking of the original
symmetry (for example due to additional loop suppression) [12,13] or due to
R-parity breaking [84] or brane-brane intearctions [82].
The presence of additional weakly interacting light particles, such as our light
sterile neutrino, may have effects in primordial Big Bang nucleosynthesis [83] as
well as contribute to an increased radiation content at the epoch of matter-
radiation equality. These effects leave their imprint in sky maps of the cosmic
microwave background radiation (CMBR) and may thus be detectable with the
very high precision measurements expected at the upcoming MAP and PLANCK
missions as noted in ref. [16].
4 In Conclusion
The angle-dependent atmospheric neutrino deficit provides, together with the

solar neutrino data, a strong evidence for physics beyond the Standard Model.
Small neutrino masses provide the simplest, but not unique, explanation of the
data. The existence of excellent non-oscillation fits of the solar data as well as
the existence of several oscillation solutions imply that it is still too early for a
precision determination of solar neutrino parameters.
The standard neutrino oscillation interpretation of the data suugests the in-
teresting possibility of bi-maximal neutrino mixing and of testing the neutrino
anomalies not only at the upcoming long-baseline or neutrino factory experi-
ments, but also at high-energy accelerators. On the other hand if the LSND
result stands the test of time, this would be a strong indication for the existence
of a light sterile neutrino. The two most attractive ways to reconcile under-
ground observations with LSND invoke either I/e- I/r conversions to explain the
solar data, with 1//1- - 1/8 oscillations accounting for the atmospheric deficit, or the
opposite. At the moment the latter is favored by the atmospheric data. These
two basic schemes have distinct implications at future neutral-current-sensitive
solar & atmospheric neutrino experiments, such as SNO and Super-Kamiokande.
To end up on a phylosophical mood I would say that it is important to search for
manifestations of massive and/or non-standard neutrinos at the laboratory in
an unbiased way. Though most of the recent excitement now comes from under-
ground experiments, one should bear in mind that models of neutrino mass may
lead to a plethora of new signatures which may be accessible also at high-energy
accelerators, thus illustrating the complementarity between the two approaches.
Acknowledgements: This work was supported by Spanish DGICYT under

grant PB98-0693, by the European Commission RTN grant HPRN-CT-2000-
00148, by the European Science Foundation network grant N. 86.
References
1. Suzuki, V. Talk at XIX Int. Conference on Neutrino Physics and Astrophysics, Sud-
bury, Canada, http://nu2000.sno.laurentian.ca; T. Takeuchi, talk at the XXXth
International Conference on High Energy Physics, ICHEP 2000 http//www.-
ichep2000.rl.ac.uk; Homestake Collaboration, B.T. Cleveland et al., Astrophys. J.
496,505 (1998); R. Davis, Prog. Part. Nuc1. Phys. 32,13 (1994); K. Lande, http//-
nu2000.sno.laurentian.ca; SAGE Collaboration, J.N. Abdurashitov et al., Phys.
Rev. C60, 055801 (1999); V. Gavrin, http//nu2000.sno.laurentian.ca. GALLEX
Collaboration, W. Hampel et al., Phys. Lett. B447, 127 (1999). E. Belloti, http://-
nu2000.sno.laurentian. ca.
2. Sobel, H. http//nu2000.sno.laurentian.ca; Y. Fukuda et al., Phys. Rev. Lett. 82
(1999) 2644 [hep-ex/9812014]; Phys. Lett. B433, 9 (1998); Phys. Lett. B436, 33
(1998); T. Toshito, http//www.ichep2000.rl.ac.uk
3. Becker-Szendy, R. et al. (1992), Phys. Rev. 046, 3720 (1992). H.S. Hi-
rata et al., Phys. Lett. B280, 146 (1992); V. Fukuda et al., ibid
B335, 237 (1994); W.W.M. Allison et al., Phys. Lett. B449, 137 (1999);
A. Mann, http://nu2000.sno.laurentian.ca/; F. Ronga, hep-ex/0001058 and
http//www.ichep2000.rl.ac.uk/; K. Daum et al. Z. Phys. C66, 417 (1995); M.
Aglietta et al., Europhys. Lett. 8, 611 (1989).
4. For a review see J. W. F. Valle, Gauge Theories and the Physics of Neutrino Mass,
Prog. Part. Nucl. Phys. 26 (1991) 91 and references therein
5. J. Schechter and J.W. Valle, Phys. Rev. 025, 2951 (1982); for reviews see
A. Morales, "Review on double beta decay experiments and comparison with the-
ory," hep-ph/9809540
6. J. Schechter and J.W. Valle, "Neutrino Oscillation Thought Experiment," Phys.
Rev. 023 (1981) 1666. This paper showed that Majorana phases are physical,
though their effects are small due to the smallness of neutrino masses.
7. A.V. Smirnov and S.P. Mikheev, "Neutrino Oscillations In Matter With Vary-
ing Density," In *Tignes 1986, Proceedings, '86 massive neutrinos * 355-372; L.
Wolfenstein, Phys. Rev. D20 (1979) 2634.
8. Gonzalez-Garcia, M. C. et aI, Nucl. Phys. B573, 3 (2000).
9. For the latest global three-neutrino oscillation analysis of neutrino data see
M.C. Gonzalez-Garcia, M. Maltoni, C. Pena-Garay and J.W.F. Valle, Rev. D 63
(2001) 033005 [hep-ph/0009350] and references therein.
10. V. Barger, S. Pakvasa, T.J. Weiler and K. Whisnant, Phys. Lett. B431, 107 (1998),
hep-ph/9806387; E. Torrente-Lujan, Phys. Lett. B389 (1996) 557; S. Davidson and
S.F. King, Phys. Lett. B445, 191 (1998); S. F. King, Nuc!. Phys. B516 (2000) 85
11. C. Athanassopoulos, [LSND Collaboration], Phys. Rev. Lett. 75 (1995) 2650;
Phys. Rev. Lett. 77 (1996) 3082 ; C. Athanassopoulos et ai, Phys. Rev. Lett. 81,
1774 (1998) and http://www.neutrino.lan!.gov/LSND/; W.C. Louis Prog. Part.
Nuc!. Phys. 40, 151 (1998); Smith, D. Proc. of DARK2000
12. J. T. Peltoniemi, D. Tommasini, and J W F Valle, Phys. Lett. B298 (1993) 383
13. J. T. Peltoniemi, and J W F Valle, Nucl. Phys. B406 (1993) 409 [hep-ph/9302316]
400 J. W. F. Valle
14. D.O. Caldwell and R.N. Mohapatra, Phys. Rev. D48 (1993) 329
15. M. C. Gonzalez-Garcia, M. Maltoni and C. Pena-Garay, hep-ph/0105269; Yasuda,
O. hep-ph/0006319; S. M. Bilenky, C. Giunti, W. Grimus and T. Schwetz, Phys.
Rev. D 60 (1999) 073007
16. S. Hannestad and G. Raffelt, Phys. Rev. D59, 043001 (1999) astro-ph/9805223.
17. J. N. Bahcall, S. Basu and M. H. Pinsonneault, Phys. Lett. B 433 (1998) and
http://www.sns.ias.edu/ jnb/
18. J. N. Bahcall, Phys. Lett. B338 (1994) 276; V. Castellani, et al Phys. Lett. B324
(1994) 245; N. Hata, S. Bludman, and P. Langacker, Phys. Rev. D49 (1994) 3622;
V. Berezinsky, Comm. on Nucl. and Part. Phys. 21 (1994) 249
19. J.N. Bahcall et al, astro-ph/0010346; Phys. Lett. B433 (1998) 1 and Phys. Rev.
Lett. 18 (1997) 171.
20. T. K Gaisser and T. Stanev, Phys. Rev. D511977 (1998); G. Barr, T. K Gaisser
and T. Stanev, Phys. Rev. D 39 (1989) 3532 and Phys. Rev. D38, 85; V. Agrawal
et al., Phys. Rev. D53, 1314 (1996); L. V. Volkova, Sov. J. Nucl. Phys. 31, 784
(1980); M. Honda, T. Kajita, S. Midorikawa and K Kasahara, Phys. Rev. D52,
4985 (1995).
21. T. K Gaisser, F. Halzen and T. Stanev, Phys. Rep. 258, 174 (1995)
22. M. Apollonio et al., Phys.Lett. B466 (1999) 415; F. Boehm et al., hep-ex/9912050
23. Fogli, G. L. et al (2000) Phys. Rev. D62, 013002 (2000); Phys. Rev. D54, 2048
(1996); A.M. Gago, H. Nunokawa, R. Zukanovich Funchal, hep-ph/0007270.
24. Fogli, G. L. et al (1999) Phys. Rev. D59, 033001 (1999); A. De Rujula, M.B.
Gavela, P. Hernandez, hep-ph/0001124; T. Teshima, T. Sakai, Prog. Theor. Phys.
101, 147 (1999); Prog. Theor. Phys. 102, 629 (1999); hep-ph/0003038,
25. Barger, V., Whisnant, K, Phillips, R. J. N. Phys. Rev. D22, 1636 (1980); G.L.
Fogli, E. Lisi, D. Montanino, Phys. Rev. D49, 3626 (1994); Astropart. Phys. 4,
177 (1995); R. Barbieri, L. J. Hall, D. Smith, A. Strumia, N. Weiner, JHEP 9812,
017 (1998); T. Teshima, T. Sakai, O. Inagaki, Int. J. Mod. Phys. A14, 1953 (1999);
V. Barger, K Whisnant, Phys. Rev. D59, 093007 (1999).
26. Bilenky, S. Giunti,C. and Grimus, W. Prog. Part. Nucl. Phys. 43 (1999) 100
27. Schechter, J. and Valle, J. W. F. Phys. Rev. D22, 2227 (1980).
28. Wolfenstein, L. Phys. Lett. B101 (1981) 77
29. Schechter, J. and Valle, J. W. F. Phys. Rev. D24 1883, (1981), Err. ibid.
D25 283, (1982).
30. Schechter, J. and Valle, J. W. F. J. Schechter and J. W. F. Valle, Phys. Rev. D21
309 (1980)
31. Fornengo, N, Gonzalez-Garcia;M. and Valle, J. W. F. Nucl. Phys. B580 (2000)
58; M.C. Gonzalez-Garcia, H. Nunokawa, O.L. Peres and J. W. F. Valle, Nucl.
Phys. B543, 3 (1999) and M. C. Gonzalez-Garcia, H. Nunokawa, O. L. Peres,
T. Stanev and J. W. F. Valle, Phys. Rev. D58 (1998) 033004.
32. Foot, R. Volkas, R. and Yasuda, O. Phys. Rev. D58, 013006 (1998); O. Yasuda,
Phys. Rev. D58, 091301 (1998); G.L. Fogli, E.Kh. Akhmedov, A. Dighe, P. Lipari
and A.Yu. Smirnov, hep-ph/9808270.
33. Bahcall, J.N. et al, http://www.sns.ias.edu/ jnb/
34. Barger, V., Whisnant, K. and Phillips, R. J. Phys. Rev. D24, 538 (1981);
S.L. Glashow and L.M. Krauss, Phys. Lett. 190B, 199 (1987)j S.L. Glashow,
P.J. Kernan and L.M. Krauss, Phys. Lett. B445, 412 (1999)
35. Gonzalez-Garcia, M. C. and Pena-Garay, C. Phys. Rev. D62 (2000) 031301j A. de
Gouvea, A. Friedland and H. Murayama, Phys. Lett. B490 (2000) 125; G. L. Fogli,
E. Lisi and D. Montanino, Phys. Rev. D54, 2048 (1996)
36. Bahcall, J., Basu, S. and Pinsonneault, M. Astrophys. J. 529, 1084 (2000).
37. Dziewonski, A. & Anderson, D. Phys. Earth Planet. Inter. 25, 297 (1981).
38. A. Y Smirnov, D. N. Spergel and J. N. Bahcall, Phys. Rev. D 49 (1994) 1389;
B. Jegerlehner, F. Neubig and G. Raffelt, Phys. Rev. D 54 (1996) 1194
39. M. Kachelriess, R. Tomas and J. W. F. Valle, "Large lepton mixing and supernova
1987A," JHEP 0101, 030 (2001) [hep-ph/0012134].
40. A. de Gouvea and J. W. F. Valle, Phys. Lett. B 501 (2001) 115 [hep-ph/0010299].
41. de Holanda, P. C. et al (1999) Phys. Rev. D60 (1999) 093010, hep-ph/9903473j
G. L. Fogli, E. Lisi, D. Montanino and A. Palazzo, Phys. Rev. D61 (2000) 073009;
see also J.N. Bahcall, P.I. Krastev and A.Y Smirnov, hep-ph/9905220.
42. Balantekin, A.B et al Phys. Rev. D54 (1996) 3941; F. N. Loreti and A. B. Bal-
antekin, Phys. Rev. D50 (1994) 4762; F. N. Loreti et al., Phys. Rev. D52 (1996)
6664.
43. Nunokawa, H. et al Nucl. Phys. B472 495 [see also hep-ph/9610526]
44. Barnert, P., Burgess, C. and Michaud, D. Nucl. Phys. B513, 319 (1998); C.P.
Burgess, hep-ph/9711425; C.P. Burgess and D. Michaud, Annals Phys. 256, 1
(1997) and hep-ph/9611368.
45. Arpesella, C. at al., Proposal of the Borexino experiment (1991).
46. J.W. Valle, Phys. Lett. 199B (1987) 432.
47. H. Nunokawa, YZ. Qian, A. Rossi and J.W. Valle, Phys. Rev. D54 (1996) 4356
hep-ph/9605301.
48. M.M. Guzzo et al , Phys. Lett. B271 (1991) 17.
49. S. Bergmann, M. M. Guzzo, P. C. de Holanda, P. I. Krastev and H. Nunokawa,
Phys. Rev. D62 (2000) 073001 [hep-ph/0004049].
50. M.C. Gonzalez-Garcia et al., Phys. Rev. Lett. 82 (1999) 3202, hep-ph/9809531;
N. Fornengo, M. C. Gonzalez-Garcia and J. W. Valle, JHEP 0007 (2000) 006
[hep-ph/9906539].
51. E.Kh. Akhmedov, Phys. Lett. B213 (1988) 64-68; C. S. Lim and W. Marciano,
Phys. Rev. D37 (1988) 1368; E.Kh. Akhmedov, The neutrino magnetic moment
and time variations of the solar neutrino flux, hep-ph/9705451
52. Miranda, O. et al Nucl. Phys. B 595 (2001) 360. See also J. Pulido and E. Akhme-
dov, Phys. Lett. B485 (2000) 178; M. M. Guzzo and H. Nunokawa, Astropart.
Phys. 12 (1999) 8; J. Derkaoui and Y Tayalati, Astropart. Phys. 14 (2001) 351.
53. J. W. F. Valle, Phys. Lett. B 131 (1983) 87; G. Gelmini, J. W. F. Valle, Phys.
Lett. B 142 (1984) 181; J. W. F. Valle, Phys. Lett. B 159 (1985) 49; A. Joshipura,
S. Rindani, Phys. Rev. D 46 (1992) 3000
54. J. N. Bahcall, S. T. Petcov, S. Toshev and J. W. Valle, Phys. Lett. B 181 (1986)
369; for a recent paper see A. Bandyopadhyay, S. Choubey and S. Goswami, Phys.
Rev. D 63 (2001) 113019 and references therein.
402 J. W. F. Valle
55. V. Barger et al, hep-ph/9907421 and Phys. Rev. Lett. 82, 2640 (1999)
56. D. Wyler, L. Wolfenstein, Nucl. Phys. B218 (1983) 205
57. R. Mohapatra, J. W. F. Valle, Phys. Rev. D34 (1986) 1642; J. W. F. Valle, Nucl.
Phys. B (Proc. Suppl.) Bll (1989) 118-177
58. J. Bernabeu, A. Santamaria, J. Vidal, A. Mendez, J. W. F. Valle, Phys. Lett. B187
(1987) 303; J. G. Korner, A. Pilaftsis, K. Schilcher, Phys. Lett. B300 (1993) 381
59. M. C. Gonzalez-Garcia, J. W. F. Valle, Mod. Phys. Lett. A7 (1992) 477; erratum
Mod. Phys. Lett. A9 (1994) 2569; A. Ilakovac, A. Pilaftsis, Nucl. Phys. B437
(1995) 491; A. Pilaftsis, Mod. Phys. Lett. A9 (1994) 3595
60. L.J. Hall, V.A. Kostelecky and S. Raby, Nucl. Phys. B267, 415 (1986).
61. M. Gasperini, Phys. Rev. D38, 2635 (1988); J. Pantaleone, A. Halprin, C.N. Leung,
Phys. Rev. D47, 4199 (1993); A. Halprin, C.N. Leung, J. Pantaleone Phys. Rev.
D53, 5365 (1996). S. Coleman, S. L. Glashow, Phys. Lett. B405, 249 (1997); S.
L. Glashow, A. Halprin, P.I. Krastev , C.N. Leung, J. Pantaleone, Phys. Rev.
D56, 2433 (1997). S. Coleman, S. L. Glashow, Phys. Rev. D59, 116008 (1999).
A.M. Gago, H. Nunokawa and R. Zukanovich Funchal, hep-ph/9909250.
62. M Gell-Mann, P Ramond, R Slansky in Supergravity, ed by D Freedman et al., ,
(North Holland, 1979), T Yanagida, KEK lectures, ed 0 Sawada et al (1979)
63. R Mohapatra, G Senjanovic, Phys. Rev. D23 (1981) 165
64. J Schechter, J W F Valle, Phys. Rev. D25 (1982) 774.
65. S. Lola and J.D. Vergados, Prog. Part. Nucl. Phys. 40, 71 (1998); G. Altarelli and
F. Feruglio, Phys. Lett. B439, 112 (1998) hep-ph/9807353.
66. G. Altarelli and F. Feruglio, Phys. Lett. B451 (1999) 388 hep-ph/9812475; S. Lola
and G.G. Ross, hep-ph/9902283; R. Barbieri, L.J. Hall and A. Strumia, Phys. Lett.
B445, 407 (1999), hep-ph/9808333; M.E. Gomez, G.K. Leontaris, S. Lola and
J.D. Vergados, Phys. Rev. D59, 116009 (1999), hep-ph/9810291; G.K. Leontaris,
S. Lola, C. Scheich and J.D. Vergados, Phys. Rev. D53, 6381 (1996)
67. P. H. Chankowski, A. Ioannisian, S. Pokorski and J. W. Valle, Phys. Rev. Lett.
86, 3488 (2001) [hep-ph/0011150j.
68. For some models with quasi-degenerate neutrinos see, A. Ioannissyan, J. W. F.
Valle, Phys. Lett. B 332 (1994) 93; B. Bamert, C.P. Burgess, Phys. Lett. B 329
(1994) 289; D. Caldwell and R. N. Mohapatra, Phys. Rev. D 50 (1994) 3477; D.
G. Lee and R. N. Mohapatra, Phys. Lett. B 329 (1994) 463; A. S. Joshipura, Z.
Phys. C 64, 31 (1994).
69. J. A. Casas, J. R. Espinosa, A. Ibarra and I. Navarro, Nucl. Phys. B 569 (2000) 82
J. Ellis and S. Lola, Phys. Lett. B 458 (1999) 310 N. Haba, Y. Matsui, N. Okamura
and M. Sugiura, Prog. Theor. Phys. 103 (2000) 145; E. Ma, hep-ph/9907503.
70. J. M. Mira, E. Nardi, D. A. Restrepo and J. W. Valle, Phys. Lett. B 492 (2000)
81 [hep-ph/0007266j.
71. C Aulakh, R Mohapatra, Phys. Lett. BU9 (1982) 136; L Hall, M Suzuki, Nucl.
Phys. B231 (1984) 419; G GRoss, J W F Valle, Phys. Lett. B151 (1985) 375;
J Ellis, G Gelmini, C Jarlskog, GRoss, J W F Valle, Phys. Lett. B150 (1985)
142; A Santamaria, J W F Valle, Phys. Lett. B195 (1987) 423; Phys. Rev. Lett.
60 (1988) 397; Phys. Rev. D39 (1989) 1780; A Masiero and J W F Valle, Phys.
Lett. B251 (1990) 273; J. C. Romao and J. W. Valle, Nucl. Phys. B 381 (1992)
87; R. Hempfling, Nucl. Phys. B 478 (1996) 3
72. M. A. Diaz, J. C. Romao and J. W. Valle, Nuc!. Phys. B 524 (1998) 23 [hep-
ph/9706315) and references therein.
73. Hirsch, M. et al, Phys. Rev. D 62 (2000) 113008 [hep-ph/0004115]; J. C. Roma-o,
M. A. Diaz, M. Hirsch, W. Porod and J. W. F. Valle, Phys. Rev. D61, 071703
(2000) [hep-ph/9907499]
74. A. Bartl, W. Porod, D. Restrepo, J. Romao and J. W. Valle, Nuc!. Phys. B 600
(2001) 39 [hep-ph/0007157].
75. W. Porod, M. Hirsch, J. Romao and J. W. Valle, Phys. Rev. D 63 (2001) 115004
[hep-ph/0011248].
76. D. Restrepo, W. Porod and J. W. Valle, hep-ph/0104040, PRD, in press
77. De Braeckeleer, L. Nuc!. Phys. Proc. Supp!. 87, 312 (2000).
78. C. Quigg, Introduction to NuFact '99, the ICFA/ECFA Workshop on Neutrino
Factories Based on Muon Storage Rings, hep-ph/9908357.
79. J. Sato, hep-ph/9910442; O. Yasuda, hep-ph/9910428; H. Minakata and
H. Nunokawa, Phys. Rev. D57 (1998) 4403 hep-ph/9705208; A. Romanino, hep-
ph/9909425.
80. S. Pastor, J. Segura, V.B. Semikoz and J.W. Valle, Nucl. Phys. Proc. Supp!. 87,
330 (2000).
81. Q. Y. Liu, A. Yu. Smirnov, Nucl. Phys. B524 (1998) 505-523; V. Barger, K. Whis-
nant and T. Weiler, Phys.Lett. B427 (1998) 97-104; S. Gibbons, R. N. Mohapa-
tra, S. Nandi and A. Raichoudhuri, Phys. Lett. B430 (1998) 296-302; Nuc!.Phys.
B524 (1998) 505-523; S. Bilenky, C. Giunti and W. Grimus, Eur. Phys. J. C 1,
247 (1998); S. Goswami, Phys. Rev. D 55, 2931 (1997); N. Okada and O. Ya-
suda, Int. J. Mod. Phys. A12 (1997) 3669-3694; E. J. Chun, A. Joshipura and
A. Smirnov, in Elementary Particle Physics: Present and Future (World Scientific,
1996), ISBN 981-02-2554-7; M. Bando and K. Yoshioka, Prog. Theor. Phys. 100,
1239 (1998)
82. R. N. Mohapatra, A. Perez-Lorenzana and C. A. de SPires, Phys. Lett. B 491
(2000) 14; A. Ioannissyan, J. W. F. Valle, Phys. rev. D63 (2001) 073002
83. K. A. Olive, Eur. Phys. J. C 15, 133 (2000).
84. Hirsch, M. and Valle, J. W. F. Phys. Lett. B 495 (2000) 121 [hep-ph/0009066].
Degenerate and Other Neutrino Mass Scenarios
and Dark Matter!
Hisakazu Minakata2
Department of Physics, Tokyo Metropolitan University

1-1 Minami-Osawa, Hachioji, Tokyo 192-0397, Japan, and
Research Center for Cosmic Neutrinos, Institute for Cosmic Ray Research,
University of Tokyo, Kashiwa, Chiba 277-8582, Japan
(January 2001)
Abstract. I discuss in this talk mainly three topics related with dark matter motivated
neutrino mass spectrum and a generic issue of mass pattern, the normal versus the
inverted mass hierarchies. In the first part, by describing failure of a nontrivial potential
counter example, I argue that the standard 3 IJ mixing scheme with the solar and
the atmospheric .dm 2 ,s is robust. In the second part, I discuss the almost degenerate
neutrino (ADN) scenario as the unique possibility of accommodating dark matter mass
neutrinos into the 3 IJ scheme. I review a cosmological bound and then reanalyze the
constraints imposed on the ADN scenario with the new data of double beta decay
experiment. In the last part, I discuss the 3 IJ flavor transformation in supernova (SN)
and point out the possibility that neutrinos from SN may distinguish the normal versus
inverted hierarchies of neutrino masses. By analyzing the neutrino data from SN1987A,
I argue that the inverted mass hierarchy is disfavored by the data.
1 Introduction
The hot and cold dark matter cosmology [1] has been served as one of the ri-
val models which solves the problem of structure formation in the universe in a
consistent way with observation of fluctuation of cosmoc microwave background
radiation and galaxy correlations [2]. While the necessity of the hot component of
the dark matter becomes less prominent in the light of recent observations [3,4]
the problem still remains as to what extent the possible dark matter neutrinos
can have a "market share" in the cosmos. Moreover, the possibility that neutri-
nos have masses of a few eV range, if realized in nature, should shed light on
underlying physics of neutrino mass, the unique hint to date for physics beyond
the standard model of elementary particles.
In this talk, I examine the question of neutrinos with masses of eV scale which
is suitable for cosmological hot dark matter. I assume the three-flavor mixing
scheme of leptons in the standard model. It is important to emphasize that two
robust evidences in favor of neutrino oscillations, the atmospheric [5] and the
1 Talk presented at Third International Conference on Dark Matter in Astro and
Particle Physics, Dark2000, July 10-15, 2000, Heidelberg, Germany.
2 E-mail: minakata@phys.metro-u.ac.jp
H. Minakata 405
solar neutrino [6] anomalies perfectly fit into the three-flavor mixing scheme.
While the LSND experiments [7] suggests that the scheme is too tight, I would
like to wait for the confirmation by independent experiments before deciding to
go beyond the three-flavor framework. I will use, throughout this article, the
standard Particle Data Group notation for the elements of lepton flavor mixing
matrix, the Maki-Nakagawa-Sakata (MNS) matrix [8].
I will convey you, in this talk, mainly the following three messages:
(i) The standard three-neutrino mixing scheme, in which two Llm 2 are assigned
to the atmospheric and the solar neutrino oscillations, is robust. I will describe
an attempt at challenging to this conventional wisdom but I will badly fail.
(ii) The above fact seems to indicate that if the neutrinos have dark matter
mass of a few eV they must be almost degenerate in masses. I discuss the power-
ful constraints imposed on such almost degenerate neutrino (ADN) scenario by
cosmological observations and by the neutrinoless double f3 decay experiments.
(iii) I then move on to the question of mass pattern of neutrinos. I will address
one of the key questions among the remaining problems in the three-neutrino
mixing scheme, namely the sign of Llmi3 == m~ -mi. I point out that observation
of neutrinos from supernova will tell us about it [9].
2 Accommodating Dark Matter Mass Neutrinos

in the Three-Flavor Mixing Scheme?
Let me start by introducing the first problem mentioned in (i). Since this is a dark
matter conference, it is natural to raise the following question; is it possible to
embed LlmbM into the three-neutrino mixing scheme? Well, the answer appears
to be trivially No! as far as one wants to keep Llm~tm and Llmb which exhaust
the available two Llm 2 in 3 IJ scheme. The only way out of the dilemma is to give
up one of the two £1m 2 in favor of dmbM' but in such a way that the resuting
scheme is still capable of explaining the atmospheric and the solar neutrino
observations. Of course, it would not be possible to account for all the aspects
of the data and probably we must live with e.g., the energy-independent deficit
by a factor of '" 2 in solar neutrinos [10], probably at the price of sacrificing one
of the 4 solar neutrino experiments. But, it is still highly nontrivial to prove or
refute the possibility that such scenario exists in a consistent manner with all
the other constraints. So, let me try.
In the following, I examine scenarios of 3 IJ mixing in which the first Llm 2 is
assigned to LlmbM and the second to Llm~tm or Llmb. One has to recognize,
first of all, that such scenario is strongly constrained by the reactor and the
accelerator experiments. As noticed in Refs. [11,12] there are only three tiny
regions on parameter space spanned by Si3 and S~3' as schematically indicated
in Fig. 1:
(a) Ci3 '" E and S~3 is arbitrary
(b) si3 '" E and S~3 '" fJ
(c) SI3 '" f and C~3 '" 8
406 Degenerate and Other Neutrino Mass Scenarios and Dark Matter
/
atmospheric
---- solar - -
Fig. 1. The three shaded regions allowed by all the terrestrial experiments are drawn
on parameter space spanned by S~3 and Sr3in dark matter v embedded three neutrino
mixing scheme. Two of the three regions allow large deficit of solar and atmospheric
neutrinos, as indicated in the figure.
where f and fJ are of the order of a few x 10- 2 for a value of LlmbM which
is appropriate for hot dark matter. If you want to know more precise shape of
the allowed region for a given value of LlmbM' see Ref. [12]. Therefore, the two
mixing angles S~3 and S~3 are essentially determined depending upon your choice
of the regions in (a) - (c).
Next I must decide which option I take; assignment of remaining Llm 2 to
either Llm~tm or Llm~. Once I decide the option the scenario is completely
determined up to the arbitrary parameter B12 . Then, by adjusting B12 I try to
explain all the data of the solar and the atmospheric neutrino observations under
the constraints of the terrestrial experiments.
I do not try to describe the details of the actual process of the analysis but
summarize "the results in Table 1. In the Table the symbols "N" and "I" refer
to the normal and the inverted mass hierarchies respectively, which imply mass
H. Minakata 407
patterns, N (normal): m3 » ml ,...., m2 and I (inverted): ml ,...., m2 » m3. The

regions (a)-(c) (in order from above) are indicated symbolically in Table 1.
Normal 1/0 I/atm

Mixing vs. (3(3 CHOOZ
Angles Inverted 1
N -
2 shape ",60% VI" ~ V T
--
-N- X X X X X 0
U --
-I- X X X X X 0
--
L1m2 = N 0 0 X X 0 0
L1m02 ~ 0
I 0 0 X X if vac 0
N 0 0 X X 0 0
Q
I 0 0 X X if0vac 0
N X X 0 0 X 0
U I X X 0 0 0 0
L1m2 = N 0
if vac X 0 X 0 X
if vac
L1m~tm [] 0 X
I if vac X 0 X if0vac if vac
N 0
if vac X X X 0 X
if vac
Q 0 0 X
I if vac X X X if vac if vac
Table I: Grading Hierarchical Mass Dark Matter Neutrino Scenarios.

As you see in Table 1 there is no satisfactory case. In Table 1 "if vac" implies
that if the vacuum solar neutrino solution of non-just so type, i.e., energy inde-
pendent reduction of about factor of 2, turns out to be the case. Explanation
of avarage reduction of solar and atmospheric muon neutrino rate is achieved
in the mass pattern (b) of L1m;tm case, but it fails at the CHOOZ [13] as well
as at the Superkamiokande experiments [5] which jointly provide evidence for
dominance of /Ill ~ /IT channel.
3 Almost Degenerate Neutrinos
The fact that we badly fail in our attempt at incorporating L1m~M into 3 /I
scheme strongly suggests that the standard three-flavor mixing scheme is robust.
Then, the only way to accommodate the dark matter mass neutrinos is to assume
that three /I states are almost degenerate with masses of a few eV range [14],
the almost degenerate neutrino (ADN) scenario [15].
The ADN scenario is the most natural possibility if all of the three mixing
angles are large. At the moment, we do know that (}23 is large and almost max-
imal, while one of the other angles (}13 is small [13]. We still do not know if (}12
is large or small.
The ADN scenario can be constrained by cosmological observations as well
as by laboratory experiments. The latter includes the direct mass measurement
using f3 decay end point spectrum, and the neutrinoless double f3 decay experi-
ments.
Since a few eV mass neutrinos play important role in cosmology it is conceiv-
able that it is constrained by cosmological observations. This is a natural place
where one can place a bound on neutrino masses because the streaming motion
of light neutrinos washes out seeds for structure formations at small scales. In
fact, it is argued by F'ukugita, Liu, and Sugiyama [16] that it is the case; they
used matching condition of flucutuation powers at COBE and clusters scales
as the most sensitive probe and obtained mil ;S 0.6 - 1.8 eV depending upon
DmatteT = 0.3 - 0.4 at the Hubble parameter 80 in units of 100 km S-l Mpc- 1 .
This type of treatment should be valid for dark matter massive neutrinos with
more generic mass spectrum, with which the similar bound presumably results.
The bound of course applies both to Dirac and Majorana neutrinos.
Let us move on to the laboratory bound. I discuss here only the double f3
decay bound because it achieves the greatest sensitivity among the laboratory
experiments. Of course, the double f3 bound only applies to Majorana neutrinos.
There is a simple reason why the experiment gives rise to nontrivial constraints
on neutrino mixing parameters. The dark matter motivated ADN scenario re-
quires the neutrino mass of the order of", a few eV. On the other hand, the
sensitivity of the double f3 decay experiments went down to less than 0.5 eV. It
means that an efficient cancellation must take place among contributions from
three mass eigenstates, which implies a tight constraint on mixing angles [17].
H. Minakata 409
Observable in the neutrinoless double f3 decay experiments can be written as
(1)
where Uei denotes the elements of the MNS matrix [8]. Under the ADN approxi-
maion, Imi -mjl «mi::: m (i=I-3) and by using the standard parametrization
by Partcle Data Group, it can be written as
(mile) = m IcizcI3 e- i (I3+1') + sIzcI3 ei (I3-1') + sI3eZih-o) I' (2)
where f3 and 'Yare the extra CP-violating phases characteristic to Majorana

neutrinos. Since r == (mile) /m ;S 0.3 there must be cancellation between three
angle factors in (2). The resulting constraint has first been examined in Ref. [17]
in a manner completely independent of unknown Majorana phases and it was
shown that the ADN scenario is inconsistent with the SMA MSW solar neutrino
solution. (See also Ref. [18] for an update.) Later, the similar analyses have been
repeated or extended by a number of authors who exploit newer (more stringent)
constraint, or cover a wider class of solar neutrino solutions and/or more general
mass patterns [18,19].
I take the chance of presentation at Dark2000 to update our analysis done
in Ref. [17]. It is timely to do reanalysis now because the most stringent bound
on (mile) provided by the Heidelberg-Moscow Group has been changed to
(mile) < 0.35eV, (3)
as announced at this conference [20], which is relaxed by a factor of ,...., 2 com-

pared with the previous one. Therefore, constraints derived in some of the earlier
analyses can be artificial.
We obtain the parameter region allowed by the bound (3) with use of the
degenerate neutrino mass m = 2.3 eV, the lowest mass in Pogosyan-Starobinsky
analysis [21]. Notice that it is the case of mildest constraint. In Fig. 2 we draw
a hexagon-shaped region allowed by the double (3 decay experiment (assuming
no constraint on unknown Majorana phases) together with parameter region
allowed for the MSW solution of solar neutrino problem on the solar triangle
plot introduced by the Bari group [22]. For the solar neutrino allowed region we
also use the updated results by the group [23].
We observe:
(1) All the MSW solutions of the solar neutrino problem is excluded at ,...., 1
(T level in the ADN scenario, except for the LOW solution; its allowed region
bridges between the LMA region and the bottom of the hexagon.
(2) The LMA MSW solution barely survives only when we take into account of
the factor of 2 uncertainty in estimation of the nuclear matrix elements.
(3) The vacuum solution is obviously consistent with the double f3 bound because
it spans a wide region at the lowest quarter of the double f3 hexagon due to the
nearly maximal (hz; wide region because of the freedom from the CHOOZ bound.
MSW
r<O.15
Fig. 2. Plotted is the allowed region with 90% CL of the double f3 constraint (m ve ) <
0.35 eV for neutrino masses m=2.3 eV. The strips with (+ + -) etc. indicate regions
with CP conservation with the CP parities indicated. Also plotted as a darker shaded
area is the allowed region with 90% CL for the three-flavor MSW solution of the solar
neutrino problem obtained by Fogli et al. The SMA MSW solutions, which are drawn
almost on the axis of Si2 = 0 in the plot, as well as LMA solution at its CHOOZ
allowed parameters are not compatible with the double f3 decay constraint at 90% CL.
See, e.g., Ref. [18). This statement presumably generalizes to the "quasi-vacuum"
solution (24).
Now let us turn the argument around. Namely, I try to derive the upper
bound on degenerate neutrino mass which is consistent with the LMA MSW
solution, the best favored solution by the data at this moment. By looking into
Fig. 3 one can safely argue that r == (mile) 1m> 0.24 in order to have overlapping
region between the allowed regions by the double f3 and the solar neutrino data.
It implies the upper bound
m < 1.5eV. (4)
in the ADN scenario. If a factor of,...., 2 undertainty of the nuclear matrix elements
is taken into account, the bound would become loosen by the same factor.
It is interesting to note that the cosmology argument by FUkugita et al.
[16) and our double (3 bound give numerically similar upper bounds while the
physics and the underlying assumptions involved differ completely. I also want
H. Minakata 411
MSW
r<O.24
Fig. 3. The same as in Fig. 2 but with r == (mve)/m < 0.24
to stress that, given the present accuracy of the experimental bound (of the or-
der of (m ve ) ;S a few x 0.1 eV) the estimation of mass bound with the ADN
assumption is not so bad as an order of magnitude estimation even for hierarchi-
cal spectrum. I should also emphasize that this will no longer be true when the
bound goes down to (mve);S 0.01 eV because it is below J Llm~tm and starts
to distinguish the various mass patterns.
4 Normal vs. Inverted Mass Hierarchies

by Supernova Neutrinos
Now we address the last point (iii) mentioned at the beginning of this article,
namely the issue of normal vs. inverted hierarchies of neutrino masses. I guess
that it is one of the most important questions in the 3 v mixing scheme which
presumably will provide the key to understand the underlying physics of neutrino
mass spectrum. Furthermore, it is the crucial question for the neutrinoless double
(3 decay experimentalists. The required sensitivities for detecting positive signal
are (m ve ) '" 0.001 eV and (m ve ) ~ 0.04-0.07 eV for the normal and the inverted
mass hierarchies, respectively [25,26].
Now I want to point out that observation of neutrino events from supernova
(SN) provides us with a mean for discriminating the normal vs. the inverted
mass hierarchies. Furthermore, I argue that the inverted hierarchy of neutrino

mass is strongly disfavored by the neutrino data from SN1987 A [27] unless the
mixing angle 0!3 is very small, that is, unless Si3 ~ a few x 10- 4 [9]. Of course,
this conclusion must be checked against the direct determination of the sign of
L1mi3 which may be done in future long-baseline accelerator experiments [28-
30]. However, the result we have obtained appears to be the unique hint which
is available before such experiments are actually done.
Toward the goal of showing that the inverted mass hierarchy is disfavored,
I must first explain some key features of neutrino flavor conversion in SN. For
more detailed explanation see our recent paper [9].
We start by summarizing the common knowledges on neutrinos from super-
nova [31] and their properties inside neutrinosphere [32-34].
(1) Consideration of energetics of SN collapse indicates that almost all (rv 99%)
of the gravitational binding energy of neutron star is radiated away via neu-
trino emission. The total energy is estimated to be several x 1053 erg, and it is
expected that the equipartition of energy into three flavors in a good approxi-
mation [32,35].
(2) It is discussed that the shape of the energy spectra of various flavor neutrinos
can be described by a "pinched" Fermi-Dirac distribution [36]. The pinched form
may be parametrized by introducing an effective "chemical potential".
(3) There is no physical distinction between 1J/1 and IJr and their antiparticles
in neutrinosphere. It is because 1J/1 and v/1 are not energetic enough to produce
muons by the charged current interactions, and the neutral current cross sections
of IJ and v are similar in magnitude. Therefore, we collectively denote them as
"heavy neutrinos" hereafter.!
(4) The location of neutrinosphere of heavy neutrinos, 1J/1 and IJr , is believed to
be in deeper place than ve and lJe in SN. It is due to the fact that the heavy
neutrinos have weaker interactions with surrounding matter; they interact with
matter only via the weak neutral current, whereas, ve and lJe do have additional
charged current interactions. Hence, the heavy neutrinos have to have deeper
neutrinosphere because their trapping requires higher matter density compared
to those required for ve and IJe'
This last feature is of crucial importance for our business. It implies that the
heavy neutrinos are more energetic when they are radiated off at neutrinosphere
because the temperature is higher in denser region. It may be characterized by
the temperature ratios of lJe and ve to IJheavy
(5)
according to the simulation of supernova dynamics which is carried out in Ref.

[32-34]. We ignore in the present treatment the temperature difference between
Vh and IJh·
1 The terminology implicitly assumes that the normal mass hierarchy is the case.
Nevertheless, we will use it even when we discuss the inverted mass hierarchy.
H. Minakata 413
We now turn to the the neutrino flavor conversion in supernova (SN), the core
matter in our discussion in this part of my presentation. In fact, it has a number
of characteristic features which makes SN unique among other astrophysical and
terrestrial sources.
(i) Because of extremely high matter density inside neutrinosphere all the neu-
trinos with cosmologically interesting mass range, m v ;S 100 eV, are affected by
the MSW effect [37]. (Earlier references on the MSW effect in supernova include
Ref. [38].) Consequently, the three neutrino and three antineutrino eigenstates
have two level crossings, first at higher (H) density and the second at lower (L)
density, inside SN as schematically indicated in Fig. 4.
(ii) The key question in the neutrino flavor conversion in SN is whether the H
level crossing is adiabatic or not. If it is adiabatic, then the physical properties of
neutrino conversion is simply lie -llheavy exchange in the normal mass hierarchy.
It should be emphasized that this feature holds irrespective of the possible com-
plexity of the solar neutrino conversion which governs the L resonance. These
are nothing but the key features that have been pointed out in our earlier paper,
Ref. [39], and was called as "lie-liT exchange".
(iii) The second important question is if the neutrino mass spectrum adopts
the normal or inverted mass hierarchies. If the mass hierarchies is of normal
(inverted) type, the H level crossing is in the neutrino (antineutrino) channel.
The last two remarks are cruicial in our business. It will allow us to determine
which mass hierarchy is realized by analyzing neutrino data from SN without
knowing the parameters in the solar neutrino solution. Notice that this statement
is valid not only for the MSW but also for the vacuum solar neutrino solutions.
One can elaborate (ii) by treating the neutrino evolution equation in high
density matter of SN envelope, as explained in Ref. [9]. See also Ref. [40] for
a recent complehensive treatment of neutrino flavor conversion in SN in the
framework of three-flavor mixing.
The adiabaticity of the H resonance is guaranteed if the following adiabaticity
parameter'Y is much larger than unity at the resonance point:
2 2
_ Llm sin 2() dIn N e I 1-1
'Y = 2E cos 2B ~ res
lin
Llm 2 )1-1/n sin22B r0 V2GFPo Ye
( (6)
= 2E (cos2B)1+l/n n [ mp ]
Here, we assumed that the density profile of the relevant region of the star can be
described as p(r) = po(rlr0)-n to obtain the second line in the above equation,
where r0 = 6.96 x 1010 cm denotes the solar radius. With the choice n = 3 and
Po ~ 0.1 glcc [41], we get,
2 2
....., 0 63 [sin B13] [ Llm ] 2/3 [ E ] -2/3 (7)
'Y _ . X 10-4 1O-3eV2 20 MeV '
(a) Nonnal (b) Inverted
v, v·, v·
1
v;·
Ne
V, V:' Ne
0
Fig.4. The schematic level crossing diagram for the case of (a) normal and (b) in-
verted mass hierarchies considered in this work. The circles with the symbol H and L
correspond to resonance which occur at higher and lower density, respectively.
for the small value of (}13. Since the conversion probability P is approximately
given by P = exp[- ~/'], SI3 ;::: afew x 10- 4 assures adiabaticity in a good accu-
racy.
Now we notice that the basic elements for the argument toward disfavoring
inverted mass hierarchy is actually very simple. Because of (iii), the resonance
is in the antineutrino channel if the inverted mass hierarchy is the case as il-
lustrated in Fig. 4b. It means that, if the H resonance is adiabatic, all the De's
at neutrinosphere are converted into heavy antineutrino states, and vice versa.
It is also known [40] that if H resonance is adiabatic, final De spectrum at the
detector is not affected by the earth matter effect. 2
Since the De-induced charged current reaction is dominant in water Cherenkov
detector, one can severely constrain the scenario of inverted mass hierarchy by
2 In fact the reason is very simple; let us first note that ii3 state which carry the original
iie spectrum oscillate very little into iie in the earth because lL1mi31/ E is much larger
than the earth matter potential and also because 013 is small [13). Therefore, the
oscillation in the earth takes place essentially only between iiI and V2, decoupling
the ii3 state. It would lead to regeneration of iie but it would not give any significant
effect for the ve component at the detector because both VI and ii2 carry original
energy spectrum of heavy flavors at the neutrinosphere.
H. Minakata 415
utilizing this feature of neutrino flavor transformation in SN. When the next
supernova event comes it can be used to make clear judgement on whether the
inverted mass hierarchy is realized in nature, a completely independent informa-
tion from those that will be obtained by the long-baseline neutrino oscillation
experiments,
We show in the rest of my talk that by analyzing the neutrino data from
SN1987A one can obtain a rather strong feeling against the inverted hierarchy
of neutrino masses. In the following analysis, we assume that S13 is not very
small, Si3 2: afew x 10- 4 , to guarantee the adiabaticity of the H resonance.
In fact, very similar analyses have been done by several authors [42,43]. Our
work, in comparison with theirs, may be characterized in the following way; We
formulate the problem in a proper setting of the three-flavor mixing scheme of
neutrinos, which is essential for the SN neutrinos. With this setting one can
clearly identify the cases that the conclusion reached in the previous analyses
does and does not apply. To our understanding disfavoring the inverted mass
hierarchy is the most solid statement one can draw from the analysis of SN1987A
data, assuming that 813 is not extremely small.
We follow Jegerlehner, Neubig and Raffelt [43] who employed the method of
maximum likelihood. We define the Likelihood function as follows [43]:
[, = C exp (1
- 0
00
n(E)dE
)
g
Nob.
n(Ei ), (8)
where Nabs is the total number of experimentally observed events and the C is
some constant which is irrelevant for our purpose of parameter estimation and
the determination of confidence regions. Here, n(E) is the expected positron
energy spectrum at Kamiokande or 1MB detector which is computed taking into
account the detector efficiency as well as energy resolution in the same way as
in Ref. [43]. For a comined analysis of the Kamiokande and 1MB detectors, the
likelihood function is defined as the product of the likelihood function for each
detector.
We draw in Fig. 5 equal likelihood contours as a function of the heavy to
light temperature ratio T on the space spanned by lie temperature and total
neutrino luminosity by giving the neutrino events from SN1987A observed by
Kamiokande and 1MB detectors [27]. In addition to it we introduce an extra
parameter 'T} defined by Lv. = Lv. = 'T}L v• = 'T}L v• which describe the departure
from equipartition of energies to three neutrino species and examine the sen-
sitivity of our conclusion against the change in the SN neutrino spectrum. For
simplicity, as in Ref. [43], we set the "effective" chemical potential equal to zero
in the neutrino distribution functions because we believe that our results would
not depend much even if we introduce some non-zero chemical potential.
At T = 1, that is at equal ve and V e temperatures, the 95 % likelihood
contour marginally overlaps with the theoretical expectation [34] represented by
the shadowed box in Fig. 5. When the temperature ratio T is varied from unity
to 2 the likelihood contour moves to the left, indicating less and less consistency,
as T increases, between the standard theoretical expectation and the observed
Likelihood Contours for Inverted Mass Heirachy
--11=1.0
11 =0.7
-- •• - 11=1.3
....... 10.0
0)
L..
Q) t=2 1=1
M
III
0
.....
........
D 5.0
ill
0.0 ...........................................................
'--L-...........................................................'--L-.....................
1.0 2.0 3.0 4.0 5.0 6.0

T\
Fig. 5. Contours of constant likelihood which correspond to 95.4 % confidence regions-

for the inverted mass hierarchy under the assumption of adiabatic H resonance. From
left to right, r == Tv.ITv• = Tv.ITv• = 2,1.8,1.6,1.4,1.2 and 1.0 where x = j.L,r.
Best-fit points for Tv. and Eb are also shown by the open circles. The parameter TJ
parametrizes the departure from the equipartition of energy, Lv. = Lv. = TJL v• =
TJL v• (x = j.L, r), and the dotted lines (with best fit indicated by open squares) and the
dashed lines (with best fit indicated by stars) are for the cases TJ = 0.7 and 1.3, respec-
tively. Theoretical predictions from supernova models are indicated by the shadowed
box.
feature of the neutrino events after the MSW effect in SN is taken into account.
This is simply because the observed energy spectrum of De must be interpreted
as that of the original one of Dheavy, in the presence of the MSW effect in the
anti-neutrino chanel, which implies that the original De temperature must be
lower by a factor T than the observed one, leading to stronger inconsistency at
larger T.
The solid lines in Fig. 5 are for the case of equipartition of energy into three
flavors, 'T} = 1, whereas the dotted and the dashed lines are for 'T} = 0.7 and 1.3,
respectively. We observe that our result is very insensitive against the change in
'T}.
We conclude that if the temperature ratio T is in the range 1.4-2.0 as the SN
simulations indicate, the inverted hierarchy of neutrino masses is disfavored by
the neutrino data of SN1987A unless the H resonance is nonadiabatic [9].
H. Minakata 417
A summary of the features of neutrino events that we expect in the three-

flavor mixing scheme of neutrinos are given in Ref. [9]. Recently some related
works have apperared on the web [44-47].
In summary, I addressed three topics in my talk;
(i) failure of three-flavor hierarchical-mass dark matter neutrino hypothesis,
(ii) almost degenerate neutrino (ADN) scenario as the unique possibility of ac-
commodating dark matter mass neutrinos and the constrains imposed on it,
(iii) likely possibility that supernova neutrinos may distinguish the normal versus
inverted hierarchies of neutrino masses.
To conclude, I would like to say that the dark matter neutrino hypothesis has
had profound implications to stimulate many inspirations in neutrino physics,
despite the fact that the chance for it being the reality became less likely now.
Yet, the question of neutrino mass of a few eV range, which is still compatible
with data, should be settled both theoretically and experimentally.
5 Acknowledgments
I thank Hans V. Klapdor-Kleingrothaus for cordial invitation to the conference
with quite stimulating atmosphere that took place in such a beautiful city. The
subjects I presented in my talk are partly based on the collaborating works
with Hiroshi Nunokawa and Osamu Yasuda. I thank them for their help kindly
offered to me in preparing figures. I also thank Hideaki Hiro-Oka for his help
in making Table in Latex. This work was supported in part by the Grant-in-
Aid for Scientific Research in Priority Areas No. 11127213, Japan Ministry of
Education, Science, Sports and Culture.
References
1. J. A. Holtzman, Astrophys. J. Suppl. 71, 1 (1989); J. A. Holtzman and J. R.
Primack, Astrophys. J. 405, 428 (1993); J. R. Primack, J. Holtzman, A. Klypin,
and D. O. Caldwell, Phys. Rev. Lett. 14,2160 (1995); K. S. Babu, R. K. Schaefer,
and Q. Shafi, Phys. Rev. D53 (1996) 606; D. Pogosyan and A. Starobinsky, astro-
phj9502019.
2. For a review, see e.g., M. White and D. Scott, Comments Astrophys. 18 (1996)
289.
3. Supernova Cosmology Project: S. Perlmutter et ai, Astrophys. J. 511 (1999) 565;
N. Bahcall, J. P. Ostriker, S. Perlmutter, and P. Steinhardt, Science 284 (1999)
1481.
4. Boomerang collaboration: P. de Bernardis et ai, Nature 404 (2000) 955; A. Lange
et al., astro-phj0005004; Maxima collaboration: S. Hanay et al., astro-phj0005123;
A. Balbi et al., astro-ph/0005124.
5. Y. Fukuda et aI. (Kamiokande collaboration), Phys. Lett. B335 (1994) 237; Y.
Fukuda et al. (SuperKamiokande collaboration), Phys. Rev. Lett. 81 (1998) 1562;
T. Kajita, in Neutrino Physics and Astrophysics, Proceedings of the XVIIIth In-
ternational Conference on Neutrino Physics and Astrophysics (Neutrino '98), June
4-9, 1998, Takayama, Japan, edited by Y. Suzuki and Y. Totsuka, (Elsevier Science
B.V., Amsterdam, 1999) page 123.
6. Homestake Collaboration, K. Lande et al., Astrophys .J. 496, 505 (1998); SAGE
Collaboration, J. N. Abdurashitov et al., Phys. Rev. C 60, 055801 (1999); GALLEX
Collaboration, W. Hampel et al., Phys. Lett. B 447, 127 (1999); Kamiokande Col-
laboration, Y. Fukuda et al. Phys. Rev. Lett. 77, 1683 (1996); SuperKamiokande
Collaboration, Y. Fukuda et al., Phys. Rev. Lett. 81, 1158 (1998); ibid. 81, 4279
(1998); ibid. 82, 2430 (1999); ibid. 82, 1810 (1999).
7. LSND Collaboration: C. Athanassopoulos et ai, Phys. Rev. Lett. 77 (1996) 3082;
Phys. Rev. C 54 (1996) 2685; Phys. Rev. Lett. 81 (1998) 1774; Phys. Rev. C 58
(1998) 2489.
8. Z. Maki, M. Nakagawa, and S. Sakata, Prog. Theor. Phys. 28 (1962) 870.
9. H. Minakata and H. Nunokawa, hep-phj0010240.
10. A. Acker and S. Pakvasa, Phys. Lett. B397 (1997) 209.
11. H. Minakata, Phys. Rev. D52 (1995) 6630; Phys. Lett. B356 (1995) 61; S. M.
Bilenky, A. Bottino, C. Giunti, and C. W. Kim, Phys. Lett. B356 (1995) 273; K.
S. Babu, J. C. Pati, and F. Wilczek, Phys. Lett. B359 (1995) 351; Erratum ibid.
B364 (1995) 251.
12. G. L. Fogli, E. Lisi, and G. Scioscia, Phys. Rev. D52 (1995) 5334.
13. CHOOZ Collaboration, M. Apollonio et al., Phys. Lett. B420 (1998) 397; ibid.,
B466 (1999) 415. See also, The Palo Verde Collaboration, F. Boehm et al., hep-
exj0003022.
14. H. Minakata and O. Yasuda, Nucl. Phys. B523 (1998) 597.
15. D. Caldwell and R. N. Mohapatra, Phys. Rev. D48, 3259 (1993); D50, 3477 (1994);
S. T. Petcov and A. Yu. Smirnov, Phys. Lett. B322, 109 (1994); A. S. Joshipura, Z.
Phys. C64, 31 (1994); Phys. Rev. D51, 1321 (1995); P. Bamert and C.P. Burgess,
Phys. Lett. B329, 289 (1994); D.-G. Lee and R.N. Mohapatra, Phys. Lett. B329,
463 (1994); A. Ioannissyan and J. W. F. Valle, Phys. Lett. B332, 93 (1994); R.N.
Mohapatra and S. Nussinov, Phys. Lett. B346, 75 (1995).
16. M. Fukugita, G.-C. Liu, and N. Sugiyama, Phys. Rev. Lett. 84 (2000) 1082.
17. H. Minakata and O. Yasuda, Phys. Rev. D56 (1997) 1692.
18. O. Yasuda, in Proceedings of 2nd International Conference on Physics Beyond the
Standard Model, edited by Klapdor-Kleingrothaus and 1. Krivosheina, pp 223-235
(lOP Bristol 2000).
19. T. Fukuyama, K. Matsuda, and H. Nishiura, Phys. Rev. D57 (1998) 5844; Mod.
Phys. Lett. A13 (1998) 2279; F. Vissani, JHEP 06, (1999) 022; V. Barger and
K. Whisnant Phys. Lett. B456 (1999) 194; H. Georgi and S. L. Glashow, Phys.
Rev. D61 (2000) 097301; R. Adhikari and G. Rajasekaran, Phys. Rev. D61 (2000)
031301; H.V.Klapdor-Kleingr6thaus, H. Piis and A. Yu. Smirnov, hep-phj0003219.
20. H.V.Klapdor-Kleingrothaus, Talk at Dark2000, in these Proceedings.
21. D. Pogosyan and A. Starobinsky, in Ref. [1].
22. G. L. Fogli, E. Lisi, D. Montanino, Phys. Rev. D49 (1994) 3626; E. Lisi, in New
Era in Neutrino Physics, p 153, edited by H. Minakata and O. Yasuda, (Universal
Academy Press, Tokyo, 1999).
23. G. L. Fogli, E. Lisi, D. Montanino, and A. Palazzo, Phys. Rev. D62 (2000) 013002.
24. G. L. Fogii, E. Lisi, D. Montanino, and A. Palazzo, Phys. Rev. D62 (2000) 113004.
25. H. Minakata, in Neutrino Oscillations and Their Origin, Proceedings of the 1st
Workshop on Neutrino Oscillations and Their Origin, Fujiyoshida, Japan, February
11-13, 2000, edited by Y. Suzuki, M. Nakahata, M. Shiozawa and K. Kaneyuki
(Universal Academy Press, Tokyo, 2000), p 343; hep-phj0004249.
26. The ambitious possibility of reaching 0.002 eV is bravely described by
H.V.Klapdor-Kleingrothaus at NOW2000.
H. Minakata 419
27. K. S. Hirata et al., Phys. Rev. Lett. 58 (1987) 1490; Phys. Rev. 038 (1988) 448;
R. M. Bionta et al., Phys. Rev. Lett. 58 (1987) 1494.
28. JHF Neutrino Working Group, Y Itow et al., Letter of Intent: A Long Baseline
Neutrino Oscillation Experiment using the JHF 50 GeV Proton-Synchrotron and
the Super-Kamiokande Detector, February 3, 2000, http:j jneutrino.kek.jpjjhfnu
29. The MINOS Collaboration, P. Adamson et al., MINOS Detectors Technical Design
Report, Version 1.0, NuMI-L-337, October 1998.
30. OPERA Collaboration, M. Guier et al., OPERA: An Appearance Experiment to
Search for NujMu t-~ NujTau Oscillations in the CNGS Beam. Experimental
Proposal, CERN-SPSC-2000-028, CERN-SPSC-P-318, LNGS-P25-00, Jul 2000.
31. H. Suzuki, in Physics and Astrophysics of Neutrinos, edited by M. Fukugita and
A. Suzuki (Springer Verlag, Tokyo, 1994).
32. R. Meyle, J. R. Wilson, and D. N. Schramm, Astrophys. J. 318 (1987) 288.
33. J. R. Wilson, R. Meyle, S. Woosely, and T. Weaver, Ann. N.Y Acad. Sci. 470
(1986) 267; A. Barrows and J. M. Lattimer, Astrophys. J. 307 (1986) 178.
34. H.-T. Janka, in Vulcano Workshop 1992; Frontier Objects in Astrophysics and
Particle Physics, Proceedings of the Workshop Vulcano, Italy, 1992, edited by F.
Giovannelli and G. Mannochi, IPS Conf. Proc. No. 40 (Italian Physical Society,
Vulcano, 1993).
35. S. W. Bruenn, Phys. Rev. Lett. 59 (1987) 938; A. Barrows, Astrophys. J. 334
(1988) 891; E. S. Myra and A. Barrows, ibid. 364 (1990) 222.
36. H.-T. Janka, Astron. Astrophys. 224 (1989) 49; Astron. Astrophys. Suppl. 78
(1989) 375; P. M. Giovanoni, P. C. Ellison, and S. W. Bruenn, Astrophys. J. 342
(1989) 416.
37. S. P. Mikheyev and A. Yu. Smirnov, Nuovo Cim. 9C (1986) 17; L. Wolfenstein,
Phys. Rev. 017 (1978) 2369.
38. L. Wolfenstein, Phys. Rev. 020 (1979) 2634; S. P. Mikheyev and A. Yu. Smirnov,
Proceedings of 6th Moriond Workshop on Massive Neutrinos in Astrophysics and
Particle Physics, Tignes, France, edited by O. Fackler and J. Tran Thanh Van
(Editions Frontieres, Gif-sur-Yvette, 1986) page 355. D. Notzold, Phys. Lett. B196
(1987) 315; J. Arafune, M. Fukugita, T. Yanagida, and M. Yoshimura, Phys. Rev.
Lett. 59 (1987) 1864; H. Minakata, H. Nunokawa, K. Shiraishi, and H. Suzuki,
Mod. Phys. Lett. A2 (1987) 827; H. Minakata and H. Nunokawa, Phys. Rev. 038
(1988) 3605; S. P. Rosen, ibid. 037 (1988) 1682; T. K. Kuo and J. Pantaleone,
ibid. 037 (1988) 298; T. P. Walker and D. N. Schramm, Phys. Lett. B195 (1987)
331; Y-Z, Qian, G. M. Fuller, G . J. Mathews, R. Meyle, J. R. Wilson, and S. E.
Wooseley, Phys. Rev. Lett. 11 (1993) 1965; G. M. Fuller, J. R. Primack, and Y-Z,
Qian, Phys. Rev. 052 (1995) 1288; A. Barrows, D. Klein, and R. Gandhi, ibid.
045 (1992) 3361; G. M. Fuller, W. C. Haxton, and G. C. McLaughlin, ibid. D59
(1999) 085005.
39. H. Minakata and H. Nunokawa, Phys. Rev. 041 (1990) 2976.
40. A. S. Dighe and A. Yu. Smirnov, Phys. Rev. 062 (2000) 033007.
41. K. Nomoto and M. Hashimoto, Phys. Rep. 163 (1988) 13. See also the figures in
H. Minakata and H. Nunokawa in [38].
42. A. Yu. Smirnov, D. N. Spergel, and J.N. Bahcall, Phys. Rev. 049 (1994) 1389.
43. B. Jegerlehner, F. Neubig and G. Raffelt, Phys. Rev. 054 (1996) 1194.
44. C. Lunardini and A. Yu. Smirnov, hep-phj0009356.
45. H. Murayama and T. Yanagida, hep-phjOOlO178.
46. D. Cline, astro-phj0010339.
47. M. Kachelriess, R. Tomas, and J. W. F. Valle, hep-phj0012134.
Neutrinoless Double Beta Decay Potential
in a Large Mixing Angle World
H.V. Klapdor-Kleingrothaus 1 , H. Pas2 , and A. Yu. Smirnov 3

1 Max-Planck-Institut fUr Kernphysik, P.O. Box 103980, D-69029 Heidelberg,
Germany
2 Department of Physics and Astronomy, Vanderbilt University, Nashville, TN 37235,
USA
3 The Abdus Salam International Center of Theoretical Physics, Strada Costiera 11,
Trieste, Italy, Institute for Nuclear Research, RAS, Moscow, Russia
Abstract. We discuss the possibility of reconstructing the neutrino mass spectrum

from the complementary processes of neutrino oscillations and double beta decay in
view of the new data of Super-Kamiokande presented at the Neutrino2000 conference.
Since the large mixing angle solution is favored, now, the prospects to observe double
beta decay and provide informations on the absolute mass scale in the neutrino sector
have been improved.
1 Double Beta decay and neutrino oscillations

Neutrinos finally have been proven to be massive by atmospheric and solar neu-
trino oscillation experiments. However, the absolute scale of neutrino masses, a
necessary ingredient for reconstructing beyond the standard model physics, is
still unknown, since informations obtained in neutrino oscillation experiments
regard the mass squared differences and mixing angles, only. Only both neutrino
oscillations and neutrinoless double beta decay together could solve this absolute
neutrino mass problem [1-3]. In this paper we discuss the most recent data, as
presented by the Super-Kamiokande Collaboration at the Neutrino2000 confer-
ence [4]. The small mixing angle solution for solar neutrinos is ruled out, now, at
90 % C.L. Moreover, solutions including sterile neutrinos seemed to be disfavored
both for atmospheric as well as for solar neutrinos. In the following we thus will
restrict ourselves to a three neutrino framework, omitting the LSND anomaly.
(For a discussion of the small mixing angle solution and four neutrino scena-
rios see [1]). A global analysis in a three neutrino framework yield the following
favored regions [5,6]:
• Solar neutrino oscillations favor V e - v¢ oscillations within the large mixing

angle (LMA) MSW solution:
L1m~ = 3 (1 - 10) . 10- 5 eV2
tan 2 (J0 = 0.5 (0.2 - 0.6),
where the bestfit is given with the 90 % C.L. region in the brackets.
Also a small region in the QVO(quasi-vacuum-oscillation)-LOW regime at
* Talk presented by H. Piis at the DARK2000 Conference, Heidelberg, Germany.
Heinrich Piis et al. 421
.1m~ = 10- 7 eV 2 , tan2 B0 = (0.6 -

0.8) is still allowed at 90 % C.L., while
disfavored compared to the small and large mixing solutions in an analysis
of the neutrino energy spectra of supernova 1987 A [7] .
• Atmosheric neutrino oscillations are solved by I//L - I/r oscillations with:
.1m~tm = 3 (1.6 - 5) . 10- 3 eV2 ,
sin2 2Batm > 0.85.
Neutrinoless double beta (01/(3(3) decay
~X -+~+2 X + 2e- (1)
has been shown to be a sensitive tool both for physics beyond the standard
model [8,9] as well as for the reconstruction of the neutrino mass spectrum [1].
The most stringent limit is obtained from the Heidelberg-Moscow experiment
[10],
(m) = 0.27 eV (68%C.L.). (2)
Future experiments such as CUORE [11]' MOON [12] and EXO [13] and GE-
NIUS [14] aim at sensitivities down to 10- 2 - 10- 3 eV.
The observable measured in the mass mechanism of 01/(3(3 decay is the ee
element of the neutrino mass matrix in flavor space, the effective neutrino mass
(3)
where Uei denote the elements of the neutrino mixing matrix. For the three-
neutrino case we get
(4)
where m~~ == Im~~ Iexp (i¢i) (i = 1,2,3) are the contributions to (m) from indi-
vidual mass eigenstates, which can be written in terms of oscillation parameters
as:
Im~~)1 = IUe d2m 1' (5)

Im~~) I = lUe21\/'-.1-m-~-1-+-m-r, (6)
J
Im~~) I = lUe3I 2 .1m~2 + .1m~l + mr, (7)
and ¢i are the relative Majorana CP-phases. The contributions m~~ can be
illustrated as vectors in the complex plane (fig. 1).
Some of the parameters in eq. 7 can be fixed or restricted from neutrino
oscillation data: In the case of normal hierarchy .1m~l' lUel1 2 = cos2B0 and
IUd 2 = sin2 B0 can be obtained from solar neutrinos, .1m~2 from atmospheric
neutrinos and lUe31 2is restricted from experiments searching for electron disap-
pearance such as CHOOZ. For inverse hierarchy one has to exchange neutrinos
1/1 +-t 1/3 in the equations. The phases ¢i and the mass of the lightest neutrino,
m1, are free parameters. Thus the search for neutrinoless double beta decay
422 The neutrino mass spectrum
u:,
"
I
I
>"" a
"
\~:
<m>. I
/_~~~'~'\
/
;' ~
e2 2 \
\
I , 2 \
1" ,
I
\
U III \ I
,,
I
\ I
...... __ ... " et , I

I
, I
I
a)
,,
,,
,,
\
I
,,
I
, I
I
/
I
I
I
I
I
b)
Fig. 1. The effective Majorana mass (m) in the complex plane. Vectors show contribu-
tions to (m) from individual eigenstates. The total (m) appears as the sum of the three
vectors. Allowed values of (m) correspond to modulies of vectors which connect two
. on the Clrcles.
pomts . Here Q -_ <P3 - 11", (3 -_ 11" - <P2. a.
) Im ee(1)1 > Im ee(2)1 + Im ee(3)1'.
the vectors m~~ can not form a triangle and no complete cancellation occurs. b)
Im~;)1 ~ Im~;)1 + Im~~)I: in this case complete cancellation occurs in the intersection
points of the circles, so that (m) = O. (from [1]).
can provide informations about the neutrino mass spectrum and the absolute
mass scale. With increase of ml the level of degeneracy of the neutrino spec-
trum increases and we can distinguish the extreme cases of hierarchical spectra,
mi « t1m~l « t1m~l and degenerate spectra t1m~l « t1m~l « mi. In the
following we discuss these extreme cases as well as transition regions in detail,
and comment on the case of inverse hierarchy.
2 Hierarchical spectra
Hierarchical spectra (fig. 2)
(8)
can be motivated by analogies with the quark sector and the simplest see-saw
models. In these models the contribution of ml to the double beta decay obser-
vable (m) is small. The main contribution is obtained from m2 or m3, depending
on the solution of the solar neutrino deficit.
10 0 r - - - - - - - - - - - - - - - - - - ,
10- 1 - Ve
>Il>~
V/-l •
~
-2
10 - V't
e 10
-3
-4
10
-5
10
Fig. 2. Neutrino masses and mixings in the scheme with mass hierarchy. Coloured bars
correspond to flavor admixtures in the mass eigenstates Vl, V2, V3. The quantity (m)
is determined by the dark blue bars denoting the admixture of the electron neutrino
Uei.
After Neutrino2000, the prospects of a positive signal in double beta decay

are more promising, now. If the large mixing solution of the solar neutrino deficit
is realized, the contribution of m2 becomes dominant due to the almost maximal
Ue2 and the relatively large .::1m~l :
2
(2) tan (} ~ (9)
(m) ::::: mee = 2 () .::1m 0 ·
1 + tan
Fig. 3 shows values of (m) in the range of the large mixing angle solution. The
closed lines denote the regions allowed at 90 % C.L. and 99 % C.L. according to
[5]. In the 90 % C.L. region the prediction for (m) becomes definite, now,
(m) = (1 - 3) . 10- 3 eV. (10)
A coincident measurement of (m) at this order of magnitude with corresponding
results of day-night asymmetry and energy spectra of solar neutrino rates to-
gether with a confirmation of the large mixing angle solution by the long baseline
reactor experiment KAMLAND [16] would identify a single point in the large
mixing angle MSW solution and provide a strong hint for this scheme.
It should be stressed, that a large portion of the 99 % C.L. favored region
extends to large .::1m~ allowing for effective neutrino Majorana masses well above
10- 2 eV even in the hierarchical case.
If the less favored QVO-LOW solution is realized in solar neutrinos, Ue2 is
close to maximal but the mass of the second state is tiny. In these cases the main
contribution to (m) comes from m3:
( m) -,...., m ee
(3) _
- 4:1 J4..Im
A 2
atm
. 2 2()
sm ee, (11)
where sin2 2()ee = 4U;3 denotes the mixing angle restricted in disappearance
experiments. The situation is illustrated in fig. 4. Here lines of constant (m)
10
-5
10
0.1 0.2 0.3 0.4 0.5 0.6 0.70.80.9
Fig. 3. Double beta decay oberservable (m) and oscillation parameters: The case for
the MSW large mixing solution of the solar neutrino deficit, where the dominant con-
tribution to (m) comes from the second state, shown are lines of constant (m). The
inner and outer closed line show the regions allowed by present solar neutrino experi-
ments with 90 % C.L. and 99 % C.L., respectively. Complementary informations can
be obtained from double beta decay, the search for a day-night effect and spectral
distortions in future solar neutrino experiments as well as a disappearance signal in
KAMLAND.
are shown as functions of the oscillation parameters .:1m~3 and sin2 2(}ee. The
v'
shaded areas show the mass m3 := .:1m~3 favored by atmospheric neutrinos
with the horizontal line indicating the best fit value. The region to the upper
right is excluded by the nuclear reactor experiment CHOOZ [15], implying (m) <
2· 10- 3 eV in the range favored by atmospheric neutrinos. Obviously in this
case only the 10 ton GENIUS experiment could observe a positive Ovf3f3 decay
signal. A coincidence of such a measurement with a oscillation signal at MINOS
and a confirmation of the solar QVO-LOW MSW oscillations by solar neutrino
experiments would be a strong hint for this scheme.
3 Degenerate Scenarios
In degenerate schemes (fig. 5)
(12)
<m>=O.005 eV
,........, '~I
;>
Q)
........ I
C"'l 10
~
-I I
10 <m>=O.OOl eV
Fig. 4. Double beta decay observable (m) and oscillation parameters: The case of
hierarchical schemes with the QVO-LOW solution. Shown is the dominant contribution
of the third state to (m) which is constrained by the CHOOZ experiment, excluding the
region to the upper right. Further informations can be obtained from the long baseline
project MINOS and future double beta decay experiments [1].
neutrinos still may be of cosmological relevance. Neutrinos with an overall mass

scale of a few eV could play an important role as "hot dark matter" component
of the universe. When structures were formed in the early universe, overdense
regions of (cold) dark matter provide the seeds of the large scale structure,
which later formed galaxies and clusters. A small "hot" (relativistic) component
could prevent an overproduction of structure at small scales. Since structures
redshift photons, this should imply also imprints on the cosmic microwave back-
ground (CMB), which could be measured by the future satellite experiments
MAP and Planck [17J. While this option of cold-hot-dark-matter cosmology has
been disfavored by models including a cosmological constant, as supported by
the supernova cosmology project, a new motivation for degenerate models with
a less large mass scale may come from the Z-burst interpretation of ultra high
energy cosmic rays (UHECRs). In this model UHECRs are understood as the
decay products of a resonant annihilation process of high energetic neutrinos
with the relic neutrino background [19J. Since the neutrino mass scale is related
- -
1
10
~ 10°
~
...--...-
8' -1
10 Vsol
V atm
-2
10 VIl
- Ve - V't
VI V V
2 3
Fig. 5. Neutrino masses and mixings in the degenerate scheme.
to the UHECR energy and relic neutrino clustering on galactic scales may turn
out to be a necessary ingredient of the model, an absolute neutrinos mass scale
of", 0.1 - 1 eV is predicted in this context [19,20].
In degenerate schemes the mass differences are not significant. Since the
contribution of m3 is strongly bounded by CHOOZ again, the main contributions
to (m) come from mi and m2, which may cancel as an effect of the unknown
Majorana CP-phases. The relative contributions of these states depend on their
admixture of the electron flavor, which is determined by the solution of the solar
neutrino deficit. Then the effective neutrino mass becomes
mmin < (m) < mi (13)
with
(m)min = (cos 2 (}0 - sin 2 (}0) mi

2
1 - tan (}0
mi· (14)
1 + tan (}0
- 2
This implies
(m) = (0.25 - 1) . mi (15)
for the large mixing angle solution and
(m) = (0.1 - 1) . mi (16)
for the QVO-LOW solution, where the range allowed corresponds to possible
values of the unknown Majorana CP-phases. It should be stressed that this way
an upper bound on the mass scale of the heaviest neutrino can be deduced from
the recent limit on (m). For the LMA solution we obtain mi,2,3 < 1 eV, implying
L:i mi < 3eV. For the QVO-LOW solution we obtain mi,2,3 < 3 eV, implying
L:imi < 9 eV.
I
I
mnd lor Q nrO.3
o 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

2
tan e
Fig. 6. Double beta decay oberservable (m) and oscillation parameters: The case for
degenerate neutrinos. Plotted on the axes are the overall scale of neutrino masses ma
and the mixing tan 2 80 , The dashed boxes indicate the 90 % C.L. allowed regions for
the large mixing angle (thick dashes, bestfit indicated also) and LOW-QVO solution
(thin dashes). Allowed values for (m) for a given ma correspond to the regions between
ma and the corresponding curved line. Also shown is a cosmological bound obtained
from a fit to the CMB and large scale structure and the expected sensitivity of the
satellite experiments MAP and Planck [17].
In fig. 6 lines of constant double beta decay observables (solid curved lines)
as functions of the solar mixing are shown together with information from cos-
mological observations about the overall mass scale (horizontal lines). Shown is
the bound mj < 0.6 eV for each of three degenerate neutrinos and for nm = 0.3
at 95 % C.L., obtained from a combined fit to the CMB and large scale struc-
ture (LSS) data (The constraint becomes L: j mj < 5.5 eV for arbitrary values
of nm ). Also shown are the expected sensitivities of MAP and Planck to a single
neutrino state, 0.5 eV and 0.25 eV, respectively, including polarization data [17J.
A coincidence of the absolute mass scale reconstructed from double beta de-
cay and neutrino oscillations with a direct measurement of the neutrino mass
in tritium beta decay spectra [21J or its derivation from cosmological parame-
ters determined from the CMB in the satellite experiments MAP and Planck
101
0
10 ::..--r-
>
~tm
V 10- 1 Vsol
S 10- 2
- Ve
V~
10- 3 I - V't
-4
10
VI V V
2 3
Fig. 7. Neutrino masses and mixings in the scheme with inverse hierarchy.
and future LSS surveys would prove this scheme to be realized in nature. To
establish this triple evidence however is difficult due to the restricted sensitiv-
ity of the latter approaches. Future tritium experiments aim at a sensitivity
down to 0(0.1 eV) and MAP and Planck have been estimated to be sensitive to
I: mil = 0.5 - 0.25 eV. Thus for neutrino mass scales below ma < 0.1 eV only
a range for the absolute mass scale can be fixed by solar neutrino experiments
and double beta decay.
The same conclusions are true for partially degenerate schemes,
(17)
keeping in mind that in these cases only the heaviest neutrino affects cosmology.
The mass range for partial degeneracy is ml '" 0.01 - 0.1 eV
4 Inverse Hierarchy
A further possibility is an inverse hierarchical spectrum (fig. 7)
(18)
where the heaviest state with mass m3 is mainly the electron neutrino, now.
J
Its mass is determined by the atmospheric neutrinos, m3 ~ L1m~tm' im-
plying
V 2
L1matm 1
2
1 - tan ()0
2 ()
+tan 0
V
< (m) < L1matm2
· (19)
For both the large mixing MSW or QVO-LOW solution cancellations of the
two heavy states become possible and (m) = (1 - 7) . 10- 2 eV, (m) = (0.4 -
7) . 10- 2 eV, respectively. A test of the inverse hierarchy is possible in matter
effects of neutrino oscillations. For this case the MSW level crossing happens
for antiparticles rather than for particles. Effects could be observable in long
baseline experiments and in the neutrino spectra of supernovae [22]. In fact a

recent analysis [23] of SN1987A obtains a strong indication that the inverted
mass hierarchy is disfavored unless Uel is large.
5 Transition Regions
In fig. 8 we show the dependence of the individual contributions m~2 to (m) on
ml, for different values of mixing within the LMA solution. Panel a)-c) corre-
spond to the small mixing bound, best fit and large mixing bound of the 90 %
C.L. allowed region, respectively. For mW only the upper bound is used; the two
other lines represent possible values ofmW and m~:) for the specific neutrino
mixing parameters. We show also the maximal and the minimal possible values
of (m).
The upper bounds on (m) as functions of ml have a similar dependence for
all the cases. The lower bound in the hierarchical region (ml < 10- 3 -10- 2 eV)
crucially depends the solar mixing angle. If the solar mixing is sufficiently large
the contribution from m2 dominates and no cancellation is possible even for
maximal possible m~~) (figs. 8 b,c)). In contrast, for a lower sin 2 2()0 the cancel-
lation can be complete so that no lower bound appears (see fig. 8 a)).
In the region of ml ~ 10- 3 eV all states contribute with comparable portions
to (m), thus cancellation is possible and no lower bound exists.
For larger values of ml the first and the second state give the dominating
contributions to (m) and the increase of m3 does not influence significantly the
total (m). In this case the mass (m) is determined by ml and ()0 and a larger
sin2 2()0 implies a larger possible range of (m) for a given ml, reflecting the
uncertainty of unknown Majorana CP-phases.
6 Conclusions
Neutrinoless double beta decay and neutrino oscillations provide complemen-
tary pieces to the solution of the neutrino mass puzzle. Correlations of the os-
cillation parameters and the effective neutrino Majorana mass (m) have been
discussed in various scenarios favored by recent neutrino oscillation data. The
new Super-Kamiokande data presented at the Neutrino2000 conference improve
the prospects of a positive signal in double beta decay. Already now an upper
bound for the absolute neutrino mass scale of ml,2,3 < 3 eV (LOW-QVO) or
ml,2,3 < 1 eV (LMA) has been obtained, being competitive with the recent tri-
tium decay bound [21J. A summary offuture perspectives is given in fig. 9, where
the size of the bars corresponds to the uncertainty in mixing angles and the un-
known Majorana CP-phases. As is obvious from the figure, future double beta
decay projects may be able to test all scenarios but the hierarchical spectrum
with solar neutrino QVO-LOW solution. One should keep in mind here, that
the QVO-LOW solution is disfavored in an analysis of the supernova 1987A [7J.
Depending on the value of (m) obtained in the future, the follwing conclusions
can be drawn.
IDee
0.01
a)
0.001
• For (m) > 0.1 eV the neutrino mass spectrum is degenerate. An allowed
region for the absolute mass scale in the neutrino sector can be obtained.
Its size depends on the magnitude of mixing of the solar neutrinos. If the
mixing is large, the uncertainty can be up to a factor of 10, if the mixing
is small, it will be less than a factor of two. For the MSW bestfit it will be
about a factor of three. A crucial contribution may come from KAMLAND,
which has been estimated to fix sin2 2B0 within ±0.1 with three years of
accumulated data [16].
IIlee
,/
0.01 ,/ ..
C) ,/ ..
,/ ...
.
................................ ;,-
~
- ,/
0.001 ,/
,/
,/
,/
,/
,/
0.0001 ,/
,/
,/
,/
,/
,/
0.00001 ,/
,/
,/
,/
,/
,/
0.00001 0.0001 0.001 0.01
Fig.8. (m) (eV) as a function of ml (eV) for three-neutrino mixing. Shown are the
contributions m~~) (dashed), m~;) (dotted) and m~~) (interrupted dashes). The solid
lines correspond to (m)max and (m)min and show the allowed region for (m). Panels
U: U:
a)-c) correspond to the cases for 2 = 0.17, 2 = 0.33, and 2 = 0.38, i.e. the small U:
mixing bound, best fit and large mixing bound of the 90 % C.L. level LMA solution.
The mixing of the third state is varied from zero to its upper bound, 3 = 2.5 . 10- 2 • U:
• For (m) ~ 0.01 - 0.1 eV the neutrino mass spectrum can be degenerate,
partial degenerate or inverse hierarchical. Again an allowed region for the
absolute mass scale can be fixed, provided the character of hierarchy (di-
rect/inverse) can be established from neutrino oscillations in matter. A re-
cent analysis comes to the conclusion, that the inverse hierarchy is disfavored
already for not too large values of Ue3 .
• For (m) ~ 0.001 - 0.01 eV the neutrino mass spectrum can be partial de-
generate or inverse hierarchical. The conclusions above remain valid.
• For (m) < 0.001 eV the spectrum is hierarchical.
In view of this potential the realization of future double beta decay projects
is highly desirable. We are entering an exciting decade.
7 Acknowledgement
We thank T.J. Weiler for fruitful collaborations this review in part is based on.
H.P. was supported in part by the DOE grant no. DE-FG05-85ER40226.
ffi ee (eV)
- -
-1-1-----------1-1---------- IIcklclbr'l'-M""" ...
: ,' ;;·:::;n:;::;:;:;:n;;:~ ;;;; ~ ;;;;;;;;;;;n:

eUORE
MOON
(J/'Nll'S 1,/1:>.0111<
-----------------B------------------- ----- --------- ~ GE!,IU5 10 I
Degenency P&n.i..1 Hic::...n:hy Inverse: Degeneracy Pam.] Hic.ruchy Invc.noe

Degencncy Hienn:hy Degen""",y Hieruchy
LARGE MIXING ANGLE MSW LOWMSW
Fig. 9. Summary of expected values for (m) in the different schemes discussed in
this paper. The size of the bars corresponds to the uncertainty in mixing angles and
the unknown Majorana CP-phases. The expectations are compared with the recent
neutrino mass limits obtained from the Heidelberg-Moscow [10] experiment as well as
the expected sensitivities for the CUORE [11]' MOON [12], EXO [13] proposals and
the 1 ton and 10 ton proposal of GENIUS [14).
References
1. H.V. Klapdor-Kleingrothaus, H. Pas and A.Yu. Smirnov, hep-ph/0003219, Phys.

Rev D, in the press, (2001)
2. S.T. Petcov, A.Y. Smirnov, Phys. Lett. B. 322 (1994) 109; S. Bilenky, A. Bottino,
C. Giunti, C. Kim, Phys. Rev. D 54 (1996) 1881-1890; S.M. Bilenki, C. Giunti,
C.W. Kim, M. Monteno, Phys. Rev. D 57 (1998) 6981-6988; C. Giunti, Phys. Rev.
D 61 (2000) 036002 (hep-ph/9906275); S. Bilenky, C. Giunti, W. Grimus, hep-
ph/9809368 Neutrino '98, Nucl. Phys. B 77 (Proc. Supp!.) (1999) ed. Y. Suzuki
and Y. Totsuka; S. Bilenky, C. Giunti, hep-ph/9904328 Proc. 'WIN99', Cape Town,
south Africa, 24-30 January (1999); S.M. Bilenky, C. Giunti, W. Grimus, B. Kayser,
S.T. Petcov, hep-ph/9907234, Phys. Lett. B465 (1999) 193-202; J. Hellmig, H.V.
Klapdor-Kleingrothaus, Z. Phys. A 359 (1997) 351; H.V. Klapdor-Kleingrothaus,
M. Hirsch, Z. Phys. A 359 (1997) 361; H.V. Klapdor-Kleingrothaus, J. Hellmig,
M. Hirsch, J. Phys. G 24 (1998) 483; S. Bilenky, C. Giunti, C. Kim, S. Petcov,
Phys. Rev. D54 (1996) 4432-4444; R. Adhikari, G. Rajasekaran, hep-ph/9812361,
Phys. Rev. D 61 (2000) 031301; H. Minakata, O. Yasuda, Phys. Rev. D 56 (1997)
1692-1697; H. Minakata, O. Yasuda, Nucl. Phys. B 523 (1998) 597-610; F. Vissani,
hep-ph/9708483; F. Vissani, hep-ph/9904349, Proc. of the "6th Tropical Seminar
on Neutrino and Astroparticle Physics", May 17-21 1999, San Miniato, Italy; V.
Barger, K. Whisnant, Phys. Lett. B 456 (1999) 194-200; G.C. Branco, M.N. Rebelo,
J.1. Silva-Marcos, Phys. Rev. Lett. 82 (1999) 683-686; T. Fukuyama, K. Matsuda,
H. Nishiura hep-ph/9708397; T. Fukuyama, K. Matsuda, H. Nishiura, Mod. Phys.
Heinrich Pas et a!. 433
Lett. A13 (1998) 2279; T. Fukuyama, K. Matsuda, H. Nishiura, Phys. Rev. D57
(1998) 5844; F. Vissani, JHEP 9906 (1999) 022; M. Czakon, J. Gluza, M. Zralek,
Phys. Lett. B 465 (1999) 211-218;
3. M. Czakon, J. Gluza, J. Studnik, M. Zralek, hep-ph/0010077, and contribution of
H. Minakata and F. Vissani to this conference
4. Y. Suzuki (Super-Kamiokande Collab.), in Neutrino2000, Proc. of the 19th Int.
Conf. on Neutrino Physics and Astrophysics, Sudbury/Kanada, 2000, Transparan-
cies under http://www.laurentian.ca/www/physics/nu2000
5. M.C. Gonzalez-Garcia, M. Maltoni, C. Pena-Garay, J.W.F. Valle, hep-ph/0009350,
Phys. Rev. D, in the press
6. M.C. Gonzalez-Garcia, hep-ph/0010136
7. M. Kachelriess, R Tomas, and J. Valle, hep-ph/0012134
8. H.V. Klapdor-Kleingrothaus, H. Pas, Proc. Cosmo99, Trieste, hep-ph/0002109
9. H. Pas, M. Hirsch, S.G. Kovalenko, H.V. Klapdor-Kleingrothaus, Phys. Lett. B 453
(1999) 194; H. Pas, M. Hirsch, H.V. Klapdor-Kleingrothaus, S.G. Kovalenko, Phys.
Lett. B, in the press; S. Bergmann, H.V. Klapdor-Kleingrothaus, H. Pas, Phys.
Rev. D62 (2000) 113002; RN. Mohapatra, Phys. Rev D 34 (1986) 3457; M. Hirsch,
H.V. Klapdor-Kleingrothaus, O. Panella, Phys. Lett. B 374 (1996) 7; M. Hirsch,
H.V. Klapdor-Kleingrothaus, S.G. Kovalenko, Phys. Rev. Lett. 75 (1995) 17; K. S.
Babu, R. N. Mohapatra, Phys.Rev.Lett. 75 (1995) 2276; M. Hirsch, H.V. Klapdor-
Kleingrothaus, S. Kovalenko, Phys. Lett. B 352 (1995) 1; M. Hirsch, H.V. Klapdor-
Kleingrothaus, S. Kovalenko, Phys. Rev. D 53 (1996) 1329; H. Pas, M. Hirsch,
H.V. Klapdor-Kleingrothaus, Phys. Lett. B 459 (1999) 450; G. Bhattacharyya,
H.V. Klapdor-Kleingrothaus, H. Pas, Phys. Lett. B463 (1999) 77-82; M. Hirsch,
H.V. Klapdor-Kleingrothaus, S.G. Kovalenko, Phys. Lett. B 398 (1997) 311 and
403 (1997) 291; M. Hirsch, H.V. Klapdor-Kleingrothaus, S.G. Kovalenko, Phys.
Rev. D 57 (1998) 1947; M. Hirsch, H.V. Klapdor-Kleingrothaus, S.G. Kovalenko
Phys. Rev. D 54 (1996) R4207; H.V. Klapdor-Kleingrothaus, H. Pas, U. Sarkar,
Eur. Phys. J A5 (1999) 3
10. H.V. Klapdor-Kleingrothaus et a!., to be pub!. 2000 and http://www.mpi-
hd.mpg.de/non...acc/main.html
11. E. Fiorini et al., Phys. Rep 307 (1998) 309
12. H. Eijiri et al., nucl-ex/9911008
13. M. Danilov et al., Phys. Lett. B480 (2000) 12-18
14. J. Hellmig, H.V. Klapdor-Kleingrothaus, Z. Phys. A 359 (1997) 351; H.V. Klapdor-
Kleingrothaus, M. Hirsch, Z. Phys. A 359 (1997) 361; H.V. Klapdor-Kleingrothaus,
J. Hellmig, M. Hirsch, J. Phys. G 24 (1998) 483; H.V. Klapdor-Kleingrothaus, in
Beyond the Desert '97 - Accelerator and Non-Accelerator Approaches (Eds. H.V.
Klapdor-Kleingrothaus, H. Pils), Proc. Int. Workshop on Particle Physics beyond
the Standard Model, Castle Ringberg, June 8-14, 1997, lOP Pub!., Bristol, Philadel-
phia, p. 485 and Int. J. Mod. Phys. A 13 (1998) 3953; H. V. Klapdor-Kleingrothaus,
L. Baudis, G. Heusser, B. Majorovits, H. Pils, hep-ph/9910205.
15. M. Apollonio et al. (CHOOZ collab.), hep-ex/9907037, Phys. Lett. B 466 (1999)
415-430
16. The KAMLAND proposal, Stanford-HEP-98-03; A. Piepke, talk at Neutrino 2000
conference, Sudbury, Canada; V. Barger, D. Marfatia, B.P. Wood, hep-ph/0011251.
17. RE. Lopez, astro-ph/9909414;
J.R Primack, M.A.K. Gross, astro-ph/0007165;
J.R. Primack, astro-ph/0007187j
J. Einasto, these proceedings.
18. S. Perlmutter et aI., Astrophys. J. 517 (1998) 565;

A.G. Riess, Astrophys. J. 116 (1998) 1009.
19. T.J. Weiler, Astropart. Phys. 11 (1999) 303-316; D. Fargion, B. Mele, A. Salis,
astro-ph/970029
20. H. Piis, T.J. Weiler, hep-ph/0101091
21. C. Weinheimer, talk at the EPS HEP 99 conference at Tampere/Finland
22. A.S. Dighe, A.Yu. Smirnov, hep-ph/9907423
23. H. Minakata, H. Nunokawa, hep-ph/0010240
The Weight of Neutrinos and Related Questions
Francesco Vissani
INFN, Lab. Naz. Gran Sasso, Theory Group, 1-67010 Assergi (AQ), Italy
Abstract. This is a simple minded discussion of the limits of the present knowledge
on massive neutrinos, with emphasis on: (1) the restricted scope of an approach based
only on studies of oscillations to understand them; (2) the need of further experimental
informations; (3) the consequent limitations of purely empirical approaches to neutrino
masses; (4) the possible role of more detailed theoretical considerations.
1 Introduction
We can illustrate the limitation of available informations, by mean of little game.

Here are 4 matrices:
M1 = 10-2 (2.36,2.71)
x 2.71,3.12 '
M 2 = 10 -2 x (0, 7.27)
7.27, 2.04 '
(-9/65, 91/92)
M 3 = \ 91/92, 7/50 '
_ -3 (20/31,20/27)
M4 - n. + 10 x 20/27,29/34 .
And here is the question: Are they identical? [...think a bit ... incidentally, the
answers I got at the conference were 1) yes, they have the same eigenvalues-this
is false; 2) yes, they are all real-true, but this was just a choice I made, to simplify
the presentation; 3) yes, they are all symmetric-this goes to the point; 4) yes,
they are written in the same slide-I deserved this one.] Anyhow, the answer is
affirmative (for, it is obvious that I asked a counter-intuitive question). The sense
of this "yes" is that these 4 matrices imply the same explanation for atmospheric
neutrinos:
V T oscillations,
V/lo -
Llm 2 = 3 x 10- 3 ey 2 ,
= =
-a 41° (=> sin 2 2-a 0.98),
if regarded as mass matrices for the v/lo and V T neutrinos (in eY). These cases
could be not distinguished by even an ideal experiment searching for oscillations;
436 Francesco Vissani
and we should recall what we know on the strongest evidence for oscillations we
have (=atmospheric neutrinos):
I think that the sense of this notations is clear to whoever is reading these pages;
anyhow, few basic things are recalled in Sect. 2.3.
2 The Way to Infer Neutrino Masses

The belief that neutrinos are massive is based on the experimental indications
that neutrinos change flavor during their propagation, that can be explained
if oscillations of massive neutrinos take place. In this Section, we recall the
existing indications and discuss the possibilities of interpretations in the context
of massive neutrinos, aiming to show how little we can infer (even assuming the
correctness of the hypothesis that neutrinos are massive).
2.1 What We Know [an Instant Summary]

Here are some general and important facts about neutrinos,
LEP 3 active (=interacting) II'S

Big-bang N.S. :::; 4 II'S in thermal equilibrium
where I use the notation: II = generically, a neutrino (or antineutrino); lis = a

sterile (=non-interacting) II-state; 111-£ = muon neutrino, etc.; lIa = anyone among
lie, 111-£, liT (active state are not distinguished by neutral current interactions).
Here a list of observed (or claimed) "anomalous" behaviours:
111-£ - especially low E v , large L

atm-II lie = checked at reactors
lIa + still feeble
lie - E v dependence only from total rates
sol-II
lI a +? sensitive reaction: lIa e -t lIa e (subdom.)
(-)
LSND-II lie + waiting for independent confirmation
SN1987A-II lie =? just 19 events; theoretical uncertainties
JSt column, II-experiment (symbolical); ffld, pertinent type of neutrino; grd col-
umn, what is presumably occuring, if disappearance "-" of that type of neutrino,
or appearance "+", or neither of them "="; e.g. there is no claim for disappear-
ance of atmospheric lie (the sense for a "+" for atmospheric neutrinos is discussed
in next sub-Section). 4th column, some comments.
Many of these informations have been reviewed at this conference, in the
theoretical summary of J.W.F. Valle; in the experimental reports of J. Hill [for
the Super-Kamiokande Collaboration], of D. Sinclair [for the SNO Collabora-
tion], and of D. Smith [for the LSND Collaboration]. For supernova neutrinos,
The Weight of Neutrinos and Related Questions 437
the sign "?" in previous table (last line) refers to the question raised in the study
[1], on whether the "large-angle MSW solution" of the solar neutrino problem is
disfavoured by the observed ve's from SN1987A. It is probably not appropriate
to draw far reaching conclusions from these data (due to limited statistics, and
theoretical uncertainties); however, this remark is rather interesting for 1) if we
believe that something is happening to solar lie, why not to supernova Ve , too?
2) the result [1], if taken seriously, could be seen as an indication that the solar
neutrino mixing is less than maximal (the larger the mixing, the more serious
being the conflict between measured and expected ve temperatures).
2.2 Can We Regard to Some Feature of Vahn As "Appearance"?

