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# Searching for Failed Supernovae With Astrometric Binaries

## 1 Introduction

Massive stars ($`M8M_{}`$) end their lives as supernovae (SNe), leaving behind black-hole (BH) or neutron-star (NS) remnants depending on whether they are more or less massive than a cutoff mass, $`M_{\mathrm{cut}}30M_{}`$. So says the standard lore, but what is the observational evidence?

Certainly there exist NSs and BHs, and since pulsars are frequently found near the centers of SN remnants, there can be little doubt about their origin. But do the majority of massive stars $`8M/M_{}30`$ really die gloriously in luminous SNe that give birth to a NS? Or do most of them fizzle out in failed SNe that collapse in on themselves, leaving behind a BH?

Failed SNe have been invoked by theorists for a number of reasons, mostly because of the difficulties of producing an explosion in analytical models and simulations (for a detailed review see Woosley & Weaver 1986). The failures in the earliest models in the 1960s were mostly ascribed to the models’ inability to transfer the energy of the core collapse into decoupling the mantle from the envelope. Improvements in the neutrino transport model and new estimates of neutrino cross sections still failed to produce explosions in the 1970s. Owing to improved nuclear rates and more sophisticated models, successful explosions were finally produced in the 1980s, however only for low-mass iron cores ($`M1.3M_{\mathrm{}}`$), corresponding to progenitor masses of $`M11M_{\mathrm{}}`$. This problem was somewhat alleviated by the introduction of a delayed neutrino energy transport, which supplies the energy to the lower parts of envelope and so helps the shock propogate outwards. The success of this mechanism remains inconclusive. One should keep in mind that the researchers were driven to make explosions happen and not to demonstrate that they do not happen. Mikaelian (1978) early on suggested that some SNe really ‘fail’, arguing that only stars that spin slowly can produce a SN, while the fast spinning stars just collapse into a BH. Others, however, have dismissed rotation as a significant factor. Failed SNe (of type Ib) were suggested by Woosley (1993) to represent the main mechanism for producing cosmological $`\gamma `$-ray bursts (GRBs). In this conjecture, for which the simulations have already produced substantial support, the collapsing core fails to produce an explosion, but instead an accretion disk forms around the core, which draws in mass from the mantle at the rate of $`0.5M_{\mathrm{}}\mathrm{s}^1`$, and then quickly collapses into a BH. Woosley (1993) suggests that in stars that have previously lost their H-envelope (Wolf-Rayet stars) the accretion could be accompanied by an energetic burst of gamma rays in the form of polar jets. This model is the basis for the currently favored “hypernova” scenario, first proposed by Paczynski (1998), which in addition requires the presence of very strong ($`0.1`$ T) magnetic fields.

There are remarkably few observational probes of failed SNe. The expected rate of core-collapse SNe derived from the LF of massive stars predicts many times fewer SNe than are historically observed in our Galaxy (van den Bergh & Tammann, 1991), most likely indicating poor knowledge of the massive star LF. Therefore, it is not possible to infer from this whether failed SNe exist. Ultimately, with sufficiently sensitive neutrino detectors, one could directly detect many extragalactic SNe, and identify the failed ones among them from the lack of a (or very subluminous) optical counterpart. Microlensing observations with the Space Interferometry Mission (SIM) can directly measure the masses of isolated BHs and NSs in Galactic bulge fields (Gould & Salim, 1999; Gould, 2000). One could then compare the ratio of NS/BH detections to what would be expected based on, say, a Scalo (1986) mass function. The interpretation would be somewhat complicated by the fact that many NSs receive a large kick at birth, which could remove a large fraction of them from the bulge. Nevertheless, given a sufficiently large sample, and with the information on the kick-velocity distribution gleaned from the NS transverse velocities (which come out of the same micolensing observations), it should be possible to reconstruct the remnant ratio. Finally, one could examine the ratio of NS/BH X-ray binaries, where these remnant objects are routinely found. However, since these are interacting systems with complex evolutionary histories, it is difficult to make inferences about the ratio of total populations, and therefore the production mechanisms, from these very special objects.

Here we propose another probe of failed SNe: BHs in astrometric binaries. In astrometric binaries the components are too close to be resolved, and only the motion of the photocenter is observed. If one component is invisible (BH or NS), only the motion of the visible component around the barycenter will be detected. This experiment would be sensitive to detecting failed SNe that did not undergo some process that would disrupt the system. MacFadyen & Woosley (1999) predict that the formation of a collapsar might always be accompanied by a hypernova explosion, however whether this necesserrally precludes a BH from remaining in the binary system is uncertain.

In § 2, we discuss the sensitivity of astrometric surveys to dark companions, focusing specifically on Hipparcos. Note that only space-based surveys probe enough stars to allow an effective search for rare objects. We show that Hipparcos is sensitive to BH companions of the great majority of stars in its catalog. No BH binaries are found, which potentially places strong limits on the number of failed SNe. However, since the initial companion mass function (ICMF) of Hipparcos stars is unknown, there is a serious loophole in this argument: one does not know whether the absence of BH astrometric binaries reflects the absence of failed SNe or the absence of progenitors in binaries. In § 3, we show that astrometric binary searches using the Full-Sky Astrometric Explorer (FAME) can close this loophole.

