A search is presented for the production of a single top quark via left-handed flavour-changing neutral-current (FCNC) interactions of a top quark, a gluon and an up or charm quark. Two production processes are considered: u+g→t\documentclass[12pt]{minimal}
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\begin{document}$$c+g\rightarrow t$$\end{document}. The analysis is based on proton–proton collision data taken at a centre-of-mass energy of 13 TeV with the ATLAS detector at the LHC. The data set corresponds to an integrated luminosity of 139 fb-1\documentclass[12pt]{minimal}
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\begin{document}$$^{-1}$$\end{document}. Events with exactly one electron or muon, exactly one b-tagged jet and missing transverse momentum are selected, resembling the decay products of a singly produced top quark. Neural networks based on kinematic variables differentiate between events from the two signal processes and events from background processes. The measured data are consistent with the background-only hypothesis, and limits are set on the production cross-sections of the signal processes: σ(u+g→t)×B(t→Wb)×B(W→ℓν)<3.0\documentclass[12pt]{minimal}
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\begin{document}$$\sigma (u+g\rightarrow t)\times \mathcal {B}(t\rightarrow Wb)\times \mathcal {B}(W\rightarrow \ell \nu )<3.0\,$$\end{document}pb and σ(c+g→t)×B(t→Wb)×B(W→ℓν)<4.7\documentclass[12pt]{minimal}
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\begin{document}$$\sigma (c+g\rightarrow t)\times \mathcal {B}(t\rightarrow Wb)\times \mathcal {B}(W\rightarrow \ell \nu )<4.7\,$$\end{document}pb at the 95% confidence level, with B(W→ℓν)=0.325\documentclass[12pt]{minimal}
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\begin{document}$$\mathcal {B}(W\rightarrow \ell \nu )=0.325$$\end{document} being the sum of branching ratios of all three leptonic decay modes of the W boson. Based on the framework of an effective field theory, the cross-section limits are translated into limits on the strengths of the tug and tcg couplings occurring in the theory: |CuGut|/Λ2<0.057\documentclass[12pt]{minimal}
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\begin{document}$$|C^{\,ut}_{uG}|/\Lambda ^2 < 0.057\,$$\end{document}TeV-2\documentclass[12pt]{minimal}
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\begin{document}$$^{-2}$$\end{document}. These bounds correspond to limits on the branching ratios of FCNC-induced top-quark decays: B(t→u+g)<0.61×10-4\documentclass[12pt]{minimal}
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\begin{document}$$\mathcal {B}(t\rightarrow c+g)< 3.7\times 10^{-4}$$\end{document}.
publisher-imprint-nameSpringervolume-issue-count12issue-article-count55issue-toc-levels0issue-pricelist-year2022issue-copyright-holderThe Author(s)issue-copyright-year2022article-contains-esmNoarticle-numbering-styleContentOnlyarticle-registration-date-year2022article-registration-date-month3article-registration-date-day4article-toc-levels0toc-levels0volume-typeRegularjournal-productNonStandardArchiveJournalnumbering-styleContentOnlyarticle-grants-typeOpenChoicemetadata-grantOpenAccessabstract-grantOpenAccessbodypdf-grantOpenAccessbodyhtml-grantOpenAccessbibliography-grantOpenAccessesm-grantOpenAccessonline-firstfalsepdf-file-referenceBodyRef/PDF/10052_2022_Article_10182.pdfpdf-typeTypesettarget-typeOnlinePDFissue-typeRegulararticle-typeOriginalPaperjournal-subject-primaryPhysicsjournal-subject-secondaryElementary Particles, Quantum Field Theoryjournal-subject-secondaryNuclear Physics, Heavy Ions, Hadronsjournal-subject-secondaryQuantum Field Theories, String Theoryjournal-subject-secondaryMeasurement Science and Instrumentationjournal-subject-secondaryAstronomy, Astrophysics and Cosmologyjournal-subject-secondaryNuclear Energyjournal-subject-collectionPhysics and Astronomyopen-accesstrueIntroduction
Direct searches for on-shell production of new heavy particles at the Large Hadron Collider (LHC) have not yet been successful. For this reason, indirect searches targeting non-standard couplings among Standard Model (SM) particles attract increasing interest. Among these analyses are searches for flavour-changing neutral-current (FCNC) processes in the top-quark sector. The SM does not contain FCNC processes at tree level, and even though these processes exist at higher orders, they are suppressed due to the Glashow–Iliopoulous–Maiani mechanism [1]. Compared to the b-quark sector, where decays of b-hadrons via FCNCs were first observed in 1995 [2], FCNC decays of top quarks are even more suppressed. Depending on the decay mode, FCNC branching ratios (B\documentclass[12pt]{minimal}
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\begin{document}$$\mathcal {B}$$\end{document}) of the top quark are predicted to range from 10-12\documentclass[12pt]{minimal}
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\begin{document}$$10^{-17}$$\end{document} [3], and are thus well below the experimentally accessible regime, at present and in the foreseeable future. The observation of FCNC top-quark decays or top-quark production via FCNCs would therefore be an unambiguous signal of physics beyond the SM.
Many extensions of the SM predict significantly higher rates for FCNC processes in the top-quark sector. These extensions include new scalar particles introduced in two-Higgs-doublet models [4, 5] or in supersymmetry [6–8]. In certain regions of the parameter space of these models, the predicted branching ratios of top quarks decaying via FCNC can be as large as 10-5\documentclass[12pt]{minimal}
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\begin{document}$$10^{-3}$$\end{document} and thus become detectable at the LHC.
Searches for FCNCs involving a top quark and a gluon were performed at the Tevatron [9, 10] and in data from Run 1 of the LHC [11–13]. Rather than looking for the top-quark decays t→u+g\documentclass[12pt]{minimal}
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\begin{document}$$t\rightarrow c+g$$\end{document} in top-quark–antiquark pair (tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document}) production, these analyses searched for the production of a single top quark (t) via the FCNC processes u+g→t\documentclass[12pt]{minimal}
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\begin{document}$$u+g\rightarrow t$$\end{document} (ugt process) and c+g→t\documentclass[12pt]{minimal}
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\begin{document}$$c+g\rightarrow t$$\end{document} (cgt process), exploiting specific kinematic features of single-top-quark production to separate a potential signal from the large W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets and multijet backgrounds. The analysis presented in this paper extends the Run 1 ATLAS search to the Run 2 data set collected with the ATLAS detector in the years 2015 to 2018, during which the LHC operated at a centre-of-mass energy of 13TeV\documentclass[12pt]{minimal}
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\begin{document}$$13\,\text {TeV}$$\end{document}. Conceptually, the scope of the analysis is expanded by performing independently optimised searches for the ugt and cgt processes. Differences between these two processes are due to differences in the parton distribution functions (PDFs) for valence and sea quarks. For top antiquarks the charge-conjugate processes are implied. The FCNC interaction is assumed to be left-handed. Another novelty compared to the Run 1 analysis is the interpretation of the results in an effective field theory framework provided by the TopFCNC model [14].
The event selection targets the t→e+νb\documentclass[12pt]{minimal}
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\begin{document}$$t\rightarrow e^+\nu b$$\end{document} and t→μ+νb\documentclass[12pt]{minimal}
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\begin{document}$$t\rightarrow \mu ^+\nu b$$\end{document} decay modes of the top quark. However, there is also additional but lower acceptance for events with the decay t→τ+νb\documentclass[12pt]{minimal}
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\begin{document}$$t\rightarrow \tau ^+\nu b$$\end{document} and the subsequent decay of the τ\documentclass[12pt]{minimal}
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\begin{document}$$\mu ^+\nu _\mu \bar{\nu }_\tau $$\end{document}. A leading-order (LO) Feynman diagram illustrating the signature of the targeted scattering events is shown in Fig. 1.
Leading-order Feynman diagram of non-SM production of a single top quark via the FCNC process u(c)+g→t\documentclass[12pt]{minimal}
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\begin{document}$$u(c)+g\rightarrow t$$\end{document}
Considering the signature of the signal events, the required reconstructed objects are exactly one charged-lepton candidate (an electron or a muon) with high transverse momentum (pT\documentclass[12pt]{minimal}
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\begin{document}$$p_{\text {T}} $$\end{document}), exactly one jet which is identified to originate with a high probability from a b-quark, and large missing transverse momentum as an indication of a high-pT\documentclass[12pt]{minimal}
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\begin{document}$$p_{\text {T}} $$\end{document} neutrino.
