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# Interaction of an electron gas with photoexcited electron-hole pairs in modulation-doped GaAs and CdTe quantum wells

## Abstract

The nature of the correlated electron gas and its response to photo-injected electron-hole pairs in nominally undoped and modulation-doped multiple quantum-well (MQW) structures was studied by experiment and theory, revealing a new type of optically-active excitation, magnetoplasmons bound to a mobile valence hole. These excitations are blue-shifted from the corresponding transition of the isolated charged magnetoexciton $`X^{}`$. The observed blue-shift of $`X^{}`$ is larger than that of two-electron negative donor $`D^{}`$, in agreement with theoretical predictions.
Keywords: ODR, many-electron effects, trion, semiconductor

Since the initial observation of the negatively charged exciton $`X^{}`$ in CdTe/CdZnTe QWs  there has been considerable interest in charged electron-hole ($`e`$-$`h`$) complexes in quasi-two-dimensional semiconductor systems. $`X^{}`$, the semiconductor analog to the negatively charged hydrogen ion $`H^{}`$ in atomic physics, differs from its superficially similar relative, the negatively charged donor ion $`D^{}`$  in some very important respect: the positive charge in $`X^{}`$, the hole, is free to move around. A symmetry associated with the resulting center-of-mass motion leads to a new electric-dipole selection rule , which prohibits, in particular, certain bound-to-bound $`X^{}`$ transitions  that dominate the absorption spectra of $`D^{}`$. The evolution of the spectra in 2D $`e`$-$`h`$ systems with electron density $`n_e`$ from isolated neutral excitons, via isolated $`X^{}`$, to a plasma consisting of many electrons and a few holes, and the effects of magnetic fields on this evolution have been the subject of many studies. Magneto-photoluminescence (PL) spectra of such systems show bandgap-renormalized Landau-level (LL)-to-LL transitions at high filling factors (FF) $`\nu =2\pi l_B^2n_e`$, $`l_B=(\mathrm{}c/eB)^{1/2}`$ and a discontinuity in the slope of the PL energy vs. field for the $`N=0`$ LL transition at $`\nu =2`$. For $`\nu <2`$ the dominant PL is depressed below the extrapolated $`N=0`$ LL transition and has an “exciton-like” field dependence (see, e.g.,  and references therein). Internal transitions of excitons (IETs) can yield important insight into the ground and excited states of excitons  and thus offer another method of probing the excitonic state in the dilute situation and its evolution with $`n_e`$ and magnetic field. In this study we have used the internal transitions of negatively charged excitons $`X^{}`$  and the effects of many-electrons on these spectroscopic signatures to probe the many-body state of the system.

Three GaAs/Al0.3Ga0.7As MQW samples (samples 1, 2, and 3) and one CdTe/Cd0.7Mg0.3Te MQW sample (sample 4) were studied. The structures of these samples are \[(well/barrier–thickness in Å)$`\times `$repetitions\]: sample 1 – (200/600)$`\times `$20; sample 2 – (240/480)$`\times `$20, modulation-doped at 8.0$`\times `$1010cm-2; sample 3 – (240/240)$`\times `$10, modulation-doped at 3.2$`\times `$1011cm-2; and sample 4 – (80/330)$`\times `$10, modulation-doped at 3.5$`\times `$1011cm-2. The dopant in the GaAs (CdTe) samples was silicon (iodine). These structures were studied by photoluminescence (PL) and optically detected resonance (ODR) spectroscopy  at low (4.2K) temperatures in magnetic fields up to 15 Tesla. The range of doping densities chosen for this experiment puts the magnetic field corresponding to FF $`\nu =2`$ well within the range of the superconducting magnet used in this study. The observed resonances were studied at several discrete far-infrared (FIR) laser photon energies ranging from 2.87 meV to 17.6 meV.

Figure 1 shows magneto-photoluminescence (MPL) data for sample 3. Overlaying the contour plot are datapoints indicating peak positins that were obtained by peak-fitting the individual MPL spectra. The solid lines indicating LL-to-LL recombination are guides to the eye. After peak-fitting the MPL data, an ODR spectrum was obtained by recording the intensity changes (induced by the absorption of FIR radiation) of the main PL feature (indicated by the upright triangles) as a function of magnetic field. Figure 2a shows ODR spectra for sample 2 for several FIR laser photon energies as indicated in the graph. The magnetic field corresponding to FF $`\nu =2`$, 1.66 Tesla, is indicated by the arrow at the bottom axis. The sharp feature present in all traces and marked by the upward pointing arrowhead is identified as the electron cyclotron resonance ($`e`$-CR) transition with energy $`\mathrm{}\omega _{\mathrm{ce}}`$. Note that no feature is observed in any scan at a higher magnetic field than that of $`e`$-CR, in agreement with the selection rule , prohibiting bound-to-bound IETs of $`X^{}`$. Two other features are observed in the ODR spectra recorded for high FIR photon energies. These features, which are blue-shifted from those observed in the undoped GaAs sample, are attributed to bands of ionizing singlet- (circles) and triplet-like (crosses) internal transitions of $`X^{}`$ . The resonant fields for both singlet- and triplet-like $`X^{}`$ transitions occur above the field corresponding to $`\nu =2`$. At lower FIR photon energies, the triplet feature remains strong, but the singlet feature weakens and is not observable at 6.73 meV (the predicted field position corresponds to $`\nu >2`$). For the heavily doped sample 3 these features become generally weaker and are further blue-shifted. In the modulation-doped CdTe-based MQW (Fig. 2b), only a triplet-like band below $`e`$-CR was observed for FF $`\nu <2`$. The field position of this feature is also blue-shifted with respect to the position in a nominally undoped sample.

Theoretically, we consider intraband excitations from the ground state of a 2D system “the hole embedded in a sea of electrons” in strong magnetic fields with integer fillings of electron LL’s $`\nu =1,2`$. In the presence of a compensating background, intraband collective excitations from the ground state can be described to be resonances involving a correlated $`e`$-$`h`$ final state consisting of the conduction band electron in the empty $`N=1`$ LL, $`e_{1\mathrm{c}\mathrm{b}}`$, a conduction band hole in an otherwise filled $`N=0`$ LL, $`h_{0\mathrm{c}\mathrm{b}}`$, and a mobile valence band hole in the $`N=0`$ LL, $`h_{0\mathrm{v}\mathrm{b}}`$. Therefore, the final state can be considered to be a positively charged $`2h`$-$`e`$ complex, which closely resembles the positively charged trion $`X^+`$. The peculiarity of the present situation is the strong exchange interaction between the particles $`e_{1\mathrm{c}\mathrm{b}}`$ and $`h_{0\mathrm{c}\mathrm{b}}`$. In the absence of the valence band hole, such a collective excitation is a 2D magnetoplasmon  Magnetoplasmons, like charge-neutral excitations, can be characterized by the conserved center-of-mass momentum $`𝐊=(K_x,K_y)`$. When $`|𝐊|`$ ranges from zero to infinity, the magnetoplasmon dispersion $`E(𝐊)`$ forms a band of finite width $`E_0/2`$, where $`E_0=\sqrt{\pi /2}e^2/ϵl_B`$. An eigenstate of the magnetoplasmon with a fixed K is characterized by the finite relative motion (a bound $`e_{1\mathrm{c}\mathrm{b}}`$-$`h_{0\mathrm{c}\mathrm{b}}`$ pair) and by the extended motion of the center-of-mass. In the presence of the valence band hole, the classification of states changes drastically: the three-particle state $`X^+`$ is charged and cannot be characterized by the conserved center-of-mass momentum $`𝐊`$. Instead, charged complexes in $`𝐁`$ can be characterized  by two exact quantum numbers — the total angular momentum projection $`M_z`$ and the oscillator quantum number $`k`$. The latter physically determines the center-of-rotation of the charged complex as a whole in the plane perpendicular to $`𝐁`$; correspondingly, there is Landau degeneracy in $`k`$. The relative motions of three particles can be either finite (on average, all particles are at finite distances from each other) or infinite. In the latter case the states belong to the three-particle continuum, which is formed by two partly overlapping bands: one band is formed by the magnetoplasmon (the bound $`e_{1\mathrm{c}\mathrm{b}}`$-$`h_{0\mathrm{c}\mathrm{b}}`$ pair) plus a valence band hole $`h_{0\mathrm{v}\mathrm{b}}`$ in a scattering state. The second band is formed by the states of an interband magnetoexciton $`X_{10}`$ (a bound $`e_{1\mathrm{c}\mathrm{b}}`$-$`h_{0\mathrm{v}\mathrm{b}}`$ pair) plus a conduction-band hole $`h_{0\mathrm{c}\mathrm{b}}`$ in the scattering state. When all relative motions are finite, a truly bound $`X^+`$-like state is formed; such states lie outside the continuum. There also exists a third possibility: quasi-bound states — the three-particle $`2h`$-$`e`$ resonances — may exist in the continuum. Depending on the width of the resonances and on the coupling to the continuum, such states may resemble bound $`X^+`$ states and may exhibit sharp peaks or Fano-resonances in optical measurements.

We performed calculations of the eigenspectra of the three-particle $`2h`$-$`e`$ excitations and matrix elements of intraband optical transitions $`h_{0\mathrm{v}\mathrm{b}}+\mathrm{𝑝ℎ𝑜𝑡𝑜𝑛}2h`$-$`e`$ following the method that has been described elsewhere . In this paper, we describe the spectra of transitions that have energies larger than the $`e`$-CR energy $`\mathrm{}\omega _{\mathrm{ce}}`$. For electron FF $`\nu =1`$, there exists one rather sharp, optically active $`2h`$-$`e`$ resonance that lies within the continuum. For FF $`\nu =2`$, due to the enhanced exchange-correlation effects, this state shifts upward in energy, moves out of the continuum, and becomes a truly bound $`2h`$-$`e`$ state. Simultaneously, it loses oscillator strength. Physically, for both $`\nu =1`$ and $`\nu =2`$, the optically active state describes a magnetoplasmon bound to the mobile valence band hole $`h_{0\mathrm{v}\mathrm{b}}`$. The corresponding energies of collective excitations are larger than the energy of the internal triplet $`X^{}`$ transition (see inset to Fig. 3). The latter transition corresponds to the vanishing FF $`\nu =0`$. Therefore, the $`X^{}`$ transitions are blue-shifted in the presence of excess electrons. The calculated blue shifts of the $`X^{}`$ triplet at $`\nu =1`$ and $`\nu =2`$ are 0.28$`E_0`$ and 0.49$`E_0`$, correspondingly.

