text:
# Dilatonic wormholes: construction, operation, maintenance and collapse to black holes

## I Introduction

The theoretical existence of space-time wormholes has intrigued experts and public alike. Wheeler W  speculated that quantum fluctuations in space-time topology can occur, so that the smooth space-time of classical Einstein gravity becomes, at the Planck scale, a continual foam of short-lived interconnections. If such a wormhole could be expanded to macroscopic size, it could provide a short cut between otherwise distant regions, like a bookworm tunnelling between different pages of an atlas. Certainly all the standard stationary black-hole solutions have wormhole ($`R\times S^2`$) spatial topology, describing two Alice-through-the-looking-glass universes joined by the famous Einstein-Rosen bridge ER , or wormhole throat. In such cases, the two universes are not causally connected, so that it is impossible to travel between them, any attempt leading instead into the black hole K . However, this is only just so; a light ray can be sent along the past boundary of one universe to the future boundary of the other, just escaping the black hole. Thus it is not difficult to imagine a small modification which would yield a traversible wormhole.

Morris & Thorne MT  popularized traversible wormholes as a respectable theoretical possibility, studying static, spherically symmetric cases in detail. The spatial topology is the same as in the black-hole cases, but the throat or minimal surface is preserved in time, so that observers can pass through it in either direction, travelling freely between the two universes. According to the Einstein equation, such a geometry requires matter which does not satisfy a classical positive-energy property, the weak energy condition. However, this condition can be violated quantum-mechanically, e.g. in the Casimir effect, or in alternative gravity theories. Such negative-energy matter was dubbed exotic matter by Morris & Thorne. This provoked renewed interest in traversible wormholes, as reviewed by Visser V . The possible astrophysical existence of wormholes has been taken seriously enough for searches of observational data TRA .

The Morris-Thorne framework begs development in at least two important respects, quite apart from generalizing beyond static, spherically symmetric cases. Firstly, the exotic matter was not modelled, but simply assumed to exist in exactly the configuration needed to support the wormhole. Secondly, the back-reaction of the transported matter on the wormhole was ignored. If the wormhole turns out to be unstable to such back-reaction, it would be useless for actual transport. Many physicists’ instinctive reaction is that negative energy, unbounded below, will lead to instability. Another practical question is: if the negative-energy source fails, i.e. the exotic matter is not maintained, what happens to the wormhole? Again, a pessimistic reaction is that the negative energy densities are likely to create naked singularities. An alternative prediction was that the wormhole would collapse to a black hole wh . The same reference introduced a framework for studying dynamic wormholes, in which both wormholes and black holes are locally defined by the same geometrical objects, trapping horizons, with one key difference: black holes have achronal horizons and wormholes have temporal horizons, so that they are respectively one-way and two-way traversible. This also indicated that a wormhole could be constructed from a black hole using exotic matter.

To find definite answers to the above questions, it is necessary to specify the exotic matter model. Various studies have been based on alternative gravity theories or semi-classical quantum field theory, e.g. HPS ; KL . However, the difficulty of solving the field equations tends to obscure issues of principle. Here we propose a toy model, intended to describe the essential dynamics of a wormhole, but explicitly integrable, so that concrete answers to the above questions are easily found. A similar approach in the context of black-hole evaporation involved the CGHS two-dimensional dilaton gravity model CGHS , which was expected to share similar features with spherically symmetric black-hole evaporation by Hawking radiation. Certainly classical black-hole dynamics is qualitatively similar, for instance in regard to cosmic censorship, but such properties are much easier to prove in the toy model cc  than in the corresponding realistic model, the spherically symmetric Einstein-Klein-Gordon system C . Here we propose a simple generalization of the CGHS model to include a ghost Klein-Gordon field, i.e. with the gravitational coupling taking the opposite sign to normal. This is a specific model for the exotic matter, or more accurately exotic radiation, as we take the massless field for simplicity.

The article is organised as follows. §II describes the model and how its general solution can be constructed from initial data. §III reviews the static black-hole solution and introduces the static wormhole solution, each of which depend on one parameter, mass or horizon radius. §IV describes what happens to an initially static wormhole when the ghost field supporting it is turned off and allowed to disperse. §V shows how to construct a static wormhole by irradiating an initially static black hole with the ghost field. §VI describes the operation of a wormhole for transport or signalling, using a normal Klein-Gordon field to model the matter or radiation, including the back-reaction of the field on the wormhole. §VII shows how to maintain the operating wormhole in a static state, or return it to its original state. §VIII concludes.

## II Dilaton gravity

The CGHS two-dimensional dilaton gravity of Callan et al. CGHS  is generalized by the action

$$_S\mu \left[e^{2\varphi }\left(R+4(\varphi )^2+4\lambda ^2\right)\frac{1}{2}(f)^2+\frac{1}{2}(g)^2\right]$$
(1)
where $`S`$ is a 2-manifold, $`\mu `$, $`R`$ and $``$ are the area form, Ricci scalar and covariant derivative of a Lorentz 2-metric on $`S`$, $`\lambda `$ represents a negative cosmological constant, $`\varphi `$ is a scalar dilaton field, $`f`$ is a scalar field representing matter and $`g`$ is a ghost scalar field with negative gravitational coupling. The last term is added to the CGHS action in order that g provides the negative energy densities needed to maintain a wormhole MT ; V ; wh ; HV1 ; HV2 ; IH ; wd .

By choosing future-pointing null coordinates $`(x^+,x^{})`$, the line element may be written as

$$ds^2=2e^{2\rho }dx^+dx^{}$$
(2)
where the conventional factor of 2 differs from that of earlier references CGHS ; cc . One component of the field equations is

$$_+_{}\varphi =_+_{}\rho $$
(3)
where $`_\pm =/x^\pm `$, so the coordinate freedom $`x^\pm \widehat{x}^\pm (x^\pm )`$ can be used to take

$$\rho =\varphi .$$
(4)
The remaining coordinate freedom is just

$$x^\pm e^{\pm b}x^\pm +c^\pm $$
(5)
where the constants $`c^\pm `$ fix the origin and the constant $`b`$ refers to relative rescalings of $`x^\pm `$. It is convenient to transform the dilaton field $`\varphi `$ to

$$r=2e^{2\varphi }.$$
(6)
Then the remaining field equations are the evolution equations

$`_+_{}f`$ $`=`$ $`0`$ (7)
$`_+_{}g`$ $`=`$ $`0`$ (8)
$`_+_{}r`$ $`=`$ $`4\lambda ^2`$ (9)
and the constraints

$$_\pm _\pm r=(_\pm g)^2(_\pm f)^2.$$
(10)
The evolution equations (7-9) have the general solutions

$`f(x^+,x^{})`$ $`=`$ $`f_+(x^+)+f_{}(x^{})`$ (11)
$`g(x^+,x^{})`$ $`=`$ $`g_+(x^+)+g_{}(x^{})`$ (12)
$`r(x^+,x^{})`$ $`=`$ $`r_+(x^+)+r_{}(x^{})4\lambda ^2x^+x^{}.`$ (13)
The constraints (10) are preserved by the evolution equations in the $`_{}`$ directions, and so may be reduced to

$$_\pm _\pm r_\pm =G_{\pm }^{}{}_{}{}^{2}F_{\pm }^{}{}_{}{}^{2}$$
(14)
where the null derivatives

$`F_\pm `$ $`=`$ $`_\pm f_\pm `$ (15)
$`G_\pm `$ $`=`$ $`_\pm g_\pm `$ (16)
are convenient variables. The constraints are manifestly integrable for $`r_\pm `$ given initial data

$`(f_+,g_+)`$ on $`x^{}=x_0^{}`$ (17)
$`(f_{},g_{})`$ on $`x^+=x_0^+`$ (18)
$`(r,_+r,_{}r)`$ at $`x^+=x_0^+`$, $`x^{}=x_0^{}`$ (19)
for constants $`x_0^\pm `$ (Fig. 1). Then the general procedure is to specify this initial data, integrate the constraints (14) for $`r_\pm `$, then the general solution follows as (11-13).

Finally, we note from the vacuum constraints (10) that $`r`$ is analogous to the areal radius in spherically symmetric Einstein gravity cc ; 1st , correctly reproducing the expansion of a light wave in flat space-time, $`_\pm _\pm r=0`$.

## III Static black-hole and wormhole solutions

In vacuum, $`f=g=0`$, the general solution to the field equations is CGHS

$$r=2m4\lambda ^2x^+x^{}$$
(20)
where the origin has been fixed using (5). The constant $`m`$ may be interpreted as the mass of the space-time, whose global structure has been described previously cc . For $`m>0`$ there is a static black hole, analogous to the Schwarzschild black hole (Fig. 2(a)). The case $`m=0`$ is flat and the case $`m<0`$ contains an eternal naked singularity, analogous to the negative-mass Schwarzschild solution. Henceforth we take $`m>0`$. Note that the original reference CGHS  defined mass as $`\lambda m`$, in which case $`\lambda r`$ would be analogous to radius, but for $`\lambda >0`$ this makes no essential difference in the following.

Next, we consider the case that $`f=0`$ but $`g0`$, finding the solution

$`r`$ $`=`$ $`a+2\lambda ^2(x^+x^{})^2`$ (21)
$`g`$ $`=`$ $`2\lambda (x^+x^{})`$ (22)
where the origin has again been fixed. A coordinate transformation $`x^\pm =(t\pm z)/\sqrt{2}`$ shows that the solution is static:

$$ds^2=\frac{2(dz^2dt^2)}{a+4\lambda ^2z^2}.$$
(23)
If $`a>0`$, this represents a traversible wormhole with analogous global structure to a Morris-Thorne wormhole, with a throat $`r=a`$ at $`z=0`$, joining two regions with $`r>a`$, a $`z>0`$ universe and a reflected $`z<0`$ universe (Fig. 2(b)). If $`a<0`$, there is an eternal naked singularity $`r=0`$, while if $`a=0`$, the space-time has constant negative curvature, as can be seen by calculating the Ricci scalar cc

$$R=r^1_+r_{}r_+_{}r.$$
(24)
Henceforth we take $`a>0`$.

In summary, the model naturally contains both static black holes and static traversible wormholes. Before proceeding, we note an important feature of both cases, the trapping horizons, defined by $`rr=0`$, or equivalently $`_+r=0`$ or $`_{}r=0`$ wh ; cc ; 1st ; bhd . In the black hole, they coincide with the event horizons $`r=2m`$ at $`x^{}=0`$ and $`x^+=0`$ respectively. In the wormhole, there is a double trapping horizon, $`_+r=_{}r=0`$, at the throat $`r=a`$. This illustrates how trapping horizons of different type may be used to locally define both black holes and wormholes wh . Locating the trapping horizons, or equivalently the trapped regions where $`rr<0`$, is a key feature of the following analysis of dynamic situations.

## IV Wormhole collapse

One can now study what happens to a static wormhole if its negative-energy source fails. We consider first that the supporting ghost field $`g`$ is switched off suddenly from both sides of the wormhole, then that $`g`$ is instead gradually reduced to zero.

### IV.1 Sudden collapse

We set the initial data so that there is a static wormhole, with $`g`$ then switched off suddenly from both sides of the wormhole (Fig. 3(a)):

$`G_\pm =\{\begin{array}{cc}\pm 2\lambda ,\hfill & x^\pm <0\hfill \\ 0,\hfill & x^\pm 0.\hfill \end{array}`$ (27)
Taking $`f=0`$, the constraints (14) are

$`_\pm _\pm r_\pm =\{\begin{array}{cc}4\lambda ^2,\hfill & x^\pm <0\hfill \\ 0,\hfill & x^\pm 0.\hfill \end{array}`$ (30)
Integrating twice, we obtain

$`r_\pm =\{\begin{array}{cc}2\lambda ^2(x^\pm )^2+\frac{a}{2},\hfill & x^\pm <0\hfill \\ \frac{a}{2},\hfill & x^\pm 0\hfill \end{array}`$ (33)
where the constants of integration are determined by continuity at $`x^\pm =0`$. The resulting solution from (13) is

$`r=\{\begin{array}{cc}a+2\lambda ^2(x^+x^{})^2,\hfill & x^+<0\mathrm{and}x^{}<0\hfill \\ a+2\lambda ^2x^+(x^+2x^{}),\hfill & x^+<0\mathrm{and}x^{}0\hfill \\ a2\lambda ^2x^{}(2x^+x^{}),\hfill & x^+0\mathrm{and}x^{}<0\hfill \\ a4\lambda ^2x^+x^{},\hfill & x^+0\mathrm{and}x^{}0.\hfill \end{array}`$ (38)
One may recognize the solution in the final region as a static black hole (20) with mass $`m=a/2`$. The double trapping horizon of the static wormhole bifurcates into the event horizons of the black hole, all with $`r=a=2m`$ (Fig. 3(b)). Thus the wormhole immediately collapses into a black hole.

