from duke university high energy physicsbocci/doe/doe_2011.pdfaugust 31, 2011 doe hep renewal...

August 31, 2011

DOE HEP Renewal Proposal

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Duke University High Energy Physics

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Department of Energy Office of Science

Project Title: Research in High Energy Physics at Duke University

Project Director: A. V. Kotwalemail: [email protected]: (919) 660-2563

Principal Investigators:• Task A (Hadron Collider Research): A. Goshaw, A. Kotwal, M. Kruse, S. Oh• Task N (Neutrino Research): K. Scholberg, C. Walter• Task M (Mu2E Research): S. Oh

Project Period: December 1, 2009 to November 30, 2012

DOE award number: DE-FG05-91ER40665

Funding Opportunity Number: DE-PS02-09ER09-02

Recipient Address: Duke UniversityOffice of Research Support334 North BuildingResearch Drive, Box 90077Durham, NC 27708-0077

Recipient TIN: 56-0532129

1

DUKE HEP PROJECT DESCRIPTION

Contents

1 ABSTRACT 4

2 BUDGET PAGES 5

3 Introduction 123.1 Summary of Research Activities . . . . . . . . . . . . . . . . . . . . . . . . . 12

3.1.1 Research at CDF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123.1.2 Research at ATLAS . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133.1.3 Neutrino Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133.1.4 Rare Processes with Mu2E . . . . . . . . . . . . . . . . . . . . . . . . 143.1.5 Community Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

3.2 Summary of Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143.3 Summary of Budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

4 Task A: Hadron Collider Physics at CDF 164.1 CDF Physics Analyses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

4.1.1 Precision Physics - the CDF W Mass Analysis . . . . . . . . . . . . . 164.1.2 Higgs boson searches . . . . . . . . . . . . . . . . . . . . . . . . . . . 174.1.3 Electroweak studies at CDF using dibosons . . . . . . . . . . . . . . 184.1.4 Search for a Sneutrino, Z ′ boson and Graviton in the dimuon channel 184.1.5 Search for 4th Generation Neutrino . . . . . . . . . . . . . . . . . . . 194.1.6 Higgs Search in tri-lepton channel . . . . . . . . . . . . . . . . . . . . 194.1.7 Baryon and Meson resonance studies (Ks, Λ, Ξ, Ω, K∗ and φ) . . . . 19

4.2 CDF Operations Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204.2.1 Detector Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . 204.2.2 Development of b-Tagger . . . . . . . . . . . . . . . . . . . . . . . . . 20

4.3 CDF Publications over past 3 years . . . . . . . . . . . . . . . . . . . . . . . 214.4 CDF Conference Talks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

5 Task A: Hadron Collider Physics at ATLAS 215.1 Barrel TRT Construction, Integration and Commissioning . . . . . . . . . . 215.2 TRT tracking studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225.3 Long-term Monitoring of TRT Performance . . . . . . . . . . . . . . . . . . 225.4 Combined Inner Detector Alignment . . . . . . . . . . . . . . . . . . . . . . 225.5 Leadership Role in the Electron/Photon Performance Group . . . . . . . . . 235.6 Monte Carlo Simulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235.7 Duke Contributions to the US ATLAS program . . . . . . . . . . . . . . . . 24

5.7.1 The US ATLAS Institutional Board and Executive Committee . . . 245.7.2 Review of US ATLAS Upgrade program . . . . . . . . . . . . . . . . 255.7.3 ATLAS Silicon test facility . . . . . . . . . . . . . . . . . . . . . . . . 25

5.8 Tier 3 Computing for ATLAS, USATLAS and Duke . . . . . . . . . . . . . . 25

2

5.9 Physics with the ATLAS detector . . . . . . . . . . . . . . . . . . . . . . . . 255.9.1 Electroweak studies at ATLAS using dibosons . . . . . . . . . . . . . 255.9.2 Top Dileptons at ATLAS . . . . . . . . . . . . . . . . . . . . . . . . . 275.9.3 Searches for Gravitons, Z ′ and H±± bosons . . . . . . . . . . . . . . 285.9.4 Searches for Highly-Ionizing & Fractionally-Charged Particles with TRT 285.9.5 Search for H → WW → lνlν . . . . . . . . . . . . . . . . . . . . . . 295.9.6 Searches for Heavy Bosons using Boosted Top Quarks . . . . . . . . . 295.9.7 Top Quark Physics . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305.9.8 Lepton, MEt and two-jet final state (WW and Wjj analyses) . . . . 30

5.10 ATLAS Conference Talks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

6 Budget Justification for Task A 31

7 Task N: Neutrino Physics Program 327.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

7.1.1 Duke HEP Neutrino Personnel . . . . . . . . . . . . . . . . . . . . . . 327.2 Progress Report on Work in the Past Year . . . . . . . . . . . . . . . . . . . 32

7.2.1 Super-Kamiokande contributions . . . . . . . . . . . . . . . . . . . . 327.2.2 T2K Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347.2.3 LBNE Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . 377.2.4 Additional Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

7.3 Plans for Next Budget Period . . . . . . . . . . . . . . . . . . . . . . . . . . 387.4 Budget Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397.5 Publications from the Past Year . . . . . . . . . . . . . . . . . . . . . . . . . 39

8 Task M: Rare Processes Program - Mu2e 40

9 Statement of Current & Pending Support 42

10 Statement of Unexpended Funds 43

11 PERSONNEL INFORMATION 44

3

1 ABSTRACT

This is a Progress Report for research in experimental elementary particle physics, carriedout by the Duke University High Energy Physics (HEP) group. We report on physics resultsand detector development carried out during the second year of our current three-year grantperiod (2010 to 2012), and plans for our research activities during the third and last yearcovered by this Renewal Proposal. The Duke HEP group consists of seven faculty members,two senior scientists, six post docs and seven graduate students. There have been two mainthrusts of the research program, and we are adding a new area of research. Measurements atthe energy frontier at CDF and ATLAS are used to test aspects of elementary particle theorydescribed by the Standard Model (SM) and to search for new forces and particles beyondthose contained within the SM. The neutrino sector is explored using data obtained from alarge neutrino detector located in Japan, and new experiments to be built in the US. Themeasurements provide information about neutrino masses and the manner in which neutrinoschange species in particle beams. This year we have started a new research program in rareprocesses based on the Mu2E experiment at Fermilab. This research is motivated by thesearch for the µ → e transition with unprecedented sensitivity, a transition forbidden in thestandard model but allowed in supersymmetric and other models of new physics.

The high energy research program uses proton and antiproton colliding beams. Theexperiments are done at the Fermilab Tevatron (proton-antiproton collisions at a center ofmass energy of 1.96 TeV) and at the CERN Large Hadron Collider (proton-proton collisionsat 7-14 TeV). The neutrino program uses data obtained from the Super-Kamiokande detec-tor. This water-filled Cherenkov counter is used to detect and measure the properties ofneutrinos produced in cosmic ray showers, and from neutrino beams produced from acceler-ators in Japan. The Mu2E experiment will use a special stopped muon beam to be built atFermilab.

The material in this report is structured as specified in the OHEP guidelines for Re-newal Proposals. As requested, this includes a review of past accomplishments, plans for ourresearch during the next year, budget projections for our current grant, requested budgetsfor the next year, and a summary of personnel with their research commitments.

4

2 BUDGET PAGES

In the following 6 pages we present the budgets for the third year (December 1, 2011 toNovember 30, 2012) of our current 3-year grant period:

1. Task A (Hadron Collider Physics: Proton Accelerator)

2. Task N (Neutrino Physics: Proton Accelerator)

3. Total Proton Accelerator

4. Task N (Neutrino Physics: non-Accelerator)

5. Task M (Mu2E: Rare Processes)

6. Sum of Tasks A, N and M

5

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DOE F 4620.1 U.S. Department of Energy OMB Control No.

(04-93) Budget Page 1910-1400

All Other Editions Are Obsolete (See reverse for Instructions) OMB Burden Disclosure

Statement on Reverse

Task A (CDF and ATLAS) YEAR 3 of 3-year grant proton accelerator research

ORGANIZATION Budget Page No: 7 of 10

Duke University

PRINCIPAL INVESTIGATOR/PROJECT DIRECTOR Requested Duration: 12 (Months)

CoPI's: Alfred Goshaw, Ashutosh Kotwal, Mark Kruse, Seog Oh 12/1/2011-11/30/2012

A. SENIOR PERSONNEL: PI/PD, Co-PI's, Faculty and Other Senior Associates DOE Funded

(List each separately with title; A.6. show number in brackets) Person-mos. hunds Requested Funds Granted

CAL ACAD SUMR by Applpicant by DOE

1. A. Goshaw 2.0 28,189$ 2. A. Kotwal 2.0 22,011$ 3. M. Kruse 2.0 19,211$ 4. S.Oh 1.5 17,358$ 5. Total faculty salaries - - 7.5 $86,7696. ( 3 ) OTHERS (D. Benjamin, T. Phillips, C. Wang) 18.0 - 103,365$ 7. ( 7 ) TOTAL SENIOR PERSONNEL (1-6) 18.0 - 7.5 190,134$

B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)

1. ( 3 ) POST DOCTORAL ASSOCIATES (B.Jayatilaka, A. Bocci, G.Yu) 36.0 143,055$ 2. ( 0 ) OTHER PROFESSIONAL (TECHNICIAN, PROGRAMMER, ETC.)

3. ( 5 ) GRADUATE STUDENTS (Cerio,Finelli,Lui,Pollard,Zeng) 56.0 - - 125,935 4. ( 0 ) UNDERGRADUATE STUDENTS -$ 5. ( 1 ) SECRETARIAL - CLERICAL (Vines) 5.1 12,756$ 6. ( ) OTHER

TOTAL SALARIES AND WAGES (A+B) $471,880C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS) 93,326$

TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A+B+C) $565,206

D. PERMANENT EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM.)

TOTAL PERMANENT EQUIPMENT -$

E. TRAVEL 1. DOMESTIC (INCL. CANADA AND U.S. POSSESSIONS) $02. FOREIGN 25,000$

TOTAL TRAVEL $25,000F. TRAINEE/PARTICIPANT COSTS

1. STIPENDS (Itemize levels, types + totals on budget justification page)

2. TUITION & FEES

3. TRAINEE TRAVEL

4. OTHER (fully explain on justification page)

TOTAL PARTICIPANTS ( 0 ) TOTAL COST $0

G. OTHER DIRECT COSTS

1. MATERIALS AND SUPPLIES

2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION

3. CONSULTANT SERVICES

4. COMPUTER (ADPE) SERVICES

5. SUBCONTRACTS

6. OTHER (remission of student fees) 40,110$ TOTAL OTHER DIRECT COSTS $40,110

H. TOTAL DIRECT COSTS (A THROUGH G) $630,316

I. INDIRECT COSTS (SPECIFY RATE AND BASE) 57.0% 336,418$ TOTAL INDIRECT COSTS

J. TOTAL DIRECT AND INDIRECT COSTS (H+I) $966,734K. AMOUNT OF ANY REQUIRED COST SHARING FROM NON-FEDERAL SOURCES $0

L. TOTAL COST OF PROJECT (J+K) $966,734

6












(04-93) Budget Page 1910-1400



Task N (Neutrino Physics T2K) YEAR 3 of 3-year grant proton accelerator research

ORGANIZATION Budhet Pahe No: 8 of 10

Duke University


CoPI's: Kate Scholberg, Chris W alter 12/1/2011-11/30/2012




1. K. Scholberg 0.86 9,240$ 2. C. W alter 0.86 7,931$ 3. - -$ 4. - -$ 5. Total faculty salaries - - 1.72 $17,1716. ( 0 ) OTHERS - - -$ 7. ( 2 ) TOTAL SENIOR PERSONNEL (1-6) - - 1.72 17,171$


1. ( 1 ) POST DOCTORAL ASSOCIATES (Roger Wendell) 5.17 18,083$ 2. ( 0) OTHER PROFESSIONAL (TECHNICIAN, PROGRAMMER, ETC.)