This behavior resembles the blue shift of the two-electron negative donor center $`D^{}`$ in the presence of excess electrons , which is understood in terms of magnetoplasmons localized on fixed donor ions $`D^+`$ . The qualitative difference for a mobile valence hole is the presence of an additional dynamical symmetry, magnetic translations, and the corresponding exact optical selection rule . Quantitatively, the blue shifts of the $`X^{}`$ and $`D^{}`$ are comparable. In agreement with experiment, the predicted blue shift of the $`X^{}`$ is larger than that of the $`D^{}`$ (Fig. 3). This can be explained by the diminished negative contribution of the Coulomb $`e`$-$`h`$ attraction to the energy of the final $`2h`$-$`e`$ state containing a mobile valence band hole.

In conclusion, we have theoretically shown that in a photo-excited, quasi-2D system, in the presence of an electron gas, there exists a new type of optically active excitation, a magnetoplasmon bound to a mobile valence hole, and we have obtained experimental evidence for this transition in ODR experiments. This excitation, depending on the electron filling factor $`\nu `$, lies either within or above the band of free neutral magnetoplasmons and is blue shifted from the corresponding transition of the isolated charged magnetoexciton $`X^{}`$. Theoretical results provide a qualitative explanation of the experimental findings, the blue shift of internal $`X^{}`$ transitions for fillings factors $`\nu <2`$, in terms of a collective many-body excitation of the system.

We thank W. Schaff, T. Wojtowicz, and G. Karczewski for the excellent MBE growth of the GaAs and CdTe samples used in this study. This work was supported in part by the NSF grant DMR 9722625 and by the COBASE grant R175.


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# Improved DØ W Boson Mass Determination

## I Introduction

Measurements of the $`W`$ boson mass are of fundamental interest since they help constrain the Standard Model and the Higgs boson mass. Recent measurements of the $`W`$ boson mass have been made by DØ  and CDF  at the Tevatron and by the LEP experiments . Previous measurements by DØ have relied on $`We\nu `$ events in which the electron was detected in the central calorimeter or the forward calorimeters. The central calorimeter is divided azimuthally into 32 modules . Electrons incident close to the azimuthal module boundaries were found to have a reduced response and degraded energy resolution. These “edge” electrons were excluded from our $`W`$ and $`Z`$ boson data samples in previous measurements. In this paper, we report a new measurement of the $`W`$ boson mass using these edge electrons. We rely on $`Zee`$ events in which at least one electron is detected in the edge region to calibrate the response of the calorimeter. $`Zee`$ events in which only one electron is incident at a central calorimeter module boundary are also used to additionally constrain the elecromagnetic calorimeter enegry scale for non-edge electrons, thereby improving our previous measurements based on non-edge electrons.

## II Event Selection and Detector Calibration

Direct measurement of the $`W`$ boson mass $`m_W`$ at DØ is performed using $`We\nu `$ events from $`p\overline{p}`$ collisions at a center-of-mass energy of 1.8 TeV. A detailed description of the method used to measure $`m_W`$ is given in Ref. . Events are selected by requiring the presence of an isolated electron with high transverse momentum ($`p_T`$) and large missing transverse energy ($`E\text{/}_T`$). The $`W`$ boson mass is extracted by fitting Monte Carlo templates to the observed kinematic distributions. Maximum likelihood fits are made to the transverse mass $`m_T=\sqrt{2p_T^ep_T^\nu (1\mathrm{cos}\varphi _{e\nu })}`$, electron transverse momentum $`p_T^e`$, and neutrino transverse momentum $`p_T^\nu `$. Here, $`\varphi _{e\nu }`$ is the azimuthal angle between the electron and neutrino. The three $`W`$ boson mass measurements are combined taking into account correlations to obtain the final result. A Monte Carlo simulation is used to provide the expected lineshapes of the distributions as a function of $`m_W`$. The Monte Carlo contains all resolution effects and backgrounds as determined from data.

The $`W`$ boson sample for this measurement is selected requiring $`E\text{/}_T>25`$ GeV and a high-quality isolated electron in the central calorimeter (CC) with $`p_T^e>25`$ GeV and $`\mathrm{\Delta }\varphi <0.1\times 2\pi /32=0.02`$ radians, where $`\mathrm{\Delta }\varphi `$ is the angle between the electron direction and the closest CC module boundary. The electron direction is calculated from the center-of-gravity of the track in the central drift chamber and the event vertex position. Electrons satisfying these criteria are referred to as “$`\stackrel{~}{\mathrm{C}}`$ electrons”, while non-edge electrons which have $`\mathrm{\Delta }\varphi >0.02`$ radians are called “C electrons”. The number of candidate edge-electron $`W`$ events selected by applying the above criteria was $`\mathrm{3\hspace{0.17em}853}`$. For comparison, our previous central calorimeter measurement using the 1994-95 data set was based on $`\mathrm{28\hspace{0.17em}323}`$ candidates.

We also select $`Zee`$ candidates requiring two isolated electrons with $`p_T^e>25`$ GeV with dielectron invariant mass $`60\mathrm{G}eV<m_{ee}<120`$ GeV. Events are required to have one electron in the edge region. The second electron may also be in the edge region ($`\stackrel{~}{\mathrm{C}}`$-$`\stackrel{~}{\mathrm{C}}`$ events), or it may be in the non-edege region ($`\stackrel{~}{\mathrm{C}}`$-C events), or in one of the end calorimeters ($`\stackrel{~}{\mathrm{C}}`$-E events). The numbers of $`Z`$ candidates selected are 470 $`\stackrel{~}{\mathrm{C}}`$-C events, 47 $`\stackrel{~}{\mathrm{C}}`$-$`\stackrel{~}{\mathrm{C}}`$events, and 154 $`\stackrel{~}{\mathrm{C}}`$-E events. Backgrounds to the edge electron $`W`$ and $`Z`$ samples are determined using the same methods used in our previous analyses.

The calorimeter response to edge electrons is illustrated in Fig. 1, which compares the reconstructed dielectron invariant mass distributions of $`\stackrel{~}{\mathrm{C}}`$-C and C-C events. Above the $`Z`$ peak, the distributions are consistent with one another, but at low $`m_{ee}`$ there is an excess of events in the edge sample indicating that a fraction of the edge electrons have a lower electromagnetic response in the calorimeter.

The difference between the distributions is well described by a single Gaussian function. This suggests that the electromagnetic calorimeter response for edge-electrons can be described by the sum of two Gaussians, one with the same mean and width as for non-edge electrons and the second with a reduced response and degraded energy resolution. This is consistent with expectations, since the high voltage electrodes are set back near the module edge, thus reducing the electric field in that region and giving lower response. There is no evidence for increased energy deposit in the backing hadron calorimeter module that would occur if particles were passing within a crack between EM modules. We assume that a fraction $`f_{\mathrm{e}dge}`$ of the edge electrons has a reduced response and degraded energy resolution, while the remaining edge electrons have the same response and energy resolution as non-edge electrons. Thus, for the fraction $`f_{\mathrm{e}dge}`$ of edge electrons, the calorimeter response is parameterized by

$`E^{\mathrm{m}eas}=\alpha _{\mathrm{e}dge}E_e^{\mathrm{t}rue}+\delta `$
The offset $`\delta `$ was found to be consistent with the offset previously used in the parameterization of non-edge electrons, while the scale $`\alpha _{\mathrm{e}dge}`$ must be separately determined for the edge electrons. The energy resolution is parameterized by:

$`\left({\displaystyle \frac{\sigma _E}{E}}\right)^2=(c_{\mathrm{e}dge})^2+\left({\displaystyle \frac{s}{\sqrt{E}}}\right)^2+\left({\displaystyle \frac{n}{E}}\right)^2`$
where the sampling term $`s`$ and noise term $`n`$ are the same as for non-edge electrons. The parameters $`f_{\mathrm{e}dge}`$, $`\alpha _{\mathrm{e}dge}`$, and $`c_{\mathrm{e}dge}`$ are determined by fitting the invariant mass distribution of $`\stackrel{~}{\mathrm{C}}`$-C events to two Gaussians, assuming a $`Z`$ boson mass equal to the measured LEP value. This fit gives

$`f_{\mathrm{e}dge}`$ $`=`$ $`0.346\pm 0.076`$
$`\alpha _{\mathrm{e}dge}`$ $`=`$ $`0.912\pm 0.018`$
$`c_{\mathrm{e}dge}`$ $`=`$ $`0.101_{0.018}^{+0.028}.`$
Figure 2 shows a fit to the dielectron invariant mass distribution using the sum of two Gaussians, one with the edge parameters determined above and the other with the parameters for non-edge electrons previously determined from C-C events. The parameterization gives a good description of the observed data.

## III Results

The results of the fits to the transverse mass and electron and neutrino transverse momentum distributions are shown in Fig. 3.

The results are:

$`m_W`$ $`=`$ $`80.596\pm 0.234(stat)GeV,\chi ^2=45/29(m_T\mathrm{f}it)`$
$`m_W`$ $`=`$ $`80.733\pm 0.263(stat)GeV,\chi ^2=38/39(p_T^e\mathrm{f}it)`$
$`m_W`$ $`=`$ $`80.511\pm 0.311(stat)GeV,\chi ^2=45/39(p_T^\nu \mathrm{f}it)`$
The errors are statistical only. The systematic errors are listed in Table I. Combining these measurements taking into account systematic errors and their correlations gives the final result for the edge electron $`W`$ mass:

$`m_W`$ $`=`$ $`80.574\pm 0.405\mathrm{G}eV`$
The $`\stackrel{~}{\mathrm{C}}`$-C $`Zee`$ data sample provides a means to additionally constrain the central calorimeter scale $`\alpha _{CC}`$ and resolution constant term $`c_{CC}`$ for non-edge electrons. Fitting to the observed $`m_{ee}`$ distribution yields $`\alpha _{CC}=0.9552\pm 0.0023`$. The $`\stackrel{~}{\mathrm{C}}`$-E events can also be used to fit for $`\alpha _{CC}`$ and $`\alpha _{EC}`$ yielding $`\alpha _{CC}=0.9559\pm 0.0107`$ and $`\alpha _{EC}=0.9539\pm 0.0085`$. These values are consistent with the results obtained in our earlier analyses of non-edge and EC events and can be combined with them taking into account the correlations to improve the energy scale uncertainty, and hence the uncertainty on the $`W`$ boson mass measurement.

## IV Combined W mass results

To obtain the final result for the $`W`$ boson mass, we combine the following measurements:

* The Run 1a $`W`$ mass measurement from a fit to $`m_T`$
* The three Run 1b central calorimeter measurements from fits to $`m_T`$, $`p_T^e`$, and $`p_T^\nu `$
* The three Run 1b end calorimeter measurements from fits to $`m_T`$, $`p_T^e`$, and $`p_T^\nu `$
* The three edge electron measurements from fits to $`m_T`$, $`p_T^e`$, and $`p_T^\nu `$

The measurements in (ii) and (iii) include the improvement due to the additional constraints on the EM calorimeter energy scale from edge events as discussed above.

