Limits on Diffuse Fluxes of High Energy Extraterrestrial Neutrinos
with the AMANDAB10 Detector
J. Ahrens,
12
X. Bai,
1
S.W. Barwick,
6
R. C. Bay,
5
T. Becka,
12
K.H. Becker,
13
E. Bernardini,
2
D. Bertrand,
10
A. Biron,
2
S. Boeser,
2
O. Botner,
11
A. Bouchta,
11
O. Bouhali,
10
T. Burgess,
4
S. Carius,
3
T. Castermans,
16
D. Chirkin,
5
J. Conrad,
11
J. Cooley,
8
D. F. Cowen,
7
A. Davour,
11
C. De Clercq,
15
T. DeYoung,
8
P. Desiati,
8
P. Doksus,
8
P. Ekstro
¨
m,
4
T. Feser,
12
T. K. Gaisser,
1
R. Ganugapati,
8
M. Gaug,
2
H. Geenen,
13
L. Gerhardt,
6
A. Goldschmidt,
9
A. Hallgren,
11
F. Halzen,
8
K. Hanson,
8
R. Hardtke,
8
T. Hauschildt,
2
M. Hellwig,
12
P. Herquet,
16
G. C. Hill,
8
P. O. Hulth,
4
B. Hughey,
8
K. Hultqvist,
4
S. Hundertmark,
4
J. Jacobsen,
9
A. Karle,
8
K. Kuehn,
6
J. Kim,
6
L. Ko
¨
pke,
12
M. Kowalski,
2
J. I. Lamoureux,
9
H. Leich,
2
M. Leuthold,
2
P. Lindahl,
3
I. Liubarsky,
18
J. Madsen,
14
K. Mandli,
8
P. Marciniewski,
11
H. Matis,
9
C. P. McParland,
9
T. Messarius,
13
T. C. Miller,
1
Y. Minaeva,
4
P. Miocinovic
´
,
5
P. C. Mock,
6
R. Morse,
8
T. Neunho
¨
ffer,
12
P. Niessen,
15
D. R. Nygren,
9
H. O
¨
gelman,
8
P. Olbrechts,
15
C. Pe
´
rez de los Heros,
11
A. C. Pohl,
3
R. Porrata,
6
P. B. Price,
5
G. T. Przybylski,
9
K. Rawlins,
8
E. Resconi,
2
W. Rhode,
13
M. Ribordy,
2
S. Richter,
8
J. Rodrı
´
guez Martino,
4
P. Romenesko,
8
D. Ross,
6
H.G. Sander,
12
S. Schlenstedt,
2
K. Schinarakis,
13
T. Schmidt,
2
D. Schneider,
8
R. Schwarz,
8
A. Silvestri,
6
M. Solarz,
5
M. Stamatikos,
8
G. M. Spiczak,
14
C. Spiering,
2
D. Steele,
8
P. Steffen,
2
R. G. Stokstad,
9
K.H. Sulanke,
2
I. Taboada,
17
S. Tilav,
1
W. Wagner,
13
C. Walck,
4
Y.R. Wang,
8
C. H. Wiebusch,
2
C. Wiedemann,
4
R. Wischnewski,
2
H. Wissing,
2
K. Woschnagg,
5
W. Wu,
6
G. Yodh,
6
and S. Young
6
1
Bartol Research Institute, University of Delaware, Newark, Delaware 19716, USA
2
DESYZeuthen, D15735, Zeuthen, Germany
3
Department of Technology, University of Kalmar, S39182, Kalmar, Sweden
4
Department of Physics, Stockholm University, SE106 91 Stockholm, Sweden
5
Department of Physics, University of California, Berkeley, California 94720, USA
6
Department of Physics and Astronomy, University of California, Irvine, California 92697, USA
7
Department of Physics, Pennsylvania State University, University Park, Pennsylvania 16802, USA
8
Department of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA
9
Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA
10
Universite Libre de Bruxelles, Science Faculty CP230, Boulevard du Triomphe, B1050, Brussels, Belgium
11
Division of High Energy Physics, Uppsala University, S75121, Uppsala, Sweden
12
Institute of Physics, University of Mainz, Staudinger Weg 7, D55099, Mainz, Germany
13
Fachbereich 8 Physik, BUGH Wuppertal, D42097 Wuppertal Germany
14
Physics Department, University of Wisconsin, River Falls, Wisconsin 54022, USA
15
Vrije Universiteit Brussel, Dienst ELEM, B1050, Brussels, Belgium
16
Universite
´
de MonsHainaut, 19 Avenue Maistriau 7000,Mons, Belgium
17
Department Fı
´
sica, University Simo
´
n Bolı
´
var, Caracas, Venezuela
18
Blackett Laboratory, Imperial College, London SW7 2BW, United Kingdom
(Received 25 February 2003; published 24 June 2003)
Data from the AMANDAB10 detector taken during the austral winter of 1997 have been searched
for a diffuse flux of high energy extraterrestrial muon neutrinos. This search yielded no excess events
above those expected from background atmospheric neutrinos, leading to upper limits on the extrater
restrial neutrino flux measured at the earth. For an assumed
E
?