## 2 Astrometric Detection of Dark Companions

Consider a binary whose components have masses and luminosities in the band of astrometric observations $`(M,L)`$ and $`(m,l)`$, respectively. From Kepler’s third law, the semi-major axis, $`a`$, is related to the period, $`P`$, by $`[(m+M)/M_{}](P/\mathrm{yr})^2=(a/\mathrm{AU})^3`$. If the motion of the photocenter is fit to a Keplerian orbit, the angular semimajor axis of the photocenter orbit, $`\alpha `$ (measured in the orbital plane), will then be related to the other parameters by

$$\frac{m^3}{M_{}(m+M)^2}\left(\frac{L}{L+l}\right)^3=\left(\frac{P}{\mathrm{yr}}\right)^2\left(\frac{D\alpha }{\mathrm{AU}}\right)^3,$$
(1)
where $`D`$ is the distance to the system. The quantities on the rhs of this equation can all be measured astrometically. We will assume that $`M`$, the mass of the more luminous component, can be estimated photometrically or spectroscopically. And we will focus on the case in which the companion is known to be dark (or at least extremely dim compared to the primary), $`lL`$. Under these assumptions, it is straightforward to determine $`m`$, the mass of the dark companion, from the astrometric observations.

In general, $`\alpha `$ can be measured with approximately the same precision as the parallax, $`\pi `$. Of course this does not hold exactly. Even for circular binary orbits, the inclination of the orbit will not match exactly the ecliptic latitude (i.e., the inclination of the parallactic circle), so there will be either more or less information about the binary orbit than about the reflex motion of the Earth’s orbit (parallax). Moreover, for certain binary orbits, notably edge-on highly eccentric orbits that “point” in our direction, the errors in $`\alpha `$ will be much larger than the parallax errors because the binary will show almost no astrometric motion. Nevertheless, from the standpoint of making an estimate of the errors for a random ensemble of binaries, setting $`\sigma _\alpha \sigma _\pi `$ is a good approximation. This is confirmed by Figure 1, where we plot $`\sigma _\alpha /\sigma _\pi `$ for astrometric binaries with orbital solutions (i.e., binaries of type ‘O’) in the Hipparcos catalog (ESA, 1997, Vol. 10). While these fits made use of some auxilliary ground-based spectroscopic information (mainly to establish the period), or constrained orbits to be circular, this should not have a major impact on the errors in $`\alpha `$ for periods $`P3.3\mathrm{yr}`$, the duration of the mission. While the figure shows some scatter, the two errors are roughly equal on average.

Figure 2 shows the sensitivity ($`5\sigma `$ detection) of Hipparcos to dark companions as a function of stellar type, i.e., the number of Hipparcos stars that can be probed for companions of a given mass. These types were assigned based on position in the color-magnitude diagram when the parallaxes were sufficiently accurate, and on position in the reduced proper-motion diagram otherwise. In the latter case, distances were assigned based on stellar type and color and magnitude. The figure shows that white dwarf (WD), NS, and BH companions of mass 0.6, 1.4 and 7 $`M_{}`$, are respectively detectable among 39%, 68%, and 89% of all Hipparcos stars ($`N_{Hip}=118,000`$). For periods of $`P=1.5\mathrm{yr}`$, these fractions fall to 21%, 47%, 52%. At $`P1\mathrm{yr}`$, sensitivity is seriously compromised by parallax aliasing and at shorter periods the sensitity falls off rapidly. On the other hand, for $`P3.3\mathrm{yr}`$, orbital solutions become rapidly unstable. Hence, the sensitivities peak fairly sharply at $`P3.3\mathrm{yr}`$.

The overwhelming majority of these Hipparcos stars are F and G dwarfs, or giant stars whose progenitors are overwhelmingly F and G dwarfs. The frequency of companions per log period for $`P3.3\mathrm{yr}`$ among such stars is $`df_b/d\mathrm{log}P7\%`$ (Duquennoy & Mayor 1991). From the previous paragraph, Hipparcos is sensitive to companions over about half a dex in period, $`\mathrm{\Delta }\mathrm{log}P0.5`$. The total number of Hipparcos stars that were born with NS/BH progenitor companions in this period range is then,

$$N_{\mathrm{progen}}=N_{Hip}\frac{df_b}{d\mathrm{log}P}\mathrm{\Delta }\mathrm{log}Pf_{\mathrm{progen}}=40\frac{f_{\mathrm{progen}}}{1\%},$$
(2)
where we have normalized the fraction of companions that are NS/BH progenitors to $`f_{\mathrm{progen}}=1\%`$, in accord with an estimate by (Gould, 2000) for their relative frequency among all stars (both binary and single). If a fraction $`f_{\mathrm{fail}}`$ of these progenitors ended their lives as failed SNe, then there should be $`40f_{\mathrm{fail}}`$ BHs in orbits within the period range covered by Hipparcos of which Hipparcos should be sensitive to $`80\%`$ of them (from the previous paragraph), giving a total of $`30f_{\mathrm{fail}}`$ BHs. In fact, none of the 235 Hipparcos astrometric binaries with orbital solution (188 have $`P<3.3\mathrm{yr}`$) contain a clear BH candidate component. In all cases we find the mass of the companion (if we assume it to be invisible) either well below the BH range, or of order or smaller than that of the luminous star, which implies that the companion is a main sequence star that is fainter than the primary.

One would like to use this result to argue that less than 10% of massive stars end as failed SNe. That is, if more than 10% failed, we would expect more than 3 BH companions. Since we find none, the hypothesis would be ruled out at the 95% confidence level.

There are, however, two objections to this line of reasoning. First, we do not actually know that at formation the fraction of companions that are NS/BH progenitors is $`f_{\mathrm{progen}}=1\%`$. Indeed, there are no observational constraints on this parameter, and no theoretical reason to believe (or not to believe) that the fraction of NS/BH progenitors is the same for G star companions as it is for stars in the field. We address this problem in § 3.