The final combined result is

$`m_W=80.483\pm 0.084\mathrm{G}eV`$
This represents an improved error of 7 MeV over our previously published result ($`80.482\pm 0.091`$ GeV ). A major part of the improved uncertainty is due to the use of the $`\stackrel{~}{\mathrm{C}}`$-C events to constrain the EM calorimeter energy scale for non-edge electrons.

## V Conclusion

We have improved the uncertainty in the DØ measurement of the $`W`$ boson mass, using $`We\nu `$ and $`Zee`$ events in which electrons are detected in the edge region at the boundary between modules of the central calorimeter. The new result is $`m_W=80.483\pm 0.084`$ GeV.

## Acknowledgements

We thank the staffs at Fermilab and collaborating institutions, and acknowledge support from the Department of Energy and National Science Foundation (USA), Commissariat à L’Energie Atomique and CNRS/Institut National de Physique Nucléaire et de Physique des Particules (France), Ministry for Science and Technology and Ministry for Atomic Energy (Russia), CAPES and CNPq (Brazil), Departments of Atomic Energy and Science and Education (India), Colciencias (Colombia), CONACyT (Mexico), Ministry of Education and KOSEF (Korea), CONICET and UBACyT (Argentina), The Foundation for Fundamental Research on Matter (The Netherlands), PPARC (United Kingdom), Ministry of Education (Czech Republic), and the A.P. Sloan Foundation.


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# Bulge Globular Clusters in Spiral Galaxies

## 1 Introduction

Globular clusters (GCs) in our Galaxy can be broadly divided into two classes on the basis of their metallicity and/or kinematics (e.g. Zinn 1985). The metal-poor, non-rotating subpopulation has long been associated with the Galaxy halo. The metal-rich GC system reveals significant rotation and has historically been associated with the disk. Following early suggestions by Harris (1976), a view is now emerging that metal-rich GCs within $``$ 5 kpc of the Milky Way galactic center are associated with the bulge rather than the disk (Frenk & White 1982; Minniti 1995; Cote 1999). Specifically, the central metal-rich GCs are spherically distributed about the galaxy center and overlap in metallicity with the bulge field stars. In terms of kinematics, the GCs have a similar velocity dispersion and reveal solid body rotation matching that of the bulge stars. Beyond $``$ 5 kpc the metal-rich GCs have properties consistent with the thick disk component. The GCs also appear to be coeval with the bulge stars (Ortolani et al. 1995). Cote et al. (2000) has sucessfully modelled the Galactic GC system based on hierarchical build-up around a protobulge and its metal-rich GCs.

Here we extend this view of ‘bulge GCs’ to other spiral galaxies. In particular, we suggest that the inner metal-rich GCs in M31, M81 and M104 spiral galaxies are associated with their bulges. We further suggest that the red (metal-rich) GC subpopulations in giant ellipticals are their analogs, in agreement with the view advocated by Cote et al. (2000). Thus the bulges of spirals, S0s and the entire stellar component of ellipticals (which we collectively refer to as the ‘bulge’) may all have associated metal-rich GCs. We briefly discuss the implications for GC and galaxy formation.

## 2 Bulge Globular Cluster Kinematics

### 2.1 M31

The Andromeda galaxy (M31; Sb) reveals a bimodal GC metallicity distribution with the metal-rich GCs preferrentially close to the galaxy center (e.g. Huchra, Kent & Brodie 1991). Based on their kinematics, Huchra et al. concluded that interior to $``$2 kpc the metal-rich GCs were rapidly rotating. Recently Perrett et al. (2001) have obtained velocities for over 200 GCs in the M31 system. They find a velocity dispersion of 146 $`\pm `$ 12 km/s. This is consistent with the central stellar velocity dispersion of 150 km/s (van den Bergh 1999). Furthermore the metal-rich GCs reveal solid-body-like rotation within 5 kpc with an amplitude similar to that of the stellar rotation curve which is dominated by the bulge at these small radii (e.g. Rubin & Ford 1970). They also find that the metal-rich GC system is spherically distributed about the galaxy center. Thus, the inner metal-rich GCs in M31 reveal the same features that have lead previous workers to associate equivalent GCs in our Galaxy with the bulge.

### 2.2 M81

The GC system of M81 (Sa/Sb) is less well studied than M31 but both photometric (Perelmuter & Racine 1995) and kinematic studies (Perelmuter, Brodie & Huchra 1995; Schroder et al. 2001) have noted similarities to the Milky Way’s GC system. Schroder et al. (2001) give the kinematics for the metal-rich GCs within 2 kpc of the galaxy center from Keck spectra. They derive a velocity dispersion of 152 $`\pm `$ 36 km/s and rotation velocity of 96 $`\pm `$ 56 km/s. Measurements of the stellar central velocity dispersion vary from 150 to 180 km/s with a median value of 167 km/s. The stellar rotation curve for M81 peaks at around 0.5 kpc radius with a value of $``$110 km/s (Heraudeau & Simien 1998). The stellar values are slightly higher than those inferred for the GC system, but are well within the errors. Although the evidence is less strong, the inner metal-rich GCs of M81 have kinematic properties that are consistent with the bulge.

## 3 Globular Cluster Metallicities

Individual metallicities are now available for over 250 GCs in M31 (Barmby et al. 2000). For M81, the photometry of Perelmuter & Racine (1995) was insufficient to clearly differentiate the metal-poor and metal-rich subpopulations but they did note that the inner GC sample was dominated by red (metal-rich) objects. Perhaps the best photometrically-studied GC system in a spiral galaxy beyond the Local Group is that of the Sombrero galaxy (M104; Sa). The recent HST imaging study of Larsen, Forbes & Brodie (2001) showed that the GC system has two distinct subpopulations. After Galactic extinction correction and color transformation using Kissler–Patig et al. (1998), we show in Fig. 1 the metallicity distribution of GCs in M104 compared to that of M31, the Milky Way and M33 (data from Forbes et al. 2000). If we consider a cut at say \[Fe/H\] = –1, then it is clear that the ratio of metal-rich to metal-poor GCs is significantly higher in M104 than the other spirals. Since M104 has a tiny disk and a dominant bulge it is tempting to associate the metal-rich GCs with the bulge rather than the disk component (see also Section 4). If the samples are restricted to the GCs to within 5 kpc of the galaxy center then the situation is even more pronounced.

M33 (Sc) at the opposite extreme has very few GCs with \[Fe/H\] $`>`$ –1. Its ‘bulge’ has a luminosity of MV $``$ –15 (Bothun 1992). Local Group dwarf galaxies of this luminosity, typically have less than half a dozen GCs. Thus if the M33 bulge is analogous to a small galaxy few associated GCs are expected. We note that the LMC (another bulgeless galaxy) also lacks metal-rich GCs. For M31 (Sb) and the Milky Way (Sbc) the number of metal-rich GCs (relative to metal-poor ones) is intermediate between M104 (Sa) and M33 (Sc). We note that Kissler-Patig et al. (1997) associate the red GCs in the S0 galaxy NGC 1380 with that galaxy’s bulge. It seems likely that the relative number of metal-rich GCs is related to the host galaxy Hubble type and hence the relative importance of a galaxy’s bulge.

How are the metal-rich and metal-poor subpopulations in spiral galaxies related to those seen in early type galaxies ? Historically, one difference between the GC metallicity distributions in spirals and ellipticals were thought to be the mean metallicity of the two peaks. M104, M31 and the Milky Way all have GC subpopulations with mean metallicities of \[Fe/H\] $``$ –1.5 and –0.5 (see Fig. 1) while ellipticals were thought to have GC mean values of \[Fe/H\] $``$ –1.0 and 0.0 (Harris 1991). Recently, two developments have caused us to reassess the mean GC metallicity in ellipticals towards lower metallicities. The first effect is the use of more accurate transformations from optical colors to \[Fe/H\]. For example, the new transformation of Kissler–Patig et al. (1998) converts a typical V–I = 1.05 to \[Fe/H\] = –1.07, where the old Galactic–based transformation would give \[Fe/H\] $``$ –0.5 (Couture et al. 1990). The second effect is that the more accurate Galactic extinction values of Schlegel et al. (1998) tend to be larger on average by up to AV $``$ 0.1, than the traditionally-used Burstein & Heiles (1984) values. Thus extinction-corrected GC colors are now bluer than before, and more metal-poor when transformed. If these two effects are taken into account, the two GC subpopulations in ellipticals have mean metallicities of \[Fe/H\] $``$ –1.5 and –0.5 which is similar to those in spirals. To first order there appears to be very little difference between the mean metallicity of the two subpopulations in late and early-type galaxies.

When GC metallicities are examined in still more detail, it is found that the mean GC color (metallicity) correlates with galaxy velocity dispersion for early-type galaxies (Forbes & Forte 2001; Larsen et al. 2001). Do the bulge GCs of spirals follow the same relation as early-type galaxies ?

We have collected a sample of 37 early-type galaxies from the literature with bimodal GC color distributions. The mean color of the metal-rich subpopulation has been corrected to a common V–I color (Forbes & Forte 2001) and corrected for extinction using Schlegel et al. (1998). To this sample we add M104, M31 and the Milky Way GC systems (the combined sample data are available at http://astronomy.swin.edu.au/staff/dforbes/glob.html). The V–I color of the M31 and Milky Way metal-rich GCs have been calculated using the transformations of Barmby et al. (2000). Central velocity dispersions come from Gebhardt et al. (2000) and Kent (1992). The uncertainty in the mean color is rarely quoted in the original works. We have decided to adopt relatively conservative error estimates (i.e $`\pm `$ 0.03m for HST data with definite bimodality, $`\pm `$ 0.05 for probable bimodality and $`\pm `$ 0.08 for ground-based data to reflect the higher photometric errors and contamination rates). They may be smaller than we assume since the scatter in the data points is generally less than the errors. This means that we will tend to underestimate the significance of any slope compared to the error on the slope from a least-squares fit.

The data are shown in Fig. 2. For the early-type galaxies, the Spearman rank correlation indicates that the red GCs are correlated with galaxy velocity dispersion with a probability of 99.9%. A least squares fit gives a positive slope (similar to that found by Forbes & Forte (2001) and Larsen et al. (2001) for smaller samples) at the 4$`\sigma `$ level. The mean colors of the metal-rich GC subpopulations in the three spirals are also plotted in Fig. 2. The red GCs in spirals are consistent with the metallicity – velocity dispersion relation for early-type galaxies.

If we use only the high quality sample (i.e. HST data with definite bimodality) then the Spearman test gives 99.5% and a slope of 4$`\sigma `$. An unweighted fit to the high quality sample gives a similar slope, with slightly increased significance of 5$`\sigma `$.

## 4 Bulge Specific Frequency

Traditionally GC specific frequency SN refers to the total number of GCs per galaxy luminosity, normalised to MV = –15. Harris (1981) was the first to compare total GC numbers in spirals with the the luminosity of the bulge component. Recently, Cote et al. (2000) pointed out that SN defined in this manner was indistinguishable for spirals and ellipticals in similar environments. Here we focus on the metal-rich/red Gcs in spirals/ellipticals, compared to the bulge luminosity (we assume that ellipticals are bulge dominated systems). We refer to this as the bulge SN.