3. ( 2 ) GRADUATE STUDENTS 6.89 - - 15,492 4. ( 0) UNDERGRADUATE STUDENTS -$ 5. ( 0 ) SECRETARIAL - CLERICAL (Vines) - -$ 6. ( 0 ) OTHER





E. TRAVEL 1. DOMESTIC (INCL. CANADA AND U.S. POSSESSIONS) $3,0002. FOREIGN 32,207$



2. TUITION & FEES

3. TRAINEE TRAVEL








5. SUBCONTRACTS






7












(04-93) Budget Page 1910-1400



Task A and Task N (CDF+ATLAS+T2K) YEAR 3 of 3-year grant proton accelerator research


Duke University


CoPI's: Alfred Goshaw, Ashutosh Kotwal, Mark Kruse, Seog Oh, Kate Scholberg, Chris W alter 12/1/2010-11/30/2011


(List each separately with title; A.6. show number in brackets) Person-mos. Funds Requested Funds Granted


1.

2.

3.

4.

5. - - 9.2 18.0 - - 103,365$

TOTAL SENIOR PERSONNEL (1-6) 18.0 - 9.2 207,306$

B. - - - $041.2 - - 161,138$

2. ( 0) - - - $062.9 - - 141,427

4. ( 0) - - - -$ 5.1 - - 12,756$








2. TUITION & FEES $03. TRAINEE TRAVEL








5. SUBCONTRACTS

6. OTHER (remission of student fees) $45,044TOTAL OTHER DIRECT COSTS $45,044



J. TOTAL DIRECT AND INDIRECT COSTS (H+I) $1,121,734K. AMOUNT OF ANY REQUIRED COST SHARING FROM NON-FEDERAL SOURCES $0

L. TOTAL COST OF PROJECT (J+K) $1,121,734

6. ( 0 ) OTHER

OTHER PROFESSIONAL (TECHNICIAN, PROGRAMMER, ETC.)

3. ( 7 ) GRADUATE STUDENTS

UNDERGRADUATE STUDENTS

5. ( 1 ) SECRETARIAL - CLERICAL (Vines)

Total faculty salaries

6. ( 0 ) OTHERS

7. ( 9 )

OTHER PERSONNEL (SHOW NUMBERS IN BRACK

1. ( 5 ) POST DOCTORAL ASSOCIATES

8












(04-93) Budget Page 1910-1400



Task N (Neutrino Physics SuperK) YEAR 3 of 3-year grant non-accelerator research

ORGANIZATION Budhet Pahe No: 8 of 10

Duke University


CoPI's: Kate Scholberg, Chris W alter 12/1/2011-11/30/2012




1. K. Scholberg 1.14 13,950$ 2. C. W alter 1.14 11,974$ 3. - -$ 4. - -$ 5. Total faculty salaries - - 2.28 $25,9236. ( 0 ) OTHERS - - -$ 7. ( 2 ) TOTAL SENIOR PERSONNEL (1-6) - - 2.28 25,923$


1. ( 1 ) POST DOCTORAL ASSOCIATES (Roger Wendell) 6.83 23,917$ 2. ( 0) OTHER PROFESSIONAL (TECHNICIAN, PROGRAMMER, ETC.)

3. ( 2 ) GRADUATE STUDENTS 9.11 - - 20,489 4. ( 0) UNDERGRADUATE STUDENTS -$ 5. ( 0 ) SECRETARIAL - CLERICAL (Vines) - -$ 6. ( 0 ) OTHER





E. TRAVEL 1. DOMESTIC (INCL. CANADA AND U.S. POSSESSIONS) $02. FOREIGN 42,541$



2. TUITION & FEES

3. TRAINEE TRAVEL








5. SUBCONTRACTS






9












(04-93) Budget Page 1910-1400



Task M (Mu2E) YEAR 3 of 3-year grant rare processes research


Duke University


PI: Seog Oh 12/1/2011-11/30/2012




1. S. Oh 0.5 5,786$ 2. 31,190$ 3.

4.

5. total faculty salaries 0.5 6 Chiho W ang 6.0 7. ( 2 ) TOTAL SENIOR PERSONNEL (1-6) 6.0 - 0.5 36,976$


1. ( 3 ) POST DOCTORAL ASSOCIATES -$ 2. ( 0 ) OTHER PROFESSIONAL (TECHNICIAN, PROGRAMMER, ETC.)

3. ( 3 ) GRADUATE STUDENTS - - - - 4. ( 0 ) UNDERGRADUATE STUDENTS -$ 5. ( 1 ) SECRETARIAL - CLERICAL (Vines) - -$ 6. ( ) OTHER





E. TRAVEL 1. DOMESTIC (INCL. CANADA AND U.S. POSSESSIONS) $02. FOREIGN -$

TOTAL TRAVEL $0F. TRAINEE/PARTICIPANT COSTS


2. TUITION & FEES

3. TRAINEE TRAVEL








5. SUBCONTRACTS

6. OTHER 2,500$ TOTAL OTHER DIRECT COSTS $2,500





10












(04-93) Budget Page 1910-1400



Task A , M and N YEAR 3 of 3-year grant


Duke University


CoPI's: Alfred Goshaw, Ashutosh Kotwal, Mark Kruse, Seog Oh, Kate Scholberg, Chris W alter 12/1/2010-11/30/2011


(List each separately with title; A.6. show number in brackets) Person-mos. Funds Requested Funds Granted


1.

2.

3.

4.

5. - - 12.024.0 - - 103,365$

TOTAL SENIOR PERSONNEL (1-6) 24.0 - 12.0 270,205$

B. - - - $048.0 - - 185,055$

2. ( 0) - - - $072.0 - - 161,916

4. ( 0) - - - -$ 5.1 - - 12,756$








2. TUITION & FEES $03. TRAINEE TRAVEL








5. SUBCONTRACTS

6. OTHER (remission of student fees) $54,070TOTAL OTHER DIRECT COSTS $54,070



J. TOTAL DIRECT AND INDIRECT COSTS (H+I) $1,403,498K. AMOUNT OF ANY REQUIRED COST SHARING FROM NON-FEDERAL SOURCES $0

L. TOTAL COST OF PROJECT (J+K) $1,403,498

6. ( 0 ) OTHER

OTHER PROFESSIONAL (TECHNICIAN, PROGRAMMER, ETC.)

3. ( 7 ) GRADUATE STUDENTS

UNDERGRADUATE STUDENTS

5. ( 1 ) SECRETARIAL - CLERICAL (Vines)

Total faculty salaries

6. ( 0 ) OTHERS

7. ( 9 )

OTHER PERSONNEL (SHOW NUMBERS IN BRACK

1. ( 5 ) POST DOCTORAL ASSOCIATES

11

3 Introduction

The Duke High Energy Physics Group has been carrying out elementary particle research forover forty years. Initial experiments used bubble chambers, with a transition to electronicfixed target experiments in the 1970’s. The current program is focused on measurementsusing hadron colliders and high energy neutrino beams, and a new effort in the search forrare processes using the Mu2E experiment. The active experiments are:• CDF at the Tevatron (since 1990)• ATLAS at the LHC (since 1995)• Neutrino physics at Super-Kamiokande and T2K (since 2004)• Rare processes search using Mu2E (since 2010)

The CDF and ATLAS experiments form the basis of our program at the energy fron-tier, where we focus on studies of electroweak and top physics. A technical coherence isachieved through Duke’s contributions to charged particle tracking at CDF (the CentralOuter Tracker) and ATLAS (the Transition Radiation Tracker). The research programs atCDF and ATLAS are carried out by five Duke faculty members (Professors Goshaw, Kot-wal, Kruse, Oh and Research Professor Phillips), two senior scientists, three postdocs, andtypically five graduate students. These activities are funded by a single umbrella Task A.

In January 2010, Assistant Professor Ayana Arce joined the Duke physics departmentand the HEP Group. She will continue her research program on ATLAS.

Neutrino research was established at Duke in 2004 with the addition of two new facultypositions (Professors Scholberg and Walter) and has now operated for seven years. TheDuke Super-K program will continue and the K2K (neutrino beam from KEK to Super-Kamiokande) program has evolved into T2K (a new high-intensity off-axis neutrino beamfrom Tokai to Super-Kamiokande). The Neutrino group is now involved with LBNE in theUS. Two faculty members, three postdocs and two students carry out the research. Theneutrino research program is described under Task N.

This year we have started a new effort on the Mu2E experiment under the lead of Prof.Oh. He and a senior scientist are working on the straw tracker for this experiment, which isone of its most important components.

3.1 Summary of Research Activities

Sections 4 through 7 of this document contain the detailed project descriptions of our researchprograms. We include here a summary of physics goals and Duke contributions.

3.1.1 Research at CDF

Research work at the Fermilab Tevatron using the CDF detector has been a central partof the Duke HEP program for over 16 years. We have been active recently in four physicsanalysis areas:• Electroweak physics (W mass, di-boson production)• Top quark physics• Higgs boson searches• Search for exotica (charged massive particles, excited leptons, new gauge bosons)

12

Although diverse research topics, there is a coherence through the use of high-PT

leptons and W/Z bosons as the basic physics objects. The measurements require precisiontracking information, which is one of the strengths of the Duke HEP group. Duke physicistshave served as physics co-conveners of the Higgs, top, electroweak and QCD physics groups.We have also made significant contributions to the construction and operation of CDF:• Central Outer Tracker (COT) construction and maintenance• Silicon Detector (SVX II) construction and maintenance• Online and Offline Operations Managers (most recently 2011)• Deputy Leader of the Run IIb Upgrade Project (2002 - 2006)• Co-leader of the particle tracking group (2002 - 2006)• Co-leader of data-handling group (2005 - 2006)• Co-leader of the GRID computing group (2007 - 2008)• Co-leader of the Offline Software and Computing Project (2004 - 2006)• Co-spokesperson (1997- 2003)

We plan to continue our involvement with the CDF experiment for the next two yearsto finish the analysis of the final dataset, but with a reduction of effort as we shift to ATLAS.

3.1.2 Research at ATLAS

The future of Duke’s hadron collider physics program will be at the CERN LHC usingthe ATLAS detector. We have made major contributions to the design, construction andinstallation of the barrel Transition Radiation Tracker:• Construction of 50% of the barrel TRT modules at Duke• Assembly of barrel support structure at CERN• Installation of TRT modules at CERN

We have also played major roles in TRT reconstruction software and alignment, soft-ware commissioning, Monte Carlo simulation, global inner detector alignment (combinedpixel, SCT and TRT), and USATLAS computing and management:• TRT software group co-leaders• USATLAS and ATLAS Tier 3 project co-leader• USATLAS Institutional Board Chair• MC production coordinator

Continuing service work will be based upon tracking detector alignment and reconstruc-tion, performance studies, and computing. We are involved in the upgrade of the ATLASsilicon strip detector. Based on our CDF experience, we have started the analyses for earlymeasurements of electroweak processes and searches for new physics at high-pT .

3.1.3 Neutrino Research

Duke’s neutrino physics program is focused on Super-Kamiokande and the upcoming T2Koff-axis beam experiment. This year, activity on LBNE has been ramping up. We have beenactive in:• Super-K atmospheric ν oscillations, including three-flavor, CPT violation and τ appear-ance analyses

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• Beam neutrino oscillation analyses• Supernova neutrino physics studies for LBNE (topical group convener)

Our service work is extensive and primarily in support of our physics interests. Re-sponsibilities over the past year include:• US group onsite maintenance for SK• Outer detector PMT calibration, data quality control and simulation for SK• Outer-detector-based reconstruction and event selection software for SK and T2K• Reconstruction software, including ring-counting and particle ID for SK and T2K• Energy scale calibration for SK and T2K• Oscillation analysis tools for SK• Offline co-convener for SK (2007-)• T2K-SK, T2K-LB group co-convener (2008-)• LBNE Water Cherenkov simulation group co-convener (2009-)• LBNE Executive Committee (2010-2011)

Emphasis over the next years will be on T2K beam neutrino analysis in SK, with focuson the search for non-zero θ13 via νe appearance, to which we bring extensive experiencefrom atmospheric neutrino and K2K beam neutrino work, and on LBNE water Cherenkovdesign and physics studies.