The main background processes are W+bb¯\documentclass[12pt]{minimal}
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\begin{document}$$W{+}\,b\bar{b}\,$$\end{document} production, t-channel single-top-quark (tq) production, tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document} production and multijet production. Artificial neural networks (NNs) are used to separate signal events from background events. The observed distributions of the NN discriminants are analysed statistically with a profile maximum-likelihood fit in which all systematic uncertainties are treated as nuisance parameters.
The structure of the paper is as follows. A brief description of the ATLAS detector is given in Sect. 2, followed by a comprehensive summary of the collision data and the samples of simulated events in Sect. 3. Section 4 describes the reconstruction of detector-level objects and the event selection. The modelling of multijet background events and the estimation of their rate is discussed in Sect. 5. Section 6 provides details about the separation of signal and background events using NNs. Systematic uncertainties are outlined in Sect. 7 and the results are presented in Sect. 8. Conclusions are given in Sect. 9.
The ATLAS detector
The ATLAS detector [15] at the LHC covers nearly the entire solid angle around the collision point.1 It consists of an inner tracking detector surrounded by a thin superconducting solenoid, electromagnetic and hadronic calorimeters, and a muon spectrometer incorporating three large superconducting toroidal magnets.
The inner-detector system (ID) is immersed in a 2T axial magnetic field and provides charged-particle tracking in the range |η|<2.5\documentclass[12pt]{minimal}
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\begin{document}$$|\eta | < 2.5$$\end{document}. The high-granularity silicon pixel detector covers the vertex region and typically provides four measurements per track, the first hit normally being in the insertable B-layer installed before Run 2 [16, 17]. It is followed by the silicon microstrip tracker, which usually provides eight measurements per track. These silicon detectors are complemented by the transition radiation tracker (TRT), which enables radially extended track reconstruction up to |η|=2.0\documentclass[12pt]{minimal}
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\begin{document}$$|\eta | = 2.0$$\end{document}. The TRT also provides electron identification information based on the fraction of hits (typically 30 in total) above a higher energy-deposit threshold corresponding to transition radiation.
The calorimeter system covers the pseudorapidity range |η|<4.9\documentclass[12pt]{minimal}
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\begin{document}$$|\eta |< 3.2$$\end{document}, electromagnetic calorimetry is provided by barrel and endcap high-granularity lead/liquid-argon (LAr) calorimeters, with an additional thin LAr presampler covering |η|<1.8\documentclass[12pt]{minimal}
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\begin{document}$$|\eta | < 1.7$$\end{document}, and two copper/LAr hadronic endcap calorimeters. The solid angle coverage is completed with forward copper/LAr and tungsten/LAr calorimeter modules optimised for electromagnetic and hadronic measurements respectively.
The muon spectrometer (MS) comprises separate trigger and high-precision tracking chambers measuring the deflection of muons in a magnetic field generated by superconducting air-core toroids. The field integral of the toroids ranges between 2.0 and 6.0T m\documentclass[12pt]{minimal}
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\begin{document}$${6.0}\,{\hbox {T m}}$$\end{document} across most of the detector. A set of precision chambers covers the region |η|<2.7\documentclass[12pt]{minimal}
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\begin{document}$$|\eta | < 2.7$$\end{document} with three layers of monitored drift tubes, complemented by cathode-strip chambers in the forward region, where the background is highest. The muon trigger system covers the range |η|<2.4\documentclass[12pt]{minimal}
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\begin{document}$$|\eta | < 2.4$$\end{document} with resistive-plate chambers in the barrel, and thin-gap chambers in the endcap regions. Interesting events are selected to be recorded by the first-level trigger system implemented in custom hardware, followed by selections made by algorithms implemented in software in the high-level trigger [18]. The first-level trigger accepts events from the 40MHz\documentclass[12pt]{minimal}
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An extensive software suite [19] is used in the reconstruction and analysis of real and simulated data, in detector operations, and in the trigger and data acquisition systems of the experiment.
Samples of data and simulated events
The analysis uses proton–proton (pp) collision data recorded with the ATLAS detector in the years 2015 to 2018 at a centre-of-mass energy of 13TeV\documentclass[12pt]{minimal}
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\begin{document}$$1.7\%$$\end{document} [21]. The LUCID-2 detector [22] was used for the primary luminosity measurements. At the high instantaneous luminosity reached at the LHC, events were affected by additional inelastic pp collisions in the same and neighbouring bunch crossings (pile-up). The average number of interactions per bunch crossing was 33.7.
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Large sets of simulated events from signal and background processes were produced with event generator programs based on the Monte Carlo (MC) method to model the recorded and selected data. After event generation, the response of the ATLAS detector was simulated using the GEANT4\documentclass[12pt]{minimal}
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\begin{document}$$\textsc {Geant4} $$\end{document} toolkit [25] with a full detector model [26] or a fast simulation [27, 28] which employed a parameterisation of the calorimeter response. To account for pile-up effects, minimum-bias interactions were superimposed on the hard-scattering events and the resulting events were weighted to reproduce the observed pile-up distribution. The minimum-bias events were simulated using Pythia 8.186 [29] with the A3 [30] set of tuned parameters and the NNPDF2.3lo PDF set [31]. Finally, the simulated events were reconstructed using the same software as applied to the collision data. Except for the multijet background, the same event selection requirements were applied and the selected events were passed through the same analysis chain. Small corrections were applied to simulated events such that the lepton trigger and reconstruction efficiencies, jet energy calibration and b-tagging efficiency were in better agreement with the response observed in data. More details of the simulated event samples are provided in the following subsections.
Samples of simulated events from the ugt and cgt FCNC processes
Simulated events from the ugt and cgt processes were produced with the METOP 1.0 event generator [32, 33] at next-to-leading order (NLO) in quantum chromodynamics (QCD). The difference between LO and NLO is very relevant for the analysis since a veto on a second jet is applied in the event selection by requiring exactly one reconstructed jet with pT>30GeV\documentclass[12pt]{minimal}
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\begin{document}$$m_t=172.5\,\text {GeV}$$\end{document} was used. The CT10 set of PDFs [36] was used for event generation. Parton showers and the hadronisation were simulated with Pythia 8.235 [37] with the A14 set of tune parameters [38]. In the METOP + Pythia set-up, hard gluon emissions can arise in both the NLO matrix-element generator and the parton-shower generator. The matching between the two generators was achieved by limiting the phase-space region of the first parton-shower emission in a way that depends on the transverse momentum of the top quark. The matching scale between the matrix-element generator and the parton shower was set to 10GeV\documentclass[12pt]{minimal}
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\begin{document}$$10\,\text {GeV}$$\end{document}.
Samples with alternative generator settings were produced to estimate systematic uncertainties. Samples with μr=μf=2·mt\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {r} = \mu _\mathrm {f} = 2 \cdot m_t$$\end{document} and μr=μf=0.5·mt\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {r} = \mu _\mathrm {f} = 0.5 \cdot m_t$$\end{document} were used to evaluate the impact of the scale choice on the signal model. The uncertainty in modelling parton showers was evaluated with METOP signal samples in which parton showers were generated by Herwig7.0.4 [39, 40] instead of Pythia . The METOP + Herwig set-up used the same PDF set as the nominal sample, CT10. In addition, METOP + Pythia samples with a different matching scale of 15GeV\documentclass[12pt]{minimal}
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\begin{document}$$15\,\text {GeV}$$\end{document} were produced to evaluate the uncertainties due to the choice of this scale. All samples of the ugt and cgt processes were passed through the fast detector simulation.
Simulation of tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document} and SM single-top-quark production
Samples of simulated events from tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document} and single-top-quark production were generated using the Powheg Boxv2 [41–47] NLO matrix-element generator, setting mt=172.5GeV\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}$$\end{document} production) the NNPDF3.0nlo PDF set [48] implementing the five-flavour scheme was used, while t-channel single-top-quark events (tq production) were produced with the NNPDF3.0nlo_nf4 PDF set, which implements the four-flavour scheme, following a recommendation given in Ref. [47]. Parton showers, hadronisation, and the underlying event were modelled using Pythia 8.230 with the A14 set of tuned parameters and the NNPDF2.3lo PDF set. The Powheg Box + Pythia generator set-up applies a matching scheme to the modelling of hard emissions in the two programs. The matrix-element-to-parton-shower matching is steered by the hdamp\documentclass[12pt]{minimal}
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\begin{document}$$h_\mathrm {damp}=1.5\times m_t$$\end{document} [49]. The renormalisation and factorisation scales were set dynamically on an event-by-event basis, namely to μr=μf=mt2+pT2(t)\documentclass[12pt]{minimal}
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\begin{document}$$b\bar{b}\,$$\end{document} pair. The scale choice for tq production followed a recommendation of Ref. [47]. When generating tW events, the diagram-removal scheme [50] was employed to handle the interference with tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document} production [49].