The total number of GCs and the number of metal-rich GCs are given by Larsen, Forbes & Brodie (2000) for M104, and in the compilation of Forbes et al. (2000) for M31 and the Milky Way. These numbers and the host galaxy magnitudes discussed below are summarized in Table 1. From the galaxy total magnitudes, we calculate the bulge and disk magnitudes using the following method. The bulge-to-total (B/T) luminosity for M104 has been given by Kent (1988) as 0.85 and by Baggett et al. (1998) as 0.73. Here we use 0.8. For M31 (Sb) and the MW (Sbc) we use the B/T variations with Hubble type of Simien & de Vaucouleurs (1986), i.e. B/T = 0.25 and B/T = 0.19 respectively with a dispersion of about $`\pm `$0.05 within a given Hubble type. For the disk contribution we assume that the halo light is negligible and hence all of the remaining light comes from the disk.

In Section 2 we argued, mostly from the kinematic data, that the bulk of metal-rich GCs in spirals are not associated with the disk but rather the bulge component. Further support for this idea comes from examining the number of metal-rich GCs per unit starlight. The GC system of M104 provides a key data point. For M104 the total number of red GCs and the disk magnitude combine to give a disk SN of 4.4$`\pm `$5.2 Assuming that the disks in M31 and the Milky Way have similar stellar populations (i.e. M/L), the disk SN of M104 is about 20 times that of these other spirals. This large variation in disk SN suggests that that the bulk of metal-rich GCs in spirals are not in fact disk objects.

From the bulge magnitudes and number of metal-rich GCs given above, we derive bulge SN values of 1.1$`\pm `$0.8 (M104), 0.6$`\pm `$0.3 (M31) and 0.8$`\pm `$0.9 (MW). Unlike the disk SN values, bulge SN values are fairly consistent between the three spirals.

In the case of the Milky Way only GCs within $``$ 5 kpc show bulge characteristics while those further out have been associated with the thick disk (Minniti 1995; Cote 1999). In terms of the bulge effective radius, 5 kpc is 2 Reff (van den Bergh 1999). The bulge effective radii for M104 and M31 are 8 kpc (Bender, Burstein & Faber 1992) and 2.5 kpc (van den Bergh 1999) respectively. If the metal-rich GC samples in M104 and M31 are restricted to within 2 Reff, then we estimate about 378 metal-rich GCs in M104 (from Larsen, Forbes & Brodie 2001) and 61 in M31 (from Barmby et al. 2000). The Milky Way has about 35 known metal-rich GCs within 2 Reff. Thus the bulge SN values within 2 Reff are 0.6$`\pm `$0.5, 0.4$`\pm `$0.2 and 0.6$`\pm `$0.6 for M104, M31 and the Milky Way respectively. Within the errors, the bulge SN values for M104, M31 and the Milky Way are consistent. So although the three spirals span a range of Hubble types from Sa to Sbc, the bulge SN appears to be nearly constant for spiral galaxies.

In each case, there is a tendency to miss some metal-rich GCs as they are harder to detect near galaxy centers. For example, about a dozen GCs are thought to be hidden from our view in the Milky Way (van den Bergh 1999). Recently the 2MASS survey has detected two more metal-rich bulge GCs (Hurt et al. 2000). Barmby et al. (2000) give photometry for about 2/3 of the total GC population in M31 which has an estimated total population of 400 $`\pm `$ 55. Again many of the missing GCs will be associated with the bulge. The derived bulge SN values may be underestimated by up to 30%.

How do the bulge SN values for spirals compare to ellipticals ? Field ellipticals have total SN values of 1–3 (Harris 1991). The fraction of red GCs in ellipticals is typically about half (e.g. Forbes, Brodie & Grillmair 1997). For example, wide area studies of the field/group ellipticals NGC 1052 and NGC 1700 found red fractions and total SN values of 0.50, 1.7 and 0.56, 1.3 respectively (Forbes, Georgakakis & Brodie 2001; Brown et al. 2000). This implies that field ellipticals typically have bulge SN values of 0.5–1.5. Thus field ellipticals have similar bulge SN values to field spirals. This provides further support for our claim that the metal-rich GCs in spirals and those in ellipticals have the same origin, i.e. they formed along with the bulge stars. We note that cluster ellipticals may have similar SN values when the mass of hot gas is taken into account (McLaughlin 1999). Little is known about the GC systems of cluster spirals.

## 5 Concluding Remarks

From globular cluster (GC) kinematic information we have argued that the inner, metal-rich GCs in the nearby spirals M31 and M81 have a bulge origin. On the basis of GC numbers and specific frequency, we showed that the metal-rich GCs in the Sa spiral M104 are most likely associated with the dominant bulge rather than the small disk component. The derived bulge specific frequency for the GCs in M104, M31 and the Milky Way are consistent with a constant value of $``$1. This is similar to the value for field ellipticals (when only the metal-rich GCs are considered) but is less than that for cluster ellipticals. The metallicity distributions of GCs in late and early-type galaxies are similar to first order, and obey the same correlation of mean GC metallicity with host galaxy velocity dispsersion. This relation, indicates a common chemical enrichment history for the metal-rich GCs and the host galaxy (Forbes & Forte 2001).

We conclude that the majority of the metal-rich GCs in spirals are associated with the galaxy bulge, and that these GCs are the analogs of the red (metal-rich) GCs in giant ellipticals. Thus GC systems provide another example of the similarity between ellipticals and spiral bulges (e.g. Wyse, Gilmore & Franx 1997). By extension this would suggest that bulges and ellipticals formed by a similar mechanism. In the case of the Milky Way bulge, van den Bergh (1996) concluded that it was formed by a rapid but clumpy collapse.

In the multi–phase collapse model for GC formation proposed by Forbes, Brodie & Grillmair (1997) the ‘bulge’ of a giant elliptical galaxy occurred in the second or galactic phase. The red GCs formed during this phase. In that paper, we associated the metal-rich GCs of spirals with disks and speculated that they were a third phase of GC formation. It now seems likely that the bulk of metal-rich GCs in spirals were formed along with the bulge stars and it is these that are directly analogous to red GCs in giant ellipticals.

## 6 Acknowledgments

We thank M. Beasley, J. Huchra and L. Schroder for their comments. We also thank the referee, P. Cote, for suggesting several improvements to the paper. Part of this research was funded by the Ian Potter Foundation and NSF grant AST 9900732.


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# Galaxy threshing and the formation of ultra-compact dwarf galaxies

## 1 Introduction

Strong constraints on theoretical models of galaxy formation and evolution have been provided by observational studies of the physical properties of low-luminous and low surface-brightness dwarf spheroidal and irregular galaxies in the field and in clusters (e.g., Ferguson & Binggeli 1994; Mateo 1998). In detail, these studies have addressed such observables as the scaling relation (Kormendy 1977; Ferguson & Binggeli 1994), the luminosity function (Binggeli, Sandage, & Tammann 1985; Sandage, Binggeli, & Tammann 1985), the presence of nuclear structures (Binggeli & Cameron 1991), and rotation-curve profiles (Moore 1994). A new type of sub-luminous and extremely compact “dwarf galaxy” has been recently discovered in an ‘all-object’ spectroscopic survey centred on the Fornax Cluster (Drinkwater et al. 2000a, b). These have been already identified as bright compact objects (Hilker et al. 1999) and very luminous globular clusters around cD galaxies (Harris, Pritchet, & McClure 1995). These “dwarf galaxies”, which are members of the Fornax Cluster, have intrinsic sizes of $``$ 100 pc and absolute $`B`$ band magnitude ranging from $`13`$ to $`11`$ mag and are thus called “ultra-compact dwarf” (UCD) galaxies. The luminosities of UCDs are intermediate between those of globular clusters and small dwarf galaxies and are similar to those of the bright end of the luminosity function of the nuclei of nucleated dwarf ellipticals. These UCDs are observed to be within 30 arcminutes of the central dominant galaxy in Fornax, NGC 1399, and are distributed at larger radii than this galaxy’s globular cluster system.

The purpose of this Letter is to suggest one possible origin for these newly discovered enigmatic UCDs. We adopt here the scenario that UCDs are the stripped nuclei of dwarf galaxies and thereby investigate numerically how nucleated dwarf spheroidal galaxies evolve dynamically under the strong tidal field of NGC 1399. A growing number of evidences supporting this scenario have been accumulating for the case of $`\omega `$Cen and M54 (e.g., Majewski et al. 1999; Layden & Sarajedini 2000; van den Bergh 2000). We here demonstrate: (1) how a UCD is formed when a nucleated dwarf galaxy is subjected to the strong tidal field of a massive galaxy such as NGC 1399, and (2) in what physical conditions this process of nucleated dwarf galaxy $``$ UCD formation can take place. The importance of the tidal field of more massive galaxies in forming globular clusters (and even objects that are an order of magnitude brighter than globular clusters) from nucleated dwarf galaxies has already been discussed by several authors (e.g., Zinnecker et al. 1988; Freeman 1993; Bassino et al. 1994). Extraction of $`only`$ galactic nuclei from less massive galaxies by the tidal effects of more massive ones is suggested to be important in a variety of different contexts, such as the evolution of M32 and the formation of Galactic halo globular clusters (Bekki et al. 2001). We can think of and refer to this tidal effect as “galaxy threshing”.

## 2 Model

We consider a collisionless stellar system with a mass and size similar to that of nucleated dwarf galaxies, orbiting a massive elliptical galaxy (eg., NGC 1399) which is embedded within a massive dark matter halo. To give our model a realistic radial density profile for the NGC 1399 dark matter halo, we base it on both the X-ray observational results of Jones et al. (1997) and the predictions from the standard cold dark matter cosmogony (Navarro, Frenk, & White 1996). The total mass of NGC 1399 within 125 kpc (represented by ME) and the scale length of the halo are assumed to be $`8.1\times 10^{12}\mathrm{M}_{}`$ and 43.5 kpc, respectively. By using two Plummer models (Binney & Tremaine 1987) with rather different scale lengths, we construct a model for nucleated dwarf galaxies as follows: First, we place a smaller spherical stellar system having a Plummer density profile with scale length $`a_\mathrm{n}`$ and mass Mn in the center of a larger spherical system with a Plummer profile of scale length $`a_\mathrm{d}`$ and mass Md ($`a_\mathrm{d}`$ $``$ $`a_\mathrm{n}`$ and Md $``$ Mn). Second, in order to get the model to reach a new dynamical equilibrium, we run the simulation of the dynamical evolution in the nested Plummer models for 10 dynamical time scales. Finally, we use the stellar system as the model for a nucleated dwarf galaxy. From now on, the outer (more massive) diffuse stellar component and the inner (less massive) compact one are referred to as the ‘envelope’ and ‘nucleus’, respectively.