2
spectrum, a
90%
classical confidence
level upper limit has been placed at a level
E
2
?
?
E
??
8
:
4
?
10
?
7
cm
?
2
s
?
1
sr
?
1
GeV
(for a predominant
neutrino energy range 6–1000 TeV), which is the most restrictive bound placed by any neutrino
detector. Some specific predicted model spectra are excluded. Interpreting these limits in terms of the
flux from a cosmological distributions of sources requires the incorporation of neutrino oscillations,
typically weakening the limits by a factor of 2.
DOI: 10.1103/PhysRevLett.90.251101 PACS numbers: 95.85.Ry, 95.55.Vj, 96.40.Tv, 98.54.–h
High energy extraterrestrial neutrinos are believed
to be produced in energetic accelerated environments
through protonproton or protonphoton interactions via
pion production and decay. Such an accelerator might be
the core of an active galaxy, powered by a supermassive
black hole. In their pioneering work, Stecker, Done,
Salamon, and Sommers [1] calculated the expected dif
fuse flux of neutrinos from the sum of all active galaxies
and found that such a flux could be observable deep
underground in a large neutrino detector. Further predic
tions have followed (for a summary see, for example, the
review of Learned and Mannheim [2]), and with the
construction and operation of the first high energy neu
trino detectors, the sensitivity has been reached to enable
such predictions to be tested. Searches have been
made and limits have been reported by the DUMAND
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=
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=
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=
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2003 The American Physical Society 2511011
[3], Frejus [4], Baikal
?
?
e
?
[5,6], MACRO [7], and
AMANDA
?
?
e
?
[8] neutrino detectors. In this Letter,
we describe the search for high energy extraterrestrial
neutrinoinduced muons, using data collected during
the austral winter of 1997 with the AMANDAB10 de
tector [9,10], located in the antarctic ice cap at the South
Pole station. This initial data set serves as a test bed for
the development of analysis and limitsetting techniques
that will be used to analyze the complete data set in
the future.
The AMANDA (Antarctic Muon And Neutrino
Detector Array) telescope detects high energy muon neu
trinos by observing Cherenkov light from muons result
ing from neutrino interactions in the ice surrounding, or
the rock below, the detector. While extraterrestrial neu
trinos will produce high energy muons from all arrival
directions, those coming from
above
the detector will be
very difficult to separate from the overwhelming flux of
downwardgoing cosmicray induced atmospheric muons.
The majority of these muons are rejected by accepting
only upwardgoing neutrinoinduced muons; the earth
filters out muons produced in the atmosphere on the other
side of the planet. There is a small remaining flux of
misreconstructed events which is removed by quality
cuts that leave only well reconstructed events. After the
atmospheric muons are removed, there will remain a flux
of upwardgoing muons from cosmicray induced atmos
pheric neutrinos that have penetrated the earth and inter
acted near the detector. This relatively well understood
neutrino flux is a background to the search but has been
used to verify the performance of the detector [9,10]. The
separation of the extraterrestrial neutrinoinduced muons
from the atmospheric neutrinoinduced muons is based
on the expected energy spectrum of the detected muons.