The Schwarzschild-like relationship between mass and throat radius is no accident; there is a definition of active gravitational mass-energy cc

$$E=\frac{r}{2}\left(1\frac{rr}{4\lambda ^2r^2}\right)$$
(39)
which evaluates as $`r/2`$ on any trapping horizon. Thus a wormhole with a throat $`r=a`$ has an effective mass $`a/2`$. Here and elsewhere, it is useful to recall the analogy with spherically symmetric Einstein gravity, where $`r`$ corresponds to areal radius and there is a similar definition of active gravitational mass-energy 1st .

### IV.2 Gradual collapse

Again starting with a static wormhole, we now reduce the ghost field gradually to zero in the simplest way, linearly (Fig. 4(a)):

$`G_\pm =\{\begin{array}{cc}\pm 2\lambda ,\hfill & x^\pm <0\hfill \\ \alpha x^\pm \pm 2\lambda ,\hfill & 0x^\pm <x_0\hfill \\ 0,\hfill & x_0x^\pm \hfill \end{array}`$ (43)
where $`\alpha `$ is a constant and $`x_0=2\lambda /\alpha `$. Here $`\alpha 0`$ recovers the static wormhole and $`\alpha \mathrm{}`$ recovers sudden collapse. By similar calculations, again taking $`f=0`$,

$`_\pm _\pm r_\pm =\{\begin{array}{cc}4\lambda ^2,\hfill & x^\pm <0\hfill \\ \alpha ^2x_{}^{\pm }{}_{}{}^{2}4\lambda \alpha x^\pm +4\lambda ^2,\hfill & 0x^\pm <x_0\hfill \\ 0,\hfill & x_0x^\pm \hfill \end{array}`$ (47)
integrate to

$`r_\pm =\{\begin{array}{cc}2\lambda ^2x_{}^{\pm }{}_{}{}^{2}+\frac{a}{2},\hfill & x^\pm <0\hfill \\ \frac{\alpha ^2}{12}x_{}^{\pm }{}_{}{}^{4}\frac{2\alpha \lambda }{3}x_{}^{\pm }{}_{}{}^{3}+2\lambda ^2x_{}^{\pm }{}_{}{}^{2}+\frac{a}{2},\hfill & 0x^\pm <x_0\hfill \\ \frac{8\lambda ^3}{3\alpha }x^\pm \frac{4\lambda ^4}{3\alpha ^2}+\frac{a}{2},\hfill & x_0x^\pm .\hfill \end{array}`$ (51)
and the solution

$`r=\{\begin{array}{cc}a+2\lambda ^2(x^+x^{})^2,\hfill & x^+<0\mathrm{and}x^{}<0\hfill \\ a+2\lambda ^2(x^+x^{})^2\frac{2\alpha \lambda }{3}x_{}^{}{}_{}{}^{3}+\frac{\alpha ^2}{12}x_{}^{}{}_{}{}^{4},\hfill & x^+<0\mathrm{and}0x^{}<x_0\hfill \\ a+2\lambda ^2(x^+x^{})^2\frac{2\alpha \lambda }{3}x_{}^{+}{}_{}{}^{3}+\frac{\alpha ^2}{12}x_{}^{+}{}_{}{}^{4},\hfill & 0x^+<x_0\mathrm{and}x^{}<0\hfill \\ a\frac{4\lambda ^4}{3\alpha ^2}4\lambda ^2x^+x^{}+\frac{8\lambda ^3}{3\alpha }x^{}+2\lambda ^2x_{}^{+}{}_{}{}^{2},\hfill & x^+<0\mathrm{and}x_0x^{}\hfill \\ a+2\lambda ^2(x^+x^{})^2\frac{2\alpha \lambda }{3}(x_{}^{+}{}_{}{}^{3}+x_{}^{}{}_{}{}^{3})+\frac{\alpha ^2}{12}(x_{}^{+}{}_{}{}^{4}+x_{}^{}{}_{}{}^{4}),\hfill & 0x^+<x_0\mathrm{and}0x^{}<x_0\hfill \\ a\frac{4\lambda ^4}{3\alpha ^2}4\lambda ^2x^+x^{}+\frac{8\lambda ^3}{3\alpha }x^++2\lambda ^2x_{}^{}{}_{}{}^{2},\hfill & x_0x^+\mathrm{and}x^{}<0\hfill \\ a\frac{4\lambda ^4}{3\alpha ^2}4\lambda ^2x^+x^{}+\frac{8\lambda ^3}{3\alpha }x^{}+2\lambda ^2x_{}^{+}{}_{}{}^{2}\frac{2\alpha \lambda }{3}x_{}^{+}{}_{}{}^{3}+\frac{\alpha ^2}{12}x_{}^{+}{}_{}{}^{4},\hfill & 0x^+<x_0\mathrm{and}x_0x^{}\hfill \\ a\frac{4\lambda ^4}{3\alpha ^2}4\lambda ^2x^+x^{}+\frac{8\lambda ^3}{3\alpha }x^++2\lambda ^2x_{}^{}{}_{}{}^{2}\frac{2\alpha \lambda }{3}x_{}^{}{}_{}{}^{3}+\frac{\alpha ^2}{12}x_{}^{}{}_{}{}^{4},\hfill & x_0x^+\mathrm{and}0x^{}<x_0\hfill \\ a\frac{8\lambda ^4}{9\alpha ^2}4\lambda ^2\left(x^+\frac{2\lambda }{3\alpha }\right)\left(x^{}\frac{2\lambda }{3\alpha }\right),\hfill & x_0x^+\mathrm{and}x_0x^{}.\hfill \end{array}`$ (61)
The solution in the final region is again recognizable as a black hole (20), but with reduced mass and shifted by $`\frac{2\lambda }{3\alpha }=\frac{x_0}{3}`$ in $`x^\pm `$ compared with the sudden case. The trapping horizons $`_\pm r=0`$ are located at

$`x^{}=\{\begin{array}{cc}x^\pm ,\hfill & x^\pm <0\hfill \\ x^\pm \frac{1}{x_0}x_{}^{\pm }{}_{}{}^{2}+\frac{1}{3x_0^2}x_{}^{\pm }{}_{}{}^{3},\hfill & 0x^\pm <x_0\hfill \\ \frac{x_0}{3},\hfill & x_0x^\pm .\hfill \end{array}`$ (65)
The final expressions coincide with the locations of the event horizons of the black hole. The middle expressions are cubic curves which smoothly join the initial wormhole throat to the final event horizons (Fig. 4(b)). Thus the double trapping horizon of the wormhole has again bifurcated, eventually forming a black hole. In between, the geometry may be characterized as a non-static wormhole, as observers may still traverse it for a certain time, after which the attempt leads only into the black hole.

## V Wormhole construction

We next study how to convert a black hole into a traversible wormhole by irradiating it with the ghost field. This is not simply the time reverse of the wormhole collapses described above, which would represent the creation of a wormhole from a white hole, as one can see by inverting the conformal diagrams (Fig. 3(b),4(b)). Instead, one needs to begin the irradiation at some positive value $`x_0`$ of the Kruskal-like coordinates $`x^\pm `$ (Fig. 2(a)). Moreover, in order to close up a future trapped region by merging its trapping horizons, the negative energy densities required must be larger than those required to maintain the static wormhole which finally forms wh . In other words, $`|G_\pm |`$ must first reach a maximum greater than $`2\lambda `$. The simplest way to achieve this is to set initial data as double step functions (Fig. 5(a))

$`G_\pm =\{\begin{array}{cc}0,\hfill & x^\pm <x_0\hfill \\ \pm 2\beta \lambda ,\hfill & x_0x^\pm <x_1\hfill \\ \pm 2\lambda ,\hfill & x_1x^\pm \hfill \end{array}`$ (69)
where $`\beta >1`$ is a constant, to be determined by the requirement that the trapping horizons merge at $`x^\pm =x_1`$, for which we find $`x_0=x_1(1\beta ^2)`$. Then taking $`f=0`$, the constraints (14) are

$`_\pm _\pm r_\pm =\{\begin{array}{cc}0,\hfill & x^\pm <x_0\hfill \\ 4\lambda ^2\beta ^2,\hfill & x_0x^\pm <x_1\hfill \\ 4\lambda ^2,\hfill & x_1x^\pm .\hfill \end{array}`$ (73)
Integrating twice, assuming a black hole of mass $`m`$ in the initial region, leads to

$`r_\pm =\{\begin{array}{cc}m,\hfill & x^\pm <x_0\hfill \\ 2\lambda ^2\beta ^2(x^\pm x_0)^2+m,\hfill & x_0x^\pm <x_1\hfill \\ 2\lambda ^2(x_{}^{\pm }{}_{}{}^{2}x_0x_1)+m,\hfill & x_1x^\pm \hfill \end{array}`$ (77)
and

$`r=\{\begin{array}{cc}2m4\lambda ^2x^+x^{},\hfill & x^+<x_0\mathrm{and}x^{}<x_0\hfill \\ 2m4\lambda ^2x^+x^{}+2\lambda ^2\beta ^2\left((x^+x_0)^2+(x^{}x_0)^2\right),\hfill & x_0x^+<x_1\mathrm{and}x_0x^{}<x_1\hfill \\ 2\lambda ^2(x^+x^{})^2+2m4\lambda ^2x_0x_1,\hfill & x_1x^+\mathrm{and}x_1x^{}\hfill \end{array}`$ (81)
where we have omitted the less relevant regions. One may recognize the solution in the final region as a static wormhole (21) with throat radius $`2m4\lambda ^2x_0x_1`$. Thus we require $`2\lambda ^2x_0x_1<m`$. By choice of the parameters $`(x_0,x_1)`$, we have constructed a static wormhole with any throat radius less than $`2m`$, the radius of the original black hole. The trapping horizons $`_\pm r=0`$ are located at

$`x^{}=\{\begin{array}{cc}0,\hfill & x^\pm <x_0\hfill \\ \beta ^2(x^\pm x_0),\hfill & x_0x^\pm <x_1\hfill \\ x^\pm ,\hfill & x_1x^\pm \hfill \end{array}`$ (85)
which are straight line segments. Thus the ghost radiation causes the trapping horizons of the initial black hole to shrink towards each other, eventually merging to form the throat of the final static wormhole (Fig. 5(b)). The trapped region composing the black hole simply evaporates. This classically unexpected behaviour is, of course, due to the negative energy densities. As in the wormhole collapse case, the trapping horizons can be smoothed off by taking smoother profiles for $`G_\pm `$, but the details are not particularly illuminating. In summary, static wormholes have been constructed by irradiating a black hole with ghost radiation.

One can also regard this as analogous to black-hole evaporation, with the ghost radiation modelling the ingoing negative-energy Hawking radiation, suggesting that the final state of black hole evaporation might be a stationary wormhole wh ; HPS ; KL . This would naturally resolve the information-loss puzzle, as there is no singularity in which information is lost; everything that fell into the black hole eventually re-emerges.

## VI Wormhole operation

If a wormhole is actually used to transport a parcel or person between the two universes, the transported matter will affect the wormhole by changing the gravitational field. In principle this occurs even if the wormhole is merely used for signalling. We will study the dynamical effects of such back-reaction by using the field $`f`$ to model the matter or radiation. The use of Klein-Gordon radiation rather than more realistic matter is for simplicity only; any source of mass-energy would have more or less similar gravitational effects. In the current model, the constraints (14) show explicitly that increasing $`F_{\pm }^{}{}_{}{}^{2}`$ has an equivalent gravitational effect to reducing $`G_{\pm }^{}{}_{}{}^{2}`$, which we have already shown can cause collapse to a black hole. Thus it is to be expected that too much transport would destroy the wormhole. A worse possibility is that the wormhole might be unstable to the slightest perturbation and start to collapse immediately. We investigate this below, giving the first concrete examples of wormhole operation including back-reaction.