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\begin{document}$$t\bar{t}\,$$\end{document} production, top-quark decays were handled by Powheg Boxdirectly, while in the case of single-top-quark production, top-quark decays were modelled by MadSpin . The decays of bottom and charm hadrons were simulated using the EvtGen 1.6.0 program [51] for all samples involving top-quark production.
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\begin{document}$$t\bar{t}\,$$\end{document}production cross-section was scaled to σ(tt¯)=832-51+47\documentclass[12pt]{minimal}
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\begin{document}$$\sigma (t\bar{t}\,)=832^{+47}_{-51}\,$$\end{document}pb, the value obtained from next-to-next-to-leading-order (NNLO) predictions from the Top++ 2.0 program (see Ref. [52] and references therein), which includes the resummation of next-to-next-to-leading logarithmic (NNLL) soft-gluon terms. The total cross-sections for tq and tb¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}$$\end{document} production were computed at NLO in QCD with the Hathor v2.1 program [53, 54] and the corresponding samples of simulated events were scaled to the following values: σ(tq)=136.0-4.7+5.5\documentclass[12pt]{minimal}
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\begin{document}$$\sigma (t\bar{b}\,+\bar{t}\,b)=10.3\pm 0.38\,$$\end{document}pb. The cross-section used for normalising the tW sample is σ(tW+t¯W)=71.7±3.8\documentclass[12pt]{minimal}
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Simulation of W+jets and Z+jets production
The production of W bosons and Z bosons in association with jets, including heavy-flavour jets in particular, was simulated with the Sherpa 2.2.1 generator [57]. In this set-up, NLO-accurate matrix elements for up to two partons and LO-accurate matrix elements for up to four partons were calculated with the Comix [58] and OpenLoops1 [59–61] libraries. The default Sherpa parton shower [62] based on Catani–Seymour dipole factorisation and the cluster hadronisation model [63] were used. The generation employed the dedicated set of tuned parameters developed by the Sherpa authors and the NNPDF3.0nlo PDF set.
The NLO matrix elements of a given jet multiplicity were matched to the parton shower using a colour-exact variant of the MC@NLO algorithm [64]. Different jet multiplicities were then merged into an inclusive sample using an improved CKKW matching procedure [65, 66] which was extended to NLO accuracy using the MEPS@NLO prescription [67]. The merging threshold was set to 20GeV\documentclass[12pt]{minimal}
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\begin{document}$$20\,\text {GeV}$$\end{document}. The W+jets and Z+jets samples were normalised to NNLO predictions [68] of the total cross-sections, obtained with the FEWZ package [69].
Simulation of diboson and multijet production
Samples of on-shell diboson production (WW, WZ and ZZ) were also simulated with the Sherpa 2.2.1 generator. Motivated by the targeted signature of the signal events, only semileptonic final states were produced, in which one boson decayed leptonically and the other hadronically. The considered matrix elements contain all diagrams with four electroweak vertices and they were calculated at NLO accuracy in QCD for up to one additional parton and at LO accuracy for up to three additional parton emissions. The matching of NLO matrix elements to the parton shower and the merging of different jet multiplicities was done in the same way as for W/Z+jets production. Virtual QCD corrections were provided by the OpenLoops1 library. The NNPDF3.0nlo PDF set was used along with the dedicated set of tuned parameters developed by the Sherpa authors. The diboson event samples were normalised to the total cross-sections provided by Sherpa at NLO in QCD.
Events featuring generic high-pT\documentclass[12pt]{minimal}
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\begin{document}$$p_{\text {T}} $$\end{document} multijet production may pass the event selection if a jet is misidentified as an electron or muon, or if real electrons or muons coming from hadron decays inside the jets pass the isolation requirements. The former are called fake leptons, the latter non-prompt leptons. In addition, non-prompt electrons occur as a result of photon conversions in the detector material. Multijet events with fake electrons or non-prompt electrons were modelled with a sample of simulated dijet events, while events with non-prompt muons were modelled with collision data. The number of events with fake muons is negligible. The dijet event sample was generated using Pythia 8.186 with LO matrix elements for dijet production and interfaced to a pT\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {f} $$\end{document} were set to the square root of the geometric mean of the squared transverse masses of the two outgoing particles in the matrix element, μr=μf=(pT,12+m12)(pT,22+m22)4\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {r} = \mu _\mathrm {f} = \root 4 \of {(p_{\mathrm {T},1}^2 + m_1^2) (p_{\mathrm {T},2}^2 + m_2^2)}$$\end{document}. At generator level, a filter was applied which required the existence of one particle-level jet with pT>17GeV\documentclass[12pt]{minimal}
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\begin{document}$$p_{\text {T}} > 17\,\text {GeV}$$\end{document}. The generation used the NNPDF2.3lo PDF set and the A14 set of tuned parameters. The generated sample of dijet events was used to model the event kinematics and to produce template distributions in the electron channel, while the rate of the multijet background was estimated in a data-driven way as described in Sect. 5.
Object reconstruction and event selection
The hard-scattering process was reconstructed by identifying the particles occurring at parton level with objects which were reconstructed at detector level, such as electron and muon candidates and hadronic jets. The presence of high-pT\documentclass[12pt]{minimal}
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Object definitions
Events were required to have at least one vertex reconstructed from at least two ID tracks with transverse momenta of pT>0.5GeV\documentclass[12pt]{minimal}
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\begin{document}$$|\eta |<2.5$$\end{document} were required to pass a requirement on the jet-vertex-tagger (JVT) discriminant [78] to suppress jets originating from pile-up collisions. The JVT-discriminant was required to be above 0.59, which corresponds to an efficiency of 92%\documentclass[12pt]{minimal}
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Summary of selection requirements used to define the four analysis regions. The left column lists the observables on which the requirements are based. The first part of the table lists requirements which are common to all four analysis regions and define the basic event selection described in Sect. 4.2. Tight electrons and medium muons were counted based on a pT\documentclass[12pt]{minimal}
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\begin{document}$$D_1$$\end{document} represents one of the NN discriminants defined in Sect. 6
Jets containing b-hadrons were identified (b-tagged) with the MV2c10 algorithm [80], which used boosted decision tree discriminants with several b-tagging algorithms as inputs [81]. The algorithms exploited the impact parameters of charged-particle tracks, the properties of reconstructed secondary vertices and the topology of b- and c-hadron decays inside the jets. In order to strongly reduce the misidentification rate of c-jets and light-flavour (u, d or s)/gluon jets, a specific working point of the MV2c10 algorithm was defined and calibrated, using the standard calibration technique [80]. With this working point, the b-tagging efficiency for jets that originate from the hadronisation of b-quarks is 30% in simulated tt¯\documentclass[12pt]{minimal}
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\begin{document}$$W\text {+\,jets}$$\end{document} events, or when evaluating systematic uncertainties with a set-up based on Herwig, additional correction factors called MC-to-MC scale factors were applied.
To avoid double-counting objects satisfying more than one selection criterion, a procedure called overlap removal was applied. Reconstructed objects defined with Loose quality criteria were removed in the following order: electrons sharing an ID track with a muon; jets within ΔR=0.2\documentclass[12pt]{minimal}
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\begin{document}$$\Delta R = 0.4$$\end{document} of a remaining jet, reducing the rate of non-prompt muons. The Tight and Medium criteria were applied to those objects which survived overlap removal.
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Basic event selection
To be selected, events were required to have exactly one electron of Tight quality or exactly one muon of Medium quality, both with pT>27GeV\documentclass[12pt]{minimal}
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\begin{document}$$p_{\text {T}} > {10}{\hbox { Gev}}$$\end{document} was rejected (dilepton veto).