Second, even if this fraction is the same at formation, it could be that the very process of the failed SNe disrupts the binary. Certainly, binaries of this sort will very often be disrupted by an ordinary SNe. For example, consider a binary composed of an $`M=1M_{}`$ and an $`m^{}=8M_{}`$ star, the latter of which “instaneously” ejects 83% of its mass to become an $`m=1.4M_{}`$ NS. Even if the NS receives no kick, the system will become unbound unless it is near apocenter in a fairly eccentric orbit, $`e>12(m+M)/(m^{}+M)=0.47`$. This eccentricity constraint becomes more severe for larger progenitor masses. Also, many NSs are known to receive a significant kick, often several hundred $`\mathrm{km}\mathrm{s}^1`$, which would certainly disrupt the binary. However, in a failed SN, a large fraction of the progenitor would fall back on the BH, so the ratio $`(m+M)/(m^{}+M)`$ would be much larger. Hence, at least for the relatively less massive progenitors, the binary would not be disrupted. It remains possible that the BH remnant would also receive a strong kick in a failed SN, but since the mechanism behind the kick is not well understood, this must remain a matter of speculation.

Finally we note that for the specific case of the Hipparcos sample, there is some question as to its real sensitivity. ESA (1997, Vol. 3) does not quote a specific threshold of detection, i.e., the required goodness of the fit, but from Figure 3, which shows the distribution of $`\alpha /\sigma _\alpha `$ as a function of period, we judge this threshold to be $`5\sigma `$, i.e., the same value we used in estimating the total number of BH companions that should have been detected. However, Quist & Lindegren (2000) simulated the number of detections of $`V<7`$ MS binaries that Hipparcos should have made (based on a Galactic model and the Duquennoy & Mayor 1991 binary distribution model), and find that the Hipparcos catalog should contain between 35% and 200% more binaries with $`P<3.3\mathrm{yr}`$ orbital solutions (type ‘O’) than it actually does. They suggest that many binaries for which ESA (1997) finds no orbital solution, and thus classifies as type ‘X’, or ‘G’, could have produced an orbit if, for example, the period were known from spectroscopic observations. Careful reanalysis of Hipparcos transit data might lead to new orbital solutions.

## 3 The Binary Mass Function

While there is some uncertainty as to the fate of binaries containing failed SNe, the main problem with deriving robust conclusions from equation (2) is that the observational constraints on $`f_{\mathrm{progen}}`$, the fraction of binaries born with a massive companion, a NS/BH progenitor, are weak. The main difficulty here is that the “primaries” of these systems (mostly F and G dwarfs and their giant-star descendants – see Fig. 2) are all about $`1M_{}`$, whereas the “secondaries” of these systems are substantially more massive. They are therefore both more luminous (making the F-G star difficult to detect) and shorter-lived than the “primaries” (meaning that they are long gone in a field sample of F-G stars). Here we present two complementary astrometric methods to overcome this difficulty, and show that these can be implemented using FAME.

We wish to determine the ICMF of G stars as a function of companion mass, $`m`$, with some period $`P`$. For definiteness, let us consider a period range $`3\mathrm{yr}<P<5\mathrm{yr}`$, and restrict ourselves to one point of the ICMF: B2 stars corresponding to a mass range $`11<m/M_{}<15`$ and magnitude range $`2.8<M_V<2.0`$. What we seek is ratio of formation rate of B2-G binaries (in this period range) to the formation rate of all G stars. From this formulation of the problem, it would seem that one should just survey OB associations and count the number of B2-G binaries and the total number of G stars. However, since the IMF of OB associations may be significantly different from the disk-averaged IMF, this procedure would produce a biased result. One must somehow compare formation rates in the disk as a whole.

Assume for the moment that the star formation rate has been uniform over the lifetime of the disk. The ratio we seek, $`F_{\mathrm{B2}|\mathrm{G}}^P`$, is then given by

$$F_{\mathrm{B2}|\mathrm{G}}^P=\frac{\mathrm{\Sigma }_{\mathrm{B2}}}{\mathrm{\Sigma }_\mathrm{G}}\frac{\tau _\mathrm{G}}{\tau _{\mathrm{B2}}}f_{\mathrm{G}|\mathrm{B2}}^P.$$
(3)
Here $`\mathrm{\Sigma }_{\mathrm{B2}}`$ is the column density (number per square parsec) of B2 stars (averaged over spiral-arm and inter-arm regions), $`\mathrm{\Sigma }_\mathrm{G}`$ is the column density of G stars, $`\tau _\mathrm{G}`$ and $`\tau _{\mathrm{B2}}`$ are the lifetimes of G and B2 stars respectively (capped by the age of the disk in the case of late G stars), and $`f_{\mathrm{G}|\mathrm{B2}}^P`$ is the fraction of B2 stars with G companions in the appropriate period range $`P`$. The first two ratios in equation (3) are reasonably well known. The last factor $`f_{\mathrm{G}|\mathrm{B2}}^P`$ is very poorly known but can be measured using FAME, which will probe a volume $`10,000`$ larger than Hipparcos did. Then using equation (3), one can calculate from the current fraction of B stars with a G dwarf companion, the fraction of G dwarfs that were born with B companions. Figure 4 shows the number of stars to which FAME is sensitive to dark (or dim, since a G dwarf is much fainter than a B star) companions with a given mass in 5 year orbits, for various spectral types. There are $`2\times 10^6`$ stars with $`1.2M_{}M8M_{}`$ (WD progenitors) for which FAME will be sensitive to companions of $`1M_{}`$ (G dwarfs), as well as $`2\times 10^4`$ heavier stars $`(8M_{}M20M_{})`$ (NS or BH progenitors). If the companion rate in this period range is 7%/dex, and 5% of companions are G stars, then FAME will detect $`2000`$ G star companions of WD progenitors within an octave of period and $`20`$ G star companions of heavier stars. Thus, the WD-progenitor ICMF will be mapped out in great detail, and can then be extended with reasonably good confidence into the higher-mass range of the progenitors of SNe, luminous or failed. There will also be a direct measurement the ICMF in this high mass regime, albeit somewhat crude.