In this Section we want to make a point (conceptually indipendent from "oscil-
lations") that might be helpful to illustrate the level of detail of the atmospheric
neutrino indications; and, maybe, to show its degree of reliability.
The detailed informations in the report [2] permit to regard atmospheric
neutrinos as an "appearance experiments". The "NC enriched sample of events
from multi-ring data obtained at Super-Kamiokande" ("+NC" -events for short)
has a contribution of 46 % (25 %) from lie (IIJL) charged current events, assuming
that nothing happened to the neutrino fluxes. However, disappearance of muon
neutrinos can be considered as an experimentally established fact, and if we
account for this shortage by a factor f JL < 1, the +NC-events coming from below
should decrease by the factor:
1 + 2.1 X f JL
0.46 + 0.25 x f JL + (1 - 0.46 - 0.25) x 3 ;
.1
here we scaled the neutral current contribution taking into consideration the
calculated ratio of fluxes at low energy, FJL/ Fe ~ 2.1. This procedure leads to a
"model independent" prediction for the "up/down ratio", that can be compared
with the measured value:
Up
Down
I+NC =
{1.28
1.04 ± 0.07
model independent,
observed ± statistical error;
(1)
we used f JL = 1/2 (the systematic error is negligible). Whence, one can say that
the hypothesis of plain disappearance does not give the best description of these
data (the number of u's being, to a certain extent, only formal). This consid-
erations apply, for instance, if muon neutrinos were to decay into undetectable
particles. In brief; main body of the data informs us on lie and IIJL, but +NC events
lead us to assume that the neutral current rate is larger than what we expect
from these informations-in this sense we can speak of "appearance".
Note that this is the same sense in which one speaks of "appearance" for solar
neutrinos; one aims at detecting an excess of neutral current events in comparison
with the charged current ones (because IIJL and liT cannot be separated at 0.1-10
MeV energies). This is a program that might be accomplished by the SNO
experiment (see D. Sinclair contribution).
2.3 Oscillations
Up to here, we presented a sketchy summary of the available informations. Now
we pass to interpreting them, assuming that neutrinos are massive particles.
Let us begin reminding some basic concepts [3]: Suppose that at t = 0 one
produces the state Ive}, that is a superposition of eigenstates of propagation in
vacuum IVj,t} = exp[-it(m; + p2)1/2]lvi,t} :
IVe,t} = cos 19lvl,t} + sin 19IV2,t} with Ive,o} = Ive}.

After a sufficient time, IVe,t} will not coincide any more with Ive,o} due to the
different phases of propagation (oscillations arise as a quantum effect); this will
happen in particular if m~ =p mi (for all practical cases, the ultra-relativistic
limit p » mj is valid; in usual terms, "oscillations" refer to this regime). In
presence of matter, the phases will be further modified [4] and rather spectac-
ular effects might take place [5] ("matter effect"-"resonant conversion"-"MSW
effect"). Oscillations will produce V e- "disappearance", but will also generate a
non-zero overlap of the wave-function with other neutrino flavors ("appearance"
of new flavors). Appearance is generally considered to be more appealing than
disappearance, maybe because it offers less space for equivocal interpretations.
As we saw in Sect. 2.1, the only strong claim of appearance is the one made by
the LSND Collaboration.
Anyone among atmospheric-v, solar-v, or LSND-v "anomalies" of the ob-
served neutrino fluxes can be interpreted as due to oscillations of two neutrino
states ("two flavor oscillations", with 2 parameters: .:1m~l = m~ - mi and 19 21 ),
However, a problem arises if one wants to interpret all three the indications as
such; in fact, they point to rather different values of L1mJi's, but if we have just
three neutrinos, we have the relation .:1m~l = .:1m~2 + .:1m~l' So we have not
enough freedom to support such a global interpretation, or in other terms "os-
cillations of 3 neutrinos are not enough". This conclusion is correct, unless one
stretches quite a lot certain interpretations of the analyses, or of some observa-
tions.
Still, the only indication of massive neutrinos comes from these experiments,
that correspond to the three mass scales:
mLSND = 0.5 - 1.5 eV,
matm = (4 - 7) x 10- 2 eV, and (2)
msal = (4 - 20) x 10- 3 eV;
[last scale corresponds to "large-angle MSW solution", and could go down to
'" 10- 5 eV for other "solutions" of the solar neutrinos problem].
To proceed in the interpretation, we have (i) either to assume the existence of
one "sterile state" V s to have 3 "independent" .:1m2's at our disposal!; (ii) or to
lOne can accommodate a fourth neutrino by stretching, but without contradicting,
the indications from Big-Bang nucleosynthesis. But, no single experiment favors os-
cillations into pure sterile states; namely, vp. -? Va for atmospheric neutrinos is
disfavored in comparison with Vp. -? V T , and V e -? Va for solar neutrinos is disfavored
in comparison with Vp. -? VP.,T'
let one indication out of the interpretation. Whatever we do, a pending question
remains: In mathematical terms, we should decide how to distribute the Llmz,s
pertinent to any of the indications (in one of the (n-l)! manners for n neutrinos).
In physical terms, we need to know 1) what are the energy levels (=what is the
"neutrino mass spectrum") and 2) what is the flavor composition of each level.
In principle, one can proceed a lot to clear up the possibilities by studying
oscillations, primarily by checking the indications themselves, and also (a) by
searching for oscillations effects involving more than two flavors; and (b) by
relying on "matter effect" to know more on the flavor composition of the levels.
In practice, (a) gave just limits up to know, and no indications yet; while for
(b), there is an indication that the state of the solar "doublet of levels" should
be mostly electron neutrino.
An attempt of a summary: We have several indications of two flavor oscil-
lations, but 1) no claim of the existence of three (or more) flavor oscillations
has been made; 2) matter effect is very likely operative (perhaps in more than
one system), though it might be fair to say that we still need the proof; 3) the
existence of a sterile state is suggested, but only if a global interpretation of data
is attempted (namely, no single indication requires it); 4) what is known from
oscillations is compatible with drastically different neutrino mass spectra.
3 Non-Oscillation Search of Neutrino Mass
We discuss how to approach the study of massive neutrinos by non-oscillation

searches. In order to point out the relevance of this approach more precisely, we
begin by fixing the framework and notations.
We admit to keep in mind as reference the assumption that there are only
3 massive neutrinos, though we agree that it has not deep foundations! It just
expresses our reluctance to accept radical modifications of the standard model.
3.1 Essential Formalism for Neutrino Masses
How neutrino masses should be described? Quite straightforwardly, one can add
the following Lorentz invariant terms in the standard model lagrangian
~Vi X Mil' X Vi' where f, £' = e, IL, T, S, Sl, s" .... [Majorana mass terms]; (3)
Vi are Weyl fermions-that is, bispinors; s, Sl, s" are hypothetical sterile states.
Since neutrinos carry lepton number, it shouldn't be surprising that either indi-
vidual, or total, lepton numbers or both can be violated. Now, we proceed a bit
in the formalism [6] and introduce the useful decomposition of the symmetric
n x n matrix M (which is, in general, complex):
Mil' = L Utj x mj x exp(i~j) x U;j' (4)

j
Here 1) mj are the n neutrino masses (that can be arranged as mj+1 ~ mj)j
2) Utj is the mixing matrix2 , because it relates the neutrino fields with given
flavor and mass: Vt(x) = Utj Vj(x)j 3) ej are phases (sometimes termed Majorana
phasesj (n - 1) of them have physical meaning).
One trouble is that such a "plain addition" to the standard model lagrangian
breaks its renormalizability (gauge invariance is lost); this drawback can made
up in several manners, the trouble is that it is difficult to convincingly disen-
tangle which is the correct one (a bit more of discussion in next Section). A
straightforward solution would be to postulate that neutrino masses have the
same character than the other fermions (Dirac mass terms); this would require
however to tune several parameters in the mass matrix to zero 3 . In absence of
a rationale to support this, we will disregard this possibility in the following,
and assume that neutrinos masses are of the form specified above, with in gen-
eral many non-zero entries (in particular, in the minimal case when any sterile
neutrino is decoupled from the light spectrum).
3.2 The "Parameter" of ,L3-Decay [Direct Search]

A possible manifestation of neutrino masses, in the region where the energy of
neutrino is minimal ("endpoint"), was discussed already by Fermi in the paper
founding the theory of weak interactions. In modern terminology, this type of
experiments are often referred as "direct search" for mass (oscillations being
only sensitive to the differences of squared masses).
As we saw, the case for massive neutrino is quite compelling, so the question
that arises is how to regard direct search when we expect (know) that neutrinos
mix among them. There are at least two aspects of the question. 1) The first
is conceptual; if the neutrino (more precisely ve ) emitted in ~-decay is a super-
position of several mass eigenstates, the spectrum is a just a weighted sum of
the individual term dr = IU~I x dr(mj) (while for quarks, each mass eigen-
state can be separately tagged). Now, there are two cases; if the detector had
infinite resolution and (apart from neutrino masses) the ~-spectrum was com-
pletely understood, each mass eigenstate would produce a characteristic step
in the spectrum, whose depth is related to IU~I; if instead we make the more
realistic assumption that the resolution is limited, and all neutrino masses fall
within the energy resolution [7], the spectrum dr can be effectively identified
with the spectrum of a single massive neutrino dr(m v .) with mass:
2 Lj IU~I xm; .h 2 2 Ll 2
my. = L IU~I WIt mj = ml + mjl' (5)
where the sum extends to all neutrinos that can be produced in the ~-decay.
Assuming unitarity, the denominator is unity and an even simpler formula is
2 The parameters of this unitary matrix that possibly affect oscillations are n x (n-1) /2
angles, and (n - 1) x (n - 2)/2 CP-violating phases (that is, 3 and 1 for 3 v's).
3 With the notations in (3), this is the sub-case when there are exactly three sterile
states (=the right handed neutrinos), but only the couplings between left- and right-
states are non-zero.
obtained [7] (which for instance was adopted by PDG 2000 [8]). However, we
have to stress again that this single parameter describes correctly the spectrum
only under certain hypotheses; for instance, it would not describe properly the
tritium spectrum (Q ~ 18 keY) if 17e had a tiny component from an eigenstate
with mass, say, of 17 keY (or, presumably, even if this were just 10 eV). 2) The
second aspect is the most important one, whether one should expect to measure
m~. :j; 0 in future experiments. Perhaps, the best chance for future experiments
to find a signal is realized if a) LSND actually indicate oscillations, and b) the
electron neutrino flavor is mostly distributed among those levels with mass mj >
(LlmisND)1/2. In that case [9]:
However, another chance could arise if the spectrum of neutrinos turned out to
have almost degenerate levels (as discussed in the talk of H. Minakata at this
conference). In formulae, we are suggesting the case mi » (m1 - m7)1/2, when
m 2Ve '" 2
~ m l'
As it should be clear from the previous discussion, there is no way for oscillations
to constrain mi. In other words, even if we accept the inference that neutrinos
are massive, we have to admit that we ignore what is their weight. What is
actually known in this respect are bounds; these, and the expected reach of
future experiments, have been discussed in the talk of Ch. Weinheimer.
3.3 The Parameter of Neutrino-Less Double ,a-Decay
The neutrinoless double ,B-decay (Ov2,B) is the process in which a nucleus in-
creases its charge by 2 units emitting 2 electrons but no neutrinos [10] (this
is the most interesting of a family of processes, involving emission of e±, or
absorption of atomic electrons).
If neutrinos have Majorana mass, this process can be stipulated by the ex-
change of virtual neutrinos with electron flavor; the transition amplitude requires
an insertion of the element M ee of the neutrino mass matrix. In a sense, this
process would be even a more direct manifestation of neutrino masses, for it
would permit the direct access to (one element of) the mass matrix. However, it
is difficult to foresee a likely outcome, for the impact of the parameters relevant
to neutrino oscillations on
IM;el = 12: lU:j l x mj x exp(i€jW, with mj = Jmi + Llm1i (6)

j
might be even more indirect, due to a possible role not only of the scale of mass
mi (as for direct search) but also of the Majorana phases €j. These latter could
produce cancellations among the individual amplitudes (that is, among the con-
tributions to the transition amplitude coming from the exchange of the various
neutrino mass eigenstates). More detailed considerations on the connection with
oscillations were presented by H. Pas at this conference. The result obtained at

Heidelberg-Moskow experiment and future plans for progresses (most noticeably
GENIUS) were instead discussed in detail by B. Majorovits.
Contribution from 1I2 [meY]
6
5
3.10- 5 6.10- 5 9.10- 5 1.2.10-4 1.5.10-4

2
L.1m;ol [ ey ]
Maximal contribution from 1I3 [meY]

12
10 decay
2 Ov2{3 decay
2.10- 3 3.10- 3 4.10- 3 5.10- 3 6.10- 3

2
L.1m~tm [ ey ]
Fig. 1. Individual contributions to mass scales affecting the (3- and Ov2(3-decay, namely:
IUej I x (Llm;d 1 / 2 and IU;j I x (Llm;d 1/ 2 . 1st panel: Indicative regions for large-angle
MSW solutions of solar-v deficit (from Fig. 1 of [11], 95% CL curve-LMA). 2nd panel:
Permitted maximal values, as allowed by the analysis of CHOOZ data (from Fig. 9
of [12], 90% CL curve) in the range of Llm~tm suggested by the interpretation of
atmospheric-v fluxes
We add here only few remarks; (i) The first is that while future plans of direct
search contemplate m v• = 200 - 400 meV as the ultimate barrier, it does not
seem impossible to go down to 10 meV in the case of IMeel. (ii) The second is on
the comparison of the expected values of the parameters m~e and IM;eI in a three
neutrino model that does not have any mass degeneracies ("normal hierarchy"
and ml < (Llm;ol)1/2). Figure 2 illustrates the difference between the relevant
parameters. One sees in particular that IM;el is more severely suppressed in
presence of a small mixing. Note that this is one of the most pessimistic scenarios
for non-oscillation searches (in particular, since we supposed ml to be negligible);
(iii) already with three neutrinos (and letting aside LSND indications) it is
possible to consider spectra with "inverted hierarchy"4 that might lead to a
value
IM;el > Llm~tm 2
x (1 - sin 2'l9 sol ),
that is much more promising for future search. This result is simply due to the
fact that V e is distributed between the two heavier levels in these spectra; the
sign ">" refers to the possibilities of cancellations (which bring the mixing angle
'l9 so1 into the game), and to the fact that the parameter ml is not known.
4 Can Theory Help ? [a Closer Look to a Model]
We presented several open questions and we got some feeling of the latitude of
possibilities. Here we consider how theoretical considerations (in a specific model
[13]) could help orientation among the possibilities.
4.1 Theoretical Considerations
The model was originally suggested by taking an SU(5)-point of view in attempt-

ing a description of the fermion masses. The up-quark masses M u originate from
the couplings of the higgs field(s) with 10 x 10; the down-quark and charged lep-
ton masses, Me and M d derive from '5 x 10; and finally, "Dirac" neutrino masses
M v comes from from the coupling of the higgs with '5 x 1 (here, 1 is a SU(5)
singlet, to be identified with the "right-handed" neutrinos). For the third family,
down-quark and charged lepton masses are indeed equal when renormalization
effects are taken into account; for lighter families, corrections are necessary, as
those due to Clebsh-Gordan coefficients. Now one observes: 1) a strong hierarchy
between the up-quark masses; 2) a strong mass gap between the lightest states
(e, u and d quarks) and the other ones. This suggests a hierarchy pattern:
Me = diag[e, 1, 1] x 0(1) x diag[e 2 , e, 1],

M v = diag[e, 1, 1] x 0(1) x diag[e a , eb , e C],
MR = diag[e a , eb , eCI X 0(1) X diag[e a , eb , e C],
4 Namely, with approximate degeneracy between the heaviest doublet of level, as re-
quired to interpret solar neutrinos. Note that a (even small) component of the elec-
tron neutrinos in the lightest level might lead to a troublesome ve - vlL,T MSW
conversion, which would exacerbate the problem with SN1987A-neutrinos.
where the powers of suppressions for the right-handed mass matrix M R , namely
a, b, c are not known, and 0(1) indicates a 3x3 matrix with unknown coefficients,
but of the order of unity (as, for instance, typical Clebsh-Gordan coefficients are).
It is rather remarkable that a, b, c have no role in the light neutrino mass matrix,
assuming that it is determined by these contributions (see-saw model [14]):
M ~ -MvMi/ M~ = diag[c, 1, 1] x 0(1) x diag[c, 1, 1]

mjl. 2 () (7)
h c '" -
were '" sm c.
mT
We estimated the relevant matrices using the rules: 0(1) x 0(1) = 0(1) and
0(1)-1 = 0(1).
Indeed, one can produce even simpler arguments in favor of this ansatz. Here
are two possibilities:
1) Even if one postulates that the leading contribution to neutrino masses does
not come from the see-saw mechanism, but instead from the vacuum expectation
value of triplet ..1:
1 ..1 I
[, E 2Vi X M t1 U' (..1) X Vi + h.c.
one can apply the same argument. Of course the matrix Mt1 is strictly speaking
unknown, but one can reasonably suggest that it is controlled by the same mech-
anism that controls the Yukawa couplings, and conclude in these hypotheses:
M ~ Mt1 = diag[c, 1, 1] x 0(1) x diag[c, 1, 1]

(8)
[same € as in (7)],
see [15], and the contribution of E. Ma for this conference.

2) Let us forget any specific mechanism that originate neutrino masses. Also,
let us avoid commitments on quarks, and focus just on the charged and neutral
lepton masses (though, it might be a pity to abandon an unified/quark-lepton
context). In order to reconcile the hierarchy of the former mass matrix and the
(presumable) absence of hierarchy of the latter, one comes again to the ansatz
above, which can be eventually regarded as a wise choice of powers of € (maybe
due to the effect of Froggatt-Nielsen U(I) charges [16]).
4.2 Predictions, Problems, and a Test with Supernova Neutrinos

This ansatz comes with some phenomenological problems, but also with a lot of
interesting predictions, that have been summarized in table 1 for easiness of ref-
erence. Among other interesting implications: 1) the "leptogenesis" mechanism
can work, as proven in [18]; 2) the transition J.L --+ wy is expected to take place
in supersymmetric models with a branching ratio> 10- 14 [20]; and other ones
(e.g. implications for proton decay, still under study).
In our view, one ofthe most impressive point is the prediction that IUd rv 19 13
is small but not negligible (few degrees). It might be hard to test this in terrestrial
experiments without dedicated setups; one chance could come instead from the
© Large mixing vJJ.v r ;
© Small c; '19 13 '"
© Mass scale '" J .::1m~tm

'" (H)2 / (6 X 10 14 ) GeV
® Generically, presence of a non-hierarchical

"dominant block"; =,not = typically
- -
(if solved, next considerations apply).
© Large mixing in "solar block" possible;

© MSW mechanism can work;
© mVe '" J .::1m;ol '" 10 meV;
m1 '"
© M J .::1m~tm x c (very small).

ee '"
2
Table 1. See [13], [17], [18J and [19J for more details and relevant informations
observation of a galactic supernova. In fact, due to MSW effect in the mantle

of the supernova, 'l9 13 causes an interchange of V e and VJ.L,T (almost thermalized)
neutrino bursts. The question becomes whether a sizeable heating of ve's can be
revealed. Perhaps, this is possible in large Cerenkov detectors due to the reaction
lie + 16 0 -t e + 16F (partially directional: dN/ d cos Be <X 1 - 1/3 cos Be) which is
irrelevant to solar neutrinos due to Q = -15.4 MeV, but which gives a sensitive
response in the range of energies under discussion [21].
5 Summary
Some of the pending questions can be formulated as regarding the size of one
parameter (that, for what we know at present, might be very little):
. {IMeel =7 « 0.3 -1 eV),

non-oscillation mile =7 « 2.2 - 2.8 eV),
c.
'>J -?
-.,
'l9so1 - 45° =7 « a for MSW mechanism to work best),

l'l9 atm - 45°1 =7 « 10°),
oscillations
{ 'l9reactor =7 « 10°),
6cp =7.
The first two parameters (the dimensionful ones) can be compared with the scales
of masses listed in (2), but one should recall 1) the existence of another scale,
m1, whose value is unknown; 2) that the relation can be modified drastically,
for instance, by mixing angles (this depends on the assumed spectrum).
Quite important, we need to know whether we have to release the hypoth-

esis that there are only three light neutrinos. Solar neutrino studies at Super-
Kamiokande and SNO might have an important impact on the global interpre-
tation of the data (and hence on this question) quite soon, but the common lore
is that only after dedicated experiments like MiniBOONE, a clear reassessment
of the status of 4 neutrino schemes will become possible.
In summary, important questions like "what is the weight of neutrinos" or
"what is the nature of their masses" or "how the neutrino mass spectrum looks
like" or "how many light neutrinos are involved in oscillations" are, strictly
speaking, unanswered; their clarification will be the target of future efforts.
Theory can suggest answers for (some of) the pending questions; but to check
whether they are correct is another story... Surely, one should not forget that
the healthy state of neutrino physics is largely due to the importance of its
experimental moment.
Note Added
Here we comment on some works relevant to the discussion, that however ap-
peared after the talk was presented:
1) The first work is Ref. [2], which (among the other things) presents the analysis
of "neutral current enriched" data set at the Super-Kamiokande. The estima-
tions in Sec. 2.2 have been improved taking into account these new informations;
those presented at the conference were based on preliminary data and calcula-
tions (the conclusions were very similar).
2) The second is a talk of mine in the proceeding of NOW2000 conference, which,
actually, was stimulated by a comment of 1. Vergados at DARK2000, and several
discussions with Ch. Weinheimer at this conference and later. I improved Sect.
3.2 taking into account these suggestions and developments.
3) The last work is Ref. [19]. There it was performed a statistical analysis of the
model presented in Sect. 4, in the assumptions that:
• the coefficients order unity have random phases;
• the mass matrix is dominated by the see-saw contribution.
It turns out that both large- and small-angle MSW solutions are possible. Rather
frequently, sizeable hierarchies in the neutrino mass matrices are found (which is
to a certain extent necessary for the small-angle solution). However, this conclu-
sion depends on the "see-saw" assumption; if alternatively one postulates that
the "triplet" mechanism gives the dominating contribution to the neutrino mass
matrix (8), much weaker hierarchies have to be expected, and large-angle MSW
solutions are favored over the other ones.
I thank Prof. H.V. Klapdor-Kleingrothaus for creating the occasion of this beau-
tiful meeting and for kind support, and all the Participants (especially P. Belli,
A. Bottino, D. Fargion, N. Fornengo, E. Ma, H. Minakata, T. Montaruli, P.
Salucci, O. Suvorova, J.W.F. Valle, 1. Vergados, Ch. Weinheimer) for informa-
tive and pleasant discussions.
References
1. A. y. Smirnov, D. N. Spergel and J. N. Bahcall, "Is large lepton mixing excluded?,"
Phys. Rev. 049, 1389 (1994).
2. S. Fukuda et al. [Super-Kamiokande Collaboration), "Tau neutrinos favored over
sterile neutrinos in atmospheric muon neutrino oscillations," hep-ex/0009001.
3. B. Pontecorvo, Zh. Eksp. Teor. Fiz. 33 549 (1957); Z. Maki, M. Nakagawa and
S. Sakata, Prog. Theor. Phys. 28 870 (1962); V.N. Gribov and B. Pontecorvo,
Phys. Lett. B28 493 (1969).
4. L. Wolfenstein, "Neutrino oscillations in matter," Phys. Rev. 017, 2369 (1978).
5. S. P. Mikheev and A. Y. Smirnov, "Resonance enhancement of oscillations in matter
and solar neutrino spectroscopy," Sov. J. Nucl. Phys. 42, 913 (1985); S. P. Mikheev
and A. Y. Smirnov, Nuovo Cim. 9C, 17 (1986).
6. M. Doi et al., Phys. Lett. BI02, 323 (1981).
7. C. Weinheimer et al., Phys. Lett. B460, 219 (1999); J. Bonn et al., Phys. Atom.
NucL 63, 969 (2000).
8. Section on ~ in D.E. Groom et aL, The European Physical Journal C15, 1 (2000).
9. S. M. Bilenkii, C. Giunti and W. Grimus, Eur. Phys. J. Cl (1998) 247.
10. W. Furry, Phys. Rev. 56 1184 (1939).
11. G. L. Fogli, E. Lisi, D. Montanino and A. Palazzo, hep-ph/0008012.
12. M. Apollonio et al., Phys. Lett. B466 (1999) 415.
13. J. Sato and T. Yanagida, Phys. Lett. B430, 127 (1998); T. Yanagida and J. Sato,
"Large lepton mixing in seesaw models: Coset-space family unification," in Pro-
ceeding of Neutrino 98, Nucl. Phys. Proc. SuppL 77, 293 (1999)
14. T. Yanagida, in "Proceeding of the workshop on unified theory and baryon number
in the Universe", KEK, March 1979, eds. O. Sawada and A. Sugamoto; M. Gell-
Mann, P. Ramond and R. Slansky, in "Supergravity", Stony Brook, Sept 1979, eds.
D. Freedman and P. van Nieuwenhuizen. See also S. Weinberg, Phys. Rev. Lett.
43, 1566 (1979) and Georgi and Nanopoulos, as quoted there.
15. R.N. Mohapatra and G. Senjanovic, Phys. Rev. 023, 165 (1981), C.S. Aulakh,
B. Bajc, A. Melfo, A. RaSin and G. 8enjanovic, "80(10) theory of R-parity and
neutrino mass," hep-ph/0004031 and ref's therein.
16. C. D. Froggatt and H. B. Nielsen, "Hierarchy of quark masses, Cabibbo angles and
CP violation," Nucl. Phys. B147, 277 (1979).
17. F. Vissani, JHEP 9811, 025 (1998) and "Aspects of CP violation in the leptonic
sector", in Proceeding of Physics and detectors for DAipNE, Eds. S. Bianco et al.,
page 337 (Nov 99)
18. W. Buchmiiller and T. Yanagida, "Quark lepton mass hierarchies and the baryon
asymmetry," Phys. Lett. B445, 399 (1999).
19. J. Sato and T. Yanagida, "Low-energy predictions of lopsided family charges,"
hep-ph/0009205.
20. W. Buchmiiller, D. Delepine and F. Vissani, Phys. Lett. B459, 171 (1999).
21. G. Dutta, D. Indumathi, M. V. Murthy and G. Rajasekaran, Phys. Rev. 061,
013009 (2000) (see in particular table I therein).
Neutrino Masses and Leptogenesis
from R Parity Violation
Ernest Ma
University of California, Riverside CA 92521,USA
Abstract. In R parity violating supersymmetry (conserving baryon number B but

violating lepton number L), Majorana neutrino masses may arise at tree level, in one
loop, and in two loops. The L violating interactions work together with the B+L violat-
ing electroweak sphalerons to erase any preexisting B or L asymmetry of the Universe.
To have successful leptogenesis nevertheless, a specific scenario is proposed. [1]
1 Introduction
In the minimal Standard Model, leptons appear under SU(3)c x SU(2)L x U(l)y
°
as left-handed doublets (Vi, li)L "-' (1,2, -1/2) and right-handed singlets liR "-'
(1,1, -1), but there is no ViR "-' (1,1,0). Hence any m v =1= must necessarily
come from the effective operator [2J
~(Vi4)O -li¢+)(Vj¢O -lj¢+), (1)
where (¢+, ¢O) "-' (1,2,1/2) is the usual Higgs scalar doublet. The structure
of this operator clearly shows that any Majorana neutrino mass is seesaw in
character, i.e. of the form v 2 divided by an effective heavy mass, where v is
the vacuum expectation value (VEV) of ¢o as the electroweak gauge symmetry
SU(2)L x U(l)y is broken down to U(l)Q. Different models of neutrino mass
are merely different realizations [3J of this operator.
2 Canonical Seesaw and Higgs Triplet Mechanisms

for Neutrino Masses and Leptogenesis
The most famous mechanism for getting a small m v is the canonical seesaw [4J
where a heavy singlet neutral fermion N is inserted between the two factors of
Eq. (1) with a large Majorana mass mN. Hence one may read off the neutrino
mass as m v = IdjV 2 /mN. An equally simple and natural mechanism [5] is to
realize Eq. (1) with a heavy Higgs scalar triplet (~++, ~+, ~O) with couplings lij
to 2 lepton doublets and j.L to 2 Higgs doublets. The neutrino mass matrix is
then given by 2f;jj.Lv 2 /mr This may be interpreted also as ViVj coupling to the
VEV of ~o , which shows clearly the important point that it is possible as well
as natural for (~O) to be very much less than m~.
Both of these two simple neutrino-mass mechanisms are also ideal for lepta-
genesis. The heavy singlet neutral fermion N may decay into e- ¢+ with lepton
Ernest Ma 449
number L = 1 or e+ ¢- with L =
-1. With 2 or more N's, the one-loop cor-
rections (involving both vertex and self-energy graphs) allow for CP violation in
their interference with the tree graph, and may generate [6] a lepton asymmetry
of the Universe if the decay of the lightest N occurs out of thermal equilibrium
as the Universe expands and cools. The heavy ~++ may decay into e+e+ with
L = - 2 or ¢+ ¢+ with L = O. Again, with 2 or more fs, the one-loop (self-energy
only) graph allows for CP violation and creates [5] a lepton asymmetry, Le.
jA + iBjZ -IA* + iB*l z = 4Im(AB*). (2)
3 R Parity Violating Supersymmetry

and Neutrino Masses
I now come to my main topic which is the generation of neutrino masses through
R parity violation in supersymmetry [7]. The well-known superfield content of
the Minimal Supersymmetric Standard Model (MSSM) is given by
Qi = (Ui, dih '" (3,2, 1/6), u~ '" (3*,1, -2/3), d~ '" (3*,1,1/3), (3)
L i = (Vi, lih '" (1,2, -1/2), l~ '" (1,1,1); (4)
Hl = (h~, hI) '" (1,2, -1/2), Hz = (ht, hg) '" (1,2,1/2). (5)
Given the above transformations under the standard SU(3) x SU(2) x U(I)
gauge group, the corresponding superpotential should contain in general all
gauge-invariant bilinear and trilinear combinations of the superfields. However,
to forbid the violation of both baryon number B and lepton number L, each
particle is usually assigned a dicrete R parity
R == (_1)3B+L+Zj, (6)
which is assumed to be conserved by the allowed interactions. Hence the MSSM
superpotential has only the terms H1H z , H1Lil'j, H1Qid'j, and HzQiU'j. Since
the superfield vf ,. . , (1,1,0) is absent, m v = 0 in the MSSM as in the minimal
Standard Model. Neutrino oscillations [8-10] are thus unexplained.
Phenomenologically, it makes sense to require only B conservation (to make
sure that the proton is stable), but to allow L violation (hence R parity violation)
so that the additional terms LiHz , LiLjlf., and LiQjdf. may occur. Note that
they all have J1L = 1. Neutrino masses are now possible [11] with Eq. (1) realized
in at least 3 ways.
The first way is to use the bilinear terms
-J1.H1H z + €iLiH z , (7)

from which a 7 x 7 neutralino-neutrino mass matrix is obtained:
Ml 0 -glVl glVZ -glUi
0 Mz gZVl -gzvz gZUi
MN= -glVl gzVl 0 -J.L 0 (8)
glVZ -gzvz -J.L 0 €i
-glUi gZUi 0 €i 0
450 Leptogenesis from R Parity Violation
where V1,2 (h~,2) /2 and Ui = (Vi) /2, with i = e, J.L, r. Note first that both
to;and Ui are nonzero in general. Note also that even if U;ftOi is not the same
for all i, only one linear combination of the three neutrinos gets a tree-level
mass. In terms of the effective operator of Eq. (1), this is a tree-level realization
with Vi mixing with h~ (through tOi/ J.L) which then connects with (h~) and a
linear combination of the SU(2)y and U(I)y gauginos. The latter has a soft
supersymmetry breaking Majorana mass and acts just like N in generating a
small mil' Specifically,
(9)
m
lli
= - 82M 1M 2J.L2 - 2g~V1V2J.L(C2M1 + 82M 2)'
where 8 == sin Ow and c == cos Ow.
The second way is to use the trilinear terms, from which neutrino masses
are obtained [11] as one-loop radiative corrections. Note that these occur as the
result of supersymmetry breaking and are also suppressed by m~ or m~. A typical
graph connects Vi and Vj through the intermediate states (b, be) and W, b) which
are linked by 2 (h~)'s, as required by Eq. (1). Here
2
m '" 3>.'2 Am b (10)
II 1671"2 m~ .
b
For mil '" 0.05 eV, this implies>.' > 10- 4 for mVA > 100 GeV.
The third way is to recognize the fact that the sneutrino V may have a
"Majorana" mass term, Le. m 2 vv + h.c., in addition to the usual "Dirac" mass
term, i.e. M 2 ii*ii. This leads inevitably [12] to mil ::f:. 0, but the effect occurs in
two loops and is usually negligible. An interesting exception is in the case of the
specific leptogenesis scenario [1] to be discussed below.
4 R Parity Violating Supersymmetry and Leptogenesis
As noted earlier, the R parity violating interactions have J1L = 1. Furthermore,

the particles involved have masses at most equal to the supersymmetry breaking
scale, Le. a few TeV. This means that their L violation together with the B + L
violation by sphalerons [13] would erase any primordial B or L asymmetry of the
Universe [14]. To avoid such a possibility, one may reduce the relevant Yukawa
couplings to less than about 10- 7 , but a typical minimum value of 10- 4 (see
previous section) is required for realistic neutrino masses. Hence the existence of
the present baryon asymmetry of the Universe is unexplained if neutrino masses
originate from these J1L = 1 interactions. This is a generic problem of all models
of radiative neutrino masses where the L violation can be traced to interactions
occuring at energies below 1013 GeV or so.
Once the notion of R parity violation is introduced, there are many new
terms to be added in the Lagrangian. Some may be responsible for realistic
neutrino masses and may even participate in the erasure of any primordial B
or L asymmetry of the Universe, but others may be able to produce a lepton
Ernest Ma 451
asymmetry [15] on their own which then gets converted into the present observed
baryon asymmetry of the Universe through the sphalerons.
3~:4]
Consider the usual 4 x 4 neutralino mass matrix in the (B, W3 , h~, hg) basis:
[-sm3
sm4
~l ~2
cm3
-cm4
-C: 0
-J.L
-J.L'
0
(11)
where m3 = =
M z cos{3, m4 = Mz sin{3, and tan{3 V2/Vl' The above assumes
that ti and Ui are negligible in Eq. (8), which is a good approximation because
neutrino masses are so small. I now choose the special case of
(12)
As a result, the two higgsinos h~,2 form a heavy Dirac particle of mass J.L and
the other two less heavy Majorana fermion mass eigenstates are
- - sc8rl-
B' ::: B +M M W3 + ..., (13)
1 - 2
- - sc8r2-
W~ ::: W 3 - M
1-
M B
2
+ ..., (14)
where 8 = M~ sin 2{3/ J.L, and

(15)
I now observe that whereas B couples to both lLlL and lili, W3 couples only
to ILh because It is trivial under SU(2h. On the other hand, R parity violation
implies that there is [L - h- mixing as well as l'i - h+ mixing. Therefore, both
B' and W~ decay into l±h~ and may be the seeds of a lepton asymmetry in such
a scenario.
Let the lL - h- mixing be very small (which is a consistent assumption for
realistic neutrino masses from bilinear R parity violation). Then W~ decays only
through its B component. Hence the decay rate of the LSP (Lightest Super-
symmetric Particle), i.e. W~, is very much suppressed, first by 8 and then by
the li - h+ mixing which will be denoted by f This construction is aimed at
satisfying the out-of-equilibrium condition:
(16)
at the temperature T "" M 2 , where H is the Hubble expansion rate of the
Universe with g. the effective number of massless degrees of freedom and M pl
the Planck mass. This implies
( M~18h
1 -M2
) 2 ~ < 1.9 x
M2
1O-14GeV-1, (17)
where g* = 10 2 and M p1 = 10 18 GeV.

The lepton asymmetry generated from the decay of W~ has both vertex and
self-energy loop contributions from the insertion of iJl. However, the coupling of
iJ' to l±h~ is suppressed only by ~ and not by 8, thus a realistic asymmetry may
be established if ~ is not too small. Let x == Mi /Mf, then the decay asymmetry
of W~ is given by
€ =
ae
Im8 2 y'Xg(x)
, (18)
2 cos 2 Ow 181 2 1 - x
where
g(x) = 1 + 2(1 x- x) [(1-x-
+ x) In(l + x) - 1], (19)
and Im8 comes from the relative phase between M 1 and M 2 .

At T < M 2 , a lepton asymmetry may start to appear, but there are also
reactions which destroy it: (I) recombination (inverse decay), i.e.
l± + h~ -t W~ (weak), l± + h~ -t iJ' (strong); (20)
(II) scattering, i.e. l± + h~ -t l~ + h± with W~ (negligible) and iJl (weak) as

intermediate states; and (III) annihilation, i.e. W+W -t W +W which is Land
R conserving (weak). The Boltzmann equations must then be numerically solved
to see if a lepton asymmetry (€L = nB/g*n'Y) of order 10- 10 can be generated
for a given set of input parameters. The choice of values for M1 and M2 is crucial
for this purpose, because the inverse decay of iJl is capable of depleting €L by
several orders of magnitude. For example, if M 1 = 3 TeV and M 2 = 2 TeV, then
€L ....., 10- 14 .
Two scenarios which work are [1]
(A) M 2 = 3.5 TeV, M1 = 6 TeV, J.L = 10 TeV,

~ = 5 X 10- ,3
sin 2,8 = 0.10, mh = 200 GeV; (21)
(B) M2 = 2 TeV, M 1 = 5 TeV, J.L = 7.5 TeV,
~ = 5 X 10- 3 , sin 2,8 = 0.05, mh = 200 GeV. (22)
Hence realistic leptogenesis is possible if ~ ....., 10- 3 can be obtained. This is

actually not so easy because the origin of i'i - h+ mixing in R parity violation
is usually the term H1 Lle, which is very small because (ii) has to be very small.
To obtain ~ ....., 10- 3 , it is necessary to add the nonholomorphic [16J term HJH1 ie
which is generally unconstrained. In the presence of this new term, the sneutrino
ii also gets a "Majorana" mass of order 100 MeV, which then allows m v to be
of order 10- 3 eV in 2 loops.
5 Conclusion
• In supersymmetry with L violation (hence R parity violation), realistic neu-

trino masses are obtained at 0, 1, and 2 loops.
Ernest Ma 453
• Successfulleptogenesis is possible in a specific scenario:

(1) LSP is mostly W3 ,
(2) gaugino masses M 1 and M 2 have a relative phase,
(3) lL - h- mixing is negligible,
(4) lR - h- mixing is 0(10- 3 ) from the nonholomorphic HJH1lc term.
Acknowledgments
I thank Hans Klapdor and the other organizers of Dark 2000 for their great hos-
pitalityat Heidelberg. This work was supported in part by the U. S. Department
of Energy under Grant No. DE-FG03-94ER40837.
References
1. T. Hambye, E. Ma, and U. Sarkar, Phys. Rev. D62, 015010 (2000); hep-
ph/0006173 (Nucl. Phys. B, in press).
2. S. Weinberg, Phys. Rev. Lett. 43, 1566 (1979).
3. E. Ma, Phys. Rev. Lett. 81, 1171 (1998).
4. M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity, edited by P. van
Nieuwenhuizen and D. Z. Freedman (North-Holland, Amsterdam, 1979), p. 315;
T. Yanagida, in Proceedings o/the Workshop on the Unified Theory and the Baryon
Number in the Universe, edited by O. Sawada and A. Sugamoto (KEK Report No.
79-18, Tsukuba, Japan, 1979), p. 95; R. N. Mohapatra and G. Senjanovic, Phys.
Rev. Lett. 44, 912 (1980).
5. E. Ma and U. Sarkar, Phys. Rev. Lett. 80, 5716 (1998); E. Ma, M. Raidal, and
U. Sarkar, hep-ph/0006046.
6. M. Fukugita and T. Yanagida, Phys. Lett. 174B, 45 (1986).
7. L. Hall and M. Suzuki, Nucl. Phys. B231, 419 (1984).
8. Y. Fukuda et al., Phys. Lett. B433, 9 (1998); B436, 33 (1998); Phys. Rev. Lett.
81, 1562 (1998); 82, 2644 (1999).
9. R. Davis, Prog. Part. Nucl. Phys. 32, 13 (1994); Y. Fukuda et al., Phys. Rev.
Lett. 77, 1683 (1996); 81, 1158 (1998); 82, 1810, 2430 (1999); P. Anselmann et
al., Phys. Lett. B357, 237 (1995); Erratum: B361, 235 (1996); J. N. Abdurashitov
et al., Phys. Lett. B328, 234 (1994); Phys. Rev. Lett. 83, 4686 (1999).
10. C. Athanassopoulos et al., Phys. Rev. Lett. 75,2650 (1995); 77,3082 (1996); 81,
1774 (1998).
11. R. Hempfling, Nucl. Phys. B478, 3 (1996); F. M. Borzumati, Y. Grossman, E.
Nardi, and Y. Nir, Phys. Lett. B384, 123 (1996); H.-P. Nilles and N. Polonsky,
Nucl. Phys. B484, 33 (1997); E. Nardi, Phys. Rev. D55, 5772 (1997); M. A.
Diaz, J. C. Romao, and J. W. F. Valle, Nucl. Phys. B524, 23 (1998); M. Drees,
S. Pakvasa, X. Tata, and T. ter Veldhuis, Phys. Rev. D57, R5335 (1998); B.
Mukhopadhyaya, S. Roy, and F. Vissani, Phys. Lett. B443, 191 (1998); E. J.
Chun, S. K. Kang, and C. W. Kim, Nucl. Phys. B544, 89 (1999); R. Adhikari and
G. Omanovic, Phys. Rev. D59, 073003 (1999); O. C. W. Kong, Mod. Phys. Lett.
A14, 903 (1999); S. Rakshit, G. Bhattacharyya, and A. Raychaudhuri, Phys. Rev.
D59, 091701 (1999); K. Choi, E. J. Chun, and K. Hwang, Phys. Rev. D60, 031301
(1999); S. Y. Choi, E. J. Chun, S. K. Kang, and J. S. Lee, Phys. Rev. D60, 075002
(1999); L. Clavelli and P. H. Frampton, hep-ph/9811326; D. E. Kaplan and A. E.

Nelson, J. High Energy Phys. 0001, 033 (2000); A. S. Joshipura and S. Vempati,
Phys. Rev. D60, 111303 (1999); Y. Grossman and H. E. Haber, hep-phj9906310;
G. Bhattacharyya, H.-V. Klapdor-Kleingrothaus, and H. Pas, Phys. Lett. B463,
77 (1999); A. Abada and M. Losada, hep-phj9908352; O. Haug, J. D. Vergados,
A. Faessler, and S. Kovalenko, Nuc!. Phys. B565, 38 (2000); J. C. Romao, M. A.
Diaz, M. Hirsch, W. Porod, and J. W. F. Valle, Phys. Rev. D61, 071703 (2000);
E. J. Chun and S. K. Kang, Phys. Rev. D61, 075012 (2000); F. Takayama and
M. Yamaguchi, Phys. Lett. B476, 116 (2000); C.-H. Chang and T.-F. Feng, Eur.
Phys. J. C12, 137 (2000); O. C. W. Kong, hep-ph/0004107; M. Hirsch, M. A.
Diaz, W. Porod, J. C. Romao, and J. W. F. Valle, hep-phj0004115; S. Davidson
and M. Losada, hep-ph/0005080.
12. M. Hirsch, H.-V. Klapdor-Kleingrothaus, and S. Kovalenko, Phys. Lett. B398,
311 (1997).
13. V. A. Kuzmin, V. A. Rubakov, and M. E. Shaposhnikov, Phys. Lett. 155B, 36
(1985).
14. B. A. Campbell, S. Davidson, J. E. Ellis, and K. Olive, Phys. Lett. B256, 457
(1991); W. Fischler, G. F. Giudice, R. G. Leigh, and S. Paban, Phys. Lett. B258,
45 (1991); H. Dreiner and G. G. Ross, Nuc!. Phys. B410, 188 (1993); J. M. Cline,
K. Kainulainen, and K. A. Olive, Phys. Rev. D49, 6394 (1994); E. Ma, M. Raidal,
and U. Sarkar, Phys. Lett. B460, 359 (1999).
15. M. Flanz, E. A. Paschos, and U. Sarkar, Phys. Lett. B345, 248 (1995); Erra-
tum: B382, 447 (1996); M. Flanz, E. A. Paschos, U. Sarkar, and J. Weiss, Phys.
Lett. B389, 693 (1996); W. Buchmuller and M. Plumacher, Phys. Lett. B389, 73
(1996); B431, 354 (1998); L. Covi, E. Roulet, and F. Vissani, Phys. Lett. B384,
169 (1996); L. Covi and E. Roulet, Phys. Lett. B399, 113 (1997); E. Roulet,
L. Covi, and F. Vissani, Phys. Lett. B424, 101 (1998); A. Pilaftsis, Phys. Rev.
D56, 5431 (1997); Int. J. Mod. Phys. A14, 1811 (1999); M. Flanz and E. A.
Paschos, Phys. Rev. D58, 113009 (1998); J.-M. Frere, F.-S. Ling, M. H. G. Tyt-
gat, and V. Van Elewyck, Phys. Rev. D60, 016005 (1999); R. Rangarajan and H.
Mishra, Phys. Rev. D61, 043509 (2000); R. Barbieri, P. Creminelli, A. Strumia,
and N. Tetradis, Nucl. Phys. B575, 61 (2000); G. Mangano and G. Miele, hep-
phj9912471; O. Lalakulich, E. A. Paschos, and M. Flanz, Phys. Rev. D62, 053006
(2000).
16. L. J. Hall and L. Randall, Phys. Rev. Lett. 65, 2939 (1990); F. Borzumati, G. R.
Farrar, N. Polonsky, and S. Thomas, Nuc!. Phys. B555, 53 (1999).
Shadows of Relic Neutrino Masses and Spectra
on Highest Energy GZK Cosmic Rays
D.Fargion,1 M.Grossi, P.G.De Sanctis Lucentini, C.Di Troia, R.V.Konoplich 2
1 Physics Department and INFN , Rome University 1,

Pl.A.Moro 2, 00185, Rome, Italy
2 Physics Dept.New York University,N.Y.,USA
Abstract. The Ultra High Energy (UHE) neutrino scattering onto relic cosmic neu-
trinos in galactic and local halos offers an unique way to overcome GZK cut-off. The
UH E v secondary of UH E photo-pion decays may escape the G Z K cut-off and travel
on cosmic distances hitting local light relic neutrinos clustered in dark halos. The Z
resonant production and the competitive W+W-, ZZ pair production define a charac-
teristic imprint on hadronic consequent UHECR spectra. This imprint keeps memory
both of the primary UH E v spectra as well as of the possible relic neutrino masses
values, energy spectra and relic densities. Such an hadronic showering imprint should
reflect into spectra morphology of cosmic rays near and above GZK (10 19 - 10 21 eV)
cut-off energies. A possible neutrino degenerate masses at eV s or a more complex
and significant neutrino mass split below or near Super-Kamiokande !::"m VSK ,..., O.leV
masses might be reflected after each corresponding Z peak showering, into new twin un-
expected UHECR flux modulation behind GZK energies: E p ,..., 3 (t:."::v
SK
) .10 21 eV.
Other extreme shadows of lightest, nearly massless, neutrinos m V2K ~ O.OOleV ~ kTv ,
their lowest relic temperatures, energies and densities might be also reflected at even
m;;K)
higher energies edges near Grand Unification: E p ,..., 2.2 ( .10 23 eV.
1 Introduction
Modern astra-particle physics face the old standing problem of dark matter na-
ture in galaxies up to cosmic scales. Neutrino with a light mass may playa rele-
vant role in solving the puzzle within a hot-cold dark matter (HCDM) scenario.
Moreover, at the edge of highest energy astrophysics, the main open question
regards the nature of highest (Ultra High Energy, UHE) cosmic rays above the
Greisen Zatsepin Kuzmin cut-off (~ 4 . 10 19 eV).
These rare events almost in isotropic spread are probably originated by blazars
AGN, QSRs or GRBs in standard scenario, and they should not come, if orig-
inally of hadronic nature, from large distances because of the electromagnetic
"dragging friction" of cosmic 2.75 K BBR and of the lower energy diffused inter-
galactic radio backgrounds. Indeed as noted by Greisen, Zatsepin and Kuzmin
[1], [2], proton and nucleon mean free path at E > 5.10 19 EeV is less than 30
Mpc and asymptotically nearly ten Mpc.; also gamma rays at those energies
have even shorter interaction length (10 Mpc) due to severe opacity by electron
pair production via microwave and radio background interactions [3] . Neverthe-
less these powerful sources (AGN, Quasars, GRBs) suspected to be the unique
456 Daniele Fargion et al.
source able to eject such UHECRs, are rare at nearby distances ((~ 10+20 Mpc)
as for nearby M87 in Virgo cluster); moreover there are not nearby AGN in the
observed UHECR arrival directions. Strong and coherent galactic (Biermann
1999-2000) or extragalactic (Farrar and Tvi Piran 1999-2000) magnetic fields,
able to bend such UHECR (proton, nuclei) directions are not really at hand.
The needed coherent lengths and strength are not easily compatible with known
cosmic data on polarized Faraday rotation. Finally in latter scenario the same
contemporaneous ultra-high energy ZeV neutrons born, by photo-pion produc-
tion on BBR, may escape the magnetic fields bending and should keep memory
of the primordial nearby ( let say M87) arrival direction, leading to (unobserved)
in-homogeneities toward the primary source. Finally secondaries EeV photons
(by neutral pion decays) should also abundantly point and cluster toward the
same nearby AGN sources [4],[5] contrary to (never observed) AGASA data.
Another solution of the present GZK puzzle, the Topological defects (TD), as-
sumes as a source, relic heavy particles of early Universe; they are imagined
diffused as a Cold Dark Matter component, in galactic or Local Group Halos .
Nevertheless the T D fine tuned masses and ad-hoc decays are unable to explain
the growing evidences of doublets and triplets clustering in AGASA UHECR
arrival data. In this scenario there have been recent suggestions and speculations
[6] for an unexpected population of such 500 compact dark clouds of 108 M G ,
each one· made by such dark T D clusters, spread in our galactic halo ; they
are assumed, nevertheless, not correlated to luminous known galactic halo, disk,
globular clusters and center components. We found all these speculations un-
natural and not plausible. On the other side there are possible evidences of
correlation between UHECR arrival directions with far Compact Radio Loud
Quasar at cosmic distance (above GZK cut-off) ( Amitabh 2000).
Therefore the solution of UHECR puzzle based on primary Extreme High En-
ergy (EHE) neutrino beams(from AGN) at E v > 1021 eV and their undisturbed
propagation ftom cosmic distances up to nearby calorimeter made of relic light 1/
in dark galactic or local dark halo (Fargion, Salis 1997;Fargion,Mele,Salis 1999,
Weiler 1999, Yoshida et all 1998) is still, in our opinion, the most favorite con-
servative solution for the GZK puzzle. Interestingly new complex scenarios are
then opening.
2 UHE Neutrino Scattering in the Halo:

the Three Neutrino Masses, Interaction Scenarios
If relic neutrinos have a mass around an eVs they may cluster in galactic or
Local Group halos, their scattering with incoming EHE neutrinos determine
high energy particle cascades which could contribute or dominate the observed
UHECR flux at GZK edges. Indeed the possibility that neutrino share a lit-
tle mass has been reinforced by Super-Kamiokande evidence for atmospheric
neutrino anomaly via I/jL H I/T oscillation. Consequently there are at least two
main extreme scenario for hot dark halos: either I/jL , I/T are both extremely light
UHE neutrino showering 457
(m v !, ' " m VT ' " J(Llm)2 '" 0.07 eV) and therefore hot dark neutrino halo is very
wide, possibly degenereted (Gelmini 2000) and spread out to local group clus-
tering sizes (increasing the radius but loosing in the neutrino density clustering
contrast), or vlJ.' V r have degenerated (eV masses) split by a very tiny different
value.
In the latter fine-tuned neutrino mass case (m v '" O.4eV -1.2eV) (see Fig,2 and
Fig.3) the Z peak viir interaction (Fargion, Salis 1997jFargion,Mele,Salis 1999,
Weiler 1999, Yoshida et all 1998) will be the favorite one while in the second case
for heavier non constrained neutrino mass (m v ~ 5eV) only a vii r -+ W+W-
(Fargion,Mele,Salis 1999), and the additional viir -+ ZZ interactions,(see the
cross-section in Fig.l) considered here for the first time, will be the only ones
able to solve the GZK puzzle. Indeed the relic neutrino mass within HDM mod-
els in galactic halo near m v '" 4eV , corresponds to a "lower" and Z resonant
incoming energy
This resonant incoming neutrino energy is able to shower only a small energy
fraction into nucleons (p,p,n,fi), (see Tab.l below), at energies E p quite below
GZK cut-off (see Tab.2 below).
E p = 2.2 ( 4eV ) .10 19 eV.

Jm v 2 +P~
We usually may consider cosmological relic neutrinos in Standard Model at
non relativistic regime neglecting Pv term. However, at lightest mass values the
momentum may be comparable to the relic mass; moreover the spectra may re-
flect unexpected relic neutrino black bodies or gray body at energies much above
the neutrino mass. Indeed there may be exist, within or beyond Standard Cos-
mology, a relic neutrino component due to stellar,Super Nova,GRBs,AGN activ-
ities red-shifted into a present KeV-eV relic neutrino grey-body energy spectra.
Therefore it is worth-full to keep the most general mass and momentum term in
the relic neutrino energy.
As we noticed above, relic neutrino mass above a few eVs in HDM halo are
not consistent with Z peak; higher energies interactions ruled by WW,[19],[9]
ZZ cross-sections may nevertheless solve the GZK cut-off. In this regime there
will be also possible to produce by virtual W exchange, t-channel, UH E lepton
pairs, by viiij -+ LJj , leading to additional electro-magnetic showers injection.
The hadronic tail of the Z or W+W- cascade is the source of final nucleons
p,p, n, fi able to explain UHECR events observed by Fly's Eye and AGASA [14]
and other detectors. The same viir interactions are source of Z and W that decay
in rich shower ramification. The electro-magnetic showering will be discussed
in detail else-where [13]. The average energy deposition for both gauge bosons
among the secondary particles is summarized in Table 1
Table 1. Total Energy percentage distribution into neutrino, gamma, electron pairs
particles (from Z and WW, ZZ as well as t-channel W decay), before energy losses.
These UHE photons are mainly relics of neutral pions. Most of the 1 radiation will
be degraded around PeV energies by 11 pair production with cosmic 2.75 K BBR, or
with cosmic radio background. The electron pairs instead, are mainly relics of charged
pions and will rapidly lose energies into synchrotron radiation
Z W-t-W t-channel
58 % 55 %
II 47 %
1 21 % 21 % 4%
e+e 16 % 19 % 49 %
p 5% 5% -
Although protons (or anti-protons, as well as neutron and anti-neutrons) are

the most favorite candidate in order to explain the highest energy air shower
observed, one doesn't have to neglect the signature of final electrons and pho-
tons. In fact electron (positron) interactions with the galactic magnetic field or
soft radiative backgrounds may lead to gamma cascades and it may determine
gamma signals from Ee V, to Me V energies related to the same UHECR shower
event.
Gamma photons at energies E"{ ~ 10 20 - 10 19 eV may freely propagate through
galactic or local halo scales (hundreds of kpc to few Mpc) and could contribute
to the extreme edges of cosmic ray spectrum [11][13].
The ratio of the final energy flux of nucleons near the Z peak resonance, Pp
over the corresponding electro-magnetic energy flux 4>em ratio is, as in tab.1
e+ e-, 1 entrance, nearly . . . , ~. Moreover if one considers at higher Ell energies,
the opening of WW, ZZ channels and the six pairs lIeVJ1.' IIJ1.VTJ lIell~ (and their
anti-particle pairs) t-channel interactions leading to highest energy leptons, with
no nucleonic relics (as p,p), this additional injection favors the electro-magnetic
flux 4>em over the corresponding nuclear one 4>p by a factor . . . , 1.6 leading to
:.: . . . , /3'
This ratio is valid at WW, Z Z masses because the overall cross sec-
tion variablility is energy dependent. At center of mass energies above these
values, the :.: decreases more because the dominant role of t-channel (Fig1).
We shall focus here on Z, and WW,ZZ channels showering in hadrons while their
main consequent electro-magnetic showering will be discussed elsewhere [13].
Extragalactic neutrino cosmic rays are free to move on cosmic distances up

our galactic halo without constraint on their mean free path, because the in-
teraction length with cosmic background neutrinos is greater than the actual
Hubble distance . A Hot Dark Matter galactic or local group halo model with
relic light neutrinos (primarily the heaviest liT or IIJ1.) [9], acts as a target for
the high energy neutrino beams. The relic number density and the halo size are
large enough to allow the IIl1re lic interaction. As a consequence high energy par-
ticle showers are produced in the galactic or local group halo, overcoming the
GZK cut-off [9J. There is an upper bound density clustering for very light Dirac
fermions due to the maximal Fermi degenerancy whose adimensional density
contrast is fJp ex: m~, [7],[9], while the neutrino free-streaming halo grows only
as ex: m~l. Therefore the overall interaction probability grows ex: m~, favoring
heavier non relativistic (eVs) neutrino masses. Nevertheless the same lightest
relic neutrinos may share higher Local Group velocities (thousands Ksm) or even
nearly relativistic speeds and it may therefore compensate the common bound:
_ 10 3( n Vi ) ( mi )3 ( VVi ) 3 ()
n Vi - 54cm- 3 O.leV 2000Ksm 3
From the cross section side there are three main interaction processes that
have to be considered leading to nucleons in the of EHE and relic neutrinos
scattering.
Channel 1. The III1T -t Z -t annihilation at the Z resonance
Channel 2. 111-'111-' -t W+W- or 111-'111-' -t ZZ leading to hadrons, electrons,

photons, through Wand Z decay.
Channel 3. The lie - 111-" lie - II""-r, III-' - 1Ir and hermite conjugate interactions
of different flavor neutrinos mediated in the t - channel by the W exchange (i.e.
1I1-'1I;'r -t j..£-r+). These reactions are sources of prompt and secondary UHE
electrons as well as photons resulting by hadronic r decay.
2.1 The Process v.,.17.,. -+ Z

The interaction of neutrinos of the same flavor can occur via a Z exchange in the
s-channel (lIiVir and charge conjugated). The cross section for hadron production
in lIiVi -t Z* -t hadrons is
_ 81rs F(ZO -t invis.)F(ZO -t hadr.)
(lz (s ) - M2 (s _ M2)2 + M2 F2 (4)
Z Z Z z
where F(ZO -t invis.) ~ 0.5 GeV, F(ZO -t hadr.) ~ 1.74 GeV and Fz ~
2.49 GeV are respectively the experimental Z width into invisible products, the
Z width into hadrons and the Z full width [18] . The averaged cross section
peak reaches the value « (lz >= 4.2.10- 32 cm 2 ). We assumed here for a more
general case (non relativistic and nearly relativistic relic neutrinos) that the
averaged cross section has to be extended over an energy window comparable to
half the center of mass energy. The consequent effective averaged cross-section
is described in Fig.1 as a truncated hill curve.
A III1T interaction mediated in the s-channel by the Z exchange, shows a peculiar
peak in the cross section due to the resonant Z production at s = M~. However,
this occurs for a very narrow and fine-tuned windows of arrival neutrino energies
II. (and of the corresponding target neutrino masses and momentum VI ):
E v, = (J m v,
4:V
+ Pv,
2) 21
.10 eV. (5)
So in this mechanism the energy of the EHE neutrino cosmic ray is related
to the mass of the relic neutrinos, and for an initial neutrino energy fixed at
E v ~ 1022 eV, the Z resonance requires a mass for the heavier neutral lepton
around m v ~ O.4eV. Apart from this narrow resonance peak at ..;s = M z , the
asymptotic behaviour of the cross section is proportional to 1/ s for s » M~.
The vii -+ Z -+ hadrons reactions have been proposed by [8J [10J [l1J with
a neutrino clustering on Supercluster, cluster, Local Group, and galactic halo
scale within the few tens of Mpc limit fixed by the GZK cut-off. Due to the
enhanced annihilation cross-section in the Z pole, the probability of a neutrino
collision is reasonable even for a low neutrino density contrast fJ Pv / Pv 2: 103 . The
potential wells of such structures might enhance the neutrino local density with
an efficiency at comparable with observed baryonic clustering discussed above.
cumno- euttino a&USC boson productions: Z. W+W-. z.z. t·channcl

1e+006
- u- I
2·(ZZ)+{W+W)
100000 3- in W+W
4- Z Resonance [peak]
10000 S·Z Resonance [Average]
6-t·Ch nnel[Averaged]
7·t·Channel Mu-Tau, e-Tau
1000
8-t- hanneJ e·Mu
! 100
8
l 10
~ 6~
0.1
0.01
0,001 7
0.0001
le«)IO le«)ll le«)12 le«)14
C.m. EnefRY Ie VI
Fig. 1. The vii -+ Z, W+W-, ZZ, T-channel, cross sections as a function of the center
of mass energy in vv. These cross-sections are estimated also in average (Z) as well for
each possible t-channel lepton pairs. The averaged t-channel averaged the multiplicity
of flavours pairs v" iiJ respect to neutrino pair annihilations into Z neutral boson.
2.2 The Processes v-rv-r -+ W+W- and v-rv-;' -+ ZZ

The reactions vrvr -+ W+W- ,1Ip.vp. -+ W+W- ,lIe Ve -+ W+W-, that occurs
through the exchange of a Z boson (s channel)) [19], has been previously intro-
duced [9J in order to explain UHECR as the Fly's Eye event at 320 Eev detected
in 1991 and last AGASA data. The cross section is given by [9J
/3w 1
oww(s) = (Jasym 2; (s _ M~) {4£(s) . C(s) + D(s)} (6)
where/3w = (1-4Ma,/S)1/2, (Jasym = 2sin t ;:Ma, c:: 108.5pb,andthefunctions

£(s), C(s), D(s) are defined as
£(s) = Ma, In (S + /3w s - 2Ma,)

2/3ws s - /3ws - 2Ma,
C(s) = S2 + s(2Ma, - M~) + 2Ma,(M~ + Ma,) (7)
D(s) = 12Ma,(~ _ M~) x [s2(Mi - 60Mfy - 4M~Ma,)+

+20M~Ma,s(M~ + 2Ma,) - 48M~Mfy(M~ + Ma,)] .
This result should be compared with the additional new ZZ interaction chan-
nel considered for the first time here:
2
2 2
(JZZ = G
_M_z Y (1+JL:.){
4 In [2-(1 - -y + JG) ] - JG} (8)
47r (1 - ~) y 2
where y =~
4M aM
and ~ = 35.2 pb.
2 2 2
Their values are plotted in Fig.I. The asymptotic behaviour of these cross
section is proportional to '" (~) 2 ) for s » M~.
In (MSw
S
The nucleon arising from WW and ZZ hadronic decay could provide a reason-
able solution to the 320 Eev event puzzle. We'll assume that the fraction of
pions and nucleons related to the total number of particles from the W boson
decay is the almost the same of Z boson. So W hadronic decay (P '" 0.68) leads
on average to about 37 particles, where < n 1r o >'" 9.19, < n 1r ± >'" 17, and
< np,ji,n,n >'" 2.7. In addition we have to expect by the subsequent decays of
7r'S (charged and neutral), kaons and resonances (p, w, .,.,) produced, a flux of
secondary UHE photons and electrons.
As we already pointed out, the particles resulting from the decay are mostly
prompt pions. The others are particles whose final decay likely leads to charged
and neutral pions as well. As a consequence the electrons and photons come from
prompt pion decay.
On average it results [18] that the energy in the bosons decay is not uniformly
distributed among the particles, so that proton energy is about three times that
of the direct pions. Each charged pion will give an electron (or positron) and
three neutrinos, that will have less than one per cent of the initial W boson en-
ergy, while each 7fo decays in two photons, each with 1 per cent of the initial W
energy. In the Tablel below we show all the channels leading from single Z,W
and Z pairs as well as t-channel in nuclear and electro-magnetic components.
Their energies and corresponding fluence are summirized in Table 2.
2.3 The Process ViVj -t lilj: the t-Channel
The processes ViVj -t lilj (like v/1Yr -t /1:T for example) 1 occur through the
W boson exchange in the t-channel. The cross-section has been derived in [9],
while the energy threshold depends on the mass of the heavier lepton produced,
E Vth = 7.2 ·1019(mv/0.4eV)-1(mr/mr,l-t,e), with the term (mr/mr,l-t,e) includ-
ing the different thresholds in all the possible interactions: vrvl-t (or vrve) ,
vl-tve, and VeV e. In the ultrarelativistic limit (s ~ 2Evm vr » Mar where Vr
refers to relic clustered neutrinos) the cross-section tends to the asymptotic
value (Jvl7r ~ 108.5 pb.
( ) -_
(JW S (Jasym
A(s) {
S 1+
Mar
S
[2 _ s +A(s)
B(s) I (B(S) + A(S))]}
n B(s) _ A(s) (9)
where VS is the center of mass energy, the functions A(s), B(s) are defined as
and
7fCl 2
(Jasym = 2 sm
. 4 () M2
W W
~ 108.5 pb (11)
where 0: is the fine structure constant and ()w the Weinberg angle. (Jasym is the
asymptotic behaviour of the cross section in the ultrarelativistic limit
This interactions,as noted in Table.l are leading to electro-magnetic show-

ers and are not offering any nuclear secondary. Their astrophysical role will be
discussed elsewhere [13].
1 We could consider as well the reactions vev;'r -t e-r+, vev~r -t e- J.t+ and vev~r -t
e- e +, changing the target or the high energy neutrino. Therefore there are 2 times
more target than for Z, WW, ZZ channels.
3 The Prediction of the UHE Particles Spectra

from Wand Z Decay
Let us examine the destiny of UHE primary particles (nucleons, electrons and
photons) (Ee .:s 1021 eV) produced after hadronic or leptonic W decay. As we
already noticed in the introduction, we'll assume that the nucleons, electrons
and photons spectra (coming from W or Z decay) after IJV scattering in the
halo, follow a power law that in the center of mass system is d~'!;t. ~ E*-O
where a rv 1.5. This assumption is based on detailed Monte Carlo simulation of
a heavy fourth generation neutrino annihilations [15] [16]and with the model of
quark - hadron fragmentation spectrum suggested by Hill [20].
In order to determine the shape of the particle spectrum in the laboratory
frame, we have to introduce the Lorentz relativistic transformations from the
center of mass system to the laboratory system.
The number of particles is clearly a relativistic invariant dNlab = dN*, while the
relation between the two time intervals is dtlab = "(dt*, the energy changes like
Elab = "(E* (1 + (3 cos B*) = E*"(-1 (1 - {3 cos B)-l, and finally the solid angle in the
laboratory frame of reference becomes drl lab = "(2 drl * (1- {3 cos B)2. Substituting
these relations one obtains
dN ) dN* -2 -1 E;O "(-2 -1

( dEdt drl lab = dE* dt* drl * "( (1 - (3 cos B) = 41f
. (1 - (3 cos B)
dN) E- o -0-2
( dEdtdrl lab = J1f (1- {3coSB)-O-l (14)
and integrating on B (omitting the lab notation) one loses the spectrum
dependence on the angle.
The consequent fluence derived by the solid angle integral is:
dN -0+2 0-2 20-1 -0+2 0-2
_ E2 =E "( [(1 + (3)0 _ (1 _ (3)0] ~ E "( (15)
~& ~a a
There are to extreme case to be considered: the case where the interaction
occur at Z peak resonance and therefore the center of mass Lorents factor "( is
"frozen" at a given value (eq.l) and the case (WW,ZZ pair channel) where all
energies are allowable and "( is proportional to E1 / 2 . Here we focus only on Z
peak resonance. The consequent fluence spectra :€~t E2 , as above, is proportional
to C O +2 • Because a is nearly 1.5 all the consequent secondary particles will
also show a spectra proportional to E1 / 2 following a normalized energies shown
in Tab.2, as shown in Fig.(2-6). In the latter case (WW,ZZ pair channel), the
relativistic boost reflects on the spectrum of the secondary particles, and the
spectra power law becomes ()( Eo / 2+l = EO. 25 . These channels will be studied
in details elsewhere. In Fig. 1 we show the spectrum of protons, photons and
electrons coming from Z hadronic and leptonic decay assuming a nominal pri-
mary CR energy flux rv 20eVs- 1 sr- 1 cm- 2 , due to the total /IV scattering at
GZK energies as shown in figures 2-6. Let us remind that we assume an inter-
action probability of ,...., 1% and a corresponding UHE incoming neutrino energy
,...., 2000eVs- 1 sr- 1 cm- 2 near but below present UHE neutrino flux bound.
Table 2. Energy peak and Energy Fluence for different decay channels as described
in the text.
Zdecay E (eV) !f!1: E 2 (eV)
p 2.2 . 10 2u
1.2
I 9.5 . 10'" 4.25
e" 5 . 10!:1 2.4
eprompt 5.10 21 0.66
ep' 1.66 . 10 21 0.23
e.,. 1.66 . 10 21 0.12
Z Relativistic: ( euuino mu.a 0.4 cV }

1· RFlux
2-Gamma pper Bounds
le+006
1 3-Direcl e+ e- --
4-UHECR, p, n
S-Gamma by Pi e
6-e+ e- by PI + Pi-
10000 7·e+ e· by Mu+ Mu-
i. 8-i!+ e· by Tau+ Tau-
<: 2 9·Z Resonance
~ 100
:;.
§
!l
Ii:
J
0.01
3
0.0001
1e..008 le+OlO 1«012 1<+014 1«016 le..~1l8 le+020 le-+022 le+02A
Enel)O'leV]
Fig. 2. Energy Fluence derived by lIii ~ Z and its showering into different channels:
direct electron pairs UHECR nucleons n p and anti-nucleons, I by 71"0 decay, electron
pair by 71"+71"- decay, electron pairs by direct muon and tau decays as labeled in figure.
The relic neutrino mass has been assumed to be fine tuned to explain GZK UHECR
tail: m" = O.4eV. The" Z resonance ghost" curve, derived from averaged cross-section
in Fig.1, shows the averaged Z resonant cross-section peaked at E" = 10 22 eV. Each
channel shower has been normalized following table 2.
Z Relauvistic ( euuino m&JI 1.2 c-V }

I-CR Flux
2-Gamma pper Bound
1• ..006 3-Direct e+ e·
1 4-UHECR. p, n
S·Garnma by Pi c
6-e+ c- by Pi + Pi-
10000 7-e+ c· by Mu+ Mu-
~ 8-e+ c· by Tau+ Tau-
~
2 9-Z Resonance
i
~
100 +
i
[i;
J 5--...
0.01 6--... ,,/
/,-"
,,//
/" 3
0,0001 L-~---I._""""~_...L.4.-c'::""'_-'--~_L....4~---l.-:-....l---':-::-~-'::-:-'
I<+OOS 1.+010 1<+012 1<+014 1<+016 1<+018 1.+024
EncrJO' «vI
nu12.eps
Fig. 3. Energy Fluence derived by vii ~ Z and its showering into different channels
as in previous Figure 2: direct electron pairs UHECR nucleons n p, f by 71"0 decay,
electron pair by 71"+71"- decay, electron pairs by direct muon and tau decays as labeled
in figure. In the present case the relic neutrino mass has been assumed to be fine tuned
to explain GZK UHECR tail: m v = 1.2eV with the same UHE incoming neutrino
fluence of previous figure. The "Z resonance" curve shows the averaged Z resonant
cross-section peaked at E v = 3.33 . 1Q21 eV.Each channel shower has been normalized
in analogy to table 2.
4 Conclusion
UHECR above GZK may be naturally born by UHE v scattering on relic ones.
They keep, as observed, memory of distant source direction naturally in agree-
ment with the recent discovers of triplets and doublets in UHECR spectra. The
target cosmic v may be light and dense as the needed ones in HDM model
(few eV). Then their W+W-, ZZ pair productions channel and not the Z res-
onant peak, would solve the GZK puzzle. At a much lighter, but fine tuned
case m v ,...., O.4eV, m v '" I.5eV assuming E v ,...., 1022 eV, one is able to solve at
once the known UHECR data at GZK edge by the dominant Z peak; in this
peculiar scenario one may foresee (fig.2-3) a rapid decrease (an order of mag-
nitude in energy fluence) above 3· 1020 eV in future data and a further recover
(due to WW,ZZ channels) at higher energies. The characteristic UHECR fluxes
will reflect the averaged neutrino-neutrino interactions shown in Fig.I. Their
imprint could confirm the neutrino mass value and relic density. At a more
extreme lighter neutrino mass, occurring for m v "" mvsK ,...., 0.07eV ,the min-
imal m VT , m v " small mass differences might be reflected, in a spectacular way,
into UHECR modulation quite above the GZK edges. Therefore each different
Z RclativiJtic: with no mass dclcM-rancy [ cutrino m.uses: 0.1 cV. 0.0.5 cV)
I·CR Flux
2·Gamma pper Bounds
le~
1 3-Direcl e+ e·
4· HECR,p, n
5-Gamma by Pi e
6·e+ e- by Pi + Pi-
10000 7-e+ e- by Mu+ Mu·
~ 8-e+ e- by Tau+ Tau-
;:: 2 9-Z Resonance
~
>
100
.l!.
§
!l ." ...
r
r;:
0.01
0.0001 '--~_"""'_ _....L.."::;':"---'-"""",=~_~_.l..-~.....c..<1-~_....L..L...:....J....I.......L_.J

le+OO8 le+OlO le+OI2 le+OI4 le+OI6 le+OI8 10+020 le+022 10+024
Encr~ [eV]
Fig. 4. Energy Fluence derived by vi) --t Z and its showering into different channels:
direct electron pairs UHECR nucleons n P, I by 7["0 decay, electron pair by 7["+ 7["- decay,
electron pairs by direct muon and tau decays as labeled in figure. In the present case
the relic neutrino masses have been assumed with no degenerancy. The their values
have been fine tuned to explain GZK UHECR tail: m Vl = O.leV and m V2 = O.05eV.
No relic neutrino density difference has been assumed. The incoming UHE neutrino
fluence has been increased by a factor 2 respect previous Fig.2-3. The" Z resonance"
curve shows the averaged Z resonant cross-section peaked at E V1 = 4 . 10 22 eV and
E V2 = 8 . l022 eV. Each channel shower has been normalized in analogy to table 2.
Z RclattylSllC WIU. no mal' dclCnc:rancy ( : 0.05 oV. 0.001 oV I

I-CR Flux
2-Gamma ppcr Bounds
lo~ 1 3-Direcl e+ e-
4- HE R,p,n
5-Gamma by Pi c
6·e+ c- by Pi + Pi-
10000 7·c+ c· by Mu+ Mu·
~ 8·c+ e- by Tau+ Tau-
~ 9-Z Resonance
"! 2
.
1-
:;.
100
i
r;: 8
1
o.ot
0.0001
1c+008 1<+010 1<+012 10+014
Fig. 5. (for caption Fig. 5 see next page)

Z RelatIvistic wlLh no mass delcnc:lUlC:)' ( NetunJ\o m.usu~ 0.05 eV, 0,001 cV J
I-CR Flux
2-Canuna pper Bounds
1..006 1 3-Direet e+ e·
4-UHECR. p. n
S-Camma by Pi e
6-e+ e- by Pi + Pi-
7'e+ e· by Mu+ Mu-
\ 10000
8-e+ e- by Tau+ Tau·
\. 9-Z Resonance
N 2
<'
Ii 100 9
~
i
Ii:
3
!.'l
~
0.01 6
4
0.0001
10-+008 10+010
Fig. 6. Energy Fluence derived by vv -+ Z and its showering into different channels
as above. In the present extreme case the relic neutrino masses have been assumed
with wide mass differences just compatible both with Super-Kamiokande and relic
2Ko Temperature. The their values have been fine tuned to explain observed GZK-
UHECR tail: m"l = 0.05eV and m"2 = O.OOleV. A neutrino density difference between
the two masses has been assumed,considering the lightest m"2 = O.OOleV neutrino at
relativistic regime, consistent to bound in eq.3. The incoming UHE neutrino fluence
has been assumed growing linearly [11] with energy. Its value is increased by a factor
2 and 20 at E"l = 8· 1022 eV and E"2 = 4· 1Q24 eV respect the previous ones Fig.2-3.
The" Z resonance" curve shows its averaged Z resonant" ghost" cross-section peaked
at E"l = 2 . 1Q23 eV and E"2 = 4· 1024 eV, just near Grand Unification energies. Each
channel shower has been normalized in analogy to table 2.
neutrino mass require a different incoming resonant Z peak Ell energy around
3.10 20 -3·IQ21 eV UHECR energies. These "twin" lightest masses (Fig.4) call for
either gravitational II clustering above the expected one [12] or the presence of
relativistic diffused background. The upper bound to black body neutrino Tem-
Fig. 5. Energy Fluence derived by vv -+ Z and its showering into different channels
as above. In the present extreme case the relic neutrino masses have been assumed
with wide mass differences just compatible both with Super-Kamiokande and relic
2Ko Temperature. The their values have been fine tuned to explain observed GZK-
UHECR tail: m"l = 0.05eV and m"2 = O.OOleV. No relic neutrino density difference
between the two masses has been assumed, contrary to bound in eq.3. The incoming
UHE neutrino fluence has been increased by a factor 2 respect previous Fig.2-3. The
"z resonance" curve shows the averaged Z resonant cross-section peaked at E"l =
8 . 1Q22 e V and E"2 = 4 . 1Q24 e V, just near Grand Unification energies. Each channel
shower has been normalized in analogy to table 2.
perature and momentum, in a radiation dominated Universe, is nearly 60K o .

Such energies and comparable masses ( a few thousands of eV as the required
ones in solar neutrino puzzle) are leading to an fore-see-able scenario described
by Fig 5-6. However possible gray body spectra, out of thermal equilibrium, at
higher energies may also arise from non standard early Universe. One may be
wonder if such a diffused and homogeneous relic backgrounds are not leading
by themselves to a new v - vGZK cut-off. This is not in general the case; other
obvious signatures must also be manifest [13]. Therefore the solution of vv scat-
tering at UHECR may probe the real value v density (calibrating the observed
UHECR flux intensity) revealing the known cross-sections imprint (as in Fig 1)
as well as their possible lightest neutrino mass splitting reflected in additional
near future (Fig4) and (or) far future (Fig.5-6) UHECR new knee and ankles,
just near and above GZK cut off. These energies are at Grand Unification edges.
Of course the mystery of the UHECR acceleration is not yet solved, but their
propagation from far cosmic volumes is finally allowed. Therefore the new gener-
ation UHECR signature within next decade, may offer the best probe in testing
the lightest elementary particle masses, their relic densities and energies and the
most ancient and evasive fingerprint of IJ cosmic relic background.
References
1. KGreisen, 1966, Phys.Rev.Lett., 16, 748.
2. Zat'sepin, G.T., Kuz'min, V.A. 1966, JETP Lett., 4, 78
3. R.J.Protheroe, P.L.Biermann, 1997, Astpart.Phys 7, 181.
4. Elbert, J.W., Sommers, P. 1995, Apj, 441, 151
5. P.Bhattacharjee, G.Sigl, 2000, Phys.Rept. 327, 109-247.
6. P.Blasi, 2000, astro-ph0006316.
7. Fargion,Nuovo Cimento, 77B,I11, 1983 (Italy).
8. Fargion,A. Salis, Proc. 25th ICRC, Patchetstroomse,HE 4-6, p.153-156.(1997)
South Africa.
9. D.Fargion, B.Mele, A.Salis, 1999, Astrophys. J. 517, 725.
10. T.J.Weiler, Astropart.Phys. 11 (1999) 303-316.
11. S.Yoshida, G. Sigl, S. Lee, 1998, Phys.Rev.Lett. 81, 5505-5508.
12. G.Gelmini, 2000, hep-phj0005263.
13. D.Fargion et all, (2001)in preparation.
14. Y.Uchihori et al., 2000, Astropart.Phys. 13, 151-160.
15. Yu. A.Golubkov, R.V. Konoplich, 1998, Phys.Atom.Nucl. 61, 602.
16. D. Fargion, Yu. A. Golubkov, M. Yu. Khlopov, R. V. Konoplich, R.Mignani, 1999,
JETP Lett. 69, 434-440
17. D. Fargion, R. Konoplich, M.Grossi, M.Khlopov, 2000, Astroparticle Phys. 12,
307-314.
18. Particle Data Group, 1996, Phys.Rev.D.
19. K Enqvist, KKainulainen, J.Maalampi, 1989,Nucl.Phys. B317, 647.
20. C.T.Hill, 1983, Nucl.Phys.B224, 469.
Long Baseline Neutrino Oscillation Experiments
Kai Zuber
Lehrstuhl fur Exp. Physik IV, Universitat Dortmund, Otto-Hahn Str. 4, 44221
Dortmund, Germany
Abstract. The motivation for possible future long baseline experiments is discussed.
The proposed experiments as well as their physics potential is reviewed.
1 Introduction
A non-vanishing neutrino rest mass has far reaching consequences from cosmol-
ogy down to particle physics [1]. While direct experiments show no hints for such
a mass, in the field of neutrino oscillations there is growing evidence. Beside the
long standing solar neutrino problem, in the last years growing evidence came
up from the LSND-experiment [2] (but see also the KARMEN results [3]) us-
ing accelerator neutrinos and from atmospheric neutrinos especially by recent
Super-Kamiokande measurements [4]. The scenarios developed to describe the
observed effects include the three known neutrinos as well as possible sterile
neutrinos [5] not taking part in standard weak interaction. For a compilation of
theoretical models see [6].
In a simple two flavour mixing scheme the oscillation probability P is given by
(1)
with Llm 2 ij = I m; - m~ I, L the source-detector distance and E the neutrino
energy. The main motivation for long baseline experiments is given by two facts.
First of all current solar neutrino data favour the large mixing angle (LMA)
solution. This means a mixing angle sin22B~ 1 and a ..:1m2 ~ 1O-5eV 2. Such a
solution offers the chance to explore it in terrestrial experiments using nuclear
reactors. Furthermore the atmosperich neutrino anomaly solidified over the last
years resulting in central values of (vJ.l- vx) at ..:1m 2 ~ 3· 1O-3 eV 2 again with
mixing angles of sin22B~ 1. This can be studied by long baseline experiments
using accelerators. They cannot only prove the vJ.l - disappearance but also search
for V T - appearance as well.
A new era of oscillation studies will open with a neutrino factory currently
under intensive discussion. Among the different topics to investigate, the reali-
sation of the LMA solution would allow a search for CP violation in the leptonic
sector.
2 Reactor experiments
Reactor experiments are disappearance experiments looking for De -+ Dx. Reac-
tors are a source of MeV De due to the fission of nuclear fuel. The main isotopes
470 Kai Zuber
involved are 235U,238 U,239pu and 241 Pu. The neutrino rate per fission has been
measured for all isotopes except 238U and is in good agreement with theoretical
calculations. Experiments typically try to measure the positron spectrum, which
can be deduced from the iie - spectrum, and either compare it directly to the
theoretical predictions or measure it at several distances from the reactor and
search for spectral changes. Both types of experiments were done in the past.
The detection reaction is
(2)
with an energy threshold of 1.804 MeV. Normally, coincidence techniques are
used between the annihilation photons and the neutrons which diffuse and ther-
malize within 10-100 fLS. The reactions commonly used for neutron detection are
p(n,,)D and Gd(n,,)Gd resulting in 2.2 MeV gamma photons or gammas up
to 8 MeV, respectively. The main background are cosmic ray muons producing
neutrons in the surrounding of the detector.
With respect to past reactor experiments, the recent experiments CHOOZ
and Palo Verde can already be considered as long baseline experiments. Their
distance to the power stations of 1030 m and about 800 m respectively is already
a factor of at least three larger than any other reactor experiment done before.
The results from CHOOZ [7] and Palo Verde [8] already exclude vJ.L - V e oscil-
lations as explanation for the atmospheric neutrinos. Long-baseline experiments
even by accelerator definitions will be done by KamLAND and BOREXINO.
The KamLAND experiment [9] will be installed in the Kamioka mine in
Japan (Fig. 1). It will contain 1000t of Liquid Scintillator as a main target, filled
in a plastic balloon which is surrounded by buffer water with a total mass of
2500t. At the beginning the readout will be done with 1300 20" photomultipliers
corresponding to a coverage of 20 %, an upgrade to 2000 might be possible.
In total, there a 6 reactors with a total thermal power of 69 GW in a distance
Fig. 1. Schematic view of the KamLAND - detector

Long baseline neutrino oscillation experiments 471
between 140 km and 210 km to Kamioka which act as De - sources. They produce
a total neutrino flux of 106 cm- 2 S-1 at Kamioka which results for a fiducial
volume of 0.5 kt and a cut on the electron energy of larger than 3 GeV in
an event rate of 250 events/year. This will allow to measure .::1m 2 as small as
10- 5 eV 2 , therefore probing the large mixing angle solution of the solar neutrino
problem. If the background can be reduced by another factor of ten with respect
to the proposed value, even the direct observation of solar 7Be and terrestrial
neutrinos seems feasible. The proposed start of the experiment is spring 2001.
Originally proposed for solar neutrino detection, also the BOREXINO exper-
iment [10] has the ability to investigate reactor neutrinos. The De-flux at Gran
Sasso Laboratory is around 1.5.105 cm- 2 s- 1 for energies larger than 1.8 MeV
produced by power plants typically 800 km away. Without oscillation this would
result in 27 events/year in a 300 t liquid scintillation detector. The sensitivity
might go down to .::1m 2 ~ 1O- 6 eV 2 and sin 2 28> 0.2.
3 Accelerator experiments
Typical beams at accelerators are produced by protons hitting a fixed target,
where the decaying secondaries (mostly pions) decay into V w This dominantly
vJ1. beams are then used either for pure vJ1. - disappearance searches or for ap-
pearance searches by measuring electrons and/or r-Ieptons produced via charged
current (CC) reactions. The V r - appearance search requires some beam design
optimisation because the exploration of low .::1m 2 values prefers lower beam en-
ergies but the r-production cross-section shows a threshold behaviour starting
at 3.5 GeV and increasing with beam energy. A possible oscillation of vJ1. into
sterile neutrinos might show up in the CC/NC ratio.
3.1 KEK- Super-Kamiokande
The first of the accelerator based long baseline experiments is the KEK-E362
experiment (K2K) [11] in Japan sending a neutrino beam from KEK to Super-
Kamiokande. It it using two detectors, one about 300 m away from the target
and Super-Kamiokande in a distance of about 250 km. The neutrino beam is
produced by 12 GeV protons from the KEK-PS hitting an AI-target of 2cm 0x
65 em. Using a decay tunnel of 200 m and a magnetic horn system for focussing
1T+ an almost pure vtt-beam is produced. The contamination of V e from J.L and
K-decay is of the order 1 %. The protons are extracted in a fast extraction mode
allowing spills of a time width of 1.1 J.Ls every 2.2 seconds. With 6 . 10 12 pots
(protons on target) per spill about 1 . 1020 pots can be accumulated in 3 years.
The average neutrino beam energy is 1.4 GeV, with a peak at about 1 GeV. The
near detector consists of two parts, a 1 kt Water-Cerenkov detector and a fine
grained detector. The water detector is implemented with 820 20" PMTs and
its main goal is to allow a direct comparison with Super-Kamiokande events and
to study systematic effects of this detection technique. The fine grained detector
basically consists of four parts and should provide information on the neutrino
472 Kai Zuber
Table 1. First results of K2K after 1 year of data taking. Shown are total numbers
observed within the fiducial volume of Super-Kamiokande as well as exptected numbers
for different oscillation parameters (after [11])
Super-K Events no oscillations Llm 2 = 3 . 1O-3 eV 2 Llm 2 = 5. 1O-3 eV 2
total 27 40.3~1:~ 26.6~ti 17.8~~:~

1 ring 15 24.3 ± 3.6 14.4 ± 2.3 9.4 ± 1.5
p, -like 14 21.9 ± 3.5 12.4 ± 2.1 7.5 ± 1.3
e - like 1 2.4 ± 0.5 2.1 ± 0.4 1.9 ± 0.4
multi ring 12 16.0 ±2.7 12.2 ± 2.1 8.4 ± 1.5
beam profile as well as the energy distribution. First of all there are 20 layers of
scintillating fiber trackers intersected with water. The position resolution of the
fiber sheets is about 280 J.Lm and allows track reconstruction of charged particles
and therefore the determination of the kinematics in the neutrino interaction. In
addition to trigger counters there is a lead-glass counter and a muon detector.
The 600 lead glass counters are used for measuring electrons and therefore to
determine the V e beam contamination.
The energy resolution is about 8% /..;E. The muon chambers consist of 900
drift tubes and 12 iron plates. Muons generated in the water target via CC
reactions can be reconstructed with a position resolution of 2.2 mm. The energy
resolution is about 8-10 %. The detection method within Super-Kamiokande is
identical to that of their atmospheric neutrino detection.
Because of the low beam energy K2K is able to search for VJ1. - Ve appearance
and a general vJ1. - disappearance. The main background for the search in the
electron channel might be quasielastic nO-production in NC reactions, which can
be significantly reduced by a cut on the electromagnetic energy. The proposed
sensitivity regions are given by Llm 2 > 1-1O- 3eV 2(3 .1O- 3eV2) and sin 22B> 0.1
(0.4) for vJ1. - ve (vJ1. - vr ) oscillations.
In the first year of data taking K2K accumulated 2.29 _10 19 pot. The number
of observed events are shown in Tab.l. As can be seen, K2K observes a deficit
with respect to expectation, but the number is in good agreement with the oscil-
lation parameters deduced from the atmospheric data. If this vJ1. - disappearance
will become statistically more significant, this would be an outstanding result.
In connection with the Japanese Hadron Project (JHP) an upgrade of KEK is
planned to a 50 Ge V PS, which could start producing data around 2004. The
energy of a possible neutrino beam could then be high enough to search for V r
- appearance.
3.2 Fermilab-Soudan
A neutrino program (NuMI) is also associated with the new Main Injector at
Fermilab. The long baseline project will send a neutrino beam to the Soudan
mine about 730 km away from Fermilab. Here the MINOS experiment [12] will
be installed. It consists of a 980t near detector located at Fermilab about 900 m
away from a graphite target and a far detector at Soudan. The far detector will be
made of 486 magnetized iron plates, producing an average toroidal magnetic field
of 1.3 T. They have a thickness of 2.54 em and an octagonal shape measuring 8
m across. They are interrupted by about 25800 m2 active detector planes in form
of 4.1 cm wide solid scintillator strips with x and y readout to get the necessary
tracking informations. Muons are identified as tracks transversing at least 5 steel
plates, with a small number of hits per plane. The total mass of the detector will
be 5.4 kt. Oscillation searches in the vJ.1. - V e and vJ.1. - V r channel can be done in
several ways. The statistically most powerful way is a vJ.1. - disappearance search
comparing the CC-rate in the near and far detector. Furthermore the NC/CC
ratio in the far detector can be used. By using this ratio, information on possible
vlJ.- Vsterile oscillations can be obtained, because Vsterile would not contribute to
the NC rate as well. A study of the oscillation parameters by itself is possible
by investigating the CC and NC visible energy spectra. An additional hybrid
emulsion detector for V r - appearance is also under consideration. A detector
of the size 1 kt working on the same principle as OPERA (see below) would
allow a r-search on an event by event basis. The three beam options discussed
are shown in Fig. 2, where the low option was chosen recently. This implies a
pure disappearance search. A 10 kt·y exposure will cover the full atmospheric
evidence region. The MINOS-project could start data taking around end of 2003.
!)O m 10'9_' piM t- 67~ m docay pipe
:", Perfect roc using
.... ;.,
.... ! . . .
Fig.2. The possible neutrino beam profiles discussed for NuMI. Motivated by the
current Llm 2 preferred from atmospheric data, the PH2(low) beam option will be used.
3.3 CERN-Gran Sasso

A further program considered in Europe are long baseline experiments using
a neutrino beam from CERN to Gran Sasso Laboratory [13]. The distance is
474 Kai Zuber
732 km. The beam protons from the SPS can be extracted with energies up to
450 GeV hitting a graphite target in a distance of 830 m to the SPS. After a
magnetic horn system for focusing a decay pipe of 1000 m will follow.
~ 40 r----------------,
..~
Ii • v. + v. CC
i
35
.". v,cc
30 V cc
f
~
w
25
20
15
10
Fig. 3. Simulated visible energy distribution for ICARUS. The expected V e CC contri-
bution is shown as filled histogram, the possible contribution of V r CC with T -+ evv at
low visible energy is shown as red histogram. The dots represents the combined curves
including statistical errors.
Two experiments are under consideration for the Gran Sasso Laboratory to
do an oscillation search. The first proposal is the ICARUS/ICANOE experiment
[14J. This liquid Ar TPC with a modular design offers excellent energy and
position resolution, can also be used for long baseline searches. A prototype
of 600 t is approved for installation. An update to 3 or 4 modules is planned.
Beside a vJ.L- disappearance search by looking for a distortion in the energy
spectra, also an appearance search can be done because of the good electron
identification capabilities (Fig. 3). A vr-appearance search can be obtained by
using kinematical criteria as in NOMAD. For ICARUS a detailed analysis has
been done for the T -+ evv channel and is under investigation for other decay
channels as well.
The second proposal is a V r - appearance search with a 2 kt lead-emulsion
sandwich detector (OPERA) [15J. The principle idea is to use lead as a massive
target for neutrino interactions and thin (50 J..lm) emulsion sheets conceptually
working as emulsion cloud chambers (ECC) (Fig. 4). The detector has a modular
design, with a brick as basic building block, containing 58 emulsion films. 3264
bricks together with electronic trackers form a modul. 24 moduls will form a
supermodule of about 652 t mass. Three supermodules interleaved with a muon
_ - - - Decay volume-
- v
Fig. 4. Principal layout of an OPERA device working as an ECC. Thin emulsions sheet
separated by a small gap are intersected by lead acting as target. The three different
kind of expected topologies for or-decays are shown.
spectrometer finally form the full detector. The scanning of the emulsions is done
by high speed automatic CCD microscopes. The T, produced by CC reactions in
the lead, decays in the gap region, and the emulsion sheets are used to verify the
kink of the decay. For decays within the lead an impact parameter analysis can
be done to show that the required track is not coming from the primary vertex.
Besides the T -t e, J1., 7r decay modes also three pion decays can be examined.
The analysis here is done on an event by event basis and the experiment is in
general considered as background free. In five years of data taking, correspoding
to 2.25 .10 20 pot a total of 18.3 events are expected for Llm 2 = 3.2· 1O- 3 eV 2 .
4 Atmospheric neutrino detectors
Two detectors are under consideration for investigating atmospheric neutrinos,

but they also could be used with an artificial neutrino beam. The first one is
MONOLITH [16], a 34 kt magnetised iron detector. It consists of two modules
made out of 125 horizontal iron plates each 8 cm thick, which are interleaved by
active tracking devices in form of glass RPCs. The magnetised iron produces a
field of 1.3 T.
A project still in the R&D phase is AQUA-RICH a 1 Mt water RICH de-
tector [17]. One possible design option is a sphere, where the outer sphere of
125 m diameter is the mirror equipped with 2185 inward looking Hybrid Photo
Diodes (mHPDs). The 62.5 m diameter inner dome supports 3125 outward look-
ing dHPDs. The 3.5% detector coverage on the mirror surface (between mirror
476 Kai Zuber
segments) are used to determine vertex and direction of each track, whereas
the HPDs on the detector surface (dHPDs) will allow to determine momentum.
Their coverage is about 20%. To reduce background, the upper 50 m of wa-
ter will stop downward going muons with momenta below 10 GeV Ie. The total
of 5310 HPDs (each of 1 m diameter) with 396 pads of 45 x 45 mm2 on the
photocathode surface, electrostatically demagnified to 9 x 9 mm 2 on the silicon
sensor, will have a time resolution of less than 1 ns and provide the total number
of 2.1 Mpixels for readout (Super-K: 11200 PMs, 0.5 m diameter, 11.2 kpixels).
To reduce chromatic aberrations, the photon energy acceptance of the dHPDs
will be limited to 2.3 to 2.9 eV (.1E = 0.6 eV) or even less to obtain a good
momentum resolution. The mHPDs, only used to determine vertex and track
direction, have a larger acceptance of .1E = 1.7 eV. Event parameters can be
determined from the ring properties, the velocity is given by the ring radius, the
direction by the ring center and the momentum by the ring width if the width
is determined by multiple scattering (in contrast to normal Cerenkov detectors,
where the pathlength determines the ring width). Nevertheless the pathlength
can be independently determined by the number of Cerenkov photon hits. Fur-
thermore the focussing of the rings allows multiple ring (n ~ 4) studies. This
detector allows a vJ.t - disappearance search in the quasielastic vJ.tn -+ p,p and
resonance vJ.tp -+ p,.1++ channels, a VT - appearance search seems feasible by
looking at the T -+ p,vv decay channel.
Wrong-Sign Muon Measurements
EjI-20GeV
SolarLMA
5m2 29'3 - 0.04
ISm2321 - 0.002 eV2
...........
I:::"""
l' 0.1
I;:;'
"--""
z
0.01
4
Baseline (km)
Fig. 5. Ratio of the number of wrong-sign muons using p,- and p,+ as beams. The two
bands correspond to the sign of Llm~3' the splitting shows the influence of possible
matter effects and the width represents effects of a possible CP-violating phase.
5 Neutrino factories
In recent years the idea to use muon storage rings to high intensity neutrino
beams was getting very popular again [18]. Even many technical challenges
have to be solved, it offers a unique source for future accelerator based neu-
trino physics. The two main advantages are the precisely known neutrino beam
composition and the high intensity (about 1021 muons/year should be filled in
the storage ring). A first experimental step towards realisation is the HARP
experiment at CERN, which will determine the target for optimal production of
secondaries. The storage ring itself could be constructed out of 2 straight sections
connected by two arcs, where the straight regions are used as decay regions of
the muons, producing a neutrino beam in the corresponding direction. Besides
options using existing baselines like CERN-Gran Sasso of Fermilab-Soudan, the
possibility of observing matter effects and - in case of the realisation of the LMA
in solar neutrinos favoured by Super-K - CP violation might require even longer
baselines of about 3000 km (Fig. 5). Even this can be envisaged because of the
high intensity [19].
10 '
10- 1
10"
t:l'
> 10 -3
~
('oJ
E
<l 10"
10.5
10.8
10.7
10. 8
10. 0
10"°
10-"
10" 10 -3 10" 10"
sin 2 29
Fig. 6. .1m 2 _ sin 2 2Bplot of all current evidences for neutrino oscillations and proposed
goals of future experiments
478 Kai Zuber
6 Summary and conclusions

The present evidences for neutrino oscillations and their description in theo-
retical models requires a variety of new experiments for confirmation. Several
accelerator based activities based long baseline experiments are running or in
the building up phase to explore the atmospheric region of evidence. In their
present design all of them will be able to investigate the complete ..:1m2 region
given by Super-Kamiokande be it in appearance or disappearance mode. Fur-
thermore long-baseline experiments at nuclear reactors will allow to probe the
LMA solution of the solar neutrino problem directly. A summary of existing
evidences and future plans is shown in Fig. 6.
References
1. K. Zuber, Phys. Rep. 305, 295 (1998)
2. C. Athanassopoulos et aI., Phys. Rev. Lett. 77, 3082 (1996), Phys. Rev. Lett. 81,
1774 (1998)
3. K. Eitel, Talk presented at XIV Int. Conf. on Neutrino Physics and Astrophysics
(Neutrino 2000), Sudbury, June 2000
4. Y.Fukuda et aI., Phys. Rev. Lett. 81, 1562 (1998), Phys. Lett. B 433, 9 (1 998),
H. Sobel, Talk presented at XIV Int. Conf. on Neutrino Physics and Astrophysics
5. R.N. Mohapatra, hep-ph/9808236
6. A. Geiser, Contribution to Neutrino Oscillation Workshop (NOW'98), Amsterdam,
Sep. 1998
7. M. Apollonio et al., Phys. Lett. B 466, 415 (1999)
8. F. Boehm et aI., Phys. Rev. D 62, 072002 (2000)
9. A. Piepke, Talk presented at XIV Int. Conf. on Neutrino Physics and Astrophysics
10. Borexino, Proposal LNGS 1991, G. Alimonti et aI., Astroparticle Physics 8, 141
(1998)
11. M. Sakuda (K2K) collaboration, Talk at XXX Int. Rochester Conf. on High Energy
Physics (ICHEP 2000), Osaka, July 2000
12. S. Wojcicki, Talk presented at XIV Int. Conf. on Neutrino Physics and Astrophysics
13. K. Elsener ed., NGS Conceptual Technical Design Report, CERN 98-02, IN
FN/AE-98/05
14. ICANOE proposal, F. Arneodo et aI., INFN/AE-99-17, CERN/SPSC 99-25 (1999),
see also G. Battistoni, Talk presented at NOW'2000, Bari, Sept. 2000
15. OPERA Proposal, M. Guier et al., LNGS P25/2000, CERN SPSC 2000-028
16. MONOLITH proposal, N.Y. Agafonova et aI., LNGS P26/2000, CERN/SPSC
2000-031
17. P. Antonioli et aI., Nucl. Instrum. Methods A 433, 104 (1999), K. Zuber, Cont.
Paper to XIV Int. Conf. on Neutrino Physics and Astrophysics (Neutrino 2000),
Sudbury, June 2000
18. S. Geer, Phys. Rev. D 57, 6989 (1998)
19. A. Blondel et aI., CERN-EP-2000-053 (2000), C. Albright et aI., Fermilab-FN-692
(2000)
Recent Results from Experiments
Using the Super-Kamiokande Detector
Jim Hill
for The Super-Kamiokande collaboration
and for The K2K collaboration
StonyBrook University, Stonybrook, NY, 11794-3800, USA
Abstract. The Super-Kamiokande detector (SK) in Gifu prefecture, Japan is used by

two currently running experiments: The Super-Kamiokande experiment searching for
neutrinos from the sun, cosmic ray interactions in the atmosphere, and astrophysical
sources, and the K2K long-baseline neutrino oscillation experiment. The long-baseline
experiment detects neutrinos produced as tertiary products of the 12GeV proton syn-
chrotron (PS) at the Japanese laboratory for high energy physics, KEK. Results from
both experiments are presented. Oscillation analyses of both atmospheric and solar neu-
trino data are updated to the current data set, and some view of astrophysical searches
is given. A cursory data summary from the long-baseline experiment is given and some
general statements about its consistency with various oscillation based hypotheses are
made. (Results from the long-baseline experiment are updated since presentation at
the conference.) Results from searches for proton decay and nearby supernovae are
omitted here because of space considerations.
Due to limited space, I have chosen to omit some background material in favor of
including plots of updated data. I hope the references will be of use to amend this.
Also, some of the theoretical contributions to these proceedings will undoubtedly cover
much of the necessary physics background.
1 Overview of the Detector

The detector, shown in fig. 1, consists of a 40 mq> x 40 mhigh cylindrical stainless
steel tank filled with ultra-pure water in which photo-multiplier tubes (PMTs)
are mounted on a stainless frame. The PMTs are arranged in two groups. There
are 11146 large (50 cm) tubes arranged in a cylinder concentric with the tank,
viewing the inner 33 ktons of water. An optical barrier separates them from 1835
smaller (20 cm) tubes which look out at an approximately 2 m thick outer region
of the detector. Thus, the target material for neutrino interactions is water,
and the method of measuring charged particles is Cherenkov ring detection by
PMTs. Each event acquired is stamped with an absolute time derived from a
one pulse per second GPS signal with local interpolation via a 50 MHz oscillator
in the acquisition electronics. Fuller descriptions of the detector are previously
published elsewhere [IJ.
1.1 Sources of Neutrinos Possibly Detected by SK
Four neutrino sources are considered here.