3.1.4 Rare Processes with Mu2E

The Duke HEP Rare Processes program is led by Oh and Wang. The Mu2E experiment isscheduled for a CD1 review this year, and we are busy in preparation. Since we joined theMu2E collaboration, specifically the straw tracker subgroup, we have made several importantcontributions to the design of the end plate, the prototyping, and the procurement of thestraw tubes.

3.1.5 Community Service

In addition to our contributions to research, operations and management in our respectiveexperiments, we are also involved in service to the HEP community. Scholberg continues asa member of HEPAP and the DPF Executive Committee. Kotwal served as vice-chair andchair of the DPF Nominating Committee in 2010 and 2011 respectively.

3.2 Summary of Personnel

We summarize in Table 1 the Duke HEP research personnel and the expected distributionof their research efforts over the next year.

3.3 Summary of Budget

Details of the budget and budget justifications are included in following sections. We includein Table 2 a high-level summary comparing our past-year (2010) and current-year (2011)budgets to the proposed budget for 2012.

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Fraction of research effortName Position

CDF ATLAS Neutrino Mu2EA. Arce Assistant Professor 100%A. Goshaw James B. Duke Professor 10% 90%A. Kotwal Professor 30% 70%M. Kruse Associate Professor 30% 70%S. Oh Professor 25% 50% 25%T. Phillips Assoc. Research Professor 50%K. Scholberg Associate Professor 100%C. Walter Associate Professor 100%D. Benjamin Senior Research Scientist 10% 90%C. Wang Senior Research Scientist 50% 50%A. Bocci Postdoc 100%B. Jayatilaka Postdoc 50% 50%G. Yu Postdoc 20% 80%R. Wendell Postdoc 100%A. Himmel Postdoc 100%T. Akiri Postdoc 100%J. Albert Graduate Student 100%T. Wongjirad Graduate Student 100%Y. Zeng Graduate Student 100%B. Cerio Graduate Student 100%K. Finelli Graduate Student 100%M. Liu Graduate Student 100%C. Pollard Graduate Student 100%M. Vines Staff Assistant 33% 33% 33%J. Fowler Engineer 100%

Table 1: Summary of personnel.

Task 2010 2011(current) 2012A (CDF and ATLAS) $964K $1031K $967KN (Neutrino) $310K $360K $360KM (Mu2E) $77KTotal $1274K $1391K $1404K

Table 2: Summary of budget, showing funds received at Duke in 2010 (including $50K sup-plement in Task A) and 2011 (including $155K supplement in Task A) as well as fundsrequested at Duke in 2012. In addition, $18K ($15K) was received in Brookhaven (Fermi-lab) Service accounts in 2010, $26K ($27K) was received in Brookhaven (Fermilab) Serviceaccounts in 2011, and we have requested $26K ($27K) at Brookhaven (Fermilab) in 2012.

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4 Task A: Hadron Collider Physics at CDF

The research activities of the scientists on CDF are supported by Duke HEP Task A. Thepresentation of this CDF section of the Task A report is structured as follows:• CDF physics analyses, completed and planned for the next year• CDF operations support and management• Publications and conference talks

4.1 CDF Physics Analyses

The Duke HEP group has an extensive history of leadership in physics analyses at CDF.We have held physics co-convener positions of the Electroweak Group (Kotwal), the Topand Higgs Groups (Kruse) and the QCD Group (Goshaw). We have played leading rolesin the W boson and top quark mass measurements (Jayatilaka and Kotwal), and the studyof vector boson pair production (Benjamin, Deng, Goshaw, Phillips and Kruse). Usingthis base of electroweak physics we have initiated several new phenomena searches: stablemassive particles (Phillips); standard model Higgs bosons (Benjamin, Kruse, Hidas, Shekhar,Jayatilaka and Kotwal); excited leptons and exotic Higgs bosons (Kotwal); new gauge bosons(Ko, Oh and Kotwal); and a global study of high-Pt dilepton events (Benjamin and Kruse).During the past two years Ravi Shekhar has completed an M.Sc. thesis.

We are supporting CDF operations (Jayatilaka is Detector Operations Manager) andwe will continue our involvement with the key CDF physics analyses, both at Duke and ingeneral support of the Collaboration’s physics program.

4.1.1 Precision Physics - the CDF W Mass Analysis

After publishing the first Run 2 measurement of the W mass with a precision of 48 MeV,Jayatilaka, Kotwal and Zeng are collaborating with colleagues from Argonne, University ofOxford and University College, London to perform a new measurement of the W boson massusing 2 fb−1 of CDF data. Our goal is to obtain a total precision of 20 MeV, towards whichwe have made significant progress. We have achieved self-consistent energy/momentumcalibrations with a precision of 0.01%, an improvement by a factor of three. We have alsocompleted an accurate alignment of the COT drift chamber using cosmic rays. The trackerhas been calibrated using Jψ → µµ and Υ → µµ mass fits by Yu Zeng, as part of his Ph.D.thesis work. He has made precise measurements of the track energy loss, the magnetic fieldnon-uniformity and the global deformations of the tracker.

Jayatilaka and Kotwal have finished the EM calorimeter calibration by fitting theEcal/ptrack spectrum of electrons from W → eν decays. Shekhar and Kotwal performeddetailed studies of the calorimeter using a full GEANT4 simulation, to understand the effectsof leakage and uninstrumented material. This is the first time the EM calorimeter has beenunderstood at this level of detail. We have also developed an improved model of the hadronicrecoil using the high-statistics W and Z boson data. Jayatilaka has calculated the higherorder QED corrections using the PHOTOS and HORACE programs, and Zeng has developeda neural network discriminant to measure the jet background in the W → µν data.

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Jayatilaka is currently the co-convener of the W mass group at CDF. We are performingan independent measurement of the Z boson masses in the electron and muon channels, asvalidation of our calibrations. We will unblind the Z and W mass measurements aftercompleting these validations later this year.

While the 2 fb−1 analysis is the top priority, we are planning ahead for a final 10 fb−1

measurement by creating the customized datasets for this analysis. This process requiresstripping off selected events and reprocessing them with specialized drift chamber alignmentconstants and track reconstruction. We have started this process for the J/ψ → µµ streamand will also implement it for the Υ → µµ stream and the high-pT lepton streams.

4.1.2 Higgs boson searches

We have played central roles in Higgs searches at CDF over the last several years.

• Co-convenership

Kruse co-convened the “Higgs Discovery Group” at CDF during Jan 2007 - Jan 2009. Thiseffort lead to the first exclusion of Higgs masses at a hadron collider using H → WW channel.

Jayatilaka is currently co-convener of the ZH group and is coordinating the final roundof ZH analyses.

• H → WW analysis

Many of the innovations to the H → WW analysis that lead to the first Higgs exclusions atthe Tevatron were developed by Hidas (grad student, now a postdoc at Rutgers) and Kruse.Details are in Hidas’s thesis at http://www.phy.duke.edu/~mkruse/Grads.html .

• H → ZZ analysis

Over the last year we (Limosani, Zhou, Kruse) have investigated H → ZZ to extend thehigh-mass Higgs searches. Limosani is a postdoc at U. of Melbourne working with Kruseas part of a Australian Research Council grant. Limosani completed various H → ZZsearch channels and worked with Chen Zhou (first year grad student under the supervisionof Kruse who was funded by a URA grant for the summer of 2011) in developing multivariatetechniques that can possibly be applied in ATLAS searches. Now that the LHC experimentsare rapidly improving the limits in this region, the Tevatron limits are no longer competitiveand we will likewise redirect our efforts.

• Higgs Search in the ZH → ℓ+ℓ−bb Associated Production Mode

Jayatilaka and Kotwal have worked with collaborators from Wayne State University to com-bine the likelihood-based and neural network-based discriminants to improve the sensitivityfor the Z + H → llbb channel. A paper based on 4.1 fb−1 of data has been published inPhys. Rev. Lett 105, 251802 (2010). Previously, Shekhar, Jayatilaka, Kotwal and CDFcollaborator Daniel Whiteson, have published in Phys. Rev. D 80, 071101 (R) (2009)a search for the SM Higgs boson in the Z + H → llbb channel. This was Shekhar’s Mastersthesis topic (supervised by Kotwal).

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As co-convener of the ZH → ℓ+ℓ−bb subgroup (since 2009), Jayatilaka is leading thenext analysis based on 7.5 fb−1. A paper based on this analysis, intended for publication inPhys. Rev. Lett., is under CDF Collaboration review. This analysis includes major im-provements such as the use of multivariate selection for all leptons, multi-layer discriminantsand mass-dependent discriminant training. This analysis contributes to the most stringentlimits in the world on the SM Higgs boson at mH < 135 GeV.

4.1.3 Electroweak studies at CDF using dibosons

Our research has resulted in a number of CDF publications over the past few years and mostrecently the first measurement of Wγ and Zγ production from the ATLAS experiment. Inaddition to our own analyses, Duke physicists have helped organize CDF’s di-boson physicsprogram as electroweak group Co-conveners (Kotwal) and as di-boson sub-group co-conveners(Benjamin and Goshaw). At ATLAS we (Bocci and Goshaw) served as editors of one of thefirst electroweak diboson publications. In this section we summarize results from our mostrecent measurements, ongoing research and plans for the next year. The program includesprecision tests of the SM and searches for new physics through phenomena that lead to Wγand Zγ final states (W/Z boson sub-structure, techni-rho/omega bosons and H → Zγ).

• Zγ production at the Tevatron

The study of Zγ production is an important test of the standard model (SM) de-scription of gauge boson interactions and provides sensitivity to physics beyond the SM.Phillips and Goshaw collaborated with Max Goncharov (MIT) used CDF data to set limitson anomalous neutral trilinear-gauge couplings using 2 fb−1 of data. This analysis has beenpublished in Phys. Rev. D 82, 031103 (2010). Phillips continued this analysis in col-laboration with Goncharov (MIT), John Freeman, and Vadim Rusu (Fermilab). The newlimits on the anomalous coupling parameters (|hZ,γ

3 | < 0.022 and |hZ,γ4 | < 0.0009 for Λ = 1.5

TeV) using 5 fb−1 of data were just published in Phys. Rev. Lett. 107, 051802 (2011).These are the world’s best limits, and improve on the previous best limits published by D0by a factor of about two.

• Search for the rare decay W → πγ at the Tevatron

Former Duke undergraduate Chris Lester, along with Phillips, Bocci, Goshaw, andFermilab’s Pavel Murat conducted a search looking for the rare radiative decay W → πγ.The Standard Model predicts a branching ratio for this decay in the range of 10−6 to 10−8.We do not observe the decay W → πγ, so we set an upper limit on the ratio Γ(W →πγ)/Γ(W → eν) < 6.4 × 10−5. This reduces or eliminates uncertainties on the luminosity,the transverse momentum of the W boson, structure functions, and the e/γ trigger. Hadwe seen the decay, this would have been the first rare decay of the W observed. A paper onthis analysis was recently submitted to Phys. Rev. Lett.

4.1.4 Search for a Sneutrino, Z ′ boson and Graviton in the dimuon channel

Kotwal in collaboration with colleagues from UC Irvine and NYU used a per-event likelihooddiscriminant based on standard model matrix elements to publish (Phys. Rev. Lett. 106,

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121801 (2011)) a search for high-mass dimuon resonances based on 4.6 fb−1 of data. Thismethod provided an improvement of 20% in sensitivity relative to our published templatemethod based on 2 fb−1 (Phys. Rev. Lett. 102, 091805 (2009)), and resulted in someof the world’s most stringent mass limits Z ′ bosons and Randall-Sundrum Gravitons at thattime. Kotwal has co-authored a review article on new techniques in high-mass resonancesearches in Mod. Phys. Lett. A24, 2387 (2009).