Again taking the simplest case, we consider a step pulse of positive-energy radiation (Fig. 6(a)):

$`F_+`$ $`=`$ $`\{\begin{array}{cc}0,\hfill & x^+<0\hfill \\ \mathrm{\Delta },\hfill & 0x^+<x_0\hfill \\ 0,\hfill & x_0x^+\hfill \end{array}`$ (89)
$`F_{}`$ $`=`$ $`0`$
with $`G_\pm =\pm 2\lambda `$. The energy of the pulse may be defined as the change in the gravitational energy (39) due to the pulse, which evaluates at $`x^{}=0`$ as

$$ϵ=\frac{1}{4}(\mathrm{\Delta }x_0)^2.$$
(90)
In the following, we assume that the energy of the pulse should not be too large, corresponding to the anticipated limit on how much mass-energy can be sent through the wormhole without causing it to collapse into a black hole. Specifically we find $`ϵ<a/2`$ to avoid an $`r=0`$ singularity in the middle region. Thus the pulse energy should be less than the effective mass of the wormhole. Inserting the conversion factor $`c^2/G`$ from length to mass, a one-metre wormhole could transport over a hundred Earth masses. This is hardly a practical limitation, once we establish stability.

The constraints (14)

$`_+_+r_+`$ $`=`$ $`\{\begin{array}{cc}4\lambda ^2,\hfill & x^+<0\hfill \\ 4\lambda ^2\mathrm{\Delta }^2,\hfill & 0x^+<x_0\hfill \\ 4\lambda ^2,\hfill & x_0x^+\hfill \end{array}`$ (94)
$`_{}_{}r_{}`$ $`=`$ $`4\lambda ^2`$
integrate to

$`r_+`$ $`=`$ $`\{\begin{array}{cc}2\lambda ^2x_{}^{+}{}_{}{}^{2}+\frac{a}{2},\hfill & x^+<0\hfill \\ 2\lambda ^2x_{}^{+}{}_{}{}^{2}\frac{\mathrm{\Delta }^2}{2}x_{}^{+}{}_{}{}^{2}+\frac{a}{2},\hfill & 0x^+<x_0\hfill \\ 2\lambda ^2x_{}^{+}{}_{}{}^{2}+\mathrm{\Delta }^2x_0\left(\frac{1}{2}x_0x^+\right)+\frac{a}{2},\hfill & x_0x^+\hfill \end{array}`$ (98)
$`r_{}`$ $`=`$ $`2\lambda ^2x_{}^{}{}_{}{}^{2}+{\displaystyle \frac{a}{2}}`$
and the solution is

$`r=\{\begin{array}{cc}a+2\lambda ^2\left(x^+x^{}\right)^2,\hfill & x^+<0\hfill \\ a+2\lambda ^2\left(x^+x^{}\right)^2\frac{\mathrm{\Delta }^2}{2}x_{}^{+}{}_{}{}^{2},\hfill & 0x^+<x_0\hfill \\ a+2\lambda ^2\left(x^+x^{}\right)^2+\mathrm{\Delta }^2x_0\left(\frac{1}{2}x_0x^+\right),\hfill & x_0x^+.\hfill \end{array}`$ (102)
The locations of the trapping horizons $`_+r=0`$ and $`_{}r=0`$ are given respectively by

$`x^{}`$ $`=`$ $`\{\begin{array}{cc}x^+,\hfill & x^+<0\hfill \\ x^+\frac{\mathrm{\Delta }^2}{4\lambda ^2}x^+,\hfill & 0x^+<x_0\hfill \\ x^+\frac{\mathrm{\Delta }^2}{4\lambda ^2}x_0,\hfill & x_0x^+\hfill \end{array}`$ (106)
$`x^+`$ $`=`$ $`x^{}.`$
Thus the double trapping horizon of the initially static wormhole bifurcates when the radiation arrives (Fig. 6(b)). After the pulse has passed, the two trapping horizons run parallel in the $`x^\pm `$ coordinates, forming a non-static traversible wormhole. If the pulse energy is small, $`ϵa`$, the wormhole persists in an almost static state for a long time, $`tx_0a/ϵ`$. Nevertheless, even for an arbitrarily weak pulse, eventually a spatial $`r=0`$ singularity develops, similar to that of the static black hole. Observers close enough to the singularity can no longer traverse the wormhole, so it constitutes a black hole with two event horizons. Thus the static wormhole exhibits a type of neutral stability, neither strictly stable in that it does not return to its initial state, nor strictly unstable in that there is no sudden runaway. Note that black holes are also neutrally stable in this sense; perturbing a black hole by dropping positive-energy matter into it increases the area of the trapping horizon finitely, by the first and second laws of black-hole dynamics cc ; 1st ; bhd .

## VII Wormhole maintenance

Keeping an operating wormhole viable indefinitely, defying its natural fate as a black hole, requires additional negative energy to balance the transported matter. The simplest way to maintain the wormhole is just to set initial data

$$G_\pm =\pm \sqrt{4\lambda ^2+F_{\pm }^{}{}_{}{}^{2}}$$
(107)
so that the source terms in the constraints (14) cancel to the static wormhole values. Thus the wormhole remains static. The additional negative-energy radiation has balanced the positive-energy radiation, leaving the gravitational field unchanged.

Alternatively, the wormhole may be maintained by beaming in additional negative-energy radiation before or after the positive-energy pulse. We take the same step pulse in $`F_+`$ (89) and precede it with a compensating pulse in the ghost field (Fig. 7(a)):

$`G_+`$ $`=`$ $`\{\begin{array}{cc}2\lambda ,\hfill & x^+<x_0\hfill \\ \sqrt{4\lambda ^2+\mathrm{\Delta }^2},\hfill & x_0x^+<0\hfill \\ 2\lambda ,\hfill & 0x^+\hfill \end{array}`$ (111)
$`G_{}`$ $`=`$ $`2\lambda .`$
Again we require small pulse energy, $`ϵ<a/2`$, to avoid a singularity. The constraints (14) become

$`_+_+r_+`$ $`=`$ $`\{\begin{array}{cc}4\lambda ^2,\hfill & x^+<x_0\hfill \\ 4\lambda ^2+\mathrm{\Delta }^2,\hfill & x_0x^+<0\hfill \\ 4\lambda ^2\mathrm{\Delta }^2,\hfill & 0x^+<x_0\hfill \\ 4\lambda ^2,\hfill & x_0x^+\hfill \end{array}`$ (116)
$`_{}_{}r_{}`$ $`=`$ $`4\lambda ^2`$
which integrate to

$`r_+`$ $`=`$ $`\{\begin{array}{cc}2\lambda ^2x_{}^{+}{}_{}{}^{2}+\frac{a}{2},\hfill & x^+<x_0\hfill \\ 2\lambda ^2x_{}^{+}{}_{}{}^{2}+\mathrm{\Delta }^2x^+\left(\frac{1}{2}x^++x_0\right)\frac{1}{2}\mathrm{\Delta }^2x_{0}^{}{}_{}{}^{2}+\frac{a}{2},\hfill & x_0x^+<0\hfill \\ 2\lambda ^2x_{}^{+}{}_{}{}^{2}\mathrm{\Delta }^2x^+\left(\frac{1}{2}x^+x_0\right)\frac{1}{2}\mathrm{\Delta }^2x_{0}^{}{}_{}{}^{2}+\frac{a}{2},\hfill & 0x^+<x_0\hfill \\ 2\lambda ^2x_{}^{+}{}_{}{}^{2}+\frac{a}{2},\hfill & x_0x^+\hfill \end{array}`$ (121)
$`r_{}`$ $`=`$ $`2\lambda ^2x_{}^{}{}_{}{}^{2}+{\displaystyle \frac{a}{2}}`$
and the solution follows as

$`r=\{\begin{array}{cc}a+2\lambda ^2\left(x^+x^{}\right)^2,\hfill & x^+<x_0\hfill \\ a+2\lambda ^2\left(x^+x^{}\right)^2+\frac{1}{2}\mathrm{\Delta }^2\left(x_{}^{+}{}_{}{}^{2}+2x_0x^+x_{0}^{}{}_{}{}^{2}\right),\hfill & x_0x^+<0\hfill \\ a+2\lambda ^2\left(x^+x^{}\right)^2\frac{1}{2}\mathrm{\Delta }^2\left(x_{}^{+}{}_{}{}^{2}2x_0x^++x_{0}^{}{}_{}{}^{2}\right),\hfill & 0x^+<x_0\hfill \\ a+2\lambda ^2\left(x^+x^{}\right)^2,\hfill & x_0x^+.\hfill \end{array}`$ (126)
The locations of the trapping horizons are

$`x^{}`$ $`=`$ $`\{\begin{array}{cc}x^+,\hfill & x^+<x_0\hfill \\ x^++\frac{\mathrm{\Delta }^2}{4\lambda ^2}\left(x^++x_0\right),\hfill & x_0x^+<0\hfill \\ x^+\frac{\mathrm{\Delta }^2}{4\lambda ^2}\left(x^+x_0\right),\hfill & 0x^+<x_0\hfill \\ x^+,\hfill & x_0x^+\hfill \end{array}`$ (131)
$`x^+`$ $`=`$ $`x^{}`$
which again are straight line segments. The double horizon bifurcates when the ghost pulse arrives, temporarily opening up a trapped region, but the two horizons subsequently merge to form a static wormhole again (Fig. 7(b)). This is not unexpected, since the energy of the ghost pulse, $`ϵ^{}=\mathrm{\Delta }^2x_{0}^{}{}_{}{}^{2}/4`$, balances that of the other pulse:

$$ϵ+ϵ^{}=0.$$
(132)
In fact, the final state is identical to the initial state in this symmetric case. The wormhole can also be returned to a different static state, with different throat radius, by less symmetric double pulses. The examples show that there is no practical problem of fine-tuning the ghost field to keep the wormhole static. An almost static wormhole is still traversible and can be adjusted at any time to bring it closer to staticity, or to change its size. This is essentially due to the neutral stability.

## VIII Conclusion

Space-time wormholes remain in the realms of science fiction and theoretical physics. By the standards of either genre, they are not so far-fetched, differing from experimentally established physics by only one step, the existence of negative energy densities in sufficient concentrations. Here we have not addressed this issue but, assuming a positive answer, have investigated the behaviour of the resulting wormholes, evolving dynamically according to field equations. In particular, we have found detailed answers to the following practical questions. (i) How can one construct a traversible wormhole? By bathing a black hole in exotic radiation. (ii) Is an operating wormhole stable under the back-reaction of the transported matter? In this case, neutrally stable. (iii) How can a wormhole be maintained indefinitely for transport or signalling? By balance of positive and negative energy. (iv) What happens if the negative-energy source fails? The wormhole collapses into a black hole.

This was mostly predicted by a general theory of wormhole dynamics wh , but here we have given concrete examples, by virtue of the exact solubility of the field equations of two-dimensional dilaton gravity. Despite the supposedly unphysical nature of a ghost Klein-Gordon field, fears about instability, runaway processes and naked singularities proved to be unfounded. More realistic situations may differ in some respects, such as wormhole stability, which may be affected by backscattering and will presumably depend on the exotic matter model. However, the same principles and methods should apply, such as energy balance and tracking of trapping horizons. Indeed, apart from the inclusion of exotic matter or radiation, the methods are the same as those used to analyze black-hole dynamics 1st ; bhd . In particular, the explicit examples of dynamic interconversion of black holes and wormholes should assuage objections that they are fundamentally different objects. Rather, wormholes and black holes have similar physics and a unified theory.

S.A. Hayward was supported by Korea Research Foundation grant KRF-2001-015-DP0095, S-W. Kim by Korea Research Foundation grant KRF-2000-041-D00128 and H. Lee by KOSEF grant R01-2000-00015.


format: text

text:
# Temperature predictions for dust embedded AGB stars: how far can we go with synthetic near-infrared photometry ?

## 1. Introduction

Main sequence stars with mass in the range 0.9-9 M evolve through a double shell burning phase, refered to as the asymptotic giant branch (AGB) phase of evolution. This phase is characterized by carbon dredge up of the core to the surface after each thermal pulse - Helium shell flash - (Iben & Renzini 1983).

The temperatures of these objects are very badly known. Although they are highly variable, their determination from static models such as assumed in the BaSeL library can be justified as a first approximation. In order to explore the capabilities of the BaSeL library (Lejeune, Cuisinier & Buser 1997, 1998 and references therein, see also Lastennet, Lejeune & Cuisinier, these proceedings) to predict correct temperatures for such cool AGB stars, we compare our results from synthetic infrared photometry of the stellar photosphere with the detailed study of Lorenz-Martins & Lefèvre (1994) of the AGB carbon star R Fornacis. Their work is based on a modelling of the spectral energy distribution of the dust envelope, where they put tight constraints on the temperature of the heating source.