480 Jim Hill
Fig.!. The SK detector and its position with Mount Ikeno (inset). This artist's view
of the cut-away detector shows the layout of the 11146 50cm inner PMTs and 1835
20cm outer detector PMTs. The total detector volume is filled with 50ktons of water
and shielded above by 1km (2.7km water equivalent) rock
The first is "solar neutrinos" from the nuclear reactions that power the sun.
These are essentially beta decay products with energy of a few MeV. While the
expected spectrum of neutrinos produced has even more power at lower energies,
the current analysis is only of electrons with recoil energy above 5.5 MeV.
The second source considered here is "atmospheric neutrinos" from the decay
of mesons produced in cosmic ray interactions in the atmosphere. These pro-
duce several classes of events detectable by SK. Their energy range is O(GeV)
to some tens of GeV, with a long tail in essentially a power law spectrum. They
are mainly a mixture of muon neutrinos and anti-neutrinos together with elec-
tron neutrinos and anti-neutrinos. Since charge determination is not possible via
Cherenkov light detection, neutrinos and anti-neutrinos cannot be distinguished
and hereafter will be implicitly grouped together.
The third class of events seen in the detector are those from the neutrino beam
from KEK. These are (nearly purely) muon neutrinos with energy around 1 GeV.
The same beam is also measured by a suite of neutrino detectors at the KEK
site 250 m from the pion production target and focusing elements. Oscillation
effects are searched for by comparing the near and far measurements.
Another possible class of neutrino source is generically grouped under the
name "astrophysical sources." Searches are made for neutrinos from known point
sources of electromagnetic radiation, or other strong suspects for neutrino pro-
duction such as the galactic ceI).ter. Beside more direct possible production of
Super-Kamiokande Results 481
neutrinos, the possibility of annihilation of weakly interacting massive parti-

cles (WIMPs) which are gravitationally clustered is studied. Such clustering at
the center of the galaxy, the sun, or even the earth gives predictable fluxes of
neutrinos as a function of WIMP mass for any given theory of the nature of
these putative particles. Searches for point sources and for time correlation with
GRBs are being undertaken in many energy ranges, but only those using muons
generated by neutrino interactions in the rock below SK are discussed here.
2 Solar Neutrino Studies
Solar neutrinos have presented a problem to particle and astrophysicists for

virtually all of the more than 30 years since their first observation.[2] For the
remainder of this section, we assume that the reader is familiar with the nature
of the "solar neutrino problem" and some of the terminology surrounding it.
Combining flux measurements from several experiments gives a set of regions
in the parameter space of oscillations which are likely if oscillations are respon-
sible for the suppression of flux. SK has additional information in the form of
an electron recoil energy and precise time for each event. Since the events are
predominantly from one beta decay spectrum, 8B, the shape of the expected
spectrum is known with great precision. Time variation of the flux measurement
could also be a smoking gun for neutrino oscillations. Some regions of the allowed
MSW solution space predict significant differences in flux between day and night
as the oscillation effect is affected for neutrino paths through the earth's core.
Taking all the information from SK except the total flux measurement gives a
set of measurements complementary to the information from the combination
of flux measurements from all existing experiments. Since the final sample has
approximately 15,000 neutrino events in it, such fine parsing of the data is still
meaningful.
Since the start of SK the energy threshold has been lowered to the greatest
extent possible. Analyses for previous papers [3J have been based only on data
taken at higher thresholds. The current physics analysis threshold for results
presented here is 5.5 MeV. Figure 2 shows that with current data we can isolate
the solar neutrino signal down to 4.5 MeV. While the background is high, the
solar peak is clearly visible even in the lowest energy bin. In this plot, each
curve represents a two parameter fit to the data of solar neutrino signal plus
background. By doing this for various energy ranges and time (day and night)
bins, a spectrum and its time dependence are derived.
The comparison of oscillation analyses for all flux measurements to that
for SK spectral and day jnight information is shown in fig. 3 for the relevant
parameter space of MSW solutions. The small mixing solution of the combined
fit is disfavored at the 95% confidence level by the SK flux independent data.
The same is true for the whole relevant parameter space for vacuum solutions
(not shown). The remaining solution most consistent with all data is the large
mixing angle MSW solution, but the evidence is not yet conclusive.
482 Jim Hill
SK R4142-8656(837day) 22.5kton ALL

(Preliminary)
§
~ 0.3 ~
~
c:
~ 4.5-5.0MeV
0.25
0.2
0.15
5.0-5.5MeV
+
0.1 +
0.05
5.5-6.0MeV
6.0-6.5 eV
0. 1 -0.5 0 0.5
Fig. 2. Solar neutrinos in 837 days of SK data. The abscissa is the cosine of the angle
between the sun's direction and the electron direction for reconstructed low energy
neutrino event candidates. Each set of points and corresponding curve represents one
energy range as noted. Only data with low trigger threshold are plotted here.
3 Atmospheric Neutrinos & SK

Since the 1960's[4] experiments have searched for muons traveling upward through
the earth as a signature for atmospheric neutrino interactions in the rock. In SK,
as in Kamiokande[5] and IMB[6] before, it is also practical to look for leptons
from neutrino interactions within the detector itself. For this class of event, elec-
trons as well as muons are detectable, and the correlation of visible energy to
neutrino energy is high. Both classes are considered with separate analyses.
3.1 Atmospheric Neutrino Interactions within SK

Neutrinos which interact in the fiducial volume of water in SK are generally
easily tagged since there is an outer detector with 4n coverage of the inner vol-
ume. Charged lepton type discrimination is accomplished by analyzing whether
a Cherenkov cone has the clean character of a penetrating particle, or the dif-
fuse character of an electromagnetic shower. Electrons and muons are separated
with good efficiency. Lepton energy determination is done to better than 3%
::=::: -3
C\l
>
33.5
C\l
E
~-4
0>
o
-4.5
-5
-5.5
-6
-6.5
Excluded regions
-7 68. 90, 95, 99% c.L.
day Clnd night spectrum
-7.5 AlloH'ed region
68, 90, 95, 99% c.L.
Global Fit Ga+CI+(S flux nlv)
-8_ 4 -3.5 -3 -2.5 -2 -1.5 -1 -0.5 2 0
log(sin 2e)
Fig. 3. Solar neutrino oscillation analysis for the MSW region of parameter space. This
overlays the results of an allowed region analysis of the world's flux measurements with
an excluded region for the SK only, flux independent data. Red curves are for various
confidence levels of exclusion and blue delimit allowed regions of the flux analysis. The
solution most consistent with all data is the large mixing angle solution.
accuracy over a range of three orders of magnitude for contained single tracks.
Events with a vertex in the fiducial volume and some track exiting the detector
generally contain muons, but only a lower limit of the event energy is available.
Data analysis [7] and physics analysis examining the oscillation hypothesis [8]
have been reported in great detail elsewhere. Below we present updates of some
important aspects of these analyses as well as a validating distribution from
analysis of the "east-west effect."
Figure 4 shows the main evidence for oscillation of atmospheric neutrinos. It
is a compilation of zenith angle distributions for the reconstructed charged lepton
directions of single ring atmospheric neutrino events. The rows are for different
energy ranges as noted in the figure. In the lowest momentum range, below
400 MeV/ c, the directional correlation between the charged lepton and the parent
neutrino is weak, so any oscillation effects other than the relative normalizations
are washed out. All events entering histograms on the left are for "e-like" events,
and those on the right are tagged as "/l-like." Events which have an exiting track
484 Jim Hill
are all classed as Jl-like. Me estimates tell us that this is true approximately
99% of the time. The inconsistency with the null hypothesis is striking, and the
agreement with the best fit for oscillations is good (x 2 Jd.o.f :5 1).
Sub-GaY a-Iika Sub-GaY J.1-lika

$S
= 200
~
~
p $400 MaV/e P $ 400 MaV/e
~
Ci-l
0 -----_ ..- -'-- .. _---,---- .._-
'""
~
.c
e
=
=
0
Sub-GaY a-Iika Sub-GaY J.1-lika
$S
= 200
~
~
p ~400 MaV/e P ~400 MaV/e
~
Ci-l
0
'""
~
.c
e
=
= 0
$S Multi-GeV e-Iike Multi-GeV Jl-Iike + PC
5
~ 200
~
Ci-l
0
'""
~
.c
e
a
0_
1 -0.5 0 0.5 1 -1 -0.5 0 0.5 1
cosE> cosE>
Fig. 4. Atmospheric neutrinos in 1100 days of SK data. Each frame above is a zenith
angle plot for some sub-sample of candidate atmospheric neutrino interactions in SK.
(The negative x-axis is up-going.) While each plot is labeled, more explanation is
given in the text. In each plot, the points are data, the red dashed histogram is MC
expectation without oscillations assumed, and the green solid is MC with the best fit
oscillation parameters applied.
Analysis based on these data give an allowed region of parameter space en-
closed by a curve in fig. 5. For reference, allowed regions of previous experiments
and the sensitive region of the K2K experiment are also shown.
K2K Sensitivity with Atmospheric Neutrino Fit Results

10 -1 r----r------.------,---- -----,--,--.---.----.---,------,
-.-._._._._':-:~,..c.. . .. '''.'' .. ' .

~
"'-
..-..
C\I
>
-Q)
,
\,
\
,
-'. \
-'-,
"-
\
'._.- ........ ,
" ~\._ .... -
10 -4 L--------'-_--'-_---'--_--'-------.JL-----'-_-----'--_-'--_-'-------'
o 0.2 0.8 1
Fig. 5. Atmospheric neutrinos and long-baseline sensitivity_ The thick solid purple
curve outlines the allowed region of oscillation parameters for Atmospheric neutrinos in
1100 days of SK data. The thin red curve is the boundary of the expected K2K sensitive
region after 10 20 protons on target. The other curves are published allowed regions for
other atmospheric neutrino experiments: Kamiokande (blu.e dotted), Soudan-2 (green
dot- dash), and MA eRa (brown dashed)
The "East-West Effect" and SK Directional Resolution A natural ques-

tion is whether there is some significant misunderstanding of the SK angular
resolution and acceptance. We believe this is not the case. Proof is given by
measuring a somewhat more subtle effect than oscillations which is predicted by
simple electromagnetics. Since cosmic ray primaries are essentially all positively
charged, certain trajectories through the earth's magnetic field are disallowed at
certain energies. At high energy, no effect is predicted. At very low energy, the
effect is strong, but the lack of good directional correlation between the neutrino
and charged lepton washes out the effect. This effect has been studied at SK (9).
A view of the main result of that analysis is given by fig. 6
486 Jim Hill
100 100
~ 80 ~ 80
c:: c::
~ ~
Cb Cb
'C 60 ..... 60
0
"- "-
Cb Cb
~ 40 ~ 40
::J ::J
c:: c::
20 20
e-like ~-Iike
00 7tl2 1t 3Ir.I2 2lt 00 7tl2 1t 3Ir.I2 2lt
 
Fig. 6. The measurement (points) and prediction (histograms) for the axial distribution
of medium energy atmospheric neutrino events. The abscissa is the axial component of
the arrival direction of the lepton. The two predictions are different flux calculations:
Honda, et al. (solid), and Gaisser, et al.(dashed).
3.2 Atmospheric Neutrino Interactions below SK
Upward going muons from neutrino interactions in the rock below SK give about
one event per day in the detector. While their total energy is not known, parsing
this data set into those which stop within the detector and those which travel
through gives some level of energy partition of parent neutrinos. Since both
classes are generally from higher energy neutrinos than contained vertex events,
they give a compliment to that analysis. Also, since the rate from atmospheric
events is relatively low, upward going muons become the ideal data sample in
which to search for high energy astrophysical sources of neutrinos. At these very
high energies, the directional correlation between the neutrino and the resulting
charged lepton is quite high.
4 Astrophysical Source Searches
The number of possibilities for astrophysical point sources of neutrinos is large.

Different energy ranges suggest different analyses, and here only the analysis of
upward going muons is discussed.
4.1 Searches for Point Sources of High Energy Neutrinos
The ideal way to search for sources of high energy is with through-going upward
muons created in the rock below SK. The arrival directions of the muons are
well determined and the background from atmospheric neutrinos is small. The
directional correlation of the muons with the incident neutrino is high.
Figure 7 shows the arrival direction of detected upward through-going muons
in equatorial coordinates. There are no striking hot spots. The same is true for
galactic coordinates (not shown). This null result can be interpreted as a 90%
confidence limit on the flux of detected muons from point sources of the order
of O(few .1Q-14 cm -2 s -1) for all points covered in the survey.
o
o
2
90
S omu skymoo ." eOl.;lo'o cooro·nole.
Fig. 7. Upward Muon Sky Map Distribution of Deviation from Average. The sky map
is in units of the RMS of all measured bins from the mean of all measured bins. The cut
on top is because of the detector's orientation in which upward going muons are never
from some particular set of directions. No points stand out as obvious sources and the
tail of the distribution of bin contents is statistically consistent with expectation.
4.2 Indirect Detection of WIMPs
WIMPs created in the early universe, if stable, will be gravitationally clustered

by the structure of the the observed universe. If this is the case, the enhanced den-
sity near dense objects will lead to collisions and annihilations, at least some of
which will produce neutrinos. The relevant mass scales are of order 1Q2- 3 GeV/c 2
for neutralinos as WIMPS, so the expected neutrino energy is at least several
10's -and probably more- of GeV. A more detailed description of this ongoing
analysis can be found in [10].
Figure 8 shows an analysis of upward going muons for the case of WIMPs
clustered by the gravitational field of the earth. Figure 9 shows the results for
similar analyses looking at the sun and galaxy centers.
488 Jim Hill
Up-ward Throu h Muons .~~.it Upper Flux Limits of Excess Muons From Earth
amo an e mts
0.5 Baksan Limits
250
MACRO Limits
• Data (1137.8 days) Super·K Limits
.
c
200 M.C. Without Oscillation .....:
M.C. With Oscillations
~
~0.4
~
~150
~ J. 1:0.3
o .:!.
.! E i
~loo .~+!++ .
:::;0.2
,"T
.................;
····)·······
Z
:r+~ ii:
:>
T
50 0.1 r·····~·_'
: WIMP signal expected In this region .......... ~_.:::f·+---'

j .~.-----.-----_._-------_._----
o.l!o'-'-'""'""'"'-';-ot-:.8~c.u....-o:t-.6'i::"-'-.Lu..-o~.74""""'''''''''.0H;.2,...u.~0 o ........0-"5:--'-'0-"1"'0;-'-"0-,..1.5...L."0-"'20....-;0-"2.5.,-L-'ft0-"ao..--'
cos of zenith angle Half Angle of Cone Around the Earth (Degrees)
Fig. 8. Upward Muon Fluxes (left) and Resulting Limits (right) on muons from WIMP
annihilation to neutrinos at the center of the earth. The symbols are explained on the
plots. Any excess of neutrinos from the direction of the earth center will show up in
the leftmost bin of the flux plot. In the limit plot, wider angles correspond to lighter
WIMPs, which are not as strongly clustered by a gravitational field and which produce
neutrinos at lower energies which have wider lab-frame angles for muon production.
90 % Upper Flux Limns of Excess Muons From Sun Center !l!l3Jl> Flux Limns 01 Excess Muons From Galacllc Cenler
xl0
x 10"2 o9 'I.l1k"n hlmns
. g~per.'It
<>
0.1 0 1MB Llmll
Kamlokande Llmlla ~1~JR~al'~ ~mns
A Bakssn Llmna 0.8 - tFm~s
..... MACRO Limn_
- Super·K Limits
0.7 -0-
1:"0. -0- .,~ 0.6

1: } 0.5
.:!. -A-
~O.O
""~
. . 0.4
.........•..•••••••i
:::;
ifO. ~ 0.3
.....,-_ . ....;.:::-.
r.. ·-.-+i :::' 0.2
0.1 T
~~
0-5 0-10 0-15 0-20 0-25 0-30 o 0-5 0-10 0-15 0-20 0-25 0-30
Half Angle of Cone Around SUn (Degrees) Hall Angle 01 Cone Around Galacllc Cenler (In Degrees)
Fig. 9. Limits on muons from WIMP annihilation to neutrinos at the center of the
sun (left) and galaxy (right). These are derived from the same kind of analysis as the
corresponding earth center limit
5 Results from the K2K

Long-Baseline Neutrino Oscillation Experiment
The newest source of neutrinos detected by SK is the neutrino beam-line at the
KEK PS. There have been physics runs in June and November of 1999, and from
late January through June 2000 (with some scheduled breaks). So far, 2.28.10 19
protons have been targeted while SK was alive. This is slightly less than 1/4 of
the proposed lifetime of the experiment. The calibration down time of SK has
been carefully scheduled to avoid times when the beam is on, so the down time
for the beam experiment is somewhat less than the overall down time. 1
Figure 10 is an event display of the first in-time SK neutrino detection with
the KEK beam. This historic event showed that many of the technical challenges
to doing this kind of experiment had been met. This breaks substantial ground
for the coming round of similar experiments. So far, 27 contained events in the
fiducial volume of SK have been observed. A breakdown of these events and
additional information on other events observed is given in table l.
The measurement of the neutrino beam near the production point, together
with input from various charged particle monitors in the beam-line give us good
knowledge of the expected number of events at SK. The statistical error on the
near flux measurements is small and the systematics, while still under study,
are manageable. The three different measurements, from a water Cherenkov
detector, from a scintillating fiber tracker with water target, and from an iron
plate muon range stack, agree quite well.
Table 1. Observed and expected events at the far detector (SK) in time with the K2K
neutrino beam. Numeric headings for the "oscillated expectation" are mass squared
splittings in units of 1O-3 ey 2 and maximal mixing is assumed. Indentation separates
classes from their sub-classes.
# of observed and expected SK events, 1999/06-2000/06
Event Class Obs. Exp. Exp., Ll(m 2 )/10- 3 ey 2 =
No osc. 3. 5. 7.
Events fully contained in the inner detector
in FY 27 40~::~ 26.6~~:~ 17.8~~:~ 14.9~~:~
I-ring 15 24.3 ± 3.6 14.4 ± 2.3 9.4 ± 1.5 8.6 ± 1.4
/!-like 14 21.9 ± 3.5 12.4 ± 2.1 7.5 ± 1.3 6.8 ± 1.2
e-like 1 2.4 ± 0.5 2.1 ± 0.4 1.9 ± 0.4 1.8 ± 0.4
>1-ring 12 16.0 ± 2.7 12.2 ± 2.1 8.4 ± 1.5 6.3 ± 1.1
out of FY 16 17.2 11.2 7.6 6.7
Events with outer detector activity
ODe 10 30.1 20.1 13.1 10.7
crossing 13 14.4 10.9 7.2 5.0
1 The results presented here are updated since the conference presentation to reflect
the addition of new data not yet analyzed then. Those results represented about 3/4
of the set presented here.
490 Jim Hill
Super-Kamlokande
Run 7436 Event 1405412
n-o,-u.U,42'4
:l:N\tr' 51' hit.o, IOU I
O\>ttr. 2 hits, 2 rl (Jtl-t1lk.)
~'?K ar~ d reClJon

rrarf'ec bf dll'JTIO cI
FIRST K2K EVENT

in SUPER-K
o SOD 1000 ISOD 2000

Times (ns)
Fig. 10. Event display of the first in-time SK event with the KEK beam, The unrolled
cylinder display is familiar to most, In this representation, the color of a given PMT hit
represents its timing corrected for photon time of flight from the reconstructed vertex,
and the size of the dot represents the charge collected at the PMT, The white crosses
define a line and a plane giving the place of the reconstructed vertex, Note the upper
right inset showing that the outer detector has no entry or exit cluster of hits, The
bottom right inset histogram shows the hit time distribution for the event, in which a
second peak some 500 ns after the primary is interpreted as being from a decay electron
of a muon in the primary.
Based on a simple analysis of events observed in the fiducial volume of SK

versus expectation, the null hypothesis (no oscillations) is disfavored at the 95%
confidence level. (This statement is also true if one considers the total of all
event classes, but the error for that case is not yet well understood.) After more
statistics are gathered, a full spectral analysis will be useful. For amusement, the
reconstructed neutrino spectrum for contained single ring ~-like events is shown
together with the expectation for no oscillations in fig. 11. It is clearly too early
to draw any real conclusions from this spectrum.
ReconstructedvlJ. Momentum F.e. 22.5kt l-ring Jl-like

10
4 -
o
o 1000 2000 3000 4000 5000
F.e. I-ring l!-like MeV/c
Fig. 11. Spectrum of the observed neutrinos reconstructed from contained single ring
Jl-like events in SK. Clearly, this is not enough statistics to do a spectral analysis yet.
6 Conclusions and Final Remarks
The SK atmospheric results are mature and established. They imply a neutrino
mass splitting, A(m 2 ), of few· 1O-3eV2 with nearly maximal mixing between
the muon neutrino and some other flavor, probably the tau. (Note that the most
recent revision of the Review of Particle Physics [11] refers to this as "convincing
evidence" and quotes the parameter values for the mixing matrix.)
Solar neutrino results are starting to give a more coherent picture. Compari-
son of SK data on spectral and day/night differences with global data (including
SK) on total flux values gives one clearly favored region of parameter space,
the large mixing angle MSW solution. Small mixing and vacuum solutions are
disfavored at approximately the 95% confidence level. With the newly lowered
threshold, it is conceivable that this result could be strengthened enough to
actually solve the long-standing "solar neutrino problem," although other ex-
periments on line now or coming soon may be needed to fully solve the problem.
The K2K long-baseline experiment is running smoothly and has preliminary
results consistent with the SK atmospheric neutrino analysis and disfavoring the
null hypothesis of no oscillations at approximately the 2a level. This experiment
may have the capability to completely settle the already strong case for vI'
oscillations within the next few years.
Proton decay and supernova searches (not explained in detail here) are on-
going with a large series of null results. Proton decay mayor may not eventually
492 Jim Hill
be observed, but galactic supernovae are known to occur and with the 93% de-
tector live time of SK there is a good chance one will be seen in the coming few
decades.
Astrophysics studies and indirect exotic particle searches are now underway
at SK. This paves the ground for a large body of fruitful work yet to come. When
SK was proposed, the statement was made that it would run for 100 years. This
new body of astrophysics searches gives it another useful series of measurements
for the next generation of SK students and scientists.
References
1. James E. Hill, "Super-Kamiokande: first data and preliminary results"
in Very High Energy Phenomena in the Universe, ed. Y.Giraud-Heraud, & J.Tran
Thanh Van, (pp387ff) 1997.
2. A nice overview is given in: Solar Neutrinos: The First Thirty Years,
Raymond Davis, John N. Bahcall, R. Davis Jr., and Peter Parker, 1995.
or the web page of John Bahcall at http://www.sns.ias.edu/ jnb/
or of Paul Langacker at http://www.physics.upenn.edu/neutrino/solar.html
3. "Measurements of the Solar v Flux from Super-Kamiokande's First 300 Days", The
Super-Kamiokande Collaboration, Phys. Rev. Letters, 81, (p1158), 1998.
"Measurements of the Solar v Energy Spectrum Using v-e Scattering", The Super-
Kamiokande Collaboration, Phys. Rev. Letters, 82, (p2430), 1999.
"Constraints on Neutrino Oscillation Parameters from the Measurement of Day-
Night Solar neutrino Fluxes at Super-Kamiokande", The Super-Kamiokande Col-
laboration, Phys. Rev. Letters, 82, (pI810), 1999.
4. Greisen, K. (1960). Ann. Revs. Nuclear Science 10, 63.
or Reines, F. (1960). Ann. Revs. Nuclear Science 10, 1.
5. K.S.Hirata, et al., Phys. Lett. B205 (1988) 416. also B280 (1992) 146.
Y.Fukuda, et al., Phys. Lett. B335 (1994) 237.
6. D.Casper, et al., Phys. Rev. Lett. 66 (1991) 2561.
R.Becker-Szendy, et al., Phys. Rev. D 46 (1992) 3720.
7. "Measurement of a Small Atmospheric v/,/ve Ratio", The Super-Kamiokande Col-
laboration, Phys. Lett. B433 (1998) 9-18,
and "Study of the Atmospheric Neutrino Flux in the Multi-GeV Energy Range",
The Super-Kamiokande Collaboration, Phys. Lett. B436 (1998) 33-41,
both available on the web at http://www-sk.icrr.u-tokyo.ac.jp/doc/sk/pub/
8. "Evidence for Oscillation of Atmospheric Neutrinos" , The Super-Kamiokande Col-
laboration, Phys. Rev. Lett. 81 (1998) 1562-1567
available on the web at http://www-sk.icrr.u-tokyo.ac.jp/doc/sk/pub/
9. "Observation of the East-West Anisotropy of the Atmospheric Neutrino Flux" , The
Super-Kamiokande Collaboration, Phys. Rev. Lett. 82 (1999) 5194
10. S.Desai for the Super-Kamiokande Collaboration, Talk at the 4th International
Symposium on Sources and Detection of Dark Matter in the Universe.
and A.Okada for the Super-Kamiokande Collaboration, "Searches for Astronomical
Neutrino Sources and WIMPs with Super-Kamiokande", contributed paper to 30th
International Conference on High Energy Physics, available at: astro-ph/0007003
11. "Review of Particle Physics", D.E. Groom et al., The European Physical Journal
C15 (2000) 1.
First Neutrino Observations from the Sudbury
Neutrino Observatory
David Sinclair for the SNO Collaboration a
Carleton University, Ottawa, Canada
Abstract. The first neutrino observations from the Sudbury Neutrino Observatory
are presented from preliminary analyses. Based on energy, direction and location, the
data in the region of interest appear to be dominated by 8 B solar neutrinos, detected by
the charged current reaction on deuterium and elastic scattering from electrons, with
very little background. Measurements of radioactive backgrounds indicate that the
measurement of all active neutrino types via the neutral current reaction on deuterium
will be possible with small systematic uncertainties. Quantitative results for the fluxes
observed with these reactions will be provided when further calibrations have been
completed.
1 Introduction
The Sun, as an intense source of neutrinos allows a definitive limit to be de-
termined on the contribution active neutrinos make to the dark matter. If os-
cillations of electron neutrinos into another active flavour of neutrino could be
demonstrated, and if the .1m2 is as small as current solutions to the Standard
Solar model require, then, taken together with the evidence for 1//1 to I/T oscil-
lations and the experimental limits on the electron neutrino mass, the active
neutrino sector could be ruled out a major source of dark matter.
This paper presents the first neutrino observations from the Sudbury Neu-
trino Observatory [1] (SNO), a 1000 tonne heavy-water-based Cerenkov detector
situated 2 km underground in INCO's Creighton mine near Sudbury, Ontario,
Canada. The main physics goal for the Observatory is to study solar neutrinos
both to identify possible neutrino oscillations and to determine the total 8 B
flux produced in the sun to test the solar models. The combination of three
detection reactions provides several sensitive ways to seek evidence for neutrino
flavor change without relying on calculations of initial fluxes from solar mod-
els. The ratio of neutrino fluxes above a threshold, as observed by the CC and
NC reactions provides a very sensitive way to observe transformations to active
neutrinos.
Neutrinos from 8 B decay in the sun are observed from Cerenkov processes
following these reactions:
1. The Charged Current (CC) reaction, specific to electron neutrinos:
d + lie -+ P + P + e- (1)
This reaction has a Q value of -1.4 MeV and the electron energy is strongly
correlated with the neutrino energy, providing very good sensitivity to spectral
distortions.
aFor a complete list of the SNO collaboration olease see Ref. r11.
494 David Sinclair
2. Neutral Current (NC) reaction, equally sensitive to all non-sterile neutrino

types:
Vx + d --} n + p + V x (2)
This reaction has a threshold of 2.2 MeV and is observed through the detec-
tion of neutrons by three different techniques in separate phases of the experi-
ment.
3. Elastic Scattering (ES) reaction:
(3)
This reaction has a substantially lower cross section than the other two and is
predominantly sensitive to electron neutrinos; they have about six times greater
cross-section than f.L or T neutrinos.
The SNO experimental plan calls for three phases of about one year each
wherein different techniques will be employed for the detection of neutrons from
the NC reaction. During the first phase, with pure heavy water, neutrons are
observed through the Cerenkov light produced when neutrons are captured in
deuterium, producing 6.25 MeV gammas. In this phase, the capture probability
for such neutrons is about 25% and the Cerenkov light is relatively close to
the threshold of about 5 MeV electron energy, imposed by radioactivity in the
detector. (Figure 1). For the second phase, about 2.5 tonnes of NaCI will be added
to the heavy water and neutron detection will be enhanced through capture on
CI, with about 8.6 MeV gamma energy release and about 83% capture efficiency.
(See Figure 1). For the third phase, the salt will be removed and an array of
3 H e- filled proportional counters will be installed to provide direct detection of
neutrons with a capture efficiency of about 45%.
Events from the CC and ES reactions can be distinguished through the very
different directional response. The ES reaction is strongly peaked away from the
Sun, whereas the CC reaction has a form of approximately 1 - 1/3cos()sun, with
about a factor of two difference in rate between forward and backward directions
relative to the Sun. The angular resolution of the detector is better than 25
degrees. The NC rate may be determined during the pure D 2 0 phase partly
through a distinctive variation as a function of radius. However, the definition
of the number of events observed with this reaction is clearly enhanced by the
addition of salt (see Figure 1), and will be determined independently of the
Cerenkov signals when the 3 He-filled proportional counters are installed. The
observed spectrum for the CC reaction is a very sensitive indicator of distortions
caused by the MSW effect[3] because the energy of outgoing electrons is strongly
correlated with the incoming neutrino energy and the detector energy resolution
is better than 20% for the range of interest. With the relatively high statistical
accuracy indicated by Figure 1, the SNO detector will also provide sensitive
measurements of the solar neutrino flux as a function of zenith angle to search
for MSW regeneration in the Earth. Correlations between flux, energy spectrum,
zenith angle and time of year will also be studied. With the variety of reactions
to be studied, the SNO detector can explore oscillations via the MSW effect or
Sudbury Neutrino Observatory 495
I-
~
Q. U/Th in 0,0 ond H,O
~ ES (BP98)
~
a. CC (BP98)
.,>.0
~
C 0 2 0 (BP98)
.,a.
~
C Solt (BP98)
0
0
.S 10 2 , ,
., ,
, .,
'0
"0
"\
2 I ,_
U;
c
.,u
0
......." / /, \
Il::: ,-' / ,
\ ....
III
C " / '
u"
0
/' / \
10 / \ '.'
/ \
,'.
, '.
/ \
\
\
\
r \
\
1 <--I-,--,--,--_L-.-.>~ __
20 40 60 80 100 120 140 160
umber of hit P~Hs
Fig. 1. Simulations of spectra obtained from the three detection reactions

(CC,ES,NC)for neutrino fluxes as calculated[2) by BP98. Spectra from the NC re-
action are shown for pure heavy water and with added salt. The expected counting
rate from U and Th radioactivity in the water is also shown. An MeV of electron energy
corresponds to about 9 photomultipliers (PMT's) hit.
vacuum oscillation processes over the full range of parameters consistent with
previous experiments. It could provide clear evidence for electron neutrino flavor
change, including transformations to either active or sterile types.
2 Detector Performance
The SNO detector consists of 1000 tonnes of pure D 2 0 contained within an

acrylic vessel (12 m diameter, 5 cm thick), viewed by 9438 PMT's mounted
496 David Sinclair
on a geodesic structure 18 m in diameter, all contained within a polyurethane-

coated barrel-shaped cavity (22m diameter by 34 m high). The cavity volume
outside the acrylic vessel (AV) is filled with purified H 2 0. There are 91 PMT's
looking outward from the geodesic structure, viewing the outer H 2 0 volume. The
SNO detector has been filled with water since May, 1999. After a commissioning
period, the detector parameters were fixed at the start of November 1999 and
neutrino data acquisition and associated calibrations have been taking place
almost continuously since then. In this initial phase of the project, the detector
is filled with pure heavy water.
Detector calibration is being carried out with a variety of techniques and
sources. Electronic calibrations of pedestals, slopes and timing are performed
regularly with pulsers. The 600,000 electronic constants are very stable. Optical
properties of the detector have been studied using a diffusing ball, (Laserball)
receiving light from a pulsed laser system providing wavelengths between 337
and 700 nm with variable intensity at repetition rates from near 0 to 45 Hz.
This source and other calibration sources are moved within the D 2 0 volume
using a manipulator system capable of positioning them to better than 5 cm.
A nearly mono-energetic 16 N gamma ray source has also been deployed. The
variation of the detector response with agrees with the Monte Carlo prediction
to better than 2%.
An acrylic- encapsulated 242C f fission neutron source has been deployed to
study the neutron response of the detector. Other sources being prepared include
a 19.8 MeV gamma source produced by the (p,t) reaction, a triggered source for
the 232Th and 238U chains producing 2.6 and 2.4 MeV gammas and a source of
8 Li, emitting betas up to 13 MeV. The short-lived 16 Nand 8 Li activities are
produced by a pulsed neutron generator located near the SNO detector and are
transported via capillary tubing to decay chambers within the detector volume.
3 Observations to Date
In addition to Cerenkov light produced by neutrinos and radioactivity, there

can be other sources of "instrumental light" arising from parts of the detector.
For example, it is well known that PMT's can occasionally emit light, perhaps
through internal electrical discharges. Light from these sources has very different
characteristics from the typical patterns observed for Cerenkov light at solar
neutrino energies. The light from a flashing PMT shows an early trigger for
the flashing PMT, followed by light observed across the detector, at least 70 ns
later. For SNO, six or more electronic channels surrounding the flashing PMT
typically show pickup signals, distinguishing the events further from Cerenkov
events.
Figure 2 shows the raw spectrum of events (solid line) observed with the detector
for a fraction of the data obtained since the start of data taking in November,
1999. The events are plotted against NHIT, the number of PMT's contained in
a 400 ns second window surrounding the detector trigger (more than about 20
PMT's hit within a 100 ns window). NHIT is approximately proportional to the
electron energy for a Cerenkov event, with about 9 NHIT corresponding to 1

MeV. Only a fraction of the data have been shown as the remainder are being
saved for a comparison after the cuts have been fully defined.
s
c
'0
.r:.
N
Q)
Q.
Row hi Spectr m
--
Ul
C
Q)
PMT Ins. Lig t Re oved
And ECKs OWLs Removed
w>
A d Pic p Re oved
10
200
its
Fig. 2. Progression of instrumental cuts.
The dashed line shows the residual data after cuts have been imposed to re-
move events that show characteristics matching the Flashing PMT's. The dotted
line shows the residual data after further cuts are imposed to remove another
class of events associated with bursts of light from the neck region of the detec-
tor. These events may arise from static discharges of insulating materials. Four
additional PMT's were installed in this region in September, 1999. They clearly
observe these events and are very insensitive to light generated in the detector
itself, as determined from the calibration sources. The dot and dash line shows
the residual events after the imposition of further cuts which eliminate events
498 David Sinclair
that show characteristics of pickup in the electronic systems. To ensure that

these cuts do not remove a significant number of neutrino events, the fraction
of signal loss was tested with the 16 N source and found to be less than 1%.
Following these cuts, algorithms based on timing and spatial information were
used to reconstruct the position and direction of the events. Figure 3 shows the
resulting spectrum for a large fiducial volume.
Comparison of Data and Scaled SSM

(f)
+-'
c:
v
~ 10
S 0 Preliminary
Scaled SSM
10 ••
Data
10
40 60 80 100 120 140 160 180 200

Nhits
Fig. 3. Distribution of events versus number of hit PMTs.
Superimposed on the data is the simulated spectrum for the CC reaction in

Figure 1, scaled to the data. As the calibrations are not yet complete, the SNO
collaboration has chosen not to quote a number for the flux of electron neutrinos
measured by the CC reaction on deuterium. However, it should be apparent from
the figure that the spectrum is well defined so that an accurate measurement
will be obtained when further calibrations have been completed.
S 0 Preliminary
80
70
60
50
40
.30
20
10
Low NHIT Thre hold, Large Fiducial Volume
0_ 1 -O.B -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1
cos(~....)
Fig. 4. Distribution of events versus cosO. un .
Figure 4 shows events as a function of the direction to the sun for a lower
energy threshold and a larger fiducial volume. Even with somewhat more radioac-
tive background included by these parameter choices, the peak at cosf)sun = 1
from the ES reaction is apparent.
Figure 5 shows the distribution of events as a function of (radius/600cm)3,

for a high energy threshold. The radius of the AV is 600 em, so the heavy water
volume corresponds to values less than 1. It is apparent that there is a clear
excess of events in this region, indicating the substantial contribution from the
CC reaction on deuterium.
500 David Sinclair
3
Rfit Distr'ibution
,,
.....til
c ,,,
w>
Q)
,,
,
LargeNIDT
,,,
,,
100 - ,,
90
1
+++++
BO
70 T
60
50
40
30
20
10 f- SNO Preliminary
I I I I I I I I I
o 0.2 0.4 0.6 0.8 1.2 1.4 1.6 1.8 2
(r/600cm)3
Fig. 5. Distribution of events versus radius cubed,
4 Radioactive Backgrounds
Radioactive backgrounds which contribute to the Cerenkov light in the detector
arise from the decay chains of 238U and 23 2 Th impurities in the water and other
detector materials. At low energies, the dominant contributions come from impu-
rities in the water. These contributions can be measured through the radioassay
of the light and heavy water. They can also be measured independently through
observation of the low energy region of the Cerenkov spectrum for events re-
constructing in the water regions. Sensitive techniques have been developed for
radioassay of 224 Ra, 226 Ra and 222 Rn in the water. The measurements for Ra
are performed by extracting the Ra on beads coated with manganese oxide or
on ultrafiltration membranes coated with hydrous titanium oxide. After sam-
pling hundreds of tonnes of water, these materials are measured for radioactive
decay of the Ra with techniques sensitive to tens of atoms. (see reference[l] for
more details) The 222 Rn is measured by degassing 50 or more tonnes of water
and collecting the Rn gas with liquid nitrogen-cooled traps. The collected gas
is then counted with ZnS coated scintillation cells (Lucas cells) to observe the
alpha decays. These techniques have been employed to make very sensitive mea-
surements of the water, as shown in Figure 6 where the progress in reducing the
backgrounds can be seen. The targets for the light water are also being achieved.
The light water in the SNQ detector is designed to attenuate higher energy
gamma rays (fission and alpha-induced) from radioactivity in the cavity walls
and the PMT support structure. High energy events reconstructed in the light
water volume outside the AV are found to be predominantly inward going and
the numbers decrease rapidly as a function of radius. Using calibration data from
the 16 N source positioned near the PMT's, extrapolations of the number of high
energy gammas interacting within the D 2 0 volume indicate that fewer than a
few percent of the events above NHIT = 60 in Figure 3 arise from external high
energy gammas. In addition to the contributions to Cerenkov light, the presence
of Th and U chain elements can produce a background for the NC reaction
through the photodisintegration of deuterium by 2.6 MeV gammas from the Th
chain and 2.4 MeV gammas from the U chain. The horizontal lines in Figure 6
individually represent contributions to the neutron background in the detector
from photodisintegration equivalent to 5% of the signal expected for the NC
reaction for the neutrino flux[2] of BP98. As is apparent from the figure, these
goals have been met for the U chain and are met within a factor of two for the
Th chain.
5 Conclusions
Based on energy, direction and location information, the data in the regions of
interest in Figures 3 to 5 appear to be dominated by 8 B solar neutrino events
observed with the CC and ES reactions, with very little background. This implies
that measurements during the pure heavy water phase will provide an accurate
measurement of the electron neutrino flux via the CC reaction after completion
of further calibrations. The measurements of radioactivity imply that the NC
measurements can be made with only a small uncertainty from the radioactive
background.
6 Acknowledgments
This research has been financially supported in Canada by the Natural Sciences
and Engineering Research Council, Industry Canada, National Research Council
of Canada, Northern Ontario Heritage Fund Corporation and the Province of
Ontario, in the United States by the Department of Energy, and in the United
Kingdom by the Science and Engineering Research Council and the Particle
Physics and Astronomy Research Council. Further support was provided by
INCO, Atomic Energy of Canada Limited (AECL), Agra-Monenco, Canatom,
502 David Sinclair
Radioactivity in D20 from Water Assays
r
-12
222Rn [U]
10
g 10 t __ -13 . . _._ !..tl_ _ _._ oa_l: ~?_>.:.. I.~?:l,t o/..L _.

9._
b.O -14
r un
r tr
10
-15 r
10 I=--!'" L...-._ _- L L...-._....!:-}_~_ _- L - - - I
-13 22~a [Th]

10 ~
1
~ 0 -14 1
b.O 1 ~ _._ _ -.- -f-J-T.+ __<!. ~!.~l!.: ~:. ?.~ ~y~I.~ . ~!!~ _ .
-15
10 ~
226.-
-13 [U]
10 r
~-----------------'::..::-_----j
Goal: 4.5 x 10
.14.
gig
Ka
-14
r
b.O
~ 10 J
-15 + T
10 r J
10 -16 I
L..-_ _- L_ _- - - 'I- L . . - - - ' - _ - IL I
L...-._ _-IL - ~
1999.4 1999.6 1999.8 2000 2000.2 2000.4

Time (year)
Fig. 6. Measurements of Radium from the Th and U chains and Radon from the U
chain in D 2 0.
Canadian Microelectronics Corporation and Northern Telecom. The heavy water

has been loaned by AECL with the cooperation of Ontario Hydro. The provision
of INCO of an underground site is greatly appreciated.
References
1. J. Boger et al, Nucl.Instrum.Meth. A449 (2000) 172-207.
2. J.N. Bahcall, S. Basu and M. H. Pinsonneault, Phys. Lett. B433 (1998) 1.
3. L. Wolfenstein, Phys. Rev. D17 (1978) 2369; S.P. Mikheyev and A.Y. Smirnov,
Sov. Jour. Nucl. Phys. 42 (1985) 913.
Evidence for Neutrino Oscillations in LSND
Darrel Smith, for the LSND Collaboration [1]
College of Arts & Sciences, Embry-Riddle University, Prescott, AZ 86301 USA
Abstract. The LSND experiment at Los Alamos has concluded its search for DIJ. -+ De
oscillations using DIJ. from p,+ decay at rest and for vI' -+ V e oscillations using vI' from
1r+ decay in flight. A total excess of 83.3 ± 21.2 ± 12.0 events is observed in the DIJ. -+ De
search, while an excess of 8.3 ± 5.5 ± 4.0 events is observed in the vI' -+ V e search.
If the excess events are attributed to neutrino oscillations, the most favored allowed
region from a fit to the entire data sample is a band from 0.2 to 2.0 ey 2 . The results
imply that at least one neutrino has a mass greater than 0.4 eY/c 2 and that neutrinos
contribute more than 1% to the mass of the universe.
1 Introduction
The LSND experiment collected data for six year (1993-1998) at which time the
LAMPF/LANSCE accelerator operated for 17 months and delivered 38,898 C
(",0.3 g) of protons on target. Evidence for neutrino oscillations from the LSND
experiment has been publsihed for both vlJ. -+ ve [2,3] and IJIJ. -+ IJe [4] oscilla-
tions. In this paper we report the final LSND oscillation results for the entire
1993-1998 data sample and perform a global analysis that combines both os-
cillation channels. Furthermore, a new algorithm for improving the spatial and
angular resolutions is included in this analysis.
In the old fitting algorithm, the reconstructed position was impaired due to
the charge response of the 8-inch phototubes used in LSND (Hamamatsu R1408).
The single photoelectron distribution is a broad Guassian peak followed by an
exponential charge tail that extends to arbitrarily high values. Since the position
and angle fits are weighted by the charge of 'hit' phototubes, this charge tail has
the effect of smearing the position and angle of reconstructed events. Likewise,
it also smears the energy resolution. At 50 MeY the electron energy resolution
is ",7%, which is much worse than the "-'3% resolution expected from photon
statistics alone. To overcome this effect, a new reconstruction was developed
that weights the hit phototubes by their expected charge instead of their actual
charge. This resulted in an improvement in the correlated positions for muon de-
cay events. With the new algorithm, the mean reconstructed distance between
the muon and the daughter electron was improved from 22 em to 14 em. Fur-
thermore, the most likely distance betwen a neutrino interaction and a captured
neutron (veP -+ e+n) has improved from 74 cm to 55 em.
504 Darrel Smith
2 The LSND Experiment
The Liquid Scintillator Neutrino Detector (LSND) experiment at Los Alamos [5]
was designed to search with high sensitivity for ii,.. -7 iie oscillations from p,+
decay at rest (Fig. 1). Neutrino interactions were observed from 1993 to 1998
and data were recorded and analyzed to search for low-energy iie interactions
(20 < E e < 60MeV) as well as high-energy V e interactions (Ee > 60MeV). The
last, and final, running period for the LSND experiment ended in December
1998.
..
Fig. 1. The A6 target and the LSND detector.
2.1 Neutrino Production at LANSCE
The LANSCE accelerator is an intense source for low energy neutrinos due to its
1 rnA proton current with 800 MeV kinetic energy. For the 1993-1995 running
period the beam stop consisted of a 30-cm long water target (20-cm in 1993)
followed by a water-cooled copper beam dump, while for the 1996-1998 running
period the beam stop was reconfigured with the water target replaced by a close-
packed high-Z target for testing tritium production. The new beam stop reduced
the neutrino flux by 2/3, while the pion decay-in-flight neutrino flux was only
reduced by 1/2. The change in neutrino flux due to the 1996-1998 modifications
provided a systematic check to the previous data set.
The LANSCE neutrino source is well understood because almost all the neu-
trinos are due to 1l'+ or p,+ decay, while 1l'- and p,- are readily captured in the Fe
shielding and Cu beam stop [6]. Both 1l'+ and 1l'- mesons are copiously produced
in the target area. Their subsequent decays into muons and electrons yields the
following neutrinos (v e, v,.., ve, and v,..). Two concurrent neutrino sources are
produced as the 800 MeV protons interact with the target, the decay-at-rest
(DAR) neutrinos (ii,..'s) and the decay-in-flight (DIF) neutrinos (v,..'s).
Evidence for Neutrino Oscillations in LSND 505
2.2 The LSND Detector

The LSND detector [5] consists of an approximately cylindrical tank 8.3 m long
by 5.7 m in diameter. On the inside surface of the tank 1220 8-inch Hama-
matsu phototubes provide 25% photocathode coverage. The tank is filled with
167 metric tons of mineral oil doped with 0.031 gj f of b-PBD scintillator. The
low scintillator concentration permits the detection of both Cernkov and scintil-
lation light and yields an acceptable attenutation length of more than 20 m for
wavelengths greater than 400 nm.
A typical 45 MeV electron created in the detector produces a total of '"1500
photoelectrons, of which ",280 are approximately in the Cerenkov cone. Using
the charge and time information from the phototubes, the neutrino interac-
tions are reconstructed with a position resolution ",14 cm, an angular resolution
",12 degrees, and an energy resolution of ",7%. The Cerenkov cone for relativistic
partices and the time distribution of the light give excellent particle identifica-
tion. Since the detector is operated above ground at an elevation of 7,000 feet,
a veto shield [8] also surrounds the detector to tag cosmic ray muons passing
through the detector.
3 Data Analysis
The primary oscillation search in LSND is the search for vJ.l --+ ve oscillations,
where the vJ.l appears from J..L+ decay at rest in the beam stop and the ve is
identified through the reaction veP -+ e+n. This reaction has a two-step signature
with a prompt positron (with an endpoint energy of 52 MeV) and a correlated
2.2 MeV 'Y from neutron capture on a free proton. The e+ je- selection criteria
(LSND is unable to determine the sign of the charge) for this primary oscillation
search is the following:
• no events within 8 Ils in the future or within 121ls in the past of the primary
event in order to eliminate muon decay events,
• the particle rD, XP' is in the range -1.5 < XP < 0.5, where the range values
are determined by maximizing the acceptance divided by the square root of
the beam-off background,
• less than 4 veto hits associated with the event, and the time of the nearest
veto hit must be more than 30 ns from the event time,
• the e+ energy is required to be in the range 20 < Ee < 60 MeV,
• the reconstructed position 0f the event must be more than 35 cm from the
nearest phototube surface, and finally
• there can be no more than one correlated 'Y with Ity > 10 (see below) in
order to reduce the background from cosmic-ray neutrons.
To determine if a 2.2 MeV 'Y is associated to an event, a likelihood ratio, Ity,

is defined to be the likelihood that the 'Y is correlated divided by the likelihood
that the 'Y is accidental. The likelihood ratio depends on three quantities:
506 Darrel Smith
Accidental go,.."..
Ao;:ldM1ta1~
(a) (b)
Co<Telated Ganvnas
10' eorrelal-.d" QIIlTWNS
'0'
+
Fit to line.. superposition
.!2 Data
cCD
>
w v. lZC -+.- 12Ng..,
-+- Data v. C -+ 11- X
V~ C -+~. X
t .....
,, - -
J1. n
p __
v~ p -+
\0' '0'
1- - ..
- ..
-
~;-
--
'0
",. -o.ocl4 t 0.007

Ie. 0.129 i 0.013
Xl • 8.219 (DOf)
X' • '.619 (DOf)
-,
'0
10-' 10'
-.
'0
10-' 10 10'
Hy
'0
Ry
Fig. 2. The gamma identification parameter, R"'Y is calculated for neutrino interactions
with inclusive and exclusive final states. (a) The R"'Y distribution for v interactions
where no neutrons are expected, and none are observed. (b) The R"'Y distribution for
v interactions where "-'13% of the events have neutrons in the final state when "-'14%
are expected.
• the number of hit phototubes associated with the 1,

• the distance between the reconstructed 1 and e+, and
• the time between the 1 and e+.
A consistency check was made by measuring the R, distributions (Figs. 1,2)

for veC ~ e-N gs exclusive events [9], where the Ngs beta decays, and vJLC ~ J.L-X
and vJLC ~ J.L+X and vJLP ~ J.L+n inclusive events [10]. The exclusive reaction has
no recoil neutron, so the R, distribution should be consistent with a purely ac-
cidental 1 distribution. A fit to the R""( distribution finds that the fraction of
events (fc ) with a correlated 1 is fc = -0.004 ± 0.007 (X 2 = 4.6/9 DOF). For the
inclusive reactions, correlated gammas are expected for "-'14% of the events [11].
The observed fraction is "-'13% and is in good agreement with theory. With the
new reconstruction algorithm, the correlated 1 efficiency has increased while the
accidental 1 efficiency has decreased. For R, > 10, the correlated and accidental
efficiencies are 0.393 and 0.003, respectively. This is compared to the old recon-
struction where the correlated and accidental efficiencies were 0.230 and 0.006,
respectively.
The secondary oscillation search in LSND is the search for vJL ~ V e oscilla-
tions where the vJL is produced from 11"+ decay in flight in the beam stop and the
V e are identified through the reaction veC ~ e-X. The electron selection criteria
for this oscillations search is alsmost the same as for the primary search except
that the electron energy is required to be in the range 60 < E e < 200MeV and
there must be no associated 2.2 MeV 1.
4 Neutrino Oscillation Results
The events satsifying the electron selection criteria for the primary vJL -t ve
oscillation search are shown in Table 1. An excess number of ve events is observed
over what is expected from the beam-off and neutrino backgrounds. The Ry
distribution for these events is shown in Fig. 3. A fit to the R1' distribution gives
= =
fc 0.0578 ± 0.0108 (X 2 9.2/9 DOF), which gives a beam-on minus beam-off
excess of 113.3 ± 21.2 events with a correlated neutron.
Accidental gammas
Correlated gammas
Fit to linear superposition
,--- -
f- - - -
r " - _ ....
1-- _.#
1-" ... -
,--_ .
10
f c = 0.0578 ± 0.0108
X2 = 9.2/9 (DOF)
Fig. 3. The gamma identification parameter, R"{ is shown for the e+ /e- events that
pass the electron selection described earlier in this section (no R"{ cuts). A significant
number of events are observed for R"{ > 10. Fitting the ~ distribution, the beam-on
minus beam-off excess is 113.3 ± 21.2 events.
The most significant backgrounds are due to two neutrino interactions. The
first is veP -t e+n where the ve is due to J..L- decay at rest (21.6 events). The
second is vJLP -t J..L+n where the vJL is due to 1T- decay in flight (8.4 events).
This background estimate also includes contributions from vJLC -t J..L+nX and
vJLC -t J..L-nX. After background subtraction, the total excess is 83.3 ± 21.2
events or an oscillation probability of (0.25 ± 0.06 ± 0.04)%. This is consistent
with the oscillation probability obtained using the old reconstruction (0.33 ±
0.09 ± 0.05)%.
508 Darrel Smith
Table 1. Beam-on events that satisfy the selection criteria for the primary DJL -+ De
oscillation search with R,. > 1, R,. > 10, and R,. > 100
Selection & Efficiency Beam-on Beam-off 1/ Background Event Excess

Events Background
R., > 1 (51.15%) 195 98.1 ± 2.4 37.7 59.2 ± 14.2

R., > 10 (39.29%) 83 33.7 ± 1.4 16.6 32.7 ± 9.2
R., > 100 (16.86%) 25 7.9 ± 0.7 5.4 11.7 ± 5.0
A relatively clean sample of oscillation candidate events can be obtained by

selecting Ry > 10 from Table 1. The beam-on minus beam-off excess is 49.3 ± 9.2
events while the neutrino background is only 16.6 events. The electron energy
distribution for the Ry > 10 events is shown in Fig. 4. The shaded region shows
the neutrino background while the curves show the expected distributions where
the neutrino background is combined with the either a low- or high-~m2 hypoth-
esis. The data are consistent with the oscillation hypothesis.
_ vbock&l"'"'d
60
Fig. 4. The energy distribution of electron events with R,. > 10. The shaded region
shows the estimated neutrino background while the histograms show the expected
distributions from the neutrino background combined with either the low- or high-
~m2 hypothesis.
CHaO
10
10
-1
.........! 1 ..
10- 2 L.-_-J_~~_ _.....J._~~_ _......L-.L. "'"'"
3 2 1
10- 10- 10- sin 2 20
Fig. 5. A ~m2 vs. sin 2 28 oscillation parameter fit was done for the entire data sample,
20 < E e < 200 MeV. The fit includes both VI" -+ ve and VI" -+ V e oscillations, as well
as all the neutrino backgrounds. The 90% and 99% CL allowed regions are shown for
LSND. The other curves show the excluded regions (90% CL) from the Bugey reactor
experiment, the CCFR experiment at Fermilab, the NOMAD experiment at CERN,
and the KARMEN experiment at ISIS.
The electron events passing the Ry > 10 cut were investigated further to
determine whether they were consistent with iie interactions. The spatial distri-
bution of electron events along the x, y, and z-axes with Ry > 10 were found
to be consistent with the distributions from vee -+ e-N gs where the reaction
is identified by the Ngs beta decay. A second check was made by searching for
excess events with > 1 correlated 'Y. If the excess events are truly due to the
reaction iieP -+ e+n, then there should be no events with> 1 correlated gamma
because the recoil neutron is too low in energy ( <5 MeV) to knock out additional
neutrons. However, Table 2 shows that the number of excess events with more
than one correlated 'Y is approximately zero, and consistent with the iieP -+ e+n
reaction.
If the excess flavor-changing events are due to neutrino oscillations between
two mass eigenstates, then an allowed region on a Llm 2 vs. sin2 20 plot can be
determined. A Llm 2 vs. sin 2 20 oscillation parameter fit was done for the entire
data sample, 20 < E e < 200 MeV, and is shown in Fig. 5. The fit includes both
iij.L -+ iie and Vj.L -+ Ve oscillations, as well as all the neutrino backgrounds.
510 Darrel Smith
Table 2. Beam-on minus beam-off excess events that satisfy the selection criteria for
the primary iip. -t iie oscillation search with one associated 'Y (Ry > 10) and with> 1
associated 'Y (Ry > 10). The number of excess events with> 1 correlated 'Y is approxi-
mately zero, which is consistent with the reaction iieP -t e+n.
Energy Selection 1 Associated 'Y > 1 Associated 'Y
20 < Ee < 60MeV 49.2 ± 9.1 -2.8 ± 1.7

36 < E e < 60MeV 20.8 ± 5.8 -2.8 ± 1.0
The most favored allowed region is the band from 0.2 to 2.0 ey2, however,
a region around 7 ey2 is also permitted. A fit to the 60 < Ee < 200 MeY data
(vl-t -t V e oscillations only) exhibits a total excess of 8.3 ± 5.5 ± 4.0 oscillation
events or an oscillation probability of (0.09 ± 0.06 ± 0.04)%. This is consistent
with what is expected at low 6m2 « 2 ey2). Note that the high energy vl-t -t V e
data sample includes the 1996-1998 data, which had reduced flux and higher
beam-off background compared to the 1993-1995 data.
>C1J
~
LSND 90% and 99%

v-<@$ffi$$-·
~llC
Confidence Level
.
''-
.-
.-
1993-1998
"';'''''.
' .................
'0
-, .,.,.., ..
dashed BooNE sensitivity shown in proposal ---.
dotted BooNE single-hom design with •••••• _._
ideal cut efficiencies -
'0
-, solid BooNE single-hom design with
conservative cut efficiency
Ve +-+ VI!
90% Confidence
-,
'0
Sensitivity
Fig. 6. The sensitivity of the Booster Neutrino Experiment (BooNE) at Fermilab. The
BooNE experiment will take data starting early 2002, and within a year, collect enough
data to confirm or refute the oscillation interpretation given to the LSND appearance
experiment.
5 Conclusions
The LSND experiments observes an excess of De events in the channel DeP -+ e+n,
and a smaller excess of high energy vee -+ e-X events. If these excess events are
truly due to neutrino oscillations, then LSND is the only experiment that has
observed evidence for appearance neutrino oscillations. The oscillation interpre-
tation would imply that there is at least one neutrino with a mass greater than
0.4 eV 2 . Furthermore, neutrinos would comprise more than 1% of the mass of
the universe.
Finally, there is an experiment under construction at Fermilab (E898) the
Booster Neutrino Experiment (BooNE) [12]. The purpose of this experiment is to
confirm or refute the neutrino oscillation interpretation given to the LSND data.
Construction of the BooNE experiment should be finished by December 2001,
and the detector will start taking data in early 2002. BooNE will be sensitive to
Vp. -+ V e oscillations by searching for the reaction vee -+ e-X. The sensitivty of
the BooNE experiment after one year of running is shown in Fig. 6. The current
detector is rv 0.5 km downstream from the neutrino source, and if a signal is
observed, a second detector will be built further downstream to explore more
precisely the Am 2 - sin 2 2B parameter space.
6 Acknowledgements
The author wishes to thank the scientists and staff at Los Alamos National
Laboratory and Fermilab for their valuable support. This work was supported
in part by a grant from the National Science Foundation (9972359).
References
1. The LSND collaboration

L. B. Auerbach(i), RL. Burman(e), D.O. Caldwell(c), E. Church(al, J. Donahue(e),
A. Fazely(h), G. T. Garvey(e), RM. Gunasingha(h), R Imlay(f), K. Johnston(g),
H. J. Kim(f), W. C. Louis(e), R Majkic(i), A. Malik(g), W. Metcalff), G. B. Mills(e)
V. Sandberg(e), D. Smith(d), I. Stancu(a), W. Strossman(a), M. K. Sung(f),
R Tayloe(e), G. J. VanDalen(a), W. Vernon(b), N. Wadia(f), D. H. White(e), and
S. Yellin(c),
(a) University of California, Riverside, (b) University of California, San Diego,
(c) University of California, Santa Barbara, (d) Embry-Riddle University, (e)Los
Alamos National Laboratory, (f) Louisiana State University, (g) Louisiana Techni-
cal University, (h) Southern University, (i) Temple University
2. C. Athanassopoulos et al.: Phys. Rev. Lett. 75, 2650 (1995)
3. C. Athanassopoulos et al.: Phys. Rev. C 54, 2685 (1996)
C. Athanassopoulos et al.: Phys. Rev. Lett. 77, 3082 (1996)
4. C. Athanassopoulos et al.: Phys. Rev. Lett. 81, 1774 (1998)
C. Athanassopoulos et al.: Phys. Rev. C 58, 2489 (1998)
5. C. Athanassopoulos et al.: Nucl. Instrum. Methods A 388, 149 (1997)
512 Darrel Smith
6. R.L. Burman, M.E. Potter, and E.S. Smith: Nucl. Instrum. Methods A 291, 621
(1990)
R.L. Burman, A.C. Dodd, and P. Plishcke: Nucl. Instrum. Methods in Phys. Res.
A 368, 416 (1996)
7. R.A. Reeder et al.: Nucl. Instrum. Methods A 334, 353 (1993)
8. J.J. Napolitano et al.: Nucl. Instrum. Methods A 274, 152 (1989)
11. E. Kolbe, K. Langanke, F.-K. Thielmann, and P. Vogel: Phys. Rev. C 52, 3437
(1995)
12. E. Church et al.: "A proposal for an experiment to measure vI' --t V e oscillations
and VI' disappearance at the Fermilab Booster: BooNE", LA-UR-98-352, Fermilab
experiment 898.
Neutrino Mass from Tritium f3- Decay
Christian Weinheimer
Institute of Physics: Joh. Gutenberg University: 55099 Mainz: Germany
Abstract. Two experiments: the Mainz Neutrino Mass Experiment and the experi-
ment at Troitsk/Russia: are investigating the endpoint region of the tritium f3 decay
spectrum to determine the mass of the electron antineutrino. Combining all their
data from 1994 to 1999: but also accounting for a step-like anomaly: the Troitsk
group obtains m~ = -1.0 ± 3.0 ± 2.1 ey 2 /c 4 : which corresponds to an upper limit
of m v < 2.5 eY /c 2 (95 % C.L.). With its recently improved setup the Mainz experi-
ment took data over more than 7 month in 1998 and 1999. For these measurements
two different analysis are presented leading to m~ = +0.6 ± 2.8 ± 2.1 ey 2 /c 4 and
m~ = -1.6 ± 2.5 ± 2.1 ey 2 /c 4 : from which upper limits of m v < 2.8 eY/c 2 (95 %
C.L.) and m v < 2.2 eY /c 2 (95 % C.L.) are derived. Only in one of six data sets a
clear indication for the anomaly: reported by the Troitsk group: was found: and its
postulated half year period is contradicted by the Mainz data. The perspective on a
future experiment with sub eY/ c2 sensitivity is discussed.
1 Introduction
Also the updated results: presented at the summer 2000 conferences: on atmo-
spheric and solar neutrinos can only be explained by the existence of neutrino
oscillations [1]. Neutrino oscillation requires non-zero neutrino masses and has
therefore strong consequences for particle physics as well as for astrophysics
and cosmology. Neutrino oscillation experiments determine differences of neu-
trino mass squares not absolute mass values. The latter are accessible via the
kinematics of weak decays. The investigation of the tritium f3 spectrum near its
endpoint is the most sensitive of these so-called direct methods and provides
information complementary to the searches for neutrinoless double f3 decay.1
Tritium f3 decay is the ideal method to distinguish between hierarchical and
degenerate neutrino mass models. Furthermore: neutrino masses up to about
1 eV/c 2 are especially interesting for cosmology because of their contribution to
the missing dark matter in the universe.
Tritium f3 decay experiments are currently running at Mainz and Troitsk
[2;3]. They both use spectrometers; which are called Magnetic Adiabatic ~olli
mation followed by a retarding E.lectrostatic Filter (MAC-E-Filter; also called
1 The "electron neutrino massr. m(lIe ) determined by tritium 13 decay as m 2(lI e ) =
L: lUeil 2 m; (if the different neutrino mass eigenstates mi are not resolved) is a real
average of all neutrino mass eigenstates mi contributing to the electron neutrino lie
according to the neutrino mixing matrix U - no cancellation is possible. However:
L
the search for neutrinoless double f3 decay is sensitive to (m(lIe )) = I U:im;j.
514 Christian Weinheimer
Solenoid Retarding Spectrometer) [4:5]. These integrating spectrometers com-

bine both a very high energy resolution (,1E = 2 - 6 eV at 20 keY, tunable)
and a large acceptance (,1Q/21r = 0.2 - 0.8: tunable).
This paper is structured as follows: The Troitsk experiment and its results
are described in section 2. The Mainz Neutrino Mass Experiment and its recent
results are presented in section 3. The conclusion are drawn in section 4.
2 The Troitsk Experiment

The Troitsk experiment uses a windowless gaseous molecular tritium source as
f3 source connected to a MAC-E filter of 1.5 m diameter [5]. From their first
measurement in 1994 on the Troitsk group reported the observation of a small
anomaly in their experimental spectrum a few eY below the f3 endpoint Eo,
which looks like a sharp step of the count rate [6]. Since the Troitsk spectrometer
is integrating: this step corresponds to a line in the primary spectrum with a
relative intensity of about 10- 10 of the total decay rate. From 1998 on the Troitsk
group reported that the position of this line oscillates with a frequency of 0.5
years between 5 eY and 15 eY below Eo [3] (s. also figure 2).
Fitting a standard f3 spectrum to their data results in significantly negative
values of m~ of -10 to -20 ey 2 /c 4 . Adding a monoenergetic line: free in ampli-
tude and position, to a standard f3 spectrum gives for the Troitsk data values
of m~ compatible to zero. The average of all runs up to 1999 accounting for the
anomaly is [7]:
m~ = -1.0 ± 3.0 ± 2.5 ey 2 /c 4
which corresponds to an upper limit of
m v ::; 2.5 eY /c 2 (95 o/c c.1., unified approach)
3 The Mainz Neutrino Mass Experiment

The Mainz experiment uses a solid source of molecular tritium: quench condensed
on a graphite substrate (HOPG): which is atomic flat on a microscopic scale. The
upgrade of the Mainz experiment in the years 1995 to 1997 [2,8:9] allows now
to use films of a typical thickness of about 480 A, which corresponds to about
140 monolayers. The source diameter is 17 mm giving a luminosity which is
equal to the Troitsk one, although the Mainz spectrometer is somewhat smaller
(1 m diameter). Due to the upgrade the signal-to-background-ratio improved by
a factor of 10 with respect to one of 1994 [10].
3.1 The 6 Runs of 1998 and 1999

With the improved setup 6 runs (labelled Q3-Q8) of 7 month measurement time
in total have been taken in 1998 and 1999. Most experimental parameters were
kept identical except the emission cone of f3 particles accepted by the spectrome-
ter was changed from 45 0 (Q3-Q5) to 62 0 (Q6-Q8). Secondly from measurement
Neutrino Mass from Tritium I'-decay 515
Q5 on a voltage of ±20 V with 1 MHz frequency was put at one of the electrodes
at the detector side of the spectrometer during the 2 s measurement pauses every
20 s to destroy the storage conditions for charged particles to reduce the rate
and fluctuations of the background.
The data were fitted by a function derived from the standard formula for
an allowed f3 spectrum, which is summed up for all electronic final states of
the daughter molecule of amplitude Wi and excitation energy Vi [11,12]. This
spectrum is then convoluted with the potential distribution within the tritium
film [8:9], the functions describing the backscattering from the substrate, the
inelastic processes within the T 2 film [13], the spectrometer transmission, and
the energy dependence of the detection efficiency. Fitting parameters were a
free amplitude A, the endpoint Eo: m~: and an energy independent background.
Compared to the previous Mainz analysis [2] a newer reference for the electronic
final states [11]: a new calculation of magnetic fields [9]: the final result of inelastic
scattering measurements [13] and an improved knowledge of the tritium film 2
were used. These differences to the previous Mainz analysis [2] are not significant
and result in shifts of m~ which are small compared to the error bars. For a
detailed discussion of the systematic uncertainties: please refer to ref. [2,14].
Figure 1 shows the fit results on m~ with statistical and total uncertainties
for the 6 different runs Q3 to Q8 as function of the lower energy limit of the
data interval used for the analysis. The following comments apply:
• Systematic uncertainties shrink to a negligible level for small fit intervals:

since so close to the endpoint, say above 18.500 keY: only about 15 % of
events are subjected to any of the electronic excitation processes and their
residual uncertainties.
• The monotonous trend towards negative values of m~ for larger fit intervals as
it was observed for the Mainz 1991 and 1994 data [15,10] has vanished. This
shows that the dewetting of the T 2 film from the graphite substrate [16,17]
indeed was the reason for this behaviour. Now this effect is safely suppressed
at the much lower temperature of the T 2 film.
• Measurements Q5-Q8 show results as function of the lower limit of the fit
interval which are stable and in agreement with the physical allowed range.
There is no indication for a non-zero neutrino mass. Measurements Q3 and Q4
show still significantly negative values for m~ and the X2 values are partly too
large for reasonable fits. Its origin is unclear as the data are taken under nearly
2 The present best knowledge of the long-term behaviour of the Mainz tritium films can
be summarised as follows: A linear loss of I' activity is observed, which corresponds
to a T 2 loss of 0.54 A per day. However, if the measured film thickness after the
measurement is compared with that before: an increase is visible. The Mainz group
believes: that this is caused by an additional coverage of the T 2 film by H2 molecules
condensing from the residual gas with a rate of 1.0 A per day. Time dependent
analysis of the Mainz tritium data confirms this assumption. To be conservative
the whole difference to the old description of a T 2 film with constant thickness aDd
without H2 coverage is taken into account as systematic uncertainty.
18.35 18.4 18.45 18.5 18.55

'0
>-"-
10 ° (03) 1.5
O O'-----3 1 ~
.::::.-..:::
3 0 t--+--+_-.---
N.-l0 0.5
E
'0
>-"-
3
10
° ° °
0 f--+--------+---+..----Il ~
(04) 1.5
N.-l0 0.5
E
'0
10 (05) 1.5
>-"-
3 0 E-+--'f----'¥--~:__--,.t,-,jr---31 M~
N.-l0 0.5
E
'0 (06) 1.5
"- 10
>-3 0 E-+--4--+---+--+----if---31 M~
N.-l0 0.5
E
'0 (07) 1.5
"- 10
>-~ 0 E-ffi---rtr--r1h.----{B--W--'¥----'l1 ~
N.-l0 0.5
E
'0
10 (08) 1.5
>-"-
3 0 E-.+r--m-----,tr---{fr--~---'<f'__--31
N.-l0 0.5
E
18.35 18.4 18.45 18.5 18.55
lower limit of fit intervol [keVI
Fig. 1. Fit results on m~ (left scale, filled circles) for the different runs Q3-Q8 with
statistical (inner bars) and total uncertainties (statistical and systematic uncertainties
added in quadrature, outer bars) in dependence on the lower limit of the fit interval.
The upper limit of the fits is always 18.66 keY, well above the endpoint £0=18.57 keY.
The corresponding values of X;.d
= X2/d.o.f. of the fits (open circles) can be read from
the right scale.
the same conditions (the exception might be the background stabilisation, see
above) and analysed with the same methods.
3.2 Check of the "Troitsk Anomaly"
The Mainz data from 1998 and 1999 were tested, whether they support the
existence of a "Troitsk anomaly" or not: by adding a monoenergetic line to the
f3 spectrum in the fits with free amplitude but with position corresponding to
the positions predicted by the Troitsk 0.5 year oscillation hypothesis according
to ref. [3].
Neutrino Mass from Tritium ,B-decay 517
12
N 10
l'
I
E
t: tit" '!t~
Q)
8
"0
.-2 6
a.
1 ."
E 4
0
Q) 97.2
.~ ~8.1
2 03 06
"0
E
0 0
T
t
'-
CJl 07
Q)
.S -2
-4
0 2 4 6 8 10 12
month
Fig.2. Amplitude of "Troitsk anomaly" from Troitsk data (points, from ref. [3]) and
from Mainz data (open circles). In the Mainz analysis the line position was taken from
the precliction of a half year sinusoidal curve in ref. [3]. The fits were done over the
last 70 eV of the ,B spectrum with m~ fixed to zero. The error bars of the Maim data
contain both statistical and systematic uncertainties.
Fig. 2 shows the fitted line amplitude with m~ fixed to zer0 3 in comparison
with Troitsk results from ref. [3J as function of the month. Whereas the fitted
amplitudes for data sets Q3 and Q5-Q8 are fluctuating around zero, data set
Q4 is different: It shows a significantly large amplitude of 6 mHz, which is also
within the range of the values reported by Troitsk. A serious reason, why data
set Q4 could be different from the others is not known to the Mainz group.
The parameter space of the "Troitsk anomaly" favoured by Troitsk is not fully
excluded by the present Mainz data. But the 6 Mainz data sets from 1998 and
1999 providing a coverage of a complete year to more than 50 o/c (compare fig.
2) do not show any evidence of a 0.5 years periodicity of the effect, put forward
by Troitsk.
4 Upper Limit on m v
The Mainz group presents two different types of analysis:

• The combined data sets of runs Q3-Q5 and Q6-Q8 were fitted over the last
15 eV of the 13 spectrum. Due to the thresholds for excitation of the electron
shell of T 2 or the daughter THe+ , respectively, uncertainties from energy loss,
final states, etc. could not affect these last 15 eV of the (3 spectrum. Even an
anomaly with the shape of a monoenergetic line at the position compatible
with the Mainz measurement Q4 does not influence the (3 spectrum in this
energy range. To decorrelate m~ from the endpoint position Eo and amplitude
3 Letting m~ free in the fits changes the results only marginally.
A two data points at 18.470 keY (18.460 keY) and at 18.500 keY have been
added for this fit to the data above 18.559 keY (last 15 eV of the f3 spectrum)
glvmg
m~ = +0.6 ± 2.8 ± 2.5 eV 2 jc 4
mv :::; 2.8 eV jc 2 (95 % C.L.: unified approach)
• Fig. 1 shows results which are stable and compatible to the physical allowed
range from measurement Q5 on. Taking only the last 70 eV below the endpoint
Eo optimises between statistical and systematical uncertainties. Applying this
fit to all data sets Q5-Q8 together gives
m~ = -1.6 ± 2.5 ± 2.1 eV 2 jc 4
m v :::; 2.2 eV jc 2 (95 % C.L.: unified approach)
5 Conclusion and Outlook
The two tritium (3 decay experiments running at Mainz and Troitsk are ap-
proaching their sensitivity limit of about 2 eV jc 2 .
The Troitsk experiment is observing an anomalous excess of count rate at
a few eV below the endpoint Eo. There neutrino mass analysis depends on the
hypothesis of a step-like excess in the experimental data: of which the parameters
are fitted to the data.
The improved Mainz setup enabled to carry out long-term measurements
with a signal-to-background-ratio enhanced by a factor of 10 compared to the
Mainz measurements in 1991 and 1994. The 6 runs of 1998 and 1999 are compet-
itive in sensitivity to the Troitsk measurements [3] and capable of cross checking
them.
Studies on quench condensed T 2 films at Mainz clarified their energy loss
function: their charging up: and their dewetting as function of temperature. In
particular the suppression of the latter effect has removed the trend towards
large negative values of m~ for wide data intervals from which the Mainz 1991
and 1994 data suffered. Still the first two data sets of 1998 Q3 and Q4 do not
fulfil the requirement of being stable with respect to the variation of the lower
limit of the fit range and being compatible with the physical allowed range of
m~ 2: O. The origin of this behaviour is not clear. The Mainz group will continue
to check whether it could be connected to some instrumental effects.
It was tested whether the Mainz data support the "Troitsk anomaly": Only
data set Q4 supports the Troitsk hypothesis. The other data sets Q3 and Q5-Q8
does not show a significant effect. This means at least that a simple half year
period of the anomaly is contradicted by the Mainz data. To check whether the
effects observed in Troitsk and partly in Mainz have a common origin the groups
have scheduled synchronous data taking for the second half of 2000.
By collecting more data a sensitivity on m v of about 2 eV jc 2 can be reached.
This is not enough to clarify the open questions for particle physics and cosmo-
Neutrino Mass from Tritium j1-decay 519
logically mentioned above. Moreover, the Troitsk anomaly must be definitely

clarified. A larger spectrometer providing higher signal rate and better energy
resolution is needed. In a previous paper [18] the possibility of a spectrometer
based on the same MAC-E filter principle but 5 times larger (in linear dimen-
sions) than the present one is investigated. By an additional time-of-flight anal-
ysis the spectrometer can transform from an integrating high pass filter into a
narrow band filter (MAC-E-TOF mode). In a first proof of principle experiment
this new method was proven to work with the present Mainz spectrometer [18].
Currently the feasibility and the physical prospects of a large tritium (3 spec-
trometer with 7 m diameter aiming for a sub eV /c 2 sensitivity to the electron
neutrino mass is being discussed by the neutrino groups of Karlsruhe: Mainz
and Troitsk. Two different types of T 2 sources, a gaseous one like the Troitsk
experiment, and a solid one like the Mainz experiment: will have complemen-
tary systematic uncertainties thus allowing to check the crucial systematics.
An ideal place for such an experiment would be the Forschungszentrum Karls-
ruhe/Germany.
Acknowledgements
The work of the Mainz group was supported by the Deutsche Forschungsge-
meinschaft under contract Ot33/13 and by the German Bundesministerium fur
Bildung und Forschung under contract 06MZ866I/5.
References
1. H. Sobel, Y. Suzulci: V. Gavrin, E. Belotti: Proc. of the Int. Conf. Neutrino 2000,
June 2000: Sudbury: Canada: Nuc!. Phys. B (Proc. Supp!.), in press
2. Ch. Weinheimer Et al.: Phys. Lett. B460 (1999) 219
3. V.M. Lobashev, et ai: Phys. Lett. B460 (1999) 227
4. A. Picard et al.: Nucl. Inst. Meth. B63 (1992) 345
5. V.M. Lobashev al.: Nucl. Inst. Meth. A240 (1985) 305
6. A.I. Belesev Et al., Phys. Lett. B350 (1995) 263
7. V.M. Lobashev Et al.: Proc. of the Int. Conf. Neutrino 2000: June 2000: Sudbury:
Canada, Nuc!. Phys. B (Proc. Supp!.): in press
8. H. Barth Et al., Prog. Part. Nucl. Phys. 40 (1998) 353
9. B. Bornschein: PhD thesis, Mainz university: 2000
10. H. Backe Et ai., Proc. of Neutrino 96: Helsinki/Finnland: June 1996, World Scien-
tific/Singapure
11. A. Saenz et al., Phys. Rev. Lett 84 (2000) 242
12. W. Kolos Et al., Phys. Rev A37 (1988) 2297
13. V.N. Aseev et al.: Eur. Phys. J. D10 (2000) 39
14. J. Bonn Et al., Proc. of the Int. Conf. Neutrino 2000, June 2000: Sudbury, Canada:
Nucl. Phys. B (Proc. Supp!.), in press
15. Ch. Weinheimer et al., Phys. Lett. B300 (1993) 210
16. L. Fleischmann et al.: J. Low Temp Phys. 119 (2000) 615
17. L. Fleischmann et al., Eur. Phys. J. B16 (2000) 521
18. J. Bonn et ai., Nucl. Inst. and Meth. A421 (1999) 256
Latest Results from the Heidelberg-Moscow
Double-Beta-Decay Experiment*
H.V. Klapdor-Kleingrothaus l ,3, A. Dietz!, L. Baudis l , G. Heusser l ,

I.V. Krivosheina l , S. Kolb l , B. Majorovits l , H. Paes l , H. Strecker l ,
V. Alexeev 2 , A. Balysh2 , A. Bakalyarov2 , S.T. Belyaev2 , V.I. Lebedev 2 , and
S. Zhukov 2
1 Max-Planck-Institute fUr Kernphysik

Postfach 10 39 80, D-69029 Heidelberg
2 Russian Science Centre, Kurchatov Institute,
123 182 Moscow, Russia
3 Spokesman of HEIDELBERG-MOSCOW and GENIUS Collaborations.
E-mail:klapdor@gustav.mpi-hd.mpg.de. Home Page Heidelberg Non-Accelerator
Particle Physics group: http://mpi-hd.mpg.de.non..acc/
Abstract. New results for the double beta decay of 76Ge are presented. They are
extracted from Data obtained with the Heidelberg-Moscow experiment, which oper-
ates five enriched 76Ge detectors in an extreme low-level environment in the Gran
Sasso underground laboratory. The two neutrino accompanied double beta decay is
evalhated for the first time for all five detectors with a statistical significance of
47.7 kg y resulting in a half life of Ti/2 = [1.55±0.01(stat) ~g:~~ (syst)] x 10 21 years. The
lower limit on the half-life of the Ov(3(3 -decay obtained with pulse shape analysis is
T~~2 > 1.9x10 25 (3.1x10 25 ) years with 90% C.L. (68% C.L.) (with 35.5kgy). This re-
sults in an upper limit of the effective Majorana neutrino mass of 0.35 eV (0.27 eV). No
evidence for a Majoron emitting decay mode or for the neutrinoless mode is observed.
1 Double Beta Decay
There seems to be a general consensus over the neutrino oscillation interpretation

of the atmospheric and solar neutrino data, delivering a strong indication for a
non-vanishing neutrino mass. While such kind of experiments yields information
on the difference of squared neutrino mass eigenvalues and on mixing angles, the
absolute scale of the neutrino mass is still unknown. Information from double
beta decay experiments is indispensible to solve these questions [1-4]. Another
important problem is that of the fundamental character of the neutrino, whether
it is a Dirac or a Majorana particle. Neutrinoless double beta decay could answer
also this question. The HEIDELBERG-MOSCOW experiment is giving since
almost eight years now, the most sensitive limit of all (3(3-experiments worldwide
[4]. Double beta decay, the rarest known nuclear decay process, can occur in
different modes:
* Talk presented by A. Dietz at the Third International Conference DARK2000,
Heidelberg, GERMANY, July 10-15, 2000
H.V. Klapdor-Kleingrothaus et aI. 521
2v{3{3 - decay: A(Z, N) -t A(Z+2, N -2) + 2e- + 2iie (1)

Ov{3{3 - decay: A(Z,N) -tA(Z+2,N-2)+2e- (2)
Ov(2)x{3{3 - decay: A(Z,N) -t A(Z+2,N -2) + 2e- + (2)x (3)
The two-neutrino decay mode (1) is a conventional second order weak process,
allowed in the Standard Model of particle physics. So far it has been observed
for about 10 different nuclei [3-5]. An accurate measurement of the half-life of
the decay is of importance, since it provides a cross-check on the reliability of
matrix element calculations. The Majoron emitting decay mode (2) could reveal
the existence of light or massless bosons, so called Majorons, with a non-zero
coupling to neutrinos. The neutrinoless mode (3) is by far the most exciting
one due to the violation of the lepton number by two units. It can not only
probe a Majorana neutrino mass, but various new physics scenarios beyond the
Standard Model, such as R-parity violating supersymmetric models [6], R-parity
conserving SUSY models [7], leptoquarks [8], violation of Lorentz-invariance [9]
and compositeness [10] (for a review see [4,11-13]). Any theory containing lepton
number violating interactions can in principle lead to this process allowing to
obtain information on the specific underlying theory. The experimental signature
of the neutrinoless mode is a peak at the Q-value of the decay, whereas for the
two-neutrino and Majoron-accompanied decay modes well defined continuous
energy spectra are expected. They are identified by their spectral index n, defined
as the power of the energy in the phase space integral (see [14]). The Majoron
emitting modes are characterized by n=I,3,7, while fOf the 2v{3{3 decay, n=5.
2 The Heidelberg-Moscow experiment
The Heidelberg-Moscow experiment operates five p-type HPGe detectors in the

Gran Sasso underground laboratory which were originally grown from 19.2kg of
enriched 76Ge. The total active mass of the detectors is 10.96kg, corresponding
to 125.5 mol of 76Ge, the presently largest source strength of all double beta
experiments. The enrichment of the used Germanium is 86%. A detailed de-
scription of the experiment is given in [15).
To check the stability of the experiment, a couple of parameters such as
temperature, nitrogen flow, leakage current of the detectors, overall and indi-
vidual trigger rates are monitored daily. An energy calibration is done weekly
with a 228Th and a 152Eu_228Th source. The energy resolution of the detectors
at 2614keV ranges from 3-3.7keV. The energy thresholds for data recording are
set to about 70 keV (with exception of the second detector, which is used for
dark matter measurements in addition, see [16]).
Figure 1 shows the combined sum spectrum of all five enriched detectors
of the Heidelberg-Moscow experiment with a statistical significance of 47.4kgy
(see [22]). The large peak-to-Compton ratio of the detectors facilitates the iden-
tification of 'Y activities. The easily identified background components consist
of primordial activities of the natural decay chains from 238U and 232Th from
522 Latest results from the Heidelberg-Moscow experiment
.
>
~ ,~of~ ,~O-I
,~. .,
flITrIrr
"'" ",,'
'~"
Go
10
c
:>
0
u
10
10
10
200 400 600 800 1000 1200 1400
energy (keV)
..
-I
> 10
....
"'"
'"
Go
~ ~ ",..' "of
~..,.
",..' ",... ~ ",..- ~v'tI" #(,~ ~
I I
10
c
::l
I
0
u
10
10
2200 2400 2600

energy (keV)
Fig. 1. Sum spectrum of all five 76Ge detectors after 47.4 kg Y of measurement. The
most prominent identified lines are labeled.
4oK, anthropogenic radio nuclides, like 137Cs, 134CS, 125Sb and 207Bi and cos-
mogenic isotopes, such as 54Mn, 57 Co, 58CO, 60CO and 65Zn . Hidden in the
continuous background are the contributions of the bremsstrahlungs spectrum
of 210Bi (daughter of 21OPb), elastic and inelastic neutron scattering and direct
muon induced events.
3 Background model
The evaluation of the spectra caused by the 2v{3{3 decay and the Majoron-
emitting decay modes requires a detailed knowledge of the composition of the
background on which they are superimposed. To unfold the background, a Monte
Carlo simulation was performed. It is based on the CERN code GEANT3.21,
modified for simulating radioactive decays with the complete implemented decay
schemes taken from [17]. Five parts of the experimental setup have been identified
to represent the main locations of the radioactive impurities: the LC2-Pb shield,
the copper shield, the copper and plastic parts of the cryostats and the Ge crys-
tals themselves. Other materials or locations in the detector array are negligible
due their small masses and low activities. The following background components
were simulated: the natural decay chains of 238U and 232Th, 4oK, cosmogenic
and anthropogenic isotopes, muon showers and neutron induced interactions. It
was assumed that the 238U and 232Th decay chains are in secular equilibrium
and that the radioactive isotopes in the respective materials are uniformly dis-
tributed. Muon-induced showers were simulated based on the measured flux and
energy distribution of muons in the Gran Sasso underground laboratory [18]. Not
considered were muon-induced neutrons in the detector shielding materials, due
to still large uncertainties in the absolute n-flux determinations in GEANT3.21.
This component belongs to the non-identified background which will be discussed
below. The measured neutron flux in the Gran Sasso underground laboratory
[19] was simulated using the MICAP implementation in GEANT [20]. The activi-
ties of 40K and 210Pb in the LC2-Pb shield were determined in separate activity
measurements [21]. In order to extract the best fit values for each activity, a
least-squares method has been used. The location of the radioactive impurities
was determined by comparing the peak intensities of multiline isotopes with the
simulation. The error of a possible misplacement is part of the systematic error
of the background model. The influence of each radioactive impurity located in
one detector on all other detectors was considered. We identified a total number
of 142 lines in the spectra of the five enriched Ge detectors. Their measured
intensities were used to normalize the simulated components of the background
model. Table 1 shows the identified background components, their estimated ac-
tivities and their most probable locations in the experimental setup. The main
background sources (natural decay chains,cosmogenics and anthropogenic ra-
dionuclides) were located in the copper parts of the cryostats. In the Ge crystals
themselves, only cosmogenic radionuclides were identified. There is no intrinsic
U/Th contamination of the crystals, due to the absence of a-peaks in their high
energy spectra (the single a-line at 5.3 MeV detected in two of the five detectors
originates most likely from surface contaminations at the inner contact). Exter-
nal a and f3 activities are shielded by the about 0.7 mm inactive zone of the
p-type detectors on the outer crystal surface. Figure 2 shows the contribution of
the simulated background components on the original measured sum spectrum
of the Ge detectors (for details of the simulations see [22]).
4 Results for the 2v{3{3 and the Ov(xJx{3{3 decays
In Fig. 3 the summed data of the five detectors are shown together with the result
after subtracting the identified background components. A bin width of 20 keV is
chosen in order to avoid statistical fluctuations when subtracting the simulated
'Y lines from the measured spectrum. The contribution of the 2vf3f3 decay to
the residual spectrum is clearly visible. Its half-life was determined under the
assumption that the entire residual spectrum is composed of the 2vf3f3 -signal.
Due to non-identified background in the energy region below 700keV, the fit
Table 1. Identified background components (primordial, cosmogenic, anthropogenic),

their estimated activities and most probable locations in the full setup of the
Heidelberg-Moscow experiment.
Isotope Average for all 5 detectors Isotope Average for all 5 detectors
Localisation Activity Localisation ActiVity
IJtBq/kgJ [JLBq/kgJ
238U Cu cryostat 85.0 65Zn Ge crystal 20.2 (no. 2-4)
238U Pb shield <11.3 54Mn Cu cryostat 17.1
232Th Cu cryostat 62.5 57CO Cu cryostat 32.4
232Th Pb shield <0.9 58CO Cu cryostat 23.4 (only no. 3-5)
40K Cu cryostat 480.3 6OCo Cu cryostat 65.2
40K LC2-Pb 310 (ext. meas.) 125Sb Cu cryostat 36.2
210Pb LC2-Pb 5
3.6x10 (ext. meas.) 134CS Cu cryostat 5.1
54Mn Ge crystal 4.2 137CS Cu cryostat 67.8 (no.5: 463.9)
57CO Ge crystal 2.6 207Bi Cu cryostat 7.2
58CO Ge crystal 3.4 (only no. 3 & 5)
interval for the 2v,6,6-signal is chosen between 700-2040keV. With the above
assumption, this region contains 64553 2v,6,6 events, corresponding to 51.7% of
the total 2vj3j3-signal.
The theoretically expected 2v,6,6 spectrum was fitted to the data in a
maximum-likelihood-fit with T 1/2 as free parameter, resulting in the following
half-life for the 2v,6,6 -decay at 68% C.L. (combined result for the five detectors):
T'f.V
2
= ( 1.55 ± O.OI(stat) ~g:~~(syst) ) x 1021 Y (4)
The statistical error is evaluated from the parabolic behaviour of the log-
arithmic likelihood ratio which corresponds to a X2 function. The systematic
error includes the error of the simulated detector response, the error made by
the misplacement of background activities and the normalization error due to
the statistical error of the measured )'-lines (see [22]).
The inferred value for the half-life is consistent with earlier results of this
experiment [15,23] and with the result of [24], as well as with the range of
theoretical predictions, which lie between 1.5x 1020 - 2.99 X 1021 y [25-28,43]. The
prediction of [25,43] for the 2v,6,6 matrix element agrees within a factor of ..fi
with the experimental value.
The half-life limits of the Majoron-emitting decay-modes were determined
from the same data set by fitting the 2v,6,6 and the Ovx,6,6 spectra simultane-
ously. The considered Majoron models are described in [32]. Since the selected
energy interval starts at 700 keV, an analysis of the decay-mode with the spectral
::;-
~
0
~c:
:l
0
~
energy (keV) e"ergy (keV)
~
~
~
§
0
.:!.
e"ergy IkeV) energy (keV!
:> 10' 10'

~
10 3 IO l
~c 10 1 10 2
&
~
2000
e"ergy (keV) e"ergy I ke V (
4
10
:>
~ 10 3 10 •
10 3
~c 10 2
10 10 2
"
0
~ 1
1000 2000 1000
energy (keV) e"ergy (keV)
Fig. 2. The simulated background components (shaded areas) compared with the orig-
inal measured sum spectrum for all five detectors.
Table 2. Half-life limits for the Majoron-emitting decay-modes and derived coupling
constants using the matrix elements from [32] for different majoron models (n is the
spectral index of the decay mode).
Modus Model n T~~~ > (90% C.L.) (gl/X) < (90% C.L.)
xf3f3 [29] 1 6.4x10 22
y 8.1x10- 5
Ixf3f3 [30],[31] 3 1.4x10 22 Y 0.11 (0.04)
index n=7 (maximum at about 500keV) was not possible. The results of the fits
for n=l and n=3 are shown in Table 2. The 2v{3{3 half-lifes extracted in the
two-parameter fits are consistent within 10' with the exclusive double beta decay
evaluation. In Table 3 a comparison of the effective Majoron neutrino couplings
extracted for different double beta nuclei is made.
>., 12000
-'"
0
~c: 10000
"
0
u
8000
6000
4000
2000
0
500 1000 1500 2000
energy [keV]
Fig. 3. Summed spectra of all five detectors after 47.7 kg y of measurement together
with the residual spectrum after subtracting all identified background components. The
thick line shows the fitted 2vl3l3-signal.
Table 3. Half-life limits on the Majoron-emitting decay-mode Ovxl3l3 extracted from

different nuclei and the derived limits on the effective Majoron-neutrino coupling for
n=l.
Nucleus Ref. TOvx> (gvx) < C.L .[%]

1/2
76Ge this work 6.4x10 22 y 8.1xlO- 5 90
82Se [35] 2.4x10 21 y 2.3x 10- 4 90
96Zr [36] 3.5x10 2O y 2.6x 10- 4 90
looMo [37] 5.4x10 21 y 7.3xlO- 5 68
116Cd [38] 3.7x10 21
y 1.2xlO- 4 90
128Te [39] 7.7x10 24
y 3.0xlO- 5 90
136Xe [40] 7.2x10 21 y 2.0x10- 4
90
150Nd [41] 2.8x10 2o y 9.9x 10- 5
90
5 Results for the Ov{3{3 decay

For the evaluation of the Ov/3/3 decay we consider the raw data of all five
detectors as well as data with pulse shape analysis. The pulse shape analysis
method used here is described elsewhere [33). No further data manipulation is
H.V. Klapdor-Kleingrothaus et al. 527
done, e.g. the previously established background model is not subtracted. We

see in none of the two data sets an indication for a peak at the Q-value of
2038.56±0.32keV [34] of the Ovf3f3 decay.
The total spectrum of the five detectors with a statistical significance of
53.9kgy contains all the data with the exception of the first 200d of mea-
surement of each detector, because of possible interference with the cosmogenic
56CO. The interpolated energy resolution at the energy at the hypothetical Ovf3f3
peak is (4.23±0.14) keY. The expected background in the Ovf3f3 region is es-
timated from the energy interval 2000-2080keV. In this range the background
is (0.19±0.01) counts/(kgykeV). The expected background in the 30' peak in-
terval, centered at 2038.56 keV interpolated from the adjacent energy regions, is
(110.3±3.9) events. The number of measured events in the same peak region is
112. To extract a half-life limit for the Ovf3f3 -decay we follow the conservative
procedure recommended in [42].
With the achieved energy resolution, the number of excluded events in the
30' peak region is 19.8 (12) with 90% C.L. (68% C.L.), resulting in a half-life
limit of (for the 0+ -+ 0+ transition):
T?;2 ~ 1.3 X 1025 y 90% C.L.