Typically, a model of an extraterrestrial source of neu
trinos has a harder spectrum (e.g.,
?
E
?
2
) [11] than that of
the atmospheric neutrinos
??
E
?
3
:
7
?
[12,13]. After ac
counting for neutrino interaction and muon propagation,
this energy difference carries over to produce a harder
muon energy spectrum for the extraterrestrial neutrino
induced muons near the detector. The energy of the muon
is not measured directly, but more energetic muons tend to
produce more Cherenkov light and thus more hit optical
modules in the detector; this observable, the channel
multiplicity (
N
ch
), is used as the primary separator of
higher energy extraterrestrial neutrinoinduced muon
events from the background of lower energy atmospheric
neutrinoinduced muons.
In this analysis, the event selection cuts were designed
to retain high energy tracklike events [14]. The detector
simulation has changed from that used in the atmospheric
neutrino analysis [10]. A new muon propagation code [15]
was used, which accounts for all relevant stochastic light
emission from the muons. The depthdependent optical
properties of the fiducial ice were determined using at
mospheric muons as a calibration source.
Before the energy sensitive channel multiplicity cut
was finally applied, 69 events remained in the data
sample, whereas a full simulation of the detector re
sponse to the atmospheric neutrino (Lipari [12]) flux
(neglecting neutrino oscillations, which would reduce
the prediction by only a few percent) predicts 85 events
for the 130 days of live time. The absolute difference in
the numbers of events is consistent with Poisson fluctua
tions, or with the
?
25%
[13] uncertainty in the atmos
pheric neutrino flux, or with uncertainties in the
simulation efficiencies (
30%
–
40%
). The distribution of
the data and atmospheric simulation are shown in Fig. 1.
The error bars on the data are
90%
unified confidence
intervals [16] for the fixed but unknown value of the mean
rate (signal plus background) for each bin. Only one bin
(
N
ch
?
25
–
30
) has a background prediction inconsistent
with the confidence interval. More specifically, a gener
alized likelihood ratio test of the shape of the atmos
pheric neutrino hypothesis as the parent distribution of
the data yields a chance probability of
20%
, which is too
large to reject the shape of the atmospheric neutrino
hypothesis. We choose to treat the rate of observed atmos
pheric neutrinos as a constraint on the overall detector
efficiency and then carry through an efficiency uncer
tainty from the atmospheric neutrino flux prediction and
Poisson error on the observed rate. Therefore, to calibrate
the overall detector sensitivity, we take the 69 events as
the bestfit estimate of the number of atmospheric neu
trinos and rescale all efficiencies by a factor
69
=
85
.This
is conservative, since if the first bin discrepancy was
due, e.g., to a simulation effect, then no renormalization
would be needed, and the limits would improve slightly.
We combine the Poisson error on the observed rate of
Data
N
ch
events
atmos.
ν
µ
10
5
E
2
ν
µ
10
1
1
10
20 30 40 50 60 70 80 90 100
FIG. 1. Channel multiplicity distribution after
fi
nal cuts,
showing the expected excess of events from an
E
?
2
spectrum
at the higher multiplicities.
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atmospheric neutrinos with the theoretical
fl
ux uncer
tainty (taken as a uniform probability distribution cen
tered about the best
fi
t
fl
ux
^
??
and extending to
?
0
:
25
^
??
)
to compute the correlations between the background and
ef
fi
ciency for later use in the probability distribution
function used in the con
fi
dence interval construction. To
incorporate these systematic uncertainties in the ef
fi
cien
cies into the limit calculations, we follow the prescription
of Cousins and Highland [17], as implemented by Conrad
et al.
[18] with the uni
fi
ed FeldmanCousins ordering and
improved by a more appropriate choice of the likelihood
ratio test [19]. We also report all limits and sensitivities
with and without the assumed uncertainty.
In addition to the data and atmospheric neutrino pre
diction, Fig. 1 also shows the prediction for an
E
?