## 2. R Fornacis as a test case

Table 1 gives the JHKLM photometry of R For (HIP 11582) that we used (Le Bertre, 1992). The photometric errors in the individual JHKLM magnitudes are not provided so we assume an error of 0.2 on each magnitude, according to the maximum uncertainty estimated from Fig. 1 of Le Bertre (1988).

## 3. Method

Although the dust may have a significant contribution in the IR bands of this star, especially L and M, it should only have a secondary influence on the photospheric colours. We intend of course to correct for the predicted differences by a dust model (Lorenz-Martins & Lefèvre, 1993) due to the envelope. However in a first step we merely compare the observed colours of R Fornacis with the photospheric predictions of the BaSeL library (BaSel-2.2 version, with spectral corrections) by minimizing their $`\chi ^2`$ differences.
This $`\chi ^2`$-minimization method is similar to the one applied in Lastennet et al. (2001): we derived the Teff and log g values matching simultaneously the observed JHKLM photometry listed in Tab. 1, assuming a solar metallicity (\[Fe/H\]$`=`$0).

## 4. Preliminary results

We have tested various colour combinations of the J (1.25 $`\mu `$m), H (1.65 $`\mu `$m), K (2.2 $`\mu `$m), L (3.4 $`\mu `$m), and M (5.0 $`\mu `$m) magnitudes: (J$``$H), (H$``$K), (K$``$L), (J$``$K) and (K$``$M). They all give Teff estimates in agreement with the work of Lorenz-Martins & Lefèvre (1994).
Since better constraints should be obtained by matching more than 1 colour, we chose the (J$``$H) and (K$``$M) colours which give the best $`\chi ^2`$-scores. The solutions we get to match simultaneously the observed (J$``$H) and (K$``$M) are presented in Fig. 1. Our best BaSeL-infrared solution is Teff$`=`$2440K111Note: for giants, BaSeL solutions cooler than 2500K are extrapolated., but all the solutions inside the 1-$`\sigma `$ contour are good fits to the observed photometric data. The effective temperature of the central star of R For found by Lorenz-Martins & Lefèvre is Teff$`=`$2650 K (shown as a vertical line on Fig. 1). This is larger by $``$100K than the 1-$`\sigma `$ BaSeL contour but still inside the 2-$`\sigma `$ contour. Additionally the BaSeL models show that this star has a surface gravity log g $``$$``$0.5$`\pm `$0.4, which is what one expects for carbon stars.

## 5. Conclusion

We reported a preliminary study to determine the Teff and surface gravity of the central star of R Fornacis by exploring the best $`\chi ^2`$-fits to the infrared photometric data. These results are in a surprising good agreement - given the approximation we made (no envelope absorption/emission correction) - with the detailed study of Lorenz-Martins & Lefèvre (1994). Therefore, while detailed spectra studies are obviously highly preferred (see e.g. Loidl, Lançon & Jørgensen, 2001), our method may provide a good starting point. If our R Fornacis result is confirmed with other AGB stars, this would mean that the BaSeL JHKLM synthetic photometry is suited to derive (Teff-log g) estimates for cool AGB stars.

### Acknowledgments.

EL acknowledges support from CNPq and FAPERJ, and thanks the conference organizers for a stimulating meeting and for financial support.

## References

Iben I., Renzini A., 1983, ARA&A, 21, 271

Lastennet E., Lignières F., Buser R., Lejeune Th., Lüftinger Th., Cuisinier F., van’t Veer-Menneret C., 2001, A&A, 365, 535

Le Bertre T., 1988, A&A, 190, 79

Le Bertre T., 1992, A&AS, 94, 377

Lejeune Th., Cuisinier F., Buser R., 1997, A&AS, 125, 229

Lejeune Th., Cuisinier F., Buser R., 1998, A&AS, 130, 65

Loidl R., Lançon A., Jørgensen U.G., 2001, A&A, 371, 1065

Lorenz-Martins S., Lefèvre J., 1993, A&A, 280, 567

Lorenz-Martins S., Lefèvre J., 1994, A&A, 291, 831


text:
# 1 Introduction

## 1 Introduction

The cosmological significance of the spectral signature imprinted on the CMB by Compton scattering of the radiation by electrons in a hot intergalactic medium was realized early on by Zeldovich & Sunyaev (1969). A more important manifestation of this effect occurs in clusters of galaxies (Sunyaev & Zeldovich 1972). Measurements of this S-Z effect with single-dish radio telescopes were finally successful some 15 years later (for general reviews, see Rephaeli 1995a, Birkinshaw 1999). Growing realization of the cosmological significance of the effect has led to major improvements in observational techniques, and to extensive theoretical investigations of its many facets. The use of interferometric arrays, and the substantial progress in the development of sensitive radio receivers, have led to first images of the effect (Jones 1993, Carlstrom et al. 1996). Some 40 cluster images have already been obtained with the OVRO and BIMA arrays (Carlstrom et al. 1999, Carlstrom et al. 2001). Theoretical treatment of the S-Z effect has also improved, starting with the work of Rephaeli (1995b), who performed an exact relativistic calculation and demonstrated the need for such a more accurate description.

The S-Z effect is essentially independent of the cluster redshift, a fact that makes it unique among cosmological probes. Measurements of the effect yield directly the properties of the hot intracluster (IC) gas, and the total dynamical mass of the cluster, as well as indirect information on the evolution of clusters. Of more basic importance is the ability to determine the Hubble ($`H_0`$) constant and the density parameter, $`\mathrm{\Omega }`$, from S-Z and X-ray measurements. This method to determine $`H_0`$, which has clear advantages over the traditional galactic distance ladder method based on optical observations of galaxies in the nearby universe, has been yielding increasingly higher quality results. But substantial systematic uncertainties, due largely to modeling of the thermal and spatial distributions of IC gas, need still to be reduced in order to fully exploit the full potential of this method. Sensitive spectral and spatial mapping of the effect, and the minimization of systematic uncertainties in the S-Z and X-ray measurements, constitute the main challenges of current and near future work in this rapidly progressing research area.

I describe the effect and review some of the recent observational and theoretical work that significantly improved its use as a precise cosmological probe. Progress anticipated in the near future is briefly discussed.

## 2 Exact Description of the Effect

The scattering of the CMB by hot gas heats the radiation, resulting in a systematic transfer of photons from the Rayleigh-Jeans (R-J) to the Wien side of the (Planckian) spectrum. An accurate description of the interaction of the radiation with a hot electron gas necessitates the calculation of the exact frequency re-distribution function in the context of a relativistic formulation. The calculations of Sunyaev & Zeldovich (1972) are based on a solution to the Kompaneets (1957) equation, a nonrelativistic  diffusion approximation to the exact kinetic (Boltzmann) equation describing the scattering. The result of their treatment is a simple expression for the intensity change resulting from scattering of the CMB (temperature $`T`$) by electrons with thermal velocity distribution (temperature $`T_e`$),

$$\mathrm{\Delta }I_t=i_oyg(x),$$
(1)
where $`i_o=2(kT)^3/(hc)^2`$. The spatial dependence is contained in the Comptonization parameter, $`y=(kT_e/mc^2)n\sigma _T𝑑l`$, a line of sight integral (through the cluster) over the electron density ($`n`$); $`\sigma _T`$ is the Thomson cross section. The spectral function,

$$g(x)=\frac{x^4e^x}{(e^x1)^2}\left[\frac{x(e^x+1)}{e^x1}4\right],$$
(2)
where $`xh\nu /kT`$ is the non-dimensional frequency, is negative in the R-J region and positive at frequencies above a critical value, $`x=3.83`$, corresponding to $`217`$ GHz. Typically in a rich cluster $`y10^4`$ along a line of sight through the center, and the magnitude of the relative temperature change due to the thermal effect is $`\mathrm{\Delta }T_t/T=2y`$ in the R-J region.

The above thermal intensity change is the full effect only if the cluster is at rest in the CMB frame. Generally, the effect has a second component when the cluster has a finite (peculiar) velocity in the CMB frame. This kinematic (Doppler) component is

$$\mathrm{\Delta }I_k=\frac{x^4e^x}{(e^x1)^2}\frac{v_r}{c}\tau ,$$
(3)
where $`v_r`$ is the line of sight component of the cluster peculiar velocity, $`\tau `$ is the Thomson optical depth of the cluster. The related temperature change is $`\mathrm{\Delta }T_k/T=(v_r/c)\tau `$ (Sunyaev & Zeldovich 1980).

The quantitative nonrelativistic description of the two components of the S-Z effect by Sunyaev & Zeldovich (1972) is generally valid at low gas temperatures and at low frequencies. Rephaeli (1995b) has shown that this approximation is insufficiently accurate for use of the effect as a precise cosmological probe: Electron velocities in the IC gas are high, and the relative photon energy change in the scattering is sufficiently large to require a relativistic calculation. Using the exact probability distribution in Compton scattering, and the relativistically correct form of the electron Maxwellian velocity distribution, Rephaeli (1995b) calculated $`\mathrm{\Delta }I_t`$ in the limit of small $`\tau `$, keeping terms linear in $`\tau `$ (single scattering). Results of this semi-analytic calculation, shown in Figure 1, demonstrate that the relativistic spectral distribution of the intensity change is quite different from that derived by Sunyaev & Zeldovich (1972). Deviations from their expression increase with $`T_e`$ and can be quite substantial. These are especially large near the crossover frequency, which shifts to higher values with increasing gas temperature.

The results of the semi-analytic calculations of Rephaeli (1995b) generated considerable interest which led to various generalizations and extensions of the relativistic treatment. Challinor & Lasenby (1998) generalized the Kompaneets equation and obtained analytic approximations to its solution for the change of the photon occupation number by means of a power series in $`\theta _e`$ = $`kT_e/mc^2`$. Itoh et al. (1998) adopted this approach and improved the accuracy of the analytic approximation by expanding to fifth order in $`\theta _e`$. Sazonov & Sunyaev (1998) and Nozawa et al. (1998) have extended the relativistic treatment also to the kinematic component obtaining – for the first time – the leading cross terms in the expression for the total intensity change ($`\mathrm{\Delta }I_t+\mathrm{\Delta }I_k`$) which depends on both $`T_e`$ and $`v_r`$. An improved analytic fit to the numerical solution, valid for $`0.02\theta _e0.05`$, and $`x20`$ ($`\nu 1130`$ GHz), has recently been given by Nozawa et al. (2000). In view of the possibility that in some rich clusters $`\tau 0.020.03`$, the approximate analytic expansion to fifth order in $`\theta _e`$ necessitates also the inclusion of multiple scatterings, of order $`\tau ^2`$. This has been accomplished by Itoh et al. (2000), and Shimon & Rephaeli (2001).

The more exact relativistic description of the effect should be used in all high frequency S-Z work, especially when measurements of the effect are used to determine precise values of the cosmological parameters. Also, since the ability to determine peculiar velocities of clusters depends very much on measurements at (or very close to) the crossover frequency, its exact value has to be known. This necessitates knowledge of the gas temperature since in the exact relativistic treatment the crossover frequency is no longer independent of the gas temperature, and is approximately given by $`217[1+1.167kT_e/mc^20.853(kT_e/mc^2)^2]`$ GHz (Nozawa et al. 1998a). Use of the S-Z effect as a cosmological probe necessitates also X-ray measurements to determine (at least) the gas temperature. Therefore, a relativistically correct expression for the (spectral) bremsstrahlung emissivity must be used (Rephaeli & Yankovitch 1997). In the latter paper first order relativistic corrections to the velocity distribution, and electron-electron bremsstrahlung, were taken into account in correcting values of $`H_0`$ that were previously derived using the nonrelativistic expression for the emissivity (see also Hughes & Birkinshaw 1998). Nozawa et al. (1998b) have performed a more exact calculation of the relativistic bremsstrahlung Gaunt factor.

Scattering of the CMB in clusters affects also its polarization towards the cluster. Net polarization is induced due to the quadrupole component in the spatial distribution of the radiation, and when the cluster peculiar velocity has a component transverse to the line of sight, $`v_{}`$ (Sunyaev & Zeldovich 1980, Sazonov & Sunyaev 1999). The leading contributions to the latter, kinematically-induced polarization, are proportional to $`(v_{}/c)\tau ^2`$ and $`(v_{}/c)^2\tau `$. Itoh et al. (2000) have included relativistic corrections in the expression they derived for the kinematically induced polarization.