T?;2 ~ 2.2 X 1025 y 68% C.L.
We consider now the data for which the pulse shape of each interaction of
the detectors was recorded and analyzed. The total statistical significance is
35.5kgy and the background index in the energy region between 200D-2080keV
is (0.06±0.01) events/(kgykeV), about a factor 3 lower than for the full data
set. This is due to the large fraction of multiple Compton scattered events in this
energy region, which are effectively suppressed by the pulse shape discrimination
method. The expected number of events from the background left and right of
the peak region is (20.4±1.6) events, the measured number of events in the 30'
peak region is 21. Following again the method proposed by [42], we can exclude
9.3 (5.5) events with 90% C.L. (68 % C.L.). The limit on the half-life is:
T?;2 ~ 1.9 X 1025 y 90% C.L.

T?;2 ~ 3.1 X 1025 y 68% C.L.
To examine the dependence of the half-life limit on the position of the 30'
peak interval (12.7keV) in the spectrum, we shifted the peak interval between
2028keV and 2048keV. It results in a variation of the half-life limit between
2.5 x 1025 y and 1.2 x 1025 y at 90% C.L. (for the data with pulse-shape analysis).
This demonstrates a rather smooth background in the considered energy region.
Figure 4 shows the combined spectrum of the five detectors after 53.93 kg y and
the spectrum of point-like interactions, corrected for the detection efficiency,
after 35.5 kg y. The solid lines represent the exclusion limits for the two spectra
at the 90% C.L. Using the matrix elements of [43] and neglecting right-handed
currents, we can convert the lower half-life limit into an upper limit on the
effective Majorana neutrino mass, which are listed in Table 4.
,....., 0.6 ~--~--~--~--~---,----,---.,------.
> Cl) 35.5 kg Y (SSE)

..I<:
:>.
en 0.5
D 53.9 kg Y
..I<:
'-'
expected 0l/{3{3 line
~
C::l 0.4
o(,)
0.3
0.2
0.1
Fig. 4. Sum spectrum of all five detectors with 53.9 kgy and SSE spectrum with
35.5 kgy in the region of interest for the 0l/{3{3 -decay. The curves correspond to the
excluded signals with T?/2 2: 1.3 X 10 25 y (90% C.L.) and T?/2 2: 1.9 X 10 25 y (90%
C.L.), respectively.
Table 4. Limits on the effective Majorana neutrino mass from the Ovj3{3 -decay of
76Ge calculated with the matrix elements from [43].
T OV
1/2 > (m) < C.L. [%]
Full data set 1.3xl025 y 0.42 eV 90
2.2xI0 25 y 0.33eV 68
SSE data 1.9x1025 y 0.35eV 90
3.1xl0 25 y 0.27eV 68
The HEIDELBERG-MOSCOW experiment is presently giving the most strin-

gent upper limit on the Majorana neutrino mass, of 0.35eV at 90% C.L. (0.27 eV
at 68% C.L.). The values quoted in a previous paper [44], with a statistical sig-
nificance of 24.2 kg y of data with pulse shape analysis, were 0.2 eV for the mass
limit and 0.38eV for,the sensitivity ofthe experiment (both at 90% C.L.), after
the recommendation of [45]. Thus, not unexpected, after additional 11.3kgy of
statistics, the limit on the effective neutrino mass approached the experimental
!
GE IUS'1 lOt
0.01
HEIDELBERG-
llt MOO
30t. M03 CVOR
lOt
•
t
EXO
lOt
It
> 0.1 o COW: 1 2007 A ~A ro.rl ND
e 2000 1 10 kg 1 Calte:[!'1
ELEGANTI Mil 1 euchatefl 1
1 (68%)1 TanOol C1 1 1
1 e TP "Oll\.?
I VCI TPC 1 . 2 • ,"'. CI
1 (68~) 1 Kiev 1 1 1 TPC
1 1 1 1 1
1 1 1 1 1
10
1 1 1 1 1
Fig. 5. Present situation, and the expectation for the future, of the most promising {3{3
experiments. Light parts of the bars: present status; dark parts: expectation for running
experiments; solid and dashed lines: experiments under construction and proposed
experiments, respectively (from [48)).
sensitivity, as defined in [46J. The mass limit varies within a factor of less than
two for different matrix element calculations (see the discussion in [4]).
6 Summary and Discussion

We performed an analysis of the most recent data of the Heidelberg-Moscow dou-
ble beta decay experiment. The data of the complete setup with five enriched
76 Ge-detectors, with a total statistical significance of 47.4kgy, were analyzed
with respect to the two-neutrino and Majoron emitting decay modes for the
first time. A Monte Carlo simulation based on a modified version of GEANT3.21
was performed in order to identify the most significant background sources and
to establish a quantitative background model. The theoretical shapes of the
2vf3f3 and Ovxf3f3 decay spectra were fitted in a maximum-likelihood fit to the
resulting spectrum after subtraction of the background model from the mea-
sured, summed spectrum of all detectors. The low-energy background of the
HEIDELBERG-MOSCOW experiment requires further investigation. A possible
background source not taken into account so far could be surface contaminations
of the crystal and/or copper parts of the cryostats with 21 oPb, which is produced
and accumulated by the decay of 222Rn. This and other potential background
sources will be implemented in a new Monte Carlo simulation using GEANT4
[47]. A more complete background model will allow to determine the half-life of
the 2vf3f3 decay with still higher precision.
m ee (eV)
-------1-1-H++--------------++-- IklJ<lh<r~-M""'""
1 el!ORE
10- --------------- --
MOON
------------------ ..;; GE IUS I ,
- - ------------ _ _ _ GEM S 10,
a< <
:5
u
~
Hierarchy Degeneracy Panial Degeneracy !nve"" Hierarchy 4v
Fig. 6. Ranges of the effective Majorana neutrino-mass allowed from all present
neutrino-oscillation experiments, for several neutrino-mass-scenarios, compared to our
present limit (solid line) and to the potential of planned future ,B,B-experiments (dashed
lines) (see [1,2,4,48])
The resulting half-life for the 211f3f3 decay confirms our previous measure-
ment and confirms theoretical expectations [25,43J within a factor of two (a
factor of /2 in the matrix element). No evidence for a Majoron-accompanied
decay or for the neutrinoless decay was observed. The upper limit on the effec-
tive Majorana neutrino mass of 0.35eV (0.27 eV) (using the matrix elements of
[43]) is the worldwide most stringent limit up to now. In Fig. 5 this value from
the HEIDELBERG-MOSCOW experiment is compared with limits of the most
sensitive other f3f3-experiments. With this result for the limit of the effective
Majorana neutrino mass double beta experiments start to enter into the range
to give a serious contribution to the neutrino mass matrix (Fig. 6).
In degenerate models we can conclude from the experimental bound an up-
per limit on the mass of the heaviest neutrino. For the Large Mixing Angle
(LMA) MSW solution of the solar neutrino problem we obtain ml,2,3 < 1.1 eV,
implying Li mi < 3.2eV [1,2,48J. This first number is sharper than what has re-
cently been obtained from tritium (m < 2.2eV), and the second is sharper than
the limit Li mi < 5.5eV still compatible with most recent fits of Cosmic Mi-
crowave Background radiation and Large Scale Structure data (see e.g. [49]). The
present sensitivity of the HEIDELBERG-MOSCOW experiment probes cosmo-
logical models including hot dark matter already now on a level of future satellite
experiments MAP and PLANCK (see [1,2]). It is of interest also for new Z-burst-
models recently discussed as explanation for super-high energy cosmic ray events
beyond the GZK cutoff [50,51].
The result for < m > from the HEIDELBERG-MOSCOW experiment has
found large resonance, and it has been shown that it excludes for example the
Small Mixing Angle MSW solution of the solar neutrino problem in degenerate
scenarios, if neutrinos are considered as hot dark matter in the universe [52-
54]. This conclusion has been drawn, before the Superkamiokande collaboration
presented their evidence for exclusion of SMA MSW solution, in June 2000.
If future searches will show, that m v > 0.1 eV, then the three-neutrino mass
schemes, which will survive, are those with neutrino mass degeneracy, or four-
neutrino schemes with inverse mass hierarchy (see Fig. 6 and [1,2,48]). A substan-
tial increase in sensitivity of double beta experiments beyond this level, requires
new experimental approaches, making use of much higher source strength and
drastically reduced background. This could be accomplished by our proposed
GENIUS project [55] which, operating 0.1-10 tonnes of enriched 76Ge directly in
ultrapure liquid nitrogen, could test the effective Majorana neutrino mass down
to 0.01 or even 0.002 eV.
References
1. H.V. Klapdor-Kleingrothaus, H. Pas and A.Y. Smirnov, hep-ph/0003219, (2000),
in press Phys. Rev. D (2001)
2. H.V. Klapdor-Kleingrothaus, H. Pas and A.Y. Smirnov in DARK2000, these Pro-
ceedings
3. H.V. Klapdor-Kleingrothaus in "Neutrino Physics", ed. K. Winter, Cambridge Uni-
versity Press, 2000, pp. 113-127
4. H.V. Klapdor-Kleingrothaus, "60 Years of Double Beta Decay - From Nuclear
Physics to Beyond the Standard Model", World Scientific; Singapore, 2001
5. P. Vogel, nucl-th/0005020, 2000, published in "Current Aspects of Neutrino
Physics", D. O. Caldwell, editor.
6. M. Hirsch, H.V. Klapdor-Kleingrothaus and S.G. Kovalenko, Phys. Rev. D 53
(1996) 1329
7. M. Hirsch, H.V. Klapdor-Kleingrothaus and S.G. Kovalenko, Phys. Rev. D 57
(1998) 2020
8. M. Hirsch, H.V. Klapdor-Kleingrothaus and S.G. Kovalenko, Phys. Lett. B 378
(1996) 17
9. H.V. Klapdor-Kleingrothaus, H. Pas and U. Sarkar, Eur. Phys. J. A 5 (1999) 3
10. O. Panella et. al., Phys. Rev. D 62 (2000) 015013, hep-ph/9903253
11. H.V. Klapdor-Kleingrothaus, Int. J. Mod. Phys. A 13 (1998) 3953
12. H.V. Klapdor-Kleingrothaus in Proc. of the First International Symposium on
Lepton and Baryon Number Violation (LEPTON-BARYON 1998), Trento, Italy,
April 1998, Ed. H.V. Klapdor-Kleingrothaus and LV. Krivosheina, lOP, Bristol &
Philadelphia, 1999, pp. 251-301
13. H.V. Klapdor-Kleingrothaus, Springer tracts in modern physics 163 (2000) 69
14. P. Bamert, C.P. Burgess and R.N. Mohapatra, Nucl. Phys. B 449 (1995) 25
15. HEIDELBERG-MOSCOW Collaboration, Phys. Rev. D 55 (1997) 54
16. HEIDELBERG-MOSCOW Collaboration, Phys. Rev. D 59 (1998) 022001-1.
17. Nuclear Data Sheets (Academic Press, Duluth, MN).
18. MACRO collaboration, C. deMarzo, Nucl. Instr. Meth. A 314 (1992) 380
19. P. Belli et al., II Nuovo Cimento 101 A (1989) 959
20. C. Zeitnitz and T.A. Gabriel, The GEANT-Calor InterFace, in Proc. of the 3rd Int.
Conf. on Calorimetry in High Energy Physics, World Scientific (1993) 394
21. E. Pernicka, private communication, 1993
22. A. Dietz, Diploma thesis, University of Heidelberg 1999, unpublished
23. HEIDELBERG-MOSCOW Collaboration, Phys. Lett. B 322 (1994) 176
24. A. Morales, Nucl. Phys. 77 (proc. suppl.) (1999) 335
25. K. Muto, E. Bender and H.V. Klapdor, Z. Phys. A 334 (1989) 177
26. E. Caurier et al., Phys. Rev. Lett. 77 (1996) 1954
27. J. Engel et al., Phys. Rev. C 37 (1988) 731
28. X.R. Wu et al., Phys. Lett. B 272 (1991) 169 and B 276 (1992) 274
29. Y. Chikashige, RN. Mohapatra and RD. Peccei, Phys. Rev. Lett. 45 (1980) 1926,
Phys. Lett. B 98 (1981) 265
30. C.P. Burgess and J.M. Cline, Phys. Lett. B 298 (1993) 141, Phys. Rev. D 49
(1994) 5925
31. C.D. Carone, Phys. Lett. B 308 (1993) 85
32. M. Hirsch, H.V. Klapdor-Kleingrothaus, S. Kovalenko and H. Piis, Phys. Lett. B
372 (1996) 8
33. J. Hellmig and H.V. Klapdor-Kleingrothaus, Nucl. Inst. Meth. A 445 (2000) 638
34. J.G. Hykawy et. al., Phys. Rev. Lett. 67 (1991) 1708
35. R Arnold et aI., (NEMO Collaboration), Nucl. Phys. A 636 (1998) 209
36. R Arnold et al., (NEMO Collaboration), Nucl. Phys. A 658 (1999) 299
37. H. Ejiri et al., Nucl. Phys. A 611 (1996) 85
38. F.A. Danevich et aI., nucl-ex/0003001, 2000, Phys. Rev. C 62 (2000) 045501
39. T. Bernatowicz et aI., Phys. Rev. Lett. 69 (1992) 2341
40. R Luescher (Caltech-PSI-Neuchatel Collaboration), Nucl. Phys. B 66 (proc.
suppl.) (1998) 195
41. A. De Silva et al., Phys. Rev. C 56 (1997) 2451
42. RM. Barnett et al. (PDG 96), Physical Review D54 (1996) 1
43. A. Staudt, K. Muto and H.V. Klapdor-Kleingrothaus, Europhys. Lett. 13 (1990)
31
44. HEIDELBERG-MOSCOW collaboration, Phys. Rev. Lett. 83 (1999) 41
45. C. Caso et al. (PDG 98), European Physical Journal, C3 (1998) 1
46. G.J. Feldman and RD. Cousins, Physical Review D57 (1998) 3873
47. http://wwwinfo.cern.ch/asd/geant4/geant4.html
48. H.V. Klapdor-Kleingrothaus in Proc. of NANPino 2000, International conference
on NON-Accelerator New Physics in neutrino observations, Dubna, Russia, July
2000, hep-ph/0102319 and http://www.mpi-hd.mpg.de/non..acc/Talks.html
49. M. Tegmark et. al., hep-ph/0008145
50. T.J. Weiler, Astropart. Phys. 11 (1999) 303-316, Proc. BEYOND THE DESERT
1999, Second Internat. Conf. on Particle Physics Beyond the Standard Model,Castle
Ringberg, Germany, June 1999, edited by H.V. Klapdor-Kleingrothaus and
LV. Krivosheina, lOP Bristol, (2000) p. 1085
hep-ph/9910316
51. H. Piis and T.J. Weiler, hep-ph/0101091
52. G. Georgi and S.L. Glashow, Phys. Rev. D 61 (2000) 097301
53. H. Minakata and O. Yasuda, Phys. Rev. D 56 (1997) 1632
54. H. Minakata, hep-ph/0004249
55. H.V. Klapdor-Kleingrothaus in Proc. of BEYOND THE DESERT 1997, First

Internat. Con£. on Particle Physics Beyond the Standard Model, Castle Ringberg,
Germany, June 1997, edited by H.V. Klapdor-Kleingrothaus and H. Pas, lOP Bris-
tol, (1998) pp. 485-531,
H.V. Klapdor-Kleingrothaus, J. Hellmig and M. Hirsch, J. Phys. G 24 (1998) 483-
516,
H.V. Klapdor-Kleingrothaus et.al., hep-ph/9910205
and in Proc. of BEYOND THE DESERT 1999, Second Internat. Con£. on Particle
Physics Beyond the Standard Model,Castle Ringberg, Germany, June 1999, edited
by H.V. Klapdor-Kleingrothaus and LV. Krivosheina, lOP Bristol, (2000) pp. 915-
1014
Part VI
Direct Dark Matter Detection

Recent Results from the DAMA Experiments
for Particle Dark Matter Search
R. Bernabei!, M. Amato 2 , P. Belli!, R. Cerulli!, C.J. Dai 3 , H.L. He3 , G.

Ignesti 2 , A. Incicchitti 2 , H.H. Kuang 3 , J.M. Ma3 , F. Montecchia!, and D.
Prosperi 2
1 Dip. di Fisica, Universita di Roma "Tor Vergata"

and INFN Sez. Roma2, 1-00133 Rome, Italy
2 Dip. di Fisica, Universita di Roma "La Sapienza"
and INFN Sez. Roma, 1-00185 Rome, Italy
3 IHEP, Chinese Academy, P.O. Box 918/3
Beijing 100039, China
Abstract. DAMA is searching for particle Dark Matter deep underground in the
Gran Sasso National Laboratory of the I.N.F.N. by using several kinds of scintillators,
acting as target-detector systems. In particular, here recent results achieved by means
of the highly radiopure ~ 100 kg NaI(Tl) set-up in the investigation of the WIMP
annual modulation signature are summarized. They refer to four annual cycles (57986.0
kgxday). Another year of statistics is now available and efforts to further increase the
sensitivity of the experiment are also in progress.
1 Introduction
DAMA is searching for particle Dark Matter by using: i) the:: 100 kg NaI(Tl)
set-up; ii) the:: 2 I liquid Xenon pure scintillator; iii) the CaF 2 (Eu) prototypes;
recent references are [1-14]. Among them let us recall in this section the inves-
tigation of possible diurnal variation of the low energy rate as a function both of
the sidereal (to search for relatively high cross section WIMPs [15]) and of the
solar time (to verify the absence of possible diurnal effects of unknown nature in
the data) performed in ref. [11]. The full time and energy correlation analysis
has allowed us to exclude at 90% C.L., in the given model framework, new re-
gions for high cross section candidates to which a very small halo fraction would
correspond [11]. Moreover, the analysis in terms of solar time has also assured
the absence of possible diurnal effects of unknown nature [11].
As regards the liquid Xenon we pointed out the interest in using LXe pure
scintillators in WIMPs search since ref. [16]. Several prototype detectors have
been built since the 80s and many results have been published since then. The
final choice was to realize a pure liquid Xenon scintillator directly collecting the
emitted UV light (A:: 175 nm), filled with Kr-free Xenon enriched in 129Xe at
99.5%. The purification line uses special getters activated at high temperature
and a low temperature trap. The quenching factor and the pulse shape discrimi-
nation capability of a pure LXe scintillator have been measured with a dedicated
LXe set-up both with Am-B source and with a neutron beam at ENEA-Frascati;
538 Rita Bernabei et al.
see for details ref. [5]. Further measurements are at starting point 1. The more
recent results on the search for WIMp- 129 Xe interactions are given in ref. [5]
for elastic scattering and in ref. [14] for inelastic scattering. Recently a new up-
grading of the LXe set-up has been performed; moreover, at present the inner
vessel can be alternatively filled with Kr-free Xenon enriched in 129Xe at 99.5%
or with Kr-free Xenon enriched in 136Xe at 68.8%.
We remark that several results on different topics (such as electron and nu-
cleon instability, PEP violating processes, double beta decays, SIMP search)
have also been achieved by using the various experimental set-ups [4,10,17-25].
In this conference the presentation has been focused on the result more re-
cently released on the WIMP search by the annual modulation signature using
the:: 100 kg NaI(Tl) DAMA set-up [7] and, therefore, this is the only topics
which is summarized in the following.
2 Investigation
on the WIMP Annual Modulation Signature
As it is well known, to realize experiments offering their own distinctive signature

for WIMPs should be mandatory. Although several possibilities could be con-
sidered in principle, in practice only one signature can be effectively exploited:
the so-called annual modulation signature, that is the annual modulation of the
WIMP rate induced by the Earth's motion around the Sun [6,8,13,26,27]. This
is a quite strong signature since it requires the satisfaction of all the following
specifications: i) presence in the rate of a modulated part varying as a cosine
function; ii) with proper period (1 year); iii) with proper phase (about 2 june);
iv) only in a well-defined low energy region, where WIMP induced recoils can be
present; v) for those events in which only one detector of many actually " fires" ,
since the WIMP multi-scattering probability is negligible; vi) with modulated
amplitude in the region of maximal sensitivity ;S 7%. We remark that to mimic
this signature systematics must not only be quantitatively significant, but also
able to satisfy all these requirements.
The detailed description of the:: 100 kg NaI(TI) setup, of its radiopurity
and of its performances has been given in ref. [7]. Here we only recall that
the detectors used in the annual modulation studies are nine 9.70 kg NaI(TI)
detectors especially built for this purpose. The detectors are enclosed in a low
1 We recall that the quenching factor for nuclear recoils in a pure liquid Xenon scintil-
lator is enhanced by the well known recombination effect (e.g. a./e light ratio:: 1.1 -
1.2 as measured by various authors). However, the amount of such an enhancement
- in operating conditions - depends on various specific experimental features, such as
e.g. on the initial purity of the used Xenon gas, on the inner surface treatment, on
the reached vacuum before filling, on the used purification line components and on
the degassing/release characteristics of all the materials of- and inside- the inner ves-
sel since some specific trace contaminants can act as quenchers for the scintillation
light.
Results from DAMA 539
radioactive copper box installed inside a low radioactive Cu/Pb/Cd-foils/po-

lyethylene/paraffin shield. The copper box is maintained in high purity (HP)
Nitrogen atmosphere in slightly overpressure with respect to the external en-
vironment. Furthermore, also the whole shield is sealed and maintained in HP
Nitrogen atmosphere. On the top of the shield a glove-box, maintained in the
same Nitrogen atmosphere as the Cu box containing the detectors, is directly
connected to it through 4 Cu thimbles in which source holders can be inserted
to calibrate all the detectors at the same time without allowing them to en-
ter in direct contact with environmental air. The glove-box is equipped with a
compensation chamber. When the source holders are not inserted, Cu bars fill
completely the thimbles.
The collected energy spectra in various energy regions have been given in
refs. [3,6,8,11,13,23,28J; we only recall here that the low energy spectra are in
our experiment always referred to single hit events, that is each detector has all
the others as veto.
The result, summarized in the following, concerns four years of data taking
for annual modulation studies, namely DAMA/NaI-1,2,3 and 4 [6,8,13J for a
total statistics of 57986 kg·day (see Tab. 1), the largest ever collected in the field
of WIMP search. Moreover, in the global analysis the constraint, arising from
the upper limits on the recoil rate measured in ref. [3J (DAMA/NaI-O), has been
also properly included.
Table 1. Released data sets; from 1 to 4 they refer to different annual cycles.
period statistics (kgday) reference

DAMA/NAI-l 4549 [6]
DAMA/NaI-2 14962 [8]
DAMA/NaI-3 22455 [13]
DAMA/NaI-4 16020 [13]
Total statistics 57986 [13]
+ DAMA/NaI-O limit on recoil rate by PSD [3]
2.1 Results of the Model Independent Approach

In Fig. 1 the model independent residual rate for the cumulative 2-6 keV energy
interval as a function of the time [13J offers an immediate evidence of the presence
of modulation in the lowest energy region of the experimental data. The X2
test of the data of Fig. 1 disfavors the hypothesis of unmodulated behaviour
giving a probability of 4 . 10- 4 , while fitting these residuals with the function A·
cosw(t - to) (obviously integrated in each considered time bin), one gets for the
period T = :: = (1.00 ± 0.01) year, when fixing to at 152.5 days and for the
s:- 0.1
DAMM: DAMN
:
DAMAI'
I
' DAMAI'
,
+- NaI-l :>
Q)
.::f. t- NaI-2: " NaI.) ~---H-'" NaI-4 ~
'-.... ' ,, :
!
CJl
.::f.
0.05
,,,
I
'-....
"0
,,,
0.
U
'--"
UJ
0 ,,
+
0
:J
"0
UJ
Q) I
0::: -0.05
-0.1
500 1000 1500
time (days)
Fig. 1. Model independent residual rate in the 2-6 keY cumulative energy interval as
a function of the time elapsed since January lost of the first year of data taking. The
expected behaviour of a WIMP signal is a cosine function with minimum roughly at
the dashed vertical lines and with maximum roughly at the dotted ones.
phase to = (144 ± 13) days, when fixing T at 1 year (similar results, but with
slightly larger errors, are found in case both these parameters are kept free). The
modulation amplitude as free parameter gives A = (0.022 ± 0.005) cpdjkgjkeV
and A = (0.023 ± 0.005) cpdjkgjkeV, respectively. As it is evident the period
and the phase agree with the values expected for a WIMP induced effect.
As we will further comment, this model independent analysis gives evidence
for the possible presence of a WIMP contribution independently from the nature
of the WIMP and from its kind of interaction with ordinary matter. In the
following we will summarize the results obtained in the investigation of possible
systematics able to mimic such a signature (that is, not only quantitatively
significant, but also able to satisfy the six requirements given above) [28].
2.2 Main Points on the Investigation of Possible Systematics

in the New DAMA/NaI-3 and 4 Running Periods
We have already presented elsewhere the results of the investigations of all the
possible known sources of systematics [6-9,13,28]. However, in the following a
brief discussion will be carried out considering in particular the data of the
DAMAjNaI-3 and DAMAjNaI-4 running periods, which have been recently re-
leased [13]; a dedicated discussion can be found in ref. [28]. Similar arguments
for DAMAjNaI-l and DAMAjNaI-2 data have been already discussed elsewhere
[6,8,9] and at many conferences and seminars.
In our set-up the detectors have been continuously isolated from environmen-
tal air since several years; different levels of closures are sealed and maintained in
high purity Nitrogen atmosphere [7,28J. However, the environmental Radon level
in the installation is continuously monitored and acquired with the production
data; the results of the measurements are at the level of sensitivity of the used
radonmeter. Moreover, when fitting these Radon data including a WIMP-like
modulation, (0.14 ± 0.25) Bq/m3 and (0.12 ± 0.20) Bq/m 3 are found for the
modulation amplitude in the two periods respectively, both consistent with zero.
Further arguments are discussed in ref. [28]. In particular, a modulation induced
by Radon - in every case - would fail some of the six requirements of the annual
modulation signature and, therefore, a Radon effect can be excluded [28].
The installation, where the ~ 100 kg NaI(TI) set-up is operating, is air-
conditioned. The operating temperature of the detectors in the Cu box is read
out by a probe and it is stored with the production data [6-9,13,28J. We recall
that a time correlation analysis of temperature data, including a WIMP-like
modulated component, gives modulation amplitudes compatible with zero [13].
To properly evaluate the real effect of possible temperature variations on the
light output, the distribution of the root mean square temperature variation
within periods with the same calibration factors (typically ~ 7 days) has to be
considered. It is given in Fig. 2 for the DAMA/NaI-3 and DAMA/NaI-4 periods
together. Considering its mean value (~ 0.04 °C) and the value of the slope of
the light output around our operating temperature (;5 -0.2%rC), the relative
light output variation is: ;5 10- 4 . It corresponds to ;5 0.5% of the modulation
amplitude observed in the lowest energy region of the production data [13J.
In addition, every possible effect induced by temperature variations would fail
120 " . - - - - - - - - - - - - - - - - - - ,
100
80
c'"
u
"~60
.:;
40
20
00 ~ r-<l 0.2 . ~ 03 04 05 0.6
· 2. D'istn'b'
F 19. utlOn 0 f t he root mean square
RMS of T ('C) . . . h'
temperature variatiOn . ds Wit
Wit ill peno .h
the same calibration factors (typically ~ 7 days). The mean value is 0.04 °C.
at least some of the six requirements needed to mimic the annual modulation
signature; in conclusion, a temperature effect can be excluded.
In long term running conditions, the knowledge of the energy scale is assured
by periodical calibration with 241 Am source and by continuously monitoring
within the same production data (grouping them each ~ 7 days) the position
542 Rita Bernabei et aI.
and resolution of the 210Pb peak (46.5 keY) [6-8,13]. The distributions of the
relative variations of the calibration factor (proportionality factor between the
area of the recorded pulse and the energy), tdcal - without applying any cor-
rection - estimated from the position of the 210Pb peak for all the 9 detectors
during both the DAMAjNaI-3 and the DAMAjNaI-4 running periods, have been
investigated. From the measured variation of tdcal an upper limit of < 1% of
the modulation amplitude measured at very low energy in ref. [6,8,13] has been
obtained [28].
The only data treatment, which is performed on the raw data, is to eliminate
obvious noise events (which sharply decrease when increasing the number of
available photelectrons) present below ~ 10 keY [7]. The noise in our experiment
is given by PMT fast single photoelectrons with decay times of the order of tens
of ns, while the scintillation pulses have decay times of order of hundreds ns.
The large difference in decay times and the relatively large number of available
photoelectrons response assure an effective noise rejection. The used procedure
is described e.g. in ref. [7,28] 2.
To quantitatively investigate the role of possible noise tail in the data after
noise rejection on the annual modulation result, the hardware rate, RHj of each
detector above a single photoelectron, can be considered. The distribution of
E j (RHj - < RHj » shows a gaussian behaviour with (J = 0.6% and 0.4% for
DAMAjNaI-3 and DAMAjNaI-4, respectively, values well in agreement with
those expected on the basis of simple statistical arguments. Moreover, by fitting
its time behaviour in both data periods - including a WIMP-like modulated
term - a modulation amplitude compatible with zero: (0.04 ± 0.12) . 10- 2 Hz,
is obtained. From this value the upper limit at 90% C.L. on the modulation
amplitude can be derived: < 1.6 . 10- 3 Hz. Since the typical noise contribution
to the hardware rate of each of the 9 detectors is ~ 0.10 Hz, the upper limit on the
noise relative modulation amplitude is given by: < 19:~Ol~i/zz ~ 1.8 . 10- 3 (90%
C.L.). Therefore, even in the worst hypothetical case of a 10% contamination of
'the residual noise - after rejection - in the counting rate, the noise contribution
to the modulation amplitude in the lowest energy bins would be < 1.8 . 10- 4 of
the total counting rate. This means that a possible noise modulation can account
at maximum for an absolute amplitudes of the order of few 10- 4 cpdjkgjkeV,
that is < 1% of the observed annual modulation amplitude [13]. In conclusion,
there is no evidence for any role of an hypothetical tail of residual noise after
rejection.
The stability of the efficiencies over the whole data taking periods has been
also investigated; their possible time variation depends essentially on the stability
of the cut efficiencies, which are regularly measured by dedicated calibrations
[13,28]. In this way, also the unlikely idea of a possible role played by the efficiency
values in the effect observed in ref. [6,8,13] has been ruled out [13,28].
2 We take this opportunity to recall that the comparison with results achieved by
others and the so-called "anomalous" or "unknown" events have been addressed in
ref. [28]
In order to verify the absence of any significant background modulation, the

measured energy distribution in energy regions not of interest for the WIMP-
nucleus elastic scattering has been investigated [6,8,9,13]. For this purpose,
we have considered the rate integrated above 90 keV, R go , as a function of
the time. The distributions of the percentage variations of R go with respect
to their mean values for all the crystals during the whole DAMA/NaI-3 and
DAMA/NaI-4 running periods show cumulative gaussian behaviours with (T ~
1%, well accounted by the statistical spread expected from the used sampling
time. This result excludes any significant background variation. Moreover, a
WIMP-like modulation amplitude compatible with zero is found in both the
running periods: -(0.11 ± 0.33) cpd/kg and -(0.35 ± 0.32) cpd/kg. This excludes
the presence of a background modulation in the whole energy spectrum at a level
much lower than the effect found in the lowest energy region in ref. [6,8,13]; in
fact, otherwise - considering the R go mean values - its modulated term should
be of order of tens cpd/kg, that is ~ 100 (T far away from the measured value.
This also accounts for the neutron environmental background; further arguments
can be found in ref. [28]. A similar analysis performed in other energy region,
such as e.g. just above the first pole of the Iodine form factor, leads to the same
conclusion.
As regards possible side reactions, the only process which has been found as
an hypothetical possibility is the muon flux modulation reported by MACRO
experiment [29]. In fact, MACRO has observed that the muon flux shows a
nearly sinusoidal time behaviour with one year period and maximum in the
summer with amplitude of ~ 2 %; this muon flux modulation is correlated with
the temperature of the atmosphere. This effect would give in our set-up modu-
lation amplitudes << 10- 4 cpd/kg/keV, that is much smaller than we observe.
Moreover, it will also fail some of the six requirements necessary to mimic the
signature. Thus, it can be safely ignored [28]. The search for other possible side
reactions able to mimic the signature has not offered so far any candidate.
In conclusion, a WIMP contribution to the measured rate is candidate by the
model independent approach and by the full investigation of known systematics,
independently from the nature of the possible candidate particle and from its
kind of interaction with ordinary matter.
In the next section a possible particle candidate will be investigated, choosing
a particular model and an effective energy and time correlation analysis.
2.3 Results of a Model Dependent Analysis
Properly considering the time occurrence and the energy of each event, a time
correlation analysis of the data collected between 2 and 20 keV has been per-
formed, according to the standard maximum likelihood method described in ref.
[6,8,13]. This allows to effectively test the possible presence in the rate of a
WIMP contribution in the considered model framework. In particular we have
analysed the case of a particle with a dominant 81 scalar interaction (as also the
neutralino [30] can be). The calculations have been performed according to the
same model framework (astrophysical, nuclear and particle physics considera-

tions) as in ref. [6,8,13]. Furthermore, in the complete global analysis the 90%
C.L. limit on recoil rate measured in ref. [3] (DAMA/NaI-O) has been included.
In the minimization procedure the WIMP mass has been varied from 30 GeV
up to 10 TeV; the lower bound accounted for results achieved at accelerators.
Alternative analyses in the same model framework, such as the ones based on
the Xtest variable described in ref. [8] and on the Feldman and Cousins approach
[31], offer substantially the same results.
Since the analysis of each data cycle independently gives consistent result,
a complete global analysis properly including both the known uncertainties on
astrophysical local velocity, vo, [12] and the constraint arising from the upper
limit on the recoil rate measured in ref. [3] (DAMA/NaI-O) has been carried
out.
According to ref. [12], the minimization procedure has been repeated by
varying Vo from 170 km/s to 270 km/s to account for its present uncertainty;
moreover, also the case of possible bulk halo rotation has been analysed. The
positions of the minima for the log-likelihood function consequently vary (for
example toward larger WIMP mass for lower Vo values [12]). The results are
summarized in Fig. 3, which shows the regions allowed at 30- C.L. when: i) Vo
= 220 km/s (dotted contour); ii) the uncertainty on Vo is taken into account
(continuous contour); iii) possible bulk halo rotation is considered (dashed con-
tour). The latter two calculations were performed according to ref. [12]. The
confidence levels quoted above have also been verified by suitable MonteCarlo
calculations; in particular, we note that the Feldman and Cousins analysis [31]
of the data gives quite similar results. These regions are well embedded in the
Minimal Supersymmetric Standard Model (MSSM) estimates for the neutralino
[32,33].
A quantitative comparison between the results of the model independent and
of this model dependent analyses has been discussed in ref. [13].
Finally, we also recall that many assumptions on standard nuclear and par-
ticle physics used in the calculation are also affected by uncertainties, which -
when taken into account - would enlarge the allowed regions of Fig. 3 (varying
consequently the positions of the minimum for the log-likelihood function). In
ref. [13] as an example the case of the nuclear radius and of the thickness pa-
rameter values used in the Iodine form factor has been discussed. Furthermore,
the effect of different model frameworks can be easily inferred.
For the sake of completeness, we recall that - as it is well known - intrinsic
uncertainties exist in the comparison of results achieved by different experiments
and, even more, when different techniques are used. Moreover, always when dif-
ferent target nuclei are used (as it is also the case of DAMA and CDMS exper-
iments), no absolute comparison can be pursued at all; only model dependent
comparisons can be considered with further intrinsic uncertainties. A dedicated
discussion on comparison with the result presented by CDMS in ref. [34] can be
found e.g. in sect. 3ofref. [35].
-0
a...
10- 5 '" '"
.... ...........- - - - - - - - I
a. r
b r
/
W'I
10- 6
10- 7
10 20 50 100 200 500 1000
MW (GeVl
Fig. 3. Regions allowed at 30" C.L. in the plane eO'p (e = Q.31Q";~":':: 3 and 0"1' = WIMP
scalar cross section on proton) versus Mw (WIMP mass) by the complete global anal-
ysis: i) for VQ = 220 km/s (dotted contour); ii) when accounting for VQ uncertainty (170
km/s ::; VQ ::; 270 km/s; continuous contour); iii) when considering also a possible bulk
halo rotation as in ref. [12) (dashed contour). The inclusion of present uncertainties
on some nuclear and particle physics parameters would enlarge these regions (varying
consequently the position of the minimum for the log-likelihood function) [13); full
estimates are in progress.
3 Conclusion
In conclusion, a WIMP contribution to the measured rate is candidate - indepen-

dently from the nature of the possible particle and from its kind of interaction
with ordinary matter - by the model independent approach and by the absence
of known systematics able to mimic the signature. The complete global Corre-
lation analysis in the framework of the particular model given in ref. [13] for a
spin-independent candidate with mass greater than 30 GeV favours the modula-
tion at ~ 4 a C.L.. The possible theoretical implications of the observed effect in
terms of neutralino with dominant spin-independent interaction and mass above
30 GeV have more recently been discussed in ref. [32,33].
At present, further studies on model frameworks are in progress.
Moreover, the collection of the data of a 5-th annual cycle has been completed
in July 2000. New electronics and DAQ have been now installed; the data taking
will start again in fall 2000. Finally, after a new R&D for radiopurification of
NaI(TI) detectors, efforts to increase the experimental sensitivity are in progress.
The target mass will become ~ 250 kg.
References
1. P. Belli et al.: II Nuovo Cimento C 19, 537 (1996)
2. P. Belli et al.: Phys. Lett. B 387, 222 (1996)
3. R. Bernabei et al.: Phys. Lett. B 389, 757 (1996)
4. R. Bernabei et al.: Astrop. Phys. 7, 73 (1997)
7. R. Bernabei et al.: II Nuovo Cim. A 112, 545 (1999)
9. P. Belli et al.: in the volume "3K-Cosmology", AlP pub., 65 (1999)
10. P. Belli et al.: Nucl. Phys. B 563, 97 (1999)
11. R. Bernabei et al.: II Nuovo Cimento A 112, 1541 (1999)
12. P. Belli et al.: Phys. Rev. D 61, 023512 (2000)
14. R. Bernabei et al.: New Journal of Physics 2, 15.1-15.7 (2000)
15. J.I. Collar and F.T. Avignone III: Phys. Lett. B 275, 181, (1992); J.I. Collar and
F.T. Avignone III: Phys. Rev. D 47, 5238 (1993)
16. P. Belli et al.: II Nuovo Cimento 103 A, 767 (1990)
17. P. Belli et al.: Astropart. Phys. 5, 217 (1996)
19. P. Belli et al.: Astropart. Phys. 10, 115 (1999)
21. P. Belli et al.: Phys. Lett. B 465, 315 (1999)
22. R. Bernabei et al.: Phys. Rev. Lett. 83, 4918 (1999)
23. P. Belli et al.: Phys. Rev. C 60, 065501 (1999)
24. P. Belli et al.: Phys. Rev.D 61,117301 (2000)
25. R. Bernabei et al.: pre-print INFN/ AE-OO/06 (2000) to appear on Phys. Lett. B
26. K.A. Drukier et al.: Phys. Rev. D 33, 3495 (1986)
27. K. Freese et al.: Phys. Rev. D 37, 3388 (1988)
28. R. Bernabei et al.: preprint INFN/AE-OO/I0 (2000) available on the on-line
preprint at ww.lngs.infn.it
29. M. Ambrosio et al.: Astropart. Phys. 7, 109 (1997)
30. A. Bottino et al.: Phys. Lett. B 402, 113 (1997)
31. G. J. Feldman and R. D. Cousins: Phys. Rev. D57, 387 (1998)
32. A. Bottino et al: hep-ph/0001309
33. Gabrielli, E., et al.: 2000, hep-ph/0006266.
34. R. Abusaidi et al.: Phys. Rev. Lett. 84, 5699 (2000)
35. R. Bernabei et al.: ROM2F /2000-32 to appear in the Proceed. of the Int. Workshop
PIC20, Lisbona, Portugal, July 2000.
Results of the Saclay NaI(TI) WIMP Search
Experiment and Comparison
with Other NaI(TI) Experiments
G. Gerbier 1 , J. Mallett, 1. Mosca l : and C. Tao 2
1 DSM/DAPNIA/SPP: C.E.A. Saclay: F-91191 Gif-sur-Yvette: France

2 CPPM: IN2P3/CNRS and Universite Aix-MarseiIIe II: 163 avo de Luminy, case 907,
F-13288 Marseille Cedex 09, France
Abstract. Underground data for WIMP search have been obtained from a 83 days run
of a 10 kg NaI(Tl) detector in a low activity environment at the Laboratoire Souterrain
de Modane (LSM). Emphasis is put in this paper on the understanding of the 2-5 keY
energy region: crucial both at establishing limits and at analyzing annual modulation
of Spin Independent WIMP interactions. Comparison is done with other experiments.
Would there be a signal in DAMA data: the residual electromagnetic background energy
spectrum exhibits a strange shape. Pulse shape analysis at higher energies have shown
an unexpected population of "u" events, also observed by another experiment at the
same rate. Additional data obtained at LSM on "u" events are reported. A possible
interpretation of these events is related to alpha decays of Radon descendants near the
surface of the crystal.
1 Introduction
The results of the Saclay/Lyon groups NaI(Tl) experiment performed at the
Laboratoire Souterrain de Modane have been recently published in [1]. The goal
of this contribution is first to give the main findings of this experiment: namely
about the shape of the energy spectrum in the 2-10 keY region and about the
identification of an unexpected population of "Bump/V" events in the 10-70
keY region. Secondly, a short comparison of performances and findings with
other NaI(TI) experiments is done: in particular in view of the understanding of
an important claim concerning the DAMA annual modulation signal [2].
2 Set-Up
The setup used at LSM consisted of a 10 * 10 * 25 cm long NaI(TI) low activity
crystal viewed by two EMI 3 inch low activity PMT through 10 cm quartz
light guides. The detector was installed inside a very low activity ancient lead
shield enclosed in a plexiglass box continuously flushed with nitrogen to avoid
radon contamination. The measured photoelectron yield was about 7 pelkeY.
All pulses above 1.8 keY were digitised at 200 Mhz and recorded on tape. The
live time data taking was 83 days.
548 G. Gerbier et al.
This detector module is very similar to the ones used in the DAMA exper-
iment in size, crystal growing method, manufacturer, housing, light guides and
PMT type [3].
3 Low Energy Spectrum

On figure 1 is shown the obtained raw differential energy rate of a subsample of
the total exposure (open circles).
Data from this exp: 805 kg.d

~oET------~ - all events (with PMT noise)
...
10 ..........~.............................. - after PMT noise removal
, ;0""- _ _-
----...~
'1
x
x
0,1 .~.~. ····1..···········,
~ x i
"0 m x1
Z
"0
0,01 .................~ ;;,.+.~ ; ······;..· ········· ···1
. 8; 60 GeV 81 WIMP: Iodine recoils 1
j
x
Fitted .. with (J p = 10-5 pb
DAMA x _
0,001
o 5 10 15 20
Energy (keV electron equivalent)
Fig. I. Energy spectra of a) expected signal in Nal(TI) from a 60 GeV SI WIMP, b) of

the experimental spectra measured by this experiment (raw and cleaned up) and the
DAMA one of their best crystal, together with typical reduction factors obtained with
PSD.
The 2 to 8 keV energy region is dominated by PMT noise pulses. The to-
tal rate in the 2-3 keY bin goes up to 80 evtsjkgjkeVjday. These pulses have
characteristic shapes, much sharper than scintillation light pulses. They can be
clearly identified on the figure 2 which shows a scatter diagram of a "sharpness"
parameter as a function of energy for all the recorded pulses.
By applying adequate cuts on this parameter and on the asymetry between
the two PMT pulse heights, PMT noise can be mostly rejected. We found that
we keep 0.5 o/c of PMT noise in the 2-3 keY bin, that is 0.4 evtsjkgjkeV jday.
On the other hand the efficiency for keeping the good scintillation pulses is 75
o/c in this same bin of energy and rises up to 99 o/c at 4 keV.
The spectrum cleaned up for noise and corrected for the efficiency is shown
on figure 1 (black circles). The rising up of the spectrum at the lowest energy,
up to 10 evtsjkgjkev j day at 2.5 keV is due to true NaI(Tl) pulses as shown by
PSD and Dark Matter Search with NaI(TI) at LSM 549
••
r--,
::l
~ 50
c:: • PMT noise pulses
I
:0
<l) 40
E
I-
<l)
0.. 30 I
<l)
"0
:a3E 20
«l
c::
«l
<l)
10
:E
Nat pulses
0~"""",""""'"'=±=""""-=1.="'-=~="-=C:I
0123456789
Fig.2. Scatter plot of the mean amplitude per time bin as a function of energy for
data events before appyling any software cuts. The 3 keY peak can clearly be seen in
the NaI(TI) pulses region
the darkening of the NaI(TI) region on figure 2 in the 2-4 keY region. It is not
due to badly rejected PMT noise.
3.1 Low energy spectra from other experiments
Energy spectra obtained by other experiments using NaI(TI) (UKDMC [4],

SaragozajCanfranc [5], Elegants V [6]) are shown on figure 3. The absolute rates
are high for Elegants V and SaragozajCanfranc but comparable to our result
for UKDMC though at a higher energy threshold. All spectra show an increase
of rate at low energies.
However: the spectra observed by the DAMA group [2] for their different
crystals show a rather flat shape in the 3 to 10 keY region and even a drop
towards low energy from the 3.5 keY to the 2.5 keY bin. The rate for the best
crystal even lowers to 0.5 evtsjkgjkeV jday at 2.5 keY (see open squares on figure
1)' that is a factor 20 less than the presently measured rate. The rate above 10
keY is roughly at the same level as the present data.
This is rather surprising as one expects that the origin of most events at low
energy are Compton interactions of higher energy gamma rays from radioactive
nucleides either from inside or from outside the detector. The expected shape in
this energy region is a smooth variation with energy but not a sudden drop of a
factor two within a two keY range.
550 G. Gerbier et al.
..
~ '0
ELEG TS V I UKDMC
lik\\.,
I •
ii" .' H t - - - f - - - - - -
~
~ 30
~ A 8 • •
/ .
.... .••.•..
:z:
:>
20 ." .:
o
u '0 '
./
.
.............. i,
O ............-......JL..o..-.---.I~ .........~...........~......J
I
.!J..---!~"i-'_*-_:o;_
. . --:..
-......
!;:---:.:-
.
o 20 '0 80 80 100
~
ELECTRON EOUIVAUHT ENERGY (UV)
.----------,
CANFRANC
.. -.
£nerD (keV)
.
Fig.3. Energy spectra of UKDMC, Saragoza-Canfranc, ELEGANTS NaI(TI) experi-

ments, the black horizontal line corresponds to 5 evtsjkgjkeV jday, the vertical one to
20 keY
Consequences on Exclusion plot. As noted in [7], Spin Independent (SI)

coupling WIMP interactions are expected to occur mostly on Iodine nuclei at
visible energies lower than 7 keY (see expected shape of a 60 GeV WIMP signal
on figure 1). The sensitivity is given by the maximum amount of signal which
can be accomodated within the data. From figure I, it can be seen that the
DAMA spectrum has a better sensitivity in cross section than the present one,
by a factor 20, because of the low rate of the 2.5 keY data point.
Pulse Shape Discrimination (PSD) which allows to discriminate between the
electron induced (background) and nuclear recoil induced pulses (signal) should
in principle produce an increase of the sensitivity by reducing the allowed residual
rate of nuclear recoils. However this analysis is possible only above 4 keV electron
equivalent energy. Given the DAMA exposure [2], it has been shown in [8] that
the PSD at energies higher than 4 keY does not help improving the sensitivity
relative to the use of the rate at 2.5 keV.
This mostly explains the difference in sensitivity of the two experiments in
the cross section mass exclusion diagram for SI WIMP: of about 13 10- 5 pb for
this experiment as compared to 0.5 10- 5 pb for DAMA at a WIMP mass of 100
GeV.
PSD and Dark Matter Search with NaI(TI) at LSM 551
Consequences on annual modulation signal This strange feature of the

DAMA energy spectrum becomes even stronger if there is a WIMP signal in the
data. As stated in ref [2], the detected modulated signal Sm leads to an absolute
level of WIMP signal SO in the total energy spectrum at the level of 0.4 to 0.5
evtsjkgjkeV jday in the 2-3 keY bin, while the mean (lowest crystal C8) total
rate is 1.0 (0.5) evtsjkgjkeV jday. This means that the residual electromagnetic
background shows an even bigger drop at the lowest energy, 0.5 ± 0.1 (0.0 ±
0.1) evtsjkgjkeVjday for the mean ("best") rate on all the crystals. This point
is not discussed in the published DAMA paper.
There are other points which cast doubt on the overall consistency of a real
signal in the DAMA data:
- the inconsistency between the signals given by the various modules of the
detector in the first report [8]. It has been shown [9] that the signal was present
in 3 crystals out of 9.
- the" stability" of the significance of the result with statistics. The 4 (J' result
with a 4 549 kg.day statistics from the first report [8] stays a 4 (J' signal in the
last 57 986 kg.day statistics [2] with the same 7.6 10- 5 pb signal.
- the presentation of the modulated signal with time [2]. There are many
knobs to play with to enrich a possible modulated signal: energy window, selec-
tion of time width bin. It can be noticed on the modulation plot [2] that the
binning varies from 1 to 3 months. Also, this plot does not show the dead time
of the experiment (of about 38 o/c).
4 Pulse Shape Analysis and U Event Population
Pulse shape analysis of the 805 kg.day data, at energies higher than 10 keY,
have shown an unexpected population of "u" events with even faster decay
times than nuclear recoil pulses [1]. UKDMC has observed the same kind of
events, the "Bump" events [4] with similar total rates of about 3 evtsjkgjday
and differential energy spectra (see figure 4).
These events have not been observed in the DAMA experiment. The Elegants
V and SaragozajCanfranc experiments, where the pulse shape information was
not recorded, could not give any information on these events.
Two other 10 kg crystals, manufactured by BICRON twelve years ago, have
been recently measured at LSM. Measured U event spectra are shown also on
figure 4. They are again very similar to the ones previously obtained.
The most likely explanation consists in a radon surface contamination. Re-
coiling nuclei from descendants of radon implant slightly inside the crystal (by
about 0.1 /lm). Subsequent alpha decays give rise to recoiling nucleus and es-
caping MeV alpha depositing their energy close to the surface.
Calculations by the UK group [10] indeed give the right energy spectrum but
show that the needed amount of radon accumulated at the surface between the
cutting and the sealing of the crystal is much higher than what can be reasonably
inferred from the known way of manufacturing low activity detectors.
552 G. Gerbier et a1.
10 ~~--r-"""'~'"T""-"'--'--""",,~""""-r-~""TO"~""""-r-r-'--'-~
-
~
S;
Bump events from UKDM
, , ; · ·.. i1
-I
~ o,::..J' /' 11
~ ~~.:
kg
~ .L,;1!~L.....i...:. . ~
0.0' T O ...
~ exper~ment) i "! ~
( U events from this
: : : : . , ~
0.001 _......... _J_.... : .... _ .. _,~ j_........ -J._i ..~i L._.... -'-_L~ L_~_". ...J
o 10 20 30 40 50 60 70
Fig.4. Energy spectra of U events (from this experiment): Bump events from UKDMC
result [4], and more recent results from Bicron crystals measured at LSM
To disentangle this issue, the UKDMC group and Saclay group have led
together a recent experimental investigation along two lines:
- The crystal used in the present experiment has been also measured at
Boulby mine, and was found to give similar energy spectrum as in LSM, and
similar rates of U events. This confirms that the U events are indeed due to the
detector.
- Tests of scraping the surface have also been performed by the UK group
and lead to a substantial decrease of the U events. This confirms the original
hypothesis of surface contamination though it does not account for the surprising
similarity of spectra between crystals of very different origins and manufacturers.
The hope is to suppress the UjBump events and then to restaure the initial
potential sensitivity of NaI to WIMP signal.
References
1. G. Gerbier et a1.: Astropart. Phys. 11, 287 (1999)
2. R. Bernabei et al.: Phys. Lett. B 450: 448 (1999) and Phys. Lett. B 480, 23 (2000)
3. R. Bernabei et aI., INFN/AE-1998/23
4. P.F. Smith et a1.: Phys. Rep. 307: 275 (1998)
5. E. Garcia et a1.: Phys. Rev. D51: 1458 (1995)
6. K. Fushimi et a1.: Astropart. Phys. 12, 185 (1999)
7. G. Gerbier et a1.: Proc. of DM2000 Symposium, Marina Del Rey (Feb 2000)
8. R. Bernabei et a1.: Phys. Lett. B 424, 195 (1998)
9. G. Gerbier et a1.: astra-ph 9710181 and astra-ph 9902194
10. N.J.T. Smith et al: Phys. Lett. B 485: 9 (2000)
Status of the HDMS Experiment, the GENIUS
Project and the GENIUS-TF
H. V. Klapdor-Kleingrothaus t , B. Majorovits*, L. Baudis, A. Dietz,

G. Heusser, 1. Krivosheina, and H. Strecker
Max Planck Institut fur Kernphysik, P.O. Box 103980, 69029 Heidelberg, Germany
t Spokesman of the GENIUS and HEIDELBERG-MOSCOW Collaborations
Abstract. The status of dark matter search in Heidelberg is reviewed. After one year
of running the HDMS prototype experiment in the Gran Sasso Underground Labora-
tory, the inner crystal of the detector has been replaced with a HPGe crystal of enriched
73Ge. The results of the operation of the HDMS prototype detector are discussed. In
the light of the contradictive results from the CDMS and DAMA experiments the
GENIUS-TF, a new experimental setup is proposed. The GENIUS-TF could probe
the DAMA evidence region using the WIMP nucleus recoil signal and WIMP annual
modulation signature simulataneously. Besides that it can prove some key parameters
of the detector technique, to be implemented into the GENIUS setup and will in this
sense be a first step towards the realization of the GENIUS experiment.
1 Introduction
The topic of Dark Matter search has lately gained some actuality by the results
of the DAMA [1] and CDMS [2] experiments. The DAMA collaboration claims
to see positive evidence for WIMP dark matter using the annual modulation
signature, whereas the CDMS experiment almost fully excludes the DAMA al-
lowed cross-sections for WIMP dark matter (the 3 C! region with 84% C.L.). It
is therefore of utmost importance to independently test these results using both
experimental approaches: to look for the WIMP-nucleus recoil signal and for the
annual modulation effect. However, should the positive DAMA WIMP evidence
be disproven, a large step forward in terms of increasing the sensitivity of Dark
Matter experiment is needed in order to obtain relevant data concerning WIMP
dark matter.
Here we present first results of the Heidelberg Dark Matter Search (HDMS)
experiment [3,4], which took data over a period of about 15 months in the Gran
Sasso Underground Laboratory at LNGS in Italy. After a description of the
experimental setup, the performance of the detectors is discussed. The last 49 d
of data taking are then analyzed in terms of WIMP-nucleon cross sections and
a comparison to other running dark matter experiments is made.
In the following section we introduce the GENIUS-TF [5,6], a new experi-
mental setup to probe the evidence region favoured by the DAMA experiment
[1] and to test the prerequisites neccessary to realize the Genius project [7,8].
* talk presented by B. Majorovits

554 H.V. Klapdor-Kleingrothaus et al.
2 The HDMS Experiment

HDMS operates two ionization HPGe detectors in a unique configuration [4].
A small, p-type Ge crystal is surrounded by a well-type Ge crystal, both being
mounted into a common cryostat system (see Figure 1 for a schematic view). To
shield leakage currents on the surfaces, a 1mm thin vespel insulator is placed
between them. Two effects are expected to reduce the background of the inner
target detector with respect to our best measurements with the Heidelberg-
Moscow experiment [9]. First, the anticoincidence between the two detectors
acts as an effective suppression of multiple scattered photons. Second, we know
that the main radioactive background of Ge detectors comes from materials
situated in the immediate vicinity of the crystals. In the case of HDMS the inner
detector is surrounded (apart from the thin isolation) by a second Ge crystal -
one of the radio-purest known materials.
39.4 nun
E
E 00
l:! ~
3
3
Fig. 1. Left: Schematic view ofthe HDMS experiment. A small Ge crystal is surrounded
by a well type Ge-crystal, the anti-coincidence between them is used to suppress back-
ground created by external photons. Right: The HDMS detector during its installation
at LNGS.
In order to house both Ge crystals and to establish the two high voltage
and two signal contacts, a special design of the copper crystal holder system
was required. The cryostat system was built in Heidelberg and made of low
radioactivity copper, all surfaces being electro-polished. The FETs are placed
20 cm away from the crystals, their effect on the background is minimized by a
small solid angle for viewing the crystals and by 10 cm of copper shield.
2.1 Detector Performance at LNGS

The HDMS prototype was installed at LNGS in March 1998. Figure 1 shows
the detector in its open shield. The inner shield is made of 10 cm of electrolytic
copper, the outer one of 20 cm of Boliden lead. The whole setup is enclosed in an
air tight steel box and flushed with gaseous nitrogen in order to suppress radon
diffusion from the environment. Finally a 15 cm thick borated polyethylene shield
The HDMS Experiment, GENIUS and the GENIUS-TF 555
surrounds the steel box in order to minimize the influence of neutrons from the
natural radioactivity and muon produced neutrons in the Gran Sasso rock.
The prototype detector successfully took data over a period of about 15
month, until July 1999. The individual runs were about 0.9 d long. Each day the
experiment was checked and parameters like leakage current of the detectors,
nitrogen flux, overall trigger rate and count rate of each detector were checked.
The experiment was calibrated weekly with a 133Ba and a 152Eu_228Th source.
The energy resolution of both detectors (1.2 keV at 300 keV inner detector and
3.2keV at 300keV outer detector) were stable as a function of time. The zero
energy resolution is 0.94keV for the inner detector and 3.3 keY for the outer
one.
The energy thresholds are 2.0 keV and 7.5 keV for the inner and outer detec-
tor, respectively.
Due to the very special detector design, we see a cross-talk between the two
detectors. The observed correlation is linear and can be corrected for off-line
[10]. After correction for the cross talk and recalibration to standard calibration
values, the spectra of the daily runs were summed. Figure 2 shows the sum spec-
tra for the outer and inner detector, respectively (the most important identified
lines are labeled).
~
.ll
10
..
~II"'"
~ 1
i '0 I.~-...~
'1'W'f,_~~, .... ~
~ 10
~;i;;;---';;;--;:; ......",,~;J;;;~"'=--=--::IOO=--:=-""I:!...'
"
~
10
10
Fig. 2. Left: Sum spectrum of the outer detector after a measuring time of 363 days.
The most prominent lines are labeled. Right: Sum spectrum of the inner detector after a
measuring time of 363 days. The most prominent lines are labeled. The filled histogram
is the spectrum after the anti-coincidence with the outer detector.
In the outer detector lines of some cosmogenic and anthropogenic isotopes,

the U/Th natural decay chains and 40K are clearly identified. The statistics
in the inner detector is not as good, however the X-ray at 10.37keV resulting
from the decay of B8Ge, some other cosmogenic isotopes, 210Pb and 40K can
be seen. The region below 10keV is dominated by the X-rays from cosmogenic
radio nuclides. In addition a structure centered at 32 keV is identified. Its origin
has recently been understood to be due to an artefact of the special detector
configuration.
50
>
~
4)
218po: 6.0 MeV
......,
~
22"Ra: 5.7 MeV
l-o 40 212 Bi : 6.1 MeV
4)
.- c::
c::
:>... 30
Peak
Area
220Rn: 6.3 MeV
0.0
l-o
4)
... ~ ...
c::
u.J 20 ~l ,mss-
lalk
I',
.. 216p
effecl
0: 6.8 MeV
10
" .. 228 Th : 5.2-5.4 MeV
224Ra: 5.4 MeV
~# ........ i''''''''
222 214 pO : 7.7 MeV
0
21O po: 5.3 MeV
-1000 0 1000 2000 3000 4000 5000 6000 7000 8000

Energy outer [keV]
Fig. 3. Origin of the structure observed at 32 keY in the inner detector: Shown is a
scatter plot of all events with energies less then 50 keVin the inner detector. Each dot
corresponds to one event. The position on the y-axis corresponds to the recorded energy
in the inner detector, while the position on the x-axis displays the recorded energy in
the outer detector. The linear dependence of the pick-up in the inner detector due to
the energy deposition in the outer detector is nicely seen. Clearly visible are regions
dominated by a-particles due to the decay chains of 238U and 232Th. The highest
energetic a-particles resulting from these decay chains stem from 212pO with 8.8 MeV.
Due to the limited dynamic range of the ADCs an event with such high energy can
not be stored in the memory and is thus set to zero. Like this the event only appears
with its crosstalk signal of "'32.5 keY in the inner detector, faking a peak, which is not
affected by the anticoincidence.
In Fig. 3 a scatter plot of all events with energy depositions less then 50 keV
in the inner detector is shown. The linear dependence of the pick-up signal in the
inner detector from the energy deposition in the outer detector is nicely seen.
The largest fraction of events with energies above 3 MeV in the outer detector
do result from Q contaminations. These stem from the decay-chains of 238U and
232Th, most probably resulting from U/Th contaminations being present in the
soldering tin of the contacts for the outer detector. The highest energetic Q-
decays with 8.8 MeV result from the decay of 212pO. However, for such high
energies (above", 8 MeV) the dynamic range of the ADC does not allow for the
recording of the event. The ADC value is set to zero in such a case. The crosstalk
seen in the inner detector can be calulated once the slope of the pick-up is known.
This has been measured to be kio = 0.00375±0.00004. Thus only a pick-up event
in the inner detector with energies around 0.00375 x 8800 '" 33.0 keY is recorded
whereas no event seems to occur in the outer detector (some energy loss occurs
due to the dead layer of the crystals, thus the slightly higher energy value).
After 363 days of pure measuring time the statistics in the inner detector
was high enough in order to estimate the background reduction through the
anti-coincidence with the outer detector.
Figure 4 shows the low-energy spectrum of the inner detector before and after
the anti-coincidence. The cosmogenic X-rays below 11 keY are preserved, since in
this case the decays are occurring in the inner detector itself. Also a 3H spectrum
with endpoint at 18.6 keV is presumably present. If the anti-coincidence is evalu-
ated in the energy region between 40 keV and 100 keV, the background reduction
factor is 4.3. The counting rate after the anti-coincidence in this energy region is
0.07 events/ (kg d keV), thus very close to the value measured in the Heidelberg-
Moscow experiment with the enriched detector ANG2 [9]. In the energy region
between 11 keV and 40 keV the background index is with 0.2 events/ (kg d keV)
a factor of 3 higher.
..
,I
~
o 20 40 60 80 100 120
Energy[keVj
Fig. 4. Low-energy spectrum of the inner detector. The light shaded spectrum corre-
sponds to the events using the anticoincidence, the dark shaded spectrum to all events.
2.2 Dark Matter Limits
The evaluation for dark matter limits on the WIMP-nucleon cross section a~al:
follows the conservative assumption that the whole experimental spectrum con-
sists of WIMP events. Consequently, excess events from calculated WIMP spec-
tra above the experimental spectrum in any energy region with a minimum
width of the energy resolution of the detector are forbidden (to a given confi-
dence limit).
The parameters used in the calculation of expected WIMP spectra are sum-
marized in [9]. We use formulas given in the extensive review [11] for a truncated
Maxwell velocity distribution in an isothermal WIMP-halo model (truncation

at the escape velocity, compare also [12]).
After calculating the WIMP spectrum for a given WIMP mass, the scalar
cross section is the only free parameter which is then used to fit the expected
to the measured spectrum using a one-parameter maximum-likelihood fit algo-
rithm.
To compute the limit for the HDMS inner detector we took only the last 49
days of measurement. We omit the first 260 days in order to reduce the contam-
inations due to long-lived cosmogenically produced materials. These have life
:ai:r
times of typically '" 200 days. The energy threshold of the measurement was
2 keV. The resulting preliminary upper limit exclusion plot in the 0" versus
MWIMP plane is shown in Fig. 5.
Already at this stage, the limit is competitive with our limit from the Heidel-
berg-Moscow experiment. In the low mass regime for WIMPs the limit has been
improved due to the low-energy threshold of 2 keV reached in this setup.
Also shown in the figure are limits from the Heidelberg-Moscow experiment
[9], limits from the DAMA experiment [13J and the most recent results in form of
an exclusion curve from the CDMS experiment [14J. The filled contour represents
the 20" evidence region of the DAMA experiment [1 J.
,
J
to· \.
"
""
\.
...
.,\.
....., . ....- .
10 .l..-_~_I!D_~_IS_p_n_*_"·I_. ~~-'--- ---J
10'
WIMP-mass [GeV]
Fig. 5. WIMP-nucleon cross section limits as a function of the WIMP mass for spin-
independent interactions. The upper solid line corresponds to the limit set by the
HDMS-prototype detector. The plain curves correspond to the limits given by CDMS
[14]' DAMA [13] and the Heidelberg-Moscow Experiment [9]. The filled contour repre-
sents the 20- evidence region of the DAMA experiment [1]. The lower dashed line shows
the expectation for the HDMS final setup assuming a threshold of 2 keY.
2.3 Outlook for the HDMS Experiment

The prototype detector of the HDMS experiment successfully took data at LNGS
over a period of about 15 months. All of the background sources were identified.
The background reduction factor in the inner detector through anticoincidence

is about 4. It is less then previously expected [4], due to the smaller diameter
of the veto detector than originally planned. Nevertheless, the background in
the low-energy region of the inner detector (with exception of the region still
dominated by cosmogenic activities) is already comparable to the most sensitive
dark matter search experiments.
For the final experimental setup, important changes were made.
• The crystal holder was replaced by a holder made of ultra low level copper.
• The soldering of the contacts was avoided, thus no soldering tin was used in
the new setup.
• The inner crystal made of natural Germanium in the described prototype
was replaced by an enriched 73Ge crystal (enrichment 86 %). In this way, the
70Ge isotope (which is the mother isotope for 68Ge production) is strongly
de-enriched (the abundance in natural Germanium is 7.8%).
After a period of test measurements in the low-level laboratory in Heidelberg,

the full scale experiment was installed at LNGS in the in August 2000. The
projected final sensitivity of the detector can be seen in Fig. 5.
3 The GENIUS Experiment

In order to achieve a dramatic step forward regarding background reduction, a
new experimental technique is needed.
Lately there have been two promising approaches to reach this goal:
• Application of standard detection techniques while removing all dangerous

contaminations from the direct vicinity of the detectors.
• Cryo-detectors have been developed which are able to detect two signals of
the WIMP-nuclear recoil phonons and ionization (e.g. the CDMS experiment
[2]), or phonons and scintillation (e.g. the CRESST phase 2 experiment [15])
simultaneously. This enables a very effective discrimination between nuclear
recoils and electromagnetic interactions.
The GENIUS (GErmanium in liquid NItrogen Underground Setup) proposal
uses the first concept [7,8].
3.1 The Concept of the GENIUS Experiment

The GENIUS project [7,8] is based on the idea to operate 'naked' HPGe crystals
directly in liquid nitrogen [16] and to remove all dangerous contaminations from
the direct vicinity of the crystals. That Ge detectors really work in liquid nitro-
gen has been shown in [17,18]. Using a sufficiently large tank of liquid nitrogen,
the latter can act simultaneaously as cooling medium and shield against external
activities, since it is very clean with respect to radiopurity due to its produc-
tion history (fractional distillation). The conceptual design of the experiment is
depicted in figure 6.
Oa...·acqui.ition r. ~Room
I I
C»Dtttcton
~~o!
00000
00000
/
/ , "-
I
Uquid Nitrogen
"-
Isolation
"-
-----12mm-----
Fig. 6. Schematic view of the GENIUS project. An array of 100 kg of natural HPGe
detectors for the WIMP dark matter search (first step) or between 0.1 and 10 tons of
enriched 76Ge for the double beta decay search (final setup) is hanging on a support
structure in the middle of the tank immersed in liquid nitrogen. The size of the nitrogen
shield would be 12 meters in diameter at least. On top of the tank a special low-level
clean room and the room for the electronics and data acquisition will be placed.
The proposed detection technique is based on ionization in HPGe detectors.

The crystals would be of p-type. p-type detectors have the advantage that the
outer contact is n+ and the surface dead layer therefore several hundred mi-
crometers. This effectively prevents the detection of a- and f3 particles which
would otherwise dominantely contribute to the background. The ideal working
temperature of the p-type detectors is 77 K. The cooling of the HPGe crystals is
very efficient since the detectors are in direct thermal contact with the cooling
medium liquid nitrogen.
It has been shown that according to Monte Carlo simulations with this ap-
proach a reduction of background by three to four orders of magnitudes can
be achieved [7,8,17,18]. The final reachable background index is estimated to
be around,....., 10- 2 counts/(kg keY y) in the low-energy region below 100 keY
relevant for WIMP Dark Matter search. The sensitivity reachable with this back-
ground for neutralinos as dark matter can be seen in Fig. 7.
Fig. 7. Exclusion plot of the scalar WIMP-nucleon elastic scattering cross section as
a function of the WIMP mass. Plotted are excluded areas from the presently most sen-
sitive direct detection experiments (hatched area, DAMA [13], CDMS [2]' Heidelberg-
Moscow [9], HDMS prototype[4]) and some projections for experiments running or
being presently under construction (HDMS, GENIUS-TF [6]). The extrapolated sensi-
tivities of future experiments (GENIUS [8], CDMS at Soudan [2]) are also shown. The
scatter plot corresponds to predictions from theoretical considerations of the MSSM
[19]. The small shaded area represents the 200 evidence region from the DAMA exper-
iment [1). The large shaded area corresponds to calculations in the mSUGRA-inspired
framework of the MSSM, with universality relations for the parameters at GUT scale
[20) (Figure taken from [19)).
3.2 Tritium Production in HPGe at Sea Level

As evident from previous considerations of the expected background [8,18], great
care has to be taken about the cosmogenic isotopes produced inside the HPGe
crystals at sea level. Without additional shield against the hard component of
cosmic rays during a fabrication time of ten days many isotopes are produced
which significantly reduce the sensitivity of GENIUS as a dark matter detector.
Especially the production of 68Ge from the isotope 70Ge affects the sensitivity
by increasing the energy threshold of the detector to 12 keY. In the main reac-
tion leading to 68Ge enhancement also tritium is produced through the process
70Ge(n,t)68Ge. Tritium has a half life of 12.35 years and can thus not be deac-
tivated within a reasonable time. 3H is a f3 emitter with a Q-value of 18.6 keY.
The cosmogenic production rate of 3H in natural germanium has been esti-
mated through simulations in [21,22] using the cosmic neutron fluxes cited in
[23,24]. For natural germanium it is estimated to be less than rv 200 atoms per
day and kg material. Using this upper limit for tritium production at sea level
with an overall fabrication time of ten days this would mean a tritium abun-
dance of rv 2000 atoms per kilogram material. With the half life of 12.3 years
this results in a decay rate of rv3.6 J.LBq/kg equivalent to rv 113 decays per year
(this is in very good agreement with the result in [25]). Even assuming an energy
threshold of 12 keY and taking into account the spectral shape of tritium decay
this yields an event rate of approximately 2 counts/(kg keY y) in the energy re-
gion between 12 keY and 19 keY, which is by two to three orders of magnitudes
above the allowed count rate.
This consideration drastically shows the importance of proper planning of the
crystal production and transportation. To avoid major problems with cosmogenic
isotopes it is therefore essential to minimize the exposure of the crystals to cosmic
rays at sea level.
If it is assumed that during the zone refining process the germanium material
is sufficiently shielded against the cosmic radiation, the unshielded time would
with rv 3.5 days be by two orders of magnitudes too long. This exposure at
sea level would result in approximately 0.7 counts/(kg keY y). In addition it
has to be taken into account that the crystal might have to go through several
production steps more then once thus increasing the exposure time by another
16 hours per additional cycle.
It is therefore required to additionally shield the detector material during pro-
duction and transportation using approximately 2m of heavy concrete. Heavy
concrete can be produced with a density up to 5.9 g/cm 3 . Thus an additional
concrete shield of 1 m could act as a shield of roughly 5 mwe. This reduces the
hard nucleonic component mainly responsible for the cosmogenic isotope pro-
duction by one to two orders of magnitudes [16]. A further increase of shielding
strength does not seem to be reasonable since the cosmogenic production through
the cosmic fast muons which is by approximately two orders of magnitudes less
than through the hadronic component can not be shielded whatsoever.
To make a first approximation of the tritium abundance in the crystals after
production and transportation, it is assumed that a shield of 5 mwe can be pro-
vided during both fabrication and transport, resulting in a reduction of tritium
production by a factor of rv 30 (see figures 2 and 3 in [16]). The time interval
relevant for tritium enhancement starts directly after the zone refining process,
since in this step most of the contamination is being removed from the germa-
nium material. Thus for the fabrication (in the ideal case) 78 hours are needed.
Without considering transport, this results in approximately 20 tritium atoms
per kg detector material. Taking into consideration also a transportation time
of one week (shipping), the amount of produced tritium atoms increases to rv70
atoms per kg.
The expected decay rate is rv1.1 per year without and rv3.9 per year with
transportation considered. If an energy threshold of 12 keV is assumed for the
experiment due to the decay of 68Ge, the events resulting from tritium decay
below 12 keV can be neglected. Due to the spectral shape of tritium, every
"-'10th decay deposits more than 12 keY of energy in the detector. In the en-
ergy interval between 12 keY and 19 keY thus 0.11 events per year and 0.39
events per year are expected from tritium without and with transportation
considered, respectively. The final background sensitivity would therefore be
"-'1.6x 10- 2 countsj(kg keY y) without additional transportation and ,,-,5.6 x 10- 2
countsj(kg keY y) with a week of transport from the fabrication site to the site
of the experiment. This background level almost corresponds to the curve shown
in Fig. 7.
Note that the consideration made here is a very crude approximation. It
is, however, possible to say that tritium will definitely limit the sensitivity of
GENIUS as a dark matter detector if the germanium crystals are not produced
directly underground. Thus it should be seriously considered to produce the
detectors underground, directly at the experimental site.
4 The GENIUS-TF
It has been shown in the BARGEIN proposal [26] that with a setup using a
conventional shield, a sensitivity can be reached which allows for a test of the
DAMA evidence region within a short time period. However, with the BARGEIN
setup this test could only be done looking for the expected signal of WIMP
dark matter in HPGe detectors: the WIMP-nucleus recoil spectrum. Thus the
BARGEIN setup can only verify the CDMS result of (almost) excluding the
possibility of WIMP dark matter as favored by the DAMA data [14]. If the active
mass of the detector can be increased to approximately 40 kg, as proposed for the
GENIUS Test-Facility [5,6], and the background index will be maintained, also
the expected signature of WIMP dark matter in form of the annual modulation
signal could be tested within a reasonable time window [5,6].
The primary goal of GENIUS-TF is to demonstrate the feasibility of the
GENIUS project.
With the GENIUS TF it is planned to test the following points:
Material selections have to be performed for various experimental compo-
nents like polyethylene and contacting wires, and their purities have to be tested
down to 1eventj(kgy keY). A crystal support system, made of low-radioactivity
polyethylene has to be developed and designed such that it can be extended in
order to house up to 40 crystals (100 kg) and more and later implemented into
the GENIUS setup.
Furthermore a new, modular data acquisition system and electronics, capable
of taking data from up to 300 and more detectors simultaneously has have to be
developed and tested.
From the low-energy spectrum valuable experiences can also be gained about
the cosmogenic activation of the HPGe-crystals, since the exposure history of the
crystals is monitored in detail during manufacturing and transport. Especially for
the 3H contamination it is of utmost importance to have a basic understanding
of its production rate for the GENIUS project.
Finally it has to be confirmed that 'naked' Ge detectors work reliably in

liquid nitrogen over a longer period of time. In the former studies the HPGe
crystals have been operated reliably over typical time periods of weeks; however,
for an experiment of the scale of the GENIUS project, it has to be shown that
this is also possible over time scales of years.
Besides above issues, GENIUS-TF will have a physics program of its own, as
discussed below.
4.1 The Test Facility

The concept of the GENIUS proposal has the great advantage that no individual
cryostat system is needed. Instead the HPGe crystals are surrounded by liquid
nitrogen of much higher radiopurity which in addition provides ideal cooling and
shielding against external radiation. This opens the new research potentials for
the Genius project [7,8,17].
It is proposed to install a setup with up to fourteen detectors on a small scale
[5,6] in order to be sensitive in the range of the DAMA result [1] on a short time
scale and to prove the long term stability of the new detector concept and some
other important aspects for the realization of the GENIUS project discussed
above.
The design is shown in figure 8. It is based on a dewar made from low activity
polystyrene and on a shield of zone-refined germanium bricks inside the dewar
and low-activity lead outside the dewar. A layer of boron-loaded polyethylene
plates for suppression of neutron-induced background completes the shield.
330 kg of zone-refined high-purity Germanium bricks would serve as the inner
layer to shield the 'naked' HPGe detector against the less radio-pure polystyrene.
Also the first lOcm layer outside the polystyrene-dewar needs to be of extreme
radiopurity. The same type of copper as installed in the Heidelberg-Moscow
experiment, and/or some complementary low-level lead could be used. To shield
the external 'Y rays (natural radioactivity from the surroundings) an overall lead
layer of approximately 35 cm is needed.
Using this concept an inner detector chamber of 40 cmx40 cmx40 cm would
be sufficient to house up to seven HPGe-detectors in one layer or 14 detectors in
two layers. This will allow for the development and test of a holder system for
the same amount of crystals.
The overall dimension of the experiment will be 1.9 mx1.9 mx1.9 m (with-
out the boron-loaded polyethylene) thus fitting in one of the buildings of the
Heidelberg-Moscow experiment which is used momentarily for material mea-
surements.
The background considerations and simulations discussed in [6,26] suggest
that a reduction of the background by a factor of ,,-,5 with respect to the
Heidelberg-Moscow-Experiment can be attained with the proposed setup.
Assuming a final target mass of 40 kg, an energy threshold of 12 keV and a
background index of 4 counts/(kg keY y) corresponding to "-' 0.01 countsj(kg
keY d) in the energy region between 12 keY and 100 keY the GENIUS-TF would
need a significance of 190 kg y to see the claimed DAMA annual modulation with
Zone refined Germanium

UquldNlll'OlCn
Polylty~nc.
Low Level Lead «Copper
Slandard Bolick. Lead
Fig. 8. Conceptual design of the GENIUS-TF. Up to 14 detectors will be housed in

the inner detector chamber, filled with liquid nitrogen. As a first shield 5 em of zone-
refined Germanium will be used. Behind the 20 em of polystyrene isolation another 35
em of low-level lead and copper and a 15 em borated polyethylene shield will complete
the setup.
95% probability and 90%C.L. (see [27]). This corresponds to an overall measuring
time of approximately five years which would correspond to the life time of this
experiment.
However, the new detectors will have an energy threshold of 0.5 keY (four
detectors have already been produced by the end of February 2001) thus allow-
ing for the use of the experimental spectrum in the energy range between the
threshold and the X-ray peaks seen from the cosmogenically produced isotopes.
This could significantly improve the sensitivity of the GENIUS-TF on the annual
modulation effect.
4.2 Installation of the GENIUS-TF and Time Schedule
With the dimensions for the inner detector chamber given above, the materials
shown in table 1 will be needed for the installation of the GENIUS-TF.
The Heidelberg-Moscow-Collaboration possesses", 330 kg of zone refined
Germanium bricks, '" 10 tons of Boliden-Iead and '" 500 kg ancient low-level
lead. These materials can be installed in the GENIUS-TF without additional
costs.
The BOREXINO collaboration is running a liquid nitrogen filtering device in
the Gran Sasso underground laboratory. The capacity of this machine is by far
not used by the needs of the BOREXINO collaboration. Thus this device could
Table 1. Amount of materials needed for the installation of the GENIUS-TF.