2
signal
fl
ux at a level
E
2
?
?
E
??
10
?
5
cm
?
2
s
?
1
sr
?
1
GeV
,a
fl
ux
that would have been readily detected. Setting a limit on a
fl
ux
?
?
E
?
involves determining an experimental signal
event upper limit
?
?
n
obs
;n
b
?
, which is a function of the
number of observed events,
n
obs
, and expected back
ground,
n
b
, after the cuts are applied. A simulation chain
accounting for neutrino absorption, interaction and neu
tral current regeneration, muon propagation, and detector
response gives the number of signal events,
n
s
, expected
from the source
fl
ux
?
?
E
?
. The limit on the source
fl
ux
will then be
?
limit
?
E
??
?
?
E
??
?
?
n
obs
;n
b
?
=n
s
.The
choice of
fi
nal cut for
N
ch
is optimized before examining
the data by minimizing the average
‘‘
model rejection
factor
’’
(MRF)
?
?
?
?
n
b
?
=n
s
[20], where the as yet unknown
experimental event limit
?
?
n
obs
;n
b
?
is replaced by the
average
upper limit
?
?
?
?
n
b
?
[16]. Over an ensemble of
hypothetical repetitions of the experiment, this choice
of cut will lead to the best average limit
?
??
limit
?
E
?
.
When calculating the expected signal from an extra
terrestrial source at the earth, it is necessary to take into
account maximal mixing of neutrinos between
?
?
and
?
?
during propagation to the earth due to neutrino oscilla
tions [21,22]. We would expect to lose half the
?
?
signal
to
?
?
; however, some of these
?
?
would regenerate
?
?
in
the earth (
?
?
!
?
!
?
?
) lessening the effect [23,24]. In
what follows, we calculate the signals and model rejec
tion factors as if there were no loss of signal during
passage to the earth (in order to more easily compare to
previous experiments), but note that the limits and model
rejection factors would be increased by a factor near but
less than 2 in the presence of oscillations and
?
?
!
?
?
regeneration in the earth.
The integrated channel multiplicity distribution is
shown in Fig. 2. Also shown is the
90%
con
fi
dence level
FeldmanCousins average upper limit which is a function
of the expected background. The optimal cut is the one
where the model rejection factor
?
?
?
?
n
b
?
=n
s
is minimized.
Figure 2 also shows the average
fl
ux upper limit (
E
2
?
?
MRF
) as a function of the choice of multiplicity cut. The
minimum
fl
ux limit occurs at a cut of
N
ch
?
54
, where we
expect
n
b
?
3
:
06
and an average signal event upper limit
of 4.43 ignoring the uncertainties in the ef
fi
ciency
and background, and 4.93 when the uncertainties
are included. The
10
?
5
E
?
2
signal
fl
ux would produce
56.7 events. This leads to corresponding expected average
limits on the source
fl
ux of
E
2
?
??
90%
?
E
??
7
:
8
?
10
?
7
cm
?
2
s
?
1
sr
?
1
GeV
(excluding uncertainties), and
8
:
7
?
10
?
7
cm
?
2
s
?
1
sr
?
1
GeV
(including uncertainties).
We note that the expected overall
fl
ux limit is relatively
insensitive to the choice of cut, with a broad minimum
seen in Fig. 2 in the range of multiplicities 50
–
70. We
now apply this optimal multiplicity cut to the data, and
fi
nd that three events remain. Ignoring the systematic
uncertainties gives an event limit of 4.36 and a
fl
ux up
per limit of
E
2
?
90%
?
E
??
7
:
7
?
10
?
7
cm
?
2
s
?
1
sr
?
1
GeV
.
Including the systematic uncertainties leads to an event
limit of 4.75 and our
fi
nal
fl
ux limit on an
E
?
2
spectrum
of
E
2
?
90%
?
E
??
8
:
4
?
10
?
7
cm
?
2
s
?
1
sr
?
1
GeV
.