The mass (luminosity) and the scale length of a dwarf is modeled according to the observed scaling relation of Ferguson & Binggeli (1994): $`\mathrm{log}r_0[\mathrm{pc}]=0.2M_\mathrm{B}0.3`$ for bright dwarfs ($`M_\mathrm{B}`$ $`<`$ $`16`$) and $`\mathrm{log}r_0[\mathrm{pc}]=0.02M_\mathrm{B}+2.6`$ for faint ones ($`M_\mathrm{B}`$ $``$ $`16`$), where $`r_0`$ and $`M_\mathrm{B}`$ are the scale length of the exponential profile and $`B`$ band absolute magnitude, respectively. By assuming that $`a_\mathrm{d}`$ = $`r_0`$ and $`M/L_\mathrm{B}`$ (the ratio of total stellar mass to total $`B`$ band luminosity) = 1.0 corresponding to the observed value of the dwarf galaxy DDO 154 (Carignan & Beaulieu 1989), we determine $`a_\mathrm{d}`$ from the total mass ($`=M_\mathrm{d}+M_\mathrm{n}`$) of the model. Since the nuclei typically contributes about 2% of the total light of dwarfs (Binggeli & Cameron 1991; Freeman 1993), we assume that $`M_\mathrm{n}/(M_\mathrm{d}+M_\mathrm{n})`$ = 0.02 for all models. Considering the fact that the central light excess with respect to the adopted model profile is observed to vary between nucleated dwarfs (e.g., Binggeli & Cameron 1991; Ferguson & Binggeli 1994), we take the scale length ratio $`a_\mathrm{n}/a_\mathrm{d}`$ of the nested Plummer models to be a free parameter. We investigate nucleated dwarf models in the luminosity range $`18`$ $``$ $`M_\mathrm{B}`$ $``$ $`12`$ and with $`a_\mathrm{n}/a_\mathrm{d}`$ ranging from 0.05 to 0.5.

The orbit of a nucleated dwarf is assumed to be influenced only by the gravitational potential resulting from the dark halo component of NGC 1399. The center of NGC 1399 is always set to be ($`x`$,$`y`$) = (0,0) whereas the initial position and velocity of a dwarf are ($`x`$,$`y`$) = ($`r_{\mathrm{in}}`$,0) and ($`V_\mathrm{x}`$,$`V_\mathrm{y}`$) = (0,$`V_{\mathrm{in}}`$), respectively. By changing these two parameters $`r_{\mathrm{in}}`$ and $`V_{\mathrm{in}}`$, we investigate how the transformation process from dwarfs into UCDs depends on their orbits. Although we have investigated models with a variety of different $`M_\mathrm{d}`$, $`a_\mathrm{d}`$, $`r_{\mathrm{in}}`$, and $`V_{\mathrm{in}}`$ values, we mainly describe here the results of a ‘standard’ model with total mass of Md \+ Mn = 2.0 $`\times `$ $`10^8`$ M, $`a_\mathrm{d}`$ = 7.94 $`\times `$ $`10^2`$ pc, $`a_\mathrm{n}`$ = 79.4 pc, $`r_{\mathrm{in}}`$ = 200 kpc, and $`V_{\mathrm{in}}`$ = 1.29 $`\times `$ $`10^2`$ km $`\mathrm{s}^1`$. Figure 1 shows the orbit with respect to NGC 1399 and the final mass distribution for the simulated dwarf galaxy in the standard model.

In the following, our units of mass, length, and time are 2.0 $`\times `$ $`10^8`$ M (corresponding to Md \+ Mn in the standard model), 7.94 $`\times `$ $`10^2`$ pc ($`a_\mathrm{d}`$), and 2.36 $`\times `$ $`10^7`$ yr (dynamical time scale), respectively. Parameter values and final morphologies for each model are summarized in Table 1. The sixth and the seventh columns give orbital eccentricity ($`e`$) and pericenter distance ($`r_\mathrm{p}`$), respectively, for each model. The eighth column describes the final morphological properties after 160 time units (corresponding to 3.8 Gyr): ‘UCD’ indicates a remnant with the envelope completely stripped yet the nucleus largely unaffected, ‘dE,N’ the case where both the envelope and nucleus survive, and ‘no remnant’ where both components are tidally stripped. All the simulations have been carried out on a GRAPE board (Sugimoto et al. 1990) in which energy and angular momentum are conserved within 1 % accuracy. The total number of particles used for each model and the gravitational softening length adopted for its envelope(nucleus) were 10,000 (5000) and 0.47 (0.06) in our units, respectively.

## 3 Results

As the dwarf approaches the pericenter of its orbit for the first time ($`T`$ = 20), the strong tidal field of NGC 1399 stretches the envelope along the direction of the dwarf’s orbit and consequently tidally strips the stars of the envelope (see Figure 2). Since the envelope loses a significant fraction of its mass after the first passage of the pericenter, the envelope becomes more susceptible to the tidal effects of NGC 1399. As the dwarf again approaches the pericenter ($`T`$ $``$ 50 and 90), the envelope again loses a large number of its stars owing to tidal stripping and consequently becomes less massive and more diffuse. After four passages of the pericenter, the dwarf loses its envelope almost entirely. The central nucleus, on the other hand, is just weakly influenced by the tidal force owing to its compact configuration during the tidal destruction of the envelope. Thanks to its strongly self-gravitating nature, the nucleus loses only a small amount ($``$ 18 %) of mass and thus can keep its compact morphology during its tidal interaction with NGC 1399.

Figure 3 shows that a significant fraction of the envelope of the dwarf is tidally stripped every time it passes through the inner part of NGC 1399 (e.g., 63 % between $`T`$ = 25 and 60). As a result of this, nearly all (98%) of the stars within the dwarf’s envelope \[radius $`<a_\mathrm{d}`$ (=0.8 kpc)\] are removed within four passages of its pericenter (corresponding to 3.8 $`\times `$ $`10^9`$ yr). The temporal increase of the envelope mass within $`a_\mathrm{d}`$ around the apocenter is due to the fact that a significant fraction of stripped stars pass through the surrounds of the dwarf. The ratio of the nuclear mass to the total mass is dramatically changed from 0.08 (0.85) to 0.83 (1.0) for $`R`$ $``$ $`a_\mathrm{d}`$ ($`R`$ $``$ 0.1$`a_\mathrm{d}`$), which implies that the final remnant after “threshing” is nearly fully self-gravitating. Thus a UCD of size $``$ 100 pc and mass $`4.0\times 10^6`$ M (corresponding to $`M_\mathrm{B}`$ = $`12.4`$ mag for M$`/L_\mathrm{B}`$ = 1.0) is formed from the tidal interaction between a nucleated dwarf and NGC 1399. It is clear from Figures 2 and 3 that before the formation of a UCD is completed, a compact nucleus with a considerably diffuse outer envelope is seen (e.g., $`T`$ = 100). This suggests the existence of extremely diffuse nucleated dwarf galaxies, formed in this intermediate stage of the dE,N$``$UCD conversion process. As is shown in Figure 4, the remnant shows a rather compact density distribution because of it being composed mostly of the self-gravitating nucleus at $`T`$ = 160.

Four important parameter dependences in the formation of UCDs were found as follows (see the Table 1): For the model in which the nucleus of the dwarf is not so compact ($`a_\mathrm{n}/a_\mathrm{d}`$ $``$ 0.5; Model 2), both the nuclear and envelope components disintegrate under the influence of the tidal field and, accordingly, no remnant is left. A UCD is not formed in Model 3 with larger values of $`r_{\mathrm{in}}`$ (200 kpc) and $`r_\mathrm{p}`$ (95 kpc), but a smaller ellipticity ($`e=0.35`$), whereas one is in Model 4 with a smaller $`r_{\mathrm{in}}`$ (100 kpc) and a smaller $`e`$ (0.34). This suggests that nucleated dwarfs with either a smaller $`r_\mathrm{p}`$ (or smaller $`e`$) or smaller $`r_{\mathrm{in}}`$, are more likely to be transformed into a UCD and thus UCDs should show a centrally concentrated spatial distribution around NGC 1399. Thirdly, the formation of a UCD seems to have no dependence on the mass of the nucleated dwarf’s envelope, Md, as shown by Models 1, 5-7. Irrespective of the masses of these models with $`e`$ = 0.81 and $`r_\mathrm{p}`$ = 21 kpc, UCDs are formed by “galaxy threshing”. This indicates that UCDs observed to have different masses were previously the nuclei of nucleated dwarfs with different masses. Finally, for the model with a rather small mass for NGC 1399 (Model 8), disintegration of the simulated nucleated dwarf does not occur at all, even if $`r_\mathrm{p}`$ is small. This suggests that UCDs are formed only in the surrounds of massive galaxies.

Several observational properties of nucleated dwarf galaxies (e.g., Freeman 1993) and numerical simulations (Bassino et al. 1994) suggest that globular clusters are the stripped nuclei of dwarf galaxies. We have confirmed the “disintegration scenario” (Bassino et al. 1994) in which UCDs ($`13`$ $``$ $`M_\mathrm{B}`$ $``$ $`11`$ mag), which are more than an order of magnitude brighter than the Galactic globular clusters, were also previously nuclei of more massive dwarf galaxies (Md $``$ $`10^8`$ M) orbiting NGC 1399. Accordingly, it is likely that physical properties of UCDs such as the luminosity-size relation and stellar content are more like those of globular clusters than those of dwarf spheroidal/elliptical galaxies: it might not be correct to call the observed compact objects around NGC 1399 “ dwarf galaxies”. Our numerical simulations with variously different parameters revealed that not all of nucleated dwarfs can be transformed into UCDs by “galaxy threshing” (e.g., for the case of the smaller ratio of the dwarf mass to the giant mass), which suggests that the number ratio of UCDs to nucleated dwarfs is different between different environments.

## 4 Conclusion

The present study provides the following two implications as to the nature of UCDs. First, the stellar populations of UCDs are unlikely to be young even if the precursor nuclei of dwarf galaxies have obviously young populations. This is essentially because more than a few Gyrs, which is enough for young stars to become intermediate-age populations due to aging, are necessary for “galaxy threshing” to transform a nucleated dwarf into an UCD. Second, the UCD luminosity function is not necessarily similar to that of the nuclei of nucleated dwarf galaxies, because “galaxy threshing” is a selective process: extraction of the nucleus depends strongly on the orbits and masses of the dwarfs. Since these physical properties can be directly observed in future observations – not only in the Fornax cluster but also in other nearby clusters such as Coma and Virgo – they will provide a critical test of the viability of the “threshing” scenario for UCD formation.

We are grateful to the anonymous referee for valuable comments, which contribute to improve the present paper.


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# Gigamasers: the key to the dust-obscured star-formation history of the Universe?