Material Amount
14 HPGe-detectors '" 40 kg
Electronics
Germanium bricks 2 '" 330 kg
Polystyrene box '" 40 kg
Low-Level Lead (LC2 or ancient) or 3076 kg
Low-Level Copper '" 7 t
BoJiden Lead bricks '" 30 t
Nitrogen filling and 3-4 100 liter low
cleaning device level dewars
also serve as the low-level nitrogen support for the GENIUS-TF. Once a week
two hundred liters of low-level nitrogen dewars could be filled from the filtering
device and stored for deactivation of 222Rn for one week. This amount of liquid
nitrogen would be enough for approximately one week.
The development of the liquid nitrogen cleaning and filling device will be
started soon in collaboration with the BOREXINO experiment. The construction
of the setup can be started immediately since no additional space in the Gran
Sasso Underground Laboratory is required. The data acquisition system of the
HDMS experiment can be used to obtain first data with two detectors which are
already housed in the Gran Sasso Underground Laboratory. The first results can
be expected in the end of the year 2002 already.
5 Conclusions
We presented first results of a 15 month measuring period with the prototype

HDMS detector. The obtained sensitivity is already now comparable to the most
sensitive dark matter search experiments. The final setup has been installed in
August 2000 in the Gran Sasso Underground Laboratory. Several improvements
have been achieved for the final detector: The crystal holder system was re-
placed with a low-level copper holder system and soldering of the contacts was
avoided. Furthermore the inner detector consists of enriched 73Ge, thus strongly
suppressing the 68Ge contamination with respect to the prototype detector, sub-
stantially lowering the energy threshold. The expected sensitivity of the HDMS
experiment will allow to test by exclusion plot the DAMA evidence region from
the annual modulation signature [1].
We proposed the GENIUS-TF, a new experimental setup which has been ap-
proved. We showed, using detailed Monte Carlo simulations that the GENIUS-
TF could reach a background of . . . , 4 counts/ (kg keV y) in the energy region
between 12keV and lOOkeV. Thus it could for the first time probe the DAMA
2 Property of the Heidelberg-Moscow-Collaboration

evidence region using both, the WIMP-nuclear recoil signal and the annual mod-
ulation signature. The GENIUS-TF is planned as a test setup for the GENIUS
project and will be installed in 2001.
References
1. P. Belli CDMS Collaboration, these Proceedings, and R. Bernabei et al. Phys. Lett.
B 480 (2000) 23.
2. R. Schnee, these Proceedings, R. Abusaidi et al., Nucl. Inst. and Meth. A 444
(2000) 345.
3. L. Baudis, J. Hellmig, H.V. Klapdor-Kleingrothaus, B. Majorovits,Y. Ramachers
and H. Strecker, Internal Report, Proposal MPI H-V2-1998.
4. L. Baudis, A. Dietz, B. Majorovits, F. Schwamm, H. Strecker and H.V. Klapdor-
Kleingrothaus, Phys. Rev. D 63(2000)022001 and astro-ph/0008339.
5. H.V. Klapdor-Kleingrothaus, L. Baudis, A. Dietz, G. Heusser, I. Krivosheina, B.
Majorovits, H. Strecker and H. Tu, et al., MPI Report MPI H-V-32-2000; B. Ma-
jorovits, PhD thesis, University of Heidelberg, 2000.
6. L. Baudis, A. Dietz, G. Heusser, B. Majorovits, H. Strecker and H.V. Klapdor-
Kleingrothaus, hep-ex/0012022, submitted for publication.
7. H.V. Klapdor-Kleingrothaus, Proceedings of the First International Conference on
Particle Physics Beyond the Standard Model, BEYOND THE DESERT 1997, Cas-
tle Ringberg, Germany, 8-14 June 1997, edited by H.V. Klapdor-Kleingrothaus and
H.Pas, lOP Bristol, 1998, pp. 485-531. H.V. Klapdor-Kleingrothaus, Int. J. Mod.
Phys. A 13 (1998) 3953-3992 and Springer Tracts in Modern Physics 163 (2000)
69-104.
8. H.V. Klapdor-Kleingrothaus, L. Baudis, G. Heusser, B. Majorovits and H. Pas,
Proposal, MPI-H-V26-1999, August 1999, hep-ph/9910205 and Proceedings of the
Second International Conference on Particle Physics Beyond the Standard Model,
BEYOND THE DESERT 1999, Castle Ringberg, Germany, 6-12 June, 1999, ed. by
H.V. Klapdor-Kleingrothaus and I. Krivosheina (lOP Bristol 2000), pp. 915-1024.
9. Heidelberg-Moscow collaboration, L. Baudis, J. Hellmig, G. Heusser, H.V. Klapdor-
Kleingrothaus, S Kolb, B. Majorovits, H. Pas, Y. Ramachers, H. Strecker, V. Alex-
eev, A. Bakalyarov, A. Balysh, S.T. Belyaev, V.l. Lebedev and S. Zhoukov, Phys.
Rev. D 59 (1999) 022001.
10. L. Baudis, J. Hellmig, G. Heusser, H.V. Klapdor-Kleingrothaus, B. Majorovits,
Y. Ramachers and H. Strecker, Physics Reports 307 (1998) 291.
11. J.D. Lewin and P.F. Smith, Astropart. Phys. 6 (1996) 87.
12. K. Freese, J. Frieman and A. Gould, Phys. Rev. D 37 (1988) 3388.
13. R. Bernabei et al., Nucl. Phys. B (Proc. Suppl) 70 (1998) 79.
14. R. Gaitskell, talk presented at 4th International Symposium on Sources and De-
tection of Dark Matter in the Universe (DM 2000), Marina del Ray, California,
20-23 February 2000, to be published in Proceedings, editor D. Cline, Springer,
Heidelberg.
15. W. Seidel, these proceedings.
16. G. Heusser, Ann. Rev. Nucl. Part. Sci. 45 (1995) 543.
17. H.V. Klapdor-Kleingrothaus, J. Hellmig and M. Hirsch, J. Phys. G 24 (1998) 483.
18. L. Baudis, G. Heusser, H.V. Klapdor-Kleingrothaus, B. Majorovits, Y. Ramachers
and H. Strecker, Nucl. Inst. and Meth. A 426 (1999) 425.
19. V. Bednyakov and H.V. Klapdor-Kleingrothaus, hep-phI0011233, Phys. Rev. D

63 (2001) 095005.
20. J. Ellis, A. Ferstl and K.A. Olive, , Phys. Lett. B 481 (2000) 304 and hep-phl
0007113.
21. J. Collar, PhD thesis, University of South Carolina, 1992.
22. F.T. Avignone, et al., Nucl. Phys. B (Proc. Supp!.) 28 (1992) 280.
23. D. Lal, B. Peter, Cosmic Ray Produced Radioactivity on the Earth, Springer,
Berlin-Heidelberg (1967).
24. W.N. Hess, H.W. Patterson and R. Wallace, Phys. Rev. 116 (1959) 449.
25. O.A. Ponkratenko, V.I. Tretyak and YG. Zdesenko, in Proceedings of DARK9S,
2nd Conference on dark matter in astro- and particle physics 1998, ed. by
H.V. Klapdor-Kleingrothaus and L. Baudis, loP, Bristol (1999) 738-755.
26. B. Majorovits, L. Baudis, G. Heusser, H. Strecker and H.V. Klapdor-Kleingrothaus,
Nucl. Inst. and Meth. A 455 (2000) 369.
27. S. Cebrian et a!., hep-phI9912394.
Results of the Cryogenic Dark Matter Search
R.W. Schnee l , R. Abusaidi8 , D.S. Akerib l , P.D. Barnes, Jr. 9, D.A. Bauer lO ,
A. Bolozdynya l , P.L. Brink8 , R Bunker lo , B. Cabrera8 , D.O. Caldwell lo ,
J.P. Castle8 , RM. Clarke8 , P. Colling8 , M.B. Crisler 2 , A. Cummings9,
A. Da Silva 9, A.K. Davies8 , R. Dixon 2 : B.L. Dougherty8, D. Driscoll l ,
S. Eichblatt 2 , J. Emes3 : R.J. Gaitskell 9, S.R. Golwala 9: D. Hale lo , E.E. Haller3 ,
J. Hellmig 9, M.E. Huber ll , K.D. Irwin 4 : J. Jochum 9, F.P. Lipschultz 7 , A. Lu lo ,
V. Mandic 9. J.M. Martinis 4 . S.W. Nam 4 . H. Nelson lO . B. Neuhauser 7 .
M.J. Penn8 ; TA. Perera l , M.e. Perillo I~aac9, B. Pritychenko 9, R.R·RosS 3 ,9,
T Saab8 , B. Sadoulet 3 ,9, D.N. Seitz 9, P. Shestople 7 : T Shutt 5 , A. Smith3 ,
G.W. Smith 9, A.H. Sonnenschein lo : A.L. Spadafora 9, W. Stockwell 9,
J.D. Taylor3 , S. White9, S. Yellin lo , and B.A. Young 6
1 Case Western Reserve University, Cleveland OR 44106, USA

2 Fermi National Accelerator Laboratory, Batavia IL 60510: USA
3 Lawrence Berkeley National Laboratory, Berkeley CA 94720: USA
4 National Institute of Standards and Technology: Boulder CO 80303, USA
5 Princeton University: Princeton NJ 08544: USA
6 Santa Clara University, Santa Clara CA 95053, USA
7 San Francisco State University, San Francisco CA 94132, USA
8 Stanford University, Stanford CA 94305, USA
9 University of California, Berkeley: Berkeley CA 94720, USA
10 University of California, Santa Barbara, Santa Barbara CA 93106, USA
11 University of Colorado, Denver CO 80217, USA
Abstract. The Cryogenic Dark Matter Search (CDMS) employs Ge and Si detectors
to search for weakly interacting massive particles (WIMPs) via their elastic-scattering
interactions with nuclei while discriminating against interactions of background par-
ticles. CDMS data, accounting for the neutron background, give limits on the spin-
independent WIMP-nucleon elastic-scattering cross section that exclude unexplored
parameter space above 10 GeV c- 2 WIMP mass and, at > 75% CL, the entire 30-
allowed region for the WIMP signal reported by the DAMA experiment.
1 Introduction
Weakly Interacting Massive Particles (WIMPs) are an excellent candidate for the
universe's nonbaryonic, cold dark matter [1]. WIMPs in our Galaxy would scatter
off nuclei via the weak interaction: potentially allowing their direct detection.
The expected spectrum of the resulting nuclei recoil energies is exponential with
a characteristic energy of a few to tens of keV [2]. The expected event rate is
model-dependent but is generically 1 kg- 1 d- 1 or lower [3-8].
The purpose of the Cryogenic Dark Matter Search (CDMS) is to measure or
constrain the spin-independent WIMP-nucleon elastic-scattering cross-section by
extended exposure of semiconductor detectors that discriminate WIMP-induced
570 Richard Schnee et al.
nuclear recoils from electron recoils caused by interactions of background parti-

cles [9,10]. The ionization yield Y (the ratio of ionization production to recoil en-
ergy of a particle interaction) differs greatly for nuclear and electron recoils. The
two types of CDMS detectors each measure phonon and electron-hole pair pro-
duction to determine recoil energy and ionization yield for each event. The drift
field for the ionization measurement is supplied by radially segmented electrodes
on the faces of the disk-shaped crystals. With Berkeley Large Ionization- and
Phonon-mediated (BLIP) detectors: phonon production is determined from the
detector's calorimetric temperature change [9-12]. With Z-sensitive Ionization-
and Phonon-mediated (ZIP) detectors: athermal phonons are collected to deter-
mine phonon production and xy-position [13-15].
Photons cause most bulk electron recoils: while low-energy electrons incident
on the detector surfaces cause low-Y electron recoils in a thin surface layer
("surface events"). Neutron: photon: and electron sources are used to determine
efficiencies for discrimination between nuclear recoils and bulk or surface electron
recoils. Above 10 keY: CDMS detectors reject bulk electron recoils with> 99%
efficiency and surface events with > 95% efficiency [17,12]. CDMS detectors
that sense athermal phonons provide further surface-event rejection based on
the differing phonon pulse shapes of bulk and surface events. This phonon-based
surface-event rejection alone is > 99.7% efficient above 20 keY [15,16].
The I-em-thick: 7-cm-diameter detectors are stacked 3 mm apart with no
intervening material. This close packing enables the annular outer ionization
electrodes to shield the disk-shaped inner electrodes from low-energy electron
sources on surrounding surfaces.
The low rate of WIMP interactions necessitates operation of the detec-
tors underground in a shielded: low-background environment [18,19]. Key to
the success of the experiment at its current shallow site is a > 99.9% effi-
cient plastic-scintillator veto that detects muons, allowing rejection of muon-
coincident events. The event rate below 100 keY due to photons is roughly
60 keV- 1 kg- 1 d- 1 overall and 2 keV-l kg- 1 d- 1 anticoincident with veto.
Neutrons with energies capable of producing keV nuclear recoils are produced
by muons interacting inside and outside the veto ("internal" and "external"
neutrons: respectively). The dominant, low-energy « 50 MeV) component of
these neutrons is moderated by a 25-cm thickness of polyethylene [20]. However:
high-energy external neutrons may punch through the moderator. Many of the
external neutrons are vetoed: ......40% due to neutron-scintillator interactions and
an unknown fraction due to associated hadronic showers. This unknown frac-
tion, combined with a factor of ......4 uncertainty in the production rate, prevents
accurate prediction of the absolute flux of unvetoed external neutrons. However,
normalization-independent predictions of a Monte Carlo simulation, such as rel-
ative rates of single scatters and multiple scatters, relative rates in Si and Ge
detectors, and the shapes of nuclear-recoil spectra: are insensitive to reasonable
changes in the neutron spectrum. The accuracy of the simulation's propaga-
tion of neutrons is confirmed by the agreement of the simulated and observed
recoil-energy spectra due to veto-coincident and calibration-source neutrons.
The Cryogenic Dark Matter Search 571
2 Results from the 1998 Si and 1999 Ge Data Runs

Two data sets are used in this analysis: one consisting of 33 live days taken with
a 100 g Si ZIP detector in 1998, and another taken later with Ge BLIP detec-
tors [21]. The Si run yields a 1.6 kg d exposure after cuts. The total low-energy
electron surface-event rate is 60 kg- 1 d- 1 between 20 and 100 keY. Four nu-
clear recoils are observed in the Si data set. An electron calibration sets the 90%
CL upper limit on the expected number of misidentified surface events at 0.26
events. These nuclear recoils also cannot be due to WIMPs. Whether their inter-
actions with target nuclei are dominated by spin-independent or spin-dependent
couplings, WIMPs yielding the observed Si nuclear-recoil rate would cause an
unacceptably high number of nuclear recoils in the Ge data set discussed below.
Therefore, the Si data set [14,15,22] measures the unvetoed neutron background.
Between November, 1998, and September, 1999,96 live days of data were ob-
tained using 3 of 4 165 g Ge BLIP detectors. The top detector of the 4-detector
stack is discarded because it displays a high rate of veto-anticoincident low-
energy electron surface events, 230 kg- 1 d -1 as compared to 50 kg- 1 d -1 for
the other detectors (10 to 100 keV). This detector suffered additional process-
ing steps that may have contaminated its surface and damaged its electrodes.
Data-quality, nuclear-recoil acceptance, and veto-anticoincidence cuts reduce the
exposure (mass x time) by 45%. To take advantage of close packing, analysis is
restricted to events fully contained in the inner electrodes, reducing the exposure
further by a factor of 2.47 to yield a final Ge exposure of 10.6 kg d [12,23].
Figure 1 shows a plot of ionization yield vs. recoil energy for the Ge single
scatters (events triggering a single detector), as well as a scatter plot of ioniza-
tion yields for the Ge multiple scatters. Bulk electron recoils lie at ionization
yield Y ~ 1. Low-energy electron events form a distinct band at Y '" 0.75,
leaking into the nuclear-recoil acceptance region below 10 keY. Imposing an
analysis threshold of 10 keY, well above trigger thresholds, simplifies analysis by
rendering low-energy electron misidentification negligible.
Figure 2 displays the Ge nuclear-recoil efficiency together with the recoil-
energy spectrum of unvetoed Ge single-scatter nuclear recoils. The nuclear-recoil
efficiency is determined in situ using calibration-source neutrons; comparison to
the simulation indicates this efficiency is accurate to < 20%. Thirteen unvetoed
nuclear recoils are observed between 10 and 100 keY.
The observation of 4 Ge multiple-scatter nuclear recoils (Fig. 1b) indicates
that many if not all of the unvetoed nuclear recoils are caused by neutrons rather
than WIMPs, since the WIMP multiple-scatter rate is negligible. It is also highly
unlikely that these events are misidentified low-energy electron events. Figure 1
demonstrates excellent separation of low-energy electron events from nuclear
recoils. Analysis using events due to electrons emitted by the contaminated de-
tector yields an upper limit of 0.03 misidentified multiple-scatter low-energy
electron events (90% CL).
There is reasonable agreement between predictions for neutrons from the
Monte Carlo simulation and the relative observed numbers of 4 Ge multiple
scatters, 4 Si single scatters, and 13 Ge single scatters. Normalizing the simula-
1.5~-----------,
(b)
"0
"0
;;::
c:
o
.~
C':l
·cO.5
.8
00 20 40 60 80 100 0.5 I 1.5

Recoil Energy [keY] Ionization Yield
Fig.l. (a) Ionization yield (Y) vs. recoil energy for veto-anticoincident single scat-
ters contained in the inner electrodes of the 3 uncontaminated Ge detectors. Thirteen
events (circled) lie within the nominal 90% nuclear-recoil acceptance region (dashed
curves), above both the 10 keY analysis threshold (dashed line) and the threshold
for separation of ionization signal from amplifier noise (dot-dashed curve). The ex-
pected position of nuclear recoils (solid curve) is also shown. The presence of 3 events
just above the acceptance region is compatible with 90% acceptance. (b) Scatter plot
of ionization yields for multiple scatters in the top/middle (crosses), middle/bottom
(x's), or top/bottom (diamonds) uncontaminated Ge detectors with at least 1 inner-
electrode scatter and both scatters between 10 and 100 keV. Four events (circled) are
tagged as nuclear recoils in both detectors. Bulk recoils and surface events lie at Y :::::: 1
and Y '" 0.75, respectivelv
"0 0.25 _..---,-.......--c-;_-:!_~_-_-_-_.,..._-_-_-_-_-.-_-_-_-_-_..., 1.0

;; 0.20 " 0.8 ~
~ c:
-- 0.15 0.6·M
Jf E
-- 0.10 0.4 t1J
~
~0.05 0.2~
t1J
0.00
20 40 60 80 108.0
Recoil Energy [keY)
Fig.2. Histogram of nuclear recoils in the inner electrodes of the 3 uncontaminated

Ge detectors (left-hand scale). The peak-normalized nuclear-recoil efficiency (dashed,
right-hand scale) is nearly constant above the 10 keV analysis threshold (shaded)
tion by the 17 total Ge nuclear-recoil events yields 3.4 expected Si single scatters
and 1.0 expected Ge multiple scatters (note that these numbers have changed
slightly from those in [21]). A likelihood ratio test indicates that a single neutron
background should result in a less likely combination of Ge single scatters, Ge
multiple scatters, and Si single scatters ~ 6% of the time. Finally, a Kolmogorov-
Smirnov test indicates that the deviation between the observed and simulated
nuclear-recoil spectral shapes should be larger in 28% of experiments.
The Cryogenic Dark Matter Search 573
10"39 r---~--~------""
E
~
c:
o
'g 10-40
U?
u
e'"
c:
o
~ 10-41
:>
Z
~
~ 10-42 L....- expected CDMS sensitivity
~~ ____'
0 2 4
10 10 10
WIMP Mas [GeV]
Fig. 3.90% CL upper limits on the spin-independent WIMP-nucleon cross section from
Ge diode experiments (dash-dotted), dominated by [27,28]; DAMA pulse-shape analy-
sis [25] (dashed); and this analysis (solid). Because the number of multiple scatters ob-
served is larger than expected, the limit from this analysis is lower than the CDMS ex-
pected (median) sensitivty (dots). Also shown is the DAMA 30' allowed region (shaded)
as described in text [26]. All curves are normalized following [2]' using the Helm spin-
independent form-factor, A 2 scaling, WIMP characteristic velocity Vo = 220 km S-l,
mean Earth velocity VE = 232 km S-l, and WIMP density e = 0.3 GeV c- 2 cm- 3
The 90% CL excluded region for the WIMP mass M and the spin-independent
WIMP-nucleon elastic-scattering cross-section (1 is found using an extension of
the approach of Feldman and Cousins [24:21]. The above arguments require ac-
counting for the component of the observed Ge single scatters that is due to the
unvetoed neutron flux 71. This flux is constrained by the 4 multiple scatters in
Ge and the 4 nuclear recoils in Si. To determine the 90% CL excluded region in
the plane of M and (1 alone: the parameter 71 is projected out. Figure 3 displays
the lower envelope of points excluded for all values of 71. This line corresponds
to an expectation of ...... 8 WIMPs in the Ge single-scatter data set. Because all
the nuclear recoils may be neutron scatters, (1 = 0 is not excluded.
This limit excludes new parameter space for WIMPs with M > 10 GeV c- 2 ,
some of which is allowed by supersymmetry [6-8]. These data exclude, at >
75% CL, the entire 3(1 region allowed by the DAMAjNaI-1 to 4 annual modula-
tion signal [26]. This region, given by the 'lia = 220 km s-l curve in Fig. 4a of [26],
is used because it is determined solely from the annual modulation signal. Fur-
thermore, a likelihood ratio test indicates the CDMS data and DAMA's model-
independent signal (as shown in Fig. 2 of [26]) are incompatible at 99.98% CL in
the asymptotic limit. Although without theoretical support, non-A 2 scaling or
a dark matter halo significantly different from the one assumed in [2] may allow
the two results to be compatible.
We thank Paul Luke of LBNL for his advice regarding surface-event rejec-
tion. We thank the engineering and technical staffs at our respective institutions
for invaluable support. This work is supported by the Center for Particle Astro-
physics, an NSF Science and Technology Center operated by the University of
California, Berkeley, under Cooperative Agreement No. AST-91-20005, by the
National Science Foundation under Grant No. PHY-9722414, by the Depart-
ment of Energy under contracts DE-AC03-76SF00098, DE-FG03-90ER40569,
DE-FG03-91ER40618, and by Fermilab, operated by the Universities Research
Association, Inc., under Contract No. DE-AC02-76CH03000 with the Depart-
ment of Energy.
References
1. M. Srednicki: Eur. J. Phys. C 15, 143 (2000).
2. J.D. Lewin, P.F. Smith: Astropart. Phys 6, 87 (1996).
3. J.R Primack, D. Seckel, B. Sadoulet: Annu. Rev. Nucl. Part. Sci. 38, 751 (1988).
4. G. Jungman, M. Kamionkowski, K. Griest: Phys. Rep. 267, 195 (1996).
5. J. Ellis, T. Falk, K.A. Olive, M. Schmitt: Phys. Lett. B 413, 355 (1997).
6. J. Edsjo, P. Gondolo: Phys. Rev. D 56, 1879 (1997).
7. A. Bottino, F. Donato, N. Fornengo, S. Scopel: Phys. Rev. D 62, 1879 (2000).
8. R Arnowitt, B. Dutta, y. Santoso: hep-phj0008336.
9. T. Shutt et al.: Phys. Rev. Lett. 69, 3531 (1992).
10. T. Shutt et al.: Phys. Rev. Lett. 69, 3425 (1992).
11. R Gaitskell et al.: 'Performance of 165 g Ge BLIP Detectors in CDMS Experi-
ment'. In Procffdings of the Seventh International Workshop on Low Temperature
Detectors, ed. by S. Cooper (Max Planck Institute of Physics, Munich 1997).
12. S.R Golwala: Exclusion Limits on the WIMP-Nucleon Elastic-Cross-Section from
the Cryogenic Dark Matter Search. Ph. D. thesis, University of California, Berkeley
(2000).
13. K.D. Irwin et al.: Rev. Sci. Instr. 66, 5322 (1995).
14. RM. Clarke et al.: 'Results of the Cryogenic Dark Matter Search (CDMS) Ob-
tained Using a New Athermal Phonon Mediated Detector'. In Procffdings of the
Second International Workshop on the Identification of Dark Matter, ed. by N.J.C.
Spooner, V. Kudryavtsev (World Scientific, Singapore 1999). Note that ZIPs are
called FLIPs in this and other references.
15. RM. Clarke: An Athermal Phonon Mediated Dark Matter Detector with Surface
Event Discrimination. Ph. D. thesis, Stanford University, Stanford (1999).
16. RM. Clarke et al.: Appl. Phys. Lett. 76, 2958 (2000).
17. T. Shutt et al.: Nucl. Instrum. Meth. A 444, 340 (2000).
18. J.D. Taylor et al.: Adv. Cryo. Eng. 41, 1971 (1996).
19. A. Da Silva et al.: Nucl. Instrum. Meth. A 364, 578 (1995).
20. A. Da Silva et al.: Nucl. Instrum. Meth. A 354, 553 (1995).
21. R Abusaidi et al.: Phys. Rev. Lett. 84, 5699 (2000).
22. R Abusaidi et al.: in preparation.
23. R Abusaidi et al.: in preparation.
24. G.J. Feldman, RD. Cousins: Phys. Rev. D 57, 3873 (1998).
25. R Bernabei et al.: Phys. Lett. B 389, 757 (1996).
26. R Bernabei et al.: Phys. Lett. B 480, 23 (2000).
27. L. Baudis et al.: Phys. Rev. D 59, 022001 (1999).
28. A. Morales et al.: hep-exj0002053, submitted to Phy.s. Lett. B.
The EDELWEISS Experiment:
Status and Outlook
J. Gascon!, A. Benoit 2 , A. Bonnevaux!, L. Berge 3 , A. Broniatowski 3 , B.

Chambon l , M. Chapellier4 , G. Chardin 5 , P. Charvin5 ,6, P. Cluzel l , M. De
Jesus l , P. Di Stefano 5 , D. Drain l , L. Dumoulin 3 , G. Gerbier 5 , C. Goldbach 7 ,
M. Goyot l , M. Gros 5 , J.P. Hadjout l , S. Herve5 , A. Juillard 5 , A. de Lesquen 5 ,
M. Loidl5 , J. Mallet 5 , S. Marnieros 3 , O. Martineau!, N. Mirabolfathi 3 , L.
Miramonti5 , L. Mosca5 , X.-F. Navick5 , G. Nollez 5 , P. Pari 4 , C. Pastor l , E.
SimonI, M. Stern l , and L. Vagneron i
1 IPNLyon-UCBL, IN2P3-CNRS, 4 rue Enrico Fermi, 69622 Villeurbanne Cedex,

France
2 CRTBT, SPM-CNRS, BP 166,38042 Grenoble, France
3 CSNSM, IN2P3-CNRS, Univ. Paris XI, bat 108, 91405 Orsay, France
4 CEA, Centre d'Etudes Nucleaires de Saclay, DSMjDRECAM, 91191 Gif-sur-Yvette
Cedex, France
5 CEA, Centre d'Etudes Nucleaires de Saclay, DSMjDAPNIA, 91191 Gif-sur-Yvette
Cedex, France
6 Laboratoire Souterrain de Modane, CEA-CNRS, 90 rue Polset, 73500 Modane,
France
7 Institut d'Astrophysique de Paris, INSU-CNRS, 98 bis Bd Arago, 75014 Paris,
France
Abstract. The EDELWEISS Dark Matter search uses low-temperature Ge detectors

with heat and ionisation read-out to identify nuclear recoils induced by elastic collisions
with WIMPs from the galactic halo. Results from the operation of 70 g and 320 g Ge
detectors in the low-background environment of the Modane Underground Laboratory
(LSM) are presented.
1 Introduction
The EDELWEISS experiment is a direct WIMP search, where nuclear recoils

induced by collisions with WIMPs from the galactic halo are detected using
Germanium detectors with simultaneous measurement of ionisation and phonon
signals. The comparison of the two signals makes possible to separate on an
event-by-event basis the nuclear recoils from the electron recoils induced by (3-
and "Y- radioactivity that constitute the major source of background in most
present-day direct WIMP searches.
The detectors are operated in the Laboratoire Souterrain de Modane in the
Frejus Thnnel under the French-Italian Alps. The 1780 rock overburden (4800 m
water equivalent) results in a muon flux of about 4 m- 2 day-1 in the experimental
hall and the flux of neutrons in the 2-10 MeV range has been measured to be
4±1 X 10- 6 cm- 2 s- 1 [1].
576 Jules Gascon et aI.
The EDELWEISS-I phase consists in the operation of a one to three Ge

detectors in the current one-litre cryostat, their number being limited by the
small volume. In the year 2002, the program will enter a second phase with the
installation of a 100-litre cryostat currently under construction, allowing the use
of up to 100 detectors. In the mean time, the data-taking with the present-day
cryostat is devoted to the development of the detectors and to setting improved
limits on a possible WIMP signal.
Outside the LSM, this activity is accompanied by an intensive research and
development program aimed at improving the detector designs and our under-
standing of their physical properties. This includes work on phonon heat sensors
using NbSi thin films as Anderson insulators, and the development of a facility
to calibrate detector responses to nuclear recoils using a neutron beam and an
array of NE213 scintillators to measure event-by-event the actual nuclear recoil
energy.
2 The EDELWEISS detectors

Important considerations in the design of heat-and-ionisation detectors are size
and performance in term of charge collection. The imperfect charge collection
of an electron recoil can be mislead for the reduced ionisation yield of a nuclear
recoil. This must be avoided, e.g. by a careful electrode design or by means
of identification of events where the charge has been deposited close to the
detector surface. A large detector size is clearly advantageous in terms of event
rate and surface-to-volume ratio. However how this affects space-charge build-
up and trapping (affecting the ionisation signal) and how the increased heat
capacity affects the heat phonon signal requires thorough investigations. For
these reasons, the EDELWEISS collaboration has tested detectors with different
sizes and electrode designs.
Two detector sizes have been tested: 70 g (48 mm diameter, 8 mm thick
cylindrical Ge monocrystals) [2] and 320 g (70 mm diameter, 20 mm thick) [4].
The edges have been bevelled at an angle of 45°.
The plane surfaces and wedges have been metallised for ionisation measure-
ment. Two types of metallisation have been tested. In the first one, the electrodes
are boron and phosphorus implanted, yielding a p-i-n structure. In the second
one, 100 nm Al layers are sputtered on the surfaces after etching. In one of the
320 g prototype the top electrode is divided in a central part and a guard ring,
electrically uncoupled for radial localisation of the charge deposition.
The thermal sensor consists of a Neutron Transmutation Doped germanium
crystal (NTD) of a few mm 3 glued to the surface of the detector.
3 Results with 70 g detectors

The first results of the EDELWEISS collaboration obtained in 1997 in its first
test of a 70 g Ge detector without the Roman lead shielding and radon re-
moval have been published recently [2,3]. Resolutions of about 1 keY FWHM
The EDELWEISS Experiment: Status and Outlook 577
100 J' J'

Nuclear
volume i· .'....
: . .' I
80
:>
Q)
~
>- 60
Dl
~
Q)
c:
Q)
40
"0
u
Q)
a:
20
10 20 30 40 50
Charge amplitude (keV e.e.)
Fig. 1. Scatter diagram of the recoil energy vs. charge amplitude for a 70 Ge detector
(1.17 kg·day exposure). The four shaded areas correspond to the populations of events
attributed to (from left to right:) nuclear surface, nuclear volume, electron surface and
electron volume events.
have been measured on both ionisation and heat channels. The ionisation trigger
threshold was approximately 5 keV. Fig. 1 shows the scatter diagram of the re-
coil energy versus the ionisation energy of events measured with an exposure of
1.17 kg·day [3]. As expected from calibrations with gamma and neutron sources,
electron recoil events appear along the diagonal and the ionisation yield of nu-
clear recoil events is relatively suppressed by a factor ",,3.5. Electron recoil events
with incomplete charge collection fill the gap between the first two regions. These
events are attributed to interactions close to the surface of the detector (mostly
f3 contamination and X rays) where approximately half of the initially produced
ionisation is lost. There is no clear separation between the populations of nuclear
recoils and electron surface events.
A fourth population is observed: nuclear events with incomplete charge col-
lection, attributed to surface contamination from alpha emitters.
The total event rate before electron recoil rejection is 30 events/kg/dayIkeV
in the 20 to 100 keV recoil energy range. After rejection, the upper limit on the
nuclear recoil event rate in that range is 0.6 event/kg/dayIkeV at 90% C.L.
These results encouraged the pursuit of the project with the construction
of a neutron shield and improving the radiopurity of the detector environment.
A new implantation scheme for the p-i-n electrodes was also tested on a new
70 g detector. The cryostat was acoustically insulated from the rest of the un-
derground laboratory, with a copper mesh on the floor for better grounding. An
automatic system was set up to inverse at regular interval for short periods the
578 Jules Gascon et al.
polarity on the electrodes of the Ge, in order to free the trapped electrons that
create undesirable residual fields within the detector volume. The protection
against the radioactive background has also been strenghtened. A clean room
was installed for handling the detectors. A 30 cm thick paraffin shielding against
neutron was installed. Pure Nitrogen was circulated around the cryostat in or-
der to reduce radon accumulation. All electronic components were moved away
from the detector and hidden behind the archeological lead shields. A thorough
selection of all materials entering the experimental setup was instigated, using
the low-background counting facilities at the L8M.
Edelweiss preliminary
20 < Erecoil < 100 keV
10
o 0.5
Ionization/Recoil Ratio
Fig. 2. Ratio of the ionisation yield to the recoil energy for events with recoil energies
between 20 and 100 keY. The electron recoil yield has been normalised to 1 using ,-ray
calibration sources and is expected to be approximately 0.3 and 0.5 for nuclear and
surface electron recoils, respectively. The data set, normalised to 1 kg·day, are: (line)
1.8 kg-day exposure for a 70 g detector in the 1997 configuration; (dashed) 2.0 kg·day
exposure for a 70 g detector in the 2000 configuration and (hashed histogram) 3.1
kg·day exposure in the center fiducial region of a 320 g detector with guard ring.
Tests with this new configuration were performed in 1999-2000. A reduction

of the overall background rate (before electron recoils rejection) by a factor of
ten was achieved, as illustrated in fig. 2. This figure shows the distribution of
the ratio of the ionisation yield to the recoil energy for recoil energies between
20 and -100 keY range measured in 1997 (full line) and in a 1.97 kg·day run
with the new configuration (dashed line). This reduction is observed for electron
The EDELWEISS Experiment: Status and Outlook 579
recoils with both complete (arrow labeled 'Y on fig. 2, with ionisation/recoil ratio
""1) and incomplete charge collection (labeled (3, ratio ""0.5).
The efficiency-corrected rate of nuclear recoils in the 20-100 keV range is
11±3 counts/kg/day. It is only a factor two better than in the 1997 configura-
tion, yielding an upper nuclear recoil rate of 0.25 nuclear counts/kg/dayIkeV
in the 20-100 keY range (90% C.L.). The subsequent test of a 320 g detector
has proven than this rate is essentially due to electron recoils with improper
charge collection. The factor ten reduction of the rate observed for events with
a ionisation/recoil ratio close to 0.5 does not apply for events with significantly
worse charge collection (ratios <0.3).
4 Results with a 320 g detector
An important breakthrough came with the operation of 320 g Ge heat-and-

ionisation detectors in the L8M, the largest of this type of detectors in operation
in the world. 80 far two detectors have been tested and up to three should be
installed at the end of the present run.
The most interesting results have been obtained with a detector equipped
with a guard ring electrode. Work is still in progress in reducing the micro-
phonic noise on the ionisation and heat channels. 80 far baseline resolution of 2
keY on both channels have been achieved. The ionisation trigger threshold was
kept under 7 keV over an exposure time of 6.3 kg' day, and consequently the
data analysis has been restricted to nuclear recoils above 30 keY, a conservative
estimate of the effective threshold for these recoils. The data taking is still under
way.
The fiducial region defined by rejecting events with a significant signal on
the guard electrode has been estimated using neutron calibration source and it
represents approximately 50% of the total volume. The distribution of the ratio
of the ionisation yield to the recoil energy obtained so far with an equivalent
exposure of 3.1 kg·day is shown in Fig. 2 as a hashed histogram. The overall
rate before the rejection of electron recoils with complete charge collection is
comparable to the best performance of the 70 g detectors. More importantly,
the rate of events with incomplete charge collection is significantly reduced. So
far no nuclear recoils are observed in the 30 to 100 keV recoil energy range,
resulting in the preliminary exclusion contour shown in fig. 3. It should be noted
that this limit is obtained without any neutron background subtraction, and can
be expected to improve as data taking is progressing.
5 Perspectives and Conclusions
The present EDELWEISS 320 g detector is already setting interesting WIMPS

limits. As the limitation of the detectors have not been reached yet, foreseeable
improvements should come with the increase of statistics in the current run.
580 Jules Gascon et al.
Spm mdependen coupling
~
10
10
10
..
10" L~..........L~..§~~~~,.......... ..........J

10 10 10 10'
M.. (OeVk'l
Fig. 3. WIMP exclusion limit (dark solid curve) obtained from the preliminary data
collected in the fiducial volume of a 320 g EDELWEISS detector with guard ring
electrode, (3.1 kg·day exposure). Limits reported in Refs. [5], [6] and [7] are also shown.
Other improvements should arise with the better understanding of the micro-
phonics and other effects affecting the energy resolution and threshold. Before
the end of 2001 the full 3x320 g detector setup should be installed.
In 2002 will start the installation of the 100-litre EDELWEISS-II cryostat
presently built in the CRTBT laboratory in Grenoble. It will be able to accom-
modate up to 100 detectors and their electronics, providing the opportunity to
increase the sensitivity to a WIMP signal by more than two orders of magnitude.
Acknowledgements
The help of the technical staff of the Laboratoire Souterrain de Modane and the
participating laboratories is gratefully acknowledged. This work has been par-
tially funded by the EEC Network program under contract ERBFMRXCT980l67.
References
1. V. Chazal et al.: Astropart. Phys. 9, 163 (1998)
2. P. Di Stefano et al.: Astropart. Phys. 14, 329 (2000)
3. A. Benoit et al.: Phys. Lett. B 479, 8 (2000)
4. X.F. Navick et al.: Nucl. Instr. Meth. A 444, 361 (2000)
6. R. Abusaidi et al.: Phys. Rev. Lett. 84, 5699 (2000)
7. L. Baudis et al.: Phys. Rev. D 59, 022001 (1999)
The CRESST Dark Matter Search
W. Seidell, M. Bruckmayer\ C. Bucci2 , S. Cooper3 , C. Cozzini l ,

P. Di Stefano l , F. v. Feilitzsch4 , T. Frankl, D. Hauff!, T. Jagemann 4 ,
J. Jochum4 , R. Keeling 3 , H. Kraus 3 , J. Marchese3 , F. Probst l , Y. Ramachers 3 ,
1. Sergeyev l , M. Stark4 , and L. Stodolskyl
1 Max-Planck-Institut fur Physik, Fahringer ring 6, D-80805 Munchen, Germany

2 Laboratori nazionali del Gran Sasso, INFN, 67010 Assergi (AQ), Italy
3 Oxford University, NAPL,Keeble Road, Oxford OX1 3RH, UK
4 Technische Universitat Munchen, Physik Department E15, D-85748 Garching,
Germany
Abstract. The CRESST (Cryogenic Rare Event Search using Superconducting Ther-
mometers) experiment is a direkt search for WIMP dark matter and is located in the
LNGS ( Laboratori Nazionali del Gran Sasso) underground laboratory. The basic tech-
nique involved is to search for WIMPS (Weakly Interacting Massive Particles) by the
measurement of non-thermal phonons, as created by WIMP-induced nuclear recoils.
When this technique is combined with our newly developed method for the simulta-
neous measurement of scintillation light, strong background discrimination is possible,
resulting in a substantial increase in WIMP detection sensitivity. In contrast to other
projects, CRESST technology allows the employment of a large variety of detection
materials. This offers a powerful tool in establishing a WIMP signal and in investigat-
ing WIMP properties in the event of a positive signal. In addition it is useful in the
understanding of background.
Currently we are running measurements with sapphire crystals for the detection of
light WIMPs. The new scintillating detectors, based on CaW0 4 , which will be used
in the next phase (CRESST II) will be especially sensitive to medium and high mass
WIMPs, and will allow a test of the reported positive evidence for a WIMP signal by
the DAMA collaboration in the near future.
1 CRESST and the Dark Matter Problem

After a long period of development, cryogenic detectors are now coming on line
and in the next years will deliver significant results in particle-astrophysics and
weak interactions. The stable operation of a kilogram of detecting material in
the millikelvin range over long time periods by CRESST, as well as similar
work by other collaborations, has confirmed the hopes that large mass cryogenic
detectors are feasible. Other major projects are the CDMS project in Stanford,
the EDELWEISS project at Frejus, the Milano (3(3 project in Gran Sasso, the
ROSEBUD experiment at Canfranc and the ORPHEUS project at Bern [1].
The goal of the CRESST project is the direct detection of elementary particle
dark matter and the elucidation of its nature. The search for Dark Matter and
the understanding of its nature remains one of the central and most fascinating
problems of our time in physics, astronomy and cosmology. There is strong ev-
idence for it on all scales, ranging from dwarf galaxies, through spiral galaxies
582 W. Seidel et al.
like our own, to large scale structures. The history of the universe is difficult
to reconstruct without it, be it big bang nucleosynthesis [2] or the formation of
structure [3].
The importance of the search for dark matter in the form of elementary par-
ticles, created in the early stages of the universe, is underlined by the recent
weakening of the case for other forms such as MACHOS, faint stars and black
holes [4]. Particle physics provides a well motivated candidate through the as-
sumption that the lightest supersymmetric (SUSY) particle, the 'neutralino, is
some combination of neutral particles arising in the theory and it is possible
to find many candidates obeying cosmological and particle physics constraints.
Indeed, SUSY models contain many parameters and many assumptions, and by
relaxing various simplifying assumptions one can find candidates in a wide mass
range. Generically, such particles are called WIMPS (Weakly Interacting Mas-
sive Particles), and are to be distinguished from proposals involving very light
quanta such as axions. WIMPS are expected to interact with ordinary matter
by elastic scattering on nuclei and all direct detection schemes have focused on
this possibility.
Conventional methods for direct detection rely on the ionisation or scintilla-
tion caused by the recoiling nucleus. This leads to certain limitations connected
with the relatively high energy involved in producing an ionisation and with the
sharply decreasing efficiency of ionisation by slow nuclei. Cryogenic detectors
use the much lower energy excitations, such as phonons, and while conventional
methods are probably close to their limits, cryogenic technology can still make
great improvements. Since the principal physical effect of a WIMP nuclear recoil
is the generation of phonons, cryogenic calorimeters are well suited for WIMP
detection and, indeed, the first proposals to search for dark matter particles were
inspired by early work on cryogenic detectors [5]. Further, as we shall discuss
below, when this technology is combined with charge or light detection the re-
sulting background suppression leads to a powerful technique to search for the
rare nuclear recoils due to WIMP scatterings.
The detectors developed by the CRESST collaboration consist of a dielectric
crystal (target or absorber) with a small superconducting film (thermometer)
evaporated onto the surface [8]. When this film is held at a temperature in the
middle of its superconducting to normal conducting phase transition, it func-
tions as a highly sensitive thermometer. The detectors presently employed in
Gran Sasso use tungsten (W) films and sapphire (A1 2 0 3 ) absorbers, running
near 15 mK. It is important for the following, however, to realise that the tech-
nique can also be applied to a variety of other materials. The small change in
temperature of the superconducting film resulting from an energy deposit in the
absorber leads to a relatively large change in the film's resistance. This change
in resistance is measured with a SQUID. To a good approximation, the high
frequency phonons created by an event do not thermalise in the crystal before
being directly absorbed in the superconducting film [6]. Thus the energy resolu-
tion is only moderately dependent on the size of the crystal, and scaling up to
large detectors is feasible. The high sensitivity of this system also allows us to
CRESST 583
use a small separate detector of the same type to see the light emitted when the
absorber is a scintillating crystal.
2 CRESST
The task set for the first stage of CRESST was to show the operation of 1kg
of sapphire in the millikelvin range, with a threshold of about 500eV under low
background conditions [7]. These Detector are especially sensitive to low mass
WIMPs with spindependent interaction. Meeting this goal involved two major
tasks:
• The setting up of a low background, large volume, cryogenic installation and

• the development of massive, low background detectors with low energy thresh-
olds.
The central part of the CRESST low background facility at the LNGS is the
cryostat. The design of this cryostat had to combine the requirements of low
temperatures with those of a low background. The first generation cryostats
in this field were conventional dilution refrigerators where some of the mate-
rials were screened for radioactivity. However, due to cryogenic requirements
some non-radiopure materials, for example stainless steel, cannot be completely
avoided. Thus for a second generation low background cryostat, a design was
chosen in which a well separated 'cold box houses the experimental volume at
some distance from the cryostat (see Fig. 1). The cold box is constructed en-
tirely of low background materials, without any compromise. It is surrounded by
shielding consisting of 20 cm of lead and 14 cm of copper. The cooling power of
the dilution refrigerator is transferred to the cold box by a 1.5 meter long cold
finger protected by thermal radiation shields, all of low background copper. The
experimental volume can house up to 100 kg of target mass. The cold box and
shielding are installed in a clean room area with a measured clean room class
of 100. For servicing, the top of the cryostat can be accessed from the first floor
outside the clean room.
The system demonstrated its high reliability by running for more than a
year with a prototype cold box made of normal copper. Runs with a new low
background cold box in the fall of 1998 showed stable operation for a period
of months. At present up to four 262 g detectors are in the experimental vol-
ume, performing first measurements under low background conditions [9]. First
runs however showed a background several orders of magnitude higher than ex-
pected. This background was strongly nonpoissonian in time and showed no lines
in the energy spectrum as well as no coincidences between different detectors.
We concluded therefore that this background was not caused by radioctivity.
After excluding external disturbances such as mechanical vibrations or electro-
magnetic interference as background source we performed a run with a specially
fabricated detector which had two thermometers evaporated onto one crystal. In
this detector all signals in both thermometers were coincident and had a clear
....
o
o
....
Ql
en liquid nitrogen
-.-....
Ql
....
c
JL----- liquid helium
o
lWI--11I1------ mixing chamber
- - - - internal lead shields

cold finger
- - - - Pb shielding
x
o
.0
Cu shielding
-0
o
U
thermal radiation shields
1kg prototype detector
shielding support waggon

rails m
j i
o 0.5
Fig. 1. CRESST cryostat and shielding
linear pulseheight correlation showing that the background source must be lo-
cated inside the crystal or in its support. A carefull examination of the crystals
under an optical microscope revealed microcracks inside the crystals exactly at
the points where the crystals are supported by their holders. This support was
done by 2 mm sapphire spheres. The forces of the supprt system combined with
the extremely small contact area of these spheres resulted in a strong local pres-
sure at the support points of the crystal causing the formation of microcracks
at these points. Replacing the spheres by small DELRIN cylinders led then to a
drastic improvement in the background (see Fig. 2).
The lines around 8 keV are probably caused by x-rays coming from the sur-
rounding of the detectors. The background rate is about 1.2 cjkeVkgd at 15 keY.
The trigger efficiency, stability and linearity was contiuosely measured by ap-
plying heater pulser of different energies to the thermometers of the detectors
CRESST 585
140 - ~ ellf1ier tesUt

- 0.1 In ,.., 15 (67.997 deys)
.,
>::120
"0
>100
j
~ 80
- eo
l!l
c
:::> 40
o
<>
20
o L.-,.;~ _ _" " , , - - . . . _ - ......_---..;;..:u.~.....:::~
o ~ 20 ~ ~ ~ 80 ro 80 " m
Energy [keV)
Fig. 2. Comparison of background spectra before an after modifieing the holders. The
high count rates were caused by the formation of microcracks in the crystal.
thus simulating particle pulses of different energies. A more detailed evaluation

of these measurements is underway.
3 CRESST II
The present sapphire detectors, with their extremely low energy thresholds and
a low mass target nucleus with high spin (AI), cover the low WIMP mass range
for non-coherent interactions. The detectors for the second phase of CRESST
(CRESST II) will have target nuclei of large atomic number, such as tungsten,
making them particularly sensitive to WIMPs with coherent interactions. Here
the WIMP cross section profits from a large coherence factor of the order A 2 ,
(A = number of nucleons). To improve the sensitivity a newly developed back-
ground discrimination technique will be employed. At present the backround is
dominated by (3 and 'Y emissions from nearby radioactive contaminants. These
produce exclusively electron recoils in the detector. In contrast WIMPs, and of
course also neutrons, lead to nuclear recoils. Therefore, dramatic improvements
in sensitivity are to be expected if, in addition to the usual passive shielding,
the detector itself is capable of distinguishing electrons from nuclear recoils and
rejecting them. It is well known that at room temperatures nuclear recoils in scin-
tillators produce much less scintillation light than electron recoils do. Thus the
combination of a scintillator and a cryogenic detector, where the latter essentially
measures the total energy, can discriminate between nuclear and electron recoils
by using the ratio of light to thermal output. We have investigated the light
output of several scintillators at mK temperatures, concentrating on inorganic
intrinsic scintillators since their scintillation efficiency usually increases at lower
temperatures. All scintillators so far tested (BGO, BaF 2 , PbW0 4 , CaW0 4 ) ap-
pear to function adequately at mK temperatures. Since the scintillation effect in
tungstates is connected to the W04-Ion, presumably also other tungstates may
586 W. Seidel et aI.
work. Molybdates are other promising candidates for scintillation detectors at

mK temperatures.
The system for the simultaneous measurement of scintillation light and phonons
is shown schematically in fig. 3 . It consists of two independent detectors, each
of the CRESST type: A scintillating absorber with a tungsten superconducting
phase transition thermometer on it, and a similar but smaller detector placed
next to it to detect the scintillation light from the first detector. Both detectors
are operated at about 12mK. In a proove of principle experiment the scintil-
lating absorber was a CaW0 4 crystal with a mass of 6 g. The light detector
was a sapphire wafer coated on one side with silicon to enhance light absorp-
tion. Both detectors were made by standard CRESST techniques. The CaW0 4
crystal was irradiated with the 122keV and 136keV photons from a 57 Co-Source
and simultaneously with the electrons from a 90Sr-Beta-Source. The two sources
contributed about equally to the count rate. The photon lines were used for the
energy calibration (in both detectors). The trigger is provided by the phonon
detector.
The left plot in fig. 4 shows a scatter plot of the pulse heights observed in the
phonon detector versus the pulse height observed in the light detector. A clear
correlation between the light and phonon signals is observed. The right hand
plot shows an additional irradiation with neutrons from an Americium-Beryllium
source. A second line can be seen due to neutron-induced nuclear recoils. It is to
be observed that electron and nuclear recoils can be clearly distinguished down
to a threshold of IOkeV.
The scatter plots in fig. 5 show the ratio of the pulse height in the light
detector to the pulse height in phonon detector versus the pulse height in the
phonon detector. The lower band in the right plot is caused by nuclear recoils
PartJde Thermometer
Phonon Detector Coabng for better

light absoprtJon
Fig. 3. Schematic view of the arrangement used for the simultaneous light and phonon
detection
CRESST 587
while the upper band with the ratio around 1 is caused by electron recoils. From
the two ratios a quenching factor of 7.4 can be inferred. The leakage of some
electron recoils into the nuclear recoil line gives the electron recoil rejection
according to the quality factor of ref. [12]. A detailed evaluation together with
the data without neutrons, shown in left plot of fig. 5 yields a rejection factor of
98% in the energy range between lOkeV and 20keV, 99.7% in the range between
15keV and 25keV and better than 99.9% above 20keV.
Since the device consists of two standard CRESST-detectors, we are very
confident of being able to produce much larger detectors of similar performance
by applying familiar techniques and optimising the design. Presently a 300 g pro-
totype detector is under development. Due to an optimized design of the light
collector and the light detector we were able to scale up the light channel from
6 g to 300 g without any loss in sensitivity.Also the phonon channel was success-
fully scaled up to 300 g. First tests under low background condition will start at
the beginning of 2001.
The simultaneous light measurement has several advantages over the simul-
taneous measurement of charge.
• In the measurement of charge and phonons electrical contacts always pro-

duce an unfortunate dead layer on the surface, which causes surface events,
especially electrons from outside, to leak into the nuclear recoil band [10][11].
As our measurements with electrons clearly show, this problem does not exist
in the light detection.
• The large quenching factor of the CaW0 4 gives a very effective separation
of nuclear recoils from electron recoils.
• As opposed to charge measurement, light collection does not suffer from
problems such as space charge build up, field inhomogenities or phonons
produced by drifting the charges. Due to these advantages, many of the
..
:;
=
140
120
140
120
15
~ 100 100
~
80
:&
-'
80
.lO 60 60 . ...., ..-

...
"
~ . ~':.-.:. :
>1',
..
40 40
~
&.
20 20
~ ~ ~.(' ... ,\~ ~ .,.~
0 0
0 20 40 60 80 100 120 140 0 20 40 60 80 100 120 140
Nse Helglt in Phonon Detecfor IkeV) Nse Height n Phonon Detector [keV)
Fig. 4. Pulse height in the light detector versus pulse height in the phonon detector.
The scatter plot on the left side has been measured with an electron- and a photon
source, while a neutron source was added on the right.
effects known from charge and phonon measurement to cause leakage of

electron recoils into the nuclear recoil band are absent. As a result the back-
ground suppression efficiency of the light-phonon detection is excellent and
it works equally well for photon and electron backgrounds, thus avoiding
particle dependent systematic uncertainties in discrimination. The oppor-
tunity to employ different scintillators with different target nuclei, which is
possible with CRESST technology, gives an unique handle for understanding
and reducing backgrounds.
In CRESST II we plan to install in the years 2002 and 2003 about 33 300 g
CaW0 4 modules in the LNGS. With a total mass of lOkg, an excellent
background discrimination and a target material containing large A nuclei,
CRESST II will exceed by far the sensitivities of present WIMP searches.
The experiment will be housed in the present CRESST set-up. The large
number of channel however requires a scaling up of the read out electronics
which is together with the production of the detectors our present and near
future challenge.
4 CRESST in the case of a positive signal
In addition to improving limits on dark matter, it is important to have

means for the positive verification of a dark matter signal as well as for the
elucidation of its nature. Once a dark matter signal is suspected, it can be
verified by CRESST through the following effects.
Varying the mass of the target nucleus leads to a definite shift in the recoil
energy spectrum. For example, in the case where the WIMP is substantially
lighter than the target nucleus, the recoil momentum spectrum has an un-
changed shape from nucleus to nucleus. Hence there is a simple rescaling of
1.5 1.5
1.0 1.0
:6-
...J
0.5 0.5
or".,
0.0 0.0
0.'--:-20C""""-:"'40~-:-::60-80:-:-'-1"'":OO~120'--"-14~0 0.'--:-20C""""~40:---~60-80:-:-'-100~-120--14....-40
EneroY in Phonon DeleclOf' (keY) EneroY in Phonon DeledOf' (keY J
Fig. 5. Ratio of the pulse height in the light detector to the pulse height in the phonon
detector versus the pulse height in the phonon detector for irradiation with photons
and electrons (left) and photons, electrons and neutrons (right).
CRESST 589
the recoil energy spectrum. The observation of the correct behaviour will
greatly increase our confidence in a positive signal. Here the significant ad-
vantage of the CRESST technology, that it can be applied to different target
materials, comes into play. In this context, the wide variety of materials that
may be used for simultaneous light and phonon measurement is extremely
important. We have already measured the relative scintillation efficiencies
of CaW0 4 , PbW0 4 , BaF and BGO crystals at low temperatures and found
similarly encouraging results for all materials.
Another verification of a dark matter signal is to be expected through an
annual modulation of spectral shape and rate, which results from the motion
of the earth around the sun. However, a 1kg CaWO 4 detector is too small to
reach a really significant statistical accuracy within one year of measurement.
Here the large mass of CRESST II and the potential of the present CRESST
installation, about 100 kg, will play an important role for establishing such
an effect in the future.
Given the detection of a dark matter particle, an important task will be to
determine its nature, e. g. for SUSY the gaugino and higgsino content, which
gives rise to different strengths of the spin-dependent interaction. Significant
steps in this direction can be taken by using different target materials.
Finally we note calculations [13] concerning the possible existence of a WIMP
population orbiting in the solar system rather than in the galaxy. These
would have a much lower velocity (about 30km/sec) as compared to galactic
WIMPs (270km/sec), so that even heavy WIMPs have low momenta. This
underlines the need for low threshold recoil detection and CRESST is well
suited for such an investigation.
References
1. Proceedings of the VIIth International Workshop on Low Temperature Detec-
tors, Munich, 1997, published by Max Planck Institute of Physics
2. J. Audouze, Nucl. Phys. News 8 (1998) No.2, 22
3. S. Dodelson, E.!. Gates, M.S. Turner, Science 214 (1996) 69
4. Proc. Workshop on Dark Matter in Astro-and Particle Physics, Heidelberg,
20.-25. Juli 1998, Hrsg. H.V. Klapdor-Kleingrothaus, L. Baudis u. S. Kolb;
Proc. Workshop on the Identification of Dark Matter, Buxton, England, 7.-11.
Sept. 1998, Hrsg. N. Spooner
5. M. Goodman and E. Witten, Phys. Rev. D 23 (1985) 3059
6. F. Probst et aI., J. Low Temp. Phys. 100 (1995) 69.
7. S.Cooper et aI., 'Proposal to the Gran Sasso Laboratory for a Dark Matter
Search using Cryogenic Detectors, MPI-PhE/93-29, November 1993
8. P. Colling et aI., Nucl. Instr. Meth. 354 (1995) 408.
9. M. Sisti, et al., accepted for publication in NIM A.
10. T. Shutt, et aI., in [I]
11. S.W.Nam, et al., in citeltd7
12. R.J. Gaitskell, P.D. Barnes, A.DaSilva, B.Sadoulet, T.Shutt, Nucl. Phys. B
(Proc. Suppl.), 51B (1996) 279.
13. T.Damour, and L.Krauss, astro-ph/9806165, 1l.Jun 1998
Current Status of the DRIFT Project
and UKDMC Dark Matter Search
M. J. Lehner l , T. B. Lawson l , C. J. Martotr, D. Snowden-Ifft3,

N. J. C. Spooner!, K. Griest 4 , T. Gamble l , R. M. Preece5 , B. Ahmed 6 ,
G. J. Alner 5 , J. C. Barton7 , A. Bewick6 , D. Davidge6 , J. V. Dawson 6 ,
S. P. Hart 5 , A. S. Howard 6 , 1. Ivaniouchenkov 6 , W. G. Jones 6 , M. K. Joshi 6 ,
V. A. Kudryavtsev!, V. Lebedenko 6 , J. D. Lewin 5 , 1. Liubarsky6, R. Luscher!,
P. K. Lightfoot!, J. E. McMillan l , J. J. Quenby6, J. W. Roberts l ,
N. J. T. Smith5 , P. F. Smith 5 , T. J. Sumner 6 , and D. R. Toveyl
1 Department of Physics and Astronomy, University of Sheffield, Sheffield S3 7RH,

UK
2 Department of Physics, Temple University, Philadelphia PA 19122, USA
3 Department of Physics, Occidental College, Los Angeles CA 90041, USA
4 Department of Physics, University of California San Diego, La Jolla CA 92093, USA
5 Particle Physics Department, Rutherford Appleton Laboratory, Chilton OXll OSU,
UK
6 Blackett Laboratory, Imperial College of Science, Technology and Medicine,
London SW7 2BZ, UK
7 Physics Department, Birkbeck College, London WClE 7HX, UK
Abstract. Three new projects are being prepared to run in the Boulby Mine Dark
Matter Facility within the next year. The first of these, NAIAD, is an array of Nal
scintillation crystals with 50 kg of total target mass. Second, the ZEPLIN project, in
its first incarnation, is a 4 kg single phase liquid Xenon detector. Finally, the DRIFT
project is a low-pressure gas chamber designed to be sensitive to the directions of
WIMP-induced nuclear recoils as well as their energies. In this paper we will mainly
discuss the DRIFT experiment, and short reports on the status of ZEPLIN and NAIAD
will be given at the end.
1 The DRIFT Project

To identify a WIMP signal, conventional searches rely mainly on searching for
an annual modulation in the rate of nuclear recoils in the detector. This mod-
ulation arises from the varying combined velocity vectors of the Earth's orbital
motion and the Galactic rotation [1]. Because this is only a '" 5% effect, and
existing detectors generally have a large background from Compton electrons,
many WIMP-nucleus scattering events are needed to identify a WIMP signal sta-
tistically. Therefore emphasis has mainly been placed on using very large mass
detectors to increase the event rate, and long-term system stability is greatly
needed to see a true signal. This requirement introduces a difficult problem to
experiments that rely on an annual modulation signal, namely that not only is a
signal needed, but convincing proof that the signal is not a spurious effect from
some unknown cause (many things, such as weather, have annual variations) is
needed as well. One group has reported the discovery of an annual modulation
[2], but many are unconvinced that this signal is a true detection of WIMPS [3].
The DRIFT experiment (Directional Recoil Identification From Tracks) is
the successor to projects begun at UC San Diego [4] and at Temple University
and Occidental College [5]. The detector, under construction at the present time,
will be a Time Projection Chamber (TPC), consisting of a 1m3 target gas volume
in a strong electric field (see Fig. 1). A nuclear recoil in the target volume will
form a track of ionization, and a low pressure gas is used to extend the ranges of
these tracks to a few mm for typical WIMP-induced recoil energies ("" lOOkeV).
The ionization is then drifted to an anode plane by an electric field, where the
track is then read out reconstructed using standard particle physics techniques.
C=========:=J -+-- AnodePlane
-+-- Field Cage
Gas Volume
- - - - - - - - - - - -+-- DriftCatbode
Vacuum Chamber
'-- ---' _+-- Anode Plane
Fig. 1. Schematic drawing of the DRIFT-I detector
The target gas for the 1m3 device, named DRIFT-I, will be CS2 at 40 torr. A
problem with running drift chambers at such low pressures is that the diffusion
coefficient becomes quite large and all resolution is lost as the ionization is drifted
to the anode. However, this gas is slightly elecro-negative, and the molecules in
the gas will reversibly attach the ionized electrons [6] from the recoil track. The
resulting negative ions then drift to a high field gain region where they release
the electrons which avalanche on the anodes. It is known that the diffusion of ions
is much less than that of electrons, and it has been experimentally verified [7,8]
that sub-millimeter resolution can be achieved after drift distances of over 0.5 m.
There is the added advantage that the longitudinal diffusion is suppressed as well
as the transverse diffusion, and the drift velocity is also significantly reduced.
Using the timing of the arrival of the ions and the drift velocity allows one
to accurately determine the positions of the ions in the longitudinal direction,
592 DRIFT Project and UKDMC Dark Matter Search
and combining this with the transverse distribution of the charge gives sufficient
resolution for the reconstruction of the track in three dimensions.
After the ions are drifted to the end of the chamber, the timing and spatial
distributions must be determined in order to reconstruct the track. For DRIFT-I,
the anode planes will consist of multiwire chambers with a 2 mm wire spacing.
With the addition of the timing readout, we will be able to reconstruct tracks
in two dimensions. Other readout schemes are being investigated, including op-
tically imaged parallel plate chambers [4], pads, microdots, microstrips, and
GEM's. In the end we hope to achieve the readout resolution required to accu-
rately determine the recoil direction (both its axis and the sense of the motion)
in three dimensions and energy for tracks longer than 2 mm. This corresponds
to an energy threshold of about 40keV for sulfur recoils. (Note that this device
has two thresholds: a discrimination threshold which can be used to set an upper
limit on cross section, and a track length threshold which is used to find events
whose directions can be accurately determined in order to identify a potential
WIMP signal.)
The main advantage of the DRIFT detector is its directional sensitivity,
but it also has excellent Compton electron background rejection capabilities.
The electron range at given total ionization is many times longer than for a
nuclear recoil, and this gives at least 99.9% rejection efficiency down to ionization
energies as low as 6keV (see Fig. 2). The main source of Compton electrons is
expected to be traces of uranium in the stainless steel walls of the vacuum
chamber. Simulations show that a contamination of 1 ppb of uranium in the
chamber walls will give on the order of 105 Compton electrons below 50keV in
the detector in one year of live time. However, the addition of a 3mm lining
of high purity copper inside the chamber walls will eliminate most of these
events, and given the high rejection efficiency we expect no Compton electron
background after running for a year.
Background due to alpha-emitting contaminants in the gain-producing elec-
trodes (wires, grids or strips) is a potentially serious problem, since such events
can not be removed by simple fiducial volume cuts as can alphas from the field
cage (note that the timing information in the track is only relative to the start
of the first avalanche of the event and there is no way to determine the actual
longitudinal position of the track in the target gas volume). However, simula-
tions show that such events can also be rejected with good efficiency using total
ionization and tracking cuts [9].
While any background from neutrons is expected to be negligible due to the
depth of the Boulby Mine site and the radio-purity of the mine walls, the detector
does have a built-in neutron monitor in the form of carbon atoms in the CS 2
molecules. If for some unknown reason there turns out to be a significant neutron
flux in the chamber, then there should be a large number of carbon recoils
with energies much higher than could possibly be produced through WIMP
interactions, and the resulting long tracks would be very easy to distinguish [10].
Therefore, if a directional signal is found, the absence of any high energy carbon
300
200
100
a
a 5 10 15
R2 (mm)
Fig. 2. Ranges of 5.9 keY electron recoils projected into two dimensions. Nuclear recoih:
of similar energies would have ranges below the dotted line. None of the 1200 recoils
fall in the nuclear recoil region, indicating a rejection efficiency of more than 99.9%
recoils would provide additional strong evidence that the events are not due to
background.
This superior background rejection allows this detection scheme to be com-
petitive with conventional techniques which use much larger target masses. In the
gas detector method, background events are rejected on an event-by-event ba-
sis, while other methods generally rely on a statistical subtraction of background
which introduces larger uncertainties and thus lowers the overall sensitivity. This
is illustrated in Fig. 3, which shows the limits which can be achieved at differ-
ent exposures. Running DRIFT-I (170g) for a year can eliminate the DAMA
(100 kg) parameter space if no events are found, clearly indicating that the de-
vice is competitive with other experiments with much higher target masses, and
this is solely due to the background rejection efficiency.
Also shown in Fig. 3 is the effect of unrejected background on the sensitivity
of the detector. If we have a background rate of 1 kg-1day-l the detector will
not be sensitive to cross sections much below CYwp = 10- 5 pb, and the device will
lose sensitivity at CYwp = 10- 6 pb for rates of 0.1 kg-1day-l. Therefore, while
the detector may have very good rejection capabilities, in order for a scale-up
to be worthwhile the device will need to be heavily shielded and every effort
is being made to make the device as radio-pure as possible in order to ensure
that any background rate will be low enough to allow sensitivity to the very low
interaction rates predicted by supersymmetric models.
More important than the ability of the device to set an upper limit on cross
section is the sensitivity for an actual positive WIMP signal detection. This is
where the ability to determine the recoil direction gives a significant advantage.
Ideally we would like the device to be sensitive to the sense of motion of the recoil
594 DRlFT Project and UKDMC Dark Matter Search
10-3
,....... 10-
4
.g,
"-'
10- 5
10-6
~
b 10-7
10- 8
~-+++tr--++++++ttt--t-+-t-++++tt-H:ot-t++tt+r---t-++tttHt--t--+H+tttt--HI
10- 3
,....... 10-
4
.g,
"-'
10- 5
10- 6
~
b 10-7
10- 8
10 100 1000 10 1000
M/GeV)
Fig. 3. Possible limits as a function of WIMP mass for four different background rates:,
(a) RBG = Okg-1day-l, (b) RBG = O.Olkg-lday-l, (c) RBG = 0.lkg-1day-l, (d)
RBG = 1kg-1day-l. The solid lines are limits that could be set with exposures of 1, 10,
and 100 m3 _yr with both carbon and sulfur from the CS 2 gas as target nuclei, the dashed
line is the current UKDMC NaI limit, and the contour is the DAMA allowed parameter
space from their annual modulation signal. For comparison, 1m3_yr is equivalent to
61.3 kg-days
as well as the angle, but it has not yet been demonstrated that this is possible and
it is expected to be difficult if not impossible at the low recoil energies expected
from WIMP interactions. However, the recoil angles themselves provide a strong
positive detection signal, as illustrated in Fig. 4. Figure 4a shows the expected
distribution of Icos(-y) I for a 60GeV WIMP, where 'Y = 0 is in the direction of
the velocity of the sun around the galaxy. (The absolute value is used because
we assume no sensitivity to the sense of motion of the recoil.) Any background
in the detector would be expected to have an isotropic distribution, and even
if conditions arose where this were not true in laboratory coordinates (e.g. a
"hot spot" in one of the detector walls), the distribution in galactic coordinates
would be washed out due to the rotation of the Earth. Therefore a simple test to
identify a positive WIMP signal would be to statistically eliminate an isotropic
recoil angle distribution. Also shown in Fig. 4a is a histogram of the recoil angles
from 30 simulated WIMP-sulfur events. It is clear by eye that with only 30 events
the distribution appears non-isotropic, but a statistical test is still needed, of
course. Figure 4b shows the KS probability of a WIMP-induced recoil spectrum
matching an isotropic distribution as a function of the number of WIMP events.
From this figure it is clear that an isotropic distribution can be eliminated at the
90% c.l. with only 30-50 WIMP events. Figure 4c shows the number of events
needed to eliminate an isotropic signal at the 90% c.l. as a function of signal-to-
noise. Here it can be seen that on average 30 events are needed with no noise,
but only 80 events are needed at background rates as high as SIN = 0.5. Finally,
Fig. 4d shows the exposure needed to detect a positive signal as a function of
cross section, and it can be seen that the DAMA signal can be confirmed with
an exposure of 3-20m 3 -yr if the background rates can be kept sufficiently low.
Such a signal would be extremely difficult to dismiss as systematic error because
it is correlated to the motion of the Sun through the galaxy and not the Earth
around the Sun.
(a)
4 >.
.-
....>
!l 3 .0
ell .....
t::
;:l
2
.0
0 10- 1 - - - ~.;- --
8 r...
0.. .....
f/}
::.::
0 10-2
0 0.25 0.5 0.75 0 10 20 30 40 50 60 70
Icos(,.)1 Number of Events
I:' 10 4
80 >.
., 10
3
I
60 S 102
'-'"
Ii: 10 1
Z Q)
r...
40 ;:l
III
0
20 Q. 10- 1
X
W 10- 2
0
0 0.5 1 1.5 2 10- 8 10- 7 10- 8 10- 5 10- 4 10- 3
(S/N)-I a wp (pb)
Fig. 4. Directional sensitivity of the DRIFT detector. (a) Plot of the distribution of
recoil angles from a 60 GeV WIMP. The histogram is for 30 random sulfur recoils, and
the line is the expected distribution for a large number of events. (b) KS probability of a
WIMP recoil distribution matching a isotropic distribution as a function of the number
of WIMP recoils. The solid line is the mean probability of 500 trials, and the dotted
line is the mean plus the I-a variance, indicating that 30-50 events should generally be
sufficient to exclude an isotropic distribution at the 90% c.l. (c) Mean number of events
needed to exclude an isotropic recoil angle distribution at the 90% c.l. as a function
of signal-to-noise. (d) Exposure needed to detect a directional signal as a function of
WIMP-nucleon cross section. The dashed line is for 30 events needed to exclude an
isotropic distribution, and the dashed line is for 80 events (needed for SIN = 0.5). The
grey region indicates the DAMA allowed cross sections
596 DRlFT Project and UKDMC Dark Matter Search
A final advantage of the directional sensitivity of this device is the ability

to determine halo model parameters if WIMP's are eventually found. Not only
the mass and interaction cross section can be measured, but quantities such
as the velocity dispersion in three dimensions, halo rotational velocity, and the
velocity distribution of an infalling population can be determined as well [11,12],
since varying these parameters significantly varies the directional distribution
(note that with a three dimensional readout that the device is sensitive to the
azimuthal angle of the recoil as well as the polar angle "f). This will require a
much larger system than will be needed to detect (or confirm) a positive WIMP
signal, but if WIMP's are eventually detected then such a large scale-up would
be extremely useful to probe the halo model parameter space.
The 1m 3 device is currently under construction and will be installed in
Boulby Mine in the summer of 2001, and this device should be able to elim-
inate the DAMA signal (if it isn't real, of course) after a year of live-time. In
the mean time a proposal is being made for a 10m 3 scale-up, which would be
capable of confirming the DAMA signal in one to two years of exposure.
2 NAIAD and ZEPLIN

The current UKDMC NaI experiment use pulse shape discrimination to sta-
tistically remove background from Compton electrons. The results are limited
by the presence of a distribution of fast recoils which are inconsistent with nu-
clear recoils but can not be subtracted due to the impossibility of calibration.
However, it appears that these events are due to surface contamination of the
crystals, and preliminary results from using unencapsulated crystals which are
thoroughly polished indicate that the problem has gone away (although more
statistics will be needed to be certain). The NAIAD project [13] is the next
generation NaI experiment of the UKDMC, and consists of an array of 5-10 kg
unencapsulated crystals, for a total mass 50 kg. The crystals will be polished
to remove the spurious events, and the geometry of the experimental setup has
been improved achieve increased light yields of up to 8 photoelectron/keY. The
expected limits of the array after 100 kg-yr of exposure can be seen in Fig. 5. The
array is expected to be completely installed by September 2000 and collecting
data shortly thereafter.
The predicted limit from the ZEPLIN-I project is also shown in Fig. 5. The
device is a vessel of 4 kg of liquid xenon, is mostly surrounded be a liquid scin-
tillator Compton veto, and uses pulse-shape discrimination to determine back-
ground rates [14]. The device should be operational by the end of 2000, and a
new device, ZEPLIN-II, which uses a more sophisticated and robust method of
discrimination is currently under development [15].
10- 3
\
,..-... 10- 4 \..
,,......
'\ . . t 2 .,;-. -.."., ';

..0 /
0..
"-" \ .... _/ / '
Po.
\ . ",.'"
~
b 10- 5
\ . .. :/'';-
"
".
. -;.~.-.;../
" ..,.."""
10- 6 " ---- --
10 1 10 2 10 3 10 4
Mx (GeV)
Fig. 5. Expected limits from next generation UKDMC experiments. Shown are the
current UKDMC NaI limit (solid line), the expected limit from 36500 kg-days (dotted
line), and the predicted limit from 100 kg-days exposure of ZEPLIN-I (dashed line)
References
1. A. K. Drukier, K. Freese, D. Spergel: Phys. Rev. D 33, 3495 (1986)
2. P. Belli et al: In this proceedings
3. G. Gerbier: In this proceedings
4. K. N. Buckland et al: Phys. Rev. Lett. 73, 1067 (1994)
5. C. J. Martoff, D. P. Snowden-Ifft, J. M. Burwell: Phys. Rev. D 61, 101301-1 (2000)
6. H. R. Crane: Rev. Sci. Inst. 32, 953 (1961)
7. C. J. Martoff et al: Nuc1. Inst. Meth. 440, 355 (2000)
8. T. Ohnuki, D. Snowden-Ifft, C. J. Martoff: physicsj000406 (2000)
9. J. Burwell: Design and Simulation of a Multiwire Proportional Chamber for the
Detection of Dark Matter. Undergraduate Thesis, Mount Holyoke College (1997)
10. K. N. Buckland, M. J. Lehner, G. E. Masek: IEEE Trans. Nucl. Sci. 44, 6 (1997)
11. C. J. Copi, J. Heo, L. M. Krauss: Phys. Lett. B 461, 43 (1999)
12. M. J. Lehner, K. Griest: in preparation
13. N. J. C. Spooner et a1: Phys. Lett. B 473, 330 (2000)
14. N. J. T. Smith et al: 'An Advanced WIMP Detector Using Liquid Xenon -
ZEPLIN'. In Second International Workshop on Identification of Dark Matter, at
Buxton, UK, September 7 - September 11, 1998, ed. by N. J. C. Spooner, V. A.
Kudryavtsev (World Scientific, Singapore 1999) pp. 335-340
15. K. Woo J et a1: In this proceedings
The Status of SIMPLE-2000
J.I. Collar l , J. Puibassett, T.A. Girard 2 , D. Limagne l , H.S. Miley 3, and G.

Waysand l
1 GPS-URA 85 CNRS, Universites Paris 7/6, France

2 Centro de Fisica Nuclear, Universidade de Lisboa, Portugal
3 Pacific Northwest National Laboratory, USA
Abstract. The nature of SIMPLE (~uperheated Instrument for Massive rarticLE

searches) is briefly reviewed, and the current status of SIMPLE-2000 is summarized
1 Introduction
SIMPLE is an ongoing project based on room-temperature superheated droplet

detectors (SDDs), designed to search for evidence of spin-dependent weakly-
interacting neutralino dark matter (WIMPs) at a level> 103 below currently
existing limits [1,2J. The expected spin-dependent neutralino-nucleus scattering
crossection (awp) is relatively small in comparison with its spin-independent
(aWn) counterpart. This has generated in recent times a somewhat diminished
interest in detector development for awp-sensitive searches. The importance of
the spin-dependent interaction channel, for which fluorine-rich detectors are op-
timal [3], has however been recently re-emphasized by its relative insensitivity to
CP-violation parameter values, which may severely reduce coherent interaction
rates [4J. In addition to this, owing to a lack of correlation between awp and
aWn in theoretical models, there is a necessary complementarity between the
two types of search: fluorine-rich SDDs can explore large regions of neutralino
parameter space beyond the reach of the most ambitious cryogenic detection
proposals [1J.
An SDD consists of a dispersion of small droplets (radius 25-75 /lm) of a
superheated liquid, fixed in an aqueous gel [5J. Latent energy is stored in each
metastable droplet, which behaves like a miniature bubble chamber: the energy
deposition of an incident particle can release this energy, triggering the vapor-
ization of the droplet and the formation of a visible gas bubble (diameter rv 1
mm) which remains fixed positionally or not depending on the viscoelasticity of
the medium. The characteristic sound released by the sudden vaporization of a
droplet is registered by a piezoelectric transducer. The mechanism underlying
the irradiation-induced nucleation of a bubble, common to bubble chambers, is
described by the thermal spike model of Seitz [6]: an intense energy deposition
along a particle's path can provide enough localized heating to create bubbles.
If a vapour bubble grows larger than a critical radius Tc(T) (few tens of nm), it
becomes thermodynamically unstable and continues to expand evaporating all
of the droplet's liquid. The conditions necessary for radiation-induced nucleation
are two [7,8J:
T.A. Girard et al. 599
(1) the total energy deposited (E) by the particle in the droplet must be larger
than the energy for critical-size bubble formation at a given operating temper-
ature, Ec(T), computed from the sum of the thermodynamically reversible pro-
cesses of vaporization, formation of bubble surface and bubble expansion against
the gel,
(1)
and
(2) the stopping power of the particle in the target material must be such
that E c is deposited within", r c :
(2)
where r c =2 ,/:1P, ,(T) is the surface tension, :1P=Pv -P, Pv(T) is the vapor
pressure, P and T are operating pressure and temperature, E varies in the range
[0.02,0.06] for different liquids [8,9], and a(T) '" 0(1) [9]. The second condition
is responsible for the characteristic intensitivity of SDDs to low-LET radiation
(electrons, muons, gamma rays of < 6 MeV, X-rays, as illustrated by Lessard
earlier in this meeting [10]) while still being responsive to keV nuclear recoils
like those expected from WIMP interactions. Note that the SDD response does
not depend on the size of the droplets, as long as they are not smaller than r c
and the intensity of sound emitted by bubble nucleation is detectable. Although
SDD's are commercially available (0.03 g ofrefrigerant/device), we have elected
to fabricate our own detectors. The current fabrication procedure is described
elsewhere [1]; suffice it to say, the process of creating a low background, stable,
large mass (15 g active mass/device) detector is not trivial. Several superheated
liquids have been tested, including R-12 (CCl 2 F2 ) and R-1l5 (C2 CIF5 ). The
result is a detector with ",1000 times the active mass of commercial devices,
which can be operated continuously for '" 40 days, at a cost of < 7 USD /kg
(gel) and < 60 USD /kg (refrigerant). Current device calibrations have involved
doping of the SDD matrix with an alpha-emitting liquid 241 Am source while still
in the solution state, and neutron irradiations at the TIS/RP bench of CERN
using 252Cf [1]. The results of the first provided an experimental check of the
theoretical a(T) and E in Eqns. (1) and (2). Although the response of Freon-
12 SDDs to thermal, fission, and monochromatic neutrons has been thoroughly
investigated and is in good agreement with models [9,13,14], large-size, opaque
SDDs require independent measurements. The neutron tests yield the fraction of
monitored refrigerant mass with the present sound acquisition chain as 34±2%
(74±4%) at P=2 atm (P=1 atm).
After two years of research into the detector fabrication and associated back-
grounds, a 9.2 g R-115 prototype module was installed at the 1500 mwe level of
the "Laboratoire Souterrain a Bas Bruit" (LSBB) within a thermally-regulated
water bath, surrounded by three layers of sound and thermal shielding. This
sits within a 700 liter water pool acting as a neutron moderator, resting on
600 The Status of SIMPLE-2000
a dual vibration absorber. The LSBB is an underground, electromagnetically-

shielded research facility 60 km east of Avignon [11]. The main experimental
area (1500 mwe depth) is surrounded by a 1 em-thick steel capsule 28 m long by
8 m in diameter, suspended by shock absorbers, which comprises a full volume,
vibration-damped, Faraday cage. The electromagnetic shielding yields a residual
magnetic field of 6 JlT, with a long-term stability of better than 20 nT. Magnetic
fluctuations are below 600 IT jHz 1 / 2 . Rock radioactivity is not significant, with
an average airborne radon component of just 28 Bqjm 3 [11]. The device was
operated for 45 d. Events in the module were time-tagged, allowing to filter the
small percentage (15%) of signals correlated to human activity in the vicinity
of the detector. The signal waveforms are digitally recorded, but no event rejec-
tion based on pulse-shape considerations [12] is performed at this stage. Taking
into account the sound detection efficiency and 62% fluorine mass fraction in R-
115, the spin-dependent exclusion limits resulting from 16 d of exposure [1] are
shown in Fig. 1, together with results from other experiments. The PICASSO
collaboration reports similar first limits [10,12] .
.......
..0
.8 0.
10
1
~
o 10°
10. 1
10. 2 '--'-=iL:i.LI'--;-....::L...........-'-'--'--L-.L.--'--..L-.J.....:J...llJJ
10 2 2 10 3
m (GeV / c )
X
Fig. 1. 95 % C.L. limits on (Jwp from SIMPLE [1]' in comparison with current limits
from other experiments. These first limits are extracted from an exposure of only 0.19
kg d. Also shown is the expected improvement during SIMPLE-2000 due to a 25 kg d
exposure.
2 SIMPLE-2000
The main improvement of SIMPLE-2000 is the increase of detector exposure
to 25 kg-d, by expansion of the detector bath to accomodate the installation
of 8-16 modules (R-1l5), together with measures to fight an spurious acoustic
background, discussed next. This is expected to bring a large improvement to
present sensitivity, well into the theoretically favored neutralino region. Fig.l
displays the worst- and best-case scenario expected sensitivity for this stage of
the project. The raw counting rate from the prototype run is shown in Fig. 2
below.
o 4 Ethr(keV) 90 13 8.2 6.2 4.7 3.6

.°.... P =2 atm •
~ 2 • •
s: .....•....................•.. • •
g ::.~.:!.:-.;,,;. .._._--
uOo 2 4 6 8 10 12 14
T(OC)
Fig. 2. Counting rate of the first SIMPLE module installed in LSBB. The top axis
displays the calculated energy threshold for bubble nucleation from fluorine recoils. The
average level of spurious acoustic background observed in refrigerant-free runs is about
1 event/day (dotted line). The dashed line indicates the expected signal (accounting
for 34% sound detection efficiency and 62% fluorine mass fraction) from a WIMP of
mass mX=lO GeV and <1wp= 5 pb, i.e. at the limit of sensitivity of the leading DAMA
experiment.
,
,'.
I~~I"P~
f_~I".J
\J
~~ 111'/1"'
III
'I" 'I IV'
,,," ...
EJ.
",
EJ ,
"' ..
I::;
r- Ih
f
Fig. 3. Signal and noise in present SIMPLE modules: the pulse shape (top-left) corre-
sponds to a typical bubble nucleation, with a dominant frequency of", 5 kHz (top-right
shows its Fourier transform) and time span of few ms. Similar signals (bottom-left) are
observed during runs with refrigerant-free modules, arising from pressure microleaks
in plastic SDD caps, at a rate of '" l/day. Even at atmospheric pressure, a residual
rate of '" O.3/day characteristic EM noise events (bottom-right) is present.
602 The Status of SIMPLE-2000
In SIMPLE, the sound emission produced by the bubble vaporization is recorded

by piezoelectric microphones, amplified, and the pulse shape registered in a digi-
tal storage oscilloscope for analysis. A typical signal is shown in Fig. 3 (top left),
together with its power spectrum (top right). We have observed similar signals
during runs using freon-free "dummy" modules (Fig.3, bottom left). The present
choice of acoustic sensor, to be upgraded, is highly resonant and does not yet al-
low to reject these based on frequency analysis. The majority of recorded events
were found to originate from small microleaks in the the pressure cap of the
module, correlated with the sense of temperature ramping. These caps have now
been redesigned to eliminate the leaks. Concomitant with this noise reduction,
the PC and T-controller system have been moved outside the Faraday cage, to
avoid spurious EM pulses (Fig.3, bottom right).
Neutron calibration results [IJ using a 252Cf source are shown in Fig. 4,
together with Monte Carlo simulations which account for albedo and thermal
neutrons. A larger than expected response at low temperatures, where Eq. (2)
is dominant in defining the threshold energy for nucleation, is evident in the
figure. The behavior appears well-below the normal regime of SDD operation,
and does not interfere with with neutron or WIMP detection. It does however
point at a higher than normal bubble nucleation efficiency from heavy particles,
as discussed in early bubble chamber work [15J. It is precisely at low temperature
that the spontaneous nucleation rate in low background conditions is smallest.
This effect, which might greatly improve SDD WIMP limits, is to be investigated
further at the Sacavem research reactor in Portugal as part of SIMPLE-2000,
using monochromatic filtered neutron beams of energies 2±O.8, 24.3±2, 55±2
and 144±24 keY.
F recoil threshold energy (P~2 atm), E (keV)

thr
~ 8!il ~~., ~ ~ t-: '"
e'
'D
,. C'l .... .... <XI, ...,
el>
+J
3,5
;:j
.....s:: 3 ~ ~
:..
-
s
..... 2,5
~.
~. .............. ? .~~?.j
,
-
!§. 0 25 50 75 100 •. ,? {>
.
••9... ~ ?
Ii,)
..... 2 F recoil energy E,(keV) {>
.....
<N'?"'? 99 P=l atm
.
I
p::: 1,5
99
............. ......
99.
b.O ¢ ¢ ¢¢ ¢ ¢ :' ••
t~ ..-·-
.'"
..... 1
¢
0 o¢ 0 ¢¢ ¢ ...
rn
+J
s:: 0,5
;:j ...... .............!.. P=2 atm -
........... , ..............j .
0
U 0 I
-5 0 5 10 15
operating temperature, T (oG)
Fig. 4. neutron calibration of SIMPLE modules at the TIS/RP bench (CERN), com-
pared with Monte Carlo expectations (dotted lines). The signal-to-noise ratio was> 30
at all times. Inset: calculated energy spectrum of fluorine recoils during the irradiation,
similar to a typical WIMP recoil spectrum.
3 Present Status
The bath has been increased to accomodate seven SDD modules, which will be
replaced in batches every four to six weeks. New detector caps have been fab-
ricated and all non-essential electronic equipment has been moved outside the
Faraday cage. An new pressure control system has been implemented, as well
as a large-volume water temperature controller. A LabView-based data acqui-
sition and control system provides nine independent triggers (seven modules,
one ambiance monitoring microphone and one hydrophone). Freon-free module
installation has been initiated at the time of this writing, in order to assay the re-
duction in spurious acoustic background brought about by these improvements.
Assuming no unexpected difficulties to arise, installation of the first set of R-1l5
modules will begin in the Fall. The limits to be expected with already-achieved
and zero background (maximum sensitivity) levels at 25 kg d are shown in Fig.I.
Arrangements for the filtered neutron beam irradiations have been com-
pleted; execution of the measurements awaits only the funding support of the
national science program of Portugal. Another aim of the SIMPLE-2000 program
is to initiate new module design based on CF3 Br, with a capacity to efficiently
explore both awp and aWn simultaneously. Preliminary design of larger mod-
ules, in order to produce a multi-kg detector, has also started. Part of this effort
will go into developing broad-band fiber-optic acoustic sensors, able to monitor
larger volumes and distinguish the characteristic nucleation sounds from other
sources.
References
1. J.I. Collar et al., Phys. Rev. Lett. 85 (2000) 3083; New J. of Phys. 2 (2000) 14.1
(http://www.njp.org/); Procs. of Sources and Detection of Dark Matter in the
Universe, Marina del Rey, 2000.
2. J.I. Collar, Phys. Rev. D54 (1996) R1247
3. J. Ellis and RA. Flores, Phys. Lett. B263 (1991) 259.
4. T. Falk et al., hep-ph/9806413; P. Gondolo, priv. comm.
5. RE. Apfel, Nucl. Instr. and Meth. 162 (1979) 603.
6. F. Seitz, Phys. Fluids 1 (1958) 1.
7. S.C. Roy et al. Nucl. Instr. and Meth. A255 (1987) 199.
8. Ch. Peyron, in "Bubble and Spark Chambers", ed. by RP. Shutt (Academic, NY,
1967).
9. M. Harper, PhD thesis (U. of Maryland, 1991); Nucl. Sci. Eng. 114 (1993) 118;
Nucl. Instr. and Meth. A336 (1993) 220.
10. L. Lessard, in "The PICASSO Project: update and next step" these proceedings.
11. G. Waysand et aI., astro-ph/9910192;
http://collar.home.cern.ch/collar/RUSTREL/rustrel.html
12. L.A. Hamel et al., Nucl. Instr. and Meth. A338 (1997) 91; N. Boukhira et al.,
Astropart. Phys. 14 (2000) 227.
13. Y-Ch. Lo and R Apfel, Phys. Rev. A38 (1988) 5260.
14. F. d'Errico, Rad. Prot. Dosim. 84 (1999) 55.
15. A.G. Tenner, Nucl. Instr. and Meth. 22 (1963) 1.
The PICASSO Project,
Present Status and Future Developments
Louis Lessard, Nadim Boukhira, Ingried Boussaroque, Razvan Gornea, Marie

Di Marco, and Viktor Zacek
Groupe de Physique des Particules, Departement de Physique, Universite de

Montreal, C.P. 6128, Succ. Centre-Ville, Montreal, H3C 3J7, Canada
Abstract. We present the principle of operation of the superheated-droplet detectors

used in PICASSO, their background sensitivity, and their calibration in terms of active
mass and sensitivity to neutralino-induced nuclear recoils. From the count rate at
two temperatures, we show the limits on the neutralino-proton spin-dependent cross
section as a function of neutralino mass for a small (1.34 g) active detector mass. We
present new developments and limits that will be reached with detectors being built in
the kilogram class. We then investigate foreseeable detection limits obtainable with a
large-scale droplet detector with a ton of active material.
1 Introduction
In the search for cold dark matter candidate particles, such as the neutralino
(X) of the super-symmetric models, the quest for sensitive detectors, background-
radiation free, with the possibility of constructing large volumes of active mate-
rial, remains very active. PICASSO [1], based on the detection of nuclear recoils
using the superheated liquid-to-gas phase transition of room-temperature super-
heated carbo-fluorates, is reaching the stage of producing intermediate mass de-
tectors. Using the detection limits obtained with a first, well calibrated, version of
the detector, we present the limits which should be reached with a kilogram-size
detector and the potential of a large-scale detector, given the expected physically-
allowed region of neutralino masses and x-proton cross sections [2].
2 The PICASSO Detector
The PICASSO detector is based on the superheated-droplet emulsion technique

employed in neutron dosimetry [3,4]. Various gases and fabrication processes
have been used, with different neutron-energy thresholds at room temperature,
and an extensive literature exists on the fabrication and operation of such detec-
tors [5-7]. Their operation is well described assuming each superheated droplet
to respond to radiation as a miniature bubble chamber. As shown by Seitz [8],
such chambers are threshold detectors. Bubble formation is triggered by a heat
spike deposited when a charged particle traverses a length of superheated liquid.
The spike initiates the evaporation of a seed bubble which is inhibited by the
surface tension of the liquid and the external atmospheric pressure. A potential
Louis Lessard et al. 605
barrier must be overcome for droplet evaporation to become irreversible, hence a

threshold critical energy E e , below which no bubble formation will occur, which
must be deposited in a critical radius, or length, R e .
Two types of detectors have been tested, from the firms providing such detec-
tors. In Apfel's design [4]' droplets are dispersed in a gel through a capillary and
held in place by the viscosity of the medium. Droplet sizes are uniform (100 J-tm
diameter). Bubbles rise to the surface of the gel after formation, and can be
counted acoustically or by the amount of accumulated gas above the gel. The
detectors made by BTl (Bubble Technology Industries, Chalk River, Ontario,
Canada) consist in an emulsion of droplets of various sizes obtained by dispers-
ing a liquid carbofluorate in an aqueous solution containing a heavy salt (e.g.
CsCI) which is then polymerized. Prior to polymerization, the droplets are held
in place by equalizing densities of active liquid and solution using the heavy salt.
Bubbles are stationary after formation and can be recompressed. They can be
counted visually, if the loading or detector volume are small, and acoustically.
Many questions have been investigated: background sensitivity and temper-
ature dependence, counting techniques and data acquisition systems, types of
gas and long-term stability, active-gas loading, size of detector and maximum
volume of a modular unit, sensitivity to nuclear recoils. Our detection limits
have been obtained using BTl detectors, as was our study on various sources of
background sensitivity, and increased volume and loading testing.
3 Detector Calibration and Background Measurements
Calibrating droplet detectors involves different issues: detection thresholds for

nuclear recoils, threshold response functions, mass of active material in a given
volume of emulsion. Neutrons are ideal for that, since, at low incident energies,
they are detected through the nuclear recoils produced in the known elastic
scattering process off nuclei of the gas. On Fig. 1 are shown response curves
for various neutron energies, for different detector gases. Threshold values are
obtained in terms of the reduced superheat variable [7] s = (T - Tb)/(Tb - Te ),
n
where is the boiling temperature of the liquid and Te is its critical temperature,
which allows certain gases to be described in a unified manner.
From these thresholds, and the threshold function determined from the re-
sponse curves, the quantity of active gas is determined and the detection effi-
ciency for x-induced recoils is deduced, assuming a Maxwellian velocity distri-
bution for dark matter particles, as a function of x-mass and for various detector
temperatures, as shown on Fig. 2.
The main sources of background are -y-rays and minimum-ionization par-
ticles, a-particles due to U/Th contamination of detector materials and radon
from the environment, neutrons produced by cosmic-ray muons and by a-induced
nuclear reactions due to U/Th in the surrounding materials. For superheated liq-
uids, spontaneous nucleation could also be an issue. Figure 3 shows that at tem-
peratures where the detector is efficient for x-induced recoils, Le. below 30 °e, the
-y-ray sensitivity is essentially non-existent. On the other hand, the a-sensitivity
606 The PICASSO Project
10000 -- - - - - . ~--- - - - - - . _ . - - . - - -. 10
0.1 f
O.Ot ~
~
0.00. )
0.0001
L----"_ _- l -_ _- l - ---.::>..-.J 0.0000'
0.2 0.2<5 0.3 0.35 0.' O.~
Rodueed Superheat S
Fig. 1. Detector responses for different incident neutron energies and deduced thresh-
olds as a function of reduced superheat.
1.00 r····················································· ,
0,90
0.80
0,70
to°,50
lo,so
W 0,40
0,30
0,20
0,10
0,00 L-_::.-::::;.,.,:~..:::::;~=:......._~ _____'
1 10 100 1000
NoulnlUno _ . II, (GoV/C')
Fig. 2. Detector efficiencies for detecting nuclear recoils induced by WIMP's for dif-
ferent operation temperatures, as a function of X mass.
for particles emitted from the gel is constant, whereas the detection efficiency
for a-particles emitted within the droplets is 100% for all temperatures of in-
terest. Obviously, at any temperature, the detector is sensitive to nuclear recoils
produced by background neutrons, provided their energies are above thresh-
old energies. Shielding against neutrons implies either slowing down incoming
neutrons from the environment below threshold energies (i.e. below,...., 50 keV at
25°C operation temperature) which is obtained with moderate amounts of paraf-
fin or water shielding or by going underground, to remove cosmic-ray induced
neutrons from the environment or the shielding itself.
Measurements of detector residual signal under various conditions of neutron
background, as measured with a 3He counter, show, see Fig. 4, that this back-
ground is probably due to remaining U/Th contamination of detector materials.
Although very low, this background lends itself to material purification proce-
..
'0 . - - - - - - - - - - - - - - - - - ,
'0'
Fig. 3. Sensitivity to I and a particles as a function of temperature. The two vertical

arrows show operation temperatures for signal and background measurements.
dures as developed for very low background experiments. The next generation of
larger droplet detectors will allow precise monitoring of these purification pro-
cesses. A last source of non-radiation induced background could be homogeneous
nucleation. Detectors were tested in a shielded environment and the temperature
dependence of that signal was measured and shown to decrease by several orders
of magnitude over aloe temperature interval near the region (,...., 90% of T c)
where such nucleation should prevail. It is therefore not expected to produce any
background in the temperature regime for dark matter detection.
-
..::::.
..
"'s
~ ,a
..
SNO
.. ~
t. .•.,..~- -......~"........-.-'-:.~,...--."-:.~,...- ..........