Figure 3 shows the neutrino energy spectrum of the
simulated events before and after the multiplicity cut of
54 channels, for both atmospheric neutrinos and neutri
nos from an
E
?
2
spectrum. The multiplicity cut corre
sponds to a sensitive energy range of 6
–
1000 TeV
, which
contains
90%
of the expected
E
?
2
signal. The peak
response energy is just below 100 TeV.
Just as a limit was placed on an assumed
E
?
2
spec
trum, limits can be placed on any neutrino
fl
ux predic
tion, and we consider a sample of predictions that are
near the limitsetting capability of the detector (
MRF
?
1
). For each case, we optimize the
fi
nal
N
ch
cut to mini
mize the expected average
fl
ux upper limit, then compare
the expected number of extraterrestrial neutrino events
after the cuts to the observed event limit; those predic
tions that produce expected event numbers greater than
integrated events
Data
atmos.
ν
µ
+ atmos.
µ
10
5
E
2
ν
µ
ave. event upper limit
1
10
10
2
average flux upper limit
in E
2
cm
2
s
1
sr
1
GeV
1
N
ch
cut
Flux
10
6
30 40 50 60 70 80 90 100
FIG. 2. Integrated distributions of event numbers as a func
tion of the multiplicity cut (top plot). The minimum in the
fl
ux
average upper limit (bottom) is found by minimizing the ratio
of the average event upper limit to the expected
E
?
2
signal.
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the observed event limit are excluded at the stated clas
sical con
fi
dence level. The results of these calculations are
shown in Table I and in Fig. 4. For each
fl
ux, we again
report two sensitivities and limits
—
one assuming no
systematic uncertainties and the second including sys
tematic uncertainties. We
fi
nd that the predictions of
Szabo and Protheroe (SPH92L [25],
P96p
?
pp
[26]) are
excluded. The quasar core (SSQC) prediction of Stecker
and Salamon [11] is just excluded (
MRF
?
0
:
98
), but the
blazar jet (SSBJ) prediction is not. The limit of the
original Stecker, Done, Salamon, and Sommers
fl
ux [1]
(SDSS) is a factor of 2 above the prediction and therefore
the prediction is not excluded.
We also place a limit on a model of prompt charm
induced neutrinos [27] (ZHV92) in the earth
’
s atmosphere
and
fi
nd that the detector sensitivity is about a factor
of 4 away from excluding the prediction. More recent
predictions are even further below the sensitivity of the
detector [28].
Since most events will originate from neutrinos near
the peak of the detector sensitivity
E
?
?
10
5
GeV
,the
TABLE I. Flux limits calculated for individual models of diffuse neutrino emission. The optimal
N
ch
cut, expected background,
and signal for each model are shown. The average upper limit [
?
?
?
?
n
b
?
] and average model rejection factor [
?
?
?
?
n
b
?
=n
s
] are shown with
and without the inclusion of systematic uncertainties. Finally, the experimental limits [observed events
n
obs
, event limit
?
o
?
?
?
n
obs
;n
b
?
] and model rejection factor (
?
o
=n
s
) are given for both systematic uncertainty assumptions.
Sensitivities Experimental limits
No sys. uncer. Sys. uncer. inc. No sys. uncer. Sys. uncer. inc.
Flux
N
ch
cut
n
b
n
s
?
?
?
?
n
b
?
?
?
?
?
n
b
?
n
s
?
?
?
?
n
b
?
?
?
?
?
n
b
?
n
s
n
obs
?
o
?
o
n
s
?
o
?
o
n
s
10
?
6
E
?
2
54 3.06 5.67 4.43 0.781 4.93 0.869 3 4.36 0.769 4.75 0.838
SDSS [1] 73 0.69 2.42 3.01 1.240 3.38 1.397 2 5.22 2.157 5.61 2.318
SPH92L [25] 58 2.12 12.66 3.97 0.314 4.33 0.342 3 5.30 0.419 5.69 0.449
SSQC [11] 71 0.80 5.59 3.11 0.556 3.45 0.617 2 5.11 0.914 5.50 0.984
SSBJ [11] 57 2.36 4.29 4.13 0.963 4.50 1.049 3 5.06 1.179 5.45 1.270
P96p
?
pp
[26] 49 4.83 21.95 5.11 0.233 5.90 0.269 4 3.76 0.171 4.54 0.207
ZHV Charm D [27] 41 10.9 2.58 6.97 2.702 8.42 3.264 14 10.60 4.109 12.31 4.771
log
10
(E
ν
)
[
GeV
]
log
10
E
2
Φ
ν
(E)
[
cm
2
s
1
sr
1
GeV
]
Atmospheric
neutrinos
SS QC pred.