4.1.5 Search for 4th Generation Neutrino

Jayatilaka along with collaborators at UC Irvine have performed a search for 4th generationneutrinos produced in conjunction with a pair of Z bosons. In 4th generation extensions tothe SM, the lightest 4th generation particle could be a neutrino that is a mixture of Dirac andMajorana states. The search, performed in 4.1 fb−1 of CDF data for a range of possible masseigenstates, establishes the first direct experimental limits on such 4th generation neutrinos.A paper draft, intended for publication in Phys. Rev. D, is under CDF review.

4.1.6 Higgs Search in tri-lepton channel

Guembong Yu is responsible for one of the CDF Higgs search channels, namely the trileptonchannel, which can be generated in associate production with the Z boson. The optimalfinal state is ZH → ZWW → lll′νjj i.e. three leptons, missing transverse energy, and twoor more jets. This analysis has matured and combined for a H → WW limit with otherchannels. In the 8.2 fb−1 CDF data, the best expected limit is 7.53 times the SM Higgs crosssection, while the observed limit is 6.44×SM for the assumption of MH = 165 GeV. We arestudying and improving the jet multiplicity modeling in this analysis.

4.1.7 Baryon and Meson resonance studies (Ks, Λ, Ξ, Ω, K∗ and φ)

We (Oh and Wang) have finished the study of six resonances (Ks, Λ, Ξ, Ω, K∗ and φ)using ∼100 million minimum bias events and extended this study using jet events, whichwe have just finished. There are two reasons to use the jet data. One is to study theparticle production inside jets as a function of jet energy, and the other is to compare thejet events with the minimum-biased events. We should note that this is the first time thatthese particles have been studied inside jets. With this comparison, one can try to isolate thejet contribution and possibly understand the mechanism of low transverse momentum (pT )physics. The latter is the difficult region, and understanding it is important to the study ofthe Quark Gluon Plasma (QGP) production.

Our measurements of the pT distributions for Ks, K∗ and φ, and the hyperons (Λ, Ξand Ω), show that the high pT slopes of all distributions are quite similar while the productioncross sections are quite different. This could indicate a universality of production mechanismsas pT increases. We have measured pT distribution for Ks and Λ as a function of jet ET .Figure 1 shows the ratio of Λ/Ks as a function of pT from minimum biased events and jetstogether. This plot is interesting because the ratio of the minimum biased data and jet datamerges as pT increases. This is consistent with the assumption that the high pT particlesfrom minimum biased events are likely to rise from QCD jets. We also note an enhancement

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of the ratio near pT ∼2 GeV. This is only true for the baryon to meson ratio. This may bean indication of some interesting physics.

All results are fully blessed and we are in the process of drafting a PRD article.

Figure 1: Ratios of various particles from minimum biased events and jet events.

4.2 CDF Operations Support

We are heavily involved in the operations of the CDF detector and the offline software.

4.2.1 Detector Operations

Jayatilaka is serving as the Detector Operations Manager for the last 6 months. In this rolehe is directly responsible for the day-to-day operation of the detector, the coordination ofthe shift crew and collision hall access, and the immediate response to any problem withthe detector or the data acquisition system. As Operations Manager, Jayatilaka is on-call24 hours a day, and he also gives weekly operations reports to the experiment and to theFermilab experimental community at the All-Experimenters Meeting.

4.2.2 Development of b-Tagger

Phillips is a member of the CDF analysis group searching for the light Higgs produced inassociation with W bosons. He has been leading the group that is writing the algorithmto be used to identify jets coming from H → bb decays. The ability to separate jets thatoriginate from b quarks from other jets is key to reducing the W+ jets background to WH atlow Higgs mass. The new algorithm, the Higgs-Optimized b-identification Tagger (HOBIT),is more sensitive than previous b-tagging algorithms and has a lower rate of mis-identifyingjets from other sources. In addition, it is a neural-net tagger so it has a continuous outputvariable that will allow the different analysis channels to optimize their operating points.At the same background rate as the current tagging algorithm, HOBIT identifies 10-20%

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more b jets. The b-tagging improvement group being led by Phillips is currently finalizingthe optimization of the HOBIT tagger, deploying the tools that will allow the CDF to useHOBIT to improve existing analyses, and measuring the various scale factors that are neededfor the final results for the winter conferences.

4.3 CDF Publications over past 3 years

The analyses and service work discussed above have resulted in several publications, or arein the process of being published. The list of publications is posted at

http://www.phy.duke.edu/∼kotwal/CDFpublications.pdf

4.4 CDF Conference Talks

We have given a large number of talks at conferences and workshops, including several invitedand plenary talks at major conferences. The full list of talks is posted at

http://www.phy.duke.edu/∼kotwal/TalksFile.pdf

5 Task A: Hadron Collider Physics at ATLAS

The Duke HEP group joined the ATLAS collaboration in 1995 soon after SSC termination.Since then, we have played a key role in successfully constructing and commissioning theBarrel TRT (Transition Radiation tracker), this work being carried out by Oh, Wang, Fowler,Ebenstein, Ko and Benjamin. Since its construction, more Duke colleagues have joined theTRT efforts and have been making substantial contributions in the areas of TRT software,calibration and alignment (Bocci, Kruse and Klinkby), tracking validation (Yamaoka) andcombined ID alignment (Cerio, Shekhar and Kotwal).

Since LHC operation started, we have been moving resources from our CDF effort.Presently there are two research associates (Bocci and Yu) at CERN. Jayatilaka has startedparticipating in ATLAS analysis activities, while being resident at Fermilab.

Our extensive CDF analysis experience has carried over to the ATLAS data analy-sis. We are making important contributions in dilepton analyses, searches for Z ′ bosons,Gravitons and tt resonances, Wγ/Zγ production, and the H → WW search.

We have joined the ATLAS upgrade effort for SLHC which will come on line in about10 years. This effort is led by Arce and Kruse and our interest will be in testing siliconsensors which we have received some modest funding to initiate.

5.1 Barrel TRT Construction, Integration and Commissioning

With the LHC now in operation at 7 TeV, the TRT (built by Oh, Benjamin, Ebenstein,Fowler and Wang) has been performing exceptionally well and is an integral and crucialcomponent of the ATLAS physics results. It is worthwhile to point out that it has beenabout 12 years since the first production module came off the assembly line at Duke. Wehope the modules continue to perform well for another 10 years.

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5.2 TRT tracking studies

Over the last few years we (Klinkby, Bocci, Finelli, Benjamin, Kruse) have made integralcontributions to the studies of TRT tracking performance and simulation, including strawefficiency studies, high-threshold tuning to data, TRT simulation and digitization, the TRTRun Time Tester (RTT), and studies of TRT shadow tracks. The bulk of this work wascarried out by Klinkby and Bocci, both of whom have been leaders of the TRT softwaregroup. With Klinkby now having moved on to a permanent position in Copenhagen, someof these activities will necesarily be reduced.

One tool which we (Finelli, Klinkby, Kruse) will continue to develop is the study of”shadow tracks” in the TRT. The present algorithm for TRT β-fitting is to fit the distributionof trailing edges (the ’set’ to ’onset’ transition in the bit pattern) for all hits on a track totemplates of the same, with varying β assumptions. The sensitivity comes mainly from thosehits with large trailing edge, and it is essential to have low contamination. Thus a TRT-onlyisolation is needed. The idea is to look for ”shadow tracks” by counting the number of hitsneighboring the track in question, and use this to cleanup the sample. We are working on atool which provides information on hits nearby a given track. The tool which will be includedin official ATLAS software repository, will be of use in a number of other analysis as well.For our particular use, the idea is that the tool should provide an answer to the question: Isit a highly ionizing particle or late particle, or is it in fact created by two passing particles?

5.3 Long-term Monitoring of TRT Performance

As part of Duke service work for the TRT we (Goshaw and Liu) have been asked to providelong-term performance monitoring of the TRT. The goal is to track drifts in spatial andtiming resolutions that might occur as the LHC luminosity increases and the beam structurechanges ( bunch spacing, bunch train structure, protons/bunch, etc.). In order to do thiswe have prepared a monitoring ntuple that merges TRT calibrations from each run with theLHC conditions for that run. Using this we can plot, for example, measurement resolutionin a TRT module versus the number of interactions per crossing or other LHC parameter.The TRT ntuple will be continually updated, and used by a monitoring program to look forlong-term drifts in TRT performance. This will be a continuing service task for Duke as longas the TRT is part of the ATLAS inner detector.

5.4 Combined Inner Detector Alignment

The physics performance of ATLAS depends on accurate track reconstruction, for which theglobal alignment of all ATLAS inner detectors is very important. Shekhar and Kotwal haveworked on the alignment of the pixel, SCT and TRT detectors within the ID Alignmentgroup of ATLAS. We have studied the hit resolutions for the pixel, SCT and TRT that areused to compute the track fit χ2. We have developed a new software package for ATLASthat uses the unbiased hit residuals to produce the most reliable measurement of the hitresolutions. The development of this method was particularly useful for the SCT, which hasdouble-sided sensors with strong correlation between the hits on the two sides. This methodwas an important contribution not only for improving the quality of the track fit but also

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for the alignment of these detectors. We have checked the dependence of hit resolutionmeasurements on track momentum and track selection cuts and found our measurements tobe stable. We have generated a self-consistent set of hit resolutions for all ID components,which are used in the official ATLAS data production.

This work builds on Kotwal’s significant experience with the CDF drift chamber align-ment using cosmic rays and collider tracks. There is also a synergy with our physics interestin searches for Z ′ bosons using high-pT muons, and tagging highly-boosted top quarks. Ceriois going to continue our work on ID alignment and hit resolutions.

5.5 Leadership Role in the Electron/Photon Performance Group

In the past years Bocci held responsibility positions and leadership roles within the TRTand the Inner Detector group. At the beginning of 2011 he was appointed to co-lead theATLAS Electron/Photon Combined Performance (egamma CP) group, along with FabriceHubaut (Marseille/CERN). Performance groups have the mandate to act as a bridge betweendetector operations and physics analysis groups. In practice, for the egamma CP it impliesthe realization of all the necessary tasks to provide physics groups with the best possiblemeasurement of electrons and photons, given the constraints coming from the operation ofthe detectors. This is a high level of responsibility with a major impact on ATLAS physics.

Typical activities that the egamma conveners have to organize, coordinate and su-pervise are: monitoring of the electron/photon data quality, maintenance (and improve-ment) of the electron/photon software, measurement of electron/photon performance andthe data/MC corrections, calibration of the EM calorimeter response and linearity (im-pacting the Higgs discovery in “golden” channels as H → γγ and H → 4e), provide officialrecommendations on the usage of electrons/photons and the associated systematics, mappingof the passive material, and optimization of the electron trigger menu and offline selection.

As the ultimate responsibles, the conveners have to frequently report directly to thephysics coordinators and ATLAS management as well as closely cooperate with detectorproject leaders (mainly the Inner Detector and the LAr Calorimeter). In his role, Bocci isalso a member of the Physics Coordination group (composed by the conveners of the physicsand combined performance groups and the ATLAS management) that convene weekly todiscuss strategies and plans to successfully fulfill the ATLAS physics programs.

Finally, as convener Bocci has to check that all the ATLAS public results and publica-tions - where electrons/photons are involved - consistently and uniformly reflect the currentknowledge of the detector accuracy and performance.