.•,,:;.•- - -.,•~~---,
,.",,~,..----, ,•..
H. f'J ..... t ... on f1u:oo: (n e s
Fig. 4. Sensitivity to neutrons in different environments, as measured with a calibrated

He3 detector and droplet detectors. "calibration" point is used for relative normaliza-
tion of detectors.
4 Present Limits and Limitations

We have measured the count rate obtained with groups of increased-loading BTI-
type detectors put in a container flushed with a continuous clean-nitrogen flow
for radon removal, placed in a distilled-water tank surrounded with 25 cm thick
paraffin blocks for neutron shielding. The total active mass was determined with
608 The PICASSO Project
neutron beams to be 1.34 mg. The detector was operated at two different tem-
peratures: 26°C, where it is efficient for neutralino-induced recoils, and 15°C,
where it is not sensitive to those recoils while retaining its efficiency for a-particle
background. We thus obtain a signal of 220±21O cts kg- 1 d -1 , after 117 days of
data taking. Expressed in terms of the spin dependent x-proton cross section,
we obtain the limit on Fig. 5 and compare it to present limits obtained with
other detectors. We agree closely with the results of the SIMPLE [9,10] experi-
ment, which employs a similar technique, but the significant point is that we are
within reach of the limits obtained by groups working with much more massive
detectors based on other detection techniques. There are two reasons for this:
first, our background is low compared with that obtained with other techniques;
second, our detectors are very fluorine-rich and draw advantage of the dominant
spin-dependent x-nucleus cross section for that element, as calculated by Ellis
[11] and Divari et al. [12]. In spite of the inherent advantage of using that tech-
nique, our detector would not be competitive with other massive detectors if we
could not develop high-mass and high-loading droplet detectors with long term
stability and efficient data acquisition and control systems. Recent developments
show that this goal can now be achieved.
5 New Developments and Outlook for the Future
With BTl, much progress has been made to make larger-volume detectors and
an increased loading of 5% has been achieved. Tests made with a 750ml detec-
tor have shown a 100% counting efficiency with large-area piezo-sensors. 1.51
detectors are being built, and tests will begin soon to determine the amount of
active material and residual background. With large volume units, the gas and
gel constituent cleaning procedure will be tested easily. Since a typical count rate
for a 1g detector was ,..., 1 count per day, a 1.51 detector with 5% loading and
similar background level should yield a background count rate of,..., 100 counts
per day. Cleaning procedures used elsewhere indicate that U/Th contamination
levels can be decreased by one or two orders of magnitude.
A control and data acquisition system has been developed, capable of han-
dling many detection units each equipped with several sensors [13]. During the
next months we will implement a large volume system which should contain an
active mass of one kilogram. We present, on Fig. 5, the limits that are within
reach with such a detector, under two assumptions: first, that the background
level per kilogram remains unchanged; second, that a factor of 100 improvement
is achieved. It is seen that, even at this intermediate stage, the sensitivity of our
detector brings PICASSO to the same level as much more massive detectors.
Although a one-kilogram detector represents a gain in mass for PICASSO of
three orders of magnitude, a further similar gain would mean a change of scope
in our project that goes beyond our present level of operation. Nevertheless, it
is important to evaluate the cross section and mass region that such a detector
(one-ton active mass) would allow to investigate. As shown on Fig. 5, a one-ton
droplet detector would be ideal for exploring the allowed physics region.
PICASSO \~ p ....""'.. cof.'
:~-.;~.~~-~~_~:~~~:~~:;:~::~:~:..:~.:.:.:.:_..>~'--:;~. ~ ..~~~~~~ ~~o-,l _ -

PK:ASSO 1 loq
PtC;,.S50 , "',. I / I 00 Dl.
-3 PtCASSO 1 , 1/100 0"'9

'0
SOO 1 t Ffet 11 ••
10-·L----~--~~....!,0-;":--~--~-~-....I,oJ
"'oss {GeV/c')
Fig. 5. Exclusion curves for present experiments. Lower curves are predictions, increas-
ing measurement time by 5 and active mass to 1 kg at present background level, then
with background decreased by 100; the last curves show limits with a I-ton detector,
with the factor of 100 background improvement (It 1/100 bkg), and (SDD 1 t) to the
SNO (i.e.1O- 15 gig U/Th) level. With I-ton detector, one reaches the allowed physics
region; the (SDD 1 t) limit is well within the favored theoretical region.
6 Conclusion
Detection limits obtained by PICASSO and new developments have allowed us to
begin the construction of a one-kilogram unit and expect a substantial sensitivity
gain. Further background reduction is expected from purification procedures
being developed. This next step will allow an evaluation of the ultimate potential
of the method, while providing a limit on the spin-dependent x-proton cross
section both competitive and complementary to that of other detectors [14].
References
1. N. Boukhira et al.: Astroparticle Physics, To be published
2. J. Ellis, A. Ferstl and K. Olive: hep-ph/0007113
3. H. lng, RA. Noulty and T.D. McLean: Radiation Measurements, 27, no. 1, 1 (1997)
4. RE. Apfel: Nucl. Instr. and Meth., 162, 603 (1979)
5. M.J. Harper and J. Rich: Nucl. Instr. and Meth. A, vol. 336, 220 (1993)
6. L. Lessard, L.A. Hamel and V. Zacek: IEEE Trans. on Nucl. Sc., 46, 1907 (1999)
7. F. d'Errico: Radiation Protection Dosimetry, vol. 44, nos. 1-4, 55 (1999)
8. F. Seitz: The Physics of Fluids, vol. 1, no. 1, 2 (1958)
9. J.I. Collar: Phys. Rev. D54, 1247 (1996)
10. J.I. Collar et al.: hep-ph/0001511, hep-ph/0005059
11. J. Ellis and R. Flores: Phys. Lett. B263, 259 (1991)
12. P.C. Divari et al.: Phys. Rev. C, vol. 61, 054612 (2000)
13. R Gornea et al.: IEEE Trans. on Nucl. Sc., submitted for publication
14. V. Zacek: Future Direct Dark Matter Search Experiments. In: XIX Int. Conf.
on Neutrino Physics and Astrophysics Sudbury, Canada, June 16-21 2000, To be
published
The LiF Dark Matter Experiment
at Kamioka Mine
M. Minowa1,7, K. Miuchi 1 , A. Takeda!, H. Sekiya!, Y. Shimizu!, Y. Inoue 2,7,

W. Ootani2 , Y. It0 3 , T. Watanabe 4 , S. Moriyama5 , and Y. Ootuka6
1 Department of Physics, School of Science, University of Tokyo, 7-3-1, Hongo,

Bunkyo-ku, Tokyo 113-0033
2 International Center for Elementary Particle Physics, University of Tokyo, 7-3-1,
Hongo, Bunkyo-ku, Tokyo 113-0033
3 KEK, 1-1 Oho, Tsukuba, Ibaraki 305-0801 Japan
4 Department of Information Science, Shonan Institute of Technology, 1-1-25
Nisikaigan Tujido Fujisawa-shi Kanagawa-ken 251-8511 Japan
5 Institute for Cosmic Ray Research, 5-1-5, Kashiwanoha, Kashiwa-shi, Chiba
277-8581
6 Institute of Physics, University of Tsukuba, 1-1-1 Ten'nodai, Tsukuba, Ibaraki
305-8571 305-8571
7 Research Center for the Early Universe, School of Science, University of Tokyo,
7-3-1, Hongo, Bunkyo-ku, Tokyo 113-0033
Abstract. A preliminary result of a cryogenic dark matter search experiment at the

Kamioka mine is presented. An array of eight LiF bolometers with a mass of 21 grams
each is used aiming at a direct detection of spin-dependently interacting supersym-
metric neutralinos. A preliminary exclusion plot obtained with measurement at the
Kamioka mine is presented.
1 Dark Matter Candidates

As a result of search for baryonic dark matter called MACHO's together with
implication of the primordial nucleosynthesis theory of the cosmology, it is now
widely accepted that a large fraction of dark matter is non-baryonic. The dark
matter is known to exist in our neighbour with a mass density of p rv 0.3
GeV/cm 3 flying at a velocity of v rv 300 km/s.
Supersymmetric neutralinos and axions are considered to be possible candi-
dates for the non-baryonic dark matter. Our aim is to search for the possible
neutralino dark matter with a cryogenic detector.
2 Spin Dependently Interacting Neutralinos

Theoretical calculations for the neutralino detection rates with ordinary matter
have been worked out by many authors. The rate is usually expressed as a sum
of two terms, spin independent(S.l.) and spin dependent(S.D.) part.
The S.l. detection rate is proportional to the square of number of nucleons
in the nuclei of the detecor material. Heavier nuclei, therefore, suited for the
M. Minowa et al. 611
S.!. neutralinos. On the other hand, S.D. detection rate is a function of nuclear
spin and so called Lande factor of the nucleus used in the detector. The Lande
factor measures the spin factor of unpaired nucleon in the nucleus. It is also
a function of the quark spin contents of the unpaired nucleon. Comparing the
factors of various nuclei, one finds 19 F is tha best material to detect the S.D.
neutralinos[l] .
3 LiF Bolometer
In order to make the detector sensitive to S.D. neutralinos, We adopted lithium

fluoride(LiF) as detector material. We have been working to develope the LiF
bolometer at the University of Tokyo[2-4]. Home-brewed high-sensitivity neu-
tron transmutation doped germanium thermistors (NTD Ge)[5] enabled us to
construct a bolometer with a mass of 21 gram. It is being operated in a home-
made dedicated low-radioactivity dilution refrigerator at a base temperature
of 10 mK. To avoid obvious radioactivity in common materials like aluminum,
stainless steel and fibre reinforced plastics used in ordinary refrigerators, our
dewar is made mostly of oxigen free copper which is known to be the best metal
material from the view point of the radioactivity. Every raw material for the re-
frigerator was radio-assayed by a low-background Ge "(-ray spectrometer prior to
the assembly. No detectable radio activity is allowed especially for the material
around the absorber.
The detector is calibrated using various standard "(-ray and a-ray sources.
Compton edges are used for high energy "( rays which do not make enough ph-
toelectric peak in the low atomic number LiF crystal. Good linearity is obtained
up to more than 1 MeV "( rays and also for 5.5 MeV a rays.
With this 21-gram LiF bolometer, we made a pilot run in a shallow under-
ground site at the Nokogiri-yama near Tokyo. We got an exclusion limit, which
is the most stringent in low mass region m x ::;5 GeV. The result is pulished in
[6].
4 Preliminary Results at Kamioka Mine
Whole the detector system has been moved to Kamioka mine in November 1999.
The underground laboratory was newly caved at 2700 m.w.e. site near the Super
Karniokande. To help the cryogenic operation in the underground laboratory, a
nitrogen liquefier and a helium liquefier are installed so that an uniterrupted
cryogen-free running of the experiment is possible.
Since radioactive radon gas concentration is not negligible in Kamioka site,
an plastic gas bag is introduced to purge the radon gas from space around the
dilution refrigerator. It is filled with radon-free nitrogen gas taken from a liquid
nitrogen container.
In addition to the ordinary shields with copper, lead and polyethylene sur-
rounding the gas bag, an extra shield is added just arround the LiF crystal
612 The LiF Dark Matter Experiment at Kamioka Mine
container in the refrigerator. It is made of low-activity 200-year-old lead and

protects the bolometer against still remaining background gamma rays.
Fig.l shows the raw energy spectrum obtained by the first measurement at
Kamioka mine.
exposure=0.167 kg days
500
450
400
350
300
250
200
150
100
50
o
o 10 20 30 40 50 60 70
keV
Fig. 1. Energy spectrum measured with the LiF bolometer at the Kamioka mine.
Relatively high counting rates below about 15 keY is observed. The count rate
at higher energy is still not low enough because of possible surface contamination
of LiF crystals by Uranium/Thorium. Nevertheless we can deduce an exclusion
plot for the S.D. neutralino cross section from this preliminary running. Fig.2
shows 95% confidence limit on normalized point-like cross section for a S.D.
neutralino incident on a single proton assuming the local density of 0.3 GeV/cm 3
and the r.m.s. velocity of 270 km/s. In the analysis we conservatively assumed
that all the observed event rate was due to the neutralino. We also show the
exclusion limits for the results of other experiments[7] [8] [9] .
5 Further Improvements
Although the upper limit is better by a factor of three in the higher mass region
as is seen in Fig.2, it is even worse than our previous limit in the low mass region.
The detector suffer from microphonic noises, and it is considered to make the
limit of the low mass region worse. We are now trying to develope microphonic-
resistant amplifiers.
The possible contamination of the LiF crystal by radioactivity is also con-
firmed by alpha peaks seen in the high energy region of the measured spec-
M. Minowa et al. 613
Spin-dependent
10000
\ . .
,
.......
. . . . \.\\ 'PRELI .
'. ~ ~
1000
,.....,
.0 \ !.
c..
....... ..... \..\\j..
\ ~.. : ,.,.,.
c 100 . ;,. ..,.
0 \ ..\ ~.
......
:;::; \
\ "\.~ ) ..
U
Q)
C/) 10 ................ \.... \t'.. "'" :.;".. . . .
\ : \ ;:;;'~
.";.", : ••••••••••
.....
....041 ••••••
C/)
C/)
0
" '\ ,'.'.
...~...
-'- - _.- . ..........
.. . .
--,'
:: ------'--
~
u 1 .. .....•...... . •....•••. :". :'l-. ... ~.~ ~ ... ~~.~ .~~ =
~ ~ ~ ~:: ~ ~:':'~""
c..
a.
I
::2: 0.1 ..... ·········'T6ky6Ramioka(UF) • • •
$ Tokyo NOKOGIRI-y-ama - -
0.01 SIMPLE (C2CIF s) .
DAMAlNal-O ---------
UK(Nal) -.-----
0.001
1 10 100 1000 10000
WIMP Mass[GeV]
Fig. 2. Preliminary upper limit on normalized point-like cross section for a spin de-
pendently interacting neutralino incident on a single proton.
trum(not shown). We are planning to replace the crystals with newer ones made
with more care against radioactivity.
After these improvements have been completed we will be able to reach the
required sensitivity to the spin-dependently interacting SUSY neutralinos if no
further background source is found in the detector.
Acknowledgements
This work is supported by the Grant-in-Aid for COE Research by the Japanese
Ministry of Education, Science and Culture. We thank all the staffs of Kamioka
Observatory of the Institute for Cosmic Ray Research, University of Tokyo for
their hospitality in using the facilities of the Observatory.
614 The LiF Dark Matter Experiment at Kamioka Mine
References
1. J. Ellis and RA. Flores, Phys. Lett. B 263 (1991) 256, and J. Ellis and RA. Flores,
Nucl. Phys. B 400 (1993) 25.
2. M. Minowa et al., J. of Low Temp. Phys. 93 (1993) 803, and M. Minowa et al.,
Nucl. Instr. Methods Phys. Res. A 327 (1993) 612.
3. M. Minowa et al., Nucl. Phys. B (Proc. Suppl.) 51 B (1996) 314.
4. Y. Ito et al., preprint RESCED 96-13 (1996).
5. W. Ootani et aI., Nucl. Instr. Methods Phys. Res. A 372 (1996) 534.
6. W. Ootani et aI., Phys. Lett. B 461 (1999) 371.
7. R. Bernabei et al., Astrop. Phys. 7 (1997) 73; R Bernabei et al., Phys. Lett. B 389
(1996) 73.
8. P.F. Smith et al., Phys. Lett. B 379 (1996) 299.
9. J.I. Collar et al.,Phys. Rev. Lett. 85 (2000) 3083.
ZEPLIN II and Amplification
of Primary Scintillation
David Clinel, Giampaolo Mannocchi 2 , Stan Otwinowski l , Luciano Periale 2 ,

Francesco Pietropaol03 , Pio Picchi 2 , Youngho Seo l , Franco Sergiampietri 3 ,
Hanguo Wang l , and Jong-Kwan WOOh
1 Department of Physics,University of California, Los Angeles 405 Hilgard Ave. LA

Ca. 90095-5714, USA.
2 Instituto di Cosmogeofisica del CNR, Torino, Italy.
3 CERN CH-1211 Geneva 23, Switzerland.
Abstract. We will discuss the detailed design of the 30 kg two-phase xenon ZEPLIN II
detector, to be installed in the Boulby mine, UK in early 2001, for the direct detection
of WIMP dark matter. Xenon provides many advantages for WIMP searching. Also we
will describe a possible primary amplification method with CsI internal photo cathode.
We achieved more than 10 times amplification ratio for a initial photon. This method
will maximize the efficiency of ZEPLIN II to search for Super-Symmetric Dark Matter.
1 Introduction
During the past 10 years, technology advances have made it possible to prove
with unprecedented sensitivity to detect low energy and low event-rate signals
for the no-baryonic dark matter. Some baryonic dark matter search teams have
reported the impressive result through the major conferences [1-3]. Also DAMA
[4] reported the annual modulation of WIMPs with NaI detector, which result
face on the severe criticizes [5,6]. A sensitive curve of ZEPLIN II covers the
DAMA, CDMS and current GENUS exclusion plot. Further improvement on
the primary scintillation readout will lower more the energy threshold as well as
increase the rejection power; the expected sensitivity is shown in figure l.
It is agreed that much of dark matter is non baryonic matter, especially
Weakly Interactive Massive Particles (WIMPs ). Neutralinos from SUSY (su-
persymmetry) theory are candiates for WIMPs, which were formed in the early
Universe [7]. It is believed that the density of WIMPs near orbit of the Sun
is 0.3 GeV/cm3 [8]. In the case of xenon nucleus target, the average recoil en-
ergy through the elastic scattering is around 50 KeV for the WIMP mass range
of between 10 GeV and several 100 GeV [7,9,10]. During the past 10 years,
UCLA/Torino team has researched and developed a xenon detector [10-12] that
will provide the event rate from 0.01 to 0.1 events/day/kg [10]. From the past
works, we have learned that even if xenon provide the best condition for search-
ing WIMP [13], its amplitude of primary is too low to search for WIMP clearly.
The primary signal is needed to amplify for the maximum efficiency of detec-
tor, while the amplification of secondary was solved using electro-luminescence
method [14].
616 David Cline et al.
·19 rr-------,------,---------,
·'0
."
WIMPs Mass (10" GeV)
Fig. 1. A histogram of the amplification ratio of the primary with CsI internal Photo
cathode.
2 ZEPLIN II Detector
2.1 Design of ZEPLIN II
ZEPLIN II will have a 30-kg active target of liquid xenon and xenon gaseous
phase for ionization measurement by covering ionization electrons into lumines-
cence photons. Xenon provides many advantages such as powerful background
rejection, high event rate yielding, no radio-active isotope and the fast signal
response. That ZEPLIN II is based on the direct detection method through the
elastic scattering that include both of spin off and spin on case. ZEPLIN II can
detect scintillation and electron simultaneously, those two types of signal do the
major role to identify the WIMP detection. Figure 1 shows the 3-D view of
ZEPLIN II with muon veto and lead shielding. ZEPLIN II is composed of main
body (metallic cylinder (25X50 cm,RXH), muon veto counter, and 4X4X4m
outer old lead shielding cube. The 30-kg of liquid xenon is confined in an upside
down frustrum by a Teflon con. The copper ring outside the Teflon con will pro-
vide the right potential configuration for the drift field. Two wire frames, one
each in the liquid and gas phases, are placed face to face with a 6 mm gap. The
wires are placed 1/8 inch apart on the frame. To reduce the intrinsic radioactive
background, no soldering is used for the wires; a special mechanical solution is
used to fix the wires on the frame. A single wire is used for one frame so that the
ZEPLIN II Detector with CsI 617
3D view
Fig. 2. ZEPLIN II Detector
risk losing a wire at the connection is significantly reduced. Seven high-speed, 5

inch PMTs are placed avobe the liquid with the photo cathode facing the liquid.
Liquid Xe will be continueously purified with a recirculation system that similar
to that of ICARUS to main maintain the liquid xenon purity.
2.2 Xenon Scintillation Mechanism
The elastic scattering between WIMP-xenon provides xenon two processes, ex-
citation and ionization. In the excitation process, the excited xenon X e* and
normal Xe form the excited meta-stable excimer. When the X e2 go back to two
normal xenon, the scintillation light is produced. In the ionization process, the
ionized xenon Xe+ and normal Xe form the xet ion with leV coupling energy
[15]. One third of the ionized electrons recombined with xet and formed the
excited meta-stable excimer X e2 again. These X e2 emit 175 nm UV photon that
can be made from the singlet state and triplet state. The ratio of photon from
singlet to the photon from triplet is different from beta source and alpha source
[16]. That makes us identify the source particles. UCLA/Torino group improved
this method into the two phase xenon detector [13].
2.3 Gamma Background Rejection
Proportional scintillation occurs through the de-excitation process the same as

that of the direct scintillation. The direct scintillation is called as primary scintil-
lation while the proportional scintillation is called as secondary scintillation. The
behaviours of the two scintillations are clearly different; the primary scintillation
is almost constant to the applied voltage while the secondary one is proportional
to the applied voltage, because the secondary come from drift electron. Also the
patterns of the primary and secondary scintillation are different from each other.
For example, the amplitude of the primary scintillation is much bigger than that
of secondary for the HIP (Heavy Ionizing Particles, for example neutron recoil)
that provides an equivalent signal to the WIMP. The amplitude of the primary
scintillation is much smaller than that of secondary for the MIP (Minimum Ion-
izing Particles, for example gamma). Using this fact we can clearly reject the
gamma ray type background.
2.4 Electro-Luminescence Photon from Electrons
When electrons drift in the gas xenon under high electric field, they will pro-
duce the luminescence photons. The number of electro-luminescence photons
produced per electron can be described as Nph = 70(E - 1.3P)d, where the pa-
rameters E, P and d are the applied electric field strength in kV/ cm, the gas
xenon pressure in atm and the electron drift distance in cm [14]. Most of the
ionized electron can be extracted from the surface of liquid xenon [14,17].
3 Amplification of Primary Scintillation
Normally the amplitude of primary scintillation and secondary proportional scin-

tillation in liquid xenon is too low to discriminate background sufficiently. For the
secondary signal, the electro-luminescence method provided solution. But for the
amplification of the primary signal, no solution has been provided. UCLA/Torino
team has studied for several years to amplify the primary scintillation using the
CsI coating on the luminescence plate.
3.1 CsI Internal Photo Cathode and Luminescence Plates
Introduction The internal CsI photo cathode consists of two 18 p,m copper
layers with holes, of which size of the holes on each plate is 1.4 mm with 2 mm
pitch. Both layers are insulated by 4-mm-thick GI0 PCB. We call this plate as
the luminescence plates. A side of each copper plates on the G10 PCB is plated
with 4 p,m-thick nickel and 1 p,m-thick gold, and coated by 300-nm-thick CsI
that was deposited by vacuum evaporation with the CERN standard technic
(see the figure 3 for the real picture of CsI-Luminescence plates). Figure 4 shows
the trajectory of the electrons in the hole of luminescence plate applied by high
electric field.
ZEPLIN II Detector with OsI 619
Fig. 3. A picture of the OsI plate of which outer diameter is 66mm and of which active
OsI part is 50mm. OsI was exposed in the inner circle (darker part than that of outer
part).
I,m;..,,,.,, ph..... 11
PCB 4mm
Copper 181lm
'0 .' 0 :1\
N·Ice
kI 41 "'-Il m /I ""e·
\\
1
I
Gold 111m " ~
e-'':........
C51 300 nm
Primary Scintillation photon
Fig. 4. The behaviour of electrons in a hole under high electric field.
When primary scintillation photons hit the surface of the CsI, the electrons
are extracted from the CsI surface and driven into the hole of the board that is
applied with the strong electric field. During this process, the blocked photons
turn into the electrons. The produced electrons produce electro-luminescence
photons when they pass the hole under the strong electric field, resulting in high
gain of the primary photons. The quantum efficiency of a CsI photo cathode is
more than 0.2 for the 170 nm UV light [18]. For the photo-electron threshold,
the energy threshold for recoil event is going down 6 keY to 3 keY with 0.2
PMT quantum efficiency.
Experimental Setup We used the normal UCLA-Torino I-kg xenon WIMPs

chamber of which simple diagram of the experimental setup in the figure 5.
L.r---f PMT I---.......,J

Chamber
luminescence HV
plate
~ =~==~===~-
Gas Xenon ......
Fig. 5. A simple diagram of the experimental setup of Xe WIMPs chamber with CsI
coating.
A luminescence plate was applied with high electric field, 2.5 kV between lu-
minescence plate, to make electron produce electro-luminescence. A PMT made
of MgF2 window was mounted facing down at the upper part of the chamber.
MgH window makes UV photon pass into the PMT. We coated the CsI on the
luminescence plates that places at the center of chamber. And the chamber was
filled with 1.5 atm gaseous xenon in a room temperature of 25°C. The CsI coating
was applied only on the bottom side of luminescence plate that was also facing
down. The chamber assembling process was done in the gas Ar bag to protect
the CsI plate from water damage in the air. The output signal was monitored
by high performance oscilloscope after filtering with simple electronics.
Results and Analysis Figure 6 shows the typical shape of the signal due to
the gamma-Xe nucleus scattering with CsI internal photo cathode effect, mean
a while figure 7 shows another typical shape of the signal due to gamma-Xe
scattering without CsI effect.
In figure 6 and 7, P, E, and T indicate the primary, the electro-luminescence,
and the time interval between the primary signal and the electro-luminescence
signal. Also, T implies the electron drift time from the surface of CsI to the hall
of the luminescence plate.
In the figures 6, the 1st small peak peak PA is the primary scintillation seen
by PMT directly. And the second big pulse is the amplified primary scintillation
by CsI effect. Electrons, produced by gamma-Xe scattering, can not reach to
the luminescence plate, because electron can not drift into the luminescence
plate in such a short time scale due to no electric field existence below the CsI-
luminescence plate. Generally this type of signal comes from lower part of CsI
plate in figure 5.
In figure 7, the 1st small peak peaks is the primary scintillation the same as
figure 6. The first peak in figure 7 is very high comparing to the first peak in
ZEPLIN II Detector with OsI 621
.!
"
. --UIIf!
211'
~
I
T= 1.211'
f::
+--* "f )
..... .... 1.1 ,. ....
P A
EA- ~
.
Fig. 6. A typical signal with OsI effect. The lower trace shows the direct PMT signal
while the upper signal shows the filtered signal for the trigger pulse only. The time and
the pulse height scale are shown in the figure.
T=UI1"
~ 2
----- '{1"
., .. 1...
lp,
Fig. 7. Another typical signal without OsI effect. The time and the pulse height scale
are shown in the figure.
figure 6, because the primary is not blocked by CsI plate. But the second broad
distributed peaks come from electro-luminescence effect with initial electrons
that were produced in the gamma-Xe scattering. Generally this type of signal
comes from upper part of CsI plate in figure 5.
The gain of amplified primary scintillation in figure 6 can be decided by the
ratio of the area of PA, and EA. After simple calculation we can get the overall
amplifications ratio is 10 for the initial photon. Those amplified photons come
from electron produced on the surface of Csl.
4 Conclusion
UCLA/CNR-Torino team have studied to search for the WIMP dark matter for
the last decade. Now we are preparing the ZEPLIN II xenon detector that will
be mounted under the Boulby mine, UK in early 2001. UCLA/Torino group
successfully developed the method to amplify primary scintillation using CsI-
luminescence plates. Using CsI internal photo cathode we succeeded to amplify
the scintillation photons for our I-kg xenon WIMP detector. The high gain
internal CsI photo cathode will take a major role to search for WIMP dark
matter with ZEPLIN II.
5 Acknowledgements
I would like to thank DOE for supporting us to research of which DOE grant
number DE-FG03-91ER40662. Also I would like appreciate administrators, Ms.
Joan George and Mr. Jim Kolonko in the department in UCLA for their excellent
supporting.
References
1. Proceedings of sources of Dark Matter in the Universe, Santa Monica, 1996. ed.
by D. Cline (Nucl. Phys. B 51 1998)
2. proceedings of The 2nd Identification for Dark Matter, Buxton, UK, Sep. 1998.
ed. by N. Spooner, (World Scientific, Singapore 1999)
3. proceedings of Dark 2000, Heidelberg, Germany, July. 1998. ed. by H. Klapdor-
Kleingrohaus, (World Scientific, Singapore 1999)
4. P. Belli et al., these proceedings
5. G. Gervier et al., astroph972194
6. G. Gervier et al., astroph9902194
7. G. Jungman, M. Kamionkowski, K. Griest: Phys. Rep. 267, pp. 195-373 (1996)
8. D. Hegyi et al., Phys. Lett. B 126, 28 (1983)
9. P. Nath, R. Arnowitt: Accurate Cosmological Parmeters and Supersymmetric Par-
ticle Properties. DM98 hep-ph/9801454
10. J. Woo: A WIMP Detector with Two-Phase Xenon to Search for Dark Matter.
Ph.D. Thesis, University of California Los Angeles, LA. Ca. USA (2000)
11. J. Woo, D. Cline et al.: 'The Double Phase Xenon WIMPs Detector under Mt.
Blanc'. In: The 2nd Identification of Dark Matter Conference at Buxton UK,
September 1998, ed. by N. Spooner, (World Scientific, Singapore 1999)
12. D. Cline, A. Curioni et al., APH 12, 372-377 (2000)
13. H. Wang, Ph.D. Thesis, University of California Los Angeles, LA. Ca. USA (1998)
14. A. Bolozdynya, V. Egorovet al., Nucl. Instrum. Meth. A 385, pp. 225-238 (1997)
15. S. Druger, R. Knox: J. Chern. Phys. 50, 3143 (1969)
16. S. Kubota, M. Hishida, M. Suzuki, J. Ruan: Phys. Rev. B 20, 3486 (1979)
17. S. Suzuki, T. Doke, A. Hitachi, A. Yunoki, Nucl. Instrum. Meth. A 245, 78 (1986)
18. D. Anderson, S. Kwan, V. Peskov: Nucl. Instrum. Meth. A 326, 611 (1993)
Lower Limit on the Mass of the Neutralino
(LSP) at LEP with the ALEPH Detector
Laurent Serin, on behalf of the ALEPH collaboration
Laboratoire de I'Accelerateur Lineaire: IN2P3-CNRS et Universite de Paris Sud:

BP 34: F-91898 Orsay Cedex: France
Abstract. The large amount of data accumulated at LEP2 by the ALEPH experi-
ment has been used to search for supersymmetric particles. No signal has been found
therefore limits have been determined. Within the Constrained Minimal Supersymmet-
ric Standard Model: the constraints from direct SUSY searches of charginos: sleptons
and neutralinos: are combined to extract a lower limit on the mass of the neutralino
considered to be the Lightest Supersymmetric particle. An improved limit is obtained
when the limit on the Higgs mass is included. Neutralino masses up to 38 GeV /c 2 are
excluded at 95 % confidence level.
1 Introduction
In many supersymmetric models conserving R-parity: the neutralino as Lightest
Supersymmetric Particle: is considered to be a candidate for cold dark matter if
its density does not over-close the Universe [IJ. Experiments aiming at a direct
detection of these Weakly Indirecting Massive Particles (WIMP) exist and are
summarized in [2J. On the other hand: at accelerator experiment: a lower limit on
the mass of the neutralino can be also extracted and results from the combination
of direct SUSY searches (charginos, sleptons, ... ).
First the SUSY model used at LEP to obtain the excluded regions and the
strategy to set a lower limit on the mass of the neutralino are discussed. Then
the signal and background topologies are explained. The exclusion and the limit
on the neutralino mass are shown in section 3: including a discussion of the
main sources of theoretical uncertainties. Finally, the impact of Higgs search is
presented.
2 Definition of SUSY Framework and Strategy

Most of the results are interpreted at LEP in the Constrained Minimal Super-
symmetric Standard Model (CMSSM) with R-parity conservation and with the
assumption of GUT mass unification. In this model a few parameters are enough
to describe the properties of SUSY particles :
• mo : the common sfermion mass at the GUT scale

• ml/2 : the common gaugino mass at the GUT scale
• Ao : the universal trilinear coupling
• tanj3 : the ratio of the two higgs doublet vacuum expectation values
624 1. Serin
• p : the higgsino mass parameter

• rnA : the CP-odd Higgs boson mass: relevant for the Higgs sector
The corresponding parameters at the electroweak scale are obtained by solv-
ing the Renormalization Group Equations. In practice M2 is used as a free pa-
rameter instead of ml/2' From moo M2 and tan" the slepton masses are derived:
with the typical hierarchy: m q » mh '" m" > miR ' As an example the slepton
right mass can be written as :
(1)
The chargino and neutralino masses and couplings are fully specified by M2:
P: tan".
If mixing in the scalar sector is not considered: the set of free parameters is
reduced to : M2: P: tan,,: mo. A scan over this 4-parameter space is performed to
search for the lowest allowed neutralino mass. Two regions: with distinct charac-
teristics depending on the scalar mass mOl exist. For large scalar masses: chargino
and neutralino limits are used. For low scalar masses: sleptons results must be
included. Additional regions are excluded by Higgs constraints: especially for
low tan". In order to be conservative: neutralino decays involving Higgs bosons
are usually inhibited.
3 Experimental Context
Since 1995: the LEP2 e+ e- collider has regularly increased its center of mass
energy beyond the Z resonance. Table 1 shows the luminosity accumulated by
ALEPH up to 1999. The results presented in this paper use mainly the data
accumulated at and above 189 GeV.
Table 1. Luminosity accumulated by the ALEPH experiment
Year VB £-
1995 130-136 GeV ::: 5.7 pb- 1

1996 161-172 GeV ::: 21 pb- 1
1997 181-184 GeV ::: 57 pb- 1
1998 189 GeV ::: 174 pb- 1
1999 192-202 GeV ::: 237 pb- 1
The main characteristic of SUSY signals is the presence of neutralinos in the

final state escaping detection: leading to acoplanar jets: acoplanar leptons or
mixed jet/lepton topology. These events have a large missing mass and missing
transverse momentum which depends strongly on the mass difference (LlM)
Lower limit on the mass of the neutralino 625
between the produced particle (chargino, slepton or heavy neutralino) and the
neutralino (LSPL one of the decay products. Specific analyses have been designed
depending on the mass difference and on the final state [3].
The cross section of the main Standard Model backgrounds is presented in
Figure 1 :
• For small LlM, the " background is typically three orders of magnitude
larger than expected signal, but cuts on missing mass or missing transverse
momentum reduce this background to a very low level.
• For large 11M, the QeD background can be easily rejected and the dominant
background (WW, Wel/ and ZZ) is almost irreducible for some final states.
10
3 ~" =.l.·p·
'-
~L- 1-
-............
10 21-_
:-- r--- f-
-8. 10 ...:: ~l
... / I
--.
- ;\-X e',
I •• "Z
e·e: ...Z~~
~ .: -I"
~
b
If
10
•1"i/ ./ ~ /
!~ .....
2
~
10 100 120 140 160 180 200 220 240

'1 )
.,;s (GeV)
Fig. 1. Cross section of Standard Model backgrounds as function of the center of mass
energy
4 Excluded Region and Limit on the Neutralino Mass
4.1 Sleptons
The sleptons are produced by pair in the s-channel via" Z, and in the t-channel
via neutralino exchange, leading to an increase of the cross section for selectron
production. The final state consists of two leptons and two neutralinos (the
efficiency for cascade decays is assumed to be zero). No evidence of a signal was
observed, e.g. in the 1999 data, 42 events were observed while 39 were expected
from background [4]. The main background comes from leptonic decays of WW
events (the WW background is subtracted in all analyses involving at least one
lepton). Figure 2 shows the limits obtained in the selectron-neutralino plane.
Typically selectron masses up to 95 GeV /c z are excluded. As shown in equation
1, at fixed tan,t3 and for small scalar masses mo, this limit can be translated
directly on a limit on Mz.
626 L. Serin
LEPH preliminary
.--
-100
.
ALEPII p,..liminlry
~
-::;::
(,)
90
80
e ij
c!S . . .
RP
70
i"1"~
"1-
... ~ LEn
60
LEPI
50
"j
40 ,
JO
20
10
0
50 60 70 80 90 100
~.[C.Vlc'J
Fig. 2. ALEPH limit from selectron search in the selectron-neutralino mass plane. The
yellow part is forbidden by theory. (left) and from neutralino and chargino searches for
large scalar masses in the (M 2 ,p) plane. The dark blue area shows the improvement of
the limit with neutralino with respect to chargino exclusion alone (right).
4.2 Charginos
Charginos are produced in the s-channel wia" Z and in the t-channel with sneu-
trino exchange. This two diagrams interfere destructively for low scalar masses
resulting in a reduction of the cross section. The decay proceeds via a three-
body decay (W*) or a two-body decay (sneutrino-lepton for instance), leading
to final states of 4-jets, 2-jets-lepton, and 2-leptons. A map of the efficiency
and background expectation has been computed as a function of ,1M and the
leptonic branching ratio. For heavy (light) sfermions, 9 (24) candidates are ob-
served in 1999 data, while the expectation from background is 12.7 (33.9). The
chargino exclusion for large scalar masses, shown in Figure 2 reaches the kine-
matic limit. For low scalar masses, when the chargino and sneutrino are almost
mass-degenerate (a few GeV), the final state is practically invisible as the lepton
energy, from the chargino decay, is too soft, leading to a non excluded corridor
which is displayed on figure 3.
4.3 Neutralinos
In contrast to charginos, the s-channel and the t-channel (via slepton exchange),
show a constructive interference, thus an increase of the cross section for low
scalar masses. All neutralino production channels (xhg, xhh~x~ ... ) are taken
into account . Final states considered are acoplanar jets and acoplanar leptons
for low mo. For heavy (light) sfermions, 5 (78) candidates are observed, while 3.1
(87.7) are expected from background. For large scalar masses, the neutralinos
are useful in the higgsino region (lJlI > 100) for low tantJ and negative Jl as
shown in figure 2 as they exclude region above the chargino kinematic limit.
4.4 Limit on the N eutralino Mass

For large scalar masses the chargino and neutralino exclusions have been com-
bined and Figure 3 shows the limit on the neutralino mass as a function of tantJ.
The limit, given by neutralinos with xhg
production for tantJ = 1, is m x > 37
GeVfc at 95 % CL for rna > 500 GeVfc .
2 2
ALEPH PREUMINARY
"... SS
.l! ~SOOGcvlc'
> ALEPH 202
B.... SO
::E ALL:F'lt \:)\l
~S
10
40 6tJ
40
3S
10
30
1 2 3 4 5 10
tan~
Fig. 3. Limit on the neutralino mass for rna = 500 GeV/c 2 versus tan,6. The dashed
line shows the limit obtained with charginos only (left). Illustration of the interplay
among the various searches for low scalar masses with the 183 GeV data: LEP1 (1):
chargino (2): neutralino (3): slepton (4) and Higgs (5) The corridor can be observed
between the chargino exclusion in the higgsino and gaugino regions (right).
To extract the absolute limit obtained for any rna, first the chargino and
slepton searches are combined via parametrisations of efficiency and maps of
background. Then for each (rna, tantJ), for all the points not yet excluded with
a neutralino mass < 38 GeV fc 2 , neutralino events are simulated, reconstructed
and the analyses applied to determine if the point is excluded. The combined
limit is :
mx > 35 GeV fc 2 at 95 % CL for any rna and tantJ
4.5 Uncertainties on the LSP Mass Limit

A few caveats concerning the robustness of the LSP mass limit should be men-
tioned:
• The dependence of the limit on the mixing parameters, which induce an
enhancement of chargino and neutralino decays to taus, must be studied.
628 L. Serin
• Radiative corrections to chargino and neutralino masses decrease the limit

by about 1 GeV in the region where the limit is found.
• Higher order corrections to the one-loop GUT relation between M 1 and M2
introduce a variation of a few o/c on the LSP mass limit.
The typical uncertainty on the LSP mass limit is therefore about 2 GeV.
5 Higgs Constraints on the Neutralino Mass Limit

At tree level: the mass of the lightest supersymmetric Higgs: mh depends only
on rnA and tan,B: and is bounded by mz Icos2,B1. A limit on mh therefore gives
directly a limit on tan,B as soon as rnA is fixed. As the radiative corrections
to the Higgs mass introduce a dependence on the stop mass: i.e. the mixing
parameter At, the picture has to be refined. Fortunately large stop mixing: which
means an increase of the Higgs mass: induces also a small stop mass. Using the
Higgs constraints for small mixing: and the stop search for large mixing: the
exclusion obtained previously in the (M2: p) plane can be substantially improved
for low mo and tan,B. A scan over all possible values on rnA and At within the
physical ranges is performed to obtain this limit. As an illustrative example, the
improvement is shown in figure 3 at 183 GeV. To update the results for a higher
center of mass energy, the stops constraints are no longer useful and the (tan,B,
mOl M2 , p) plane is scanned with the following procedure [5] :
• It has been shown that the dependence of the limit with p is negligible, the
value has been fixed to -100 GeV/c 2 where mh is maximal.
• rnA has been fixed to 2 TeV/c 2 to maximize mho A scan over At is performed
to determine the highest value of mh in each point, which is compared to
the ALEPH Higgs mass limit on mh (107.7 GeV/c 2 ) (mt = 175 GeV/c 2 is
used).
• The Higgs mass limit, if the radiative corrections are small, can be translated
into a limit on tan,B. In the other case, this limit can be translated into a
limit on the stop mass: and therefore into a limit on M 2 (assuming mo is not
too large).
Figure 4 summarizes the exclusion obtained in the (M 2 ,tan,B) plane from the
Higgs limit. Any value of tan,B < 1.7 is excluded. When increasing tan,B up to
about 3: a lower limit on M2 is obtained for small scalar masses (typically < 200
GeV I( 2 ). The result of the combination of the Higgs constraint with the previous
limit on the neutralino mass is shown in Figure 4. Low tan,B are excluded by Higgs
constraints and supersedes the charginolneutralino limit. However this limit is
very sensitive, through the radiative corrections, to the top mass. If mt = 180
GeV/c 2 , this exclusion do not hold: but a 40 GeV Ic 2 neutralino mass is always
excluded when tan,B < 3. If furthermore mo is taken to be 2 TeV1c2 , no more
limit from Higgs can be used. Then the limit is given by the charginos exclusion
at large scalar masses in a tiny region of tan,B. Finally increasing with tan/3l the
neutralino limit is found in the corridor where charginos and neutralinos can not
help. For tanJ3 > 3, only the slepton search contributes and the absolute limit
IS :
mx > 38 GeV /c 2 at 95 % CL for any rna and tanJ3
ALEPH Preliminary ALEPH Preliminary

~ 400 .,-----"r:-,- - - < - - - - - - - - , ~~ ~ ,....--,...--_----<._-----,
"~ ~ m. • 2 T~'II/c:
~
~ Higgs 1m, < I rov/c'
<3 ~ m.. I Tev/c: 1m-. 175CeV/cf
f 300 \ - 0.5 TeV/c' ,t ~

\\ - 0.2 TeV/c'
H m. • 0 1 TeVjc J ", 1"':: f!'" ".) (k!rge m.)
\\
~ ~.
200 :. \. 45 ~-""ggs
,
\ \. . $1"plOI\.'
~",.cOtr"'"
\
\, ,
100 \\ 40 ;
\ ; .-... ~---
\ ..... ~ ...... i
'.
o+----~---..___--~ 35
4
2 5
IanP
Fig.4. Higgs constraints in the (M 2 :tan,B) plane (left): and limit on the neutralino
mass combining chargino: neutralino: slept on and Higgs contraints versus tan,B (right)
6 Conclusion
Using the large amount of data accumulated at LEP2 by ALEPH, the combi-
nation of direct searches of SUSY particles can be used to extract a lower limit
on the mass of the neutralino, as as the Lightest Supersymmetric particle. A
lower limit of 35 GeV /c 2 on the neutralino mass is obtained for any scalar mass
rna and tanJ3. Moreover, a limit of 38 GeV /c 2 is obtained including the Higgs
contraints. At the end of LEP operation, a value of at least 40 GeV /c 2 should
be reached if no signal is observed.
References
1. J. Ellis, T. Falk, G. Ganis, K. A. Olive, CERN-TH/2000-106 (2000)
2. More details on the existing and future experiments in this domain can be found
in these proceedings
3. ALEPH coll: Euro. Phys. J. Cll (1999) 193.
4. ALEPH Coll: ALEPH note for 2000 winter conference 2000: ALEPH 2000-012:
CONF 2000-009
5. ALEPH coll, ALEPH note for 2000 winter conference 2000, ALEPH 2000-019:
CONF 2000-016
J.B. De Vivie: Phd Thesis, Universite de Paris Sud Orsay, LAL-OO-ll: Apr 2000
The U.S. Large-Scale Dark Matter Axion Search
Stephen J. Asztalos 1 and Darin Kinion 2
1 Massachusetts Institute of Technology

77 Massachusetts Avenue, Cambridge, MA 02139-4307
2 Lawrence Livermore National Laboratory
7000 East Ave., Livermore, CA 94550
Abstract. We review the ongoing U.S. large-scale search for dark-matter axions. The
experiment, based on a microwave cavity technique proposed by Sikivie, inaugurates
an era where experimental sensitivities are sufficient to confirm or rule out prevailing
axion models.
1 Introduction
The axion owes its (hypothetical) existence to theoretical attempts to enforce
Strong-CP conservation within the Standard model. Whereas the QCD La-
grangian contains a term that explicitly violates CP, experimentally no such
violation is found. The Peccei-Quinn (PQ) solution to this problem [1] involves
a UPQ(l) global symmetry which is spontaneously broken at some unknown
symmetry-breaking scale fa. As the pseudo-Goldstone boson [2] associated with
this symmetry breaking, the axion acquires a mass m a given by
107 GeV
ma[eV] ~ 0.6 eV fa [GeV] (1)
As with any Goldstone boson, all axion couplings are proportional to ma. The
coupling relevant for present experiment is the two-photon coupling given by
A. E B (2)
L an -- 9"( 4rr
a<pafa Fp,v F- f.'V -- -9an'l'a .
where a is the fine structure constant, <Pa is the axion field, 9"( is a model-
dependent constant of order unity, and 9an = (a9"(/rrfa). To accommodate
the PQ symmetry the Standard model must be extended. The KSVZ model [3]
introduces a heavy quark and electroweak singlet scalar, while the DFSZ model
[4] introduces an additional Higgs doublet. The coupling strength 9"( is '" 0.97
and 9"( '" -0.36 in these models, respectively.
As theory does not predict the PQ symmetry-breaking scale, the mass of the
axion is not known. Fortunately, astrophysical and cosmological considerations
help constrain it. Accelerator-based searches and stellar evolution limits [5] based
primarily on SN1987A place an upper limit m a < 10- 2 eV. Axions created from
the vacuum misalignment mechanism [6] would have a cosmological abundance
given by
7
a Pa
fl = '" (5 JL eV) 6
(3)
Pc ma
Stephen J. Asztalos and Darin Kinion 631
where Pc is the critical density of the universe. Requiring that il a be less than
unity gives rna > 10- 6 eV, although this could change in some inflationary
scenarios [7J. Combining the two limits gives the allowed mass range, or axion
window as
(4)
2 The microwave axion detector

The half life for spontaneous axion decay is extraordinarily long ("" 1042 yrs).
Hence, a method is needed to enhance the decay rate if any hope exists for
axion detection. In 1983 Sikivie proposed a concept for axion detection based on
a microwave cavity technique [8J. In this approach, an axion decays into a single
real photon in the presence of a static background magnetic field (the Primakoff
effect). A high-Q resonant cavity tuned to the axion mass both enhances the
decay and serves as the detector for the converted photons. The energy of the
photon is equal to the rest mass of the axion, plus a small contribution from the
motion of the solar system through the galactic halo. Consequently, the photon
frequency is given by hf = m a c2 (1 + 0(10- 6 )). At the lower end of the axion
window (4), this frequency lies in the microwave regime. The expected signal
power varies with the experimental parameters as [8,9J
(5)
where B is the background magnetic field, V is the cavity volume, C is a mode
dependent form factor, Q is the loaded quality factor, f is the resonant frequency,
and Pa is the local halo axion density. Axions couple most strongly to the lowest
TM olO cavity mode (C "" 0.5), thus it is the only mode used in most searches. For
the parameters of the our experiment, the power from KSVZ axions is typically
5 x 1O- 22 W.
The Dicke radiometer equation relates the requisite integration time t neces-
sary to obtain a signal-to-noise ratio iJ for a given signal bandwidth B by
(6)
where kB is Boltzmann's constant, and T s is the system noise temperature. This

expression can be inverted to give the scan rate which scales as
(7)
3 The U.S. dark matter axion search

This section describes the operation and results from a microwave cavity axion
search currently operating at Lawrence Livermore National Laboratory. The
experiment draws heavily on the experience gained in two pilot experiments
632 The U.S. Large Scale Dark-Matter Axion Search
performed in the late 1980's, one by a collaboration of Rochester-Brookhaven-

Fermilab (RBF) [10] and a second at the University of Florida (UF) [11]. Figure
1 is a schematic of the U.S. dark-matter axion detector.
SWEEP
GENERATOR
DISK
MAGNIIT
°
SWITCH SCI11NGS:
""OataTwnl
T "" Tmwn'-ion Meuumocnt
R '" Rcflc:ctlon MeuUlelIlenI
CAVITY&:
111NING RODS
Fig. 1. A schematic of the U.S. axion search detector.
3.1 Present experiment
To date, two different cavity configurations have been employed in the experi-
ment. The region 550 - 810 MHz has been scanned using a single cavity, while
more recently a set of four identical cavities capable of covering the region 810-
2000 MHz has been used. Since the axion signal is coherent on laboratory scales
(AD ~ 10-100 m), power-combining multiple cavities allows maximal magnet
volume to be utilized as the frequency of the cavities increases.
Given that the axion mass is unknown, the cavities must be tunable. By
moving a combination of metal and dielectric rods, which run the full length of
the cavities, one changes the resonant frequency. The single cavity accommodates
two rods, while each of the four cavities accommodates one. To achieve the
required resolution in resonant frequency it is necessary to move the tuning
rods in very fine steps. The single cavity was tuned using stepper motors with a
resolution of 1.8° jstep followed by a gear reduction of 42000:1. The final step size
is approximately 600 nm, corresponding to roughly 500 Hz frequency shifts. This
mechanical system was considered too bulky for the four-cavity array, so a new
piezoelectric-based drive mechanism was implemented. The stepping resolution
with this system was better than 50 nm, corresponding to a frequency resolution
better than 100 Hz. All four cavities must have the essentially the same frequency
for optimal phase-matching.
A Roots blower pumps on a pool of helium in the cavity space, thereby
evaporatively cooling the cavities and cryogenic amplifiers to 1.5 K. The pressure
of the helium gas in the cavity is roughly 0.1 Torr. The cryogenic amplifiers used
in this search are double-balanced GaAs HFET amplifiers supplied by NRAO
[12J. The in situ measured noise temperatures range from 1.7 - 4.5 K. Cascading
two of these amplifiers achieves sufficient gain (35 dB) to render downstream
noise contributions negligible.
Before data is taken at a given frequency, a transmission measurement is
made. A fit of the transmission curve to the sum of a Lorentzian and constant
background determines the resonant frequency and Q, both of which are nec-
essary inputs to the data analysis. The double-heterodyne receiver depicted in
Figure 1 mixes a small bandwidth centered on the cavity frequency down to 35
kHz. This audio frequency signal is then sent to medium and high-resolution
spectrum analyzers. The medium-resolution search channel consists of a Stan-
ford Research Systems [13J FFT spectrum analyzer. The sampling interval of
the analyzer is 80 msec, giving a frequency resolution of 125 Hz. Maxwellian
peaks characteristic of thermalized axions in the halo [14J a few bins in width
(about 700 Hz) are then searched for in the co-added data. In the data analysis,
10.20
10·2$
N> 10-27
Gl
5:2 10""
~ 10-21
....00"
10-30
10'" 4--caVltY
l·cavlly (
IE
10'"
1 2 3 5 7 10 20
M.ijIeV)
Fig. 2. Axion couplings and masses excluded at the 90% confidence level by the U.S.
experiments. The solid lines indicate the KSVZ and DFSZ model predictions. The
arrows at the bottom indicate the coverage of different cavity configurations. The
results from the two pilot experiments are scaled to 90% c.l. and pa = Phalo.
positive fluctuations in the power spectrum are identified as candidate peaks

and rescanned. Noise generated peaks in the original data set are statistical in
nature and thus are unlikely to appear in subsequent rescans. Candidates which
survive the rescan are considered persistent, and must be processed by other
means. Those few that have survived have all been linked to external sources
by use of an antenna. Should a peak survive all of these checks, a definitive test
would be to modulate it with the magnetic field strength.
A parallel data stream to the high-resolution search channel exists to explore
the possibility of fine-structure in the axion signal [15,16]. The 35 kHz signal
passes through a third mixing stage to shift the center frequency to 5 kHz. A
PC based DSP takes a single 50 second spectrum and performs an FFT with 20
mHz frequency resolution, about the limit imposed by the Doppler shift due to
the earth's rotation. These data are searched for coincidences between different
scans, as well as coincidences with peaks in the medium resolution data.
The experiment has been operating with greater than 90% duty cycle since
February 1996. To date, no axion signal has been detected. Based on this null
result, we exclude at 90% confidence a KSVZ axion of mass between 2.5 and 3.3
J.Le V, assuming that thermalized axions comprise a major fraction of our galactic
halo (Pa = 450 MeV/ cm3 ) [17]. This exclusion region and the results from two
pilot experiments are shown in Figure 2. For more experimental and analysis
details consult Ref. [18].
In March 2000, the first data from the four-cavity array was taken. This was
a commissioning run in a region with a low form factor. With the arrival of new
HFET amplifiers, production running with the four-cavity array will commence
in the 1-2 GHz region by Fall 2000.
4 Research and development

To cover the next decade in axion mass at greater (DSFZ) sensitivities will
require radical hardware changes. To address these issues, we have embarked on
a research and development program that will permit us to both reach lower
coupling strengths while also covering frequency space in a more expeditious
manner.
From Eq. 7, one observes that the scanning rate scales as Ts- 2 , therefore, an
order of magnitude reduction in system noise temperature would allow a scan at
DFSZ sensitivity with the same rate as the present scan with KSVZ sensitivity.
This is achievable with new dc SQUID based RF amplifiers.
Predictions of rna from string models are typically 0(100 J.Le V), requiring cav-
ities with 1010 '" 25 GHz. The technique of power-combining signals from many
small cavities is only practical for frequencies up to '" 3 GHz, since the num-
ber of cavities required scales as IJlO' where 1010 is the frequency of the TM olO
mode. An alternative for reaching higher frequencies is the strategic placement
of metal posts inside a single larger cavity [19].
Work in these two areas is described in the following sections.
4.1 de SQUID amplifiers

In the past two years a group at Berkeley led by John Clarke has developed
dc SQUID amplifiers in the 100 - 3000 MHz range specifically for the axion
experiment.
The dc SQUID amplifier consists of two Josephson junctions connected in
parallel on a superconducting loop. The SQUID produces an output voltage in
response to a small input flux, and is a very sensitive flux-to-voltage transducer.
The most common configuration of a dc SQUID amplifier is shown in Figure
3 [20]. The superconducting loop is a square washer with a slit on one side.
The loop is closed via a superconducting counter-electrode connected to the

washer by two resistively-shunted Josephson junctions. Flux is coupled into the
SQUID through a microstrip input coil separated from the washer by a thin
insulating layer. A microstrip resonator is formed by the open-ended stripline
whose impedance is determined by the inductance of the input coil and its ground
plane, and the capacitance between them. Near the fundamental frequency of the
stripline, the gain of the amplifier is strongly enhanced. The resonant frequency
Coil
Junction
Fig. 3. Square-Washer dc SQUID. The signal is coupled to the innermost turn of the
coil, the outermost turn is either open-ended, shorted to the washer, or connected to
a variable reactance.
of the stripline scales as £-1; the highest frequency amplifier built thus far had
1 > 3 GHz, while frequencies up to 5-7 GHz should be achievable with the same
design. Much higher frequencies (up to "J 25 GHz) may be possible with a new
inline-SQUID design.
The bandwidth of these amplifiers have been greatly improved by varying the
resonant frequency of the stripline in situ by connecting a pair of GaAs varactor
diodes across the previously open end of the microstrip [21]. The capacitance of
the diodes is controlled by varying their reverse bias voltage. In principle, the
tuning range is 0.5 10 to 10, where 10 is the resonant frequency of the open-ended
line, as the load is varied from a short to an open circuit.
To measure the noise temperature, a single SQUID was cooled to 0.4 - 0.5 K in
a charcoal-pumped, single-shot 3He cryostat [22]. The system noise temperature
at 438 MHz was 0.50±0.07 K, of which 0.38±0.07 K was contributed by the post-
amplifier. Measurements of the noise temperature at 4.2 K with and without the
varactors revealed no discernible difference.
At 500 mK, the noise temperatures are already within a factor of four of
the quantum limit ("J 35 mK). Demonstrating a quantum limited amplifier will
require a much quieter postamplifier. Toward this end, a second SQUID has been
used as a post-amplifier to the input SQUID. Noise temperatures below 100 mK
have been measured using cascaded SQUIDs cooled by a dilution refrigerator.
The maximum power gain at 386 MHz was 33.5 ± 1 dB. Work is continuing to
demonstrate quantum-limited noise performance.
4.2 Higher frequency cavities

One possibility for high frequency cavities with a reasonable volume is the peri-
odic placement of metal posts inside a cavity. Figure 4 shows a triangular lattice
of 19 posts inside a circular cavity. With rlR = 0.1, this arrangement raises the
TM olO frequency by a factor of 5 compared to the empty cavity value. The form
factor is ~ 0.5, a reasonable value for a cavity axion detector. It is important to
note that the usable volume in this configuration is greater than that of a single
empty cavity with the same resonant frequency.
f /•••
I ( ••••
...
2R •••••
I \ ••••
~
Fig. 4. A triangular lattice of 19 posts inside a single circular cavity.
A prototype cavity with 72 posts has been constructed. The posts are ar-
ranged as two intertwined square lattices of 36 posts each. One of the lattices is
fixed, and the other can be moved as a group. The cavity is tuned by changing
the offset of the two lattices. Figure 5 shows the lowest three TM modes for the
prototype cavity. More study is required to determine if this is a feasible method
7.80 7.82 7.84 7.86 7.88 7.90 7.92 7.94

Frequency (GHz)
Fig. 5. The lowest three TM modes of the prototype multi-post cavity.
to explore higher frequencies. Resolving these issues could extend the mass range
of microwave cavity axion searches by another decade.
5 Conclusions
The axion is a well-motivated dark-matter candidate, enjoying both a bounded
parameter space as well as experiments capable of definitively searching a large
portion of that region. Quantum-limited SQUID amplifiers will give our mi-
crowave cavity axion detector sensitivity to the most feebly coupled axion mod-
els, while new high frequency cavity designs may extend the mass coverage by
at least another decade.
Acknowledgements
This experiment is a joint collaboration of MIT, LLNL, Univ. of Florida, LBNL,
UCB, Univ. of Chicago, and FNAL. The research of the authors is supported by
the U.S. Department of Energy under Contracts No. W-7405-ENG-048 and No.
DE-FC02-94ER40818, and under the National Science Foundation Grant No.
PHY-9501959.
References
1. R. Peccei and H. Quinn, Phys. Rev. Lett. 38, 1440 (1977).
2. S. Weinberg, Phys. Rev. Lett. 40, 223 (1978); F. Wilczek, ibid. 279 (1978).
3. J.E. Kim, Phys. Rev. Lett. 43, 103 (1979); M.A. Shifman, A.1. Vainshtein, and V.1.
Zakharov, Nucl. Phys. 166, 493 (1980).
4. M. Dine, W. Fischler, and M. Srednicki, Phys. Lett. 104, 199 (1981); A.R. Zhit-
nitsky, Sov. J. Nucl. Phys. 31, 260 (1980).
5. G.G. Raffelt, Stars as Laboratories for Fundamental Physics, University of Chicago
Press, Chicago (1996).
6. J. Preskill, M. Wise, and F. Wilczek, Phys. Lett. 120, 127 (1983); L. Abbott and
P. Sikivie ibid., 133; M. Dine and W. Fischler, ibid., 137; M.S. Turner, Phys. Rev.
D 33, 889 (1986).
7. A.D. Linde, Phys. Lett. B 201, 437 (1988).
8. P. Sikivie, Phys. Rev. Lett. 51, 1415 (1983).
9. L. Krauss et al., Phys. Rev. Lett. 55, 1797 (1985).
10. S. DePanfilis et al., Phys. Rev. Lett. 59, 839 (1987), W. Wuensch et al., Phys. Rev.
D 32, 2988 (1980).
11. C. Hagmann et al., Phys. Rev. D 42, 1297 (1980).
12. E. Daw and R.F. Bradley, J. Appl. Phys. 82, 1925 (1997).
13. Stanford Research Systems,1290-D Reamwood Ave., Sunnyvale, CA 94089.
14. M.S. Turner, Phys. Rev. D 42, 3572 (1990).
15. P. Sikivie and J. Ipser, Phys. Lett. B 291, 288 (1992).
16. P. Sikivie et al., Phys. Rev. Lett. 15, 2911 (1995).
17. C. Hagmann et al., Phys. Rev. Lett. 80, 2043 (1998).
18. H. Peng et al., Nucl. Instrum. Methods A 444, 569 (2000).
19. C. Hagmann et al., Rev. Sci. Instr. 61, 1076 (1990).
20. M. Muck, M.-O. Andre, J. Clarke, J. Gail, and C. Heiden., Appl. Phys. Lett. 12,
2885 (1998).
21. M. Muck, M.-O. Andre, J. Clarke, J. Gail, and C. Heiden., Appl. Phys. Lett. 15,
3545 (1999).
22. M. Miick, M.-O. Andre, J. Clarke, J. Gail, and C. Heiden., Appl. Phys. Lett. 15,
698 (1999).
The Rydberg-Atom-Cavity Axion Search
K. Yamamoto l , M. Tada2 , Y. Kishimot0 2 , M. Shibata2 , K. Kominat0 2 , T.

Ooishi 2 , S. Yamada3 , T. Saida2 , H. Funahashi 3 , A. Masaike 4 , and S. Matsuki 2
1 Department of Nuclear Engineering, Kyoto University, Kyoto 606-8501, Japan

2 Nuclear Science Division, Institute for Chemical Research, Kyoto University,
Uji, Kyoto 611-0011, Japan
3 Department of Physics, Kyoto University, Kyoto 606-8501, Japan
4 Faculty of Engineering, Fukui University of Technology, Fukui 910-8505, Japan
Abstract. We report on the present progress in development of the dark matter axion
search experiment with Rydberg-atom-cavity detectors in Kyoto, CARRACK I and
CARRACK II. The axion search has been performed with CARRACK I in the 8 %
mass range around lO/LeV, and CARRACK II is now ready for the search in the wide
range 2/LeV - 50/LeV. We have also developed quantum theoretical calculations on the
axion-photon-atom system in the resonant cavity in order to estimate precisely the
detection sensitivity for the axion signal. Some essential features on the axion-photon-
atom interaction are clarified, which provide the optimum experimental setup for the
axion search.
1 Introduction
The axion [1] in the mass range rna = IJ.Le V - ImeV is one of the most promising
candidates for the non-baryonic dark matter in the universe [2]. The search for
dark matter axions is, however, a quite difficult task due to their extremely
weak interactions with ordinary matter. The basic idea for dark matter axion
search is to convert axions into microwave photons in a resonant cavity under
a strong magnetic field via Primakoff process, as originally proposed by Sikivie
[3]. Pioneering experiments were made before with amplification-heterodyne-
method [4]. Recently, some results of an advanced experiment by the US group
have been reported, excluding the KSVZ axion with mass 2.9J.LeV - 3.3J.LeV as
the dark matter in the halo of our galaxy [5].
We have proposed a quite efficient scheme for dark matter axion search, where
Rydberg atoms are utilized to detect the axion-converted photons [6]. Then,
based on this scheme we have developed ultra-sensitive Rydberg-atom-cavity
detectors, CARRACK I and II (Cosmic Axion Research with Rydberg Atoms in
resonant Cavities in Kyoto) [7]. We here report on the present progress in devel-
opment of the dark matter axion search experiment with Rydberg-atom-cavity
detectors. The axion search in the mass range 2350MHz - 2550MHz, about 8
% around IO/LeV, has been performed with the prototype detector CARRACK
1. Then, based on the performance of CARRACK I, the new large-scale appa-
ratus CARRACK II is now ready for the axion search in the wide mass range
2J.LeV - 50/LeV.
K. Yamamoto et al. 639
2 Rydberg-Atom-Cavity Detector
The principle of the present experimental method is schematically shown as
follows.
conve~sion] detec.tion]
[ cavity [ cavity
Eo d - Ie) --t selective field ionization

( axions ) {::=} ( photons ) {::=} ( atoms) t
gan [)N -Ig)
t laser excitation
ground state (Rb)
The dark matter axions are converted into photons under a strong magnetic
field Eo in the conversion cavity through the axion-photon-photon coupling gaY'I.
These axion-converted photons are transferred to the detection cavity, and in-
teract with Rydberg atoms passed through the cavity due to the electric dipole
transition d providing the collective atom-photon coupling [)N. The Rydberg
atoms are initially prepared to the lower state Ig). Then, the atoms excited to
the upper state Ie) by absorbing the axion-converted photons are detected quite
efficiently with the selective field ionization method [8,9] after exiting the cavity.
The background noise in this method is predominantly brought by the thermal
photons in the cavity which can also excite the Rydberg atoms. It can be reduced
substantially by cooling the whole apparatus down to about lOmK, attaining a
significant signal-to-noise ratio. Therefore, the Rydberg-atom-cavity detector,
which is free from the amplifier noise by itself, is expected to be quite sensitive
for the dark matter axion search.
The layout of the actual apparatus, CARRACK II, is shown in Fig. 1. It
mainly consists of 6 parts; superconducting magnets, coupled cavities (conver-
sion and detection), dilution refrigerator, atomic beam system, laser excitation
system and selective field ionization (sfi) system.
The magnet system consists of 2 superconducting solenoid coils. One is the
main coil which can produce the magnetic flux density of 7 T at the center.
The other is the cancellation coil which is set at the lower side of the main
coil to reduce the magnetic field in the region of the detection cavity to less
than 900 Gauss (the critical magnetic flux density of superconducting niobium
is 1200 Gauss).
The conversion cavity is made of oxygen-free high-conductivity copper. The
detection cavity and the sfi housing are made of niobium to prevent the pen-
etration of the magnetic field into the inside of these area. This is to avoid
complicated level splitting and shift due to Zeeman effect to the atoms. The
cavity mode is the cylindrical TMolO mode and the cavity resonant frequency
is tuned over 25 % by the metal and aluminum-oxide posts [10]. The transition
frequency of the Rydberg atom should approximately coincide with the resonant
frequency of the cavity. It is tuned roughly by choosing a state with appropriate
640 The Rydberg-Atom-Cavity Axion Search
liquid hell
dilution refrigerator
~U::It--H-C]!
main magnet
conversion cavity
metal
or
dielectric
posts
field
ionization
electrode
Stark electrodes
detection cavity
fluorescence
channeltron electron multiplier detector
Fig. 1. The layout of CARRACK II.
principal quantum number n, and finely by applying an electric field with Stark
electrodes in the detection cavity. The atoms in the 81/2 and P1/2 states are
Stark shifted as -noE 2 /2 with a certain constant no and the applied electric
field E. We have measured the scaler polarizability no of the relevant levels for a
wide range of n (60 to 150) and hence obtained detailed systematic information
on this tuning.
The dilution refrigerator (Oxford Kelvinox 300) is used to cool the cavity
system down to the low enough temperature Tc '" lOmK.
We use two kind of atomic beam source systems. One consists of an ion source
and a charge exchange cell; atoms are ionized once and after accelerated, they
are neutralized in the charge exchange cell to get higher-velocity atomic beam
with kinetic energy lOeV -lOOeV. In the other system, a thermal atomic oven is
used to get lower-velocity atomic beam with 350ms- 1 - 450ms- 1 . As discussed
later, the atomic velocity should be changed roughly proportional to the axion
mass in order to attain the optimal sensitivity. Hence, with these two systems a
wide range of the atomic beam velocity can be covered to meet the need from
the experimental situation.
The Rydberg states are produced with 2-step laser system. At the first step,
atoms are excited from the ground state to 5P3/2 state by a diode laser with
wavelength 780.24 nm, and then to nSl/2 state (n ,...., 110) by a ring dye laser.
The wavelength of the ring dye laser is varied from 479.13 nm to 479.65 nm
depending on the axion mass. The ring dye laser is pumped by a Kripton ion
laser. The transition from the nSl/2 state to the np1/2 or np3/2 state is used to
absorb the axion-converted photons.
The atoms excited to the upper state by absorbing microwave photons are
selectively ionized by applying a pulsed electric field. By taking an appropriate
slew rate of the pulsed electric field, the difference of the ionization field values
between the upper and lower atomic states becomes large enough. This enables
us to ionize selectively the upper state with quite good efficiency [9].
3 Sensitivity for the Dark Matter Axions

The Rydberg-atom-cavity detector is an ultra-sensitive single-photon counter. In
the theoretical point of view, it is treated as a quantum system of interacting os-
cillators with dissipation which represent appropriately the axions, photons and
atoms in the cavity. We have developed quantum theoretical calculations on the
axion-photon-atom system in the resonant cavity in order to estimate precisely
the detection sensitivity for dark matter axions [6]. These calculations are made
by taking into account appropriately the actual experimental situations such as
the motion and uniform distribution of Rydberg atoms in the incident beam as
well as the spatial variation of the electric field in the cavity. We here recapit-
ulate the essential results, and show how the relevant experimental parameters
should be adjusted to attain the optimal sensitivity.
The characteristic properties of axions, photons and atoms are listed as
axions:
m a ,...., 1O- 5 eV = 2.4GHz, Pa ,...., Phalo = O.3GeV I cm 3 , 13a ,...., 10- 3 ,
Aa ::: (21rnl13ama) ,...., 100m, fia ::: A~ (Palma) ,...., 1026 ,
"fa ,...., 13~maln ,...., lO- 11 eV In,
photons:
fie = (eliwc/kBTc _1)-1 ,. . , 10- 5 , Te ,...., lOmK,
"fe == "f = welQ ,...., lO- lO eV In,
atoms:
fib = 0 (initially in the lower state), "fb""" 1O- 13 eV/n (Tb""" 1O- 3 s).
The relevant experimental parameters are also given as
magnetic flux: B o ,..., 7T, quality factor: Q ,..., 3 X 104 ,

single atom-photon coupling: n ,. ., 5 x 103 s- 1 ,
atomic velocity: v ,..., 350ms- 1 , atomic passing distance: L ,..., 0.2m,
atomic beam intensity: I Ryd = N(vjL),..., 105 s- 1 ,
number of atoms: N ,..., 102 ,
scanning frequency step: Llwc ,..., f3;m a jh ,..., 5kHz.
These parameter values are optimum for the dark matter axion search as shown
below.
In order to estimate the sensitivity for the dark matter axions, we need
to calculate the counting rates of the excited atoms per unit time at the exit of
cavity which are due to the axion-converted photons and the thermal background
photons, respectively. (See Ref. [6] for the details.) The signal and noise rates
are calculated in terms of the atomic velocity v and the densities of the atoms
in the upper state at the exit of cavity p~aJ(L) and p~l'l(L):
(1)
The resonant absorption of the microwave photons by the Rydberg atoms is

determined by the atomic damping rate as well as the atomic transition frequency
fine-tuned with Stark effect. It should be noted that the effective atomic damping
rate may be larger than the original one 'Yb due to the collective atom-photon
coupling nN and the finite atomic transit time ttr, which are given by
nN = /Nn, (2)
ttr = Ljv. (3)
The effective atomic width is roughly estimated as
(4)
In the weak region of atomic beam intensity IRyd providing small enough nN ,
the signal and noise rates increase with IRyd <X N <X n'Jv.
Then, for certain beam
intensity I Ryd = IRYd, where the condition
(5)
is satisfied with
(6)
the signal rate is maximized to be Rs , and the noise rate almost reaches the
asymptotic value Rn . These counting rates in the optimum case are roughly
estimated as
Rs ,..., (vjL)bha)("-h)2 na , (7)

Rn ,..., (vj L)n c , (8)
which are proportional to the number ofaxions and the number of thermal
photons, respectively. The effective axion-photon coupling in the resonant cavity
under the strong magnetic field is calculated from the original ga-y-y coupling [6]
as
/'i, = 4 x 1O-26 eV1i- 1 (ga-y-y/1.4 x 1O-15GeV- I ) (GBo/4T)

x (,Bama/l0-3 x 1O-5 eV)3/2 {VI/5000cm3)1/2, (9)
where VI and G are the volume and form factor of the cavity system, respectively.
In Fig. 2, we show the theoretical estimates of the signal rate R s (solid) and
noise rate R n (dashed). The signal and noise rates really exhibit the character-
Tc=200mK (R n)
10- 2 ~-'-'-..........L""""",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"""""olo&IL.,.......................... 1 02
103 105 Wi""
I Ryd (s-l)
Fig. 2. The theoretical estimates of the signal and noise rates are shown. The experi-
mental data of the thermal photon noise are also presented for comparison.
istic behaviors with respect to the atomic beam intensity as mentioned above.
The preliminary experimental data of the thermal photon noise (dots with error
bars) are also presented for comparison. The theoretical estimates are indeed in
good agreement with the experimental data being proportional to the number
of thermal photons fic(wclTc). This indicates that the thermal photon noise pro-
vides an efficiency calibration for the Rydberg-atom-cavity detector. Specifically,
the optimum beam intensity for the dark matter axion search can be determined
rather accurately by detecting the thermal photon noise. The signal rate is in
fact maximized where the noise rate turns to be saturated.
The sensitivity for the axion search at ma level is estimated with the signal
and noise rates R s ,...., Rs and Rn ,...., Rn . The one-step measurement time and the
total scanning time over a 10 % frequency range are calculated respectively by
(10)
(11)
We have estimates at 30- level for the DFSZ axion with mass around lOJ..LeV,
ilt '" 100s, ttot '" 100days,
by taking the relevant experimental parameter values as listed so far. The sen-
sitivity is of course much better for the KSVZ axion.
4 Status and Prospect
We have made so far extensive research and development in the dark matter
axion search with Rydberg-atom-cavity detector.
In the theoretical part, we have developed the quantum theoretical formu-
lations and calculations for the axion-photon-atom interaction in the resonant
cavity. They provide the precise estimate of the sensitivity for the dark matter
axions, specifying the optimum setup for the relevant experimental parameters
such as the atomic beam velocity and intensity. Then, by using these calculations
we can determine the bound on the axion-photon-photon coupling gan from the
experimental data.
Experimentally, we have searched for the dark matter axions in the mass
range 2350MHz - 2550MHz around l0J..LeV with the prototype detector CAR-
RACK I. The experimental parameters are taken as Tc = 12mK - 15mK,
ilw c = 10kHz, Q = 4 X 104 , ilt = 300s, IRyd = 5 X 105 s- 1 , V = 350ms- 1 .
The theoretical calculations indicate that the sensitivity with these parameter
values exceeds the limit of KSVZ axion, g~"Y"Y < 1.4 x 1O- 29 GeV- 2 . The ac-
tuallimit will be placed soon after making some more detailed calculations and
checks.
We have also made various developments for the detection apparatus; • sig-
nificant improvement in the selective field ionization with pulsed electric field,
• keeping the good performance of apparatus in a long-term run at the very
low temperature '" 10mK, • sufficient cancellation of magnetic field in the de-
tection cavity made of niobium, • precise tuning of the resonant frequencies
of the coupled cavities and the atomic transition frequency with Stark shift, •
improvement of the atomic beam source providing better quality beam, and so
on.
Now, we are ready for the search in the wide range 2J..LeV - 50J..LeV with the
large-scale apparatus CARRACK II. We will reach in a few years the DFSZ limit
throughout this axion mass range.
Acknowledgments
This research was partly supported by a Grant-in-Aid for Specially Promoted

Research by the Ministry of Education, Science, Sports and Culture, Japan under
the program No. 09102010.
References
1. R. D. Peccei and H. R. Quinn, Phys. Rev. Lett. 38, 1440 (1977)
S. Weinberg, Phys. Rev. Lett. 40, 223 (1978)
F. Wilczek, Phys. Rev. Lett. 40, 279 (1978)
J.-E. Kim, Phys. Rev. Lett. 43, 103 (1979)
M. A. Shifman, A. 1. Vainshtein and V. 1. Zakharov, Nucl. Phys. B 166, 493 (1980)
A. R. Zhitnitsky, Sov. J. Nucl. Phys. 31, 260 (1980)
M. Dine, W. Fischler and M. Srednicki, Phys. Lett. B 104 (1981) 199.
2. E. Kolb and M. Thrner, The Early Universe (Addison-Wesley, 1990)
P. F. Smith and L. D. Lewin, Phys. Rep. 187, 203 (1990)
G. Raffelt, Phys. Rep. 198, 1 (1990)
3. P. Sikivie, Phys. Rev. Lett. 51, 1415 (1983)
L. Krauss, et al., Phys. Rev. Lett. 55, 1797 (1985)
4. S. de Panfillis, et al., Phys. Rev. Lett. 59, 839 (1987)
W. U. Wuensch, et al., Phys. Rev. D 40, 3153 (1989)
C. Hagmann, et al., Phys. Rev. D 42, 1297 (1990)
5. C. Hagmann, et al., Phys. Rev. Lett. 80, 2043 (1998)
6. 1. Ogawa, S. Matsuki and K. Yamamoto, Phys. Rev. D 53, R1740 (1996)
K. Yamamoto and S. Matsuki, Nucl. Phys. (Proc. Suppl.) B 72, 132 (1999)
A. Kitagawa, K. Yamamoto and S. Matsuki, arXiv.org e-Print archive,
hep-ph/9908445 (1999)
7. M. Tada, et al., Nucl. Phys. (Proc. Suppl.) B 72, 164 (1999)
8. T. M. Gallagher, Rydberg Atoms (Cambridge University Press, 1994)
9. M. Tada, et al., arXiv.org e-Print archive, physics/0010071 (2000)
10. C. Hagmann, et al., Rev. Sci. Instr. 61, 1076 (1990)
11. S. Haroche and J. M. Raimond, Advances in Atomic and Molecular Physics 20,
347 (Academic, 1985)
12. W. H. Louisell, Quantum Statistical Properties of Radiation (Wiley, 1990)
Part VII
Indirect Dark Matter Searches

Indirect Method of Cold Dark Matter Search
Olga Suvorova1,2
1 Institute for Nuclear Research, Russian Academy of Sciences,

60th October Anniversary Av. 7a, Moscow, 117312, Russia
2 CEA/Saclay, Batiment 141, F-91191 Gif-sur-Yvette Cedex, France
Abstract. I discuss here the status of tools for the indirect methods of looking for a
hypothetical neutralino signal using Neutrino Telescopes.
1 Introduction
Expections of signals from hypothetical relic particles of dark matter (DM),

at operating neutrino telescopes (NT) [4,5,7,10,11,13] and those in prepara-
tion [15,17], are obtained from cosmology and gravity [1] based on the con-
strained matter density in the Universe, flmatter = 0.35 ± 0.07 [3] at the scale
of the critical density. There are updated results on the spectrum of cosmic mi-
crowave background fluctuations [18]), nucleosynthesis and the inflation scenario
after the Big Bang [1]' that lead us to accept the hypothesis of hidden mass in
the Universe. It is assumed
- to be distributed approximately as a spherical halo; and
- the dominant component of the matter in the Universe is non-baryonic and
likely to be composed of thermal generation relics; and
- it is probably dominated by very-non-relativistic (cold) particles able to
provide the missing matter density of 0.2 < flCDM < 0.5 [2] via their mass in
the GeV-TeV range and weak scale interactions.
So far, the NT have used the opportunity to look for neutrino yields from the
relics, weak interacting massive particles of the cold dark matter (CDM WIMPs)
in the direction of its likely gravitational accumulators. The most accessible sites
to test are the core of the Earth and the Sun and also the center of the Galaxy
as the strongest gravitational field object. Presently there are no significant ex-
cesses of measured upgoing muon events produced by neutrinos in these selected
directions. The upper limits on muon fluxes at 90% confidence level (c.l.) have
been derived from measurements at all of the NT over the world, covering more
than twenty years of observations, e.g., 1MB [8], Kamiokande [9], Baksan [6,5],
MACRO [7], Baikal [12], AMANDA [14]' SuperKamiokande [10].
The new generation of neutrino detectors in preparation will be deployed
principally deep under water over km 2 [15] or km 3 ·size deep under ice [13] and
will offer better sensitivity for neutrino signals from WIMPs [47].
650 Olga Suvorova
2 Techniques and limits in upward-going muon studies

for X - X annihilations
For the energy range above a GeV the analysis at the modern NT is based
on angular and timing information on upward throughgoing muons, without
measurement of the energy spectra of the events. So discrimination of nonat-
mospheric neutrinos from atmospheric ones is based on out on zenith angular
distributions. The angular resolution dominates the sensitivity for these studies,
together with the detector acceptance for different neutrino fluxes.
A summary of the results from measurements of upward-going muons at
operating NT is given in Table 1.
Table 1. Neutrino Telescopes: phisical conditions and total number of measured versus
expected number of upward going muons
Data
The NT Depth I-tdown - Kth Sizes L.T. Data Me Ghi-sq
collab. m.w.e Flux (GeV) ±17% per
2
( 1/(m y)) theor. d. of
Baksan 850 3.0.106 1 17x17xllm 3 15.7y 801 0.85 20/9

MACRO 3700 2.5.10 3
1 12x77x9m 3
4.8y 723 0.73 27/9
SuperK 2700 2.4 . 10 4
1.6 ~ 1200m 2
1138d 1259 0.84 22.6/9
5
Baikal 1200 5.0.10 10 ~ 1000m 2
238d 12 1.08
AMANDA 2500 4.0.10 4 25 ~ 1000m 2
l40d 195 0.83
A combined analysis of these neutrino oscillation fits [19] provides informa-

tion on the oscillation properties of high energy neutrinos. Table 1 lists back-
ground conditions for each NT (depth, downgoing muon flux and energy thresh-
olds for upgoing muons), dimensions and live time observations. The ratios of
the number of upgoing neutrino events observed to the number expected from
Monte Carlo (MC) simulations of atmospheric neutrino interactions in the ab-
sence of oscillations are also listed, demonstrating the deficit in the number of
events observed. The chi-squared per degrees of freedom for the zenith-angle
distributions are also presented in this table; they show the small probability of
an atmospheric v model without oscillations. According to the recently updated
analysis of upgoing events at SuperKamiokande [10] and at MACRO [7], the
best angular fit is obtained for oscillations v/,-vT with parameters 8m 2 = 0.0025
and sin 2 20=1.0. Notice, however, that the uncertainty on the flux normalization
(about 17%) is larger than that from statistics and systematical errors. The lat-
ter are about 5% [4]' 5% [7] and 2% [10]. The problem is being studied seriously
now [23,24] to understand sources of uncertainty in a I-dimensional model of
atmospheric cascades from point interactions of the original cosmic rays with air
nuclei, in the calculation schemes of DIS parton distribution functions (pdf) for
Indirect method of Cold Dark Matter search 651
v-nucleon cross sections. In recent years, the NT collaborations have preferred

to use the Bartol atmospheric v flux [20], the GRV pdf [22] and muon energy
losses in the rock from [21] for their MC simulations. A first step has been made
toward 3-dimensional MC simulations [25]. In the reconstruction code for events
at the different NT, there is specific code to model hardware and software cuts
to select the neutrino candidats according to the type of NT. Remember that the
Baksan and the MACRO are based on scintillator technology and time-of-flight
methods to extract upgoing events, while the other NT measure Cherenkov light
emission from relativistic particles passing through the medium.
The flux of nonatmospheric neutrinos with energies up to a TeV could be
affected by oscillation processes, complicating the task of differentiating the flux
of neutrino events expected from WIMPs sources from the flux expected from the
atmospheric neutrino background. The expected oscillation effect is evaluated in
detail in ref. [26], [27], [28] for a scenario taking the neutralino as the best DM
candidat and using the oscillation parameters described above. According to
[30] absorption of neutrinos inside the Sun with energy above 200 GeV becomes
important, so the neutrino spectrum modifies passing through the solar medium.
The effect of neutrino oscillations inside the Sun could be taking into account
like in [27], where the attenuation of the neutrino beam was calculated first and
then effects due to flavor mixing.
The lightest of the four neutralinos is the lightest SUSY particle (LSP) in
the framework of the Minimal Supersymmetric Standard Model (MSSM) [33]
(the most promising extension of the SM), with the assumption of Rand CP
conservation. In the absence of direct production of sparticles at the large accel-
erator and collider experiments, all squark and slepton masses can be expected
to be above 600 GeV, and the mass of the LSP is around half of the gauge boson
mass[38]. The upper limit on the LSP mass is assumed to be in the TeV region,
as suggested by the expected abundance of cosmological relics. The predicted
neutrino fluxes from the decay of neutralino annihilation products spread over
a few orders magnitude depending on the neutralino model. This was shown by
different theoretical SUSY groups[32,46,47,49] which used the absence of an ex-
cess in the number of upgoing muons observed to exclude some of these models.
However, these studies were performed without considering neutrino oscillations
in the neutrino yield from neutralinos, the only one is in [48,32]. The scheme
should incorporate two opposing processes: the reduction in the number of ob-
served muonic neutrinos due to vJL-v r oscillations, and the generation of both
neutrino flavors (but with different probabilities) in the 7+7- channel of neu-
tralino (X - X) annihilations. For neutralino models with heavier LSP masses,
where annihilation into the channel W±H± would be open kinematically, there
would be an additional source of V r from charged Higgs in the direct decay
7 - V r . In the MSSM framework this decay might be dominant for H± under the
conditions that the MSSM parameter tanf3 > 3 and the H±-mass is less than
the W± mass[34]). Other possibilities are considered in[37]; the compensation of
muonic neutrinos might be larger than estimations in [26,27], depending on the
neutrino oscillation properties.
652 Olga Suvorova
In general, the expected number of upward-going muons is defined by a

neutrino flux (dNv)dEv ) from a source at distance (R) and by a probability
(Pj(E v )) that the j-th type neutrino with primary energy E v will produce a
muon which arrives at the detector with energy E v higher than the threshold
E th . For a remote moving source of neutrinos (such as the Sun) the detector rate
depends also on the ability to track the position of the source in the sky. The
value P(Ev ) is proportional to square of E v , because the vJLN cross section and
the muon path length (range) both increase approximately linearly with the neu-
trino energy. The spectrum of atmospheric vJL-background is a decreasing E-3
function of v-energy. Hence, for more energetic muons it is more advantageous
to look for a DM signal in the direction of the expected sources.
The v-flux generated from neutralino annihilations is characterized by differ-
ent hardness of energy spectrum due to the branching ratios (B i ) into different
annihilation channels:
dNv-J _ FA B dN~J l:
dE v - 47rR2 _ i dE v '
t
Here dN~/dEv
J
is the differential spectrum of the j-th neutrino at the surface of
the the Sun or the Earth produced in annihilations into the i-th channels. While
the branching ratios are calculated accordinaly to the theory of annihilation
cross sections [44]' the annihilation rate (FA) is evaluted from the capture rate
and is a function of both the neutralino composition and a few astrophysical and
nuclear values which are known with large uncertanties [32,36,31J. A neutrino
model corresponds to a choice of the MSSM free parameters and the scale of
universality for scalar and gauge masses, since neutralinos are a mixture of the
partners of the electrically neutral gauge bosons Band W3 (gaugino states) and
two Higgs bosons (higgsino states).
Fig.1 shows the response of the Baksan underground scintillator telescope
on Monte Carlo simulated neutralino annihilations inside the Earth's core and
the Sun for different neutralino models. The distributions reflect the discreteness
in the installation construction. Nevertheless it is seen that expected signal is
strictly collimated and a larger neutralino mass gives a more narrow shape to the
distribution since the muon scattering angle decreases with increasing neutrino
energy.
The strategy for the neutralino analysis at the NT includes the optimisation
of the ratio signal/background by means of evaluation of the expected cone where
at least 90% of the neutrino signal from the decay processes from neutralino an-
nihilations is collected. The optimization implies insertion into the MC generator
of the neutrino spectra from the neutralino annihilations, the neutralino spatial
distribution inside the source [42J (in the case the Earth) and the trajectory in
the sky (in the case of the Sun).
The probability of detecting muons induced by neutrinos from (X - X) anni-
hilations inside the Sun or the Earth could be determinated as
pann
JL
= N rec
N
gen
~
L.J
j
1
EthErno.z
pCC(E E ) dNVj
Vj v, th dE .
v
00. O. 5 =-,....,...,...,..,...,..,...,.....,.......,....,...,..r-r-r-=
"0
"-
Z
Su
"0 o. o.
.=32.6 Ge
30 40 0 40
a
~ 0.3 Earl 0.3 Sun
z
" 0.2
m,=210 GeV ,=210 GeV
O. 0.1
40
~ 0.6 0.6
"- Ear Sun
z
" 0.4 m, 357 GeV 0.4 ,
m- 57 GeV
0.2 0.2
0
a a 20 .30 40
o (degree)
Fig. 1. Zenith-angular distributions of MC simulated upward-going muons from X - X

annihilations. Parameter set: tan{3 = 8, gaugino part is 0.5, pseudo-scalar Higgs mass
mA=121 GeV,/L > O.
Here dN~./dEv
J
is the neutrino spectrum defined above, Pf-C(Ev,E
J
th ) is the
probability for muon production with energy higher than the threshold for de-
tection in the charge current interaction, E max is the neutralino energy, and NNr"
gen
is the ratio of reconstructed and generated MC events. The angular signature for
neutralino models has been investigated by the Kamiokande, Baksan, MACRO,
SuperKamiokande and AMANDA collaborations. From the combined analysis
the maximum for the half angle of the cone is less than 25° in the direction
of the Earth's core, and 16° toward the Sun. With the LEP bound [38] on the
neutralino mass, these angular window limits decrease by at least 5°.
In the absence of the excess of upgoing muons in the directions near the
Earth core and near the Sun, there are obtained upper limits, which differe less
than a factor 2 in a respective half-cones (see Table 2) at 1 GeV threshold detec-
tors. The results from Baksan [4] were not updated for neutralino flux limits [5],
the upper limits from the MACRO [7] and the SuperKamiokande [10] were ob-
654 Olga Suvorova
Table 2. Neutrino Telescopes with 1 GeV threshold: data versus MC measurements

in the vertical direction and inside 30° half-cone angle toward the Sun. The 90% c.l.
upper limits on upward-going muon fluxes for XX annihilations in the Earth and the
Sun in cm- 2 s- 1 for half-cones 20° and 15° respectively
The NT Vertical cone [-1 < cose < -0.9] TowardtheSun

collab. Data MG 4>:arth(upper) Data MG 4>~un (upper)
Baksan 85 107.5 2.1.10- 14 34 36.7 2.2. 10- 14

MACRO 98 166.8 1.3. 10- 14 90 79.0 2.5. 10- 14
SuperK ~ 70 ~90 0.9.10- 14 ~1l0 ~155 1.5 . 10- 14
tained taking into account oscillations 1IJ.L-lIr with parameters 8m 2 = 0.0025 and
2
sin 2B=1.0.. Upper limits at the NT with larger thresholds, the Baikal [11]
and the AMANDA [14], corresponds to larger neutralino mass in the same
cone collecting the signal (detailed study see in [46]) and have less background
from atmospheric neutrino. The expected upgoing muon flux induced by at-
mospheric neutrinos in a vertical cone (-1.0 < Cos(8) < -0.9) is at level
(1.96 - 2.20) . 1O-13cm-2s-1sr-1 for Eth = 1GeV and is 1.6 times less for
E th = lOGeV. Upper limits of excess muons from Galactic center is shown
in [38] and it is seen that the level of sensitivity at the operating NT is about
0.5 . 1O- 14 cm- 2 S-1 with factor 2 for angular window 10°. Notice that the fi-
nal statistical analysis uses a classical Poisson treatment for small signals [50],
whereas, in light of the measured deficit (see Table 2, measurements versus ex-
pectations inside a vertical cone), alternative methods[50] probably should be
used.
3 Tools for SUSY model analysis
The hidden mass hypothesis was first proposed at least 70 years ago. A natural
candidate has appeared much more recently in physics models such as SUSY
which go beyond the Standard Model (SM) [53]. The best DM candidat could
be a non-baryonic particle heavier than the t-quark. The SM has been very
successful in describing a huge amount of experimental data, so the ideas of the
generation of masses through the Higgs mechanism and spontaneous symmetry
breaking have been confirmed. The case of a Higgs boson mass lighter than a
TeV allows an extension of the SM by new particles and not by a new interaction
in this region. The supersymmetric (SUSY) extension of the SM, which predicts
a Higgs mass less than 130 GeV, received a lot of attention recently because of
the accumulating indirect evidence of a 115 GeV Higgs mass from LEP [38]. The
outstanding importance of the Higgs boson mass has been widely discussed [54].
As this hypothetical particle is responsible for the Yukawa interaction, it, in fact,
determines the lower limits on the mass spectrum of the sparticles. As it was
studyed in[31] the consequences from a 115 GeV Higgs mass could be the lower
limit on the lightest neutralino mass m X > 95GeV and decreasing the maximum
elastic scattering cross section down to about 1O-5 pb in spin-dependent case
and about 1O-8 pb in spin-dependent case. For the indirect searching for a signal
these neutralino models becomes far away from the level of sensitivity at the
operating NT and the exposure at least in one order more is need to futher
experimental study. The running projects of new generation of NT[15] imply a
kilometer sizes, but with larger effective area they will have also higher energy
threshold and thus, could lose a sensitivity to the neutralino mass range (50-100
GeV) where is expected a resonance WIMP capture in the Earth. The detail
discussion of trade-off between area and energy threshold for indirect search for
dark matter by km-size detector are presented in Ref.[46].
Although the Higgs boson exists in principle, its mass and its decay channels
(different for the SM and for SUSY) may be discovered at the Tevatron [39] and
the LHC [40] experiments within about 7 years from now. Nevertheless, indirect
searches for the LSP as the best DM candidate have already been carried out
over the last 7 years, based on speculations about a priori unknown preferable
SUSY-space parameters.
From the point of view of an adequate estimation of detector response for

a given neutralino model and in order to compare predictions and results with
the same SUSY input parameters, the NT collaborations are interested[41] in ex-
ploring existing SUSY routines. The two neutralino packages - Neutdiver[32] and
DarkSusy[46] carry SUSY model calculations down to the level of the predicted
neutrino spectra and the calculation of the upgoing muon fluxes for a given muon
energy threshold. The detailed analysis needed to compare these two programms
has been carried out by the ANTARES collaboration [41] for deep underwater
NT project [15,17]. Some of the results obtained are the following: For the anni-
hilation cross section calculations at zero limit velocity, both programs used the
results of Drees and Nojiri [44] including all tree-level processes with two-body
final states and including the same radiative corrections to the neutral Higgs
boson masses, while the calculations of the neutralino relic density based on the
formalism given by Griest and Seckel [29] are quite different because of incor-
porating different coannihilation channels and loop radiative corrections to the
mass. Thus applying the cuts to a neutralino relic density assumed to be in the
region 0.1 < fl)( < 0.3, we choose different models with the same MSSM free
parameters. The determination of the errors in the predictions of the thermal
LSP density is done in ref. [45].
Taking in mind recent considerations of possibilities for non-thermal mecha-

nisms to create the Dark Matter density of the Universe (see for example in [55]),
the observation of a signal might be much more difficult. However, experimental
studies of likely local sources of high energy neutrinos in GeV-TeV are comple-
mentary to other sides of the Dark Matter searching for.
656 Olga Suvorova
4 Conclusions
Measurements of upgoing muons by operating Neutrino Telescopes give evidence

for discrepancies in the zenith-angle distribution with respect to expectations
from muons induced by atmospheric neutrinos in the Standard Model. They do
not give evidence for additional sources of high energy neutrinos in the direction
of likely sources for DM: the core of the Earth, the Sun, or the Galactic Center.
Beyond the SM expectations, the upper limits on upward-going muon fluxes
do exclude part of the MSSM parameters, but experimental exposures at least
one order of magnitude larger would be needed to really improve the limits on
model parameters. FUrthermore, neutrino oscillation properties would be essen-
tial in the astrophysical Dark Matter study for the next generation of NT.
The indirect method of searching for WIMP signal depends on the uncertain-
ties of the measurements and of the theory. Decreasing these uncertainties would
be a very difficult task. Optimization of the ratio of the expected neutralino sig-
nal to the background from atmospheric neutrinos is necessary to search for
dark matter WIMPs. There is a complementarity of the low and high energy
threshold detectors which are sensitive to different neutralino mass ranges.
5 Acknowledgments
My cordially graditude to Prof. H.V.Klapdor-Kleingrothaus and Dr. Bela Ma-
jorovits for the invitation to the Dark2000 in Heidelberg and for the warm hos-
pitality. Je voudrais particulirement remercier mes collgues de la collaboration
Antares Saclay, Dick Hubbard et Antoine Kouchner pour leur aide dans la
prparation ce rapport.
References
1. for recent review see Primack J.R., astro-phj0007187 Primack J R, Seckel D and
Sadulet B 1988 Ann. Rev. Nucl. Part. Sci 38 751; Ellis J astro-ph/9903003; Olive
K A astro-ph/9707212; Kolb E W hep-ph/9810361;
2. Bahcall N, Ostriker J P, Perlmutter S and Steinhardt P J, 1999, Science 284 1481;
3. 'fumer M S astro-ph/9811454
4. BAKSAN Call., Mikheyev S P, 2000 talk given at the JCRC on Physics and Astro-
physics, June, 16-21, Sudbury, Canada
5. BAKSAN Call., Boliev M M et al., 1997 Dark Matter in Astro- and Particle Physics,
edited by H.V.Klapdor-Kleingrothaus and YRamachers (Singapore: World Sci.)
711
6. BAKSAN Call., Alexeyev E N et al. 1979 Proc. of the 16th ICRCI0 276; BAKSAN
Call., Boliev M M et al., 1999 Nucl. Phys. B (Proc. Suppl.) 70371
7. MACRO Call., Montaruli Teresa, 2000 this conference, MACRO Call., B.Barish,
talk given at the JCRC on Physics and Astrophysics, June, 16-21, Sudbury, Canada,
and 1999 Phys. Rev. D 60 082002
8. 1MB Coli., LoSecco J M et aI., 1987 Phys. Lett. B 188 388
9. KAMIOKANDE Coli., Mori M et al., 1993 Phys.Rev. D 48 5505
10. SuperKamiokande Coil., Sobel H., 2000 talk given at the ICRC on Physics and
Astrophysics, June, 16-21, Sudbury, Canada and SuperKamiokande Coil., Okada
A., astro-ph/0007003
11. BAIKAL Coil., Djilkibaev Jean A, 2000 this conference and 1999 Phys. of Atomic
Nuclei 62 949
12. BAIKAL Coil., Domogatsky G V, 2000 talk given at the ICRC on Physics and
Astrophysics, June, 16-21, Sudbury, Canada
13. AMANDA Coil., Rhode W., 2000 this conference, AMANDA Coil., Barwick S.,
2000 talk given at the ICRC on Physics and Astrophysics, June, 16-21, Sudbury,
Canada jhttp//amanda.berkeley.edu/www/amanda-schematics.html
14. AMANDA Coil., Dalberg E et al., 1999 Proc. of the 26 t h ICRC HE.5.3.06, 16-24
Aug., USA; http://www.physto.se/amanda/internalreports.html
15. ANTARES Coil.: see http//antares.in2p3.fr/antares/antares.html; Moscoso Lu-
ciano ,1998 the 8th Int. Workshop on Neutrino Telescopes 2 99, Hubbard Dick,
1999 Proc. of the 26 t h ICRC HE.6.3.03j Tompson Lee, 2000 the ICRC on Physics
and Astrophysics, June, 16-21, Sudbury, Canada
16. Blondeau F 1999 PhD Thesis, Saclay, France
17. AMANDA Coil., Spiering C., 2000 talk given at the ICRC on Physics and Astro-
physics, June, 16-21, Sudbury, Canada, and astro-ph/9906205
18. BOOMERANG, P.de Bernardis et al., 2000, Nature 404 404 955, Lange A E et
al., astro-ph/0005004; MAXIMA, Balbi A et al., astro-ph/0005124
19. Fornengo N, Gonzalez-Garcia M C and Valle J W F, 2000, hep-ph/0002147
20. Agrawal V, Gaisser T K, Lipari P, and Stanev T 1996 Phys. Rev D 53 1314
21. Lipari P and Stanev T 1991 Phys. Rev D 44 3543
22. Gluck M, Reya E and Vogt A, 1995 Z.Phys. C67 433
23. Lipari Paolo, 2000, hep-ph/0002282
24. Liu Q Y, Mikheyev S P and Smirnov A Yu 1998 Phys. Lett. B 440319
25. Battistoni G et al., 2000 Astroparticle Phys. 12 315, hep-ph/9907408
26. Fornengo Nicolao, 2000 this conference, hep-ph/9904351, hep-ph/0011030
27. Kowalski Marek, 2000 hep-ph/0009183
28. Andre de Gouve, 2000 hep-ph/0006157
29. Griest K and Seckel D, 1991 Phys.Rev. D43 3191
30. Ritz S and Seckel 1988 Nucl.Phys. B304 877; Bugaev E V, Mikheyev S P and
Suvorova 0 V 1995 Proc. of the 24th ICRC 1 666; Edsjo J 1995 Nucl. Phys. B
(Proc. Suppl.) 43 265
31. Ellis J, Ferstl A and Olive K, 2000, hep-ph/0007113
32. Jungman G, Kamionkowski M and Griest K 1996 Phys. Rev. D 267 195 , Neut-
driver routine
33. Nilles H P 1984 Phys. Rep. 110 1; Haber H E and Kane G 1985 Phys. Rep. 117
75
34. Gunion J F, Haber HE, Kane GLand Dawson S, 1990, The Higgs Hunter's Guide,
Addison-Wesley
35. Freese K 1986 Phys. Lett. B 167 295; Krauss L M, Freese K, Spergel D Nand
Press W H 1985 Astrophys. J 299 1001; Silk J, Olive K A and Srednicki M 1985
Phys. Rev. Lett. 55 257
36. See for example: Arnowitt Rand Nath P 1992 Phys. Rev. Lett. 69 725
37. Huitzu Tu, Klapdor-Kleingrothaus H V and Bednyakov V, 2000, talk presented by
Huitzu Tu this conference
38. LEP EWG, http://lepewwg.web.cern.ch/LEPEWWG
39. Tevatron EWG, http://fnth37.fnal.gov/higgs/higgs.html
658 Olga Suvorova
40. ATLAS coll., http://atlasinfo.cern.ch/Atlas/GROUPS/PHYSICS/TDR/access.html