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\begin{document}$$\begin{aligned} m_{\mathrm{T}} (W) = \sqrt{2 p_{\text {T}} (\ell ) E_{\text {T}}^{\text {miss}} \left( 1-\cos \Delta \phi \left( \ell , \vec {p}_{\text {T}}^{\text {miss}} \right) \right) }. \end{aligned}$$\end{document}To reduce the multijet background, ETmiss>30GeV\documentclass[12pt]{minimal}
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\begin{document}$$m_{\mathrm{T}} (W) > {50}{\hbox { Gev}}$$\end{document} were applied as additional selection requirements.
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Definition of signal and validation regions
A signal region (SR) and three validation regions (VRs) were defined by applying further requirements to the sample of events passing the basic selection. Only events in the SR were used at a later stage of the analysis for a profile-likelihood fit to the data in the search for a signal contribution, while the VRs were used to validate the modelling of different background contributions. A summary of the selection requirements used to define the four analysis regions is given in Table 1.
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\begin{document}$$D_2$$\end{document}, described in Sect. 6, were formed to separate signal and background events in these three SRs.
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The second VR was enriched in tt¯\documentclass[12pt]{minimal}
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Estimation of the multijet background
By requiring electron and muon candidates to be isolated, the object definition and the event selection strongly favour prompt leptons originating from decays of W bosons or Z bosons. However, there is a small probability for non-prompt electrons or muons occurring in hadron decays, either directly or through the decay of a τ\documentclass[12pt]{minimal}
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\begin{document}$$\tau $$\end{document}-lepton, to be reconstructed as isolated leptons. The main source is b-hadron decays in jets, but c-hadrons and long-lived weakly decaying states such as π±\documentclass[12pt]{minimal}
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\begin{document}$$\pi ^0$$\end{document} decays, or bremsstrahlung and photon conversions. Even though the probabilities of misidentification are relatively low, some multijet events still pass the selection and contribute to the background, since their production cross-section is approximately three orders of magnitude higher than the cross-sections of top-quark production processes. As the mechanisms of misidentification are not well modelled by the detector simulation, the rate of the multijet background was determined in a data-driven way by fitting the ETmiss\documentclass[12pt]{minimal}
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\begin{document}$$m_{\mathrm{T}} (W) $$\end{document} distribution for events with a muon (muon channel).
Illustration of the estimation of the multijet background by fitting the ETmiss\documentclass[12pt]{minimal}
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\begin{document}$$\mu ^+$$\end{document} channel in (b). Both distributions are in the SR. The stacked histograms were normalised to the fit result. The uncertainty band represents the uncertainty due to limited sample size and the rate uncertainties of the different processes (20% for W+jets production, 30% for the multijet background and 6% for the top-quark processes). The ratio of observed to predicted (Pred.) numbers of events in each bin is shown in the lower panel. Events beyond the axis range are included in the last bin
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\begin{document}$${>}80\%$$\end{document}) of its energy in the electromagnetic calorimeter. This jet was classified as an electron, the jet-electron, and treated in the subsequent steps of the analysis in the same way as a properly identified prompt electron. The jet-electrons had to pass the nominal pT\documentclass[12pt]{minimal}
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In the muon channel, multijet events were modelled with collision events highly enriched in non-prompt muons [83]. Starting from the same sample of collision events as the nominal selection, a subset of events enriched in non-prompt muons was obtained by inverting or modifying some of the muon isolation requirements, such that the resulting sample did not overlap with the nominal sample. The kinematic requirements on muon pT\documentclass[12pt]{minimal}
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The rate of the multijet background was normalised by performing a binned maximum-likelihood fit to the ETmiss\documentclass[12pt]{minimal}
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\begin{document}$${\text {sgn}}q(\ell )$$\end{document}, leading to six channels per analysis region. Separate fits were performed for the SR and the three VRs. In each region, all six channels were fit simultaneously. Since the multijet background is expected to be independent of lepton charge, its rates in the ℓ+\documentclass[12pt]{minimal}
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The stacked histograms were normalised to the fit result. The low ETmiss\documentclass[12pt]{minimal}
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All backgrounds other than the multijet background were modelled by simulated events and the event rate was estimated by scaling the samples of simulated events to the integrated luminosity of the sample of collision data being analysed. The event kinematics of the multijet background is described with the jet-electron model and with non-prompt muon events, normalising the rate of the multijet background to the results of the fits to the ETmiss\documentclass[12pt]{minimal}
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Pie chart of the background composition of the SR. The SR comprises the two electron channels (barrel and endcap) and the muon channel. The pre-fit event yields are reported in Table 3
Input variables to the two NNs
Variable
Definition
Variables common to the D1\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document} NNs
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\begin{document}$$\ell $$\end{document}) and the b-tagged jet (b)
Distance in the η\documentclass[12pt]{minimal}
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\begin{document}$$\phi $$\end{document} plane between the reconstructed W boson and the b-tagged jet
Top-quark mass reconstructed from the charged lepton, neutrino, and b-tagged jet
Variables used only for the D1\documentclass[12pt]{minimal}
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\begin{document}$$D_1$$\end{document} NN
Transverse momentum of the reconstructed top quark
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The three largest backgrounds are W+\,jets\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}\,$$\end{document} background, and tq production.
Neural networks separating signal and background events
Two NNs were employed to enhance the separation of signal events from background events by combining several kinematic (input) variables to form two discriminants named D1\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document}. The kinematics of signal events depends on whether the quark (antiquark) in the initial state is a valence quark or a sea quark (antiquark). Sea quarks (antiquarks) and valence quarks of the proton carry, on average, different fractions x of the proton momentum and this difference leads to different rapidity distributions for the corresponding produced top quarks (antiquarks) and their decay products. Top quarks produced in the u+g→t\documentclass[12pt]{minimal}
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\begin{document}$$u+g\rightarrow t$$\end{document} process tend to have higher absolute rapidity values than top antiquarks produced in the u¯+g→t¯\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document} exploit these differences.
The first network was trained only with events from the cgt process and was thus optimised for events featuring a sea quark or antiquark in the initial state. The discriminant obtained from this network is defined to be D1\documentclass[12pt]{minimal}
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\begin{document}$$D_1$$\end{document}. The second NN was trained with events from top-quark production via the ugt process as signal, excluding the charge-conjugate process of top-antiquark production. The corresponding discriminant is called D2\documentclass[12pt]{minimal}
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\begin{document}$$D_1$$\end{document} is used in a search for the cgt process. The second analysis searches for the ugt process and makes use of both discriminants, D1\documentclass[12pt]{minimal}
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\begin{document}$$\bar{u}\,+g\rightarrow \bar{t}\,$$\end{document}). The discriminant D2\documentclass[12pt]{minimal}
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The NNs were implemented using the NeuroBayes package [84, 85], which combines a three-layer feed-forward NN with a complex and robust preprocessing of the input variables before they are presented to the NN. The training of the NNs was based on generated signal and background events and used back-propagation to determine the weights of connections among nodes. As a non-linear activation function, NeuroBayes uses the symmetric sigmoid functionS(x)=21+e-x-1\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document} discriminants were obtained by linearly scaling the outputs of the corresponding NNs to the interval (0, 1).
Sets of input variables were selected based on studies considering the sensitivity of the analyses as given by the expected upper limits on the production cross-sections (Sect. 8 provides more details about the computation of upper limits), how well the observed distributions of the input variables are modelled by simulation, and the ranking of the input variables provided by the preprocessing step of NeuroBayes. The D1\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document} NN nine. Six of those variables were common to both NNs. Table 2 provides the list of input variables.
Some of the variables, for example ΔR(W,b)\documentclass[12pt]{minimal}
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\begin{document}$$\vec {p}_{\text {T}}^{\text {miss}}$$\end{document}. The W boson was formed by adding the four-vectors of the reconstructed neutrino and the charged lepton.