## 1 Introduction

The discovery of a distant population of luminous submillimetre (submm) galaxies has revolutionised our understanding of galaxy formation and evolution (Smail et al., 1997; Hughes et al., 1998; Barger et al., 1998; Eales et al., 1999; Carilli et al., 2000). Debate continues regarding the relative importance of obscured and unobscured star formation, the fraction of active galactic nuclei (AGN) in the submm galaxy population and the relationship, if any, between Lyman-break galaxies and submm galaxies (Adelberger & Steidel, 2000; Chapman et al., 2000; Peacock et al., 2000; Eales et al., 2000; Smail et al., 2002); nevertheless, it is clear that rest-frame far-infrared (far-IR) energy that has been reprocessed by dust and redshifted into the waveband accessible to SCUBA (Holland et al., 1999) traces a galaxy population which makes a significant, and possibly dominant, contribution to the star-formation density at $`z>1`$.

It was realised from the outset that the most crucial piece of information required to derive the history of obscured star formation from the submm population is its redshift distribution, $`N(z)`$ (Blain et al., 1999). Knowledge of $`N(z)`$ breaks degeneracies in the models and allows the nature of the galaxies to be explored, most importantly providing estimates of their masses via observations of CO. Initial efforts to target the first few SCUBA galaxies were very successful, resulting in four redshifts from a sample of fifteen weakly lensed galaxies in the Smail et al. (1998) sample (Ivison et al., 1998; Soucail et al., 1999; Ivison et al., 2000, Frayer et al., in prep), three of these have so far been confirmed as massive and gas rich systems through CO line mapping (Frayer et al., 1998, 1999, Kneib et al., in prep).

However, the realisation that the majority of the submm population have no plausible optical counterparts ($`I>26`$, e.g., Smail et al., 2000), has meant that the possibility of a complete optical spectroscopic survey has had to be dismissed (e.g., Barger et al., 1999). Even in the IR, only around half of the galaxies are identified by $`K<22`$, often as extremely red objects (EROs, $`IK>5`$ – Smail et al., 1999; Gear et al., 2000; Ivison et al., 2000), giving little hope to IR spectroscopists either.

As in other branches of extragalactic research, attention has therefore been diverted to broadband photometric redshift techniques. Unfortunately, the classical analysis of optical/IR photometry has been shown to be misleading for even the few visible examples of these very dusty galaxies, due to the complex effects of dust on the optical spectral energy distribution, a problem which is further compounded by the low photometric precision available for these faint galaxies. However, Carilli & Yun (1999) made a significant breakthrough with the realisation that one of the strongest correlations in observational astronomy – between far-IR and radio emission (Condon, 1992) – could be exploited to give an indication of redshift, based on the submm fluxes and sensitive radio detections of the galaxies. Several variants of this technique have been developed (Carilli & Yun, 2000; Barger et al., 2000; Dunne et al., 2000), though, based on comparison against the few submm galaxies with known redshifts, none are demonstrably better than the original. The technique has been used to demonstrate convincingly that the median redshift of submm galaxies must be in the range $`2<z<3.5`$, with no significant low-redshift tail (Smail et al. 2000; cf. Smail et al. 1998; Lilly et al. 1999).

How else can progress be made towards the determination of the $`N(z)`$ for the submm population? Some have proposed that searches for CO rotational lines centred on submm galaxy positions are the way forward (e.g., Hughes, 2000; Blain, 2000). The CO lines are certainly expected to be luminous, but the bandwidth requirements ($`100\text{GHz}`$) of such an approach are several orders of magnitude beyond the capabilities of current instrumentation. Moreover, prior to the advent of ALMA (Brown, 1999), observers will be reliant on current/planned 10–50m mm/submm single-dish facilities. As it has long been known that even interferometric detections of CO (where one benefits from stable baselines) in galaxies with known redshifts are extraordinarily difficult (Frayer et al., 1998); there are obviously substantial technical difficulties to overcome when undertaking redshift-blind, single-dish CO searches. It is clear therefore that we should explore other avenues to measure the redshifts of the submm galaxy population and so understand more about their detailed properties.

In this paper we propose an alternative method for determining the redshifts of submm galaxies, based on the expectation that these dusty, ultraluminous galaxies will exhibit similar behaviour of their H2O and OH maser activity to that observed in luminous IR galaxies in the local Universe. We first discuss the background to this proposal (§2), based on the properties of H2O and OH masers in the local Universe, before investigating, in §3, the feasibility of these observations using current and future instrumentation. Finally, in §4, we state the main conclusions of this study.

## 2 H2O and OH Megamasers

Our proposed technique for determining the $`N(z)`$ of the submm population is based on the expectation that luminous submm galaxies (typically $`10^{12}h_{65}^2\text{L}_{}`$, where $`h_{65}H_0/65\text{km\hspace{0.17em}s}^1\text{Mpc}^1`$) exhibit similar scaling of their H2O and OH maser activity to that observed in luminous IR galaxies in the local Universe. Observations of OH emission in local luminous IR galaxies, primarily due to the 1665-/1667-MHz ground rotational state transitions, indicate a strong $`L_{\mathrm{OH}}L_{\mathrm{FIR}}^2`$ correlation between (isotropic) maser and far-IR luminosities (e.g., Baan, 1989). This relationship has been explained in terms of a model first proposed by Baan (1985), whereby an OH population inversion, efficiently pumped by the far-IR flux, provides unsaturated amplification of the background radio continuum; the Condon (1992) far-IR/radio luminosity correlation then leads to the observed quadratic dependence of $`L_{\mathrm{OH}}`$ on $`L_{\mathrm{FIR}}`$. More recent work by Kandalian (1996) has claimed that the correlation is merely a consequence of Malmquist bias, the true relationship being closer to $`L_{\mathrm{OH}}L_{\mathrm{FIR}}^{1.38}`$, which Diamond et al. (1999) have proposed to result from the admixture of unsaturated and saturated emission.

Regardless of the precise character of any $`L_{\mathrm{OH}}`$/$`L_{\mathrm{FIR}}`$ relationship, however, it is clear (e.g., Baan, 1989; Baan et al., 1992b; Briggs, 1998; Darling & Giovanelli, 2000) that powerful OH masing is relatively common within the ultraluminous IR galaxy (ULIRG) population, with upwards of 50 per cent of those galaxies with $`L_{\mathrm{FIR}}10^{1112}\text{L}_{}`$ supporting megamasers ($`L_{\mathrm{OH}}10\text{L}_{}`$) or gigamasers ($`L_{\mathrm{OH}}10^3\text{L}_{}`$). Based on the assumption that the luminous submm galaxies are the high-redshift counterparts of ULIRGs (Smail et al., 2002), it is therefore quite reasonable to expect strong OH maser emission from a large proportion of the submm population, which, if detectable, will allow the accurate determination of their $`N(z)`$.

Although 22.235-GHz H2O megamasers show somewhat different characteristics to the OH maser systems (e.g., Braatz et al., 1994, 1996), similar arguments may be deployed in favour of their potential as redshift markers for luminous submm galaxies. H2O masers are more typically associated with AGN and are less useful tracers of star formation than their OH counterparts, but a significant number of submm galaxies are known to harbour active nuclei (Ivison et al., 1998, 2000, Frayer et al., in prep). If detected, high-resolution studies may yield information on their black hole masses (Miyoshi et al., 1997), in addition to their redshifts. The bandwidth requirement for detection of H2O masers is only $`9\text{GHz}`$ ($`\nu _{\mathrm{obs}}=2`$–11 GHz for $`z=1`$–10), similar to the bandwith planned for the new Very Large Array (VLA) correlator. In the case of OH masers this requirement drops below $`1\text{GHz}`$ ($`\nu _{\mathrm{obs}}=165`$–835 MHz for $`z=1`$–10). Since there is no significant submm galaxy population at $`z<1`$ (Smail et al., 2000), the technique avoids contamination by H i emission from local galaxies (Briggs, 1998) and we can thus search a relatively clean part of the electromagnetic spectrum using existing interferometers with superb instrumentation, high aperture efficiencies and large collecting areas (e.g. VLA, Westerbork Synthesis Radio Telescope – WSRT, Australia Telescope Compact Array – ATCA).

Inevitably, the difficulties with this new technique will lie in its stringent sensitivity and dynamic-range requirements, as well as radio-frequency interference in the 165–835-MHz (UHF) band (see, e.g., http://www.atnf.csiro.au/SKA/intmit). In the following section, we estimate the sensitivity requirements by extrapolating from previous observations of H2O/OH megamasers and gigamasers in luminous IR galaxies.

## 3 Sensitivity requirements

Although the strength of extragalactic maser sources is often reported in terms of the integrated line flux, we prefer to conduct our estimations using the peak line flux density as it is this quantity which determines whether a source is detectable with a given instrument. For a maser at redshift $`z`$, emitting with a peak rest-frame isotropic luminosity density of $`L_\nu ^{}`$, the observed flux density $`S_\nu `$ at a frequency $`\nu \nu ^{}/(1+z)`$ will be given by

$$S_\nu =(1+z)\frac{L_\nu ^{}}{4\pi D_L^2(z)},$$
(1)
where $`D_L(z)`$ is the luminosity distance (Hogg, 1999). The $`(1+z)`$ factor in this expression accounts for the linewidth narrowing due to the redshift, and partially offsets the quadratic drop-off in $`S_\nu `$ with distance.

In Fig. 1, we plot a contour map of $`\mathrm{log}_{10}S_\nu `$ as a function of $`z`$ and $`L_\nu ^{}`$, where we have adopted $`h_{65}=1`$, $`\mathrm{\Omega }_m=0.3`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$ for the evaluation of $`D_L(z)`$. Overplotted in the diagram are the loci of a selection of the H2O and OH maser sources observed in luminous IR galaxies (see caption for references). Evidently, the H2O sources appear clustered at lower redshifts ($`z0.3`$) and lower luminosity densities ($`L_\nu ^{}5\times 10^{29}\text{W}\text{MHz}^1`$); the OH masers tend to be found at higher redshifts and luminosities. Whether this distribution is intrinsic or due to selection effects remains unclear, as does the apparent correlation between $`z`$ and $`L_\nu ^{}`$, although this is most likely a manifestation of Malmquist bias.