AB10 lim.
Charm D
AB10 lim.
Charm D
pred.
MACRO E
2
ν
µ
Baikal E
2
ν
e
Frejus
ν
µ
(diff. at E
ν
=2.6 TeV)
AMANDAB10 E
2
ν
µ
AMANDAB10 E
2
ν
e
7
6.8
6.6
6.4
6.2
6
5.8
5.6
5.4
5.2
5
3 3.5 4 4.5 5 5.5 6 6.5 7 7.5 8
FIG. 4. Summary of experimental
90%
classical con
fi
dence
level
fl
ux limits from various detectors assuming an
E
?
2
spectrum. From top: AMANDAB10 (
?
e
) [8], Frejus [4],
MACRO [7], Baikal [6], and AMANDAB10 (
?
?
)(this
work). The background atmospheric neutrinos [12] are indi
cated by the hashed region representing the angular depen
dence of the
fl
ux. Also shown are the predicted
fl
uxes (dashed),
and AMANDAB10 experimental
fl
ux limits (solid) for a
diffuse neutrino prediction (SSQC [11]
—
nearly overlapping
dotted and dashed curves
—
MRF
?
0
:
98
) and for one predic
tion of prompt charm neutrino production in the earth
’
satmo
sphere [27]. Since most events will originate from neutrinos
near the peak of the detector sensitivity (
E
?
?
10
5
GeV
), the
limits at that point for different spectral shapes are similar.
log
10
(E
ν
)
[
GeV
]
events
10
5
E
2
ν
µ
atmos.
ν
µ
pass initial cuts
pass
all
cuts
10
1
1
10
234567
FIG. 3. Energy spectrum of the incident atmospheric (dashed
lines) and
E
?
2
(solid lines) neutrinos for events that pass the
initial cuts and have channel multiplicity greater than the
optimum cut of 54 channels.
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limits at that point for the three different spectral shapes
(
E
?
2
, SSQC, and Charm D) are similar, as seen in Fig. 4.
The limits presented in this Letter, based on the
fi
rst
realtime year of operation of the AMANDAB10 detec
tor, are the strongest placed to date on extraterrestrial
diffuse neutrino
fl
uxes. Since that year, we estimate that
about 10 times the exposure has been achieved in total
with AMANDAB10 (1997
–
1999) and the expanded
AMANDAII detector (2000
–
the present). We anticipate
this combined data set to have a limitsetting potential
more than 3 times better than the results presented here.
We acknowledge the support of the following agencies:
National Science Foundation
–
Of
fi
ce of Polar Pro
grams, National Science Foundation
–
Physics Division,
University of Wisconsin Alumni Research Foundation,
Department of Energy, and National Energy Research
Scienti
fi
c Computing Center (supported by the Of
fi
ce of
Energy Research of the Department of Energy), UC
–
Irvine AENEAS Supercomputer Facility, U.S.A.;
Swedish Research Council, Swedish Polar Research
Secretariat, and Knut and Alice Wallenberg Foundation,
Sweden; German Ministry for Education and Research,
Deutsche Forschungsgemeinschaft (DFG), Germany;
Fund for Scienti
fi
c Research (FNRSFWO), Flanders
Institute to encourage scienti
fi
c and technological re
search in industry (IWT), and Belgian Federal Of
fi
ce
for Scienti
fi
c, Technical and Cultural affairs (OSTC),
Belgium. D. F. C. acknowledges the support of the NSF
CAREER program.
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VOLUME 90, NUMBER 25
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