## 3 Recent Measurements

The quality of S-Z measurements has increased very significantly over the last seven years mainly as a result of the use of interferometric arrays. Telescope arrays have several major advantages over a single dish, including insensitivity of the measurements to changes in the atmospheric emission, sensitivity to specific angular scales and to signals which are correlated between the array elements, and the high angular resolution that enables nearly optimal subtraction of signals from point sources. With the improved sensitivity of radio receivers it became feasible to use interferometric arrays for S-Z imaging measurements (starting with the use of the Ryle telescope by Jones et al. 1993). Current state-of-the-art work is done with the BIMA and OVRO arrays; images of some 35 moderately distant clusters (in the redshift range $`0.170.89`$) have already been obtained at $`30`$ GHz (Carlstrom et al. 1999, 2001). The S-Z image of the cluster CL0016+16, observed at 28 GHz with the BIMA array (Carlstrom et al. 1999), is shown in the upper frame in Figure 2. The ROSAT X-ray image is superposed on the contour lines of the S-Z profile in the lower frame. These images nicely demonstrate the good agreement between the orientation of the X-ray and S-Z brightness distributions, as well as the relative smallness of the X-ray size ($`n^2`$) in comparison with the S-Z size ($`n`$) of the cluster.

Work has begun recently with the CBI, a new radio (26-36 GHz) interferometric array (in the Chilean Andes) of small (0.9m) dishes on a platform with baselines in the 1m to 6m range. The spatial resolution of the CBI is in the $`3^{}10^{}`$ range, so (unlike the BIMA and OVRO arrays) it is suitable for S-Z measurements of nearby clusters. Some 9 clusters have already been observed with the CBI (Udomprasert et al. 2000).

S-Z observations at higher frequencies include measurements with the SuZIE array, and the PRONAOS and MITO telescopes. Three moderately distant clusters were measured with the small (2X3) SuZIE array: A1689 & A2163 (Holzapfel et al. 1997a, 1997b), and recently the cluster A1835 was observed at three spectral bands centered on 145, 221, 279 GHz (Mauskopf et al. 2000). Observations at four wide spectral bands (in the overall range of 285-1765 GHz) were made of A2163 with the PRONAOS atmospheric 2m telescope (Lamarre et al. 1998), leading to what seems to be the first detection of the effect by a balloon-borne experiment. The new 2.6m MITO telescope – which currently operates at four spectral bands and has a large $`17^{}`$ beam – was used to observe the effect in the Coma cluster (D’Alba et al. 2001).

The sample of observed clusters now includes the distant (z=0.45) cluster RXJ 1347 which was measured to have the largest determined Comptonization parameter, $`y=1.2\times 10^3`$ (Pointecouteau et al. 1999). The observations were made with the Diabolo bolometer operating at the IRAM 30m radio telescope. The Diabolo has a $`0.5^{}`$ beam, and a dual channel bolometer (centered on 2.1 and 1.2 mm). Four other clusters were also observed with the Diabolo bolometer (Desert et al. 1998).

## 4 The S-Z Effect as a Cosmological Probe

The fact that the S-Z effect is (essentially) independent of the cluster redshift makes it a unique cosmological probe. This feature, its simple well understood nature, and the expectation that the inherent systematic uncertainties associated mainly with modeling of the IC gas can be reduced, have led to ever growing observational and theoretical interest in using the effect for the determination of cluster properties and global cosmological parameters. (For extensive discussions of use of the effect as a probe, see the reviews by Rephaeli 1995a, and Birkinshaw 1999.)

In principle, high spatial resolution measurements of the S-Z effect yield the gas temperature and density profiles across the cluster. Cluster gas density and temperature profiles have so far been mostly deduced from X-ray measurements. S-Z measurements can more fully determine these profiles due to the linear dependence of $`\mathrm{\Delta }I_t`$ on $`n`$ (and $`T`$), as compared to the $`n^2`$ dependence of the (thermal bremsstrahlung) X-ray brightness profile. This capability has been reached for the first time in the analysis of the interferometric BIMA and OVRO images (Carlstrom et al. 2001).

The cluster full mass profile, $`M(r)`$, can be derived directly from the gas density and temperature distributions by solving the equation of hydrostatic equilibrium (assuming, of course, the gas has reached such a state in the underlying gravitational potential). This method has already been employed in many analyses using X-ray deduced gas parameters (e.g. Fabricant et al. 1980). Grego et al. (2001) have recently used this method to determine total masses and gas mass fractions of 18 clusters based largely on the results of their interferometric S-Z measurements. Isothermal gas with the familiar density profile, $`(1+r^2/r_c^2)^{3\beta /2}`$, was assumed. The core radius, $`r_c`$, and $`\beta `$ were determined from analysis of the S-Z data, whereas the X-ray value of the temperature was adopted. Mean values of the gas mass fraction were found to be in the range $`(0.060.09)h^1`$ (where $`h`$ is the value of $`H_0`$ in units of $`100`$ km s-1 Mpc-1) for the currently popular open and flat, $`\mathrm{\Lambda }`$-dominated, CDM models. Note that the deduction of an approximate 3D density and temperature distributions from their sky-projected profiles requires use of a deprojection algorithm. Such an algorithm was developed by Zaroubi et al. (1998).

Measurement of the kinematic S-Z effect yields the line of sight component of the cluster peculiar velocity ($`v_r`$). This is observationally feasible only in a narrow spectral band near the critical frequency, where the thermal effect vanishes while the kinematic effect – which is usually swamped by the much larger thermal component – is maximal (Rephaeli & Lahav 1991). SuZIE is the first experiment with a spectral band centered on the crossover frequency. Measurements of the clusters A1689 and A2163 (Holzapfel et al. 1997b) and A1835 (Mauskopf et al. 2000) yielded substantially uncertain results for $`v_r`$ ($`170_{630}^{+815}`$, $`490_{880}^{+1370}`$, and $`500\pm 1000`$ km s-1, respectively). Balloon-borne measurements of the effect with PRONAOS have also yielded insignificant determination of the peculiar velocity of A2163 (Lamarre et al. 1998).

Most attention so far has been given to the determination of the Hubble constant, $`H_0`$, and the cosmological density parameter, $`\mathrm{\Omega }`$, from S-Z and X-ray measurements. Briefly, the method is based on determining the angular diameter distance, $`d_A`$, from a combination of $`\mathrm{\Delta }I_t`$, the X-ray surface brightness, and their spatial profiles. Averaging over the first eight determinations of $`H_0`$ (from S-Z and X-ray measurements of seven clusters) yielded $`H_058\pm 6`$ km s-1 Mpc-1 (Rephaeli 1995a), but the database was then very non-uniform and the errors did not include systematic uncertainties. Repeating this with a somewhat updated data set, Birkinshaw (1999) deduced essentially a similar mean value ($`60`$ km s-1 Mpc-1), but noted that the individual measurements are not independent, so that a simple error estimation is not very meaningful. A much larger S-Z data set is now available from the interferometric BIMA and OVRO observations, and since the redshift range of the clusters in the sample is substantial, the dependence on $`\mathrm{\Omega }`$ is appreciable. A fit to 33 cluster distances gives $`H_0=60`$ km s-1 Mpc-1 for $`\mathrm{\Omega }=0.3`$, and $`H_0=58`$ km s-1 Mpc-1 for $`\mathrm{\Omega }=1`$, with direct observational errors of $`\pm 5\%`$ (Carlstrom et al. 2001). The main known sources of systematic uncertainties (see discussions in Rephaeli 1995a, and Birkinshaw 1999) are presumed to introduce an additional error of $`30\%`$ (Carlstrom et al. 2001). The current number of clusters with S-Z determined distances is sufficiently large that a plot of $`d_A`$ vs. redshift (a Hubble diagram) is now quite of interest, but with the present level of uncertainties the limits on the value of $`\mathrm{\Omega }`$ are not very meaningful (as can be seen from figure 11 of Carlstrom et al. 2001).

The S-Z effect induces anisotropy in the spatial distribution of the CMB (Sunyaev 1977, Rephaeli 1981); this is the main source of secondary anisotropy on angular scales of few arcminutes. The magnitude of the temperature anisotropy, $`\mathrm{\Delta }T/T`$ can be as high as $`few\times 10^6`$ on angular scales of a few arcminutes, if the gas evolution in clusters is not too strong (Colafrancesco et al. 1994). Because of this, and the considerable interest in this range of angular scales – multipoles (in the representation of the CMB temperature in terms of spherical harmonics) $`\mathrm{}1000`$ – the S-Z anisotropy has been studied extensively in the last few years. The basic goal has been to determine the S-Z anisotropy in various cosmological, large scale structure, and IC gas models. The anisotropy is commonly characterized by the $`\mathrm{}`$ dependence of its power spectrum. The strong motivation for this is the need to accurately calculate the power spectrum of the full anisotropy in order to make precise global parameter determinations from the analysis of large stratospheric and satellite databases. In addition, mapping the S-Z anisotropy will yield direct information on the evolution of the cluster population.

Results from many calculations of the predicted S-Z anisotropy are not always consistent even for the same cosmological and large scale structure parameters. This is simply due to the fact that the calculation involves a large number of input parameters in addition to the global cosmological parameters (e.g. the present cluster density, and parameters characterizing the evolutionary history of IC gas), and the sensitive dependence of the anisotropy on some of these. The anisotropy can be more directly estimated from simulations of the S-Z sky, based largely on results from cluster X-ray surveys and the use of simple scaling relations (first implemented by Markevitch et al. 1992).

The observational capabilities of upcoming long duration balloon-borne experiments and satellites are expected to result in detailed mapping of the small angular scale anisotropy. These have motivated many recent works; Colafrancesco et al. (1997), and Kitayma et al. (1998), have calculated the S-Z cluster number counts in an array of open and flat cosmological and dark matter models, and da Silva et al. (1999) have carried out hydrodynamical simulations in order to generate S-Z maps and power spectra. Cooray et al. (2000) have, in particular, concluded that the planned multi-frequency survey with the Planck satellite should be able to distinguish between the primary and S-Z anisotropies, and measure the latter with sufficient precision to determine its power spectrum and higher order correlations.

The main characteristics of the predicted power spectrum of the induced S-Z anisotropy are shown in Figure 3. Plotted are the angular power spectra, $`C_{\mathrm{}}(\mathrm{}+1)/2\pi `$, vs. the multipole, $`\mathrm{}`$, for both the primary and S-Z induced anisotropies in the (currently fashionable) flat cosmological model with $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$ (where $`\mathrm{\Lambda }`$ is the cosmological constant) and with a CDM density parameter $`\mathrm{\Omega }_M=0.3`$. The figure is from the work of Sadeh and Rephaeli (2001), who studied the S-Z anisotropy in the context of treatment (which is an extension of the approach adopted by Colafrancesco et al. 1997) which is based on a Press & Schechter cluster mass function, normalized by the observed X-ray luminosity function (see also Colafrancesco et al. 1994). IC gas was assumed to evolve in a simple manner consistent with the results of the EMSS survey carried out with the Einstein satellite. The primary anisotropy was calculated using the CMBFAST code of Seljak & Zaldarriaga (1996). The solid line shows the primary anisotropy which dominates over the S-Z anisotropy for $`\mathrm{}<3000`$. The S-Z power is largely due to the thermal effect; this rises with $`\mathrm{}`$ and is maximal around $`\mathrm{}1000`$. In this model, the S-Z power spectrum contributes a fraction of 5% (10%) to the primary anisotropy at $`\mathrm{}1520`$ ($`\mathrm{}1840`$). It can be concluded from this (and other studies) that the S-Z induced anisotropy has to be taken into account, if the extraction of the cosmological parameters from an analysis of measurements of the CMB power spectrum at $`\mathrm{}>1500`$ is to be precise.