5.6 Monte Carlo Simulation

Arce continues her leadership role within the ATLAS simulation and data preparation groups,as Coordinator for run-dependent Monte Carlo production at ATLAS. The run-dependentMonte Carlo framework (RunDMC) ensures that simulated data accurately reflects the twomajor sources of variability in the acceptance and performance of ATLAS over time tem-porarily excluded channels from each sub-detector, and LHC beam conditions leading topile-up (multiple collisions per beam crossing). The framework was used to produce a realis-tic distribution of pileup interactions in Monte Carlo for nearly all ATLAS physics measure-

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ments using 2011 data. It will be expanded to also model the hardware failures and recoveryin the ATLAS LAr calorimeter for late 2011 results.

5.7 Duke Contributions to the US ATLAS program

The Duke HEP group been providing support for the US ATLAS research program in variousways. Goshaw is Chair of the US ATLAS Institutional Board and Executive Committee witha term running through 2013. Kotwal recently served on a review panel for the US ATLASUpgrades. Arce and Kruse are setting up a test facility at Duke for the upgrade of the siliconstrip detector. We briefly summarize these activities below.

5.7.1 The US ATLAS Institutional Board and Executive Committee

The 44 US ATLAS institutions have oversight of the US ATLAS program through representa-tion on an Institutional Board (IB). Goshaw was re-elected in January of 2011 to a three-yearterm as Chair of the US ATLAS IB . In this role he attempts to strengthen communica-tion between the institutions and the various components of the US ATLAS leadership. IBmeetings are held monthly to hear reports from the project managers, to provide input onnominations for ATLAS leadership positions, and to collect feedback on issues effecting theUS ATLAS physics program.

A revised Operations Management Plan specifies an expanded role of the InstitutionalBoard in the governance of the US ATLAS research program. In particular institutions nowhave direct input into the appointments of the top-level US ATLAS management, throughCommittees appointed by the IB Chair. Over the past year Committees were formed thatrecommend the appointments of the manager of M&O, and the leaders of Computing, Soft-ware and Physics Support. In addition DOE and NSF developed a revised transition planfor the Project Manager and Deputy (currently Mike Tuts and Howard Gordon) that re-quired input from an IB Committee appointed by the IB Chair. These recommendationsare currently being acted upon at the time of this report by Steve Vigdor, the US ATLASDesignated Laboratory Officer.

The IB Chair also serves as Chair of a newly-formed Executive Committee that consistsof the Manager and Deputy, project leaders, and three at-large members elected by the USATLAS Collaboration. Typical activities are to conduct long range strategic planning, dis-cussion of the balance of the Operations Program and the review of upcoming presentationsfrom U.S. ATLAS to funding agencies.

The IB Chair is also responsible for meeting with US ATLAS institutions to discusstheir contributions to the support of ATLAS operations and their physics programs. Thisinteraction is used to collect information that is passed on to DOE about specific programneeds that would strengthen the overall US physics program. In recognition of the expandedresponsibilities of the IB Chair, additional funds have been provided by DOE for the signif-icant travel associated with this position.

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5.7.2 Review of US ATLAS Upgrade program

Kotwal served on the Review Committee for the US ATLAS Upgrade program. The Com-mittee was asked to review both Phase 1 and Phase 2 upgrade projects, taking into accountthe overall ATLAS upgrade plans and the US funding prospects. The Committee was alsoasked to review the proposal for funding the R & D required for the various upgrades underthe Generic Detector R & D Program established by DOE.

5.7.3 ATLAS Silicon test facility

Research and development on new silicon strip tracker detector components, primarily de-signed for the upgraded ATLAS inner detector, is ongoing at Duke. In 2011 Arce, Benjaminand Kruse installed a module test-stand at Duke, based on a custom high-speed I/O (HSIO)board and interface electronics produced by Stanford Linear Accelerator Center. The in-stallation and use of this test stand proceeds in close collaboration with several US ATLASinstitutions, including Brookhaven National Laboratory, and involves two Duke engineer-ing majors funded by a grant from the Lord Foundation of North Carolina. The hardwareis currently being used to develop robust and repeatable test-stand configurations for thevarious institutions working on silicon strip detector R&D, and to study the 128-channelprototype silicon strip readout ASIC. The next step in the R&D program involves expand-ing the test-stand to accommodate modules for electrical tests of the combined sensor andreadout electronics, and constructing an infrared laser based test-beam to produce realisticsignals in individual silicon strips in the module under test.

5.8 Tier 3 Computing for ATLAS, USATLAS and Duke

Using the ARRA funds, Benjamin has worked with the Physics Department computer sys-tems administrators to build and operate an ATLAS Tier 3 cluster at Duke. This work tiesin closely with Benjamin’s responsibility as co-coordinator of the USALTAS Tier 3 project.Benjamin is responsible for the installation and configuration of the ATLAS software atDuke, in addition to the installation and administration of the Open Science Grid software.

Benjamin is also serving as the ATLAS Tier 3 technical coordinator for the ADC Tier3 project. There are significant synergies between Benjamin’s USATLAS activities and thisATLAS role.

5.9 Physics with the ATLAS detector

We are heavily involved in SM measurements and searches for new physics at ATLAS.

5.9.1 Electroweak studies at ATLAS using dibosons

We are using our Tevatron experience with identification and background evaluation forelectrons, muons and photons to carry out measurements at the LHC. One us (Bocci) is nowco-convener of the ATLAS Electron/photon Performance Group responsible for all aspects

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of electron/photon measurements from the ATLAS detector. This experience has allowedus to make strong contributions to the studies of Wγ and Zγ production using the W →eν and Z → e+e− channels. We are also transferring to ATLAS our experience with MonteCarlo generators used at CDF. A summary of recent results and future plans is given below.

• Development of Monte Carlo (MC) event generators at ATLAS

We have extensive experience with W (Z)γ MC generation using LO and NLO matrixelements provided by Uli Baur and colleagues. We have modified these to provide unweightedevents, keeping track of the initial state parton configuration, and writing output parton-levelfiles in the Les Houches format, interfacing to Pythia/Herwig/Photos for hadronization/QEDand to ATLAS simulation. We obtained approval from the ATLAS Monte Carlo sub-groupto use our generators as one source of the SM prediction for W (Z)γ events. We adapted theoriginal Fortran structure to the C++ compiler and Python infrastructure used in ATLAS.We have carried out cross checks of SM theory predictions for W/Zγ production using theBaur calculations with other MC generators such as Madgraph, Sherpa and the new versionof MCFM 6.0. We have requested production of these W (Z)γ events as part of the MonteCarlo generation for these final states. We have written an ATLAS note that describes theWγ event generation, including cross checks with other generators.

• Wγ and Zγ production at the LHC

In order to integrate our Duke research into the overall ATLAS physics program, wemeet regularly with the ATLAS Standard Model Electroweak Group and a subgroup thatis focused specifically on the Wγ and Zγ measurement. Also, one of us (Bocci) serves asForum Convener of the US Electroweak Group. This organization has allowed us to makesignificant contributions to the overall ATLAS electroweak program.

We (Bocci, Goshaw and Liu) have worked with a small ATLAS group to study theproduction of W and Z bosons with associated high energy photons using 35 pb−1 of datacollected in 2010. The kinematic distributions of the leptons and photons and the productioncross sections are measured. The data are found to agree with Standard Model predictionsthat include next-to-leading-order O(ααs) contributions. The photon ET distribution fromour data is compared to the SM prediction in Fig. 2 showing good agreement. For the Zγevents the two components from initial state and final state radiation are clearly indicatedby plotting the mll vs mllγ as shown in Fig. 2. These Wγ and Zγ measurements have beenaccepted for publication in JHEP.

We (Bocci, DiClemente, Goshaw. Liu, Loyal and Qian) are very active in the ATLASdiboson group that plans to use the ∼ 4 fb−1 of 2011 data for precision tests of the SM fromWγ and Zγ production.

• Technimesons and rare Higgs bosons decays at the LHC

With over 100 times the data collected in 2010 we also plan to search for new particleproduction in the s-channel that would lead to Wγ and Zγ final states, such as the narrowresonances ωT→Zγ and ρT→Wγ in the Low Scale Technicolor models. We have coordinatedwith the ATLAS exotics group that searches for these technicolor resonance decays.

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With precision electroweak constraints, and recent LHC measurements restricting themass of the Higgs boson to be low (< 150 GeV) the search for rare decays of the Higgs bosonbecome more important. If the Higgs mass is about 150 GeV a rare decay mode H→Zγbecomes interesting. We are setup to search for this using our SM Zγ studies, which wewould extend to include the Z(νν)γ final state.

5.9.2 Top Dileptons at ATLAS

Over the last year we (Finelli, Kruse) have made a lot of progress in adapting our ”AIDA”global dilepton analysis at CDF (Phys. Rev. D78, 012003, 2008) for ATLAS. Thetechnique, conceived by Kruse for CDF and developed with a past grad student, S. Carron,selects events with a high-PT electron and muon and no further requirements, and considersthese events in a 2-D parameter space defined by missing transverse energy and the numberof jets in the event. This simple parameter space nicely separates the main SM processes, tt,WW , and Z → ττ , to allow measurements of their cross sections, a global test of the SM,and a search for new physics.

We are working through the ATLAS top cross section group, where we have madepresentations and are working on tasks common to the overall top dilepton effort. Krusewas one of the co-editors for the top cross section measurement presented at the 2011 winterconferences, and the ensuing publication. Some highlights from the past year, and plans forthe coming year, include:

• Ariana Minot (a Duke undergrad supervised by Kruse, who graduated in May 2010)wrote her honors thesis on this topic (see http://www.phy.duke.edu/~mkruse/Undergrads.html).

• We collaborated with Stockholm, OSU, NBI, and U. Melbourne on various aspects(backgrounds, statistical fitting techniques, data/analysis formats, etc.) of the AIDAanalysis, and successfully produced a result for the 2011 winter conferences (ATL-COM-PHYS-2011-127), which is the first ATLAS adaptation of our technique.

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• We (Bocci, Finelli, Kruse) have made and presented preliminary estimates of two par-ticularly problematic backgrounds involving objects faking electrons: Wγ productionwhere the γ fakes an electron (either by pair producing early in its trajectory, or beingassociated with a spurious track), and Z → µµ production where one muon bremshard to give large EM energy that is associated with the muon track. Finelli presenteda poster on these results at the US ATLAS meeting at UT Arlington, August 2010.

• We (Finelli, Kruse) are currently analysing the latest ATLAS data to update the”AIDA” results. This analysis will be Finelli’s thesis. We will also be presenting ourWW and Z → ττ cross-sections at the ATLAS SM group.

• With A. Jensen (grad student at NBI) we (Kruse) are looking at this parameter spacefor trilepton events, as a more global search for SUSY signatures. In addition thesame-sign dilepton version of the analysis is sensitive to various new physics signatureswhich we (Finelli, Bocci, Kruse) are exploring.

5.9.3 Searches for Gravitons, Z ′ and H±± bosons

Kotwal is the co-editor of two publications from ATLAS on Z ′ bosons and Randall-SundrumGraviton searches using the dielectron and dimuon channels. The first paper was publishedin Phys. Lett. B 700, 163-180 (2011) based on 40 pb−1 of data collected in 2010. Thesecond paper based on 1 fb−1 collected in 2011 has been submitted to Phys. Rev. Lett.This paper describes the world’s most stringent limits on Z ′ bosons and Gravitons.

Siyuan Sun, supervised by Kotwal, wrote his undergraduate Senior Honors Thesis onthe ATLAS Z ′ search in the dimuon channel. He will be starting graduate school at HarvardUniversity this fall.

Cerio, Arce and Kotwal have been studying efficiencies and backgrounds for ATLASsearches for new physics in the same-sign dielectron and dimuon datasets. Cerio has per-formed detailed studies of photon conversions in data and compared to the ATLAS simulationas a function of radius and rapidity. These studies are crucial for understanding the largesame-sign electron backgrounds due to radiative effects in the detector material. He hasalso worked on the same-sign dimuon channel by validating the selection requirements andquantifying the signal acceptance in the doubly-charged Higgs model. Cerio gave a presen-tation on the search for new physics with same-sign dimuons on behalf of ATLAS at theDPF Conference at Brown University.