Of course, the star formation rate has not been uniform over the lifetime of the disk, but it is straight forward to take account of this variation by modifying equation (3).

This method of determining the ICMF assumes implicitly that $`f_{\mathrm{G}|\mathrm{B2}}^P`$ has not changed from today’s value over the age of the disk. While this assumption is plausible, it can also be partially checked using a different application of FAME astrometry, namely by detecting the remnant object companions themselves.

In contrast to NS/BH progenitors, the evolution of WD-progenitor binaries is deterministic provided that the pair is not close enough to interact during the asymptotic giant branch (AGB) phase. This is because the mass loss of the progenitor proceeds on timescales that are long compared to the period, so that the evolution is adiabatic. One finds that the final semimajor axis is $`a=a^{}(M+m^{})/(M+m)`$, where $`a^{}`$ is the initial semimajor axis, and $`m^{}`$ is the initial mass. Hence the initial period $`P^{}`$ is related to the final period $`P`$ by

$$P^{}=P\frac{(M+m)^2}{(M+m^{})^2}.$$
(4)
This means that, while it is not possible to directly probe the time-averaged ICMF in the NS/BH progenitor regime (because the binaries could have been disrupted by the SNe), it might be possible to probe it in the WD-progenitor regime.

A significant problem in determining the ICMF for G stars is that when a $`0.6M_{}`$ companion to a G dwarf is discovered, one does not immediately know whether this companion is a WD or an M dwarf (with $`M_V8`$). Neither has much luminosity compared to the G dwarf and so in neither case would the mass determination be significantly affected (see eq. ). By the same token, however, there would be no obvious signatures that the companion was one type or the other. It is possible that with precision photometry one could detect the IR excess due to the M dwarf. High signal-to-noise ratio spectroscopy could certainly detect the M dwarf if it were there. The scope of the spectroscopy project would be significantly reduced if one surveyed K dwarfs rather than G dwarfs because the K/M magnitude difference is substantially smaller than the G/M difference. Figure 4 shows that FAME will be senstive to WD companions of $`10^6`$ K dwarfs and $`2\times 10^6`$ G dwarfs, which is certainly enough to obtain a large sample of WD/dG-dK binaries.

The major limitation of this method comes from the fact that during its 5-yr mission, FAME can obtain accurate mass measurements only for $`P<5\mathrm{yr}`$. According to equation (4), the periods $`P^{}`$ of the progenitor systems were substantially shorter than the periods $`P`$ of their present-day descendants. Specifically, for G dwarf primaries, we have $`P^{}(M+m^{})^2<12.8M_{}^2\mathrm{yr}`$. If the periods were too short, then during the AGB phase, the binary would have suffered mass transfer and its evolution would have taken a complex course. If we assume that no mass transfer occurs for $`a^{}>1.5\mathrm{AU}`$ (the exact value is model dependent), then this condition implies $`(M+m^{})(a^{}/\mathrm{AU})<12.8^{2/3}M_{}`$, or $`m^{}<2.6M_{}`$. Hence only the lower-mass WD-progenitor population is probed. Moreover, in this mass range, the WD mass is only a very weak function of the progenitor mass (hence the peakiness of the WD mass function). Given both the astrometric errors and the errors in the photometric masses of the G star primaries, it seems unlikely that one could obtain much more detail than the total number of WDs as a function of period. Hence one would really obtain only a single point beyond the usual G dwarf ICMF (i.e., of secondaries that are fainter and lower-mass than the primary). Nevertheless, equal-mass is the only natural scale in this problem. Thus, if this direct determination of the time-averaged ICMF tracked the ICMF measured from present day companions of early-type stars across the equal-mass boundary, it would lend credence to the latter ICMF measurement at higher masses.

If GAIA ultimately flies, then one could extend the orbits initially mapped out by FAME to effectively cover periods of $`15`$ years, which would allow one to probe WDs that have much larger progenitor masses.

## 4 Conclusion

The notion that some massive stars undergo a collapse without producing a SN first appeared as a failure to produce SN explosions in hydrodynamical simulations, but later gained ground as a possible mechanism behind GRBs. These theoretical considerations were left without any empirical evidence. If in binary systems these failed SNe collapse into BHs without disrupting the binaries, one might be able detect such systems astrometrically. To this end we suggest using FAME since it will observe vast number of stars with great precision. To estimate the rate of SNe that fail, it is first neccessary to estimate the number of binaries that were born consisting of a G dwarf (a typical star FAME will observe), and a massive, short-lived B star (NS/BH progenitor). We can derive this number using FAME detections of either currently existing G+B pairs, or by extrapolating from the number of G+WD binaries. FAME will be able to probe $`4\times 10^7`$ stars for BH companions. The result of this experiment would either discover a new phenomenon (BH collapsar), or place stringent limits on SN and GRB models.

This work was supported in part by JPL contract 1226901.