41. GDR SUSY, http://polywww.in2p3.fr/gdrsusy
42. Griest K and Seckel D 1987 Nucl. Phys. B 283 681
43. Gould A 1987 Astrophys. J 321 571
44. Drees M and Nojiri M M 1993 Phys. Rev. D 47 376
45. Drees M et al., 2000, hep-ph/0007202j Brhlik M, Chung D J H and Kane G L,
2000, hep-ph/0005158
46. Bergstrom L, Edsjo J and Gondolo P 1998 Phys. Rev. D 58 103519, DarkSusy
routine
47. Bottino A, Fornengo N, Mignola and Moscoso L 1995 Astropart. Phys. 3 65
48. Bottino A, Fornengo N, Donato F and Scopel S 1999 Astropart. Phys. 10203
49. Feng J L, Matchev K T and Wilczek F, 2000 Phys. Lett. B 482 388
50. Feildman G J and Cousins R D, 1998, Phys. Rev. D 57 3873
51. Bergstrom L, Damour T, Edsjo J, Krauss L M and Ullio P 1999 hep-ph/9905446
52. Damour T and Krauss L M 1998 Phys. Rev. Lett. 81 5726
53. Vissani Francesco, 2000, hep-ph/0007040 and references therein.
54. Ellis J, Ganis G, Nanopoulos D V and Olive K, 2000, hep-ph/0009355
55. Enqvist K and McDonald J, 1999 Nucl. Phys. B538 321
Neutrino Oscillation Effects
in Indirect Detection of Dark Matter
Nicolao Fornengo
Dipartimento di Fisica Teorica, Universita di Torino

and Istituto Nazionale di Fisica Nucleare
via P. Giuria 1, 1-10125 Torino, Italy
Abstract. If neutrino oscillation plays a role in explaining the atmospheric neu-

trino deficit, then the same phenomenon would necessarily affect also the dark matter
indirect-detection signal which consists in a muon-neutrino flux produced by neutralino
annihilation in the Earth core. In this paper we investigate to which extent the upgoing-
muon signal originated by neutralinos captured inside the Earth would be affected by
the presence of VJL --t V r oscillation.
1 Introduction
Among the different techniques which have been proposed to search for dark
matter particles [1], detection of a neutrino flux by means of neutrino telescopes
represents certainly an interesting tool. Although direct detection [2-4] at present
appears to be somewhat more sensitive to neutralino dark matter [5-7], never-
theless all the different possibilities are worth being explored. In this paper we
discuss the flux of upgoing muons which are a consequence of I/IL 'S produced
inside the Earth, with special emphasis on the role which is played in this kind
of searches by the possible presence of neutrino oscillation.
2 Upgoing J..L '8 from Neutralino Annihilation in the Earth

Neutralinos can be gravitationally captured inside astrophysical bodies [8], like
the Earth and the Sun. Their subsequent annihilation can produce a flux of
neutrinos, which then travel toward a detector located underground below the
Earth surface. The differential flux, for each neutrino flavour i, is defined as
dN(_) r dN (-)
<po (E) - A '"'" B(F) I Vi (1)
= dE - d& '
Vi _
H
v.
V
V
411" d2 L
F,j
xl t
where r A denotes the neutralino annihilation rate, d is the distance between the
detector and the source (which can be the center of the Earth or the Sun), F is an
index which lists all the possibile final states which can be produced by neutralino
pair-annihilation, B~~) denotes, for each final state F, the branching ratios into
heavy quarks, T leptons and gluons. The differential spectra of neutrinos and
antineutrinos generated by the T and by hadronization of quarks and gluons
660 Nicolao Fornengo
and the subsequent semileptonic decays of the produced hadrons are denoted
by dN (-)/dEv . For more details, see for instance Refs. [2,3,9,10]. Here we only
f Vi
recall that the annihilation rate depends, through its relation with the capture
rate of neutralinos in the Earth, on some astrophysical parameters, the most
relevant of which is the local density Pl.
N fornenlO (1999)
-
10- 15
I
VI
N
I
E 10- 16
()
VI
C
0
:::l 10-1?
E
)( u
~ 10- 16
'I.
"0
)(
10- 1•
10-20 l...--l.:.............L...J..L.J.J.J.IC--....L-...J......I....L.L.LL.l.L_...........J-L..J..I..u.J.I._-'--.J-L.........u.u
0.001 0.01 10
Fig. I. Muon response function dNIJ./dlogx vs. the parent-neutrino fractional energy
x = Ev/mx. for neutralino annihilation in the Earth. Different curves refer to different
neutralino masses: mX. = 50 GeV (solid), mX. = 80 GeV (dotted), mX. = 120 GeV
(shot-dashed), mX. = 200 GeV (long-dash), mX. = 500 GeV (dot-dashed).
The best way of identifying the presence of these fluxes relies on the possi-
bility to detect upward going muons inside a neutrino telescope. These upgoing
muons would be produced by the /lfJ. component of the neutrino fluxes of Eq.(l).
The charged-current interaction of the /lfJ.'s with the rock below and close to
the detector would produce a flux of muons. A double-differential muon flux is
defined as
(2)
Neutrino Oscillation Effects in Indirect Detection of Dark Matter 661
where j = v/L' iJ/L' NA is the Avogadro's number, g(E/L' E~; X) is the survival
probability that a muon of initial energy E~ will have a final energy E/L after
propagating along a distance X inside the rock and da j (Ev , E~) j dE~ is the
charged-current cross section for the production of a muon of energy E~ from a
neutrino (antineutrino) of energy E v .
A useful quantity for our discussion is the muon response function
dN/L = rEv dE/L cPN/L (3)

dEli JE'h dE/LdEII '
where Eth is threshold energy for detection of up-going muons. For Super
Kamiokande and MACRO, Eth :::: 1.5 GeV [12]. The muon response function
identifies the neutrino energy range that is mostly responsile for the up-going
muon signal. Fig. 1 shows a few examples of it, plotted as functions of the
variable x = ElIjm x , where m x denotes the neutralino mass. Fig. 1 shows an
approximate scaling of dN/LjdEII with m x ' The maximum of the muon response
occurs for neutrino energies of about E v :::: (0.4 - 0.6) m x , with a half width
which extends from E v :::: 0.1 m x to Ell :::: 0.8 m x '
The quantity which is actually measured is the total flux of up-going muons,
which is defined as
1
mx
dN
P/L = dEli dE/L· (4)
Elh II
P/L can be calculated once a specific supersymmetric model is adopted. In the case
of a model where all the supersymmetric parameters are defined and set at the
electroweak scale (which we call here MSSM), the result for P/L is shown in Fig. 2.
We have varied the MSSM parameters in the ranges: 20 GeV :::; M 2 :::; 1000 GeV,
20 GeV :::; IJ.LI :::; 1000 GeV, 90 GeV :::; mA :::; 1000 GeV, 100 GeV :::; mo :::;
1000 GeV, -3:::; A :::; +3, 1 :::; tan,B :::; 50. Up-to-date bounds and limits coming
from accelerators and from BR(b -7 SI) have been imposed. For a definition of
supersymmetric models and their parameters, as well as the implementation of
the experimental limits on susy searches, see Ref. [5]. For calculations of P/L in
supergravity inspired (SUGRA) models, see Ref. [11].
Fig. 2 also shows the present most stringent upper limit obtained by the
MACRO Collaboration [13]. Super Kamiokande recently also reported a similar
upper bound [14].
3 Neutrino Oscillation Effect

on the Up-Going Muon Signal
The atmospheric neutrino deficit strongly points toward the indication that the
v/L may oscillate. The oscillation channel which best describes the anomaly is
v/L ---+ V r vacuum oscillation [15,16]. If this is the case, also the v/L produced
by neutralino annihilations would undergo an oscillation process. The range of
energies involved in both atmospheric and neutralino-produced neutrinos is ap-
proximately the same, while the baseline of oscillation of the two neutrino com-
ponents is different Atmospheric neutrinos which induce upgoing muons cover
A DOluna. F' DonaLo, , Fornengo, S Sc::opt!J (2000)

10- 12 ~-,-.,-,---"
1"-'-''--.---r' 1 . . . -I - ,''--'--'1i~i
• -'---'-1 I --r--r-,
i --r-r-. , """""''']
10- 1'
,
:,::.
.. ~
10 " ·t~-
.--..... .~
Vl
'"
10 IS ..
.:' . .
.,
E
"(.
.......,
()
10 I.
~
~:l
0&
10 17
10 I.
100 150 200 250 300

my (Ge\')
Fig. 2. Flux of up-going muons 4i~arth from neutralino annihilation in the Earth, plot-
ted as a function of m)(. The solid line denotes the present upper limit from MACRO
[13]. Crosses denote supersymmetric configurations for which the neutralino relic abun-
dance il x h 2 is larger than, or equal to, the value 0.05 (but not in excess of its cosmo-
logical upper bound of 0.7 [5]). Dots stand for il)(h 2 < 0.05. The v/s are assumed not
to oscillate.
a range of pathlengths which ranges from twice the Earth's radius, for vertical
muons, to much shorter distances in the case of horizonthal muons. On the con-
trary, neutrinos produced by neutralino annihilation in the central part of the
Earth travel a distance of the order of the Earth's radius to reach the detec-
tor. On the basis of the features of the vI-' oscillation which are required to fit
the experimental data on atmospheric neutrinos [15,16], we expect that also the
neutrino flux from dark matter annihilation would be affected [17J.
For vI-' -+ V r oscillation, the vI-' flux is reduced because of oscillation, but
we have to take into account that neutralino annihilation can also produce V r
which in turn can oscillate into vI-' and contribute to the up-going muon flux.
The muon neutrino flux can therefore be expressed as (we are considering only
two-flavour oscillation)
A;
~(-)
(E)
v = ~(_)
A;O pvac((-)
vI-' -+ (-»)
v JJ + ~(_)
[1 -
A;O pvac((-)
vI-' -+ (-»)J
v JJ , (5)
~ ~ ~
where the vacuum survival probability is [18]

2 2
P vac ((-) (-)) _ 1- . 2(20) . 2 (1.27Llm (ey )R(Km))
/lJ1. -t /lJ1. - sm sm (G) , (6)
Ell eY
, / ""
.-
/
I
1
0.8
>. /
-' I
I
.D I
ttl I
.D I
0 0.6 I
I
,
l-
0-
I
I
I
<ii I I
> I
I
>
l- OA
,
I
I
I
I,I,
;:l I
CIl
f \ I
\ I
\ I
0.2 'I \1
Ev (GeV)
Fig. 3. vI' survival probability in the case of VI' -+ V oscillation. The solid line refers T
to sin 2 (2B) = 1, the dashed line is for sin 2 (2B) = 0.8. In both cases, Llm 2 = 5.10- 3 eV
-2
where Llm 2 is the mass square difference of the two neutrino mass eigenstates,
o is the mixing angle in vacuum and R is the Earth's radius. Fig. 3 shows the
survival probability for two different values of the neutrino oscillation parameters
which are inside their allowed ranges [15,16]. Smaller (larger) values of Llm 2 have
the effect of shifting the curves to the left (right). Comparing Fig. 1 with Fig. 3,
we notice that the reduction of the up-going muon flux is stronger when there
is matching between the the energy E~ ~ 5.2.10 3 Llm 2 (ey 2 ) of the first (from
the right) minimum of the survival probability and the energy Ell ~ 0.5m x
which is responsible for most of the muon response in the detector. This implies
that a maximum reduction of the signal could occur for neutralino masses of
the order of mx(GeY) ~ I04Llm 2 (ey 2 ). The /IT -+ /lJ1. oscillation makes the
reduction of the muon flux less severe, but it is not able to completely balance
A. Bolllno, F. DonalD, N. rorn~ngD. S. Scope!! (2000)

10- 12
v.. -> VT 0 cillaLion included

10- 13
10 ....,.. .'
...,
14
,...... ,- --
..
I
(fl
N 10-"
I
E
()
'-"
10-. 8
i
.:l ..
.e-
10 t1
10- 1•
10- 10
0 50 100 150 200 250 300
my (Ge )
Fig. 4. Flux of up-going muons 4i~arth from neutralino annihilation in the Earth, plot-
ted as a function of m x . The solid line denotes the present upper limit from MACRO
[13]. Crosses denote supersymmetric configurations for which the neutralino relic abun-
dance fl x h 2 is larger than, or equal to, the value 0.05 (but not in excess of its cosmo-
logical upper bound of 0.7 [5]). Dots stand for fl x h 2 < 0.05. The II/S are assumed to
oscillate into liT'S, with oscillation parameters fixed at the best-fit values of Ref. [15]:
sin 2 (28) = 1 and .:1m 2 = 3 .10- 3 eV 2 •
the reduction effect because the original V r flux at the source is smaller than the
vp. flux. Therefore, the overall effect of the neutrino oscillation is to reduce the
up-going muon signal. The upgoing muon flux for a neutralino in the MSSM,
when neutrino oscillation is included, is given in Fig. 4. This, when compared
with Fig. 2, shows the effect induced by the presence of oscillation. The ratio of
the up-going muon signals in the presence and in the absence of oscillation is
plotted in Fig. 5. We notice that the strongest effect occurs for light neutralinos,
since in this case the muon flux is mostly produced from neutrinos whose energy
is in the range of maximal suppression for the oscillation phenomenon. The
effect is between 0.5 and 0.8 for m x :s 100 GeV. On the contrary, the fluxes
for larger masses are less affected, and the reduction is less than about 20% for
m x .<: 200 GeV. Figs. 2, 4 and 5 update the corresponding figures of Ref.[19] by
the inclusion of the new limits from accelerator on Higgs and Supersymmetry
searches.
IT
~. rornen&o (2000)
i , ii' , ,
0.2
OL....--'-'--'---l-J-l.--l-..L..-l.-'-.........-'-...L...J'-'--'--L.......I...--'-J-l.--l-.l..-.J.-'--'--'-J
o 50 100 150 200 250 300
m, (Ge
Fig. 5. Scatter plot of the ratio (4)~arth)oscil1/4>~arth vs. the neutralino mass m x '
(4)~arth)oscil1 is the up-going muon flux in the case of III" --t liT oscillation (shown
in Fig.4), while 4>~arth is the corresponding flux in the case of no oscillation and (plot-
ted in Fig.2). For the oscillation case, the neutrino parameters have been set at the
best-fit values of Ref. [15]: sin 2 (20) = 1 and .11m 2 = 3 .10- 3 eV -2.
4 Conclusions
In this paper we have discussed to which extent neutrino oscillation can affect
the up-going muon signal from neutralino annihilation in the Earth. While the
experimental upper limit is, at present, practically not affected by neutrino oscil-
lation [13], the theoretical predictions are reduced in the presence of oscillation.
By adopting the neutrino oscillation parameters deduced from the fits on the
atmospheric neutrino data [15,16), the effect is always larger for lighter neutrali-
nos. For IIJl. -+ liT the reduction is between 0.5 and 0.8 for m x .:S 100 GeV and
less than about 20% for m x .<: 200 GeV.
Acknowledgments
This work was partially supported by the Research Grants of the Italian Min-
istero dell'Universita. e della Ricerca Scientifica e Tecnologica (MURST) within
the Astropartic1e Physics Project.
References
1. For an introduction to dark matter and to neutralino searches, as well as for a more
comprehensive list of references, see for instance, Ref. [2]. See also Ref. [3].
2. A. Bottino and N. Fornengo, Lectures given at the Fifth School on Non-Accelerator
Particle Astrophysics, Abdus Salam International Centre for Theoretical Physics,
Trieste, June 1998, ed. G. Giacomelli, N. Paver and R.A. Carrigan (hep-phjhep-
phj9904469)
3. G. Jungman, M. Kamionkowski, K. Griest Phys. Rep. 267, 195 (1996)
4. See, for instance: A. Bottino, V. de Alfaro, N. Fornengo, S. Mignola, S. Scopel,
Astropart.Phys 2, 77 (1994); V. Berezinsky et al., Astropart.Phys. 5, 1 (1996);
L. Bergstrom and P. Gondolo, Astropart.Phys. 5, 263 (1996); V.A.Bednyakov,
S.G.Kovalenko, H.V.Klapdor-Kleingrothaus, YRamachers, Z.Phys. A357, 339
(1997)
5. A.Bottino, F. Donato, N.Fornengo and S. Scopel, hep-phj0010203
6. A. Bottino, F. Donato, N. Fornengo, S. Scopel, Phys.Rev. D62, 056006 (2000)
7. For a complete updated list of references on recent papers on direct detection, see
Ref. [5)
8. W.H. Press and D.N. Spergel, Ap. J 294, 663 (1985); Ap. J 296, 679 (1985); A.
Gould, Ap. J. 321, 571 (1987); A. Gould, Ap. J. 328, 919 (1988); A. Gould, Ap.
J. 368, 610 (1991); A. Gould, Ap. J. 388, 338 (1992)
9. A.Bottino, N.Fornengo, G.Mignola and L.Moscoso, Astropart. Phys. 3, 65 (1995)
65
10. L. Bergstrom, J. Edsjo and P. Gondolo, Phys. Rev. D 58, 103519 (1998).
11. V. Berezinsky, A. Bottino, J. Ellis, N. Fornengo, G. Mignola, and S. Scopel, As-
tropart. Phys. 5, 333 (1996).
12. T. Montaruli (MACRO Collaboration), Proceedings of DARK98, Heidelberg, July
1998, hep-exj9810017, A. Habig (Super-Kamiokande Collaboration), Proceedings
of DPF'99, hep-exj9903047
13. The MACRO Collaboration, M. Ambrosio et al., Phys.Rev. D60, 082002 (1999)
(hep-exj9812020); G. Giacomelli and A. Margiotta, invited paper at the Chacaltaya
Meeting on Cosmic Ray Physics, La Paz, July 2000 hep-exj0010055
14. Super-Kamiokande Collaboration, contributed paper to 30th International Confer-
ence on High Energy Physics, astro-phj0007003
15. See, for instance: N. Fornengo, M.C. Gonzalez-Garcia and J.W.F. Valle, Nucl.Phys.
B580 (2000) 58
16. Super-Kamiokande Collaboration, hep-exj0009001
17. The possibility of neutrino oscillation on the indirect signal from neutralino anni-
hilation has also been considered in J. Ellis, R.A. Flores and S.S. Masood, Phys.
Lett. B294, 229 (1992) in the case of the signal from the Sun and recently in M.
Kowalski, preprint DESY 00-125, hep-phj0009183, for both the signals from the
Earth and from the Sun
18. See, for instance: C.W. Kim and A. Pevsner, Neutrinos in Physics and Astro-
physics, Contemporary Concepts in Physics, vol. 8 (Harwood Academic Press,
Chur, switzerland, 1993)
19. N. Fornengo, Proceedings of WIN99, Cape Town, South Africa, January 1999 and
of the ED Meeting 'Physics Beyond the Standard Model', SISSA, Trieste, February
1999, hep-phj9904351
Higgs Bosons
and the Indirect Search for WIMPs
V. A. Bednyakov 2 , H. V. Klapdor-Kleingrothaus 1 , and H. Tul
1 Max-Planck-Institut fur Kernphysik, Postfach 103980, D-69029 Heidelberg,

Germany
2 Laboratory of Nuclear Problems, Joint Institute for Nuclear Research, Moscow
region, 141980 Dubna, Russia
Abstract. We investigated the contribution of the MSSM Higgs bosons produced in

the neutralino annihilation in the Earth and Sun to the total WIMPs detection signal.
We found that this contribution is very important and results in a lower bound for the
muon flux from the Sun of 10- 7 -;-10- 8 m- 2 yr- 1 for neutralinos heavier than about
200 GeV. We noticed that due to the SUSY charged Higgs bosons one can expect an
energetic T neutrino flux from the Sun at a level of 10 2 m- 2 yr- 1 .
1 Introduction
The Weakly-Interacting Massive Particles (WIMPs) as the most attractive and

well-motivated cold dark-matter candidates in the Galactic Halo may be gravi-
tationally trapped by astrophysical objects like the Earth or the Sun due to sub-
sequent energy losses via elastic scatterings off the nuclei therein. The trapped
WIMPs would undergo pair annihilations in the core of the Earth or the Sun,
producing all kinds of ordinary particles like quarks, leptons, gauge and Higgs
bosons. The neutrinos produced in the decays of these WIMP annihilation prod-
ucts provide detectable signals, because among all particles from WIMPs anni-
hilation only neutrinos can pass through the astrophysical bodies and reach the
detectors. The flux of the neutrinos of type i (e.g. i = vI" iiI" or V T , iiT ) from
WIMP annihilation in the Earth or Sun is [1]
(1)
where FA is the annihilation rate of the WIMPs in the Sun or Earth, R is the
distance the neutrinos have to travel to the detector, B F is the branching ratio
for annihilation into final state F, and (dN/ dE) F,i is the differential energy
spectrum of the i-type neutrinos at the surface of the Sun or Earth expected
from decays of particles produced in channel F in the core of the Sun or Earth.
Recent information about indirect WIMP detection can be found in e.g. [1-4], or
in the talks given by T. Montaruli, O. Suvorova, J. A. Djilkibaev, N. Fornengo,
A. Bottino at this conference.
Among all WIMPs, the neutralinos are the most considered, which arise from
the supersymmetric extensions of the Standard Model and are most likely the
668 V. A. Bednyakov, H. V. Klapdor-Kleingrothaus, and H. Tu
Lightest Supersymmetric Particle (LSP). In SUSY scenarios with large sfermion

and gaugino masses even the LSP should also be heavy and thus cannot be
produced at current or near-future colliders. In this case the Higgs bosons still
have chances to be light and specifically the detection of the charged Higgs boson
could serve as first evidence for supersymmetry.
With this interest in the Higgs bosons, in this work we perform an investi-
gation within the framework of the Minimal Supersymmetric extension of the
Standard Model on the Higgs bosons produced in the neutralino annihilation
in the Earth and Sun and their role in the detection of the WIMPs. Following
our approach in [5], we relax any constraints from unification assumptions on
for supersymmetric particles, rare FCNC b -+ s,

the parameters. On the other hand we use the results from collider searches
decay, as well as bounds on
the WIMPs relic abundances to constrain the MSSM parameter space. Our free
parameters are tanj3, Il, M I , M2 , MA, m~, mi, m , m}3 and At (see [5]).
43
2 Higgs Boson Contribution to Indirect WIMP Search
The Minimal Supersymmetric extension of the Standard Model (MSSM) pos~

sesses two complex scalar doublets, after the spontaneous electroweak-symmetry
breaking five physical Higgs bosons appear in the MSSM particle spectrum. As-
suming CP invariance, the MSSM Higgs sector contains a neutral CP-odd Higgs
boson AO, two neutral CP-even Higgs bosons HO, hO, which are mixtures of the
neutral Higgs interaction eigenstates, and a pair of charged Higgs hosons H±.
All the five MSSM Higgs bosons can be produced in neutralino pair annihilation
processes, either in pairs or accompanied by a gauge boson. However, since the
pair annihilation of the neutralinos captured in the Sun and Earth takes place
practically at rest, only processes allowed by CP conservation in the v -+ 0 limit
are relevant for the indirect WIMPs detection:
(2)
The Higgs bosons produced in neutralino annihilation decay immediately be-

fore losing energy. Because the Higgs couplings to fermion pairs are proportional
to the fermion masses (see for example [6]), the neutral Higgs bosons do not
decay into neutrinos directly, and the branching ratio for charged Higgs boson
decay into muon neutrino is negligible. Also, for the Higgs bosons produced in
the LSP neutralino annihilation at rest the decay into superpartners is kinemat-
ically forbidden. Therefore we consider the following two-body decay channels
of the five MSSM Higgs bosons which can produce energetic muon neutrinos
hO -+ TT, bb, ee, tt, W+W-, ZO ZO, Zo,;

HO -+ TT, bb, ee, tt, W+W-, zozo, ZO" ZOAo, hOho, AOAo, W±H'f;
AO -+ TT, bb, ee, tt, Zo" ZOho;
H+ -+ T+lIT , eb, es, tb, hOW+, AOW+ + charge conjugation. (3)
Higgs Bosons and the Indirect Search for WIMPs 669
The decay branching ratios for the above channels are calculated with the com-
puter code HDECAY written by A. Djouadi et al. [7]' in which all relevant
higher-order QCD corrections to decays into quarks and gluons, all important
below-threshold three-body decays, and complete radiative corrections in the
effective potential approach are included.
We investigate the Higgs boson contribution to the WIMPs detection signal

(1) by switching off the final states containing Higgs bosons in our calculation
(that is, we do not count the neutrinos from these channels) and compare the
results ¢noHiggs with that from all channels including Higgs final states ¢withHiggs,
which is calculated using the formulae given in [1].
Fig. I. Upward-going muon detection rate from the Earth (a) without contribution
from final states containing Higgs bosons ¢~OHiggs and (b) with all channels including
Higgs final states ¢~ithHiggs as well as from the Sun (c) without ¢~OHiggs' (d) with
¢~ithHiggs Higgs final states.
In figure 1 we plot our results for ¢noHiggs and ¢withHiggs versus the neutralino
mass m x ' Comparing figure l(c) with l(d) we see (it can be seen more easily in
the case of the Sun), that there are significant differences between them mainly
in the region where the total detection rate for upward-going muons induced by
neutrinos from the Sun is 10- 7 -7- 10- 9 m- 2 yr- 1 for neutralinos heavier than
about 200 GeV. In order to see the Higgs final state contribution quantitatively
we plot in figure 2 the ratio of the two detection rates ¢noHiggs / ¢withHiggs (a), (b)
versus neutralino mass m x and (c), (d) versus the upward-going muon detection
rate with contribution from all channels ¢all.
..c 10 ::: 10
~ ='
~ (0) til
0
(b)
0 .~
"
.~
"
-4 -4
10 10
200 400 600 800 1000 200 400 600 800 1000
LSP Mass in GeV LSP Mass in GeV
10 ::: 10
~~ (c)
='
til
(d)
0
0 .~
"
.~
" 10
-I
-2
10 -
-3
10
-4 • -4
10 10
10 -12 10 -\0 10 -8 10 -6 10 -4 10-2 10-9 10 -7 10 -5 10 -3 10 -I I
Earth up muon flux Im2/yr Sun up muon flux Im2/yr
Fig. 2. Ratio of the detection rate without Higgs final states to from all channels
including Higgs final states (a) and (b) versus m x , (c) and (d) versus the detection
rate <PwithHiggs.
In figure 2(a) and 2(b) it can be seen that for neutralinos heavier than 200
GeV the Higgs final states are in general important. If their contributions were
not included the indirect WIMP detection rate could be roughly 10 1 to 103
times lower. Figure 2(d) shows that in the case of the Sun, the Higgs final state
contribution is important in the region 10-7 ~ ¢>~l ~ 10- 3 m- 2 yr- 1 where one
should expect the signals.
The Higgs contribution is not important in the region where the upward-
going muon detection rate from the Sun is lower than 10- 7 m- 2 yr- 1 , because
such low detection rates are expected mainly for neutralinos lighter than about
200 GeV (see figure l(d)). In this case the neutralino annihilation into final states
containing Higgs bosons may have chances to compete with, or even dominate
over the fermion and/or gauge boson pair final states if kinematically allowed,
but since the Higgs bosons do not produce neutrinos directly, the neutrinos from
the Higgses are not so energetic compared to those directly produced in the
fermion or gauge boson decay. As a consequence, their contribution to the total
detection rate which is proportional to the product of their branching ratios SF
and the second moment of the neutrino spectra (dN/dE)F,i' is not important
for lighter neutralinos.
The indirect dark matter search experiments have now reached a sensitivity
of'"" 10- 3 m- 2 yr- 1 , so our conclusion is that the Higgs bosons are important as
far as the current indirect dark matter search experiments are concerned. The
contribution from final states containing Higgs bosons results in a lower bound
for the muon flux from the Sun of 10-7 -;-10- 8 m- 2 yr- 1 for neutralinos heavier
than about 200 GeV. In other words, if the collider experiments show that the
neutralino is so heavy, one should see signals at the latest as the indirect search
experiments reach a sensitivity of about 10-7 m- 2 yr- 1 . And this is due to the
contribution from the Higgs final states.
3 Energetic Tau Neutrinos from Charged Higgs Boson

In the last section we saw that the charged Higgs boson can decay directly into T
neutrinos via H+ -t T+VTl which is the dominant channel below the tb threshold
in most cases except for small tan /3 values.
The T neutrinos as the direct decay product of the charged Higgs from neu-
tralino annihilation can be expected to have the highest energies among all T
neutrinos from WIMPs and have a harder energy spectrum. The charged Higgs
boson produced in XX -t W±H~ decays with energy between m x and 2m x de-
pending on the charged Higgs mass (currently we know that mCh ~ 78.6 GeV
[8]). The maximum energy the T neutrinos can obtain from the charged Higgs
boson produced in neutralino annihilation is always about the neutralino mass
m x ' independent of the charged Higgs mass mCh. The channel XX -t W±H~
is open when the kinematic condition 2m x > mw + mCh is satisfied. One thing
interesting is that when the charged Higgs mass mCh not deviates too much
from 2m x - mw, the T neutrino energy spectrum should have the form of a
relatively sharp peak at half the energy of the decaying charged Higgs 1 . In con-
trast, other neutralino annihilation products like fermion and gauge boson pairs
1 Indeed, if one assumes Mw « mCh (or equivalently Mw :::::: 0), after the annihilation
XX -+ W± H'f' both Wand Higgs bosons can appear at rest and E H+ = mCh ::::::
decay always with energy equal to m x and generate a much flatter T neutrino
spectrum.
The flux of the T neutrinos from the charged Higgs bosons produced in
WIMPs annihilation and decaying with energy and velocity ECh and (3Ch, re-
spectively, can be calculated using the formulae for gauge boson decays given in
[9]
(4)
where
Ell _ ECh Ell _ ECh (
E 10w - -2-(1 - (3Ch) , E upp - -2- 1 + (3Ch) (5)
are the lower and upper boundaries for the T neutrino energy. 8(x) is the Heav-
iside step function, 8(x) = 1 if x is true and 0 otherwise.
In figure 3 we plot the differential T neutrino flux from charged Higgs boson
decay in the Earth versus the maximum T neutrino energy E2'pp; we also integrate
the differential neutrino flux (5) over E v to obtain the total flux of the T neutrinos
from charged Higgs decay in the Earth and plot it versus the neutralino mass.
The dependences of the maximum and mean energy of these T neutrinos on the
neutralino mass are also shown. The maximum energy a T neutrino can obtain
from the neutralino annihilation via charged Higgs decay E2'pp is roughly the
neutralino mass, as expected.
For the T neutrinos produced in the core of the Sun, the neutrino interactions
with the solar medium play an important role in determining the T neutrino
spectrum at the Sun's surface. We make a rough estimate for this effect following
[10]
(dEd¢)0
H+
(Ev)= rA
41T R2
Br(XX-+H±W~)r(H+-+T+VT)x
ECh(3Ch
(6)
(1 - E v T v t v
-
2
8(E~w < E v < Ea>pp)
with
EEll
EO = upp (7)
upp - 1 + EElluppTv
2m x ' Therefore the decay H+ -+ T+Vr gives Ell = E r = mCh/2 = m x . Under the
same assumption the competitive annihilation XX -+ W±W'f with W -+ TV gives
E w ± = m x followed by Ell = E r = m x/2. Therefore the hardest part of the V r
energy spectrum one can connect with the decay of the (very) heavy charged Higgs
boson.
... 10
4
...;>., 10
4
",<'
E 10
2 .. (0) "'......
E
......
10
2 (b)
......
C
><
:::l 1
-2 .' C
><
:::l
g, 10
:::l :::l
g,
-4
:::l
Z 10 -6
:::l
Z
~ 10 ....
(;
is -8 0
Eo-<
10
-10
10
200 400 600 800 1000 200 400 600 800 1000
Max Nu-tau Energy, GeV LSP Mass in GeV
> 1000 > 1000

u
Cl
900 (C) c3 900 (d)
>. 800 >. 800
u
e.o 700 e.o 700
u
=
~ 600 =
~ 600
500 g, 500
:::l
....~,
:::l 400 :::l 400
Z 300 Z 300
>< c
~
200 u 200
~
::E 100 ::E 100

200 400 600 800 1000 200 400 600 800 1000
Fig. 3. (a) Differential flux of T neutrinos from charged Higgs boson decay vs. maximum
T neutrino energy. (b) Total flux of T neutrinos from charged Higgs bosons decay vs.
neutralino mass m x ' (c) Maximum T neutrino energy vs. neutralino mass m x . (d) Mean
T neutrino energy vs. neutralino mass m x . All for the case of the Earth.
the lower and upper boundaries for the energy of the T neutrinos from the Sun.
The coefficients T VT , T VT , Cl: VT and Cl: VT are used to parametrize the neutrino
stopping and absorption effects in the Sun [10,11]. Due to the interactions with
the solar medium, the T neutrino differential flux from the Sun depends on the
neutrino energy E v explicitly. We choose to plot (d¢/dE)0 versus EiPpp , since
the flux is largest for the highest energy.
In figure 4 we show our results for the T neutrinos from the charged Higgs
decay in the Sun. By comparing it with figure 3 we see that the energy of the
T neutrinos from the Sun is to a large extent degraded due to the interactions
with the solar medium, however, since all neutrinos produced by the neutralino
annihilation in the core of the Sun suffer from these effects while propagating
through the Sun, the T neutrinos from charged Higgs decay are still the most
energetic among all neutrinos from neutralino annihilation in the Sun. Further-
674 V. A. Bednyakov, H. V. Klapdor-Kleingrothaus, and H. Th
....
>.
10 6 ....
>.
...... ......
"'6 10 4 (0) '"......6
......
>< 2 ><
~ 10 ~
r:;:: r:;::
S
~ 1 S
~
I -2 I
Z 10 -4
~ ~
Z
~ 10 '50
a 10
-6 E-<
-8
10
50 100 150 200 200 400 600 800 1000
Max Nu-tau Energy, GeV LSP Mass in GeV
;> 200 ;> 200

0
III
180 (c) 0
III
180 (d)
r-
>. 160 >.
0/)
160
....
0/)
III 140 ....
III 140
I::: I:::
u:l 120 u:l 120
~
....
~ 100 ~
....
~ 100
80
I I
~ 80 ~
Z Z
>< 60 I::: 60
~ ~
~ 40 III 40
~
20 20
200 400 600 800 1000 200 400 600 800 1000
Fig. 4. (a) Differential flux of T neutrinos from charged Higgs boson decay vs. maximum
T neutrino energy. (b) Total flux of T neutrinos from charged Higgs bosons decay vs.
neutralino mass m x . (c) Maximum T neutrino energy vs. neutralino mass m x ' (d) Mean
T neutrino energy vs. neutralino mass m x ' For the case of the Sun.
more, we can expect a much larger T neutrino flux from the Sun than from the
Earth.
All other neutralino annihilation products can also produce T neutrinos. But
for our purpose only those channels which can produce T neutrinos with com-
parable fluxes in the same energy range as the charged Higgs boson does should
be taken into account. Therefore, the light fermion pairs need not be considered,
since the annihilation of neutralino into them are negligible when the channel
XX -+ H±W'F is open. The annihilation into top quark pair is one of the dom-
inant channels for heavier neutralinos. Top quark decays almost exclusively via
t -+ W+b with energy m x ' We make an estimate using the formulae given in
[9] and found that though the maximum T neutrino energy from top quark de-
cay is also roughly m x ' the differential flux at the maximum energy value is
negligible. Furthermore, the energy spectrum is much softer. Therefore we do
not take into account the contribution from top quark decay when considering
energetic 'T neutrinos from charged Higgs decay. Following similar arguments,
the neutral Higgs bosons hO, HO and AO are also excluded. The gauge bosons
W± and Z decay with energy m x into 'T neutrinos with branching ratios 0.105
and 0.067, respectively. For heavier neutralinos, the maximum energy of the 'T
neutrinos from gauge boson decay is also roughly m x ' the mean energy is always
m x /2. Our calculations show that the 'T neutrino flux from gauge boson decays
is comparable to or even greater than that from charged Higgs decay in the same
energy range. One can expect an enhancement of the total 'T neutrino flux by
a factor of 2 due to the contributions from gauge boson pairs from neutralino
annihilation.
Therefore the V r signal from the charged Higgs bosons one can in principle
find only searching for an enhancement of the V r spectrum at highest 'T neutrino
energies. The larger the LSP and the charged Higgs boson masses the stronger
can be the expected enhancement.
4 Conclusions
In this work we studied the role of the Higgs bosons in the indirect detection
of the WIMPs via their annihilation into energetic neutrinos. We performed our
calculations on the basis of the MSSM parameter space at the electroweak scale,
we did not assume any universality relations for the parameters at the unification
scale.
First we have investigated the contribution to the total upward-going muon
detection rate from neutrinos produced in the neutralino annihilation final states
containing Higgs bosons. We found that their contribution is in general signifi-
cant if the neutralino is heavier than about 150 GeV, and is becoming dominant
in the case of the Sun as the current indirect WIMPs detection experiments
reach the sensitivities of,...., 10- 3 -;-.10- 4 m- 2 yr- 1 . But most important, the final
states containing Higgs bosons result in a lower bound on the expected detection
rate from the Sun of,...., 10- 7 -;-.10- 8 m- 2 yr- 1 for neutralinos heavier than about
200 GeV.
While the neutral Higgs bosons do not decay into muon neutrinos directly,
the charged Higgs boson produced in the neutralino annihilation channel XX -+
W±H'f has a large probability to decay into 'T neutrinos directly via H± -+
'TVr . We expect them to be amongst the most energetic neutrinos from WIMPs
annihilations and to have a very hard energy spectrum. We have estimated the
energy and flux of these 'T neutrinos from the Earth and the Sun, whereby in the
case of the Sun the effects of neutrino stopping and absorption due to neutrino
interactions with the solar medium were taken into account following [lOJ. Our
results show that the maximum energy of the 'T neutrinos from charged Higgs
decay in the Earth is roughly the neutralino mass m x , and their mean energy is
just the energy of the charged Higgs boson, which depends only on the masses of
the neutralino and the charged Higgs. The flux is in most cases below 1 m- 2 yr- 1
and lower for heavier neutralinos. Only for neutralino masses around 150-250
GeV one can expect higher T neutrino flux.
In the case of the Sun, the energies of the T neutrinos are strongly degraded
due the interactions with the solar medium (not greater than 150 GeV even
for the largest neutralino mass), the energy spectrum is also softer. But since
all neutrinos propagating from the core of the Sun to the surface suffer from
the same effects, the T neutrinos from charged Higgs decay in the Sun are still
among the most energetic and in principle can be separated when detected.
Furthermore, one can expect much higher T neutrino flux from the Sun, about
102 -:-10 4 m- 2 yr-l, than from the Earth.
The possible observation of such energetic T neutrinos would be an evidence
of the neutralino annihilation into charged Higgs bosons. In SUSY scenarios
with very heavy sfermion and gaugino masses the existence of the charged Higgs
boson could be considered as a clear signal of the supersymmetry.
Acknowledgments
We thank Prof. Pran Nath and Dr. O. V. Suvorova for the helpful discussions.
References
1. G. Jungman, M. Kamionkowski, K. Griest, Phys. Rept. 267 (1996) 195
2. O. Suvorova in Proceedings of the Second International Conference on Particle
Physics Beyond the Standard Model, Castle Ringberg, Germany 1999, edited by H.
V. Klapdor-Kleingrothaus and I. Krivosheina
3. V. Berezinsky, A. Bottino, J. Ellis, N. Fornengo, G. Mignola, S. Scopel, Astropart.
Phys. 5 (1996) 333
4. L. Bergstrom, Preprint astro-ph/9902172
L. Bergstrom, J. Edsjo, P. Gondolo, Phys. Rev. D58 (1998) 103519
L. Bergstrom, J. Edsjo, P. Gondolo, Phys. Rev. D55 (1997) 1765
5. V. A. Bednyakov, H. V. Klapdor-Kleingrothaus, Phys. Rev. D62 (2000) 043524
6. J. F. Gunion, H. E. Haber, G. Kane and S. Dawson, The Higgs Hunter's Guide,
Addison-Wesley 1990
7. A. Djouadi, J. Kalinowski, M. Spira, Comput. Phys. Commun. 108 (1998) 56
8. D. E. Groom et al. (Particle Data Group), Eur. Phys. Jour. C15 (2000) 1
9. G. Jungman, M. Kamionkowski, Phys. Rev. D51 (1995) 328
10. S. Ritz, D. Seckel, Nucl. Phys. B304 (1988) 877
11. M. Mori et al., Phys. Rev. D48 (1993) 5505
Ultra High Energy Neutrinos
by Tau Airshowers
Daniele Fargion 1
Physics Department and INFN , Rome University 1,

Pl.A.Moro 2, 00185, Rome, Italy
Abstract. Upward and horizontal T Air-showers emerging from the Earth crust or
mountain chains offer the best and most powerful signal of Ultra High Energy UHE
neutrinos V r , vr and ve at PeV and higher energy. The multiplicity in T Air-showers
secondary particles, Nopt ~ 10 12 (Er /PeV), N'Y« E'Y >'" 10MeV) ~ 10 8(Er /PeV) ,
N e - e + ~ 2· 107 (E r /PeV) , Np. ~ 3· 105(Er /PeV)o.85 make easy its discover. UHE
V r , V r following Super Kamiokande evidence of neutrino flavour mixing, (Vp. H v r ),
should be as abundant as Vp., vp.. Also anti-neutrino electrons, v e , near the Glashow
W resonance peak, Eve = M& /2m e ~ 6.310 15 eV, may generate T Air-showers. Such
horizontal T air-showers by vrN and UHE Vee at PeV emerging from mountain high
chain might be the most power-full UHE neutrino imprint. Upward UHE V r - N
interaction on Earth crust at horizontal edge and from below, their consequent UHE T
air-showers beaming toward high mountains should flash, ,J.t,X and Cherenkov lights
toward detectors located on the top of the mountain or balloons. Such upward T air-
shower may hit also nearby satellite flashing them by short, hard, diluted ,-burst
at the edge of Gamma Ray Observatory BATSE threshold. We identify already these
rarest gamma events with recent (1994) discovered upward Terrestrial Gamma Flashes
(TGF); we show their very probable UHE T -UHE V r origin. Partial TGF Galactic
signature and known galactic and extra-galactic source location are discovered within
known 47 TGF events at low, ~ 2 .10- 3 probability threshold.
1 The UHE Ve, Vn vr amplified by Tau Air-showers
Ultra high energy astrophysical neutrino (UHEv) from PeVs (;G 10 15 eV) up
to (10 18 eV) EeV and GZK cut off energies (;G 10 19 eV) might be traced by
T induced air showers and by their millions to hundred billions multiplicity in
secondaries particles. Indeed astrophysical PeVs UHE anti-neutrino electrons, De,
near the Glashow W resonance peak, E v• = M'fy /2m e ~ 6.3.10 15 eV, (dominant
over expected UHE PeV atmospheric neutrino signals), may be observable by
their secondary horizontal T air showers originated by UHE chain reaction De +
e -t W- -t Dr + T- inside the concrete rock of a high mountain and their
consequent escape and decay in air flight. Also UHE V r , Dr at (10 16 - 10 17 eV)
interacting with nuclear matter (vr N) must be observable because of flavor
mixing vi-' H V r shown by Superkamiokande data; indeed huge astrophysical
distances are larger than the oscillation ones even for small mass differences
(below L1m;j '"V10- 4 eV 2). Therefore UHE V r and I7r may be converted and
they may reach us from high energy galactic sources, as pulsars, Supernova
678 Daniele Fargion
remnants or galactic micro-quasars and SGRs , as well as from powerful extra-

galactic AGNs, QSRs or GRBs, even at highest (GZK) energy because of the
large galactic (Kpcs) and extreme cosmic (Mpcs) distances:
-3 ( Ell ) ( ,1m~j )-1

L II,,-II = 4·10
T pc 10 16 eV . (10- 2 eV)2 (1)
These Tau air-showers are detectable in deep valleys or on front of large

mountain chains as Alps, Rocky Mountains, Ande, (Fargion,Aiello,Conversano)
(1999). The mountain and the air act as a fine tuning multi filter detector: as a
screen of undesirable noisy horizontal UHECR showers (mainly electro-magnetic
ones, Cherenkov photons, X,gamma and most of muons); as a dense calorimeter
for UHEI1,. nuclear events (three order of magnitude denser than air); as a dis-
tance meter target correlating T birth place and its horizontal air-shower opening
origination with the cosmic ray energy density; as a characteristic anti neutrino
detector by the extreme resonant cross section l1e - e and the consequent fine-
tuned energy (few PeV) shower events; as a very unique source of dense muon
bundles from a mountain by main tau hadronic air-showering.
The vertical up-ward tau air-showers (by small arrival nadir angle) occur prefer-
entially at low energies nearly transparent to the Earth (Ell ,..., 1015 - 10 16 eV).
The oblique T air showers (whose arrival directions have large nadir angle), may
be related also to higher energy lin or 11-,. nuclear interactions (E vT ~ 10 17 _10 19
eV). Indeed these horizontal - upward UHE II,. cross a smaller fraction of the
Earth volume and consequently they suffer less absorption toward the horizon.
Moreover the consequent ultra-relativistic (EII-;. ~ 10 17 - 10 19 eV) tau may
travel in atmosphere for few or even hundred K ms with no absorption before
the decay to the detector located at few Kms distance. On the contrary the
horizontal gamma, electron pairs and muon showers by primary (down-ward
nearly horizontal) UHECR proton are severely suppressed (~ 10- 3 ) after cross-
ing k 2 * 10 3 )gm.cm- 2 ,or equivalent at one atmosphere, k 16Kms) of hori-
zontal atmosphere target.
These huge horizontal or upward air-shower signals being at least million

to billion times more abundant than the original and unique UHE T or UHE J.L
track in underground Km cube detectors are much easier to be discovered with no
ambiguity. These high energy PeVs tau air-shower are mainly of astrophysical
nature. Indeed they cannot be produced by PeV atmospheric neutrino secon-
daries born in atmospheric muon flavour and oscillating in tau state, because
their high PeV energy and their consequent large oscillation lengths are much
(hundred times) longer than the Earth diameter. We remind that on the con-
trary the expected long tracks of upward muons in underground km 3 detectors
are mostly noisy signals by TeVs to tens of TeVs muons secondaries generated
by atmospheric neutrinos born by common cosmic ray interactions in upper at-
mosphere. The real (looked for) astrophysical signals are upward PeV neutrino
muons which are, unfortunately, suppressed by Earth opacity. This make cube
Km detector , in our opinion, less favorite than our Tau up-ward air-shower
Tau Airshowers by UHE Neutrinos 679
-- R
'.
R A , (p_5)
10' -- R w ,(p-5)
- R w ,(p=3)
.•.. RA • (p_3)
~ 10' .
- - R,(p-3)
a: -- R',(p=5)
10. 1 •
E(GeV)
Fig. 1. The tau ranges as a function of the tau energy respectively for tau lifetime
(dashed line) R To , for over-estimated tau radiation range RR.,. ,(short dashed line above)
and tau electro-weak interaction range Rw.,., for two densities pr (long dashed lines,
continuous) and their combined range R.,.. Below the corresponding radiation range RJl.
for muons (dotted line).
detection. Let us remind that upward /IT at same energies as noted by differ-
ent authors are less (an order of magnitude) suppressed. Present T air shower
is analogous to the well-known Learned and Pakwasa (1995) "double bang" in
underground neutrino detectors. The novelty of the present "one bang in" (the
rock, the mountain, the Earth) - "one bang out" (the air) lays in the self-triggered
explosive nature of T decay in flight and its consequent huge amplified air shower
signal at a characteristic few Kms distance.
2 The UHE Ve, V n v-r interactions
Moreover the expected /IT signals, by their secondary tau tracks at highest cos-
mic ray energy window 1.7· 1021 eV > E T > 1.6· 1017 eV, must exceed the
corresponding /lp, (or muonic) ones, making UHE /IT above 0.1 EeV the most
probable UHE signal. Indeed, the Lorentz-boosted tau range length grows (lin-
early) above muon range, for E T 2: 1.6·108 GeV; (see Fig (1) eq.3): the tau track
reaches its maxima extension, bounded not by bremsstrahlung radiation length
nor by pair production (eq. 2), but by growing nuclear (mainly photo-nuclear)
and mainly ,later, by electro-weak interactions (eq. 4), R Tmax ~ 191 Km, at
energy E T ~ 3.8.10 9 GeV in water.
680 Daniele Fargion
(2)
R ro = CTr"(r = 5Km (108E~ev) . (3)
Rw = _1_ :: 2.6· 103 Km ( Er ) -0.363

(4)
.,. I1NAPr Pr 108 GeV
It should be noticed that the radiative T length estimated above has been
considered for bremsstrahlung radiation length only. Pair production is more
restrictive in the final RR.,. length (by an approximate factor ::) as well as the
photo-nuclear interactions at highest ( tens EeV) energies. However the very
dominant electro-weak interactions at these energies are already suppressing the
T growth and the combined interaction length are almost comparable to the one
shown in figure above.
At the peak maxima the tau range is nearly 10-20 times longer than the cor-
responding muon range (at the same energy) implying, for comparable fluxes, a
ratio 10 times larger in /lr over /lp. detection probability. This dominance, may
lead to a few rare spectacular event a year (if flavor mixing occurs) preferentially
in horizontal plane in underground K m 3 detectors. The Earth opacity at those
UHE regimes at large nadir angles (nearly horizontal, few degree upward direc-
tion) is exponentially different for UHE muons respect to tau at GZK energies
(corresponding to hundreds Kms UHE Tau lengths), making the muon/tau flux
ratio of such lengths severely suppressed. Unfortunately there are not yet in un-
derground detector such possible tests; maybe in new generation horizontal slice
detectors of tens Km sizes the UHE GZK T may dominate by such lengths and
huge showering. In this frame-work it is important to remind the very peculiar
role that heaviest light neutrino (most probably of tau nature) may play in the
puzzling GZK problem in modern high energy astrophysics.
3 The UHE VT) interactions with the relic D.,. at Z

resonance in hot dark haloes
Let us remind here a possible additional (and parental) role of UHE /I above
GZK discussed in this article.Indeed UHE /lr are transparent to BBR cosmic
photons and they may easily reach us from far cosmological distances. Therefore
the puzzle of UHECR above GZK cut off may be solved assuming that neutri-
nos (possibly of heaviest muon-tau nature) share a light mass of few eV , in the
frame-work of Hot Dark Matter halos clustered around galaxies or local group.
Such light neutrinos may form a huge hidden dark calorimeter able to beam
105
a(IJ"ii"..... zo.. hadronl!l)
104
103
:c 102
..e
10 1
100
10- 1
102
EOII (deV)
Fig. 2. The total cross sections for the UHE llii indicated processes as function of the
center of mass energy (Fargion,Mele,Salis 1999)
dump UHE II via Z (s-channel), via virtual W (t channel) or Wand Z pair pro-
ductions. The latter cross-sections are less efficient than the Z (s-channel) but
are not fine tuned or restricted on a (very light, nearly half eV) relic neutrino
mass. The corresponding cross sections for such v v interactions are shown in
Fig. 2; their secondaries may be final UHE anti-protons (or anti-neutrons) or
UHE protons (or neutrons) (Fargion,Mele,Salis 1997-1999) responsible of final
observed UHECR above GZK cut off. The interaction efficiency by relic light
neutrinos via UHE v at GZK cut off is thousands times larger than UHE v
interactions on Earth atmosphere and/or direct UHECR (nucieons,nuciei) prop-
agation above GZK distances. Therefore light neutrino mass may explain both
hot dark matter and UHECR above GZK (as well as their recent arrival cluster-
ing in triplets or doublets). If this solution is correct we are already testing both
the neutrino mass the relic neutrino density and the UH E neutrino flux. Just
to underline the v mass roles of a few eV in modern high energy astrophysics
we remind also the important case of a SN ejected neutrino burst (at MeV s
energies) arriving slowed by its mass relativistic flight and delayed respect to
the arrival of the massless prompt super-nova gravitational burst. The expected
time delay between the massive neutrino with the massless graviton wave burst,
offer an additional test to the elusive neutrino mass detection:
.1t", 50 sec (5~~V r2
(5n;v)2 (Jpc)' (Fargion 1981).
3.1 Discovering Horizontal T air-shower observable on front of

mountain chain
Therefore UHE Tau E r 2: 105 GeV - 5.107 GeV air-shower in front of high moun-
tains chains will be easily induce peculiar horizontal UHE T (Fargion, Aiello,
682 Daniele Fargion
Conversano 1999). Energies above will be probably missed. An hybrid detector

(gamma/optical air-shower array) would get precise signal and arrival direction.
Because of the different neutrino interactions with energy it will be possible to
estimate, by stereoscopic, directional and time structure signature, the spatial
air-shower origination in air, the primary tau distance decay from the mountain
(tens or a hundred of meters for fine tuned PeVs UHE fie and meters up to
few Kms for UHE vr,fir at wider energy window E r 2: 10 5 GeV - 5 . 107 GeV.
Additional energy calibration may be derived sampling shower intensities.
Hundreds of array (scintillator,Cherenkov) detectors in deep wide valley hori-
zontally oriented would be necessary to get tens T air-showers events a year.
Screening by undesirable lateral or downward noisy cosmic rays or natural radi-
ation is achieved by directional and time clustering filter; the induced fiee -t T
air shower even in absence of vlJ. B Vr oscillation should be well identified and
detectable. The atmospheric iie ones (secondary by common UHECR) are sup-
pressed by a severe power law. Its unique fie origin is marked by the peaked W
resonance, and by the small mountain fie opacity and its high neutrino cross-
section. Its identity is marked by the expected fine tuned PeV energy at W peak.
More copious (> 5 times more) events by PeV up to tens PeV charged current
vrN interaction occur following Super Kamiokande flavour mixing discover.
3.2 The signature of upward T PeV-EeV air-shower discovered

from top of mountains,balloons and satellites
It will be also possible to observe UHE V r , by the upward tau air-shower arriving
from tens or hundred Kilometers away (near horizontal edges) from high moun-
tains, high balloon and satellites; such UHE tau created within a wide (tens
thousands to millions square km 2 wide and hundred meter UHE Tau depth in
Earth crust) target would discover only UHE vr,iir neutrinos at PeV up to EeV
energies and above, just within the mysterious GZK frontiers. The discover will
need capable gamma, optical and mainly muon bundle detectors within present
technology .
From the same highest mountains, balloons and near orbit satellite, looking more
downward toward the Earth it is possible to discover more frequent but lower
energetic astrophysical :: PeV - tens PeV neutrinos still nearly transparent to
the Earth volume (Gandhi et al. 1998), (see Fig.3).
The UHE neutrinos ve,vlJ. iilJ. are default and expected UHECR ( ~ 10 16 eV)
secondary products near AGN or micro-quasars by common photo-pion decay
relics by optical photons nearby the source (PSRs, AGNs) (p+')' -t n+7r+, 7r+ -t
J..L+ vlJ. , J..L+ -t e+VeiilJ.), or by proton proton scattering in galactic interstellar mat-
ter. The maximal observational distances from mountains, balloons or satellites,
may reach,...., no Km (h/ K m) t toward the horizon, corresponding to a UHE T
energy ,...., 2.10 18 eV (h/Km)L Therefore we propose to consider such upward
shower nearly horizontal detection from high mountains to test this highest vrvr
energy window almost opaque to Glashow UHE ve fluxes just comparable to the
GZK cut off energies.
_-n"__.. . . . .
1 0 17 r.-.-.-......__................-.-.-........~....- ..............................
lOU
lOU
lOu
10 13
10 ' •
IOu
10 10
10·
10
10'1
108 ~......................-....,.........,~"'"-=-.-.-=--~~'"*'".......,~....,.,~
10 100 tOOO 10 10 10· 10"
E.. [GeV)
Fig. 3. The Gandhi et all (1998) UHE neutrino ranges as a function of UHE neutrino
energy in Earth with overlapping the resonant iiee, vrN interactions; below in the
corner the UHE T range, as in Fig 1, at the same energies in matter (water).
The expected downward muon number of events Nev(iiee --+ iiJ1.J.L) in the
resonant energy range, in Km 3 , [Table 7,The Gandhi et all,1998] was found to
be N ev = 6 a year. One expect a comparable number of reactions (vee --+ vrr).
However the presence of primordial Vr , vr by flavor mixing and V r , vrN charged
current interactions lead to a factor 5 larger rate, N ev = 29 event/year.
If one imagines a gamma/optical detector at 5 km far in front of a chain mountain
as the Alps Argentier valley (size 10 km, height 1 km) one finds a r air shower
volume observable within a narrow beamed cone (Moliere radius '" 80 m /
distance", 5 Km): (..:1B '" 10, ..:1.0 '" 2 . 10- 5 ) and an effective volume Veii ~
9.10- 5 Km 3 for each observational detector. Each single detector is comparable
to roughly twice a Super Kamiokande detector. Following common AGN - SS91
model [The Gandhi et all,1998] we foresee a total event rate of: (6) (vee) + (29)
(vrN) = 35 UHE V r event/year/Km3 . At energies above 3 PeV we may expect a
total rate of Nev '" 158 event/year in this Alps Argentiere mountains valley and
nearly 3.2 .10- 3 event/year for each m2 size detector. In a first approximation,
neglecting Earth opacity, it is possible to show that the Earth volume observable
from the top of a mountain at height h, due to UHE r at 3 PeV crossing from
below, is approximately V ~ 5 . 104 Km 3 m) (3 C;
These upward shower :ev ).
would hit the top of the mountain. For the same r air shower beaming (..:1B '" 10 ,
..:1.0 '" 2.10- 5 ) we derive now an effective volume'" 1 Km 3 . Therefore a detector
open at 21T angle on a top of a 2 Km height mountain may observe nearly an event
every two month from below the Earth. The gamma signal above few MeV would
684 Daniele Fargion
be (depending on arrival nadir angle) between 3· 10- 2 cm- 2 (for small nadir
angle) to 10- 5 cm- 2 at far distance within 3 PeV energies. A contemporaneous
(microsecond) optical flash (;<: 300 -;- 0.1 cm- 2 ) must occur. Keeping care of the
Earth opacity, at large nadir angle (;<: 60°) where an average Earth density may
be assumed « p >'" 5) the transmission probability and creation of upward
UHE T is approximately
(5)
This value, at PeV is within a fraction of a million(O~600) to a tenth of thou-
sands (O~900). The corresponding angular integral effective volume observable
from a high mountain (or balloon) at height h (assuming a final target terrestrial
density p = 3) is:
Veii ~ 0.3 Km 3 (f!.) (~) e-(s!ev) (~) 1.363 (6)

3 Km 3PeV
This rate is quite large and one expected T air air-shower signal (gamma burst
at energies ;<: 10 MeV) should be ¢"'( ~ 10- 4 -;-10- 5 cm- 2 , while the gamma flux
at ('" 105 eV) or lower energies (from electron pair bremsstrahlung) may be two
order of magnitude larger.
The optical Cherenkov flux is large <Popt ~ 1 cm- 2 •
4 The signature of Upward T Air Shower in Terrestrial

Gamma Flash
The tau upward air showers born in a narrow energy window, 10 15 eV ,:::; E v ,:::;
5 . 1016 eV (Fig.3) may penetrate high altitude leaving rare beamed upward
gamma shower bursts whose sharp ('" hundreds J.Lsec because of the hundred
kms high altitude shower distances) time structure and whose hard (;<: 105eV)
spectra may hit near terrestrial satellites. We claim (Fargion 2000) that such
gamma upward events originated by tau air showers produce gamma bursts
at the edge of GRO-BATSE sensitivity threshold. In particular we argue that
very probably such upward gamma events have been already detected since
April 1991 as serendipitous sharp (,:::; 10- 3 sec) and hard (;<: 105 eV) BATSE
gamma triggers originated from the Earth and named consequently as Terrestrial
Gamma Flashes (TGF).
4.1 The asymmetry in up-ward Tau Air-shower timing
Upward and Downward air-showers are not symmetric event at all because
the different atmosphere densities at sea level and high altitude. Indeed at sea
level T air-shower holds just a J.Lseconds. But at high level T decays to produce
millisecond showers.
The arrival time of'Y air-shower (bremsstrahlung photons) is ruled by the last
atmosphere distances where the gamma emission has been originated (while
being nearly unabsorbed). The mean energy deposition profile in air shower is
given by a common gamma distribution:
dE Eob(bt)a-le-bt
(7)
dt r(a)
where the a-dimensional shower depth distance t = ;0 and the a-dimensional
energy y = f, are well known variables. The characteristic critical energy E c
(see B. Rossi or Longair text book) is, in air, around 100 MeV value. The air
shower maxima occurs at an a-dimensional depth t max = a"b 1 , while the char-
acteristic shower distance X s == ~, being b ::: 0.5, is X s ::: 2Xo; (note that
t max = a"b 1 ::: (in y + ~) defines a for a photon-induced cascades). Naturally the
radiation length X o is the same for upward and downward air showers. However
the corresponding length distances are very different because the different alti-
tudes (sea level and high altitude) where the shower takes place, have extremely
different densities. The air density decreases, respect to the sea level height,
with altitude z as p = poe-to, ho ::: 8.55 K m. If one considers the sea level case
X o = 36.6 g/cm 2 and the radiation distance is X o = 304.2 m, the shower length
is X s ::: 608.4 m and the corresponding shower scale time is (as it is well known
and as it is observed in common downward air showers) t s = ~ ::: 2J.Ls. If now
we consider upward T air shower arising on the top atmosphere altitude, than
the same X o = 36.6 g/cm 2 corresponds, in a more diluted upward atmosphere to
distances X o ::: 22 km and in a first approximation to a shower length X~ ::: 44
km leading to t~ ::: 75 t s rv 0.15 ms. Additional time dilution must be considered
for the arrival nadir angle (): t~ rv c~~2() ms and for geo-magnetic Larmor preces-
sion of relativistic electrons. More precisely, the T air shower timing is related to
the total distance from the earliest atmosphere last scattering (Xo rv 36.6 g/cm 2
and h ::: 22 km) up to the BATSE satellite height (rv 500 km). To summarize
the maximal upward T air shower extend up to t~ rv c ~~~ () km > 2 ms.
The exponential density decay in upper atmosphere makes most of the brems-
strahlung radiation generated at lowest (tens of kms altitudes) implying a fast
raise of the gamma flash within a few tens of millisecond, (as the observed TGF
ones) even if the gamma signal must also extend up to few millisecond times
as indeed observed in TGFs. Different Tau Air-shower Channel (as well known
in particle data text) and their consequent bifurcation may lead to rapid TGF
millisecond timing modulations as the observed ones.
4.2 Terrestrial Gamma Flash by Tau Air-Showers
The visible Earth surface from a satellite, like BATSE, at height h rv 400 Km
and the consequent effective volume for UHE IIr N PeVs interaction and T air
shower beamed within Lln rv 2 . 10-5ra~ is: (note ::: 1.6 because 70
% of the Earth is covered by seas) Vef/ = VTOTLln ::: 60Km 3 . The effective
volume and the event rate should be reduced, at large nadir angle (B > 60°)
by the atmosphere depth and opacity (for a given E r energy). Therefore the
686 Daniele Fargion
observable volume may be reduced approximately to within 15 Km 3 values and

the expected UHE PeV event rate is
N ev '" 150. e-(3~~V) E)

(__T_ 1.363 ( h ) events
(8)
3PeV 400Km year
The TGF signals would be mainly 'Y at flux 10- 2 cm- 2 at X hundred keY
energies. The observed TGF rate is lower than the expected one (eq. 7) by
nearly an order of magnitude, and this suggests higher E v energies (to overcome
BATSE threshold) and consequently small additional probability suppression
fitting the observed TGF events rate. However since 1994 (Fishman et al.) TGF
understanding of presently known 75 records over nearly eight thousand BATSE
triggers is based on an unexpected and mysterious high latitude lightening of
geophysical nature (the so called "Sprites" or "Blue Jets"). We do not believe
in that interpretation. We notice that among the 75 records only 47 are pub-
lished in their details, while 28 TGF are still unpublished. Their data release is
therefore urgent and critical. While Blue Jets might be in principle triggered by
upward tau air showers in the atmosphere (a giant "Wilson" room) we believe
they are not themselves source of TGF. In particular their observed characteris-
tic propagation velocity (:;; 100 Km/s) from distances", 500 Km, disagree with
short TGF millisecond timing and would favor a characteristic TGF time of few
seconds.
Moreover TGF data strongly dis-favor by its hard spectra the terrestrial Sprites
connection. On the contrary the expected UHE tau upward air showers lead to
a gamma burst flux, spectra, and fine time structure fluence in agreement with
the observed TGF ones and in agreement with the expected flux models. The
correlations of these clustered TGFs directions toward
(1) well known and maximal powerful galactic and extra-galactic sources either
at TeV, GeV-MeV, X band ,(2) recent first anisotropy discovered on UHECR
at EeV by AGASA, (see Fig.4, and Hayoshida et al. 1999) (3) the Milky Way
Galactic Plane (Fig. 4), support and make compelling the TGF identification as
secondary gamma burst tail of UHE r induced upward air shower. The present
TGF-r air-shower identification could not be produced by UHE ve charged cur-
rent resonant event at (EVe = M'f.., /2m e = 6.3· 10 15 eV), because of the severe
Earth opacity for such resonant ve, and therefore it stand for the UHE VTVT
existence. Consequently it gives support to the Superkamiokande evidences for
vI-' t-t V T flavor mixing from far PSRs or AGNs sources toward the Earth. At the
present the very probable VTVT source of TGFs and their probable partial galac-
tic location infer a first lower bound on .1mv"v.,. (L < 4 Kpc, .1 mv"v.,. > 10- 8
eV2 ) and it offers a first direct test of the same existence of the last evanescent
(hardly observed only recently), fundamental neutral lepton particle: V T and vT •
Terrestrial Gamma Flashes on EeV Cosmic Ray Map

90 -,.----.,.,.,..,=
70 4
50 ~-
~ 30
2
o
'.g 10
C -10 o
U
ell -30 ·1
C
-50 ·2
·70 J
270 180 90 o
Right Ascension Degrees
Fig. 4. Terrestrial Gamma Flash in celestial coordinate over UHECR diffused data by
AGASA cosmic rays at EeV energies.
References
1. J. G. Learned, S. Pakvasa: Astropart. Phys. 3, 267 (1995)
2. R. Gandhi, C. Quigg, M.H. Reno, I. Sarcevic: Phys. Rev. D 58, 093009 (1998)
3. D. Fargion, A. Salis: In: Proc. 25th ICRC, Salt Lake City, 1997, HE-4-6 (1997)
pp. 153-156
4. D. Fargion, A. Salis, B. Mele: Ap. J. 517, 725-733 (1999),
5. D. Fargion: Lett. Nuovo Cimento 31, 499 (1981)
6. D. Fargion, A. Aiello, R. Conversano In: 26th JCRC, Salt Lake City, USA, 1999,
HE.6.1.10 (1999) pp. 396-398
7. D. Fargion: 'Discovering Ultra High Energy Neutrinos by Horizontal and Upward
tau Air-Showers: First Evidences in Terrestrial Gamma Flashes', astro-phj0002453,
(2000). D.Fargion: 'Detecting Ultra High Energy Neutrinos by Upward Tau Air-
showers and Gamma Flashes' astro-phj0005439 ,in Februry DARK 2000 Confer-
ence in UCLA.(2000).
8. YN. Hayashida et al.: In: Proc. 26th ICRC, Salt Lake City, 1999, OG.1.3.04 (1999)
pp.256-259
Neutrino Astronomy and Indirect Search
for WIMPs
Teresa Montaruli 1 for the MACRO Collaboration
Universita di Bari, Dipartimento di Fisica and INFN-LNF,

Via Amendola 173, 1-70126 Bari, Italy
Abstract. The results of a search for high energy neutrino point-like sources and
WIMPs using about 1200 neutrino-induced upward-going muons detected by MACRO
are presented. These data show no evidence for possible alternative sources than at-
mospheric cascades. MACRO is one of the most sensitive experiments at the moment
for these searches.
1 Neutrino astrophysics
Neutral particles, such as photons, neutrons and neutrinos, and UHE protons
of energies .2: 107 TeV point back to their sources as they are not deflected by
magnetic fields during their propagation. Hence they are probes to study our
universe. Nevertheless, photons are absorbed due to pair production and can
provide information about regions narrower than,...., 100 Mpc for E"( .2: 1 TeV.
Protons with Ep .2: 50 EeV are absorbed in p + 'Y -+ N 1r reactions, hence they
probe distances .$ 50 Mpc. Due to their decay, neutrons can explore narrower
regions (,CTo ,...., 10 kpc for En ,...., EeV). In order to explore the region above
,...., 100 TeV the use of neutrinos as probes seems to be a unique possibility due to
their weak cross sections. On the other hand, large volume detectors are needed
due to the small cross sections and to the small expected neutrino fluxes. The
observation of astrophysical neutrinos with E v .2: 1 GeV would open the field of
high energy neutrino astronomy complementary to gamma ray astronomy.
The production of neutrinos in sources requires the existence of hadronic pro-
duction processes which would be supported by the existence of photon emissions
with E"( .2: 100 TeV, which could not be accessible to electromagnetic energy loss
processes. The most plausible model for a neutrino source is the "beam dump
model" [1,2]. The acceleration process requires the presence of a strong mag-
netic field with sufficient local gas of matter or photons to act as a beam dump.
The result of the chain of reactions of pion and muon decays is neutrinos and
antineutrinos of electron and muon flavors. Neglecting the photon absorption ef-
fect, which is subject to very large uncertainties, the neutrino flux has the same
spectral shape and intensity with respect to the gamma ray flux. The neutrino
spectrum from cosmic accelerators is a power law £ex: E-"( with 'Y ,...., 2 - 2.5,
while atmospheric neutrinos with energies .2: 100 GeV have a softer spectrum
with 'Y ,...., 3.7 [2]. Atmospheric neutrinos are a background for the search for
astrophysical neutrinos. Due to their steeper spectrum with respect to neutri-
nos produced by cosmic accelerators, the signal to noise ratio becomes larger
T. Montaruli 689
at increasing energies. Neutrinos can be detected underground as upward-going

muons produced by charged current interactions in the rock surrounding the
detector. Neutrino events are discriminated from among the background of at-
mospheric muons recognizing that they travel from the bottom to the top of the
apparatus after having crossed the Earth.
Candidate sources can be divided into two wide classes: galactic and extra-
galactic sources. Galactic sources are energetic systems, such as binary systems
and supernova Remnants (SNRs), in which cosmic rays are accelerated and in-
teract with matter (mainly protons). According to calculations [3], the rate of
neutrino-induced upward-going muons is of the order 0.1 ev/yr/1000 m2 for
EI-' >1 GeV. Young SNRs could produce larger rates of about 5 events/yr in
1000 m 2 for Ell ~ 100 GeV [4].
Possible extra-galactic sources are active galactic nuclei (AGNs) and ,-ray
bursters (GRBs). The dominant mechanism for producing neutrinos is accel-
erated protons interacting on ambient photons [5]. Present models on AGNs
assume the existence of a central engine (massive black hole) with an accre-
tion disk and jets for blazars [2]. Expected event rates for blazars are of the
order of 10- 2 - 10- 1 /1000 m2 /yr for Lorenz factors r = 10 - 102 and Ell > 1
TeV [6]. Calculations on diffuse fluxes based on the integrated distribution of
cosmological AGNs [7,8] predict upward-going muon rates rv 10- 1 - 10/1000
m2 /yr for Ell > 1 TeV, but they begin to be in trouble with experimental lim-
its [9,10]. GRBs are considered as promising sources of high energy neutrinos:
models are mostly developed in the fireball scenario [11-14]. Expected rates are
rv 2 . 10-
2
upward-going muons/1000 m2 /yr for 471" sr for 103 bursts/yr over 471"
sr for Ell ;::: 100 TeV [11].
An upper limit on diffuse neutrino fluxes with Ell ;::: 10 14 eV derived from
EAS measurements of high energy cosmic rays [15] excludes most of the AGN
models on v production. Nevertheless, this limit applies to neutron transparent
sources. Moreover, other authors [16] find a comparable limit in the range of
Ell rv 10 16 - 18 eV, while at other energies their limit is larger by rv 102 .
2 Indirect search for WIMPs
If WIMPs are in our Galactic halo, they can become gravitationally trapped
inside the core of celestial bodies, such as the Earth and the Sun. Underground
experiments can test this hypothesis looking for by-products of WIMP annihila-
tion such as neutrino-induced upward-going muons with energies between rv 10
GeV-1 TeV. The signature would be a statistically significant excess of neutrino
events in the direction of the vertical of the apparatus and of the Sun between
the atmospheric neutrino events of known distribution.
One of the best motivated WIMP candidate is the lightest SUSY particle
(LSP) which in the Minimal Supersymmetric Standard Model (MSSM) is ex-
pected to be stable (if R-parity is conserved). The LSP can be the lightest
neutralino state X, a linear combination of Higgsinos and gauginos. Direct and
indirect searches at underground detectors explore SUSY parameters and are
690 Neutrino Astronomy and search for WIMPs
complementary to collider searches. LEP experiments set a lower limit on m x

at .2: 40 GeV [17]. Direct searches look for a direct scattering of a WIMP from
a nucleus in the detector. The DAMA experiment ("" 100 Kg NaI(TI)) sees an
indication of an annual modulation of amplitude ;S 7% of the rate which could
be due to the Earth's motion around the Sun and the change of the Earth's ve-
locity relative to the incident WIMP. The 57986 kg . day data favor the possible
presence of a WIMP with mw = (52:~O) GeV [18] at 4a c.l.. MACRO probes
some of the susy models which can be singled out considering the modulation
observed in DAMA.
Various calculations of the upward-going muon flux induced by neutralino
annihilation in the Sun and in the Earth exist [19-21]. Much work is in progress
and is still needed in order to investigate models which would lower [22] or
enhance [23] the calculated fluxes from the Earth by 2 orders of magnitude.
Various experiments have recently presented results on indirect WIMP search
through neutrino measurement, such as Baksan [24], Super-Kamiokande [25],
Baikal [26] and AMANDA [10]. MACRO results are in [27,28].
3 Neutrino detection in MACRO
The MACRO detector at the Gran Sasso Laboratories [29], under an average
rock coverage of "" 3700 mwe, which reduces the surface muon flux of "" 10- 6 ,
has overall dimensions of 12 x 76.6 x 9 m3 . A streamer tube system of"" 20,000
m2 reconstructs tracks with angular resolution ~ 10 . MACRO pointing capabil-
ities has been checked through the Moon shadow measurement using about 40
million muons, with 5.5a significance [30]. The time-of-flight (T.o.F.) measure-
ment is performed using 600 tons of liquid scintillator inside 12 m long boxes
(time resolution"" 500 psec). The lower part of the apparatus is filled with rock
absorber setting a 1 GeV threshold for vertical /-lS.
MACRO detects neutrinos in three topologies. Low energy neutrinos «
E v >"" 4 GeV) interacting in the lower part of the detector are measured as
upward leptons intercepting the 2 upper scintillator layers. Stopping muons to-
gether with downward-going leptons from II interactions in the bottom part are
selected through topological cuts. Higher energy events « E v >"" 50 - 100
GeV) are detected through the T.o.F. measurement. About 50% of the tracks
cross 3 scintillator layers. Fig. 1 shows the response curve (detected events as a
function of E v ) for atmospheric neutrinos for the 3 topologies. For the WIMP
and II astronomy searches we use those events detected by the T.o.F. technique.
The upward-going muon measurement relative to the construction period of
MACRO (Mar. 89-Apr. 94: 1.38 yr of running of 1/6 of the lower apparatus and
0.41 yr of the lower detector, inefficiencies included) is described in [31]. Since
then, MACRO is in its full configuration Results are in [32] and [33] for high
energy and low energy events. In this paper we present the updated results for
II astronomy and WIMP search updated to March 2000 (4.80 yr, inefficiencies
included).
T. Montaruli 691
...,
DTh,,,u9"~"ln9
D~_S .-: . ~ "......

"'"
:>
I<.l
10
10 7
8
OOW~lm"oo. II
Dlnl..,nal Up
10 6
10
5
I.
J~
10'
'097 UP90'"9 I"j \
JOJ
10 2
/ '
\,
,!
,,;
10
.r:\.-
'1'- .
;.
'1: rr~~"
0 2 J 4
3
10 10 }04
E. GeV 1-13
Fig. 1. On the left: expected number of eventsjyr vs E" for atmospheric neutrinos. On
the right: 1/(3 distribution for the full detector configuration data.
For the WIMP search for the Earth and the neutrino oscillation analysis we
use the cleanest sample of throughgoing upward muons, made of 768 events se-
lected with the requirement that the track crosses at least 200 g/cm 2 in MACRO
rock absorber, which reduces the background due to soft 71'S produced at large
angles by downward-going f.1S to '" 1% [34J. Releasing this cut, we use 1197
upward-going f.1S (of which 1097 are measured with the full detector) for the
search for the Sun because background rejection is not so critical for moving
sources and the increase in exposure offsets the slight increase in background.
Fig. 1 shows the 1/(3= cLJ.T/ L (L is the track-length, and c the speed of light)
distribution for the full detector data set. In this convention, downward-going
muons have 1/(3 ,...., 1, while upward-going muons have 1/(3 '" -1. In Fig. 2 we
show the measured angular distribution of the flux of upward-going muons with
EI" > 1 GeV for the cleanest sample of 768 events.
4 Point-like astrophysics neutrino sources with MACRO
MACRO results on point-like v sources are in [36J. The differential number of

neutrinos which produce detectable muons as a function of the neutrino energy
(response curves) for a source of differential spectral index "( = 2.1 and 2.5 at
a declination of -60 0 including absorption in the Earth is shown in Fig. 2. For
"( = 2.1 the median neutrino energy is about 15 TeV, while for the atmospheric
neutrinos it is between 50-100 GeV (Fig. 1).
The search for astrophysical point-like sources uses the direction information
of upward-going muons. We evaluate the background due to atmospheric neutri-
nos randomly mixing for 100 times the local angles of upward-going events with
..... 10 ;. 0.04 .,.............-..........,.....,...,...,.................-...................

..,
"7...
9 '" 6 -60"
"7.., ~.OJ5
"! 8
::
i:j ....... 6",,' - ~ O.OJ
7
:;: ~
........,..z 1
• TA II .0 JI;t 2 _ 1 0 44_ 1 14 ""0.025
0.02
0.0/5
0.0/
OJ)05
"E
~ 0./ .0.9 -0.8 ·0.7 -Q.6 -0.5 ·0.4 -Q.J ·0.2 ·0./ 0
~ ~e
Fig. 2. On the left: zenith angular distribution of the flux of upward-going muons with
EJ.l > 1 GeV. The expected flux is calculated using Bartol flux [35] and the theoretical
17% error band is shown. On the right: response curve to neutrino fluxes with, = 2.5
(solid line) and 2.1 (dotted line) for a source at declination 8 = -60°. Earth absorption
is taken into account.
their times and smearing them by ±1Q0 in order to avoid repetitions. We have
considered the case of a possible detection of an unknown source represented by
an excess of events clustered inside cones of half widths 1.5°, 3° and 5°. Hence
we have looked at the number of events falling inside these cones around the
direction of each of the 1197 measured events. The cumulative result of this
search is shown in Fig. 3 for the data (full circles) and the simulation of at-
mospheric events (solid line). We find 77 clusters of ~ 4 muons around a given
muon (including the event itself), to be compared with 72.6 expected from the
background of atmospheric neutrinos.
For our search among known point-sources, we have considered several ex-
isting catalogues and between them we have selected 42 sources we consider
interesting. We find no statistically significant excess from any of the considered
sources with respect to the atmospheric neutrino background. For the 42 selected
sources we find 11 sources with ~ 2 events in a search cone of 3° to be compared
to 13.6 sources expected from the simulation. The 90% c.l. muon and neutrino
flux limits are given in Tab. 1 for some of the considered sources. The upper lim-
its are calculated according to [37]. These limits are valid for muon energies> 1
GeV and are calculated for a neutrino spectrum with 'Y = 2.1; they include the
effect of the absorption of muon neutrinos in the Earth, the collection efficiency
of the search half-cone of 3° for the expected signal. For comparison we include
the best limits from previous experiments. Fig. 4 shows the comparison of 90%
c.l. upper limits for various experiments.
T. Montaruli 693
Table 1. 90% c.l. v induced JL-flux limits for some of the candidate sources. Corre-
sponding limits on the v flux are given in the last column for Ellmin = 1 GeV. Limits
are calculated for, = 2.1 and for EIJ. > 1 GeV and include the effect of absorption in
the Earth. B indicates the results of Baksan [24]; I the ones of 1MB [38].
Source 0 Events Backg. JL-flux Prevo v-Flux l.
(0) in 3° in 3° limit limit Ell> lGeV
10- 14 10- 14 10- 6 cm- 2 S-1
SN1987A -69.3 0 2.1 0.14 1.15 B 0.29
CenXR-3 -60.6 1 1.8 0.33 0.98 I 0.62
GX339-4 -48.8 6 1.7 1.51 2.79
VeiaP -45.2 1 1.7 0.45 0.78 I 0.84
SNI006 -41.7 1 1.5 0.50 0.92
Gal Cen -28.9 0 1.0 0.30 0.95 B 0.57
Kep1604 -21.5 2 1.0 1.02 1.92
Sco XR-l -15.6 1 1.0 0.77 1.5 B 1.45
Geminga 18.3 0 0.5 1.04 3.1 I 1.95
Crab 22.0 1 0.5 2.30 2.6 B 4.30
Her X-I 35.4 0 0.2 3.05 4.3 I 6.45
MRK 421 38.4 0 0.2 4.57 3.3 I 8.74
A model on neutrino production in the Galactic Center has been suggested

in Ref. [39J. Cold dark matter could be accreted by the presence of a black hole
and redistributed into a cusp (called "central spike"). If dark matter is made
of neutralinos, most of these models for neutralino annihilation in the Galactic
Center in [39J are excluded by our experimental upper limit of rv 3.10- 15 cm- 2
S-l for a 3° cone (Fig. 4).
MACRO has set limits on GRB neutrino emissions using the direction and
time coincidences of 1182 neutrino events with 2704 GRBs detected by BATSE
is a search window of 10° and ±200 s: since no event is detected (Fig. 5) the
resulting upper limit for average burst is 6.9.10- 10 cm- 2 S-l. In Fig. 5 we show
the comparison of MACRO and AMANDA JL upper limits and models.
5 MACRO updated results on WIMPs

We refer to [27J for the details on the WIMP search analysis and background
estimation. Here results are updated for the sample of 768 events for the Earth
and 1197for the Sun. In the case of the Earth, the expectation from atmospheric
liS in the region of interest for the signal is larger than the data; we then evaluate
flux limits multiplying the expected number of events by the ratio of the data to
the expectation outside the cone where we look for the signal. This normaliza-
tion is motivated by the high uncertainty in the normalization of upward-going
muon flux calculations, whereas the shape error in the flux distribution is a few
percent only. Moreover, since the number of detected events is less than the
normalized expected events, we set conservative flux limits assuming that the
Me
JO
JO
o 2 4 JO 0 2 4 6 B JO
~ o f evenrs insid rhe one
,.half
Fig. 3. On the x-axis: number of events falling in cones of ,
width 3° and 5° around
the direction of any muon. The y-axis depends on the total number of events considered.
Circles: data. Solid line: simulation.
'.,
.o
':'e I IIACRO 1100 I.on" (ApJ 00)
u ,
•
SIC 1516 I ••n" (not publlshtd)
KGF 188 IS lAp.) 91)
~ 04
til
• IllS 516 (NUcIPllyss 95)
~
• Bakstn 682 .v (IC I E 103
~ 10 ~
~ 02
8-
Q.
:>
::>
::l. ~ 10 E-~\!t--_:....:..:..:.=-....;:,.~5Z.:.-.....:I
l,()
1 - OA NOW200 C\l 1
1\
1 0.1
., 10 10 2 103 104
10 w.-lIO~~-M"""""~-IO'::'--'.20~-'O~20""""-40'-'-'--:60~""80:"-'
Declination (degrees) m;< [GeV]
Fig. 4. On the left: MACRO upper limit for the Galactic Center compared to models
in [39] vs neutralino mass. On the right: comparison for various experiments of upper
limits for point-like sources.
number of measured events equals the number of expected ones [37]. With this
normalization, Earth limits considering v-oscillations agree with the ones in the
case of no oscillations within 7%. On the other hand, for the Sun, we use the
technique of mixing local coordinates and times of measured events to evaluate
T. Montaruli 695
..... ..'E
~ 10
~
.-----------_--,
..
.:;. X 100
It.4B IIm,t (907. C.l ) (1)
.., o
,~"
(b)
;"' .,
~ 100
(,)
~
10 r..-...-...-...-...-...-...-...-...-... IAACRO lim,t (907. C.L.) \2)
From AMANDA v f1utnct im,j
«IiI
:l.
.,. '89'0:121•
.,.
459mn,
..
10
..., /
....
..,.
Search cone 10'
± :!OO 5
----- ....
From W-B mod.1 (3)
.....
./ 4.' 4. 4., 041 ,

" U II . 10 ·12 •••••
·1 ·U -o.e .(J.7 -0.6 -0.5 .(J., ~1.3 -ll.2 -0.1 0

Cos (lli.GRB DIRECTION) COS e
Fig. 5. On the left: detection time difference between MACRO upward-going J-tS and
BATSE GRBs vs cosine of the angular difference. On the right: comparison for various
experiments of upper limits for GRBs vs cosine of the zenith angle (this dependence
shows the effect of Earth absorption on the flux of upward-going J-ts). AMANDA limit
has been derived from v limits using the flux in [15]. WB and new models presented
in [40] are shown.
the expectation from atmospheric vs. Hence oscillation effects are automatically
included in the given limits. In Tab. 2 we show measured and expected events
and flux limits calculated assuming a minimum J.t energy of 1.5 GeV and 2 GeV
for the Earth and the Sun, respectively. The minimum energy for the Sun is
higher because tracks pointing toward it are more slanted and hence cross more
material than vertical tracks pointing to the core of the Earth. The average
exposures (live~time times detector acceptance) for cones between 3° and 30°
is 4000 m 2 yr for the Earth and 1444 m 2 yr for the Sun. In Fig. 6 we show
MACRO upper limits (90% c.l.) on the upward muon fluxes (ElL 2: 1 GeV) as a
function of neutralino mass. They exclude some susy models calculated in [19J
and are competitive to direct best results [41 J. Fig. 7 we show the comparison
of MACRO limits at 90% and 99.7% with models in [42J singled out by DAMA
modulation signal [18J.
In Fig. 8 we compare MACRO exposure and limits with other experimental
results. Considering that different experiments evaluate upper limits according
to different methods the exposures are the parameters which provide the correct
information on the sensitivity of experiments.
.
,
~
10- 11
i
I
•
10- 11
8
~ 10- 12
! 10-12
L I.,
• 10-1' 10-1'
10-14 10- 14
10-1~ 10-1~
10-IS 10·IS
10- 17
0 100 160 200 260 300
m;(~V)
Fig. 6. Upward-going muon fluxes vs m x for E~h = 1 GeV from the Earth (left) and the
Sun (right) [19]. Dots correspond to variations of susy parameters. Solid line: MACRO
flux limit (90% c.l.). Open circles: regions excluded by direct measurements [41].
6 Conclusions
We have shown updated results of MACRO searches for point-like sources, GREs
and WIMPs. No signal has been detected and our upper limits are given. The
results have been compared to other experiments and theoretical models.
Acknowledgments
I would like to thank the Organizers of the Conference for their kind hospitality.
Table 2. Observed events and expected atmospheric v-induced background and 90%
c.l. f..£ flux limits as a function of half-cone angles around the Earth core and the Sun. For
the Earth, the expected background events are multiplied by the ratio of observed to
expected events outside each cone. The Earth results are for the no oscillation scenario.
EARTH SUN
Half- Data Back- Norm. Flux Limit Data Back- Flux Limit
cone ground factor (EJl. > 1.5 GeV) ground (EJl. > 2 GeV)
events (cm- 2 S-I) events (cm- 2 S-I)
30° 127 211.3 0.82 1.81 x 10- 14 90 79.0 5.83 Xl0- 14

15° 37 56.9 0.78 8.77 Xl0- 15
24 20.2 2.59 xlO- 14
3° 1 2.6 0.77 3.06 Xl0- 15 2 0.9 9.95 Xl0- 15
T. Montaruli 697
J.. 1loWl<>. r. - . r. r......,., 1I.1Ioo;>Ol (liooo) J..IIol.U'. T• ......t.o••• To
'" - 0.1 O"V .,..,-. "l - 0.0 OeV cm-'

10-~
90% c. -0
) • { 0
10-tr ~1ACRO
10-.0 L.............I....l........"--l....I.........~..............J.........~
o 150 100 115D £00 1::;00 50 100 lUll EOO e::;,
ml( (GeV) fix (GeV)
Fig. 7. The figure is from [42] where explanation on models (dots) can be found. The
small black line was calculated from MACRO previous results in [42]. Updated MACRO
limits at 90% and 99.7% c.l. (upper and lower thick lines in left panel) are shown.
References
1. V. S. Berezinsky, C. Castagnoli & P. Galeotti, II Nuovo Cimento, 8e, 185 (1985)
2. T. K. Gaisser, F. Halzen & T. Stanev, Phys. Rep., 258, 173 (1995)
3. T.K., Gaisser, Nucl. Phys. B (Proc. Suppl.) 48, 405 (1996)
4. R. J. Protheroe, W. Bednarek & Q. Luo, Astropart. Phys. 9, 1 (1998)
5. V. S. Berezinsky and Z. Z. Gazizov, Phys. Rev. D47, 4206 (1993)
6. F. Halzen, 'Lectures on neutrino astronomy: theory and experiment'. In: Proc. of
TABI98, Boulder, CO, 31 May- 26 Jun. 1998 and astro-ph/9810368
7. F. W. Stecker et aI., Phys. Rev. Lett. 66, 2697 (1991)
8. A. P. Szabo & R. J. Protheroe, Astropart. Phys., 2, 375 (1994)
9. W. Rhode et aI., Frejus Collaboration, Astropart. Phys. 4, 217 (1996)
10. E. Andres et aI., AMANDA Collaboration. In: Neutrino 2000, Sudbury, Canada,
16-21 June 2000, astro-ph/0009242
11. E. Waxman & J. N. Bahcall, Phys. Rev. Lett. 78, 2292 (1997)
12. J. Alvarez-Muniz, F. Halzen, D. W. Hooper, Phys. Rev. D62, 093015 (2000)
13. J. P. Rachen & P. Meszaros, Phys. Rev. D58, 123005 (1998)
14. M. Vietri, Phys. Rev. Lett. 80, 3690 (1998)
15. E. Waxman & J. N. Bahcall, Phys. Rev. D59, 023002 (1999)
16. K. Mannheim et aI., astro-ph/9812398, subm. to Phys. Rev. D (1998)
17. LEPSUSYWG (ALEPH, DELPHI, L3 and OPAL), note LEPSUSYWG/99-03.1
at http://lepsusy.web.cern.ch/lepsusy/
18. R. Bernabei et aI., DAMA Collaboration, Phys. Lett. B480 23 (2000)
19. A. Bottino et aI., Astropart. Phys. 3, 65 (1995)
20. G. Jungman, M. Kamionkowski, and K. Griest, Phys. Rep. 267, 195 (1996)
21. L. Bergstrom, J. Edsjo, and P. Gondolo, Phys. Rev. D55, 1765 (1997)
5000 7
, Lin,its 90% c.l.
)..i-
t-A )
4500
2 6 "10-'· ..,-2
S-'
4000 1I1 yr n,x =

100 G V
3500 5
3000 4
_AR"T"' S I
2500
2000 3
1500 2
1000
1
500
0 c:- 0 c:-
co~ co~
en -co
..:.:: - en -co
..:.:: -
co ICCI co ICCI
ICCI ICCI
Fig. 8. On the left: Exposures for the Earth and the Sun for MACRO, Su-
perKamiokande [25], Baksan [24] and Baikal [26]. On the right: comparison of j.t upper
limits (90% c.l.)
22. A. Gould and S. M. K. Alam, submitted to ApJ and astro-ph/9911288 (1999)

23. T. Damour and M. Krauss, Phys. Rev. D59, 063509 (1999)
24. O. Suvorova. In: Beyond the Desert 1999, Castle Ringberg, Germany, June 6-12,
ed. by H. V. Klapdor-Kleingrothaus, I. V .Krivosheina, 853 and hep-ph/9911415
25. A. Okada for Super-Kamiokande Collaboration. In: 30 th JCHEP 2000, Osaka,
Japan, July 27-Aug. 2, 2000 and astro-ph/0007003
26. V. A. Balkanov et aI., Baikal Collaboration. In: 2nd NANP 99, Dubna, Russia, 28
Jun, - 3 Jul., 1999, Phys. Atom. Nucl. 63 951, 2000
27. M. Ambrosio et aI., MACRO Collaboration: Phys. Rev. D60, 082002 (1999)
28. T. Montaruli for MACRO Collaboration. In: 26th JCRC 99, Salt Lake City, UT,
Aug. 17-25, 1999, vol. 2, 277 and hep-ex/9905021
29. S. P. Ahlen et aI., MACRO Collaboration, Nucl. Instr. Meth. A324, 337 (1993)
30. M. Ambrosio et aI., MACRO Collaboration, Phys. Rev. D59, 012003 (1999)
31. S. P. Ahlen et aI., MACRO Collaboration, Phys. Lett. B357, 481 (1995)
32. M. Ambrosio et aI., MACRO Collaboration, Phys. Lett. B434, 451 (1998)
33. M. Ambrosio et aI., MACRO Collaboration, Phys. Lett. B478, 5 (2000)
34. M. Ambrosio et aI., MACRO Collaboration, Astropart. Phys. 9, 105 (1998)
35. V. Agrawal et aI., Phys. Rev. D53, 1314 (1996)
36. M. Ambrosio et aI., MACRO Collaboration, astro-ph/0002492, accept. ApJ (2000)
37. D. E. Groom et aI., Review of Particle Physics, Eur. Phys. J. C15, 1 (2000)
38. R. Becker-Szendy et aI., 1MB Collaboration, ApJ 444, 415 (1995)
39. P. Gondolo & J. Silk, Phys. Rev. Lett., 83, 1719 (1999)
40. L. Perrone, presented at NOW2000, see http://www.ba.infn.it/%7enow2000
41. R. Bernabei et a/., Phys. Lett. B 389, 757 (1996)
42. A. Bottino et aI., Phys. Rev. D62, 056006, (2000)
Status of the Neutrino Telescope AMANDA:
Monopoles and WIMPS
Presented by Wolfgang Rhode for the AMANDA Collaboration
X. Bai a , G. Barouch k, S.W. Barwickh, RC. Bay9, K-H. Becker b ,