The three OH sources in the diagram with largest $`L_\nu ^{}`$, correspond to IRAS 20100$``$4156 ($`L_\nu ^{}9.0\times 10^{30}\text{W}\text{MHz}^1`$), IRAS 12032+0707 ($`L_\nu ^{}2.1\times 10^{30}\text{W}\text{MHz}^1`$) and IRAS 14070+0525 ($`L_\nu ^{}2.0\times 10^{30}\text{W}\text{MHz}^1`$). The latter, discovered by Baan et al. (1992a), is the most luminous gigamaser system currently known (inferred $`L_{\mathrm{OH}}1.05\times 10^4\text{L}_{}`$); however, this energy is distributed over a velocity width of $`2,400\text{km\hspace{0.17em}s}^1`$, which explains why IRAS 14070+0525 exhibits a smaller $`L_\nu ^{}`$ than the less luminous yet narrower-lined gigamasers in IRAS 12032+0707 (Darling & Giovanelli, 2001) and IRAS 20100$``$4156 (Stavely-Smith et al., 1989). If these three sources were at redshift $`z3`$ (a typical value anticipated for the submm galaxies) and left otherwise unchanged, the observed flux densities would be $`S_\nu 0.089\text{mJy}`$, $`S_\nu 0.093\text{mJy}`$ and $`S_\nu 0.40\text{mJy}`$, respectively. The paucity of points in Fig. 1 with $`S_\nu <1\text{mJy}`$ illustrates that the detection of such faint sources is probably beyond the capabilities of current technology.

However, the OH sources shown in Fig. 1 are all embedded in IRAS-selected ULIRGs, and hence constitute a far-IR flux-limited sample, with a redshift cutoff at $`z0.4`$ (Clements, Saunders & McMahon, 1999). The population (e.g., Rowan-Robinson, 2000) of hyperluminous IR galaxies (HLIRGs), with $`L_{\mathrm{FIR}}10^{13}h_{65}^2\text{L}_{}`$, suggests that more powerful OH masers may lie undetected at redshifts $`z0.4`$. The HLIRGs are especially promising candidate hosts for OH masing: observations indicate that they are powered by starburst activity (Rowan-Robinson, 2000) which may provide the turbulence required for unsaturated masing to occur (Burdyuzha & Komberg, 1990). Recalling that such unsaturated emission exhibits a quadratic $`L_{\mathrm{OH}}L_{\mathrm{FIR}}^2`$ behaviour, it is therefore possible that OH masers in HLIRGs may exist with peak luminosity densities $`L_\nu ^{}`$ approaching two orders of magnitude greater than the values shown in Fig. 1 for the ULIRGs. These immense luminosities would render putative HLIRG gigamasers detectable out to $`z4`$ at the $`S_\nu 1\text{mJy}`$ level, close to the sensitivities of present-day instrumentation, and within the grasp of facilities such as e-VLA, e-MERLIN and — ultimately — the Square Kilometre Array (SKA); however, issues relating to dynamic range and interference will need to be addressed.

## 4 Conclusions

OH and H2O megamasers are common constituents of the most luminous IR galaxies in the local Universe. The strong evolution in the population of dusty starburst galaxies revealed by recent submm observations (e.g., Smail et al., 1997) should thus result in a population of distant galaxies – submm-selected galaxies (‘SCUBA galaxies’) – hosting extremely luminous masers. These lines should be bright enough to be at the limit of detectability with current instruments, but within the reach of e-VLA, e-MERLIN and ultimately SKA.

We propose that the redshifts of submm-selected galaxies, largely beyond the reach of optical and IR spectroscopists, can be determined using interferometric searches for these maser lines. Maser searches have several clear advantages over other methods:

* the bandwidth requirement is small, $`<1`$ GHz for $`z=1`$–10 for OH masers, smaller still if additional redshift constraints are available (from their radio–submm spectral indices, for example Carilli & Yun 1999);
* the instantaneous survey area is limited by the primary beam of the interferometer – several degrees for an OH line search with e-VLA, for example;
* interferometry permits some rejection of local radio-frequency interference;
* the position of an emission line can be pinpointed accurately within the primary beam, tying an emission line to a submm galaxy unequivocally;
* the dual-line 1665-/1667-MHz OH spectral signature can act as an important check on the line identification and the reality of detections.

Armed with accurate redshifts for a significant proportion of the submm galaxy population we could test the proposal that SCUBA galaxies represent the massive progenitors of present-day ellipticals, using measurement of their gas masses and fractions from interferometric CO observations. The redshift distribution for the SCUBA galaxies derived from observations of megamasers would also remove the final ambiguities in interpreting the contribution of this population to the total star-formation density at redshifts of $`z1`$–5 (Blain et al., 1999).

### Acknowledgements

It is a pleasure to acknowledge valuable contributions from Chris Carilli, Jeremy Yates, Padeli Papadopoulos, Phil Diamond, Rick Perley and Paul van der Werf. Furthermore, we thank the first referee for the large amount of time they devoted to studying the paper. RHDT, IRS and AWB acknowledge support from PPARC, the Royal Society and the Raymond and Beverly Sackler Foundations.


text:
# Hydrodynamic Excitations in a Spin-Polarized Fermi Gas under Harmonic Confinement in One Dimension

## I Introduction

The study of atomic gases in condensed quantum states inside magnetic or optical traps has received an enormous impulse from the achievement of Bose-Einstein condensation in vapors of bosonic alkali atoms and of atomic hydrogen . Similar techniques of trapping and cooling are being used to bring gases of fermionic alkali atoms into the quantum degeneracy regime . The observation of small-amplitude shape-deformation modes in Bose-Einstein condensates inside three-dimensional (3D) anisotropic traps at extremely low temperatures  has proved to be an important method of diagnostics and has provided a crucial test of the mean-field theory based on the time-dependent Gross-Pitaevskii equation . No such experiments have as yet been observed in Fermi gases, but predictions are available on their dynamical spectra in both the collisional and the collisionless regime . For both bosons and fermions in 3D the strong-coupling Thomas-Fermi limit is characterized by a different spectrum from the weak-coupling limit.

Attention has also been moving towards atomic gases in restricted geometries, where new frontiers are met in the realization of atom lasers  and of thin atom waveguides . The rich phase diagram of a quasi-1D Bose gas may become accessible to observation through tuning of the interactions . Essential modifications to the Gross-Pitaevskii equation are needed in D$`2`$, since the T-matrix vanishes already in D=2. The dilute gas limit can still imply strong coupling in 1D, since collisions are unavoidable in this reduced dimensionality.

At low temperature and density the dynamics of a Bose gas with repulsive interactions inside a very thin waveguide approaches that of a 1D fluid of impenetrable point-like bosons . As demonstrated by Girardeau , this so-called Tonks gas  has the same spatial profiles as those of a spin-polarized Fermi gas, since the exact many-boson wavefunction is related to that of non-interacting spinless fermions by $`\mathrm{\Psi }_B(x_1,\mathrm{},x_N)=|\mathrm{\Psi }_F(x_1,\mathrm{},x_N)|`$. More generally, the Fermi-Bose mapping theorem implies that the dynamic structure factor of the Tonks gas is the same as that of the corresponding ideal Fermi gas, although their momentum distributions are very different. In particular, in the same work Girardeau  also showed that long-wavelength sound waves propagate in the homogeneous Tonks gas with velocity $`v=\pi \mathrm{}n/m`$ equal to the Fermi velocity $`v_F`$ in the homogeneous ideal Fermi gas at the same density $`n`$ and atom mass $`m`$. This is, in fact, the speed of propagation for both zero (collisionless) sound and hydrodynamic sound in the ideal 1D Fermi gas.

The dynamic structure factor of the spin-polarized 1D Fermi gas under harmonic confinement has been evaluated exactly in the collisionless regime and related to that of the homogeneous gas by means of a local-density formula . The collective excitation frequencies in this regime are integer multiples of the harmonic trap frequency and this spectrum is, therefore, also that of the corresponding Tonks gas. In the present work we evaluate the dynamics of the same Fermi system in the collisional regime described by linearized hydrodynamic equations. We shall show how these equations for the Fermi gas can be derived from the non-linear Schrödinger equation proposed by Kolomeisky et al.  for the dynamics of the mesoscopic wave function of the corresponding Tonks gas and how the equality of the spectra of the two fluids remains valid within the dynamical regime of present interest.

After a presentation of the model in Section II, we evaluate its dynamical density fluctuations and collective frequency spectrum in the following Sections. We give in Section III an analytic solution of the equations of motion for the density fluctuations, using a Thomas-Fermi approximation (TFA) extended, however, to consider solutions external to the classical radius. In Section IV we treat the same problem by means of a numerical simulation mimicking an experimentally realizable method for measuring the frequencies of the gas. That is, we excite a collective mode of the atomic cloud by applying an external time-dependent potential of chosen symmetry and probe it by observing the evolution in time of the density profile once the perturbation is turned off. Finally, Section V gives a brief summary of our main results and some concluding remarks.

## II The model

According to Kolomeisky et al. , a long-wavelength approach to the hard-core 1D Bose gas with repulsive point-like interactions in the dilute regime can be based on the non-linear Schrödinger equation

$$i\mathrm{}_t\mathrm{\Phi }(x,t)=\left[\frac{\mathrm{}^2}{2m}_x^2+V(x,t)+\frac{\pi ^2\mathrm{}^2}{2m}|\mathrm{\Phi }(x,t)|^4\right]\mathrm{\Phi }(x,t).$$
(1)
Here, $`V(x,t)=V_{ext}(x)+U_p(x,t)`$ is a time-dependent external potential, which includes the harmonic confinement $`V_{ext}(x)=m\omega _{ho}^2x^2/2`$ and a periodic perturbation $`U_p(x,t)`$. The wave function $`\mathrm{\Phi }(x,t)`$ is normalized to the number $`N`$ of particles in the trap. Equation (1) takes account of the correct density dependence of the ground-state energy density for the 1D Bose gas in the strong-coupling limit within a local-density approximation.

It was shown by Girardeau and Wright  that Eq. (1) describes well the dynamics of the Bose gas, although it overestimates its coherence in interference patterns at small numbers of particles. Equation (1) can be cast in the form of Landau’s hydrodynamic equations for a superfluid by setting $`\mathrm{\Phi }(x,t)=\sqrt{n(x,t)}\mathrm{exp}[i\varphi (x,t)]`$. This yields

$$_tn(x,t)=_x\left[n(x,t)v(x,t)\right]$$
(2)
and

$$m_tv(x,t)=_x\left[\mu _{loc}(x,t)+\frac{1}{2}mv^2(x,t)\right],$$
(3)
where the velocity field is defined as $`v(x,t)=(\mathrm{}/m)_x\varphi (x,t)`$ and the local chemical potential is given by

$$\mu _{loc}(x,t)=\frac{\mathrm{}^2}{2m\sqrt{n(x,t)}}_x^2\sqrt{n(x,t)}+V(x,t)+\frac{\pi ^2\mathrm{}^2}{2m}n^2(x,t).$$
(4)
The TFA is obtained by neglecting the first term in the RHS of Eq. (4). Notice that the ratio of the kinetic energy to the interaction energy is proportional to $`N^2`$. The fact that in the TFA the local chemical potential scales with density as $`\pi ^2\mathrm{}^2n^2/2m`$, as for a non-interacting spin-polarized Fermi gas in the local-density approximation, reflects the property that the hard-core Bose gas has the same spatial profiles as those of the Fermi gas.