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# Stellar X-ray Binary Populations in Elliptical Galaxies

## 1. Introduction

The X-ray emission from normal elliptical galaxies has two major components: soft ($`0.21`$ keV) emission from diffuse gas and harder ($`56`$ keV) emission from populations of accreting (low-mass) stellar X-ray binaries (LMXB). The hardness of the LMXB component (placing its emission outside the most responsive parts of the ROSAT and ASCA bandpasses) and its spatial confusion with the softer gaseous component have made it difficult to constrain the global temperatures and luminosities of LMXB populations in elliptical galaxies. Chandra observations are now resolving out individual LMXBs in nearby ellipticals (Sarazin, Irwin & Bregman 2000, 2001; Kraft et al. 2000; Finoguenov & Jones 2001), making their composite spectral analysis much easier. Figure 1 compares optical images of two ellipticals, NGC 1407 and NGC 4552, to their X-ray images from the ROSAT PSPC and Chandra ACIS (White & Davis 2001). The PSPC images emphasize the diffuse gaseous atmospheres of these ellipticals, while the ACIS images are stretched to emphasize the discrete sources in each galaxy. Chandra imaging has clearly resolved out dozens of LMXBs from the diffuse gaseous emission in these ellipticals, as it has in several other ellipticals in the work cited above.

These recent Chandra observations show that the hard X-ray emission from normal ellipticals is dominated by LMXBs, not the advection-dominated accretion flows (ADAFs) onto massive, central black holes, advocated by Allen, di Mateo & Fabian (2000). Meanwhile, as Chandra continues to observe more nearby ellipticals, there is a large database of long ASCA observations which has more to yield for ellipticals.

## 2. Constraining the LMXB Component in Ellipticals

Strong spectral constraints on the hard stellar LMXB component in ellipticals can be made by simultaneously analyzing ASCA spectra from multiple ellipticals. Most ellipticals require both soft (gaseous) and hard (LMXB) components. I simultaneously fit ASCA GIS spectra of six ellipticals which provided individually reasonable spectral constraints on their hard emission. In the joint fits, the temperature of the LMXB component was assumed to be the same for all galaxies; the temperatures of any soft gaseous components (if present) were allowed to vary individually. The resulting best-fit global spectrum of LMXBs is fit equally well by a bremsstrahlung spectrum with $`kT=6.3`$ (5.2-7.9) keV or a power-law spectrum with photon index $`=1.83`$ (1.72-1.93), where 90% confidence limits are in parentheses. These are the tightest constraints to date on the spectral properties of the stellar LMXB component in ellipticals (White 2001) and are consistent with the spectral character of many individual LMXBs in our Galaxy. Fluxes for the LMXB components in an additional six ellipticals which had poorer photon statistics were determined by adopting the best fit LMXB temperature of 6.3 keV in fits to their GIS spectra.

In comparing the X-ray fluxes deduced for the LMXB component in these ellipticals to the total optical magnitudes for these galaxies, I find there is a factor of 4 range in the X-ray to optical flux ratio. Although this range is much smaller than that of the softer gaseous component (which has a factor of 100 range in X-ray/optical flux ratio), it is still larger than expected, since the LMXB component is supposed to be directly proportional to the stellar component. What is the source of the variance in the X-ray/optical flux ratio $`f_{\mathrm{LMXB}}/f_{\mathrm{opt}}`$?

## 3. Globular Cluster Population Variations in Ellipticals

Elliptical galaxies exhibit a wide range of globular cluster populations for a given galaxian luminosity. Furthermore, in our galaxy, LMXBs are produced much more efficiently in globular clusters than in the field: globular clusters contain $``$20% of the known LMXBs, yet globular clusters contain $`<0.1`$% of the stars in our galaxy. Apparently, globular clusters make LMXBs $`>200`$ times more efficiently than the stellar field (Katz 1975), presumably through tidal interactions between stars (Clark 1975). It is therefore conceivable that nearly ALL stellar LMXBs are formed in globular clusters (Grindlay 1985; Kulkarni 2000). LMXBs which are not now in globular clusters may have been ejected from globulars by supernova kicks immediately after the primary collapsed to a neutron star. In this case, we might expect the X-ray luminosity of the LMXB component to be correlated with the globular cluster population of a galaxy, regardless of whether all LMXBs are currently resident in globular clusters.

To test this, I plot in Figure 2 the specific frequency of globular clusters (the number of globular clusters per unit galaxy luminosity, normalized by the luminosity corresponding to a visual absolute magnitude of $`M_V=15`$), versus the X-ray/optical flux ratio of the LMXB populations to the optical flux (magnitude) of the host galaxies. The globular cluster data are from the compilation of Kissler-Patig (1997), while the X-ray data are from the ASCA elliptical sample described above (White 2001). There appears to be a strong correlation, with the X-ray/optical flux ratio directly proportional (within the errors) to the specific globular cluster frequency $`S_{\mathrm{gc}}`$:

$$f_{\mathrm{LMXB}}/f_{\mathrm{opt}}S_{\mathrm{gc}}^{1.3\pm 0.3}.$$

This strongly suggests that LMXB populations are indeed controlled by globular cluster populations.

## 4. Conclusions

Variations in the X-ray binary populations of elliptical galaxies (per unit galaxian optical luminosity) are linearly correlated with variations in their specific globular cluster frequencies. This indicates that X-ray binaries are largely formed in globular clusters (Grindlay 1985), rather than being a primordial field population. We predict that Chandra observations of central dominant galaxies with unusually large globular cluster populations will be found to have proportionally large numbers of LMXBs, as well. For a more detailed analysis, see White, Kulkarni & Sarazin (2001).