5.9.4 Searches for Highly-Ionizing & Fractionally-Charged Particles with TRT

We are using our past experience with the operation and performance of the TRT in a searchfor new physics that looks for long-lived particles that have multiple or fractional charges.This search uses the ionization signatures in the TRT (and now the pixel detectors) todiscriminate particles with multiple or fractional charges. The effort was started by Klinkby(postdoc who has now moved on to a permanent position) and Kruse, and now involvesFinelli (grad student) and Cortese (undergrad student), both supervised by Kruse.

The analysis is reported to a small physics group at CERN (HIP/SMP subgroup ofthe Exotics group) which involves mostly collaboration with Indiana and British Columbia,

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and with a recent expression of interest in joining the effort by SLAC.

Figure 3: Fisher discriminant outputs (from the root package TMVA) for doubly chargedparticles (right) and particles with charge of ±2

3e (left), compared to singly charged particles.

One particularly useful tool we have developed is a Fisher discriminant that uses theinformation from the shape of the TRT straw ionization bit pattern (time-over threshold,leading edge time, trailing edge time) and dE/dx information from the pixel detectors,to form a discriminating variable that can be used in searches for multiply-charged andfractionally-charged particles. One of the areas we plan on improving is the reconstructionefficiency for TRT tracks based on fewer hit straws.

5.9.5 Search for H → WW → lνlν

ATLAS is observing an intriguing excess in the dimuon channel in this search. Undergrad-uate Zach Epstein, Cerio and Kotwal are collaborating with colleagues from Simon FraserUniversity, TRIUMF and Oxford University to study low-pT dimuons with missing ET , whichis important to understand for the low-mass Higgs search. We are also developing multivari-ate techniques using boosted decision trees and standard model matrix elements to maximizethe search sensitivity and for characterizing the signal if it is established.

5.9.6 Searches for Heavy Bosons using Boosted Top Quarks

Pollard, Jayatilaka, Arce and Kotwal are working on searches for new physics using highlyboosted top quarks. In a number of models, such as Z ′ bosons and Kaluza-Klein Gluons inthe Randall-Sundrum model, the decay channel to the heavy top quark dominates.

Pollard and Kotwal have collaborated with Simon Fraser University and TRIUMF toproduce the first ATLAS result (ATLAS-CONF-2011-123) on searches for Kaluza-KleinGluons decaying to tt pairs in the dilepton channel. This channel has low mis-identificationbackgrounds and the dominant background is standard model tt production. This resultusing 1 fb−1 of data has been presented at the Lepton-Photon conference in Mumbai.

The next steps in this analysis are (i) to improve the top quark identification effiencyat high pT when the decay products become collimated, (ii) improve the tt resonance massresolution using mass constraints and/or standard model matrix elements. Pollard is workingon these improvements.

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5.9.7 Top Quark Physics

Arce’s studies of the top quark have progressed from the measurement of the tt productioncross section in semi-leptonic channels to focus on the high-mtt region of top pair produc-tion, where contributions from non-SM processes might become evident. She contributed tothe search for non-SM top pair production in the intermediate mtt region using fully recon-structed top-antitop events as a member of the paper’s editorial board, and, with a student(Pollard), is working on the measurement in the lepton+jets “boosted” final state, where jetsubstructure observables must be used to identify top quark decays at high momentum.

Arce is also using top pair candidate events to study new jet substructure observables.Working with Duke undergraduates, she introduced a technique to measure jet pulls inATLAS, an observable which is useful in identifying the hadronic decays of color singletstates. With collaborators from Fermilab, NYU, and DESY, she is now working to calibratethis technique using hadronic W± decays identified in tt events.

5.9.8 Lepton, MEt and two-jet final state (WW and Wjj analyses)

Wang, Yu and Oh are involved with the WW and Wjj (W+two jets) analyses. Thereare several topics. The first is to look for WW/WZ resonances. This is a continuation ofour early CDF analysis. Many beyond-SM particles, including G∗, W ′, Z, and Technicolorparticles, decay to dibosons.

The basic idea is to combine the lepton and neutrino, assuming that the two are froma W boson. This gives the longitudinal momentum of neutrino. The reconstructed W iscombined with two jets (within W mass window from 60 to 100 GeV) to form the final state.We have finished a preliminary study with 35/pb data, and the exclusion G∗ mass limit of∼ 650 GeV is already better than CDF. We are adding the data from 2011.

Another topic is motivated by the CDF two jet invariant mass bump in events with W .CDF reported a particle decaying to two jets with mass around 125 GeV. We conducted asystematic search of this type of resonance. However, our search is somewhat different. Weassume that there is a resonance (call Y) decaying to W and X, and X decays to two jets,more specifically, Y → WX →lepton+neutrino+two jets. The analysis starts by combiningtwo jets and scanning the two jet mass from 200 GeV to 1000 GeV at a 10 GeV step with a±25 GeV mass window. In other words, we choose the two jet combinations whose massesare between 175 and 225 GeV (for X, mass =200 GeV) and then plot the WX invariantmass. If Y exists, then we should see a bump in this plot. There are no obvious bumps.

Another analysis is to calculate the WW + WZ production cross section. The normalfinal state for calculating the WW cross section is the dilepton final state. Our final state(lepton+MEt+two jets) suffers from a W+jet background process and is more difficult, but itwill provide a cross check. Knowing this cross section well is critical to many other analyses,including the Higgs search. A feasibility study showed that the cross section calculation ispossible with ∼5/fb data. Yu is leading this study. In order to maximize the sensitivity,we developed a multivariate analysis tool, the Neural Network (NN) which gives an outputscore to separate WW signal from the W+jets background process.

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5.10 ATLAS Conference Talks

See the list in http://www.phy.duke.edu/∼kotwal/TalksFile.pdf

6 Budget Justification for Task A

The funding requested for Task A supports Duke’s participation in the CDF and ATLASexperiments. The budget details are presented earlier in this proposal in the standard DOEformat. In this section we summarize the justification of our budget request for the yearDec. 1, 2011 to Nov. 31, 2012.

The personnel in this proposal are the same as in our continuation report submitted in2010. We have four students for our ATLAS effort: Cerio (entering fourth year) and Finelli,Liu and Pollard (entering third year), as well as one CDF student, Zeng, for whom we haverequested a total of 56 months of graduate student support. These graduate students aredeeply engaged in the analysis of 1-2 fb−1 of ATLAS data and 2-10 fb−1 of CDF data.

For research faculty Phillips and senior scientists Benjamin and Wang, we have reducedour request from previous years to 18 months of salary support. This request breaks downinto 6 months salary support for Phillips, 6 months for Benjamin and 6 months for Wang.

Our budget includes• Four faculty summer salaries (Goshaw, Kotwal, Kruse for two months each, and Oh for1.5 months)• One Research Associate Professor (Phillips)• Two Senior Scientists (Benjamin and Wang)• Three Postdocs (Bocci, Jayatilaka, Yu)• Five graduate students (Cerio, Finelli, Liu, Pollard and Zeng)

The total salary plus fringe benefits cost is $565K. We request $25K for ATLAS toprovide COLA for our CERN-resident postdocs. The indirect costs on the above are $336Kat the Duke rate of 57%. We also budget $40K for remission of fees for the graduate studentsas a direct cost with no fringe or overhead cost, with a corresponding reduction in the studentstipend which no longer includes fees. The total funds requested at Duke is $967K, as shownin Table 2 of Sec. 3.3.

In additional to these funds at Duke, we request $15K in Duke’s Fermilab serviceaccount for travel to and housing at Fermilab, in order to support our ongoing CDF analysisefforts. We also request $26K in our Brookhaven service account for Task A in order tosupport our ATLAS effort and fulfill our shift commitments.

Our HEP research is also supported by funding from Duke University. For the pastten years the University has provided an annual grant of $30K for computing and otherinfrastructure. The University has provided partial salary support for Research ProfessorPhillips (6 months), our assistant Vines (5 months), and summer support for some of ourgraduate and undergraduate students. Benjamin received 6 months of salary support fromUS ATLAS for support of computing. Finally, Yu Zeng received partial support ($9K) forhis student stipend in 2011 from an URA Visiting Scholarship at Fermilab.

Duke University has also provided startup funds for Assistant Professor Ayana Arce,who has joined the Duke Physics department and the HEP group in January 2010.

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7 Task N: Neutrino Physics Program

7.1 Introduction

The Duke HEP Neutrino Physics program includes the activities of faculty members KateScholberg and Chris Walter in the SK (Super-Kamiokande), T2K (Tokai to Kamioka), andLBNE (Long Baseline Neutrino Experiment) collaborations. Our group’s primary involve-ment is with the SK “ATMPD” (atmospheric neutrino/proton decay) working group. TheTokai to Kamioka (T2K) experiment is the second-generation accelerator-based neutrino os-cillation experiment involving SK. The LBNE (Long Baseline Neutrino Experiment) is thenext-generation project long-baseline oscillation project in the US.

7.1.1 Duke HEP Neutrino Personnel

In addition to the two faculty members, we currently have three postdoctoral researchers.Roger Wendell, hired in 2008, has been resident in Japan since the beginning of SK IV.Postdoc Jennifer Prendki left for a position in the financial industry in December 2010;she was replaced in March 2011 by new postdoc Tarek Akiri. New postdoc Alex Himmeljoined in July 2011. We have two current graduate students: Josh Albert, who has beenworking with us since 2007, and Taritree Wongjirad, who arrived in the fall of 2008. Weexpect to take at least one more grad student this fall. In addition, we have a number ofundergraduates working with us: Ashley Jones completed a senior thesis this year; FarzanBeroz and Steven Demers are currently working with us, and we are also hosting exchangestudent Nicolas Kaiser and TUNL REU student Leigh Schaefer for summer 2011.

Faculty K. Scholberg, C. WalterPostdocs T. Akiri, A. Himmel, R. Wendell

Grad Students J. Albert, T. WongjiradUndergrads F. Beroz, S. Demers, N. Kaiser, L. SchaeferEngineer J. Fowler

Table 3: Task N personnel summary, as of summer 2011.

7.2 Progress Report on Work in the Past Year

7.2.1 Super-Kamiokande contributions

Duke group members have taken on extensive service responsibilities for SK. We describehere both completed and ongoing tasks from the past year, as well as physics analyses.

US Group Onsite Maintenance (Wendell): Wendell has been resident at Kamioka sincefall of 2008, as onsite US group expert, full time (except for six weeks in the summer of2011). He has been responsible for maintenance of power supplies, OD electronics, radonfree air system, and OD PMTs, as well as development of web-based data monitoring.

Reformatter and Offline (Wendell, Scholberg): The reformatter software processes rawdata from the online system and passes it to the offline in near-real-time. Maintenance and

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upgrading of this critical piece of SK software is an ongoing job. Wendell has responsibilityfor maintaining the reformatter. Scholberg is Offline Group co-convener.

OD Calibration, Data-Quality Monitoring and Simulation (Scholberg, Wendell,Jones): Scholberg is responsible for SK IV OD calibration constant generation and badchannel selection. Wendell has responsibility for SK IV OD MC tuning.

PC Reduction Tools (Wongjirad, Scholberg): Wongjirad has developed a new automatedPC reduction web page, and has taken over responsibility for performing the PC reductionfrom Prendki. He is currently working on improved evaluation of systematic errors.

FC Reconstruction (Akiri, Walter): Walter has continued work on improving and im-plementing fully-contained reconstruction algorithms. Last year he modified and improvedthe specialized algorithms used to reconstruct tau events for use in the new improved tauanalysis. Working with Wendell, Akiri also performed the reconstruction of the tau MC fileswhich will be used for the SK-IV ATMPD analysis.