NeuroBayes uses Bayesian regularisation techniques for the training process to improve the generalisation performance and to avoid overtraining. In general, the network infrastructure consists of one input node for each input variable plus one bias node, an arbitrary, user-defined number of hidden nodes arranged in a single hidden layer, and one output node which gives a continuous output in the interval (-1,+1)\documentclass[12pt]{minimal}
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\begin{document}$$(-1,+1)$$\end{document}. For the two NNs of this analysis, 15 nodes were used in the hidden layer and the ratio of signal to background events in the training was chosen to be 1:1. The different background processes were weighted according to their expected number of events. Only tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document}, W+jets and single-top-quark events were used as background processes in the training. The multijet background was not used, since its modelling has considerable uncertainties and attempting to optimise the separation of this background from signal events would likely make the results of the analysis more sensitive to any mismodelling of the kinematics of multijet production. After the training step, samples of simulated signal and background events as well as the observed events were processed by the NNs. The resulting distributions of D1\documentclass[12pt]{minimal}
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\begin{document}$$\ell ^+$$\end{document} channel of the ugt analysis. The histograms in (a) show the distributions obtained in the cgt analysis, that is, the discriminant was evaluated for all selected events independent of sgnq(ℓ)\documentclass[12pt]{minimal}
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The signal distributions peak at high values between 0.8 and 0.9, while the distributions of the background processes peak at low values. Compared to the tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}$$\end{document} process, which has a low event fraction in the highest bins, the tq and W+jets production processes have higher event fractions in the most signal-like bins.
Prior to the application of the NNs to the observed collision data in the SR, the modelling of the input variables was checked. The corresponding distributions in the VRs were validated as well. The normalisation of the different scattering processes in the grouping reported in Fig. 3 was taken from the fits to the ETmiss\documentclass[12pt]{minimal}
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\begin{document}$$m_{\mathrm{T}} (W) $$\end{document} distributions for the estimation of the multijet background, reported in Sect. 5. As an additional check, the trained NNs were applied in the VRs using input variables corresponding to those in the SR. Three examples of discriminant distributions in the VRs are presented in Fig. 5. In all cases, the model describes the observed discriminant distributions within the estimated uncertainties.
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\begin{document}$$m_{\mathrm{T}} (W) $$\end{document} distributions for estimating the multijet background. The uncertainty band represents the uncertainty due to limited sample size and the rate uncertainties of the different processes (20% for W+jets production, 30% for the multijet background and 6% for the top-quark processes). The ratio of observed to predicted (Pred.) numbers of events in each bin is shown in the lower panel
Systematic uncertainties
Several sources of systematic uncertainty affect the expected event yield from signal and background processes as well as the shape of the NN discriminants used in the maximum-likelihood fit. The systematic uncertainties are divided into two major categories. Experimental uncertainties are associated with the reconstruction of the four-momenta of final-state partonic objects: electrons, muons, b-jets, and ETmiss\documentclass[12pt]{minimal}
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\begin{document}$$E_{\text {T}}^{\text {miss}} $$\end{document} as an indication of a primary neutrino. The second category of uncertainties is related to the modelling of scattering processes with event generators. In the following, the estimation of experimental and modelling uncertainties is explained in more detail.
Experimental uncertainties
The uncertainty in the integrated luminosity of the combined 2015–2018 data set is 1.7% and is based on a calibration of the luminosity scale using x–y beam-separation scans [21]. The luminosity uncertainty was applied to the signal and background event yields except for the multijet background, which was estimated in a data-driven way. Scale factors were applied to simulated events to correct for reconstruction, identification, isolation and trigger performance differences between data and detector simulation for electrons and muons. These scale factors, as well as the lepton momentum scale and resolution, were assessed using Z→ℓ+ℓ-\documentclass[12pt]{minimal}
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\begin{document}$$Z\rightarrow \ell ^+\ell ^-$$\end{document} events in simulation and data [71, 72]. Their systematic uncertainties were propagated to the expected event yields and discriminant distributions used in the maximum-likelihood fit.
The jet energy scale (JES) was calibrated using a combination of test-beam data, simulation and in situ techniques [77]. Its uncertainty is decomposed into a set of 30 uncorrelated components, of which 29 are non-zero in a given event depending on the type of simulation used. Sources of uncertainty contributing to the JES uncertainties include pile-up modelling, jet flavour composition, single-particle response and effects of jets not fully contained within the calorimeter. The uncertainty of the jet energy resolution (JER) is represented by eight components accounting for jet-pT\documentclass[12pt]{minimal}
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\begin{document}$$\eta $$\end{document}-dependent differences between simulation and data [86]. The uncertainty in the efficiency to pass the JVT requirement for pile-up suppression was also considered [78].
The uncertainties in the b-tagging calibration were determined for b-jets [80], broken down into 45 orthogonal components. The uncertainties depend on the pT\documentclass[12pt]{minimal}
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\begin{document}$$p_{\text {T}}$$\end{document} of the b-jets and were propagated through the analysis as weights. Since b-jets were identified with very high purity, the misidentification rate of c-jets and light-flavour jets was very low and a dedicated calibration was not performed. Only the W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets background has a small component of misidentified c-jets and light-flavour jets. For other backgrounds and for the signal processes these components are negligible. Since the rate of the W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets background was determined directly from the final maximum-likelihood fit, there was no need for an overall rate uncertainty on the W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets background. Instead a dedicated shape uncertainty was assigned to the modelling of the contamination by c-jets and light-flavour jets. More details are given in the next section on modelling uncertainties.
The uncertainty in ETmiss\documentclass[12pt]{minimal}
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\begin{document}$$E_{\text {T}}^{\text {miss}}$$\end{document} due to a possible miscalibration of its soft-track component was derived from data–simulation comparisons of the pT\documentclass[12pt]{minimal}
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\begin{document}$$E_{\text {T}}^{\text {miss}}$$\end{document} components [82]. To account for pile-up distribution differences between simulation and data, the pile-up profile in the simulation was corrected to match the one in data. The uncertainty associated with the correction factor was applied.
Modelling uncertainties
Uncertainties in the theoretical cross-sections were evaluated for the SM top-quark processes (tq, tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}\,$$\end{document}) as quoted in Sect. 3.2. The single largest background, W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets production, was allowed to float in the likelihood fit and thus a cross-section uncertainty was not applied. A symmetric uncertainty of ±20\documentclass[12pt]{minimal}
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\begin{document}$$Z+$$\end{document}jets production cross-section by evaluating the effect of seven variations of μr\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {f} $$\end{document} in the matrix-element computation [87]. In this estimate, which is meant to account for missing higher-order corrections, the scales were independently varied by factors of 0.5 and 2.0, avoiding the variations with ratios of four between the two scales. The biggest impact on the cross-sections was found for a correlated variation of μr\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {f} $$\end{document}. The same uncertainty of ±20\documentclass[12pt]{minimal}
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\begin{document}$$\pm 20$$\end{document}% was assigned to diboson production. The uncertainty in the event yield of the multijet background is 30%.
Uncertainties in modelling parton showers and hadronisation were assigned to the FCNC signal and the SM top-quark production processes (tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}$$\end{document} production) by comparing the nominal samples with alternative samples for which METOP and Powheg Boxwere interfaced to Herwig7.0.4 instead of Pythia 8.235 or Pythia 8.230, respectively. When generating parton showers the MMHT2014lo [88] PDF set was used as well as the H7-UE-MMHT [40] set of tuned parameters. The uncertainties were defined independently for each scattering process, namely the FCNC signal process and the four SM top-quark production processes. In addition, normalisation and shape effects were decorrelated as well.
Uncertainties related to the choice of renormalisation and factorisation scales for the matrix-element calculations were evaluated by varying the scales in a correlated way by factors of 2 and 0.5, separately for each process. In the case of the FCNC signal processes, dedicated samples of simulated events were generated with varied scales. For the SM top-quark production processes and for W+\,jets\documentclass[12pt]{minimal}
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\begin{document}$$W\text {+\,jets}$$\end{document} production, the scale variations were implemented as generator weights in the nominal sample. These weights were propagated through the entire analysis.
The uncertainty due to the choice of a scale for matching the matrix-element calculation of the tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document} process to the parton shower was estimated using an additional tt¯\documentclass[12pt]{minimal}
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\begin{document}$$3\times m_t$$\end{document}, while keeping all other generator settings the same as for the nominal sample of tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document} events. The uncertainty due to the choice of matrix-element-to-parton-shower matching scale used in the generation of the FCNC signal samples was evaluated by comparisons with alternative samples produced with a matching scale of 15GeV\documentclass[12pt]{minimal}
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\begin{document}$$10\,\text {GeV}$$\end{document} scale used for the nominal sample. The uncertainty related to the specific algorithm for matching the NLO-matrix-element computation to parton showers was evaluated for the SM top-quark production processes (tq, tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}\,$$\end{document}) by comparing samples generated by Powheg Boxwith samples generated by MadGraph5_aMC@NLO [89]. Both set-ups used Pythia for the parton-shower computation. The effects of this matching-algorithm uncertainty on the shape of the NN discriminants and on the event yields were decorrelated in the maximum-likelihood fit.