The boson-fermion mapping has also been extended to time-dependent phenomena . Therefore, using the mapping in the inverse direction we expect that Eq. (1) describes approximately a non-interacting Fermi gas within a local-density approach. Indeed, it is easily shown that upon neglecting the kinetic energy term in $`\mu _{loc}(x,t)`$ Eqs. (2) and (3) yield the equation of motion for the density fluctuations of the Fermi gas in the hydrodynamic regime. The latter is given by

$$m_t^2n(x,t)=_x^2\mathrm{\Pi }(x,t)+_x\left[n(x,t)_xV(x,t)\right]$$
(5)
where the momentum flux density $`\mathrm{\Pi }(x,t)`$ depends locally on the particle density through the relation

$$\mathrm{\Pi }(x,t)=\mathrm{}^2\pi ^2n^3(x,t)/3m+mn(x,t)v^2(x,t)/2.$$
(6)
Equations (5) and (6) are obtained quite straightforwardly by combining Eqs. (2)-(4) in the TFA.

Having established that Eq. (1) describes in the TFA limit the dynamics of both hard-core bosons in the strong-coupling regime and non-interacting spinless fermions in the hydrodynamic regime, we turn to its equilibrium solution, which is a necessary preliminary step for obtaining the collective modes.

The ground-state density $`n_0(x)`$ is obtained from Eq. (3) by setting $`\mu _{loc}(x)=\mu `$ with $`v=0`$ and $`U_p=0`$. This yields the following differential equation for the equilibrium density:

$$\frac{\mathrm{}^2}{2m}_x^2\sqrt{n_0(x)}+\frac{\pi ^2\mathrm{}^2}{2m}n_0^{5/2}(x)+[V_{ext}(x)\mu ]\sqrt{n_0(x)}=0.$$
(7)
It is important to remark that Eq. (3) does not yield the exact equilibrium density profile of the gas even if one includes the kinetic energy term $`(\mathrm{}^2/2m)_x^2\sqrt{n_0(x)}`$. The exact profile satisfies instead the third-order differential equation

$$\frac{\mathrm{}^2}{8m}_x^3n_0(x)\frac{1}{2}n_0(x)_xV_{ext}(x)+[V_{ext}(x)\mu ]_xn_0(x)=0.$$
(8)
In the case of $`N=100`$ particles an accurate comparison between the solutions of Eq. (7) (obtained by the numerical method described in Sec. IV below) and of Eq. (8) (using the results of Ref. ) is given in Fig. 1. It is seen that although the overall shape of the two curves is quite similar, Eq. (7) misses the shell structure of the exact profile and has an incorrect behavior in the tails (see the insets in Fig. 1) (see also Ref. ).

The above comparison illustrates the limits of validity of Eq. (1). We shall see in the following that the spill-out of the particle density beyond the classical radius plays a crucial role in determining the dynamics of the atomic cloud. We may also remark that, whereas Eq. (1) is constructed from an approximation for the kinetic energy density functional, the exact functional is in fact explicitly known for this system . However, it involves a complicated non-local function of the particle density.

## III Collective modes in the Thomas-Fermi limit

The linearized equation of motion for small-amplitude density fluctuations is

$$m_t^2\delta n(x,t)=_x^2\delta \mathrm{\Pi }(x,t)+_x[\delta n(x,t)_xV_{ext}(x)],$$
(9)
where $`\delta n(x,t)=n(x,t)n_0(x)`$ and we have assumed resonance conditions, i.e. $`U_p(x,t)=0`$. In the homogeneous gas $`V_{ext}(x)=0`$ and Eq. (9) yields an acoustic dispersion relation with the propagation velocity $`v_F`$ of hydrodynamic sound. It is a peculiarity of the ideal 1D Fermi gas that this coincides with the velocity of collisionless sound.

In the strict TFA limit the equilibrium density profile has finite extension, as it is given by

$$n_0^{TF}(x)=\frac{\sqrt{2m}}{\pi \mathrm{}}\theta (X_F^2x^2)[\mu V_{ext}(x)]^{1/2}$$
(10)
where the chemical potential $`\mu =\mathrm{}\omega _{ho}N`$ is obtained from normalization of Eq. (10) to the number $`N`$ of particles in the trap. We define the classical turning point as the Fermi radius $`X_F=\sqrt{2N}a_{ho}`$ with $`a_{ho}=\sqrt{\mathrm{}/m\omega _{ho}}`$. Correspondingly the TFA expression for the fluctuations in the momentum flux density is $`\delta \mathrm{\Pi }_{TFA}(x,t)=2\theta (X_F^2x^2)[\mu V_{ext}(x)]\delta n(x,t)`$. As will be apparent from the arguments given below, the spectrum of collective excitations is obtained as a continuum if this expression is used in Eq. (9).

A discrete spectrum is instead obtained if the spill-out outside the classical radius is taken into account. To do this, we adopt the approximate relation

$$\delta \mathrm{\Pi }(x,t)2\frac{\delta t}{\delta n}\delta n(x,t)=2[\mu V_{ext}(x)]\delta n(x,t)$$
(11)
where $`t(n)`$ is the kinetic energy density and the second equality follows from using the Euler equation for Density Functional Theory.

By substituting Eq. (11) into Eq. (9) and performing a Fourier transform with respect to time, we rewrite Eq. (9) as the eigenvalue equation

$$(1z^2)_z^2\delta n(z,\omega )3z_z\delta n(z,\omega )+[(\omega /\omega _{ho})^21]\delta n(z,\omega )=0,$$
(12)
where $`z=x/X_F`$ is a rescaled position variable. It can be checked by direct substitution that for $`|z|<1`$ two independent solutions of this second-order differential equation are

$$\delta n_{in}^{(1)}(z,\omega )=\frac{\mathrm{cos}[(\omega /\omega _{ho})\mathrm{arccos}z]}{\sqrt{1z^2}}$$
(13)
and

$$\delta n_{in}^{(2)}(z,\omega )=\frac{\mathrm{sin}[(\omega /\omega _{ho})\mathrm{arccos}z]}{\sqrt{1z^2}}$$
(14)
for any value of the ratio $`\omega /\omega _{ho}`$. In the domain $`|z|>1`$ we instead have

$$\delta n_{out}(z,\omega )=\frac{\left(|z|\sqrt{z^21}\right)^{\omega /\omega _{ho}}}{\sqrt{z^21}},$$
(15)
having imposed that the density fluctuations vanish for $`|z|\mathrm{}`$. Finally, the dispersion relation and the shape of the density fluctuation modes inside the classical radius are obtained by imposing continuity of $`\sqrt{|1z^2|}\delta n(z,\omega )`$ across the Fermi radius. This condition selects the integer values of the frequency ratio,

$$\omega /\omega _{ho}=n$$
(16)
and the form (13) of the inner solution. This can also be written as

$$\delta n_{in}^{(1)}(z,n\omega _{ho})=\frac{T_n(z)}{\sqrt{1z^2}}$$
(17)
where the functions $`T_n(z)`$ are the Chebyshev orthogonal polynomials of the first kind . The (integrable) divergence in Eq. (17) at the Fermi radius is a consequence of the linearized TFA in low dimensionality and is evidently inconsistent with the linearization of the hydrodynamic equations. We shall return on this point in the next Section.

In the case $`n=1`$ we correctly recover from Eq. (16) the frequency of the sloshing mode, in agreement with the generalized Kohn theorem . More generally, we find that the TFA spectrum coincides with the spectrum of the Fermi gas in the collisionless regime, as evaluated in Ref. . Although this result for the trapped gas has been reached by an approximate and to some extent ad hoc argument, it will be verified immediately below by direct numerical solution of Eq. (1).

## IV Numerical simulation

The divergence of the density fluctuations at the classical boundary of the cloud that result from the extended TFA are incompatible with a linearization of the equations of motion. We have therefore carried out a numerical solution of Eq. (1), which reproduces an experimental procedure employed to excite collective modes . Namely, we first apply a time-dependent perturbing field of given symmetry for variable amounts of time corresponding to several periods of the expected excitation, and then monitor the evolution of the cloud by recording a series of “pictures” once the perturbation is turned off. From the evolution of the density profiles we obtain the frequency and the shape of the density fluctuation modes.

The numerical simulations use an explicit time-marching algorithm  for propagating the state of the cloud in both imaginary and real time, yielding the ground-state profile $`n_0(x)`$ and the subsequent dynamical behavior $`n(x,t)`$. Due to the size of the nonlinear term in Eq. (1), special attention has been given to the stability of the algorithm. The perturbing potential has the form $`U_p(x,t)=U_p(x)\mathrm{cos}(\omega _it)`$ and the drive frequency $`\omega _i`$ is tuned around the expected resonances. As to the spatial variation of the perturbation, we have adopted the TFA form $`U_p(x)\sqrt{1(x/X_F)^2}\delta n_{in}^{(1)}(x,\omega _i)`$ in order to excite well defined modes. This is approximately equivalent to imposing orthogonality between the drive field and the other density fluctuations, in view of the orthogonality of the Chebyshev polynomials in the domain $`|z|<1`$.

Figure 2 shows the spectra of quadrupole and hexapole collective modes for $`N=100`$ particles as obtained from the Fourier transform of the time evolution of the density profile taken at a given point in the harmonic trap. The results agree with the TFA prediction that the main frequencies of these modes are $`\omega =2`$ $`\omega _{ho}`$ and $`\omega =3`$ $`\omega _{ho}`$, respectively. Nonlinearity is apparent through the presence of several other resonances in each spectrum. We have checked that the spectra of the $`i^{th}`$ moments $`x^i=(1/N)𝑑xx^in(x,t)`$ are peaked at the fundamental excitation frequency of each mode. In further tests we have (i) examined the behavior of the quadrupole mode frequency with varying $`N`$, finding only very small deviations within the error bars from the value $`\omega =2\omega _{ho}`$ at low $`N`$; and (ii) used non-integer values for the driving frequency, finding again only spectral lines at integer frequencies.

Finally, in a regime of weak drive amplitude we have compared the density fluctuation profiles in Eqs. (13) and (15) with the output of the simulation. The comparison is illustrated in Fig. 3. The TFA density fluctuations, in addition to suffering from divergiencies at the classical radius, do not integrate to zero for the modes with $`n=`$even integer.

## V Summary and conclusions

In summary, we have shown by analytical and numerical arguments that the hydrodynamic frequency spectrum of the 1D ideal Fermi gas under harmonic confinement is given by integer multiples of the trap frequency. This result extends to the trapped Fermi gas a property of the homogeneous ideal Fermi gas, in which the speed of sound is the same in the hydrodynamic regime as in the collisionless regime. A more accurate treatment of the collisional regime beyond the TFA may usefully be developed in the future.

A further conclusion can be drawn from the present solution of the non-linear Schrödinger equation describing a 1D hard-core Bose gas. By virtue of the fermion-boson mapping theorem, the frequency spectrum associated with this local-density theory reproduces the exactly known spectrum of the Bose gas under harmonic confinement.