SK IV Energy Scale Calibrations (Albert, Walter): Albert is responsible for using muondecay electrons to make an absolute energy calibration in the Michel electron spectrumenergy range. He is also implementing a real time process for tracking the response.

Oscillation Analysis Tools (Wendell): Wendell has been responsible for creation andmaintenance of a number of software tools used for ATMPD oscillation analysis, including thesystematic error library, a tube connection table interface library, and Root/ntuple libraries.

Three-Flavor Atmospheric Oscillation Analysis: The standard SK atmospheric neu-trino is performed under the assumption of two-flavor νµ → ντ oscillations, which describethe data quite well. However, atmospheric data, when analyzed in a three-flavor context, canin principle give information about some of the remaining questions in oscillation physics,such as the value of the unknown mixing angle θ13 and whether the mass hierarchy is normalor inverted. Wendell’s three-flavor atmospheric neutrino thesis analysis was extended to thefull SK I, II and III samples and published in PRD [8]. Wendell was primary author for thispaper, which also included the analysis of ICRR graduate student C. Ishihara. Wendell hasalso worked on sensitivity studies for next-generation large water detectors.

Neutrino-Antineutrino Analysis: Wendell is also responsible for the SK atmosphericneutrino vs antineutrino analysis, now nearly ready for publication. Evidence that thesurvival probabilities P(νµ → νµ) and P(νµ → νµ) are not equal ,would imply new physics,and MINOS has recently published a hint of discrepancy between the measured νµ and νµ

parameters. Since SK is insensitive to the sign of the out-going lepton’s charge in a neutrinointeraction, it cannot differentiate between ν and ν on an event-by-event basis. Instead,to search for possible differences in their oscillations, SK considers distortions in the ν + νspectrum consistent with oscillations governed by two distinct parameter sets. No evidencefor a difference is found in the data. The ν fit results are summarized in Fig. 4. Wendell hasalso worked closely with U. of Washington student M. Dziomba on an analysis involving anatmospheric neutrino test of a specific CPT-violating model.

Tau Appearance Analysis: If νµ → ντ oscillation is taking place, ντ should appear in theatmospheric neutrino flux. Walter has performed a search for ντ -induced τ lepton events andis a primary co-author of a paper that was published in PRL in 2006. Walter performed ananalysis to isolate the ντ component of the atmospheric neutrino flux using neural networks

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23θ 2 2sin0.6 0.7 0.8 0.9 1

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Figure 4: Allowed regions (68%, 90%, and 99% ) for the ν mixing parameters for the SK-I+II+III data set. The shaded region is favored by the MINOS experiment.

for event selection. Walter has now analyzed the data from SK-I, SK II and SK-III. Hehas also extended the analysis technique to use multi-dimensional unbinned likelihood fitswhich use the neural network outputs of the analysis as a fitting variable instead of justcutting on them. This results in a large increase in sensitivity. Approximately 1.6 times theexpected number of events were seen and the no-oscillation hypothesis was excluded at the3.8 σ level. This analysis was presented in December of 2010. Walter is now preparing apaper for publication.

For the following papers a Duke group member has been either primary author or a memberof the author committee in the past year:- “Tau Analysis Paper (title TBD)” (in progress): Walter primary author- “Supernova Relic Neutrino Search at Super-Kamiokande” (in progress): Walter on authorcommittee (as “external” member)- “Search for Differences in Oscillation Parameters for Atmospheric Neutrinos and Antineu-trinos at Super-Kamiokande ” (nearly ready for submission): Wendell primary author-“Solar neutrino results in Super-Kamiokande III” (in progress): Scholberg on author com-mittee (as “external” member)-“Search for non-standard neutrino interactions in Super-K atmospheric neutrino data” (inprogress): Wendell on author committee- “Atmospheric neutrino oscillation with sub-leading effects in Super-Kamiokande I, II, andIII” (published)[8]: Wendell primary author, Scholberg on author committee

7.2.2 T2K Contributions

The primary goal of the first phase of the Tokai to Kamioka (T2K) experiment is to ob-serve the νµ → νe appearance signature of non-zero θ13. The Duke HEP neutrino group isinvolved in T2K through work improving and maintaining the SK hardware and software,developing a special sample of OD events, leading several working groups in the experiment,and undertaking the highest profile analyses.

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Current T2K Status: The T2K experiment ran in 2010 and in the spring of 2011, attainingpower exceeding the 100 kW level, until operation of the beam was halted by the earthquakein eastern Japan (SK was not affected). So far, the damage found at the Tokai site seems tobe repairable, and our recovery plan is currently on track to resume data-taking operationsin December or January. In June 2011 we presented the first results of the search for non-zero θ13 from T2K[1] using νe candidate events in SK. We observed six νe candidates, witha background expectation of 1.5 ± 0.3(syst); this implies a non-zero value of θ13 such that0.03 < sin2 2θ13 < 0.28 for normal mass hierarchy, and 0.04 < sin2 2θ13 < 0.34 for invertedmass hierarchy (and CP δ = 0), at 90% C. L.. If θ13 were zero, the probability to observe sixor more candidates is 7×10−3, equivalent to a 2.5σ significance. These results have enormousimplications for the future of neutrino physics. The final results are shown in Fig. 5. Thisanalysis is graduate student Josh Albert’s thesis.

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Figure 5: The final νe candidate sample after all cuts (left), and inferred allowed region forsin2 2θ13 (right) in the normal hierarchy. This analysis was recently published in PRL [1].

Leadership Contributions: Walter is playing an important role in three groups: he is aco-convener of the T2K-SK group. This is the T2K analysis group which does all SK-relatedanalysis. Within SK, Walter is co-convener of the SK Long-Baseline group. This subgroup isresponsible for providing the SK-related software to T2K and for the production of the fullyreconstructed SK data during the beam time window. Walter also serves in the AnalysisSteering Group, a steering group of all of the T2K analysis conveners.

The Duke group played a vital and essential role in the analysis presented in our PRLpaper [1]. In addition to the roles outlined above, grad student Albert was one of two T2Kmembers who performed the νe appearance analysis, integrating the inputs from all of thesub-groups and developing the running the analysis framework for extracting our physicsresults. This analysis is the subject of his Ph.D. thesis. Grad student Wongjirad also playeda vital and unique role by carefully calculating expected backgrounds from outside of theSK detector. He is the only person in the collaboration with this expertise.

T2K Electron Neutrino Appearance Paper (Albert): Albert was one of the primary

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authors of this paper and did the final oscillation analysis presented in parallel with one ICRRstaff member. He was involved in all analysis aspects, including background classification,optimization and calibration for the SK data. Working with Walter, he optimized the νe

event selection criteria for current running conditions and also implemented a statistically-rigorous sensitivity calculation which incorporates known systematic errors.

T2K NIM Paper(Wongjirad): Wongjirad is the author of the SK section in [2].

Official Plots (Albert, Scholberg, Walter, Wendell, Wongjirad): As T2K-SK convener,Walter organized the production of all official plots for SK and the νe and νµ oscillationanalyses that are being shown publicly. Albert produced plots for the νe analysis, Wongjiradand Scholberg produced plots for studies related to OD events, and Wendell produced plotsusing the atmospheric neutrino data to check vertex distributions of the T2K sample.

T2K OD Events (Wongjirad, Scholberg): Wongjirad is working with Scholberg on se-lection of T2K events with light in the OD. These events include ν interactions with finalstate particles which exit the OD (PC), interact in the OD itself, or enter from the rock.Wongjirad is responsible for the T2K SK OD event reduction, and has developed selectionand classification criteria to improve signal to background. Wongjirad’s work has turned outto be especially important for the recent T2K oscillation results: following the unblinding ofour dataset, in view of the apparently non-uniform νe candidate vertex distribution, he didextensive studies to understand the contamination due to beam events entering the detectorfrom interactions outside of the ID. His OD event sample shows no vertex anomalies, andhis contamination MC studies show that νe candidate events in the fiducial volume shouldbe negligible (see Fig. 6).

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Figure 6: Left: X-Y coordinates of reconstructed interaction vertices for beam events whichpass all the OD reduction cuts. Right: contamination in the νe sample from outside the OD.

MC Sensitivity Studies (Albert, Walter): Using the framework they developed for theνe oscillation analysis, working with Walter, Albert produced internal T2K plots projectingexpected sensitivities and discovery potentials for various future scenarios.

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7.2.3 LBNE Contributions

This year we have committed significant effort to LBNE. Our primary physics interestsrelate to neutrino oscillation, proton decay and supernova neutrinos. Walter received anNSF CAREER award for work on this project. We have also received NSF support for thisproject (via the “S4” solicitation), which we expect to continue one more year. Scholbergwas elected to the Executive Committee of LBNE in January 2010 for a two-year term. InApril 2011 she served as co-editor of the “1+1” document given to the Marx committee, forwhich Walter also presented the simulation status and PMT coverage rationale. Scholbergserves on the PMT Selection Committee and the Light Collector Review Committee.

Water Cherenkov Simulations (Walter, Scholberg, Prendki, Akiri, Himmel, Demers):Walter is leading the LBNE WC simulation effort from Duke. He has continued to guide thedevelopment of the simulation program and work towards full Monte Carlo-based physicsreconstruction studies for the DUSEL WC detector in LBNE. This has meant both carefultuning of the optical models and also the formidable task of modifying the SK reconstructioncode to work in the 200 kton design. He has coordinated all of the work in our collaboratinginstitutions including Boston, Irvine, FNAL and Caltech. This year, under Walter’s lead-ership, the simulation group had real impact on the design process for LBNE. In the firsthalf of the year, the simulations working group began work on reconstruction studies using12% coverage high-quantum efficiency PMTs, studied light collection efficiencies, and imple-mented complete photon tracking and light collector options in the simulation. At Duke,Prendki simulated a 100 kton detector with 12% HQE PMT coverage and showed similarperformance to SK II. This study allowed us to validate our reference design. Based on pastexperience and sensitivity studies, we know the SK II configuration will be good enough forour needs and we were roughly able to show that, at least for the LBNE beam, in this con-figuration a reduction to approximately 30,000 HQE 10 tubes in a 100 kton detector wouldmeet our physics goals. This work was presented to the Marx committee in April at SLAC.New postdoc Akiri has made the SK reconstruction work all the way through the criticalelectron-π0 separation step in the SK mode of WCSim for the first time. The comparison ofselection efficiencies between WCSim and the SK MC is shown in Fig. 7.

Figure 7: The efficiency of νe selection cuts between WCSim and SK-based tools.

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Supernova Burst Physics (Scholberg, Beck, Beroz, Johnson, Kaiser): Scholberg is con-vener of the LBNE Supernova Burst Topical Group. This is one of the working groupscharged with evaluating physics reach of different WC and LAr detector configurations. Thepreliminary report of the working group was published in October [4]. The working grouphas developed general-purpose code, called SNOwGLoBES, to produce event rate spectrafor given fluxes and parameterized detector responses; this has allowed sensitivity to θ13 andmass hierarchy from a supernova burst signal to be explored.

Water Cherenkov Project Contributions (Fowler, Scholberg): For LBNE, engineerFowler is working with the water containment and water system groups. For water con-tainment, we are tasked with the conceptual design of the deck assembly. This is the worksurface at the top of the water vessel at the cavity entrance: design includes the structureand support of the assembly to the native cavity rock, personnel access around the detec-tor volume, material handling equipment for construction and operations, the blanket gassystem, water manifolds and piping, and the mechanical infrastructure for the calibrationsystem. For the water system, we are tasked with design, management, and integration ofthe surface and underground ultrapure water systems.