Uncertainties in the amount of initial-state and final-state radiation were assessed for the FCNC signal processes and the SM top-quark production processes by varying the parameter Var3c of the A14 parton-shower tune within the uncertainties of the tune and, for final-state radiation, by varying the renormalisation scale μr\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {r} $$\end{document}, at which the strong coupling constant αs\documentclass[12pt]{minimal}
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\begin{document}$$\alpha _\mathrm {s}$$\end{document} was evaluated, by factors of 0.5 and 2.0. The two variations, the one of Var3c and the one of μr\documentclass[12pt]{minimal}
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\begin{document}$$\mu _\mathrm {r} $$\end{document}, were handled independently. The uncertainty due to the scheme for removing the overlap of the tW process with tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{t}\,$$\end{document} production was evaluated by comparing the nominal sample, using the diagram-removal scheme, with a sample produced with an alternative scheme (diagram subtraction) [50]. In all uncertainty evaluations mentioned above the alternative samples or reweighted samples were normalised to the total cross-section of the nominal samples.
Uncertainties due to PDFs were evaluated for the tq process and the combined tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}\,$$\end{document} process using the PDF4LHC15 combined PDF set [90] with 30 symmetric eigenvectors. Samples of simulated events were reweighted to the central value and the eigenvectors of the combined PDF set. Systematically varied templates were constructed by taking the differences between the samples reweighted to the central value and those reweighted to the eigenvectors. In the likelihood fit the PDF uncertainties were treated as correlated between the tq process and the combined tt¯\documentclass[12pt]{minimal}
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\begin{document}$$t\bar{b}\,$$\end{document} process. The uncertainty in the average number of interactions per bunch crossing was accounted for by varying accordingly the scale factors applied to weight the simulated events in order to obtain the pile-up distribution observed in collision data.
The uncertainty in the multijet background was evaluated by modifying the respective selection criteria for the jet-lepton and the non-prompt-muon candidate. For each lepton type, two alternative selections were defined by varying the requirements on the energy fraction measured in the electromagnetic calorimeter in the case of the jet-lepton and by varying the isolation criteria for the muon candidates. The variations leading to the larger deviations from the nominal set-up were chosen when defining uncertainties in the shape of the NN discriminant distribution for the multijet background.
With a fraction of 92% the W+b-jets component dominates the W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets background. Since the number of simulated events with jets of different flavour, c-jets or light-flavour jets, was very limited, the W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets template was based on the W+b-jets component only. The expected event yield was scaled such that the events with jets of different flavour were also considered. To account for small shape differences between the NN-discriminant distributions for W+b-jets, W+c-jets and W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets template histograms were created by adding to the nominal W+b-jets component the W+c-jets and W+\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}light-flavour jets contributions with three times the expected rate. The resulting shape differences were applied in a symmetric way in the maximum-likelihood fit, which constrained the input uncertainties to a level of 80% for W+c-jets in both searches (ugt and cgt) and 40% (70%) for W+\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document} discriminants have very similar features.
The uncertainties due to the finite number of simulated events, also called the MC statistical uncertainty, was accounted for by adding a nuisance parameter for each bin of the NN discriminant distributions separately for each scattering process, implementing the Barlow–Beeston approach [91].
Results
The observed distributions of the NN discriminants were subjected to a binned maximum-likelihood fit, probing for a potential FCNC signal. Two analyses were performed, searching separately for the ugt and cgt FCNC processes. The likelihood function L\documentclass[12pt]{minimal}
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\begin{document}$$\mu (Wj)$$\end{document}, was treated as a free multiplicative factor as well. In the ugt analysis, in contrast to the cgt analysis, the rates of the W++\documentclass[12pt]{minimal}
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\begin{document}$$W^-+$$\end{document}jets processes were determined separately in a simultaneous fit using two independent normalisation parameters.
Systematically varied discriminant distributions were smoothed and nuisance parameters of systematic uncertainties with negligible impact were entirely removed in order to reduce spurious effects in minimisation, improve convergence of the fit, and reduce the computing time. Normalisation and shape effects of a source of systematic uncertainty were treated separately in the pruning process.
Single-sided systematic variations were turned into symmetric variations by taking the full difference in event yield and shape between the nominal model and the alternative model and mirroring this difference in the opposite direction. For sources with two variations, their effects were made symmetric by using the average deviation from the nominal prediction.
Results of the profile likelihood fit
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\begin{document}$$|\Delta \mu _j|$$\end{document} in descending order.
The five leading systematic uncertainties in the ugt fit are due to the MC statistical uncertainty in the highest bin of the NN discriminant D2\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets process, and the normalisation component of the uncertainty in the matrix-element-matching algorithm of the tq process. Out of these leading uncertainties, the three non-MC-statistical uncertainties were constrained in the fit to the range of 80% to 90% of their original value. The five leading systematic uncertainties in the cgt fit are due to the modelling of the parton shower of the FCNC cgt process, the shape component of the parton-shower uncertainty of the tq process, the uncertainty in the resolution of the soft-track term of the ETmiss\documentclass[12pt]{minimal}
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\begin{document}$$E_{\text {T}}^{\text {miss}} $$\end{document} computation, the shape component of the uncertainty in the matrix-element-matching algorithm of the tq process, and the MC statistical uncertainty in the highest bin of the NN discriminant D1\documentclass[12pt]{minimal}
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\begin{document}$$W+$$\end{document}jets process. Out of these leading uncertainties of the cgt analysis, the fit constrained the three non-MC-statistical uncertainties to the range of 65% to 90% of their original value.
Table 3 provides the expected, the observed, and the fitted event yields in the SR.
Expected pre-fit and post-fit event yields along with the observed event yield in the SR. The quoted uncertainties include the statistical and systematic uncertainties of the event yields. Correlations, including anticorrelations, among the nuisance parameters related to the uncertainties were taken into account as determined in the maximum-likelihood fit
The results of the ugt and cgt analyses differ slightly, but agree well within uncertainties. The event yields after the fit account for pulls of the nuisance parameters. The fitted discriminant distributions are shown in Figs. 6 and 7 for the ugt and cgt analyses, respectively.
The NN discriminants D1\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document} of the ugt search are shown with the post-fit normalisation applied to the stacked histograms of the different hard-scattering processes. The histograms in a and b show the full discriminant range in the negatively charged lepton channel and the positively charged lepton channel, respectively. The histograms c and d show a zoomed-in view of the high discriminant region between 0.7 and 1.0. The hatched bands represent the post-fit uncertainty of the total event yield in each bin. Correlations among uncertainties were taken into account as determined in the fit. The fitted signal contribution is included but is barely visible because its relative size is very small
The NN discriminant D1\documentclass[12pt]{minimal}
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\begin{document}$$D_1$$\end{document} of the cgt search is shown with the post-fit normalisation applied to the stacked histograms of the different hard-scattering processes. The histogram in a shows the full discriminant range. The histogram b shows a zoomed-in view of the high discriminant region between 0.7 and 1.0. The hatched bands represent the post-fit uncertainty of the total event yield in each bin. Correlations among uncertainties were taken into account as determined in the fit
The observed discriminant distributions are very well described by the fitted model and they are compatible with the background-only hypothesis.