## 5 Future Prospects

The S-Z effect is a unique cosmological and cluster probe. In the near future sensitive observations of the effect with ground-based and balloon-borne telescopes, equipped with bolometric multi-frequency arrays, are expected to yield high-quality measurements of its spectral and spatial distributions in a The capability to measure the effect at several high-frequency bands (in the range $`150450`$ GHz) will make it possible to exploit the S-Z characteristic spectrum as a powerful diagnostic tool. The main limitation on the accuracy of the cosmological parameters will continue to be due to systematic uncertainties. Therefore, the most significant results will be obtained from measurements of the effect in nearby clusters, $`z0.1`$, where systematic uncertainties can be most optimally reduced. The combination of S-Z measurements of a large number of clusters with the new generation of bolometric arrays, and the improved X-ray data which are currently available from observations of clusters with the XMM and Chandra satellites, will greatly improve the accuracy of the derived values of cluster masses, and of the Hubble constant. In particular, it will be possible to measure $`H_0`$ with an overall uncertainty of just $`5\%`$.


text:
# The Munich Near-Infrared Cluster Survey (MUNICS) – Number density evolution of massive field galaxies to 𝑧∼1.2 as derived from the 𝐾-Band Selected Survey

## 1 Introduction

Significant progress has been made in understanding galaxy evolution in recent years due to results of statistically significant and complete redshift surveys spanning the redshift range $`0<z1`$ (Lilly et al., 1995; Ellis et al., 1996; Lin et al., 1997, 1999) and due to detailed kinematic and stellar population studies of small samples of galaxies (e.g. Kelson et al., 2001; van Dokkum et al., 2001; Vogt et al., 1996; Bender et al., 1996). On the theoretical side, semi-analytic models of galaxy formation (Kauffmann et al., 1993; Somerville & Primack, 1999; Cole et al., 2000) try to reproduce properties of galaxies in the local universe and predict their evolution with redshift within the framework of a hierarchical CDM-dominated universe.

The traditional observables used to characterize galaxies are unsuitable for studying the assembly history of galaxies, one of the most fundamental predictions of CDM models, since these observables may be transient. The best observable for this aim is, in principle, total mass, which is on the other hand very hard to measure. It has been argued that the best available surrogate accessible to direct observation is the near-IR $`K`$-band luminosity of a galaxy which reflects the mass of the underlying stellar population and is least sensitive to bursts of star formation and dust extinction (Rix & Rieke, 1993; Kauffmann & Charlot, 1998; Brinchmann & Ellis, 2000). The main uncertainty involved in the conversion of $`K`$-band light to mass is due to the age of the population, amounting to only a factor of two in mass uncertainty for populations older than $`3`$ Gyr.

In this paper we use the $`K`$-band selected field galaxy sample of the medium deep, wide-field Munich Near-IR Cluster Survey (MUNICS) to study the number density evolution of massive galaxies. See Drory et al. (2001) for details of the survey (MUNICS1 hereafter). Data presented here refer to $`5000`$ galaxies for which high quality VRIJK imaging covering 0.27 square degrees is available (see §2). The distances of the galaxies are derived from spectroscopically calibrated photometric redshifts (§3) and their masses from rest-frame $`K`$-band luminosities (§4). We discuss the resulting integrated stellar mass functions at different mass limits and their evolution with redshift (§5).

We assume $`\mathrm{\Omega }_M=0.3`$, $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$ throughout this paper. We write Hubble’s Constant as $`H_0=100h\mathrm{km}\mathrm{s}^1\mathrm{Mpc}^1`$, using $`h=0.60`$ unless explicit dependence on $`h`$ is given.

## 2 The Galaxy Sample

The galaxy sample used here is a subsample of the MUNICS survey, selected for best photometric homogeneity, good seeing, and similar depth. Furthermore, in each of the remaining survey patches, areas close to the image borders in any passband, areas around bright stars, and regions suffering from blooming are excluded. The subsample covers 0.27 square degrees in $`V`$ (23.5), $`R`$ (23.5), $`I`$ (22.5), $`J`$ (21.5), and $`K`$ (19.5); the magnitudes are in the Vega system and refer to 50% completeness for point sources.

Stars were identified following the procedure described in MUNICS1 which relies on the combined information of PSF shape and colors in the $`JK`$ vs. $`VI`$ plane. The color criteria may also exclude $`z0.25`$ compact blue galaxies. Such galaxies are very unlikely to be present in the $`K`$-selected sample. Since we restrict our analysis to $`z>0.4`$ this is anyway not a problem.

The final catalog covers an area of 997.7 square arc minutes and contains 5132 galaxies. The fields included in this analysis are S2, S3f5–8, S5, S6, and S7f5–8. See Table 1 in MUNICS1 for nomenclature and further information on the survey fields.

## 3 Photometric Redshifts

Photometric redshifts were derived using the method presented in Bender et al. (2001). This method is a template matching algorithm rooted in Bayesian statistics. It closely resembles the method presented by Benítez (2000). The templates are derived by fitting stellar population models of Maraston (1998) to combined broad-band energy distributions of MUNICS galaxies with spectroscopic redshifts. In this way, representative galaxy templates of mixed stellar populations (variable age, metallicity, and dust extinction) optimized for the MUNICS dataset are obtained.

The use of photometric redshifts can introduce systematic errors in the derived galaxy distances. To investigate these errors, we performed the following tests: 1) Templates were derived for a subsample of objects with spectroscopic redshifts and their suitability for the whole galaxy sample was verified using the remaining objects with spectroscopy. 2) Using subsets of the template library, we estimated the errors in the luminosity and mass functions introduced by a finite (and incomplete) set of templates. These were included in our error budget in the analysis. 3) Monte-Carlo simulations were performed to investigate the influence of photometric redshift errors on the luminosity function (LF) and the galaxy number densities. The shape of the LF is not significantly biased as long as the photometric redshifts scatter symmetrically around the true redshifts (see also Subbarao et al., 1996) and their errors are smaller than the bin size in $`z`$ over which the luminosity function is averaged.

Fig. 1 shows the comparison of photometric and spectroscopic redshifts for 310 objects within 5 MUNICS fields. The typical scatter in the relative redshift error $`\mathrm{\Delta }z/(1+z)`$ is 0.075. The mean bias is negligible. The distribution of photometric redshifts peaks around $`z0.5`$. and has a tail extending to $`z3`$.

To further strengthen the confidence in the photometric redshifts we show the restframe $`K`$-band luminosity function (LF) obtained from these data in Fig. 2.

The LF shows no significant evolution up to a redshift of 1.2, in agreement with the finding of Cowie et al. (1996) from a much smaller spectroscopic sample.

## 4 The Integrated Stellar Mass Function

The integrated stellar mass function $`n(>_{\mathrm{lim}})`$, the comoving number density of objects having stellar mass exceeding $`_{\mathrm{lim}}`$, is computed using the $`V_{\mathrm{max}}`$ formalism to account for the fact that some fainter galaxies are not visible in the whole survey volume. Each galaxy in a given redshift bin $`[z_l,z_h)`$ contributes to the number density an amount inversely proportional to the volume in which the galaxy is detectable in the survey:

$$V_i=d\mathrm{\Omega }_{z_l}^{\mathrm{min}(z_h,z_{max})}\frac{dV}{dz}𝑑z,$$
(1)
where $`dV/dz`$ is the comoving volume element, $`d\mathrm{\Omega }`$ is the survey area, $`z_{max}`$ is the maximum redshift at which galaxy $`i`$ having absolute magnitude $`M_{K,i}`$ is still detectable given the limiting apparent magnitude of the survey and the galaxy’s SED (the best-fit SED from the photometric redshift determination).

Additionally, the contribution of each galaxy $`i`$ is weighted by the inverse of the detection probability, $`P(m_{K,i})`$, where we assume that the detection probability is independent of the galaxy type and can be approximated by that of point-like sources. We use only objects with $`P(m_{K,i})>0.75`$, such that this correction is always small. We have checked that this correction does not bias our results by comparing to what we get for higher completeness limits.

To compute the stellar mass of a galaxy, we use an approach which maximizes the stellar mass for any $`K`$-band luminosity at any redshift. Noting that $`/L_K`$ is a monotonically rising function of age for Simple Stellar Populations (SSPs), we find that the likely upper limit for $`/L_K`$ is the mass-to-light ratio of a SSP which is as old as the universe at the galaxy’s redshift. This is the most extreme case of passive luminosity evolution (PLE) one can adopt. It corresponds to a situation where all massive galaxies would be of either elliptical, S0, or Sa type. We take the mass-to-light ratios from the SSP models published by Maraston (1998), using a Salpeter IMF. Similar dependencies on age are obtained from the models of Worthey (1994) and Bruzual & Charlot (1993) although the absolute values of $`/L_K`$ vary somewhat. The $`/L_K`$ which we obtain with our cosmological parameters at $`z0.5`$ are approximately consistent with $`/L_K`$ of local galaxies (Bell & de Jong, 2001). To obtain a more realistic estimate of $`/L_K`$, we used our VRIJK color information and the photometric redshift to fit the age and SFR of each galaxy using a grid of composite stellar populations with exponential star formation timescales ranging from 1 to 8 Gyr. We obtain the same slope in the evolution of the average $`/L_K`$ with redshift as the one obtained under the PLE assumption. This modelling will be described in detail in a forthcoming paper.

The mass in solar units is given by

$$=\left(\frac{}{L_K}\right)10^{0.4(M_KM_{,K})},$$
(2)
using $`M_{,K}=3.33`$.

The number density in each redshift bin, $`n(>_{\mathrm{lim}},z)`$, is finally computed by summing over all galaxies in the bin whose stellar mass is exceeding $`_{\mathrm{lim}}`$,

$$n(>_{\mathrm{lim}},z)=\underset{i}{}\frac{1}{V_iP(m_{K,i})}.$$
(3)
The resulting integrated mass functions for $`_{\mathrm{lim}}=2\times 10^{10}h^2_{}`$, $`_{\mathrm{lim}}=5\times 10^{10}h^2_{}`$, and $`_{\mathrm{lim}}=1\times 10^{11}h^2_{}`$ are shown in Fig. 3 along with the integrated luminosity functions for comparison. The mean values of $`/L_K`$ in the maximum PLE model in the four redshift bins are $`0.99`$, $`0.83`$, $`0.73`$, and $`0.65`$, as computed from the look-back time in our cosmology. With these mean values the mass limits correspond to absolute $`K`$-band magnitudes of $`22.43`$, $`22.63`$, $`22.77`$, and $`22.90`$, respectively, for $`_{\mathrm{lim}}=2\times 10^{10}h^2_{}`$. For $`_{\mathrm{lim}}=5\times 10^{10}h^2_{}`$ the numbers are $`23.42`$, $`23.62`$, $`23.76`$, and $`23.89`$. Finally, for $`_{\mathrm{lim}}=1\times 10^{11}h^2_{}`$ we have $`24.18`$, $`24.38`$, $`24.51`$, and $`24.64`$ (magnitudes with respect to $`h=1`$).

## 5 Discussion

Fig. 3 compares the evolution of the integrated luminosity to the integrated mass. It is evident that the number density of luminous $`K`$-band selected galaxies does not evolve significantly (given our uncertainties) to $`z=1.2`$. However, because of the inevitable evolution of the mass-to-light ratio with $`z`$, the number density of massive systems does change. Transforming luminosities into masses with our maximum PLE scheme yields a roughly constant number density for our lowest mass limit, $`2\times 10^{10}h^2_{}`$, and a decrease of the number density with redshift by a factor of $`3`$ for a mass limit of $`5\times 10^{10}h^2_{}`$, and by a factor $`6`$ for objects more massive than $`1\times 10^{11}h^2_{}`$. As the true $`/L_K`$ at high redshift will most likely be lower than in our maximum PLE model, the true number densities are likely to decrease more rapidly with redshift.

The steepening of the curves with increasing limiting mass in the maximum PLE case (despite them all having the same mass-to-light ratios at any given redshift) is due to the invariance of the LF with redshift and its steepness at the bright end. At increasing limiting mass, one is moving down the steepening bright end of the LF, so that the same change in the mass-to-light ratio yields a higher change in the number density.

The main uncertainty in this conclusion is still the field to field variation, in spite of the relatively large area surveyed, followed by the choice of SED templates used in the photometric redshift code (see above). The size of the open symbols in Fig. 3 represents our estimate of the total uncertainty of the mean values. If we assume a Gould IMF (Gould et al., 1998) instead of a Salpeter IMF, the evolving $`/L_K`$ curve becomes lower in its normalization as the mass-to-light ratio becomes smaller due to the reduced number of low-mass stars. The slope does not change significantly.

The observed density evolution as a function of mass is qualitatively consistent with the expectation from hierarchical galaxy formation models. Most rapid evolution is predicted for the number density of the most massive galaxies while the number density of $`L^{}`$-galaxies should evolve much less. E.g. Baugh et al. (1998) predict that the number density of galaxies of a stellar mass of $`10^{10}h^1_{}`$ decreases by a factor of $`3.1`$ over redshift range $`0.4<z<1.2`$ (for the cosmological parameters as used here). Though this agreement is encouraging, both more elaborated models and improved sets of data are required. The latter can be obtained by larger and deeper samples, and more realistic estimates of $`/L_K`$.