L. Bergstrom m, D. Bertrand C, A. Biron d , O. Botnerl , A. Bouchtad ,
M.M. Boyce k , S. Carius e , A. Chenk, D. Chirkin 7 ,2, J. Conradi, J. Cooleyk,
C.G.S. CostaC, D.F. Cowen j , J. Dailingh , E. Dalbergm, T. DeYoung k,
P. Desiati d , J.-P. DewulfC, P. Doksus k, J. Edsjom, P. Ekstrom m, T. Feser i ,
M. Gaug d , A. Goldschmidt!, A. Goobar m, A. Hallgren l , F. Halzen k,
K. Hansonj , R Hardtke\ M. Hellwigi , G.C. Hill k, P.O. Hulth m,
S. Hundertmarkh, J. Jacobsen!, A. Karle k, J. Kimh, B. Koci k , L. Kopke i ,
M. Kowalski d , J.I. Lamoureux!, H. Leich d , M. Leuthold d , P. Lindahl e ,
P. Loaizal , D.M. Lowder 9 , J. Ludvig!, J. Madsen k, P. Marciniewskil ,
H.S. Matis!, T.C. Miller a , Y. Minaevam, P. MioCinovic9 , R Morse k ,
T. Neunhofferi, P. Niessen d , D.R Nygren!, H. Ogelman\
C. Perez de los Heros l , P.B. Price9 , K Rawlins k, W. Rhode b , S. Richter d ,
J. Rodriguez Martino m, P. Romenesko k, D. Ross h , H. Rubinstein m,
H.-G. Sander i , T. Scheider i , T. Schmidt d , D. Schneider k, R Schwarz k,
A. Silvestri 2 , \ G. Smoot!, M. Solarz 9 , G.M. Spiczak a , C. Spiering d ,
N. Starinskyk, D. Steele k, P. Steffen d , RG. Stokstad!, O. Streicher d ,
P. Sudhoffd , I. Taboadaj , M. Vander Donckt C, C. Walck m, C. Weinheimeri ,
C.H. Wiebusch d , R Wischnewski d , H. Wissing d , K Woschnagg 9 , W. Wu h ,
G. Yodh h and S. Youngh
(a) Bartol Research Institute, Univ. of Delaware, Newark, DE 19716, USA

(b) Fachbereich 8 Physik, BUGH Wuppertal, D-42097 Wuppertal, Germany
(c) Brussels Free Univ., Science Faculty CP230, Boulevard du Triomphe, B-1050
Brussels, Belgium
(d) DESY-Zeuthen, D-15735 Zeuthen, Germany
(e) Dept. of Technology, Kalmar Univ., SE-39129 Kalmar, Sweden
(f) Lawrence Berkeley National Laboratory, Berkeley, CA 94720, USA
(g) Dept. of Physics, Univ. of California, Berkeley, CA 94720, USA
(h) Dept. of Physics and Astronomy, Univ. of California, Irvine, CA 92697, USA
(i) Inst. of Physics, Univ. of Mainz, Staudinger Weg 7, D-55099 Mainz, Germany
U) Dept. of Physics and Astronomy, Univ. of Pennsylvania, Philadelphia, PA 19104,
USA
(k) Dept. of Physics, Univ. of Wisconsin, Madison, WI 53706, USA
(I) Dept. of Radiation Sciences, Uppsala Univ., SE-75121 Uppsala, Sweden
(m) Dept. of Physics, Stockholm Univ., SE-11385 Stockholm, Sweden
Abstract. The neutrino telescope AMANDA has been set up at the geographical
South Pole as first step to a neutrino telescope of the scale of one cubic kilometer, which
is the canonical size for a detector sensitive to neutrinos from Active Galactic Nuclei
700 Wolfgang Rhode for the AMANDA Collaboration
Fig. 1. Schematic view of the AMANDA-BlO detector. Each dot represents an optical
module on one of the 10 stings. A schematic view of one optical module is given on the
right. Superimposed is a graphical representation of an upgoing muon. The size of the
circles indicates the amplitude of the signal, the timing is given by their shading.
(AGN), Gamma Ray Bursts (GRB) and Topological Defects (TD). The location and
depth in which the detector is installed is given by the requirement to detect neutrinos
by the Cherenkov light produced by their reaction products and to keep the background
due to atmospheric muons as small as possible. However, a detector optimized for this
purpose is also capable to detect the bright Cherenkov light from relativistic Monopoles
and neutrino signals from regions with high gravitational potential, where WIMPS are
accumulated and possibly annihilate. Both hypothetical particles might contribute to
the amount of dark matter. Therefore here a report about the status of the experiment
(autumn 2000) and about the status of the search for these particles with the AMANDA
BI0 sub-detector is given.
1 Introduction and Status
The AMANDA-BIO detector consisting of 302 optical modules (OMs) on 10

strings started operating 1997. The strings are located on two concentric rings
of a cylinder with an outer diameter of 120m at a depth between I500m and
2000m below the ice surface. Each optical module contains an 8 inch diameter
photomultiplier tube (Hamamatsu R59I2-02) controlled by passive electronics
and housed in a glass pressure vessel (Fig. 1). By an electrical cable that provides
high voltage and transmits the signals from the OM they are connected to the
surface. The failure rate of the OMs is < 10% after several years of operation,
while most of the failures occur within a week after deployment, and may therfore
be regarded as small.
Status of the Neutrino Telescope AMANDA: Monopoles and WIMPS 701
The data taken with the AMANDA-BlO in the first year of operation were
first used for systematic studies of properties of the detector or the surround-
ing ice. Then cuts against the overwhelming background of downgoing muons
have been developed, so that we have now the possibility to prove AMANDA as
neutrino detector by the existence of a sample of upgoing muon events, which
follows clearly the expected angular distribution of atmospheric neutrino in-
duced muons. The investigation of the arrival directions of these neutrino in-
duced muons allows already now a search for local excesses in portions of the
sky (point sources), the comparison of the distribution of the Cherenkov light
deposition per event in data and Monte Carlo allows the exclusion of processes
with an unexpected high light deposition as from high energetic extraterrestric
neutrinos [1].
In January, 2000, AMANDA-II was completed. This enlarges the detector by
one outer ring of 9 strings and to a diameter of 200m. It consists now of 19 strings
with at total of 677 OMs. New surface electronics consolidates several triggering
functions and adds functionality. New scalers were installed that provides mil-
lisecond resolution - important for Supernova studies. Several technologies were
deployed to evaluate their utility and readiness for future expansion to larger
systems.
Three special investigations with the 1997 data set are discussed in this paper.
First one search for the atmospheric neutrino signal is discussed, then taking the
center of the Earth as point source location one looks for a signal of possibly
annihilating WIMPs, and further the search for a light excess from relativistic
magnetic monopoles. For detailed information about the AMANDA status see
[2-4].
2 Atmospheric Neutrinos
The effective lifetime of AMANDA in the period 1997 was 1.2 . 107 s. In this
time 1.2 . 109 triggers were recorded, which were nearly all induced by atmo-
spheric muons. Except from this is a Monte Carlo expectation of 4574 events
induced by muons from atmospheric neutrinos. Muons above an energy thresh-
old of about 30 GeV were reconstructed using a maximum likelihood method
for an adequate description of the photon scattering and absorption in the ice.
Restricting the field of view to upgoing muons after the reconstruction and after
quality cuts against misreconstructed events a number of 188 downgoing events
is opposed to a Monte Carlo expectation of 235 events. The difference in the
absolute number is still within the range of the systematic errors. In Fig. 2 (left)
the normalized zenith angle distributions of data and Monte Carlo are shown.
Since the shapes of both distributions agree, one can conclude that this sam-
ple contains dominantly neutrino induced muons. The muon energy corresponds
to the number of energy losses and thus to the amount of Cherenkov light ac-
companying the muon track. Therefore the spectrum of PMT pulses per event
reflects the energy spectrum of the investigated data sample. For the case of
the direction-selected sample of neutrino induced muons it follows as shown the
10'
30
I
• Exp.Oala - Ea:pn'imral
•••• l\1C:AtnMMipla.'Y
~ MC:At!'1'la. ...
25 .~ . MC:AGNv.E!
20
15 10
10
:I -I
I I I I I I I
-0.9 -0.8 -0.7 ·0.6 -0.5 -0.4 ·0.3 -0.2 -0.1

Cos(Zenith)
I
0
Fig. 2. Left: Angular distribution of atmospheric neutrino induced muons in Monte

Carlo (shaded boxes) and data (points), both with error bars. Right: Distribution
of the number of PM pulses for neutrino induced events. Data and Monte Carlo for
atmospheric neutrinos in comparison to the expected signal for the case of an generic
E- 2 -spectrum.
sample of Monte Carlo events (Fig. 2 (right)). From the comparison to the PMT
pulse spectrum corresponding to a neutrino energy spectrum proportional to
E- 2 , which is typical for extragalactic sources [5J a limit to such an additional
contribution may be derived. In an ongoing analysis we expect to reach a sen-
sitivity of dN/dE v = 1O-6E;2cm-2s-1sr-lGeV-l. For additional information
see [6,4].
3 WIMPS
A special point source location is the center of the Earth. From this location one
expects additional neutrino induced muons stemming from the WIMP annihila-
tion. The main background for this sample are muons induced by atmospheric
neutrinos.
WIMPs annihilate pair-wise to, e.g., leptons, quarks and gauge and Higgs
bosons. High-energy neutrinos are produced in the decays and/or hadronization
of these annihilation products. Neutrinos produced in quark jets (from e.g. bb or
Higgs bosons) typically have a lower energy than those produced from decays of
7 leptons and gauge bosons. The first type of annihilation channels is referred
as 'soft' (bb) and the second as 'hard' (W+W- above the W+W- threshold and
7+7- below). The hadronization and/or decay of the annihilation products were
simulated with PYTHIA [7]. For details, see [8J.
For the background calculation an atmospheric neutrino sample with energies
between 10 GeV and 10 TeV and zenith angles between 90 0 and 1800 equivalent
to a lifetime of 3 years has been simulated [9]. To get a clean sample in this
particular analysis five different levels of cuts are applied which cut on the zenith
angle, the number of hits, the track length and variables describing the space
II
~ 0.16
- ~ --
"5-
~D./4
1.1$
j'l
0./1
IJ
I:S r'" 01
T:
J ••• i 0'"'
-
o.].t L..j 0(6
0'>
....
01$ ..111
0 , 0.99.' 499 4Q&.f 49 4)"j 0" oMJ 096 0 , O"j 099 4"-' .(J,N 491J ..()" OSilUD91S
<os(e) <os(e)
Fig.3. Left: Angular distribution of the remaining data (full line) and simulated
atmospheric neutrino events (dashed line) after filter level 5. The angular range is
between 165 and 180 The atmospheric neutrino sample has been normalized to
0 0
•
the 135 days of lifetime of the detector in 1997. Right: Angular distribution of the
remaining fraction of simulated WIMP signal (mass 250 GeV with hard annihilation
channel) at filter level 5.
and time topology of the event [10]. At level 5, the data sample contains 15
neutrino events, which is consistent with the expected 16.6 events from the
atmospheric neutrinos. The passing rate for a WIMP with mass 250 GeV and a
hard annihilation spectrum is 29% at the same level.
In Fig. 3 the events at level 5 are plotted together with the prediction for
the atmospheric neutrinos [10]. Since there is no statistically significant excess of
nearly vertical neutrino-induced muons, from this an upper limit on the WIMP
signal is derived. Since the WIMP signal is peaked towards the vertical the
limit was optimized by a selection of an appropriate angular range. Using the
neutrino-to-muon conversion rate rJ.L1/ the angular range dependent limit on the
number of signal events limits is derived. In Fig. 4, the limits on the annihilation
rate are given and Fig. 5 shows the limits on the neutrino-induced muon flux and
the predictions from the MSSM [8] for the case that the WIMP is a neutralino
in comparison to other experiments.
The limits are influenced by experimental and theoretical systematic uncer-
tainties which affect the estimated background and the effective volume. The
precise effect is currently under detailed investigation, and it is expected to
somewhat worsen the limits presented here. For additional informations see [11].
4 Monopoles
The large instrumented detection volume of Neutrino Cherenkov telescopes makes
them interesting in the search for magnetic monopoles. Two detection mecha-
nism are possible.
~ 10 17 .--~~......-~~~r-~~",
- AMAHOA_ ~.I GiaoV
~1016 , - 8AKSAH 1.7 , - - - - . . . . . . . . . ,
....<
15
10
14 Hard
10 spectrum
13
10
12
10
10 11 AMANDA-Bl0
135 d IlIeU,.,.
10
10
3
10 10 10
Neulrallno mass (GaV)
Fig. 4. 90% confidence level upper lim- Fig. 5. 90% confidence level upper limits
its on the WIMP annihilation rate in the on the neutrino-induced muon flux for a
center of the Earth, as a function of the hard annihilation spectrum. Also shown
WIMP mass and for the two extreme an- are predictions from calculations in the
nihilation channels considered in the anal- MSSM [8J.
ysis.
A slow monopole ({3 ~ 10- 5 _10- 3 ) would be detectable by light emission of

particles emerging from monopole induced proton decay. Here, one would search
for increased PMT noise rates along the trajectory.
A fast monopole ({3 > 0.75) would be detected directly by the Cherenkov
light emitted along its trajectory. Since the energy loss is enhanced by
(1)
with (n{3)2 . (g/e)2 = (n{3)2 . (137/2)2 ~ 4700 (charge number n = 1) compared

to a minimum ionizing particle [12Jand also the Cherenkov light emittance of
monopoles in enhanced by n; = c2/ c;"ed = 1. 77 for water and ice compared to
electrically charged particles [13J, the effective area for monopoles is significantly
larger than for muons of the same energy. A monopole would emit roughly 8300
times the light of a muon.
Searches for these fast monopoles have been performed by both the BAIKAL
and the AMANDA experiment, where the former uses water, the latter ice as a
detecting medium.
The size of the generation disk was chosen so, that no events which would
cause a trigger are lost. A monopole is assumed having an infinite track length,
which is justified by the high predicted energies. A monopole of a mass sig-
nificantly below 10 11 GeV, and with a typical kinetic energy of > 10 12 GeV
fulfills still after crossing the Earth the condition that {3 > 0.75, necessary for
the emission of Cherenkov light in ice. Since the light emission from secondary
processes, such as pair-formation and a-electrons is only a fraction of (1%) of

the Cherenkov light, these processes were neglected in the simulation.
The background for the bright monopoles consists on muon bundles from
atmospheric air showers, providing a similar bright detector signal. However,
muon bundles penetrate only a depth of some kilometers and thus may enter
the detector from the upper sphere only. The separation between upgoing and
downgoing events was done by a X2 method comparing expected and actual light
arrival times at the modules in the detector. To ensure that this reconstruction
does not mix up tracks passing the detector form below or above, additional
variables were considered. These were (1) the number of channels hit (neh), (2)
the reconstructed track length (ldire) , (3) the number of hits where the time
difference tres between expectation and measurement was small (tres < 75 ns)
(ndire) and finally (4) the reconstructed particle speed vLF' The number of
background events which would appear in the available 135 days of data taken
in 1997 was estimated by means of a neural net, which lead to cuts in the
neh - ldire - ndire - vLF hyperspace.
'~ ;: ,.... [
"'f
!loucIon 2
E
,I
/
i!
j !
.I
1,0" .
K_GoIdFlold
10 4 a BAIKAL NT...."""'"
10 3 r1 MACRO PIttilM~nd
............ I
0"'.
'0
.,
•t AMAHOA8~
10
., 'i+----: _ JloO(,o"")
'0
·1 -0.75 -0.5 -0.25 0 0.25 0.5 0.75 1 0.4 0.6 0.8
COS9,8>1"pw=1
Fig. 6. Left: Cosine zenith distribution of events in experimental data surviving the
cuts. Upward moving particles have cos (B) = -1, downward have +1. Right:Flux
limits (90% C.L.) for relativistic monopoles gained from various experiments [14]. The
BAIKAL result [15] is based on T=72 days live time.
The three events left were found to be artifacts from crosstalk in the readout
electronics. This non observation of monopole events over a time T of 135 days
and a detection area A (determined by simulation) can be translated into a flux
limit via
PCL ~ ;~~
where N CL is the upper bound of an interval containing a fraction CL of a
Poisson distributed observable, which is 2.30 for CL=0.9 in the special case (no
events) given here. For detailed information see [16].
5 Conclusions
The analysis of the data taken with AMANDA B10 in 1997 demonstrates,
that AMANDA is an operational neutrino telescope, which also will contribute
to answer fundamental questions from the field of particle physics (WIMPS,
Monopoles). With the analysis of this data set the level of sensitivity of other
existing high energy underground experiments has been reached. From the ex-
tension to the 19 string detector AMANDA II and the ongoing data analysis
substantial improvements are expected.
Acknowledgment This research was supported by the U.S. NSF office of
Polar Programs and Physics Division, the U. of Wisconsin Alumni Research
Foundation, the U.S. DoE, the Swedish Natural Science Research Council, the
Swedish Polar Research Secretariat, the Knut and Alice Wallenberg Foundation,
Sweden, the German Ministry for Education and Research, the US National En-
ergy Research Scientific Computing Center (supported by the U.S. DoE), U.C.-
Irvine AENEAS Supercomputer Facility, and Deutsche Forschungsgemeinschaft
(DFG). D.F.C. acknowledges the support of the NSF CAREER program. P.
Desiati was supported by the Koerber Foundation (Germany). C.P.H. received
support from the EU 4th framework of Training and Mobility of Researchers.
St. H. is supported by the DFG (Germany). P. Loaiza was supported by a grant
from the Swedish STINT program.
References
1. Proc. 26th Inter. Cosmic Ray Conf.(ICRC99), Salt Lake City, UT, (Aug 1999).
HE 3.1.06, HE 6.3.07, HE 4.2.06, HE 6.3.01, HE 4.1.15, HE 5.3.05, HE
4.2.05, HE 6.3.02, HE 4.1.14, HE 4.1.14, HE 3.2.11, HE 4.2.07, HE 5.3.06 at
krusty.physics.utah.eduj icrc1999jproceedings.html.
2. E. Andres et al., Astropar. Phys. 13 (2000) 1.
3. E. Andres et al. astro-phj0009242.
4. E. Andres et al. Nature, to be published.
5. F. W. Stecker and M.H. Salamon, Space Sci.Rev. 75 (1996) 341-355; J. P. Rachen
and P. Meszaros, Phys. Rev. D58 (1998)123005; V.J. Stenger, J.G. Learned, S.
Pakvasa, and X. Tata, ed., Proc.High Energy Neutrino Astrophysics Workshop(U.
Hawaii), World Scientific, Singapore; Szabo and Protheroe.
6. A. Karle, et al. astro-phj9904379.
7. T. Sjostrand, Comm. Phys. Comm. 82 (1994), 74.
8. L. Bergstrom, J. Edsjo and P. Gondolo, Phys. Rev. D58 (1998), 103519.
9. E. Dalberg, PhD Thesis. Stockholm University (1999).
10. P. Loaiza, Licentiat thesis, Uppsala University (2000).
11. X. Bai, et al. astro-phjOOI2285.
12. V. Ianovski et al. hep-phj9909528.
13. I. Kolokolov et al. hep-phj9809420v3.
14. F. Cei et al. hep-exj9810012.
15. V. A. Balkanatov et al.Proc. 26th Inter. Cosmic Ray Conf.(ICRC99), Salt Lake
City, UT, (Aug 1999) Vo12, 217.
16. P. Niessen, PhD thesis, Humboldt Univ., Berlin 2000, unpublished.
The BAIKAL Neutrino Project: Status Report
V.A.Balkanoyl, I.A.Belolaptikoy7, L.B.Bezrukoyl, N.M.Budney2,

A.G.Chensky2, I.A.Danilchenko 1 , Zh.-A.M.Dzhilkibaeyl, G.V.Domogatskyl,
A.A.Doroshenko 1 , S.V.FialkoYsky4, O.N.Gaponenko 1 , O.A.Gress 2, D.D.Kiss 9 ,
A.M.Klabukoyl, A.I.Klimoy6, S.I.Klimushin 1 , A.P.Koshechkin 1 , V.F.Kulepoy4,
L.A.Kuzmichey 3, Vy.E.Kuznetzoyl, J .Ljaudenskaite2, B.K.Lubsandorzhieyl,
M.B.Milenin 4 , RRMirgazoy2, N.I.Moseiko 3, V.A.Netikoy3, E.A.Osipoya3,
A.I.Panfiloy\ Yu. V.Parfenoy2, L. V.Pan'koy2, A.A.Payloy2, E.N.PliskoYskyl ,
P.G.Pokhil\ V.A.Poleshuk 1 , E.G.Popoya3, V.V.Prosin 3, M.I.Rozanoy5,
V .Yu.Rubzoy2, Yu.A.Semenei 2, I.A.Sokalski\ CH.Spiering8 , O.Streicher8 ,
B.A.Tarashansky2, T.Thon 8 , G.Toht 9 , RV.Vasiljeyl, RWischnewski 8 ,
I.V.Yashin 3, and V.A.Zhukoyl
1 Institute for Nuclear Research, Moscow, Russia

2 Irkutsk State University, Irkutsk, Russia
3 Institute of Nuclear Physics, MSU, Moscow, Russia
4 Novgorod State Technical University, Nizhni Novgorod, Russia
5 St.Petersburg State Marine Technical University, St. Petersburg, Russia
6 Kurchatov Institute, Moscow, Russia
7 Joint Institute for Nuclear Research, Dubna, Russia
8 DESY-Zeuthen, Zeuthen, Germany
9 KFKI, Budapest, Hungary
Abstract. We review the present status of the Baikal Neutrino Project and present
preliminary results of a search for upward going atmospheric neutrinos, WIMPs and
magnetic monopoles obtained with the detector NT-200 during 1998. Also the results
of a search for very high energy neutrinos with partially completed detector in 1996
are presented.
1 Detector and Site

The Baikal Neutrino Telescope is deployed in Lake Baikal, Siberia, 3.6 km from
shore at a depth of 1.1 km. NT-200, the medium-term goal of the collabora-
tion [1]' was put into operation at April 6th, 1998 and consists of 192 optical
modules (OMs). An umbrella-like frame carries 8 strings, each with 24 pairwise
arranged OMs. Three underwater electrical cables and one optical cable connect
the detector with the shore station.
The OMs are grouped in pairs along the strings. They contain 37-cm diameter
QUASAR - photo multipliers (PMs) which have been developed specially for
our project [2,3]. The two PMs of a pair are switched in coincidence in order
to suppress background from bioluminescence and PM noise. A pair defines a
channel.
A muon-trigger is formed by the requirement of 2: N hits (with hit referring to
a channel) within 500 ns. N is typically set to 3 or 4. For such events, amplitude
and time of all fired channels are digitized and sent to shore.
708 V.A.Balkanov et al.
Here we present preliminary results of analysis of data, which were accumu-

lated in the first 234 live days of NT-200 as well as results obtained from the
analysis of data taken with NT-96, the 1996 stage of the detector.
2 Separation of Fully Reconstructed Neutrino Events
The signature of neutrino induced events is a muon crossing the detector from
below. The reconstruction algorithm is based on the assumption that the light
radiated by the muons is emitted under the Cherenkov angle with respect to
the muon path. The algorithm uses a single muon model to reconstruct events.
Determination of the muon trajectory is based on the minimization ofaX2
function with respect to measured and calculated times of hit channels. As a
result of the X2 minimization we obtain the track parameters ((), ¢ and spatial
coordinates). To reject the wrongly reconstructed events we use the set of quality
criteria. If the event doesn't obey any of chosen criteria, it is rejected as wrongly
reconstructed.
Data taken with NT-200 between 1998 April and 1999 February cover 234
days life time. For this period we got 5.3 . 107 events with trigger ~ 6/3. The
set of above criteria was applied to this sample yielding 35 events which pass
all of them. This number is in good agreement with 31 events expected from
neutrino induced muons for this period. The reconstructed angular distribution
,
Exp. - 35 events
10 r
Me expected. 31 evellts
I
I
0. 1 ·0.8 -0.6 -0.4 ·0.2 0
COS(e)
Fig. 1. Experimental angular distribution of reconstructed upward going muons in

NT-200. Filled histogram - Me expected distribution.
The BAIKAL Neutrino Project 709
for upward going muons from the experimental sample after all cuts is shown in
Fig. I.
3 Identification
of Nearly Vertically Upward Moving Muons
The search for weakly interacting massive particles (WIMPs) with the Baikal
neutrino telescope is based on the search for a statistically significant excess
of neutrino induced nearly vertically upward going muons with respect to the
expectation for atmospheric neutrinos. The method of event selection relies on
the application of a series of cuts which are tailored to the response of the
telescope to nearly vertically upward moving muons [4-6]. From 234 days of
effective data taking ten events were selected as neutrino candidates, compared
to 8.9 expected from atmospheric neutrinos. Regarding the ten detected events
as being due to atmospheric neutrinos, one can derive an upper limit on the
flux of muons from the center of the Earth due to annihilation of neutralinos -
the favored candidate for cold dark matter. The comparison of combined 90%
c.l. muon flux limits for six cones around the nadir obtained with the Baikal
neutrino telescopes NT-96 [4] and NT-200 (1998) with those obtained by Baksan
[7], MACRO [8], Kamiokande [9] and Super-Kamiokande [10] is shown in fig.2.
___ s r - - - - - - - - - - - - - - - - - - - - - ,
.,
i
III
E Kamiokande
.'"' 5 Saksan
j
o
MACRO
Super-K
f·-·-·-·-·-·-·-·~·i
j
i
: _ _._.i-·-··_·_·_···_····
_-_..,
3
BAIKAL
!
2
I ~-_ . __ .. r-r-.-.-.---
f---~ ~ ------------
i
..•...•...._....1 1------'
:- :-----
i
----_.'
~ .. _.. _...... _~ ,..-----'
, ,
,--:----
".,,---,,-,_•.£:::-".:
0-5 0-10 0-15 0-20 0-25 0-30

Zenith (degrees)
Fig. 2. Comparison of Baikal nearly vertically upward muon flux limits with those
from other experiments.
4 Search for Fast Monopoles ({3 > 0.75)

Fast bare monopoles with unit magnetic Dirac charge and velocities greater than
the Cherenkov threshold in water ((3 = vic> 0.75) are promising survey objects
for underwater neutrino telescopes.
In the present analysis of the first 234 live days data of NT-200, the following
cuts have been applied to the detected events. Number of hit channels N hit > 35.
The value of space-time correlation corzt > 0.6. At least two of all hit channels
have the amplitudes more than 400 ph.el. and the max(.1tij - ~) < 50ns,
where R ij and v - range between two hit channels and light velocity in the
water, respectively.
There are no events which survive all cuts. Using the MC calculated accep-
tance of NT-200, a 90% c.l. upper limit on the monopole flux has been obtained.
The combined upper limit for an isotropic flux of bare fast magnetic monopoles
obtained with NT-36, NT-96 [l1J and NT-200 as well as limits from underground
experiments MACRO, Soudan2, KGF, Ohya and AMANDA [12-16J are shown
in Fig.3.
5 The Limit on the Diffuse Neutrino Flux
In this section we present results of a search for neutrinos with Ell > 10 TeV
obtained with NT-96 [17].
,: ,: . ,. i . i, i. .i
, I i i iii iii
.;::!::::::::::::::::::::::~:::::::::::::~::::::::~::::::!:::::~:::~::::~:::F
. . ..,
'j'-j'-"-"-"-"-"-"-"j"-"-"-"-'l"-"-";"-"-j'-"-j-","-'j-"j"
.....
.._.._.._.._.._.. _.. -i.._.._.._.._.L..._.._.. ~ .._..-i._ .. -~_ ..-i.. _.~_ .. ~ ..
.-i.._~_
i i i iii; i
·-i·-i--··_··_··_··_··_··_··~··_··_··_··-·i-··_··_··}··-··-l·-··-i-··~··_·i-··+·-
J._kG£_.. _._._._.J.._.. _._. _.L.._.. _.l.._.. _L.. _L.. J.._.1-..1..

i i i i i i· i.i.
i .i
.
i i iii j i
i i i
· i
.i. .i .i
.
j._i._.._
_~._!.
.._.. _.. _.. _.. _.. ~ . _.. _.. _.. _.L.. _.. _.. l.. _. _i._.. _i_.. j .. _.L..1..
_.. _.. _.. _.. _.. _.. _.. ..,!.. _ .. _ .• _ •• _ .. _ .. _ .. J,. .. _ .. _!. _.. _!._ .. ..,! .. _. .!. ..
.~_ I ..
.-i.._,j._ .. _.. _.. _.. _.. _.. _.. -i.. _.. _.. _.. _.~ .. _.. _.. ,j.. .. _ .. _j._ .. _i_ .. ...4,,_. ..", ..
.-;'._j. _.. _..- .. _.. _.._.. - .. -i.. -.._.._.. --.;....._.._.. ~ .. _.._;. _.. -~ -.. ..j.. _·i .+..
:~:=!:=::=::=::=::=::=::=::~::=::=::=::=:t::=::=::t::: ::=j:=::=tB~ik~ t::
! I
i
· i.i
. .i .i
-16 :: iii i i
10 .i:!::::::::::::::::::::::j:::::::::::::r::::::::!::::::l:::::t:::j::::1:::±::
-1
10 1
{J = vic
Fig. 3. Upper limits on the flux of fast monopoles obtained in different experiments.
The used search strategy for high energy neutrinos relies on the detection of
the Cherenkov light emitted by the electro-magnetic and (or) hadronic particle
cascades and high energy muons produced at the neutrino interaction vertex in
a large volume around the neutrino telescope.
Within the 70 days of effective data taking of NT-96, 8.4 . 107 events with
N hit ~ 4 have been selected.
For this analysis we used events with ~4 hits along at least one of all hit
strings. The time difference between any two channels on the same string was
required to obey the condition I (ti - tj) - Zij / C I< a . Zij + 28, (i < j). The
ti, t j are the arrival times at channels i, j, and Zij is their vertical distance.
8 = 5 ns accounts for the timing error and a = 1 ns/m. 8608 events survive
the selection criterion. The highest multiplicity of hit channels (one event) is
N hit = 24. Since no events with N hit > 24 are found in our data we can derive
an upper limit on the flux of high energy neutrinos which produce events with
multiplicity Nhit >25.
The shape of the neutrino spectrum was assumed to behave like E- 2 as
typically expected for Fermi acceleration. In this case, 90% of expected events
would be produced by neutrinos from the energy range 104 -;-.10 7 GeV. Comparing
the calculated rates with the upper limit to the number of zero events with
Nhit > 24, we obtain the following 90% c.l. upper limit to the diffuse neutrino
flux:
-2
'.. 10 . , - - - - - - - - - - - - - - - - - - - - ,
,'" _ _----,..../:... EAS-TOP

'"
Z SPS(E-2 )
~
AMANDA-A
BAIKAL E- 2
..................B .
-6
10
...... . P (ppjpy) .
10.7 •••••••••••••••••••••••••••••••••
-8~-'-'::"~-'-'-':-'-'-......w--:-'--'---'--!:-"--'--,--,O",C~~~~:----'--'--!
10 3 3.5 4 4.5 5.5 6 6.5 7
log(E/GeV}
Fig. 4. Upper limits on the differential flux of high energy neutrinos obtained by differ-
ent experiments as well as upper bounds for neutrino fluxes from a number of different
models. The triangle denotes the FREJUS limit.
(1)
Fig.4 shows the upper limits on the diffuse high energy neutrino fluxes ob-
tained by Baikal (this work), SPS-DUMAND [18], AMANDA-A [19], EAS-TOP
[20] and FREJUS [21] (triangle) as well as a model independent upper limit
obtained by V.Berezinsky [22] (curve labeled B) and the atmospheric neutrino
fluxes [24] from horizontal and vertical directions (upper and lower curves, re-
spectively). Also shown are predictions from Stecker and Salamon model [25]
(curve labeled SS) and Protheroe model [26] (curve labeled P) for diffuse neu-
trino fluxes from quasar cores and blazar jets.
We expect that the analysis of data taken with NT-200 (1998) would allow
us to lower this limit down to (274)·1O- 6 cm- 2 s- 1 sr- 1 GeV.
6 Conclusions and Outlook
The deep underwater neutrino telescope NT-200 in Lake Baikal is taking data
since April 1998. Using the first 234 live days, 35 neutrino induced upward muons
have been reconstructed. Ten events within a 30 degree half angle cone around
nadir have been selected and limits on the excess of muon flux due to WIMP
annihilation in the center of the Earth have been derived. Also a new limit on
the flux of fast monopoles has been obtained.
In the following years, NT-200 will be operated as a neutrino telescope with
an effective area between 1000 and 5000 m2 , depending on the energy. It will
investigate atmospheric neutrino spectra above 10 GeV (about 1 atmospheric
neutrino per two-three days). Due to the high water transparency and low light
scattering with effective scattering length greater than 150m7200m, the effective
volume of NT-200 for high energy electron and tau neutrinos detection is more
than two orders of magnitude larger than its geometrical volume. This will permit
a search for diffuse neutrino fluxes from AGN and other extraterrestrial sources
on a level of theoretical predictions.
With an effective area two times larger than Super-Kamiokande, for nearly
vertically upward muons (E tL > 10 GeV) NT-200 will be one of the most powerful
arrays for indirect search for WIMP annihilation in the center of the Earth during
the next few years. It will also be a unique environmental laboratory to study
water processes in Lake Baikal.
Apart from its own goals, NT-200 is regarded to be a prototype for the
development a telescope of next generation with an effective area of 50,000 to
100,000 m2 . The basic design of such a detector is under discussion at present.
This work was supported by the Russian Ministry of Research,the German

Ministry of Education and Research and the Russian Fund of Fundamental Re-
search (grants 99-02-18373a, 00-02-31001 and 00-15-96794) and by the Russian
Federal Program "Integration" (project no. 346).
References
1. LA.Belolaptikov et al., Astropart. Phys. 7 (1997) 263.
2. RLBagduev et al., Nucl. Instr. Meth. A420 (1999) 138.
3. The Baikal Neutrino Telescope NT-200, BAIKAL 92-03, ed. by LA.Sokalski and
Ch.Spiering (1992).
4. LA.Belolaptikov et al., Astropart. Phys. 12 (1999) 75.
5. L.B.Bezrukov et al., Proc. of the 2nd Workshop on the Dark Side of the Universe,
221 (Rome, 1995) (astro-ph/9601161)
6. V.A.Balkanov et al., Physics of Atomic Nuclei 62 (1999) 949.
7. M.M.Boliev et al. 1996 Nucl.Phys. (Proc. Supp!.) 48 83; O.V.Suvorova 1999 hep-
ph/9911415
8. T.Montaruli et al. 1997 Proc. 25-th ICRC Durban-South Africa, vol.7, 185;
M.Ambrosio et al. 1999 INFN Preprint INFN/AE-99/12
9. M.Mori et al. 1993 Phys. Rev. D48 5505
10. A.Okada for Super-Kamiokande Collaboration, 2000 astro-ph/0007003
11. V.A.Balkanov et al., Proc. of the 8th Int. Workshop on neutrino telescopes, 81
(Venice, 1999) (astro-ph/9906255)
12. M.Ambrosio et al. 1999 INFN Preprint INFN/AE-99/08
13. J.L.Thorn et at. 1992 Phys. Rev. D46 4846
14. H.Adarkar et al. 1990 Proc. 21st ICRC. Adelaide. 95
15. S.Orito et at. 1992 Phys. Rev. Lett. 66 1951.
16. E.Andres et al., Proc. of the 8th Int. Workshop on neutrino telescopes, 63 (Venice,
1999) (astro-ph/9906255)
17. V.A.Balkanov et al., Astropart. Phys. 14 (2000) 61.
18. J.W.Bolesta et al., Proc. 25-th ICRC Durban-South Africa, 7 (1997) 29.
19. RPorrata et al., Proc. 25-th ICRC Durban-South Africa, 7 (1997) 9.
20. M.Aglietta et al., Physics Letters B333 (1994) 555.
21. W.Rhode et at., Astropart. Phys. 4 (1994) 217.
22. V.S.Berezinsky et al., Astrophysics of Cosmic Rays, North Holland (1990).
23. P.Sreekumar et al. (EGRET Collaboration), Ap. J. 494 (1998) 523.
24. P.Lipari, Astropart. Phys. 1 (1993) 195.
25. F.W.Stecker and M.H.Salamon, Astro-ph/9501064.
26. RJ.Protheroe, Astro-ph/9809144.
27. V.A.Balkanov et al., Nucl Physics B (Proc.Suppl.) 75A (1999) 409.
Part VIII
Concluding Remarks
Concluding Remarks for Dark 2000
Keith A. Olive 1 ,2
1 TH Division, CERN, Geneva, Switzerland

2 Theoretical Physics Institute, School of Physics and Astronomy,
University of Minnesota, Minneapolis MN, USA
Abstract. The major issues discussed at Dark 2000: Third International Conference
on Dark Matter in Astro and Particle Physics, Heidelberg, Germany, July 10-16 2000
are summarized.
1 Introduction
In the last several years, we have seen dramatic improvements in our knowledge
of the cosmological parameters and dark matter detection rates, though it is not
clear that we are closer to a definite determination of the identity of the dark
matter of the Universe. The key cosmological parameters of interest here are
the overall cosmological density (or curvature), .ototah the fraction of the total
density in baryons, .oB, the value of the cosmological constant (if indeed it is
non-zero), A or .oA, and of course of principle importance here the remainder
which is the density of dark matter, .ocDM and .oHDM of either cold or hot dark
matter.
What is exceptionally encouraging is the fact that we can expect some an-
swers in the relatively near future. By the time we meet for Dark 2002, we can
expect a wealth of data from SNO and with some luck improved limits or de-
tections from the Tevetron. At Dark 2004, we should see a big improvement in
direct dark matter detectors, and neutrino oscillation experiments. We should
have results from MAP on the microwave background radiation, with near defini-
tive results on cosmological parameters, and we will anticipating the running of
the LHC, and the launches of Planck and perhaps SNAP.
In these concluding remarks, I will try to summarize some of the many im-
portant topics and results that were covered in Dark 2000.
2 Evidence
There is considerable evidence for dark matter in the Universe. Indeed, if it were
not so, this volume, Dark 2000 would not be prepared. The best observational
evidence is found on the scale of galactic halos and comes from the observed flat
rotation curves of galaxies. There is also good evidence for dark matter in ellip-
tical galaxies, as well as clusters of galaxies coming from X-ray observations of
these objects. In addition, gravitational lensing and the microwave background
confirm the presence of dark matter. On the theoretical side, we expect dark
718 Keith A. Olive
matter because 1) inflation predicts D = 1 (for discussions on models of infla-

tion see [1]), and the upper limit on the baryon (visible) density of the Universe
from big bang nucleosynthesis is DB < 0.1 [2]; 2) Even in the absence of inflation
(which does not distinguish between matter and a cosmological constant), the
large scale power spectrum is consistent with a cosmological matter density of
D '" 0.3, still far above the limit from nucleosynthesis; and 3) our current un-
derstanding of galaxy formation is inconsistent with observations if the Universe
is dominated by baryons.
The evidence for dark matter based on the rotation curves of galaxies was
reviewed by Salucci [3] where a case for universal rotation curves was made
[4]. Further analysis of the structure of galactic discs in dark matter halos was
provided by Fuchs [5]. The evidence for dark matter is rather straightforward.
Assuming that galaxies are in virial equilibrium, one expects from Newton's
Laws that one can relate the mass at a given distance r, from the center of a
galaxy to its rotational velocity
(1)
The rotational velocity, v, is measured [6] by observing 21 cm emission lines in

HI regions (neutral hydrogen) beyond the point where most of the light in the
galaxy ceases. If the bulk of the mass is associated with light, then beyond the
point where most of the light stops, M would be constant and v 2 ex: l/r. Clearly
from the observations, this is not the case. The rotation curves appear to be flat,
i.e., v '" constant outside the core of the galaxy. This implies that M ex: r beyond
the point where the light stops. This is one of the strongest pieces of evidence
for the existence of dark matter.
A more topical question of interest is the precise density profile of the halo.
There is a considerable amount of discussion [3], regarding the presence (or
absence) of a core in the dark matter halo,
1
p(r) ~ 2 2 (2)
a +r
or the presence (or absence) of a cusp
1
p(r) ~ - (3)
rOY
Much has been of the potential disagreement between observations and the the-
oretical models which predict a cusp in the halo center [7]. Based on the observa-
tions of the rotation curves of galaxies, Salucci [3] argued for a core rather than
a cusp. This conflict has led to many speculations on the nature of the dark
matter particularly on the possibility that the dark matter is self-interacting
[8,9]. However, it is important to note that on the scale of dwarf and low sur-
face brightness galaxies, new observations do indeed indicate cusp-like interiors
[10]. In addition, it was argued [11] that on large scales, X-ray observations also
indicate cusp-like interiors.
Concluding Remarks 719
X-ray emitting hot gas in elliptical galaxies also provide an important piece
of evidence for dark matter. Take the example of the large elliptical M87. The
detailed profiles of the temperature and density of the hot X-ray emitting gas
have been mapped out [12]. By assuming hydrostatic equilibrium, these mea-
surements allow one to determine the overall mass distribution in the galaxy
necessary to bind the hot gas. Based on an isothermal model with temperature
kT = 3keV (which leads to a conservative estimate of the total mass), Fabricant
and Gorenstein [12] predicted that the total mass out to a radial distance of 392
Kpc, is 5.7 X 10 13 M 0 whereas the mass in the hot gas is only 2.8 x 10 12 M 0 or
only 5% of the total. The visible mass is expected to contribute only 1% of the
total. The inferred value of !t based on M87 would be rv 0.2. Similar inferences
regarding the existence of dark matter can be made from the X-ray emission
from small groups of galaxies [13]. The status of X-ray observations in clusters
of galaxies was reviewed by Henrikson [11]. These studies are extremely useful for
determining the baryon fraction in clusters (lB ~ 0.15 - 0.25) which ultimately
relates the relative contributions to !t from baryons and dark matter.
Another piece of evidence is available from gravitational lensing [14]. The
systematic lensing of the roughly 150,000 galaxies per deg 2 at redshifts between
z = 1 - 3 into arcs and arclets allow one to trace the matter distribution in
a foreground cluster. Gravitational lensing was reviewed by Schneider [15] who
reported on the very interesting discovery of a dark cluster. This once again
raises the question regarding biasing and how well light tracks mass.
Before embarking on a more detailed discussion of dark matter candidates
and their prospect for detection, it is useful to remark on the cosmological pa-
rameters we are aiming for. On the basis of clustering data, Einasto [16] compiled
the following values:
!tm = 0.35 ± 0.05

DB = 0.05 ± 0.02
!t HDM ~ 0.05 (4)
This value of !tB straddles the somewhat high value reported from CMB ex-
periments [17] and the lower values required by big bang nucleosynthesis [18].
Another fundamental parameter of interest is !tA. The primary evidence for a
non-zero value for the cosmological constant comes from observations of Type Ia
supernovae [19]. These results were reviewed by Goldhaber [20] who also stressed
the importance of the proposed SNAP project to try to improve on potential
systematic uncertainties which are associated with these measurements.
3 Baryonic Dark Matter
It is also evident that not only must there be dark matter, the bulk of the dark
matter must be non-baryonic. In addition to the problems with baryonic dark
matter associated with nucleosynthesis or the growth of density perturbations,
it is very difficult to hide baryons. There are indeed very good constraints on
720 Keith A. Olive
the possible forms for baryonic dark matter in our galaxy. Strong cases can
be made against hot gas, dust, jupiter size objects, and stellar remnants such
as white dwarfs and neutron stars [21]. The contribution to dark matter from
extragalactic dust was discussed by Neininger [22], and the arguments against
a white dwarf halo were given by Graff [23] despite the observation of some
low luminosity white dwarfs [24]. The possibility of primordial black holes as
dark matter (though these should not be counted as baryons) was discussed by
Jedamzik [25].
One should bear in mind however, that there are very likely some dark
baryons in the universe. The observed baryon budget is rather low. Estimates
have placed the contribution from all visible baryons in stars, gas, etc. at 0.004 ±
0.001 [26] while other estimates indicate a somewhat higher value of 0.021 ±0.007
[27]. This should be compared with the predicted value of [} from BBN of about
0.015 - 0.035 for h '" 0.7 [2,18].
Despite the theoretical arguments against them, massive compact halo ob-
jects or MACHOs are candidates which are testable by the gravitational mi-
crolensing of stars in a neighboring galaxy such as the LMC [28]. By observing
millions of stars and examining their intensity as a function of time, it may be
possible to determine the presence of dark objects in our halo. It is expected
that during a lensing event, a star in the LMC will have its intensity rise in
an achromatic fashion over a period 6t '" 3 viMj.001M0 days. Indeed, mi-
crolensing candidates have been found [29]. For low mass objects, those with
M < 0.1M0 , it appears however that the halo fraction of MACHOs is very
small. The relative amount of machos in the halo is typically expressed in terms
of an optical depth. A halo consisting 100% of machos would have an optical
depth of r '" 5 x 10- 7 . The most recent results of the MACHO collaboration
[30) indicate that r = 12~~ x 10- 8 , corresponding to a macho halo fraction of
about 20% with a 95% CL range of 8 - 50%. They also exclude a 100% macho
halo at the 95% CL. The typical macho mass falls in the range 0.15 - 0.9 M 0 .
The EROS collaboration has set even stronger limits [31]. The observed optical
depth from EROS1 is r = 4~~o x 10- 8 and from EROS2 r = 6~~ x 10- 8 . They
have excluded low mass objects (M < 0.1M0 ) to make up less than 10% of the
halo and objects with 10- 7 M0 < M < 1M0 to be less than 40% of the halo at
the 95% CL. The possibility of microlensing with non-compact objects was also
discussed [32].
4 Neutralino Dark Matter
Of the non-baryonic candidates, probably the best motivated is the neutralino

predicted by the supersymmetric extension of the standard model. In these clos-
ing remarks, I will concentrate almost exclusively on this possibility. I will assume
R-parity conservation, which in addition to explaining the absence of superpo-
tential terms which can be responsible for rapid proton decay, predicts that
there is at least one supersymmetric particle which must be stable, the LSP.
The LSP is most probably some linear combination of the R = -1 neutral
fermions, the neutralinos [33J: the wino W3 , the partner of the 3rd component
of the SU(2)L gauge boson; the bino, iJ, the partner of the U(l)y gauge boson;
and the two neutral Higgsinos, HI and H2 • Gluinos are expected to be heavier-
2
my = (~) sin Ow M2 , where M2 is the supersymmetry breaking SU(2) gaugino
mass - and they do not mix with the other states. The sneutrino [34J is also
a possibility but has been excluded as a dark matter candidate in the MSSM.
Sneutrino dark matter beyond the MSSM was discussed by Kolb [35]. Other
susy related candidates such as gluino-axinos [36] and susy q-balls [37] were also
discussed.
The identity and mass of the LSP are determined by the gaugino mass ml/2
(assuming gaugino mass universality, the gaugino masses M i = ml/2 at the
GUT scale), the Higgs mixing mass 1-£, and the ratio of Higgs vevs, tanl3. The
relic density depends in addition on the sfermion soft masses mo, and the susy
breaking trilinear mass terms A.
LEP searches have made a great impact on the allowable parameter space of
the MSSM [38J. Chargino and neutralino searches have been able to eliminate
large portions of the M 2 - 1-£ plane and set limits on the LSP mass. The purely
experimental limit quoted was m x > 37 GeV [38J. The LEP constraints combined
with theory, in particular our expectations (and constraints) for dark matter were
presented by T. Falk. By distinguishing two cases, one in which all soft scalar
masses including the Higgs soft masses are universal at the GUT scale (UHM)
and one in which only the squark and slepton masses are universal at the GUT
scale (nUHM), the accelerator bounds can be summarized as follows:
• Chargino mass limit:

m x± ~ 101- 102 GeV
mainly constrains ml/2 (M2 and 1-£) in the UHM (nUHM).
• Higgs mass limit:
mh 2: 107 - 112 GeVj
mainly constrains ml/2 (mA' M 2 and A) at low tan 13.
• b --+ 81
mainly constrains ml/2 (mA) particularly at high tan 13 and 1-£ < O.
The ranges for the chargino and Higgs mass limits refer to the difference be-
tween the established LEP limits and preliminary (but expected limits)l [39].
Furthermore, due to theoretical uncertainties in the calculation of the Higgs
mass (mainly due to the uncertainty in the top mass), the constraints imposed
are about 3 GeV less than the stated experimental constraint. It is also required
that sfermions masses are larger than 98 GeV, and that the neutralino is the
LSP.
Constraints from the chargino and Higgs searches are shown in Fig. 1a and
Fig. lb, for the cases where the Higgs soft masses are not unified at the GUT
scale with the sfermion masses (nUHM) and when they are (UHM) respectively
1 Note these expectations were in fact surpassed in the final LEP runs so that the
limit on the chargino mass now stands at 104 GeV and the Higgs mass limit at 113
GeV (if indeed a Higgs has not been detected at 115 GeV [40,41]).
722 Keith A. Olive
[42J for a selected value of tan f3 and 5gn(J.L). Note that in the UHM case, neither
J.L nor the pseudo-scalar mass, mA are free parameters, but are fixed by the
conditions of radiative electroweak symmetry breaking. In Fig. la, contours of
D x h2 = 0.025,0.1 and 0.3 are shown as solid lines, and the preferred region
with 0.1 < D x h2 < 0.3 is shown light-shaded. The dashed line corresponds to
m x± = 100 GeV. The near-horizontal dot-dashed lines are Higgs mass contours,
and the hashed lines are 0.9 Higgsino and gaugino purity contours. The dark
shaded region has m x± < mz /2. It is apparent that the bulk of the cosmological
region with 0.1 ~ Dx h2 ~ 0.3 has J.L ;:::, M 2, indicating that LSP dark matter is
generically a gaugino: in these regions, it is mainly a Bino. Though much of the
parameter space in Fig. la, is excluded by the Higgs search, it should be noted
that the positions of the Higgs mass contours are very sensitive to tanf3 (and
A), while the cosmologically preffered region is less so. At larger tanf3, more of
the parameter space is allowed.
500 .--------,..----r--r--.;-<-..-----, 200 -,.....o~:.-,-...--,.---..,--.,..----.-,

."" tan ~= 3 o
-:
:5 Ian 13= 5. ~ > 0
N
o
~ 300
0.1< Oh'<O.3 E 100
200
IU<IU
m 10=100
;(
1\ X
100
100 200 300 400 500 100 200 300 400 500 600 700 800
mIn
I.l
Fig. I. a) The p"M2 plane for taniJ = 3, mo = 100 GeV and mA = 1 TeV. b) The
ml/2,mO plane for p, > 0, A = -ml/2 and taniJ = 5.
In Fig 1b, the region allowed by the cosmological constraint 0.1 ~ D x h2 ~

0.3, after including coannihilations [43], has medium shading. Dotted lines de-
lineate the announced LEP constraint on the e. mass and the disallowed region
where mf1 < m x has dark shading. The contour m x ± = 102 GeV is shown as
a near-vertical dashed line in each panel. Also shown as dot-dashed lines are
relevant Higgs mass contours. The long dashed curves represent the anticipated
limits from trilepton searches at Run II of the Tevatron [44].
Though not shown in Figs. 1a and 1b, contributions to b -+ 51 from chargino-
stop and charged Higgsino exchanges [45] also place constraints on the parameter
space. When J.L > 0, these contributions interfere destructively, and the limits
are weak, that is, the supersymmetric contributions are within the experimental
uncertainty for moderately low tan f3 ;:; 10 in the UHM. At tan f3 = 20, and
ma ;:; 400 GeV, even for p, > 0, we obtain ml/2 ;:::, 200 GeV from b -+ 51 [42].
For negative j.£, we find ml/2 ~ 230 GeV at tanl3 = 3 and ml/2 ~ 450 - 500
GeV at tanl3 = 20. In the nUHM, the constraint from b ~ sr, can be greatly
diminished by choosing large (~350 - 500 GeV) mAo
One can also place an upper limit on the neutralino mass from relic density
considerations. In the nUHM, the upper limit on a mostly bino LSP is about 300
GeV [46]. This limit is somewhat soft and can be avoided if the LSP is sitting on
a pole (e.g. the pseudo-scalar Higgs pole) or is nearly degenerate with a squark
such as the stop [47]. In the UHM, co-annihilations increase the upper limit to
about 600 GeV [43].
Much of the discussion at Dark 2000 revolved around the possibility of detect-
ing dark matter. For the supersymmetric candidates, the detection rate depends
on the elastic scattering cross-section for a neutralino and nucleon. The MSSM
Lagrangian leads to the following low-energy effective four-fermion Lagrangian
suitable for describing elastic x-nucleon scattering:
(5)
where terms yielding velocity dependent cross-sections have been omitted.

The predicted cross sections for spin-dependent and spin-independent elastic
neutralino-proton scattering for different values of tan 13 :S 10 and the sign of J.L
are shown in Fig. 2 [48] compared with the present experimental upper limits on
the cross sections [49] and the detection of spin-independent scattering reported
by the DAMA Collaboration [50]. We see that our predicted cross sections are
well below the experimental upper limits for both the spin-dependent and spin-
independent cases. Similar results were obtained in [51,52].
The restrictions used in the computations of scattering cross sections in Fig.
2 would need to be questioned if the neutralino scattering interpretation of the
DAMA data is confirmed. For example, we have restricted our attention to mod-
:s
els with tan f3 10. Arnowitt discussed the dependence of the cross section with
tanf3 [52]. For m x ~ 80 GeV, the cross section could be as large as 2 xl0- 6 pb
for tanf3 = 50 in the mSUGRA (or UHM) framework. Although as noted earlier,
the constraints from b ~ Sr would be incompatible with tan f3 = 50 and low
LSP masses in the UHM case. Indeed, even in the case with non-universal Higgs
soft masses (nUHM), it is very difficult to find parameter values which allow
DAMA-like cross-sections [53], though some points with high tanl3 are possi-
ble. Alternatively, the DAMA data might favour models with smaller values of
mq/mj, obtained either by relaxing the input universality assumption, or by im-
posing it at some renormalization scale below the conventional supersymmetric
GUT scale [54,55].
In spite of the theoretical predictions for neutralino scattering, the experi-
mental searches for dark matter have progressed significantly. As is well known,
the DAMA NaI detector is reported to show an annual modulation signal [50,56]
consistent with a dark matter candidate with mass 30 - 150 GeV and scatter-
ing cross-section (Jp = 10- 5 - 10- 6 pb. This result was critically discussed by
Gerbier [57], particularly with respect to the shape of the DAMA background
at low energy. The result is also being challenged by CDMS [58] which excludes
724 Keith A. Olive
10'
10'
------
10·
10'
UQ)MC'~f .1
::D' 10'
.e -""
10'
j 10~
10'
10'
10'
..
10~
10'
'00
,..
m
x
(CoV)
... "'"
Fig. 2. Compilations of allowed ranges for (a) the spin-dependent elastic neutralino-
proton cross section, and (b) the spin-independent elastic neutralino-proton cross sec-
tion for values of tan tJ :::; 10 and both signs of 1Jo. The dark (light) shaded regions
correspond to the UHM (nUHM) cases. Results are compared in panel (a) with the
available experimental upper limits !49}, and in panel (b) with the detection reported by
the DAMA Collaboration [50}, as well as with upper limits from other experiments [49].
the 30' DAMA region, at the 75% CL. Furthermore, it is expected that the
CDMS sensitivity will increase by a factor of 2 at Stanford, and by a factor
of 100 when the detector is moved to the Soudan mine. The status of HDMS
and the proposed Genius experiment was discussed by Majorovits [59] and the
UKDMC experiment was discussed by Lehner [60]. Several other new experi-
ments such as the LiF experiment at Kamioka [61], the Picasso project [62], the
Edelweiss experiment [63], Cresst [64], Zepplin II [65] and Simple 2000 [66] were
also discussed.
There are also important experiments looking for indirect signatures of dark
matter. One method for indirect detection utilizes the fact that dark matter will
be trapped gradually in the sun, and annihilations within the sun will produce
high energy neutrinos which may be detected [67]; similarly, annihilations within
the earth may provide a detectable neutrino signal [68]. In these cases [69],
because the signal is dependent on the trapping rate in either the sun or the
earth, the detection rate is again controlled by the elastic x-nucleon scattering
cross-section. Experimental limits from Macro are already beginning to cut into
the theoretically predicted parameter space [70]. Indirect searches at Amanda
and Baikal were also discussed [71]. The effects of neutrino oscillations on indirect
searches was discussed by Fornengo [72] and Higgs production by 1'11 [73].
5 Other Forms of Dark Matter
Of course, neutralinos are not the only available choice for a dark matter can-
didate. Neutrinos were given a fair amount of attention at Dark 2000. Updates
on the status of neutrino oscillation experiments at SuperK [74], SNO [75] and
LSND [76] were delivered. To explain the solar neutrino deficit, SuperK prefers
the large angle MSW solution, with Llm 2 rv few x 10- 3 and sin 2 2B rv 1. Ques-
tions remain whether or not sterile neutrinos are excluded or simply disfavored.
The next generation of direct oscillation experiments are coming on line [77].
We have the first preliminary results from K2K, Kamland should come on line
in 2001, Minos in 2003 and Cern-Gran Sasso in 2005. New ma.~s limits from tri-
tium decay, m v • < 2.8 eV [78] and from the Heidelberg Moscow double ,B-decay
experiment, (mv.J < 0.35 eV [79] were also discussed. There were also several
communications from the theoretical side on neutrino masses [80].
Axions are another well motivated candidate [81]. Axions are pseudo-Goldstone
bosons which arise in solving the strong CP problem [82] via a global U(l) Peccei-
Quinn symmetry. The invisible axion [83] is associated with the flat direction
of the spontaneously broken PQ symmetry. Because the PQ symmetry is also
explicitly broken (the CP violating BF F (where F is the field strength tensor
and Fits dual) coupling is not PQ invariant) the axion picks up a small mass
similar to the pion picking up a mass when chiral symmetry is broken. We can
expect that m a rv mtrftr/ fa where fa, the axion decay constant, is the vacuum
expectation value of the PQ current. If we write the axion field as a = faB, near
the minimum, the potential produced by QCD instanton effects looks like
(6)
In the absence of any CP violating effects B = O. Axions as dark matter appear

as non-thermal scalar field oscillations [84]. The status of US and Japanese axion
searches were discussed by Asztalos [85] and Yamamoto [86] respectively.
Acknowledgments
This work was supported in part by DoE grant DE-FG02-94ER-40823 at the

University of Minnesota.
References
1. L. Covi, these proceedings; L. Kofman, these proceedings.

2. K.A. Olive, G. Steigman, and T.P. Walker, Phys. Rep. 333-334 (2000) 389.
3. P. Salucci and A. Boriello, these proceedings, astro-ph!001l079.
4. M. Persic and P.Salucci, Ap.J. Sv.pp. 99 (1995) 501; M. Persic, P.Salucci, and F.
Stel, MNRAS 281 (1996) 27P.
5. B. Fuchs, these proceedings, astro-ph!0010358.
726 Keith A. Olive
6. S.M. Faber and J.J. Gallagher, Ann. Rev. Astron. Astrophys. 17 (1979) 135; A.
Bosma,Ap.J. 86 (1981) 1825j V.C. Rubin, W.K Ford and N. Thonnard,Ap.J. 238
(1980) 471j V.C. Rubin, D. Burstein, W.K Ford and N. Thonnard, Ap.J. 289
(1985) 81; T.S. Van Albada and R. Sancisi, Phil. TI-ans. R. Soc. Land. A320 (1986)
447.
7. J.F. Navarro, C.S. Frenk, S.D.M. White, Ap.J. 462 (1996) 563; 490 (1997) 493.
8. S. Hannestadt, these proceedings.
9. A. Burkert, these proceedings.
10. F.C. van den Bosch and R.A. Swaters, astro-ph/0006048.
11. M. Henriksen, these proceedings.
12. D. Fabricant and P. Gorenstein, Ap.J. 267 (1983) 535; G.C. Stewart, C.R
Canizares, A.C. Fabian and P.E.J. Nilsen, Ap.J. 278 (1984) 53 and references
therein.
13. R Mushotzky, in Relativistic Astrophysics and Particle Cosmologyed. C.W. Ak-
erlof and M. Srednicki (New York Academy of Sciences, New York, 1993), p. 184;
J.S. Mulchaey, D.S. Davis, RF. Mushotzky, and D. Burstein, ApJ 404 (1993) L9;
M.J. Henriksen and G.A. Mamon, Ap.J. 421 (1994) L63; L.P David, C. Jones, and
W. Foreman, Ap.J. 445 (1995) 578.
14. J.A. Tyson, F. Valdes, and RA. Wenk, Ap.J. 349 (1990) L1.
15. P. Schneider, these proceedings.
16. J. Einasto, these proceedings.
17. U. Seljak, these proceedings.
18. KA. Olive, these proceeding, astro-ph/0009475; S. Burles, these proceedings.
19. A.G. Reiss et al., A.J. 116 (1998) 1009; S. Perlmutter et al., Ap.J. 517 (1999) 565.
20. G. Goldhaber, these proceedings.
21. Hegyi, D.J. and Olive, KA., Phys. Lett. 126B (1983) 28; Ap. J. 303 (1986) 56;
D.-S. Ryu, KA. Olive and J. Silk, Ap.J. 353 (1990) 81.
22. N. Neininger, these proceedings.
23. D. Graff, these proceedings.
24. C. Flynn, these proceedings.
25. K Jedamzik, these proceedings.
26. M. Persic and P. Salucci, MNRAS 258 (1992) 14p.
27. M. Fukugita, C.J. Hogan, and P.J.E. Peebles, Ap.J. 503 (1998) 518.
28. B. Paczynski, Ap.J. 304 (1986) 1.
29. C. Alcock et al., Nature 365 (1983) 621; E. Aubourg et al. Nature 365 (1983) 623.
30. C. Alcock et al., Ap.J. 542 (2000) 281; M.J. Lehner, these proceedings.
31. T. Lasserre, et al., A.A. 355 (2000) 39L; T. Lasserre, these proceedings.
32. A. Zakharov, these proceedings.
33. J.Ellis, J. Hagelin, D.V. Nanopoulos, KA.Olive and M. Srednicki, Nucl. Phys.
B238 (1984) 453.
34. L.E. Ibanez, Phys. Lett. 137B (1984) 160; J. Hagelin, G.L. Kane, and S. Raby,
Nucl., Phys. B241 (1984) 638; T. Falk, KA. Olive, and M. Srednicki, Phys. Lett.
B339 (1994) 248.
35. St. Kolb, these proceedings.
36. D. Demir, these proceedings.
37. A. Kusenko, these proceedings, hep-ph/0009089.
38. L. Serin, these proceedings.
39. See the LEP Joint Supersymmetry Working Group URL:
http://lepsusy.veb.cern.ch/ lepsusy/Welcome.html.
40. Presentations at the open LEPC seminar, Sept. 5th, 2000:

ALEPH Collaboration, W.-D. Schlatter,
http://alephwww.cern.ch/j
DELPHI Collaboration, T. Camporesi,
http://delphiwww.cern.ch/-offline/physics_links/lepc.htmlj
L3 Collaboration, J.-J. Blaising,
http://l3www.cern.ch/analysis/latestresults.htmlj
OPAL Collaboration, C. Rembser,
http://opal.web.cern.ch/Opal/PPwelcome.htmlj
C. Tully, for the LEP Working Group on Higgs boson searches,
http://lephiggs.web.cern.ch/LEPHIGGS/talks/index.html.
41. J. Ellis, G. Ganis, D.V. Nanopoulos, and K.A. Olive, hep-ph/0009355.
42. J. Ellis, T. Falk, G. Ganis, and K Olive, Phys. Rev. D62 (2000) 075010.
43. J. Ellis, T. Falk and K A. Olive, Phys. Lett. B444 (1998) 367j J. Ellis, T. Falk,
K A. Olive and M. Srednicki, Astropart. Phys. 13 (2000) 181.
44. See S. Abel et al., Tevatron SUGRA Working Group Collaboration, hep-
ph/0003154, and references therein.
45. M. Ciuchini, G. Degrassi, P. Gambino and G.F. Giudice, Nucl. Phys. B521 (1998)
21; P. Ciafaloni, A. Romanino and A. Strumia, Nucl. Phys. B524 (1998) 361; F.
Borzumati and C. Greub, Phys. Rev.D58 (1998) 074004.
46. KA. Olive and M. Srednicki, Phys. Lett. B230 (1989) 78; Nucl. Phys. B355 (1991)
208; K Greist, M. Kamionkowski, and M.S. Turner, Phys. Rev. D41 (1990) 3565.
47. C. Boehm, A. Djouadi, and M. Drees, Phys. Rev. D62 (2000) 035012.
48. J. Ellis, A. Ferstl and K A. Olive, Phys. Let.. 481 (2000) 304; and hep-ph/0007113.
49. R. Gaitskell and V. Mandic, http://cdms.berkeley.edu/limitplots/ .
50. R. Bernabei et al., DAMA Collaboration, Phys. Lett. B480 (2000) 23.
51. A. Corsetti and P. Nath, hep-ph/0003186; A. Lahanas, D.V. Nanopoulos, V.C.
Spanos, hep-ph/0009065.
52. E. Accomando, R. Arnowitt, B. Dutta and Y. Santoso, hep-ph/0001019;
R. Arnowitt, B. Dutta, and Y. Santoso, hep-ph/0005154j and these proceedings,
hep-phj0010244.
53. A. Bottino, F. Donato, N. Fornengo, and S. Scopel, hep-ph/0010203.
54. E. Gabrielli, S. Khalil, C. Munoz, E. Torrente-Lujan, hep-phj0006266.
55. A. Bottino, these proceedings.
56. P. Belli, these proceedings.
57. G. Gerbier, these proceedings.
58. R. Schnee, these proceedings.
59. B. Majarovits, these proceedings.
60. M. Lehner, these proceedings.
61. M. Minowa, these proceedings.
62. L. Lessard, these proceedings.
63. J. Gascon, these proceedings.
64. W. Seidel, these proceedings.
65. J.K Woo, these proceedings.
66. T. Girard, these proceedings.
67. J. Silk, KA. Olive, and M. Srednicki, Phys. Rev. Lett. 55 (1985) 257.
68. L. Krauss, M. Srednicki, and F. Wilczek, Phys. Rev. D33 (1986) 2079; K Freese,
Phys. Lett. B161 (1986) 295.
69. O. Suvorova, these proceedings.
70. T. Montaruli, these proceedings.
728 Keith A. Olive
71. W. Rhode, these proceedings; J.A. Djilkibaev, these proceedings;

72. N. Fornengo, these proceedings, hep-ph/00ll030.
73. H. Tu, these proceedings.
74. J. Hill, these proceedings.
75. D. Sinclair, these proceedings.
76. D. Smith, these proceedings.
77. K. Zuber, these proceedings.
78. Ch. Weinheimer, these proceedings.
79. A. Dietz, these proceedings.
80. F. Vissani, these proceedings; J. Valle, these proceedings; H. Pas, these proceed-
ings; D. Fargion, these proceedings; H. Minakata, these proceedings; E. Ma, these
proceedings.
81. G. Raffelt, these proceedings.
82. R.D. Peccei and H.R. Quinn, Phys. Rev. Lett. 38 (1977) 1440; Phys. Rev. D16
(1977) 1791; S. Weinberg, Phys. Rev. Lett. 40 (1978) 223; F. Wilczek, Phys. Rev.
Lett. 40 (1978) 279.
83. J.E. Kim, Phys. Rev. Lett. 43 (1979) 103; M.A. Shifman, A.1. Vainstein and V.1.
Zakharov, Nucl. Phys. B166 (1980) 493; A.R. Zhitnitsky, Sov. J. Nucl. Phys. 31
(1980) 260; M. Dine, W. FishIer and M. Srednicki, Phys. Lett. 104B (1981) 199.
84. J. Preskill, M.B. Wise and F. Wilczek, Phys. Lett. 120B (1983) 127; L. F. Abbott
and P. Sikivie, Phys. Lett. 120B (1983)133; M. Dine and W. Fischler, Phys. Lett.
120B (1983) 137.
85. S. Asztaolos, these proceedings.
86. K. Yamamoto, these proceedings.
List of Participants Andreas Burkert
MPI fur Astronomie
Richard Arnowitt Konigstuhl 17
Department of Physics 69117 Heidelberg, GERMANY
Center for Theoretical Physics Email: burkert@mpia-hd.mpg.de
Texas A&M University
College Station, TX 77843-4242, USA Scott Burles
Email: arnowitt@physics.tamu.edu Fermilab, P.O.Box 500, MS 209
Batavia, IL 60510-0500 and
Stephen John Asztalos Experimental Astrophysics Group
Massachusetts Institute and University of Chicago
of Technology (M.I.T.) Dept. Astronomy & Astrophysics
77 Massachusetts Avenue Chicago, IL 60637, USA
Cambridge, MA 02139-4307 Email: scott@spectro.uchicago.edu
and 839 York Street
Oakland, CA 94610-2122, USA Laura Covi
Email: asztalos@llnl.gov DESY - Theory group
Notkestrasse 85
Gautam Bhattacharyya 22603 Hamburg, GERMANY
Saha Institute of Nuclear Physics Email: covil@mail.desy.de
1/AF Bidhan Nagar
Calcutta 700064, INDIA Durmu§ A. Demir
Email: gb@tnp.saha.ernet.in Theoretical Physics Institute
University of Minnesota
Laura Baudis Minneapolis, MN 55455, USA
Physics Department Email: demir@physics.umn.edu
Stanford University ddemir@ictp.trieste.it
382 via Pueblo Mall
Stanford, CA 94305, USA Keith R. Dienes
Email: lbaudis@stanford.edu Departement of Physics
University of Arizona
Pierluigi Belli Tucson, AZ 85721, USA
Dipartamento di Fisica and Email: dienes@physics.arizona.edu
INFN-Sezione Roma 2 keith.dienes@cern.ch
Universita di Roma "Tor Vergata"
Via della Ricerca Scientifica 1 Alexander Dietz
00133 Roma, ITALY Max-Planck-Institut fUr Kernphysik
Email: PierluigLBelli@roma2.infn.it P.O. Box 103980
69029 Heidelberg, GERMANY
Alessandro Bottino Email: adietz@mickey.mpi-hd.mpg.de
Dipartimento di Fisica Teorica
Universita di Torino and INFN
Sezione di Torino, Via P. Giuria 1
10125 Torino, ITALY
Email: bottino@to.infn.it
730
Zhan A. Dzhilkibaev Jules Gascon

Institute for Nuclear Research Institute de Physique Nucleaire
Russian Academy of Science de Lyon (IPNL)-UCBL, IN2P3-CNRS
60th October Anniversary Prosp. 7 4 rue Enrico Fermi
Moscow 11731, RUSSIA 696222 Villeurbanne Cedex, FRANCE
Email: djilkib@pcbai10.inr.ruhep.ru Email: gascon@ipnLin2p3.fr
djilkib@offiine.baikaLinr.ruhep.ru
Gilles Gerbier
Jaan Einasto CEA, Centre d'Etudes
Tartu Observatory Nucleaires de Saclay
61602 T6ravere, ESTONIA DAPNIA/SPP - BP2
Email: einasto@je.aai.ee 91191 Gif-sur-Yvette, FRANCE
Email: gerbier@hep.saclay.ceaJr
Toby D. Falk
Department of Physics Tom A. Girard
University of Wisconsin Centro de Fisica Nuclear
1005 Univiversity Avenue Universidade de Lisboa
Madison, WI 53706, USA Av. Prof. Gama Pinto 2
Email: falk@pheno.physics.wisc.edu 1649-003 Lisbon, PORTUGAL
Email: criodets@aIfl.ciLfc.ul.pt
Daniele Fargion
Dipartimento di Fisica and INFN Gerson Goldhaber
Universita di Roma "la Sapienza" LBNL and University of California
Piazzale Aido Moro 2 at BerkeIy, LBNL MS 50-208
00185 Roma, ITALY Berkeley, CA 94720, USA
Email: Daniele.Fargion@roma1.infn.it Email: g_goldhaber@lbl.gov
Chris Flynn David S. Graff

Thoda Observatory, Viasalantie 20 Astronomy Department
Piikkio, 21500, FINLAND University of Michigan
Email: cflynn@astro.utu.fi 830 Dennison
cflynn@deneb.utu.fi Ann Arbor, MI 48109-1090, USA
Email: david-s_graff@yahoo.com
Nicolao Fornengo dgraff@astro.lsa.umich.edu
Dipartamento di Fisica Teorica
Universita di Torino/INFN Torino Steen Hannestad
Via P. Giuria 1, 10125 Torino, ITALY NORDITA
Email: fornengo@to.infn.it Blegdamsvej 17
2100 Copenhagen, DENMARK
Burkhard Fuchs Email: steen@nordita.dk
Astronomische Rechen-Institut (ARI)
Monchhofstrasse 12-14
69120 Heidelberg, GERMANY
Email: fuchs@relay.ari.uni-heidelberg.de
731
Mike R.S. Hawkins Hans Volker

University of Edinburgh Klapdor-Kleingrothaus
Royal Observatory Edinburgh Max-Planck-Institut fUr Kernphysik
Blackford Hill P.O. Box 103980
Edinburgh, EH9 3HJ, SCOTLAND 69029 Heidelberg, GERMANY
Email: mrsh@roe.ac.uk Email:
klapdor@gustav.mpi-hd.mpg.de
Mark Henriksen
Joint Center for Astrophysics Lev Kofman
University of Maryland Canadian Institute for Theoretical
Baltimore County Astrophysics (CITA)
1000 Hilltop Circle University of Toronto
Baltimore, MD 21043, USA 60 St. George Str.
Email: henrikse@umbc.edu Toronto, ON, M5S 3H8, CANADA
Email:
James Hill kofman@cita.utoronto.ca
E362 Experimental group
KEK, 1-1 Oho Stephan Kolb
Tsukuba, Ibaraki, 305 Max-Planck-Institut fUr Kernphysik
JAPAN P.O. Box 103980
and StonyBrook University 69029 Heidelberg, GERMANY
Stonybrook, NY 11794-3800, USA Email: kolb@daniel.mpi-hd.mpg.de
Email: jimhill@neutrino.kek.jp
Thilo Kranz
Karsten Jedarnzik Max-Planck-Institut fur Astronomie
Max-Planck-Institut fur Astrophysik Konigstuhl 17
Karl-Schwarzschild-Str. 1, Postf. 1317 69117 Heidelberg, GERMANY
85740 Garching, GERMANY Email: kranz@mpia-hd.mpg.de
Email:
jedamzik@MPA-Garching.MPG.DE Irina Krivosheina
Max-Planck-Institut fur Kernphysik
Nemanja Kaloper P.O. Box 103980
Departement of Physics 69029 Heidelberg, GERMANY
Stanford University and
Stanford, CA 94305-4060, USA Radio-Physical Research Institute
Email: kaloper@stanford.edu (NIRFI), Bolshaja Pesherskaya 25
603005 Nishnij-Novgorod, RUSSIA
William H. Kinney Email: irina@gustav.mpi-hd.mpg.de
Department of Physics
University of Florida Alexander Kusenko
PO-Box 118440 Department of Physics and
Gainesville, FL 32611-8440, USA Astronomy, UCLA
Email: kinney@phys.ufl.edu Los Angeles, CA 90095-1547, USA
Email: kusenko@physics.ucla.edu
732
Thierry Lasserre Nick E. Mavromatos

CEA/Saclay, DSM, DAPNIA Department of Physics
Service de physique des particules Theoretical Physics
Bat 141, Piece 150 King's College, London Strand
91191 Gif-sur-Yvette Cedex, FRANCE London WC2R 2LS, UK and
Email: lasserre@hep.saclay.ceaJr CERN, Theory Division
1211, Geneva 23, SWITZERLAND
Matthew J. Lehner Email: Nikolaos.Mavromatos@cern.ch
Department of Physics and Astronomy
University of Sheffield, Hicks Building Hisakazu Minakata
Hounsfield Road Department of Physics
Sheffield S3 7RH, UK Tokyo Metropolitan University
Email: m.lehner@sheffield.ac.uk 1-1 Minami-Osawa, Hachioji
Tokyo 192-0397 and
Louis Lessard Research Center for Cosmic Neutrinos
Groupe de Physique des Particules (ICRR), University of Tokyo
Departement de Physique Koshiwa, Chiba 277-8582, JAPAN
Universite de Montreal Email: minakata@phys.metro-u.ac.jp
C.P. 6128, Succursale Centre-Ville
Montreal, Quebec, H3C 3J7 Makoto Minowa
CANADA Department of Physics and RESCEU
Email: lessard@LPS.UMontreal.CA School of Science, University of Tokyo
7-3-1 Hongo, Bunkyo-ku
Jon Loveday Tokyo 113-0033, JAPAN
Astronomy Centre Email: minowa@icepp.s.u-tokyo.ac.jp
University of Sussex, Falmer
Brighton, BNl 9QJ, UK Teresa Montaruli
Email: J.Loveday@susx.ac.uk Dipartimento di Fisica
Universita di Bari and
Ernest Ma Sezione INFN-LNF
Physics Department Via Amendola, 173
University of California 70126 Bari, ITALY
3401 Watkins Dr. Email: Montaruli.Teresa@ba.infn.it
Riverside CA, 92521, USA
Email: ma@phyun8.ucr.edu Michiyasu N agasawa
Department of Information Science
Bela A. Majorovits Kanagawa University
Max-Planck-Institut fUr Kernphysik Faculty of Science
P.O. Box 103980 2946 Tsuchiya, Hiratsuka-shi
69029 Heidelberg, GERMANY Kanagawa 259-1293, JAPAN
Email: Email:
beia.majorovits@mpi-hd.mpg.de nagasawa@info.kanagawa-u.ac.jp
733
Nikolaus Neininger Wolfgang Rhode

Raclioastronomisches Institut Fachbereich 8 Physik
cler Universitat Bonn (RAIUB) Universitat Wuppertal (BUGH)
Auf clem Hugel 71 GauBstraBe 20
53121 Bonn, GERMANY 42097 Wuppertal, GERMANY
Email: nneini@astro.uni-bonn.de Email: rhode@uni-wuppertal.de
Hans Peter Nilles Paolo Salucci

Physikalisches Institut International School
Universitat Bonn, Nussallee 12 of Advanced Studies, SISSA-ISAS
53115 Bonn, GERMANY Via Beirut 2
Email: nilles@th.physik.uni-bonn.de 34014 Trieste, ITALY
Email: salucci@sissa.it
Keith A. Olive
Theoretical Physics Institute Richard W. Schnee
School of Physics and Astroph. Departement of Physics
University of Minnesota Case Western Reserve University
Minneapolis, MI 55455, USA and 10900 Euclide Ave.
CERN, Theory Division, Geneva Cleveland, OH 44106, USA
SWITZERLAND Email:
Email: OLIVE@mnhep.hep.umn.edu schnee@phantom.phys.cwru.edu
keith.olive@cern.ch
Peter Schneider
Heinrich Pas Institut fur Astrophysik und
Department of Physics and Astronomy Extraterrestrische Forschung
Vanderbilt University Auf dem Hugel
Nashville TN 37235, USA 53121 Bonn, GERMANY
Email: Heinrich.Paes@vanderbilt.edu Email: peter@astro.uni-bonn.de
Georg G. Raffelt Wolfgang Seidel

MPI fur Physik Max-Planck Institut fur Physik
Werner-Heisenberg-Institut Fahringer Ring 6
Fahringer Ring 6 80805 Munchen, GERMANY
80805 Munchen, GERMANY Email: seidel@mppmu.mpg.de
Email: raffelt@mppmu.mpg.de
Dros Seljak
Yorck Ramachers Department of Physics
INFN, National Laboratory Princeton University
of Gran Sasso, Strada Statale Jadwin Hall
17 Ibis Km 18+910 Princeton, NJ 08544, USA
67010 Assergi (L'Aquila), ITALY and Email: useljak@princeton.edu
Oxford University NAPL uros@feynman.princeton.edu
Keeble Road, Oxford OX1 3RH, UK
Email: yorck@lngs.infn.it
734
Laurent Serin Francesco Sylos Labini

Laboratoire de I' Acce1E~rateur Department de Physique Theorique
Lineaire, BP 34 Universite de Geneve
IN2P3-CNRS Quai E. Ansermet 24
et Universite de Paris Sud 1211 Geneve, SWITZERLAND
91898 Orsay Cedex, FRANCE Email: sylos@amorgos.unige.ch
Email: serin@lal.in2p3.fr
laurent.serin@cern.ch Huitzu Tu
Max-Planck-Institut fUr Kernphysik
David Sinclair P.O. Box 103980
Carleton University 69029 Heidelberg, GERMANY
Department of Physics Email: huitzu.tu@mpi-hd.mpg.de
1125 Colonel By Drive
Ottawa ON K1S 5B6, CANADA Jose W. F. Valle
Email: sinclair@physics.carleton.ca Department de Ffsica Teorica
sinclair@surf.sno.laurentian.ca IFICjCSIC, University de Valencia
Edificio Institutos de Paterna
Darrel Smith Aparto Correos 22085
College of Arts & Sciences cj Dr. Moliner, 50
Embry-Riddle University 46071 Burjassot, Valencia, SPAIN
3200 Willow Creek Rd Email: valle@hal.ific.uv.es
Prescott, AZ 86301, USA valle@flamenco.ific.uv.es
Email: e-mail: smith@miranda.fnal.gov valle@vxcern.cern.ch
Norbert Straumann John D. Vergados

Institut fur Theoretische Physik Theoretical Physics Division
Universitat Zurich University of Ioannina
Winterthurstrasse 190 GR 45110, GREECE
8057 Zurich, SWITZERLAND Email: Vergados@cc.uoi.gr
Email: norbert@physik.unizh.ch John.Vergados@zdv.uni-tuebingen.de
Olga Suvorova Francesco Vissani

Institute for Nuclear Research LNGS, National Laboratory
Russian Academy of Science Gran Sasso, Theory Group
60th October Anniversary Prosp. 7 Strada Statale 17 jbis Km 18+910
Moscow 11731, RUSSIA 67010 Assergi (L'Aquila), ITALY
and Email: Francesco.Vissani@lngs.infn.it
CEA, Centre d'Etudes Nucleaires
de Saclay, DSMjDRECAM Christian Weinheimer
91191 Gif-sur-Yvette Cedex, FRANCE Institut fUr Physik
Email: suvorova@hep.saclay.cea.fr Johannes Gutenberg-Universitat
suvorova@x4u.lpi.ruhep.ru 55099 Mainz, GERMANY
Email: weinheim@mail.uni-mainz.de
christian.weinheim@Uni-Mainz.de
735
Christof Wetterich Katsuji Yamamoto

Institut fur Theoretische Physik Department of Nuclear Engineering
der Universitat Heidelberg Kyoto University
Philosophenweg 16 Kyoto 606-8501, JAPAN
69120 Heidelberg, GERMANY Email:
Email: yamamoto@nucleng.kyoto-u.ac.jp
C.Wetterich@thphys.uni-heidelberg.de
Alexander Zakharov
Jong-Kwan Woo Institute for Theoretical and
Department of Physics Experimental Physics (ITEP)
University of California Los Angeles ul. B. Cheremushkinskaya 25
405 Hilgard Ave. Moscow 117259, RUSSIA
Los Angeles, CA 90095-5714, USA Email: zakharov@vitep.itep.ru
and
CERN, Big. 591 R-006PPE Kai Zuber
1211 Geneva 23, SWITZERLAND Lehrstuhl fur Experimentelle
Email: Jong-Kwan.Woo@cern.ch Physik IV, Universitat Dortmund
woo@physics.ucla.edu Otto-Hahn Str.4
44221 Dortmund, GERMANY
Email: zuber@physik.uni-dortmund.de
Author Index
Abusaidi R. 569 Cabrera B. 569
Ahmed B. 590 Caldwell D.O. 569
Akerib D.S. 569 Castle J.P. 569
Alcock C. 334 Cerulli R 537
Alexeev V. 520 Chambon B. 575
Alner G.J. 590 Chapellier M. 575
Allsman RA. 334 Chardin G. 575
Alves D.R 334 Charvin P. 575
Amato M. 537 Chensky A.G. 707
Arnowitt R. 247 Cluzel P. 575
Asztalos St.J. 630 Clarke R.M. 569
Axelrod T.S. 334 Cline D. 615
Collar J.L 598
Bakalyarov A. 520 Colling P. 569
Balkanov V.A. 707 Cook K.H. 334
Balysh A. 520 Cooper S. 581
Barnes Jr.P.D. 569 Covi L. 163
Barton J.C. 590 Cozzini C. 581
Baudis L. 520, 553 Crisler M.B. 569
Bauer D.A. 569 Cummings A. 569
Becker A.C. 334
Bednyakov V.A. 667 Dai C.J. 537
Belolaptikov LA. 707 Dalal N. 334
Belyaev S.T. 520 Danilchenko LA. 707
Bennett D.P. 334 Da Silva A. 569
Bezrukov L.B. 707 Davies A.K. 569
Bewick A. 590 Davidge D. 590
Bolozdynya A. 569 Dawson J.V. 590
Belli P. 537 De Jesus M. 575
Benoit A. 575 De Sanctis Lucentini P.G. 455
Berge L. 575 Demir D.A. 316
Bernabei R 537 Dienes K.R 234
Bonnevaux A. 575 Dietz A. 520, 553
Borriello A. 12 Di Marco M. 604
Bottino A. 263 Di Stefano P. 575, 581
Boukhira N. 604 Di Troia C. 455
Boussaroque L 604 Dixon R. 569
Brink P.L. 569 Dougherty B.L. 569
Broniatowski A. 575 Drain D. 575
Bruckmayer M. 581 Drake A.J. 334
Bucci C. 581 Driscoll D. 569
Budnev N.M. 707 Domogatsky G.V. 707
Bunker R 569 Doroshenko A.A. 707
Burkert A. 89 Dumoulin L. 575
BurIes S. 195 Dutta B. 247
738
Dzhilkibaev Zh.-A.M. 707 Ignesti G. 537

Incicchitti A. 537
Eichblatt S. 569 Inoue Y. 610
Einasto J. 3 Irwin KD. 569
Emes J. 569 Ito Y. 610
Ivaniouchenkov I. 950
Fargion D. 455, 677
von Feilitzsch F. 581 Jagemann T. 581
Fialkovsky S.V. 707 Jedamzik K 289
Flynn Ch. 45 Jochum J. 569, 581
Fornengo N. 659 Jones W.G. 590
Frank T. 581 Joshi M.K 509
Freeman KC. 334 Juillard A. 575
Fuchs B. 25
Funahashi H. 638 Keeling R. 581
Kinion D. 630
Gaitskell RJ. 569 Kinney W.H. 38
Gamble T. 590 Kishimoto Y. 638
Gaponenko a.N. 707 Kiss D.D. 707
Gascon J. 575 Klabukov A.M. 707
Geha M. 334 Klapdor-Kleingrothaus H.V. 276
Gerbier G. 547, 575 420, 520, 553, 667
Girard T.A. 598 Klimov A.I. 707
Goldbach C. 575 Klimushin S.1. 707
Goldhaber G. 97 Kofman L. 135
Golwala S.R. 569 Kolb St. 276, 520
4 Goyot M. 575 Kominato K 638
Gornea R 604 Konoplich R.V. 455
Graff D.S. 45, 352 Koshechkin A.P. 707
Gress a.A. 707 Kranz Th. 33
Griest K 334, 590 Kraus H. 581
Gros M. 575 Krivosheina LV. 520, 553
Grossi M. 455 Kuang H.H. 537
Kudryavtsev V.A. 590
Hadjout J.P. 575 Kulepov V.F. 707
Hale D. 569 Kusenko A. 306
Haller E.E. 569 Kuzmichev L.A. 707
Hannestad St. 81 Kuznetzov Vy.E. 707
Hart S.P. 590
Hauff D. 581 Lasserre Th. 342
Hawkins M.RS. 325 Lawson T.B. 590
He H.L. 537 Lebedenko V. 590
Hebecker A. 125 Lebedev V.1. 520
Hellmig J. 569 Lehner M.J. 334, 590
Henriksen M. 73 de Lesquen A. 575
Herve S. 575 Lessard L. 604
Heusser G. 520, 553 Lewin J.D. 590
Hill J. 479 Lightfoot P.K 590
Hirsch M. 276 Limagne D. 598
Howard A.S. 590 Lipschultz F.P. 569
Huber M.E. 569 Liubarsky I. 590
739
Ljaudenskaite J. 707 Olive K.A. 176, 717

Loidl M. 575 Ooishi T. 638
Loveday J. 67 Ootani W. 610
Lu A. 569 Ootuka Y. 610
Lubsandorzhiev B.K. 707 Osipova E.A. 707
Luscher R 590 Otwinowski S. 615
Ma E. 448 Panfilov A.I. 707

Ma J.M. 537 Pan'kov L.V. 707
Majorovits B. 520, 553 Parfenov Yu.V. 707
Mallet J. 547, 575 Pari P. 575
Mandie V. 569 Pas H. 420, 520
Mannocchi G. 615 Pastor e. 575
Marchese J. 581 Panella O. 276
Marnieros S. 575 Pavlov A.A. 707
Marshall S.L. 334 Penn M.J. 569
Martineau O. 575 Perera T.A. 569
Martinis J.M. 569 Periale L. 615
Martoff e.J. 590 Peterson B.A. 334
Masaike A. 638 Picchi P. 615
Matsuki S. 638 Pietropaolo F. 615
Mavromatos N.E. 209 Pliskovsky E.N. 707
McMillan J.E. 590 Popowski P. 334
Milenin M.B. 707 Perillo Isaac M.e. 569
Miley H.S. 598 Pokhil P.G. 707
Minakata H. 404 Poleshuk V.A. 707
Minniti D. 334 Popova E.G. 707
Minowa M. 610 Pratt M.R. 334
Mirabolfathi N. 575 Preece RM. 590
Miramonti L. 575 Pritychenko B. 569
Mirgazov R.R 707 Probst F. 581
Miuchi K. 610 Prosperi D. 537
Montaruli T. 688 Prosin V.V. 707
Montecchia F. 537 Puibasset J. 598
Moriyama S. 610
Mosca L. 547, 575 Quenby J.J. 590
Moseiko N.!. 707 Quinn P.J. 334
Nam S.W. 569 Raffelt G.G. 60

Nagasawa M. 297 Ramachers Y. 581
Navick X.-F. 575 Rhode W. 699
Neininger N. 52 Rix HW. 33
Nelson e.A. 569 Roberts J.W. 590
Nelson H. 334 Ross R.R 569
Netikov V.A. 707 Rozanov M.1. 707
Neuhauser B. 569 Rubzov V. Yu. 707
Nilles H.P. 150
Nollez G. 575 Saab T. 569
740
Sadoulet B. 569 Tada M. 638

Saida T. 638 Takeda A. 610
Salucci P. 12 Tao C. 547
Santoso Y. 247 Tarashansky B.A. 707
Schnee R.W. 569 Taylor J.D. 569
Seidel W. 581 Thon T. 707
Seitz D.N. 569 Toht G. 707
Sekiya H. 610 Tomaney A.B. 334
Semenei Yu. A. 707 Tovey D.R. 590
Seo Y. 615 Th. H. 667
Sergeyev I. 581
Sergiampietri F. 615 Vagneron L. 575
Serin L. 623 Valle JW.F. 379
Shestople P. 569 Vandehei T. 334
Shibata M. 638 Vasiljev R.V. 707
Shimizu Y. 610 Vergados J.D. 283
Shutt T. 569 Vissani F. 435
Sikivie P. 38
Simon E. 575 Welch D. 334
Sinclair D. 493 Wang H. 615
Slyz A. 33 Watanabe T. 610
Smirnov A.Yu. 420 Waysand G. 598
Smith A. 569 Weinheimer Ch. 513
Smith D. 503 Wetterich Ch. 125
Smith G.W. 569 White S. 569
Smith N.J.T 590 Wischnewski R. 707
Smith P.F. 590 Woo J-K. 615
Snowden-Ifft D. 590
Sokalski LA. 707 Yamada S. 638
Sonnenschein A.H. 569 Yamamoto K. 638
Spadafora A.L. 569 Yashin LV. 707
Spiering Ch. 707 Yellin S. 569
Spooner N.J.C. 590 Young B.A. 569
Stark M. 581
Stern M. 575 Zacek V. 604
Stockwell W. 569 Zakharov A.F. 364
Stodolsky L. 581 Zhukov S. 520
Straumann N. 110 Zhukov V.A. 707
Strecker H. 520, 553 Zuber K. 469
Streicher O. 707
Stubbs CW. 334
Sumner T.J. 590
Sutherland W. 334
Suvorova O. 649

2001 Book DarkMatterInAstro-AndParticleP PDF

Uploaded by

Copyright:

Available Formats

You might also like

2001 Book DarkMatterInAstro-AndParticleP PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

2001 Book DarkMatterInAstro-AndParticleP PDF

Uploaded by

Copyright:

Available Formats

Dark Matter in Astro- and Particle Physics

Dark Matter in Astro-

Library of Congress Cataloging-in-Publication Data applied for.

Die Deutsche Bibliothek - CIP-Einheitsaufnallme

Dark matter in astro- and parti ele physics : proceedings of the

ISBN 978-3-642-62608-1 ISBN 978-3-642-56643-1 (eBook)

The Third International Conference on Dark Matter in Astra- and Particle

In particular, we are indebted to the Scientific Secretary of the conference,

Heidelberg, March 2001 H. V. Klapdor-Kleingrothaus

Part I Astronomical Evidence for Dark Matter

Large-Scale Structure and Dark Matter Problem

The Distribution of Dark Matter in Galaxies:

The Amount of Dark Matter in Spiral Galaxies

Measuring Stellar and Dark Mass Fractions in Spiral Galaxies

Dark Matter Caustics

Astrophysical Axion Bounds

The Sloan Digital Sky Survey at the Millennium

X-Ray Measurements of the Dark Matter Content

Can Dark Matter See Itself?

Self-Interacting Cold Dark Matter Halos

Part II Cosmology and the Early Universe

Evidence for Dark Energy from a Study of Type Ia Supernovae

On the Mystery of the Cosmic Vacuum Energy Density

Can Quintessence Be Natural?

Preheating, Thermilaziation and Supergravity

Dark Energy in Extra Dimensions and String Theory:

Models of Inflation, Supersymmetry Breaking

Big Bang Nucleosynthesis and Related Observations

Big Bang N ucleosynthesis in the Precision Era

Part III Beyond the Standard Model

Testing a (Stringy) Model of Quantum Gravity

Particles in the Bulk: A Higher-Dimensional Approach

Dark Matter in Supergravity

Dark Matter in SUSY

Collider Signatures of Sneutrino Cold Dark Matter

Searching for Supersymmetric Dark Matter -

Primordial Black Holes as Dark Matter

Formation of Primordial Black Holes

Baryonic Q-Balls as Dark Matter

Part IV Gravitational Lensing

Gravitational Lensing and Dark Matter

The MACHO Project 5.7 Year LMC Results

Are There MACHOs in Our Galactic Halo?

What Are MACHOs? Interpreting LMC Microlensing

Microlensing by Non-Compact Astronomical Objects:

Part V Hot Dark Matter - Neutrino Masses:

Neutrino Physics: Status and Prospect

Degenerate and Other Neutrino Mass Scenarios

Neutrinoless Double Beta Decay Potential

The Weight of Neutrinos and Related Questions

Neutrino Masses and Leptogenesis from R Parity Violation

Shadows of Relic Neutrino Masses and Spectra

Long Baseline Neutrino Oscillation Experiments

Recent Results from Experiments

First Neutrino Observations

Evidence for Neutrino Oscillations in LSND

Neutrino Mass from Tritium j3-Decay

Latest Results from the Heidelberg-Moscow