Upper limits on cross-sections, EFT coefficients and branching ratios
Since the observed NN-discriminant distributions were found to be compatible with the background-only hypothesis, upper limits were set on the cross-sections of the ugt and the cgt processes at the 95% confidence level (CL). The limits were computed by applying the CLs\documentclass[12pt]{minimal}
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\begin{document}$$\hbox {CL}_\text {s}$$\end{document} method [93, 94] as implemented in the RooFit package [95] to the test statisticq~μ=-2lnLμ,θ→^^(μ)L0,θ→^^(0)ifμ^<0,-2lnLμ,θ→^^(μ)Lμ^,θ→^if0≤μ^≤μ,0ifμ^>μ.\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned} \tilde{q}_{\mu } = \left\{ \begin{array}{l@{\quad }l} -2 \ln \left( \frac{\mathcal {L}\left( \mu , \hat{\hat{\vec {\theta }}}(\mu )\right) }{\mathcal {L}\left( 0, \hat{\hat{\vec {\theta }}}(0)\right) }\right) &{} \mathrm {if}\ \hat{\mu } < 0, \\ -2 \ln \left( \frac{\mathcal {L}\left( \mu , \hat{\hat{\vec {\theta }}}(\mu )\right) }{\mathcal {L}\left( \hat{\mu }, \hat{\vec {\theta }}\right) }\right) &{} \mathrm {if}\ 0 \le \hat{\mu } \le \mu , \\ \ \ 0 &{} \mathrm {if}\ \hat{\mu }>\mu . \end{array} \right. \end{aligned}$$\end{document}In Eq. (2), the symbols μ^\documentclass[12pt]{minimal}
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\begin{document}$$\mu $$\end{document}. The obtained upper limits on the cross-sections times branching ratio areσ(ugt)×B(t→Wb)×B(W→ℓν)<3.0pband\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned} \sigma (ugt)\times \mathcal {B}(t\rightarrow Wb)\times \mathcal {B}(W\rightarrow \ell \nu )< & {} 3.0~\mathrm {pb} \ \ \ \ \mathrm {and} \end{aligned}$$\end{document}σ(cgt)×B(t→Wb)×B(W→ℓν)<4.7pb,\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned} \sigma (cgt)\times \mathcal {B}(t\rightarrow Wb)\times \mathcal {B}(W\rightarrow \ell \nu )< & {} 4.7~\mathrm {pb}, \end{aligned}$$\end{document}with B(W→ℓν)=0.325\documentclass[12pt]{minimal}
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\begin{document}$$\mathcal {B}(W\rightarrow \ell \nu )=0.325$$\end{document} being the sum of branching ratios of all three leptonic decay modes of the W boson. The expected cross-section-times-branching-ratio limits are 2.4 pb and 2.5 pb, respectively. The observed limits are larger than the expected ones because non-zero signal yields are fitted.
The cross-section limits are interpreted within the TopFCNC model [14], which implements an effective operator formalism and is based on the FeynRules 2.0 framework [96] used inside the MadGraph5_aMC@NLOevent generator. With this set-up the cross-sections of the FCNC processes under consideration were calculated at NLO in QCD, providing a significant improvement on LO calculations, since NLO corrections for this class of processes were found to be between 30% and 80% [14].4 In the TopFCNC model, the two operators OuGut\documentclass[12pt]{minimal}
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\begin{document}$$\mathcal {O}_{uG}^{\,ct}$$\end{document} generate the ugt and cgt processes, and the coupling strengths of the corresponding vertices are given by the two coefficients CuGut\documentclass[12pt]{minimal}
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\begin{document}$$\Lambda $$\end{document}. The total cross-sections are found to be related to the EFT coefficients byσ(u+g→t)=2773×CuGutΛ22pbTeV4and\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned} \sigma (u+g\rightarrow t)= & {} 2773\times \left( \frac{{C}_{uG}^{\,ut}}{\Lambda ^2}\right) ^2\mathrm {pb\,\text {TeV}^{4}}\ \ \ \mathrm {and} \end{aligned}$$\end{document}σ(c+g→t)=719×CuGctΛ22pbTeV4.\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned} \sigma (c+g\rightarrow t)= & {} 719\times \left( \frac{{C}_{uG}^{\,ct}}{\Lambda ^2}\right) ^2\mathrm {pb\,\text {TeV}^{4}}. \end{aligned}$$\end{document}Using Eqs. (5) and (6) the cross-section limits of Eqs. (3) and (4) become limits on the EFT coefficients:|CuGut|Λ2<0.057TeV-2and|CuGct|Λ2<0.14TeV-2atthe95%CL.\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned}&\frac{|{C}_{uG}^{\,ut} |}{\Lambda ^2}< 0.057\,\text {TeV}^{-2} \ \ \ \ \mathrm {and}\nonumber \\&\frac{|{C}_{uG}^{\,ct} |}{\Lambda ^2} < 0.14\,\text {TeV}^{-2} \ \ \ \ \mathrm {at~the~95\%~CL.} \end{aligned}$$\end{document}Since the u-quark is a valence quark of the proton, it carries on average a much larger momentum fraction than the c-quark, and thus the cross-section of the ugt process is much larger than the cross-section of the cgt process, when considering the same value of the corresponding coefficient (CuGut=CuGct\documentclass[12pt]{minimal}
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\begin{document}$${C}_{uG}^{\,ut} = {C}_{uG}^{\,ct} $$\end{document}). For a certain experimental sensitivity, the sensitivity to CuGut\documentclass[12pt]{minimal}
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\begin{document}$${C}_{uG}^{\,ut}$$\end{document} is therefore higher than to CuGct\documentclass[12pt]{minimal}
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\begin{document}$${C}_{uG}^{\,ct}$$\end{document}. However, in the two-Higgs-doublet models mentioned in Sect. 1 the predicted FCNC couplings to charm quarks are much higher than to up quarks. For this reason, the limits on CuGct\documentclass[12pt]{minimal}
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\begin{document}$${C}_{uG}^{\,ct}$$\end{document} have phenomenological relevance even though they are weaker than the limits on CuGut\documentclass[12pt]{minimal}
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\begin{document}$${C}_{uG}^{\,ut}$$\end{document}. The limits presented in Eq. (7) tighten constraints set by the CMS Collaboration using dilepton events recorded in Run 2 of the LHC [97] by more than a factor of three. The CMS analysis searched for tW production cross-section via FCNC.
Impact of systematic uncertainties on the expected upper limits on the branching ratios of the FCNC decay modes B(t→u+g)\documentclass[12pt]{minimal}
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\begin{document}$$\mathcal {B}(t\rightarrow c+g)$$\end{document}. Four scenarios are considered: (1) include only data statistical uncertainties, (2) include the experimental systematic uncertainties in addition, (3) include all systematic uncertainties except for the MC statistical uncertainties and (4) include all uncertainties
An alternative and very accessible way of comparing the upper limits on the EFT coefficient with previous results uses the branching ratios of FCNC top-quark decays: B(t→u+g)\documentclass[12pt]{minimal}
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\begin{document}$$\mathcal {B}(t\rightarrow c+g)$$\end{document}. These branching ratios are given as a function of the EFT coefficients by the relationB(t→q+g)=0.0186×CuGqtΛ22TeV4,\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned} \mathcal {B}(t\rightarrow q+g)=0.0186 \times \left( \frac{{C}_{uG}^{\,qt}}{\Lambda ^2}\right) ^2\text {TeV}^4, \end{aligned}$$\end{document}with q=u,c\documentclass[12pt]{minimal}
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\begin{document}$$\Gamma _t=1.32~\text {GeV}$$\end{document}. The resulting upper limits at the 95% CL areB(t→u+g)<0.61×10-4andB(t→c+g)<3.7×10-4.\documentclass[12pt]{minimal}
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\begin{document}$$8\,\text {TeV}$$\end{document} [12]. The bound on the cgt mode is comparable to that of the CMS analysis combining 7 and 8 TeV\documentclass[12pt]{minimal}
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\begin{document}$$\text {TeV}$$\end{document} data [11], while the bound on the ugt mode is significantly weaker than the CMS one.
Comparison of expected upper limits
For assessing the sensitivity of this analysis and comparing it with the sensitivity of other results, and for evaluating the impact of different groups of systematic uncertainties, the computation of expected upper limits is more suitable than using the observed results, since biases caused by statistical fluctuations are avoided and the signal contribution is set to zero. The expected limits were derived by using the expected distributions of the NN discriminants, considering background processes only. The initially predicted rate of the W+\documentclass[12pt]{minimal}
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\begin{document}$$D_1$$\end{document} discriminant and 0.0 to 0.55 for the D2\documentclass[12pt]{minimal}
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\begin{document}$$D_2$$\end{document} discriminant. The resulting expected upper limits in terms of branching ratios areB95exp(t→u+g)=0.49×10-4andB95exp(t→c+g)=2.0×10-4.\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned}&\mathcal {B}_{95}^\mathrm {exp}(t\rightarrow u+g)= {0.49 \times 10^{-4}} \ \ \ \ \mathrm {and} \nonumber \\&\mathcal {B}_{95}^\mathrm {exp}(t\rightarrow c+g)= {2.0 \times 10^{-4}}. \end{aligned}$$\end{document}Compared to the ATLAS analysis at 8 TeV\documentclass[12pt]{minimal}
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\begin{document}$$\text {TeV}$$\end{document} centre-of-mass energy, significant improvements in sensitivity are obtained for both the ugt and cgt analyses. However, the improvements in sensitivity are smaller than expected from a simple scaling of the number of expected events with the increase in integrated luminosity and the increase in signal cross-sections. The main reason for this effect is that the cross-sections of the top-quark background processes rise faster with the centre-of-mass energy than the cross-sections of the FCNC signal processes.