7.2.4 Additional Activities

Scholberg is the coordinator of SNEWS, the SuperNova Early Warning System. This is aninter-experiment network of detectors with the goal of providing the astronomical commu-nity with a prompt alert of the occurrence of a Galactic core collapse event. This work isprimarily supported by NSF. This project represents less than 5% of PI Scholberg’s time.Scholberg is also making a modest contribution to HALO, the Halo and Lead Observatory atSNOLAB: this is a supernova neutrino detector making use of 76 tons of lead and 3He neu-tron counters (NCDs) left over from the SNO experiment. Undergraduate Schaefer workedon studies of neutron efficiency. This summer, Wendell spent six weeks at SNOLAB workingon HALO construction, DAQ and software, to give him a broader experience. Scholberg’suniversity funds are used to cover all expenses related to this project (including two monthsof Wendell’s salary). This project represents less than 5% of PI Scholberg’s time. Scholbergalso participates in DAEδALUS [7] discussions and physics studies; Scholberg co-authoredreference [3] exploring sensitivity of dark matter detectors to DAEδALUS neutrinos.

7.3 Plans for Next Budget Period

Most of the Duke HEP neutrino group responsibilities and projects described in the previoussections are ongoing, and will continue through the next few years. Emphasis is now on T2Kbeam-related analysis; however there will be ongoing service work and improvements toSK IV non-beam analyses over the next few years. DUSEL LBNE design study effort willalso continue at a high level over the next year. Now both Himmel and Akiri are workingtowards making the full SK reconstruction work in the new LBNE WC reference design. Wewill concentrate on producing a fully tuned and validated reference design Monte Carlo, andthen use the SK tools to do full reconstruction on the output to study the LBNE experimentalresponse in a non-parametric way. This will also supply a baseline level to our own LBNE

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-based reconstruction efforts. Eventually, we hope to perform a full oscillation analysis basedon event-by-event Monte Carlo.

7.4 Budget Discussion

Walter’s CAREER award, started in 2009, provides support for one postdoc, as well as travelto Japan for the supported postdoc. We also received funding from the NSF “S4” programto support a postdoc, part of Fowler’s salary, and some travel. Fowler was supported forLBNE project work for three months by DOE through a BNL subcontract in 2010, and forthe rest of the time from S4. We expect he will be supported for another six months this yearby another BNL subcontract. Wendell was supported for two months by university funds towork on HALO. Undergraduates, some travel, some computers, and equipment for our locallab have been funded by Scholberg’s SNEWS grant, and Scholberg’s and Walter’s universityfunds. Some undergrads have been supported by the TUNL (Triangle Universities NuclearLaboratory) NSF REU program and Walter’s CAREER award. We request full support inFY12 for Wendell. Wongjirad will be supported by an NSF fellowship for one more year, sowe request support for Albert, and a new graduate student who will be starting next summer.The budget also includes summer salaries for Scholberg and Walter, and international anddomestic travel. We expect no carryover from the FY11 amount of $360K.

7.5 Publications from the Past Year

[1] K. Abe et al. [ T2K Collaboration ], “Indication of Electron Neutrino Appearance froman Accelerator-produced Off-axis Muon Neutrino Beam,” accepted by Phys. Rev. Lett.[arXiv:1106.1238].

[2] K. Abe et al. [T2K Collaboration], “The T2K Experiment,” accepted by Nucl. Instr.Meth. [arXiv:1106.1238].

[3] A. J. Anderson et al., “Coherent Neutrino Scattering in Dark Matter Detectors,” Phys.Rev. D84, 013008 (2011). [arXiv:1103.4894 [hep-ph]].

[4] M. Bass et al., http://www.int.washington.edu/PROGRAMS/10-2b/LBNEPhysicsReport.pdf

[5] K. Nakamura et al. [ Particle Data Group Collaboration ], “Review of particle physics,”J. Phys. G G37, 075021 (2010).

[6] K. Abe et al. [ Super-Kamiokande Collaboration ], “Solar neutrino results in Super-Kamiokande-III,” Phys. Rev. D83, 052010 (2011). [arXiv:1010.0118 [hep-ex]].

[7] J. Alonso et al., ‘Expression of Interest for a Novel Search for CP Violation in theNeutrino Sector: DAEdALUS,” [arXiv:1006.0260 [physics.ins-det]].

[8] R. Wendell et al. [ Kamiokande Collaboration ], “Atmospheric neutrino oscillationanalysis with sub-leading effects in Super-Kamiokande I, II, and III,” Phys. Rev. D81,092004 (2010). [arXiv:1002.3471 [hep-ex]].

Conference talks listed at http://www.phy.duke.edu/∼schol/TaskNTalksFile.pdf

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8 Task M: Rare Processes Program - Mu2e

The Duke HEP Rare Processes program is led by Oh and Wang. Mu2e’s purpose is to searchfor the charged lepton flavor violation with unprecedented sensitivity. We will measure theratio of the coherent neutrinoless conversion - in the field of a nucleus of a negatively chargedmuon into an electron - to the muon capture process. Mu2e will probe for new physics atmass scales of up to 104 TeV, far beyond the reach of any planned accelerator.

The Mu2e experiment is scheduled for a CD1 review this year, and we are busy inpreparation. Since we joined the Mu2e collaboration in the straw tracker subgroup, we havemade several important contributions. The first was to design the end plate, the second wasgetting involved with the prototyping, and the last was to procure the straw tubes.

The straw end is where all mechanical and electrical connections are made, and it is notan exaggeration to say that the success of a straw tracker depends on a good termination de-sign. Although there was a conceptual design, no detailed straw-termination work was done.Based on the TRT design experience, we completed a preliminary design and presented it atthe May 2011 external Conceptual Design Review at FNAL, with good feedback. Figure 8shows the termination design. This is one of two designs that we are studying.

Figure 8: Views of one of two straw-termination designs. The straw ends (about 5 cm) areinside the green pieces.

We are also contributing to the prototyping over the summer and fall. The Duke ma-chine shop produced the prototype components, including frames for a prototype (Figure 9).The machined parts have been shipped to FNAL for a prototype assembly. The experiencefrom the assembly will be reflected in the next end-termination design.

The straw tube is the most important components in the detector. Unlike the strawsused in other experiments, the Mu2e straws operate in a harsh environment: it is underboth tension (500 gram) and pressure (1 atm). To make matters more difficult, the wallthickness (15 microns) is about half of typical straws manufactured thus far. There havebeen some difficulties in obtaining thin walled straws. Because this is a critical item, we tookthe initiative to talk directly to a manufacturer and procured about two dozen straws. These

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straws are the first Mu2e straws. We plan to continue to interact with the manufacturer toobtain the best straws possible. Initial tests show that they are indeed fragile, but strongenough to be handled and to withstand pressure. They stretch ∼1% under 500 gram oftension. Figure 9 shows a picture of a test setup for the pressure testing. There are fourstraws under 15 psi, and they have been holding pressure for days without problem. Ourplan is to continue a long term pressure test.

Although the work is not directly related to the Mu2e tracker, we constructed a proto-type which has 12 anode wires inside a straw tube. This design overcomes some shortcomingsof the present straw trackers, one of which is a lack of a double hit capability. When twotracks traverse a straw tube, only one track is registered because of the radial electric fieldshape. Another shortcoming is a stereo configuration in a cylindrical geometry. Another isthat of excessive material, because each anode wire requires a tube, and the amount of tubematerial could become a problem if a low pT tracking is desired. Finally, the construction ofa straw tube detector is labor intensive since anode wires have to be strung individually, andas the number of wire supports increases (i.e., longer straw tubes), the difficulty of stringingthe wires becomes more severe. A paper on the construction and operation of this prototypewas published in NIM early this year.

Figure 9: Left: prototype components machined at Duke. These are attached to the endsof straws and provide the mechanical and electrical connections. Middle: A frame beingmachined for the construction of a prototype. It is about 50 cm by 50 cm. Right: A pressuretest of the first Mu2e straws. There are four 150 cm straws under 15 psi pressure, and thepressure is monitored. This is a long term test.

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9 Statement of Current & Pending Support

In this section we present our DOE grant support for the current funding year (December1, 2010 to November 30, 2011).

• Task A (CDF and ATLAS) $876K

• Task N (Neutrinos) $360K

In addition to the Task A funding ($876K), travel for CDF research is supported by $15Kin a Fermilab Service Account. During this year Task A also received a DOE supplementof $155K for partial salary support for ATLAS and CDF students, and COLA for CERN-resident postdocs. Furthermore, Task A received $26K in our Brookhaven Service Accountto support ATLAS research travel.

Task A received $108K for partial salary support for Goshaw to relieve him of teachingduties in the fall of 2011, to enable him to focus on his responsibilities as USATLAS IBChair. Task A also received $24K in the Brookhaven Service Account to support Goshaw’stravel as USATLAS IB Chair.

Task M received $12K in the Fermilab Service Account to support travel for our Mu2Eeffort.

Under the American Recovery Act (ARRA), we received funding in the total amountof $106,410, to purchase computing and laboratory infrastructure at Duke for ATLAS andneutrino physics, and to upgrade our video-conferencing equipment. All of this equipmenthas been purchased in accordance with the approved budget. The ATLAS Tier 3 cluster aswell as the new video-conferencing system has been assembled and is operational.

Other neutrino research activities are partially supported by NSF grants (Scholbergand Walter). Scholberg’s NSF CAREER funding ended in 2009. Walter has received anNSF CAREER Award in the amount of $562,095 titled “Optimization of a large waterCherenkov detector for the Deep Underground Science and Engineering Laboratory” for fiveyears, which started in 2009. This covers support of one postdoc and travel for that postdocas well as LBNE-related travel for Walter. Scholberg receives support from NSF for theSupernova Early Warning System (SNEWS) program from an award of $44.5K over threeyears; this covers support of one undergraduate and some computing and travel.

Scholberg and Walter also received an NSF award (a subaward through UC Davis) for“Design for a Megaton-Scale Water Cherenkov Detector for the Deep Underground Scienceand Engineering Lab” in the amount of $178K for the period 10/01/10 to 09/30/11. Thishas supported nine months of Fowler’s salary, part of a postdoc salary, and some travel. Thisgrant will continue for one more year. Another three months of Fowler’s salary in the pastyear came from a BNL subcontract for LBNE-related work.

Duke also received funding from DOE as a sub-contract from UC Irvine, for Super-Kamiokande construction, operations and associated travel (UCI DOE sub-award: DE-FG02-91ER40679), for which the total award has been $31,000 over the period 02/01/04to 10/31/09.

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10 Statement of Unexpended Funds

We expect no unexpended funds for Task A and Task N. No funding has been received forTask M (Mu2E) yet.

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11 PERSONNEL INFORMATION

PERSONNEL DISTRIBUTION Grant Period: 12/1/09 to 11/30/12

Institution Name ! Duke University

% HEP Research Time Spent on Experiment in 2012

TASK

Activity Type of

Position Name

CDF ATLAS Neutrino

#months

Funded by

DOE/

(Other)

Faculty

Advisor

Comments

Faculty A. Goshaw 10 90 2

A. Kotwal 30 70 2

M. Kruse 30 70 2

S. Oh 25 50 25 (Mu2E) 2

T. Phillips 50 6(1) Duke

K. Scholberg 100 2

C. Walter 100 2

A. Arce 100 0(2) Duke

Postdoc B. Jayatilaka 50 50 12

G. Yu 20 80 12

T. Akiri 100 0(12) Walter NSF CAREER

A. Himmel 100 0(12) NSF / S4

R. Wendell 100 12

A. Bocci 100 12

Res. Scientist D. Benjamin 10 90 6(6) US ATLAS

C. Wang 50 50 (Mu2E) 12

Grad. Student Y. Zeng 100 12 Kotwal

B. Cerio 100 12 Kotwal

K. Finelli 100 8 Kruse

M. Liu 100 12 Goshaw

C. Pollard 100 12 Kotwal

J. Albert 100 12 Walter

T. Wongjirad 100 0(12) Scholberg NSF Fellowship

Other

Staff Assistant M. Vines 33 33 33 5(7) Duke

Engineer J. Fowler 100 0(12) NSF / LBNE BNL subcontract

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from duke university high energy physicsbocci/doe/doe_2011.pdfaugust 31, 2011 doe hep renewal...

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