## References

Allen, S.W., di Mateo, T., & Fabian, A.C. 2000, MNRAS, 311, 493

Clark, G.W. 1975, ApJ, 199, L143

Finoguenov, A. & Jones, C. 2001, ApJ, 547, L107

Grindlay, J.E. 1985, in The Evolution of Galactic X-ray Binaries, eds. J. Truemper, W.H.G. Lewin & W. Brinkmann (Dordrecht: Reidel), p.25

Katz, J.E. 1975, Nature, 253, 698

Kissler-Patig 1997, AA, 319, 83

Kraft, R. P. et al. 2000, ApJ, 531, L9

Kulkarni, S. 2000, private communication

Sarazin, C.L., Irwin, J. & Bregman, J.N. 2000, ApJ, 544, L101

Sarazin, C.L., Irwin, J. & Bregman, J.N. 2001, ApJ, in press (astro-ph/0104070)

White, R.E. III, 2001, preprint

White, R.E. III & Davis, D.S. 2001, in preparation

White, R.E. III, Kulkarni, S., & Sarazin, C.L. 2001, preprint


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# Correlations and Fluctuations at RHIC

## 1 Introduction

The correlation and fluctuation studies of hadrons in ultra-relativistic heavy-ion collisions reveal particle dynamics in a hadronization process at a thermal freeze-out temperature, where strong interactions between constituent particles in hadronic gas end substantially as a result of expansion of the volume. The particle yields and their momentum distributions including correlation and fluctuation signals are fixed at this stage. The particle correlations tell us the space-time evolution of the hadronic gas, while the particle fluctuations provide information of diffusion dynamics of the fluid. It has been discussed that such hadronic gas might be formed via a Quark-Gluon-Plasma(QGP) phase after the quark fluid cools down, if QGP matter is created during a collision. In such a scenario, signals of particle correlations and fluctuations could contain remnants of another multi-particle dynamics of de-confined quarks and gluons in the QGP epoch.

## 2 Correlation measurements

Suppose matter made of hadrons has an alternative phase of matter composed of de-confined quarks and gluons. Such the partonic matter should indicate different relations among thermo-dynamical variables from that of the hadronic matter since of a larger degree of freedom and due to presence of the Bag pressure in the hadronic phase. If QGP matter is created during a nuclear collision, the matter has to transit to normal nuclear matter beyond an energy gap at a critical temperature or density, since we have not seen any partonic matter at zero temperature in this world. The QGP matter explosively expands as cooling down until the body reaches the critical temperature or density. In case the phase transition is in the first order, the expansion may slow down at the phase boundary due to a softening of the equation of state. Consequently a prolonged lifetime of particle emission is anticipated. The duration time of particle emission is an experimentally observable quantity in particle correlation measurements as a difference between the widths of the peaks in the correlation functions in the direction of pair (“outward”) and perpendicular to it (“sideward”) in the longitudinal center of mass system (LCMS).  Therefore a larger source size parameter in the outward direction than that in the sideward direction can be a signature of QGP formation. Certainly we have to note that this idea should work completely for a static particle source, but the particle source in question is explosively expanding.

The STAR collaboration  has published the first RHIC result of two-pion correlations measured at the mid-rapidity in the 12% most central event class in Au+Au collisions. The PHENIX collaboration  has also presented their pion correlation data in the same collision. The data are quite consistent each other. The systematic study of source size parameters as a function of c.m. energy indicates no jumps or steep changes of the parameters from the SPS to RHIC energies, but shows a gradual decrease of chaoticity and an increase of the longitudinal source size as is expected in the boost invariant model.

The ratios of $`R_{out}`$ to $`R_{side}`$ at various energies from AGS to RHIC are compiled in Fig.1. There were predictions that the ratio could be double or larger at the RHIC energy, but they are excluded in the Au on Au collisions at this energy. The ratios seem consistent with unity over the entire range, and we conclude that no large temporal components are observed in the $`R_{out}`$ measurement.

Figure 2 shows the source size parameters of the STAR data  as a function of transverse mass of the pair particles. It indicates that positive and negative pions behave identical and that the $`m_T`$ dependence exists. The $`m_T`$ dependence in the longitudinal direction has been predicted by several models  including hydro-dynamical expansion in a source. Recently the NA44 collaboration  discussed that both the transverse and longitudinal radius parameters at the SPS energy are fitted well with a single scaling function $`R=A/\sqrt{m_T}`$, where $`A=3.0\pm 0.2\mathrm{fmGeV}^{1/2}`$. The lines inserted in Fig.2 show the function, which seems to reproduce the dependences of both transverse and longitudinal radius parameters at the RHIC energy. We will examine this hypothesis in the second RHIC-year runs at $`\sqrt{s_{NN}}`$=200 GeV.

## 3 Fluctuation measurements

Fluctuation study is another tool to pin down the phase transition from QGP matter to hadronic matter. If a QCD mixed state where partonic bubbles coexist in hadronic matter, is produced in a period of transition, and if the transition is too fast to maintain local equilibrium, fluctuations not following the statistics of hadronic particles are anticipated in physical quantities relating to particle productions. Therefore, a particle fluctuation beyond statistics might be a signature of the QGP formation. Theorists suggest to measure locally conserved quantities such as net baryon number, electric charge or strangeness.  Enormous efforts are under going to extract these quantities. Data available at this moment are the event-by-event mean momentum fluctuation of charged particles and the fluctuation of mean transverse energy measured in an electromagnetic calorimeter. The PHENIX collaboration  has presented the mean $`p_T`$ fluctuation of the top 5% centrality events in Au+Au collisions. The distribution is quite well reproduced over four orders of magnitude by a Gamma function with given parameters extracted from the semi-inclusive $`p_T`$ measurements. The collaboration has made a very careful mathematical analysis and preliminarily concluded that no significant excess from the statistically independent emissions were observed. The same conclusion has been drawn for the mean $`E_T`$ distribution.