We would like to thank the Calar Alto staff for their long-standing support during many observing runs over the last five years. This work was partly supported by the Deutsche Forschungsgemeinschaft, grant SFB 375 “Astroteilchenphysik” and the German Federal Ministry of Education and Research (BMBF), grant 05 AV9WM1/2. ND would like to thank S. White and G. Kauffmann for helpful discussions. GJH acknowledges support by the Texas Advanced Research Program under Grant No. 009658-0710-1999. CMdO acknowledges support from FAPESP (Fundação de Amparo a Pesquisa do Estado de São Paulo) and the Alexander von Humboldt Foundation.


text:
# Supermassive Black Holes in Galactic Nuclei

## 1 Introduction

Two news have recently kindled the field of the quasars and active galactic nuclei.

The first concerns the farthest objects. Not only single quasars (QSs) have been detected at redshifts out to $`z=6.28`$, but also the statistics at $`z5`$ has improved to the point of outlining the bright section of the luminosity function (Fan et al. 2001a, 2001b).

These findings confirm that the population of the optically selected objects goes through the most sharp and non-monotonic of evolutions. The comoving density of the bright sources rises on the scale of a few Gyrs from the Bang, to peak at around $`z3`$ (Shaver et al. 1996); later on it turns over and falls by factors $`10^2`$ toward us (Boyle et al. 2000). A similar message comes from the radio band, see Jackson & Wall (1999).

The second piece of news concerns the cores of many local galaxies, where massive dark objects (MDOs) ranging from a few $`10^6`$ to a some $`10^9M_{}`$ had been detected within regions from a few to tens of pcs, see Richstone et al. (1998). Now (Ferrarese & Merritt 2000; Gebhardt et al. 2000) such masses are found to correlate tightly with the velocity dispersion in the body of the surrounding host galaxies.

The MDO masses fit into the framework provided by the long standing arguments (see Lynden-Bell 1969) that indicate gravitational contraction rather than thermonuclear burning to be the dominant source of QS output. We just recall this conclusion to hinge upon the high bolometric power $`L>10^{45}`$ erg s-1 of many such sources, and on the high compactness with sizes down to $`R10^{15}`$ cm indicated for some of them; it also requires an overall efficiency up to $`\eta 10^1`$ for conversion of gravitational into radiative power.

But then the argument may be carried on to evaluating the masses involved (Cavaliere et al. 1983); in terms of $`M_8=M/10^8M_{}`$ these read

$$M_83(L_{45}\mathrm{\Delta }t_1R_{15}/\eta _1)^{1/2},$$
$`(1)`$
where we have used $`L_{45}=L/10^{45}`$ erg s-1, $`R_{15}=R/10^{15}`$ cm, and the source life time $`\mathrm{\Delta }t=\mathrm{\Delta }t_1\mathrm{\hspace{0.17em}10}^1`$ Gyr. Such masses are consistent with the MDO observations.

Here we intend to link the largest values of $`M`$ with the early QSs, and to discuss how such a relation is to be extended into the range of lower redshifts and smaller masses.

## 2 Black holes and their environment

The accreting black hole (BH) paradigm not only best accounts for the small sizes and the top efficiencies required, but also provides to the spent masses the stability of a terminal configuration (Rees 1984). Nailing down the indication from eq. (1), a BH keeps full record of the mass

$$M=𝑑tL(t)/\eta c^2$$
$`(2)`$
accreted over the life of an active galactic nucleus.

Meanwhile, the induced bolometric luminosities

$$L\eta c^2\mathrm{\Delta }m/\mathrm{\Delta }t$$
$`(3)`$
are tuned (even at constant $`\eta 10^1`$) by the mass $`\mathrm{\Delta }m`$ accreted over a time $`\mathrm{\Delta }t`$, and cover a wide dynamic range: from Eddington self-limiting conditions governed by radiation pressure that yield $`LL_E10^{46}M_8`$ erg s-1, to supply-limited accretion (Cavaliere & Padovani 1989) that easily allows only sub-Eddington emission.

Thus strong gravity is not enough. Equally important are the environmental conditions in, or surrounding the host galaxy; these can drive widely ranging accretion rates from $`10^3`$ or less, up to some $`10^2M_{}`$ yr-1. In addition, it is the cosmological change of the environment that qualifies to govern the QS evolution; in fact, both occur on time scales $`t_{ev}`$ a few Gyrs such that $`\eta t_Et_{ev}H_0^1`$ holds.

In turn, the environmental conditions are described by the other paradigm, the hierarchical growth and clustering of dark matter (DM) halos, wherein the galaxies constitute lighter baryonic cores (White & Rees 1978). This implies substantial dynamical events to occur, at early $`z`$ in the strong form of merging between comparable subgalactic units, later on as milder interactions of galaxies in groups.

All these dynamical events tend to break on scales of kpcs the axial symmetry of the galactic gravitational potential, or enhance its steady asymmetry; relatedly, the specific angular momentum $`j`$ providing support to the gas in the central kpc of the host is not conserved, rather it is transferred to the massive DM component. Thus the necessary condition is provided for destabilizing and funneling inward a sizeable gas fraction. At smaller scales dissipative processes take over to redistribute $`j`$ (Haehnelt & Rees 1993), and cause the gas to reach the nuclear accretion disk and grow new BHs or refuel the old ones.

To link BH growth and QS luminosities we follow Cavaliere & Vittorini (2000) and disentangle the triggering dynamical events into two main regimes, roughly divided by the epoch of group formation $`z_G2.5\pm 0.5`$, depending on cosmological/cosmogonical parameters.

## 3 QSs in forming spheroids for $`z>`$ 3

The self-limited regime occurs mainly at epochs before $`z_G`$, when galactic spheroids are built up through major merging events between halos with $`M_h<10^{13}M_{}`$. These events destabilize large amounts of gas, but also replenish the host structures with fresh supplies and sustain the gas amount at the cosmic level $`m10^1M_h`$.

As a consequence, central BHs can form and/or accrete rapidly, growing by $`\mathrm{\Delta }mM`$ over dynamical times close to the Salpeter scale, $`t_{dyn}\eta t_E`$; so after eq. (3) they attain Eddington luminosities $`LL_EM`$.

In turn, $`M`$ is related to $`M_h`$; two specific models bracket the processes involved, see Cavaliere & Vittorini 1998 (CV98), Hosokawa et al. (2001). Haehnelt & Rees (1993) considered BH coalescence in parallel with merging of their halos; this process (hereafter model A) is described by the simple scaling

$$M10^4M_h.$$
$`(4A)`$
Alternatively, Haehnelt, Natarajan & Rees (1998) proposed the feedback-constrained model B where the scaling reads

$$M_8(1+z)^{5/2}M_{h,13}^{5/3}.$$
$`(4B)`$
This is because during halo merging a central BH may also accrete gas up to the limit

$$ϵL_Et_{dyn}<\text{ }GM_hm/r;$$
$`(5)`$
this is set by gas unbinding from the halo potential well, due to the deposition of an (uncertain) fraction $`ϵ10^2`$ of the QS radiation (Silk & Rees 1998).

With both models (4A) and (4B) the early QSs are expected to grow in average luminosity and in number, tracking the development of protogalactic halos over the range from $`M_h10^{10}`$ toward $`10^{13}M_{}`$. The evolving halo mass distribution is widely taken in the form $`N_{PS}(M_h,z)`$ first proposed by Press & Schechter (1974); the positive term of its time derivative provides the rate of halo formation, and yields (see CV98) the luminosity function (LF) in the form

$$N(L,z)dL=\mathrm{\Delta }t_tN_{PS}(M_h,z)dM_h,$$
$`(6)`$
with the prefactor $`\mathrm{\Delta }t\eta t_E`$ accounting for the limited source lifetime.

Fig. 1 shows the optical LFs provided by such models. We stress that model (4B) by the very means of its non-linear transformation stretches the halo distribution into flatter, more fitting LFs and predicts a stronger (negative) evolution. By the same token, it also associates bright QSs with the largest galactic halos, consistent with the data discussed by Hamilton, Casertano & Turnshek (2000).

Both models are normalized to the data at $`z4`$. But model (4B) privileges the upper halo range where $`N(M_h)`$ decreases steeply, so it provides BH numbers smaller and naturally close to one large BH per actively star forming protogalaxy of intermediate (Steidel et al. 1999) or large mass (Granato et al. 2001).

In either model, the early mass distribution $`N(M,z)`$ is directly related to $`N_{PS}(M_h,z)`$; the model (4B) yields the result represented by the thick solid line in fig. 2.

## 4 QS$`s`$ in interacting galaxies for $`z<3`$

After $`zz_G`$ the galaxies are assembled into small groups of mass $`M_G>\text{ }10^{13}M_{}`$, where the dominant member recurrently interacts with its companions, to the effect of refueling and rekindling an old BH; growing evidence (referenced in CV00) relates many QSs with interacting hosts. Small groups, with their high galaxies density and low velocity dispersion $`V`$ still close to the galaxian dispersion $`\sigma `$, constitute preferred sites for such interactions to occur.

Supply-limited accretion prevails here, since now the gas mass $`m`$ in the host is depleted but no longer replenished by the interactions. Still, considerable fractions of the gas initially orbiting in the host at $`r`$ kpc are destabilized and partly made available for accretion; such fractions are easily evaluated (see CV00) in the form

$$f_d<\text{ }\mathrm{\Delta }j/jGM^{}/\sigma Vb.$$
$`(7)`$
This includes the host structural parameter $`j/r`$, taken to be close to $`\sigma `$; it also includes encounter orbital parameters: the impact parameter $`b`$, the relative velocity $`V`$, and the partner mass $`M^{}`$. Truly tidal interactions imply a postfactor $`r/b`$.

With $`V>\text{ }\sigma `$ and $`b`$ bounded by the group radius, interactions and gas inflow both take times $`\mathrm{\Delta }t`$ $`b/V10^1`$ Gyr. The above equation easily yields $`f_d`$ in excess of a few $`\%`$, of which about $`1/3`$ may reach the nucleus while the rest is likely to end up in circumnuclear starbursts, see Sanders & Mirabel (1996), CV00. This is enough to produce (see eq. 3) outputs $`L>\text{ }10^{46}`$ erg $`s^1`$ in a host still gas rich with $`m10^{10}M_{}`$. Fractions up to $`f_d1/2`$ are indicated by eq. (7), and in fact obtain in numerical simulations of grazing collisions, which are statistically fewer. The full probability of accreting a fraction $`f`$ is calculated by CV00 to read $`P(f)f^2`$ on the basis of eq. (7); this defines range and shape of the LF.

In time, many small groups merge into richer ones where interactions are less frequent and effective. Their volume density, grown rapidly later than $`z_G`$, at low $`z`$ goes down into a demise $`N_G(z)(1+z)`$; in addition, the decreasing interaction rate $`\tau _r^1(z)0.5(1+z)^{3/2}`$Gyr-1 lowers the number of activated sources. The result for the QS population is a moderate “density evolution” proportional to $`N_G(z)\tau _r^1(z)`$. But a stronger “luminosity evolution” occurs since on average $`Lfm(z)`$ holds, and the residual host gas $`m(z)`$ is depleted on a scale $`t_{ev}`$ as it is destabilized and used up in accretion episodes and by accompanying nuclear starbursts, with no replenishment.

As $`L`$ decreases and $`M`$ increases, the sources on average go toward sub-Eddington luminosities, consistent with the data in Salucci et al. (1999), Wandel (1999).

## 5 Relics at $`z0`$

For early BHs growing at $`z>3`$ the models (4A) or (4B) imply different scaling relations, that read

$$M\sigma ^3\rho ^{1/2}(z)\sigma ^4,$$
$`(8A)`$
or

$$M\sigma ^5,$$
$`(8B)`$
respectively. These stem from the simple hierarchical scaling of $`M_hV^2R/G`$ and $`R`$ $`(M_h/\rho )^{1/3}`$ for the surrounding DM halos, as is appropriate for $`M_h<`$ $`10^{13}M_{}`$ when one galaxy per halo occurs. In such conditions, it is also fair to assume $`\sigma `$ $`V`$, and to fix the $`z`$-dependent fuzz appearing only in eq. (8A) on relating the density to $`M_h`$ by means of $`\rho M_h^{1/2}`$, that holds for hierarchically formed halos (see Haehnelt & Kauffmann 2000).