The expected upper limits are lower than the observed upper limits in Eq. (8), since non-zero, yet insignificant, signals are observed, while the expected limits are obtained from expected distributions without any signal events included. The effect is larger for the cgt analysis than for the ugt analysis because the fitted signal event yield is more than three times larger in the cgt case, as seen in Table 3.
In order to quantify the impact of different groups of systematic uncertainties, expected upper limits were computed for different scenarios: (1) include only data statistical uncertainties, (2) include the experimental systematic uncertainties in addition, (3) include all systematic uncertainties except for the MC statistical uncertainties and (4) include all uncertainties. The last case leads to the limits quoted in Eq. (9). The results of this study are reported in Table 4 and clearly demonstrate how large the impact of systematic uncertainties is. Both the experimental and modelling uncertainties are relevant. MC statistical uncertainties increase the expected upper limits by approximately 20% in the ugt case and by about 10% for the cgt process.
Conclusions
A search for the production of a single top quark via left-handed FCNC interactions of a top quark, a gluon and an up or charm quark was performed. The analysis used the full LHC Run 2 proton–proton collision data set recorded with the ATLAS detector at a centre-of-mass energy of 13TeV\documentclass[12pt]{minimal}
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\begin{document}$$13\, \text {TeV}$$\end{document}, corresponding to an integrated luminosity of 139 fb-1\documentclass[12pt]{minimal}
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\begin{document}$$W{+}c$$\end{document}-jets and W+light-flavour jets considerably. Neural networks were used to separate signal events from background events, and a binned maximum-likelihood fit to the neural-network discriminants was performed to search for a contribution from the u+g→t\documentclass[12pt]{minimal}
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\begin{document}$$c+g\rightarrow t$$\end{document} processes. The observed distributions were found to be compatible with the background-only hypothesis and therefore upper limits on the production cross-sections times branching ratios were derived, leading toσ(ugt)×B(t→Wb)×B(W→ℓν)<3.0pbandσ(cgt)×B(t→Wb)×B(W→ℓν)<4.7pb.\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned} \sigma (ugt)\times \mathcal {B}(t\rightarrow Wb)\times \mathcal {B}(W\rightarrow \ell \nu )< & {} 3.0~\mathrm {pb} \ \ \ \ \mathrm {and} \\ \sigma (cgt)\times \mathcal {B}(t\rightarrow Wb)\times \mathcal {B}(W\rightarrow \ell \nu )< & {} 4.7~\mathrm {pb}. \end{aligned}$$\end{document}The cross-section limits were interpreted in the framework of an effective field theory, yielding limits on the coefficients of the operators producing the FCNC processes under investigation: |CuGut|/Λ2<0.057TeV-2\documentclass[12pt]{minimal}
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\begin{document}$$|{C}_{uG}^{\,ut} |/\Lambda ^2 < 0.057\,\text {TeV}^{-2}$$\end{document} and |CuGct|/Λ2<0.14TeV-2\documentclass[12pt]{minimal}
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\begin{document}$$|{C}_{uG}^{\,ct} |/\Lambda ^2 < 0.14\,\text {TeV}^{-2}$$\end{document} at the 95% confidence level. These limits are also expressed in terms of branching ratios of corresponding FCNC top-quark decays, resulting inB(t→u+g)<0.61×10-4andB(t→c+g)<3.7×10-4.\documentclass[12pt]{minimal}
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\begin{document}$$\begin{aligned}&\mathcal {B}(t\rightarrow u+g)< {0.61 \times 10^{-4}} \ \ \ \ \mathrm {and} \ \ \ \ \mathcal {B}(t\rightarrow c+g)\\&< {3.7 \times 10^{-4}}. \end{aligned}$$\end{document}The new bounds improve on previous ATLAS results obtained at a centre-of-mass energy of 8TeV\documentclass[12pt]{minimal}
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\begin{document}$$8\,\text {TeV}$$\end{document} by approximately a factor of two.
Acknowledgements
We thank CERN for the very successful operation of the LHC, as well as the support staff from our institutions without whom ATLAS could not be operated efficiently. We acknowledge the support of ANPCyT, Argentina; YerPhI, Armenia; ARC, Australia; BMWFW and FWF, Austria; ANAS, Azerbaijan; SSTC, Belarus; CNPq and FAPESP, Brazil; NSERC, NRC and CFI, Canada; CERN; ANID, Chile; CAS, MOST and NSFC, China; Minciencias, Colombia; MSMT CR, MPO CR and VSC CR, Czech Republic; DNRF and DNSRC, Denmark; IN2P3-CNRS and CEA-DRF/IRFU, France; SRNSFG, Georgia; BMBF, HGF and MPG, Germany; GSRI, Greece; RGC and Hong Kong SAR, China; ISF and Benoziyo Center, Israel; INFN, Italy; MEXT and JSPS, Japan; CNRST, Morocco; NWO, Netherlands; RCN, Norway; MEiN, Poland; FCT, Portugal; MNE/IFA, Romania; JINR; MES of Russia and NRC KI, Russian Federation; MESTD, Serbia; MSSR, Slovakia; ARRS and MIZŠ, Slovenia; DSI/NRF, South Africa; MICINN, Spain; SRC and Wallenberg Foundation, Sweden; SERI, SNSF and Cantons of Bern and Geneva, Switzerland; MOST, Taiwan; TAEK, Turkey; STFC, United Kingdom; DOE and NSF, United States of America. In addition, individual groups and members have received support from BCKDF, CANARIE, Compute Canada and CRC, Canada; COST, ERC, ERDF, Horizon 2020 and Marie Skłodowska-Curie Actions, European Union; Investissements d’Avenir Labex, Investissements d’Avenir Idex and ANR, France; DFG and AvH Foundation, Germany; Herakleitos, Thales and Aristeia programmes co-financed by EU-ESF and the Greek NSRF, Greece; BSF-NSF and GIF, Israel; Norwegian Financial Mechanism 2014-2021, Norway; NCN and NAWA, Poland; La Caixa Banking Foundation, CERCA Programme Generalitat de Catalunya and PROMETEO and GenT Programmes Generalitat Valenciana, Spain; Göran Gustafssons Stiftelse, Sweden; The Royal Society and Leverhulme Trust, United Kingdom. The crucial computing support from all WLCG partners is acknowledged gratefully, in particular from CERN, the ATLAS Tier-1 facilities at TRIUMF (Canada), NDGF (Denmark, Norway, Sweden), CC-IN2P3 (France), KIT/GridKA (Germany), INFN-CNAF (Italy), NL-T1 (Netherlands), PIC (Spain), ASGC (Taiwan), RAL (UK) and BNL (USA), the Tier-2 facilities worldwide and large non-WLCG resource providers. Major contributors of computing resources are listed in Ref. [99].
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\begin{document}$$\sqrt{s} = 8 TeV$$\end{document} with the ATLAS Detector. ATLAS-CONF-2014-058 (2014). https://cds.cern.ch/record/1951336M. Feindt, A neural Bayesian estimator for conditional probability densities (2004). arXiv:physics/0402093FeindtMKerzelUThe NeuroBayes neural network package20065591902006NIMPA.559..190F10.1016/j.nima.2005.11.166ATLAS Collaboration, Jet energy measurement with the ATLAS detector in proton-proton collisions at s=7TeV\documentclass[12pt]{minimal}
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ATLAS uses a right-handed coordinate system with its origin at the nominal interaction point (IP) in the centre of the detector and the z\documentclass[12pt]{minimal}
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\begin{document}$$\Delta R \equiv \sqrt{(\Delta \eta )^{2} + (\Delta \phi )^{2}}$$\end{document}.
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The reference cross-sections of the signal processes are σ(u+g→t)×B(t→Wb)×B(W→ℓν)=6.27\documentclass[12pt]{minimal}
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While MadGraph5_aMC@NLOcan be used for a fixed-order calculation at NLO, events for which a matching to a parton-shower program is needed can only be generated at LO in the current implementation.