## 4 Summary

We have discussed the new results of particle correlation and fluctuation studies from the RHIC experiments. The source size parameters observed in Au on Au collisions at $`\sqrt{s_{NN}}`$=130 GeV are similar to those at the SPS energies. There are no indications of a huge source formation or a prolonged mixed phase as the similar observations at the SPS or AGS energies. The source size parameter dependences on the pair momentum is reproduced by a single $`m_T`$ scaling function observed at the SPS energy. No significant non-statistical fluctuations in $`<p_T>`$ and $`<E_T>`$ were observed by PHENIX, but some indication in charge independent $`<p_T>`$ is reported by STAR .


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# Unbiased gluon jet multiplicity from e+e- three-jet events

## 1 Introduction

The mean charged particle multiplicity of a gluon jet has often been measured in the annihilation of an electron and positron to hadrons, e+e-$``$$`hadrons`$. The usual method is to select three-jet quark-antiquark-gluon $`q\overline{q}g`$ final states for which the events and individual jets are defined using a jet algorithm. The particle multiplicity of a jet determined with this technique is found to depend on which algorithm is employed. Therefore, these jets and the associated $`q\overline{q}g`$ events are called “biased.” In contrast, theoretical calculations usually define gluon jet multiplicity inclusively, by the particles in hemispheres of gluon-gluon ($`gg`$) systems in an overall color singlet. Quark jets are defined analogously as hemispheres of quark-antiquark ($`q\overline{q}`$) systems. The hemisphere definition of jets yields results which are independent of a jet finder. Therefore, these jets are called “unbiased.” Unbiased gluon jet multiplicity has so far been measured only in $`\mathrm{{\rm Y}}`$  and Z0  decays, corresponding to jet energies of about 5 and 40 GeV, respectively.

It is of interest to measure the multiplicity of unbiased gluon jets at other scales. Such measurements would allow a test of recent predictions  from Quantum Chromodynamics (QCD) for the scale dependence of the multiplicity ratio $`r`$$``$$`\mathrm{N}_g/\mathrm{N}_q`$ between gluon and quark jets and for the related ratios of slopes $`r^{(1)}`$$``$$`(\mathrm{dN}_g/\mathrm{d}y)`$ and of curvatures $`r^{(2)}`$$``$$`(\mathrm{d}^2\mathrm{N}_g/\mathrm{d}y^2)`$, where $`\mathrm{N}_g`$ and $`\mathrm{N}_q`$ are the mean particle multiplicities of gluon and quark jets, $`y`$$`=`$$`\mathrm{ln}(Q/\mathrm{\Lambda })`$, $`Q`$ is the jet energy and $`\mathrm{\Lambda }`$ is the QCD scale parameter. Recently, a method to extract the multiplicity of unbiased gluon jets from biased e+e-$``$$`q\overline{q}g`$ events was proposed , extending earlier formalism . By combining measurements of $`\mathrm{N}_g`$ found from this method with the unbiased measurements for $`\mathrm{N}_q`$, the ratios $`r`$, $`r^{(1)}`$ and $`r^{(2)}`$ can be determined at a variety of scales and used to test the corresponding QCD results in a quantitative manner.

Note that the DELPHI Collaboration has also recently presented preliminary results testing the theoretical formalism of  (see ).

## 2 Analysis method

Analytic expressions for the mean particle multiplicity of e+e- three-jet events, valid to the next-to-leading order of perturbation theory (NLO, also called MLLA), were recently presented in :

$`\mathrm{N}_{q\overline{q}g}`$ $`=`$ $`\mathrm{N}_{q\overline{q}}(L,k_{,Lu})+{\displaystyle \frac{1}{2}}\mathrm{N}_{gg}(k_{,Lu}),`$ (1)
$`\mathrm{N}_{q\overline{q}g}`$ $`=`$ $`\mathrm{N}_{q\overline{q}}(L_{q\overline{q}},k_{,Lu})+{\displaystyle \frac{1}{2}}\mathrm{N}_{gg}(k_{,Le}).`$ (2)
The reason for the two different expressions is that there is an ambiguity in the definition of the gluon jet transverse momentum when the gluon radiation is hard. $`k_{,Lu}`$ and $`k_{,Le}`$ are the transverse momenta of the gluon with respect to the quark-antiquark system using the definition of either the Lund ($`k_{,Lu}`$ or Leningrad ($`k_{,Le}`$ groups. $`\mathrm{N}_{q\overline{q}g}`$ is the particle multiplicity of a three-jet event selected using a jet algorithm. $`\mathrm{N}_{q\overline{q}}`$ and $`\mathrm{N}_{gg}`$ are the multiplicities of two-jet $`q\overline{q}`$ and $`gg`$ systems, given by twice $`\mathrm{N}_q`$ and $`\mathrm{N}_g`$, respectively. The scales $`L`$, $`L_{q\overline{q}}`$, $`k_{,Lu}`$ and $`k_{,Le}`$ are defined in .

The multiplicity of the $`gg`$ system in this formalism, $`\mathrm{N}_{gg}`$, depends only on a single scale: $`k_{,Lu}`$ in eq. (1) or $`k_{,Le}`$ in eq. (2). This dependence on a single scale is a statement that $`\mathrm{N}_{gg}`$ is unbiased, i.e. $`\mathrm{N}_{gg}(k_{})`$ in eq. (1) or (2) is equivalent to the inclusive multiplicity of a $`gg`$ event from a color singlet source produced at the same scale $`k_{}`$, to NLO accuracy.