The relations (8A), (8B) turn out to be in tune with the current debate concerning the MDO data. These have been recently recognized to follow a tight and steep correlation; the precise slope is given as slightly flatter than $`M\sigma ^4`$ by Gebhardt et al. (2000), or close to $`M\sigma ^5`$ by Ferrarese & Merritt (2000). In either case the scatter is found to be rather small, that is, factors $`10^{\pm 0.35}`$ or less in $`M`$ at given $`\sigma `$. Note from fig. 1 that LFs flat as observed at high $`z`$ obtain from model (4A) only upon convolution with scatter larger than $`10^{\pm 0.5}`$, as discussed by Haiman & Loeb (1998).

Later than $`z3`$ fewer new BHs are still produced, but the early ones still grow after $`M(z)=M(3)+_i\mathrm{\Delta }m_i`$, due to additional but dwindling accretion events $`\mathrm{\Delta }m_i`$ caused by host interactions.

The latter cause the mass distribution $`N(M,z)`$ to evolve as given by

$$_tN=\frac{N_G}{N_{tot}\tau _r}𝑑fP(f)[N(Mfm)N(M)].$$
$`(9)`$
Following up §4, $`N_G(z)/N_{tot}`$ is the fraction of host galaxies residing in a group, relative to total BH number including the dormant ones; for it we take values of order $`10^1`$ as discussed in CV00, based on the fraction $`1/3`$ of bright galaxies found by Ramella et al. (1999) to reside in groups with membership 3 or larger. The right hand side describes the net change at $`z`$ of the distribution $`N(M,z)`$, due to an accretion episode of $`\mathrm{\Delta }m=fm(z)`$ which upgrades the initial mass $`M\mathrm{\Delta }m`$ to the current value $`M`$; the probability for this to occur is $`P(f)`$, and the factor provided by the interaction frequency $`\tau _r^1(z)`$ converts it to a rate.

The numerical solution plotted in fig. 2 shows how $`N(M,z)`$ – starting from the condition at $`z=3`$ computed in §3 – drifts and diffuses in time toward higher $`M`$, but only up to a cutoff; this is due to the large values of $`f`$ being rare, and to $`m(z)`$ being depleted from its initial value $`10^1M_h`$. So the additions $`\mathrm{\Delta }m=fm(z)`$ decrease on average, and large $`M`$ are unlikely to grow much larger.

We derive the corresponding $`M\sigma `$ relation noting from eq. (7) that the gas masses available for accretion follow $`\mathrm{\Delta }m=f_dm/3m/\sigma `$. On adopting the scaling $`m(\sigma )\sigma ^4`$ indicated by the Faber-Jackson relation or produced by stellar feedback, the result is $`\mathrm{\Delta }m\sigma ^3`$. If used in full, such masses dominate at low $`\sigma <200`$ km s-1, to yield maximal $`M`$ values scaling as

$$M\sigma ^3,$$
$`(10)`$
see fig. 3. The scatter is within an overall factor $`5`$, the effective range given by the steep form of $`P(f)`$. Truly tidal interactions (see the comment under eq. 7) yield a somewhat steeper scaling $`\mathrm{\Delta }mm(\sigma )r/\sigma \sigma ^4`$ and more scatter.

But – given that enough gas is made available by the interactions as shown in §4 – the mass actually accreted may still be constrained by the QS feedback, depending on the degree of coupling of the source output to the surrounding baryons. Here we focus on the 90% radio quiet sources where the output is mostly radiative and roughly isotropic. At low $`z`$ the unbinding constraint similar to eq. (5) reads

$$L\mathrm{\Delta }t\eta c^2\mathrm{\Delta }m<\text{ }ϵ^1m(z)\sigma ^2.$$
$`(11)`$
With $`ϵ10^2`$, the masses accreted in a host with $`\sigma `$ $`<200`$ km s-1 are constrained to stay under those made available by interactions and given by eq. (7); using again $`m\sigma ^4`$, here the result is $`\mathrm{\Delta }m_i\sigma ^6`$. These moderate additions drive considerably less evolution of $`N(M,z)`$ as represented by the thin solid line in fig. 2; then $`M`$ is always dominated by the initial values which follow eq. (8B), and will in fact converge to values scaling as $`M\sigma ^5`$.

The full scaling laws given by eqs. (8B) with (11), or by (8A) with (10), are represented in fig. 3. They differ mostly in the lower left section, where data are difficult to obtain from the kinematics of stars or of a nuclear disk.

## 6 Conclusions and discussion

We conclude that the relic BH masses are related to the host galaxy dispersions by the steep correlation $`M\sigma ^5`$ if QS feedback onto the host’s gas always provides the main constraint to the accretion. In other words, this form is to hold at all $`\sigma `$ if the host potential well bounds the actual accretion rates all the way from early BH formation to later additional growth.

On the other hand, if such a control was never the limiting factor we expect the softer (and fuzzier) correlation $`M\sigma ^4`$ to hold at high $`\sigma `$, and this to soften yet at lower $`\sigma `$ to the form $`M\sigma ^3`$ set by the production rate of the available gas.

These two extremes bracket the QS and BH story. The latter is centered on one kind of engine, the BH based on strong gravity; but it comprises different regimes of fueling, that is, of accretion and growth triggered by the environment under weak gravity.

At early $`z>\text{ }3`$ much fresh gas is made available for full, self-limiting accretion by major merging events which build up the halos and the embedded spheroids. BHs grow rapidly, generating the upper section of the correlation $`M\sigma ^4÷\sigma ^5`$. Meanwhile, the associated QSs flare up at Eddington luminosities; their LF grows in range and height, tracking the progressive halo build up.

Later than $`zz_G2.5`$ the dearth of gas curbs the accretion and bends down the QS evolution, as host interactions with group companions are still able to trigger accretion but no longer to import fresh gas. Though supply-limited, the gas masses made available for accretion are still sizeable. If these are used in full, the average luminosities are still high and the BHs still grow considerably; relatedly, the correlation is softened to $`M\sigma ^3`$ in its lower section.

At $`z`$ lower yet, the host gas reservoirs approach exhaustion, and weaker AGN activity may be sustained by lesser gas productions or smaller supplies provided, e.g., by internal instabilities (see Heller & Shlosman 1994, Merritt 1999) or by satellite galaxies cannibalized by the hosts (CV00). These latest and smaller accretion events can fuel many weaker AGNs more likely to be pinpointed in X-rays, implying widespread accretion power but moderate growth of individual BHs, as also argued by Salucci et al. (1999). Deep surveys in hard X-rays are now uncovering optically hidden, and even X-ray obscured accretion power, as they resolve and count the AGNs that dominate the hard XRB (see Giacconi et al. 2001, Hasinger et al. 2001); the indications are currently favoring AGNs of intermediate powers and redshifts as main XRB contributors (see Comastri et al. 2001). These findings jointly with the scanty evidence of, and the indirect bounds to a QS 2 population (see Maiolino et al. 2001) suggest to us that the optical-IR sampling is fair to within a factor 2 as for the outputs of early and luminous QSs, and is reliable for linking these with the largest BHs.

Thus our conclusions may be rephrased in terms of two simple patterns standing out of this complex picture.

First, the largest MDOs in local inactive galaxies are directly linked with the high-$`z`$ luminous QSs. In particular, we have shown that flat optical LFs given by the feedback-constrained model (4B) are linked to the steep and tight correlation given at large masses by $`M\sigma ^5`$ (see eq. 8B). Current evidence concerning high brightness of the hosts (see §3), flat shape of the high-$`z`$ LFs (§3), and narrow scatter in the $`M\sigma `$ correlation (§5) concur to favor this specific link. But telling data will be provided by the precise slope of the upper MDO correlation observed locally in the optical band, jointly with the rate of QS decline toward high $`z`$ derived from large area surveys out to the near-IR like the Sloan Digital Sky Survey.

Second and concerning the lower region of the $`M`$$`\sigma `$ plane, it is conceivable (within the present uncertainties about $`ϵ`$) that the fuel throttle to the BH engine is always controlled by the host wells as is expressed by eq. (11); if so, the main accretion modes may be effectively united by the feedback action. In §5 we have shown that this provides the lower bound to $`M`$ expressed again by $`M\sigma ^5`$. On the other hand, an upper bound $`M\sigma ^3`$ is set by the condition of maximal fuel availability, eq. (10); this includes the production of optically obscured accretion power. Note that the highly obscured, wind blowing BHs suggested by Fabian (1999) would be located in between. The actual feedback action will be observationally probed by the slope of the $`M\sigma `$ correlation in its lower section; here the growing reverberation map database (see Ferrarese et al. 2001) in current AGNs will be telling.

We thank F. Bertola and L. Danese for informative discussions and helpful comments. Work supported by ASI and MIUR grants.


text:
# References

Chiba Univ. Preprint CHIBA-EP-131

hep-th/0110004

September 2001

A confining string theory derived from QCD111Contribution to 10th Tohwa international Symposium on “String Theory” held at Tohwa University, Fukuoka, Japan, 3-7 July 2001.

Kei-Ichi Kondo

Department of Physics, Faculty of Science, Chiba University, Chiba 263-8522, Japan

## Abstract

We report an attempt of deriving a string representation of QCD based on a novel vacuum condensate of mass dimension 2.

This work is an attempt to derive a string representation  of quantum chromodynamics (QCD). This problem has already been studied by many physicists for the last two decades. However, the achievement is not yet reached to a satisfactory level. In my opinion, the main obstacle comes from the fact that the mechanism of mass generation is not made clear in the following sense. In the classical level, the Yang-Mills theory and QCD with massless quarks have no intrinsic scale, since all the parameters characterizing the Lagrangian are dimensionless, e.g., the coupling constant $`g`$ and the numbers of colors $`N_c`$ and flavors $`N_f`$. In the quantum level, however, the dimensional transmutation is expected to occur and the quantum theory has a mass scale $`\mathrm{\Lambda }`$ which is a renormalization group (RG) invariant. The non-vanishing constituent mass of the quark has been understood as a result of dynamical mass generation associated with the spontanesous breaking of chiral symmetry, even if the original Lagragian has zero bare mass for the quark. On the contrary, the origion of the gluon mass is not yet understood in the similar way.

This work is based on a novel vacuum condensate of mass dimension 2 which has recently been proposed, independently by several authors . We begins with the BRST formulation of the gauge theory. In the most general form  $`𝒪:=\frac{1}{\mathrm{\Omega }^{(D)}}d^Dx\mathrm{tr}\left[\frac{1}{2}A_\mu (x)A_\mu (x)+\alpha i\overline{C}(x)C(x)\right],`$ where $`\mathrm{\Omega }^{(D)}`$ is the volume of the $`D`$-dimensional spacetime. It has been shown  that the composite operator $`𝒪`$ is invariant under the BRST and anti-BRST transformations in the manifestly Lorentz covariant gauge, especially in the most general Lorentz gauge  and the Maximal Abelian (MA) gauge . Here the trace is taken over the broken generators of the Lie algebra $`𝒢`$ of the original group $`G`$ (broken by the local gauge fixing condition from $`G`$ to $`H`$), i.e, $`G`$ itself for the Lorentz gauge and $`G/H`$ for the MA gauge where $`H`$ is the maximal torus group of $`G`$. Especially, in the limit $`\alpha 0`$ (which we call the Landau gauge), the composite operator becomes gauge invariant, since the contribution from the ghost and anti-ghost disappears. The vacuum condensate includes the ghost condensation proposed in the MA gauge  and reduces to the gluon condensation proposed recently by several authors . In the paper , we have discussed that such a vacuum condensate may provide the essential ingredients of mass gap and quark confinement in the Yang-Mills theory.

The first attempt of obtaining the string representation of QCD based on the above proposal was given for the Yang-Mills theory in the MA gauge, see . (The similar attempt has been reported .) Now this approach can be extended to any Lorentz covariant gauge including the Lorentz gauge as well as the MA gauge. In order to obtain the equivalent dual theory of the Yang-Mills theory with an insertion of the Wilson loop operator, we have introduced an antisymmetric (Abelian) tensor field as an auxiliary field of an gauge invariant antisymmetric tensor field $`f_{\mu \nu }^\xi `$ which appears in the non-Abelian Stokes theorem for the Wilson loop. The obtained antisymmetric tensor gauge theory can be converted to a dual Ginzburg-Landau theory, a magnetic monopole current theory and a confining string theory, as suggested  and demonstrated in . The details will be given in a subsequent paper in preparation.