The theoretical formalism is based on massless quarks. Therefore, we select light quark (u, d and s) events for our study. Three-jet events are defined using a jet algorithm. For our standard analysis we employ the Durham jet finder. As a systematic check, we use the Cambridge and Luclus jet finders. The resolution scale of the Durham jet finder, $`y_{cut}`$, is adjusted separately for each tagged uds event so that exactly three jets are reconstructed. For the Cambridge jet finder, the resolution scale is again $`y_{cut}`$. For Luclus the corresponding parameter is $`d_{join}`$. The jets are ordered from 1 to 3 such that jet 1 has the highest energy. The angle opposite jet 1 is called $`\theta _1`$, etc. Events are retained if the angles between the highest energy jet and the other two are the same to within 3, the so-called “Y events” . For Y events, the three-jet event multiplicity and scales $`L_{q\overline{q}}`$, $`k_{,Lu}`$ and $`k_{,Le}`$, depend only on $`E_{c.m.}`$ and one inter-jet angle, conveniently chosen to be $`\theta _1`$. For $`35^{}`$$``$$`\theta _1`$$``$$`120^{}`$, the range of $`\theta _1`$ we employ for our gluon jet analysis, $`\mathrm{22\hspace{0.17em}365}`$ events are selected: this is our final event sample. For simplicity, we identify the gluon jet by assuming it is the lowest energy jet in an event, i.e. jet 3.

To find the $`\mathrm{N}_{q\overline{q}}(L,k_{,Lu})`$ terms in eq. (1), we employ two methods. First, for the standard analysis, we perform a direct measurement. Specifically we determine the particle multiplicity of two-jet uds events from Z0 decays as a function of the jet resolution scale $`k_{,Lu}`$. Second, as a systematic check, we evaluate the following analytic expression from :

$$\mathrm{N}_{q\overline{q}}(J,k_{,Lu})=\mathrm{N}_{q\overline{q}}(J^{})+(JJ^{})\frac{\mathrm{d}\mathrm{N}_{q\overline{q}}(J^{})}{\mathrm{d}J^{}},$$
(3)
where $`J^{}`$$`=`$$`k_{,Lu}+c_q`$ with $`c_q`$$`=`$3/2. The unbiased term $`\mathrm{N}_{q\overline{q}}(K)`$ is equivalent to the mean multiplicity of inclusive e+e-$``$$`hadrons`$ events as a function of $`K`$$`=`$$`E_{c.m.}`$. To find the $`\mathrm{N}_{q\overline{q}}(L_{q\overline{q}},k_{,Lu})`$ terms in eq. (2), we utilize only the second of these methods, i.e. the one based on eq. (3), beacuse a direct measurement is not straightforward in this case.

## 3 Results

The leftmost set of plots in Fig. 1 shows our results for the unbiased charged particle multiplicities of $`gg`$ events, $`\mathrm{N}_{gg}^{ch.}`$. The solid points in the top plot are obtained from eq. (1) using the direct measurements of $`\mathrm{N}_{q\overline{q}}^{ch.}(L,k_{,Lu})`$. The asterisks and open symbols in the bottom plot show the corresponding results from eqs. (1) and (2) using the calculated expressions for $`\mathrm{N}_{q\overline{q}}^{ch.}(J,k_{,Lu})`$ from eq. (3). The two sets of results from eq. (1) (solid points in the top left plot and asterisks in the bottom left plot) are seen to be very similar.

Included in the leftmost plots are direct measurements of unbiased gluon jet multiplicity from the CLEO  and OPAL Collaborations . Also shown are the predictions of the Herwig and Jetset Monte Carlo event generators for the inclusive charged particle multiplicity of $`gg`$ events. It is seen that the Monte Carlo predictions describe the direct measurements of unbiased gluon jet multiplicity (triangle symbols) well. The results from the present analysis based on eq. (1) are also well described by the Monte Carlo curves. In contrast, the results from eq. (2) (open symbols in the bottom leftmost plot) are generally well above the Monte Carlo predictions, and – if extrapolated to lower and higher energies – appear inconsistent with the direct measurements from CLEO and OPAL as well. We therefore conclude that the equation based on the Lund definition of the gluon jet scale, eq. (1), yields results which are more consistent with other studies than the equation based on the Leningrad definition, eq. (2). We henceforth restrict our analysis of gluon jets to the former set of results.

We employ the following procedure to determine $`r`$, $`r^{(1)}`$ and $`r^{(2)}`$ from experiment. The corrected unbiased quark and gluon jet multiplicities are separately fitted using the next-to-next-to-next-to-leading order (3NLO) expressions for $`\mathrm{N}_q`$ and $`\mathrm{N}_g`$ , respectively. To better constrain the results, the direct measurements of unbiased gluon jet multiplicity from CLEO and OPAL are included in the gluon jet fit. The ratio of the fitted expressions for $`\mathrm{N}_g`$ and $`\mathrm{N}_q`$ defines $`r`$. We calculate the first and second derivitives of the analytic equations for $`\mathrm{N}_g`$ and $`\mathrm{N}_q`$ with respect to $`y`$ and evaluate the resulting expressions using the corresponding fitted parameter values. The ratios of these terms define $`r^{(1)}`$ and $`r^{(2)}`$.

Our results for $`r`$ are shown in the central plot in Fig. 1, those for $`r^{(1)}`$ and $`r^{(2)}`$ in the two rightmost plots. The central results are indicated by solid curves. The shaded bands show the statistical uncertainties. The overall uncertainties, with statistical and systematic terms added in quadrature, are shown by the open bands. At 30 GeV, a typical scale in our analysis, we find $`r`$$`=`$$`1.422\pm 0.006\pm 0.051`$, $`r^{(1)}`$$`=`$$`1.761\pm 0.013\pm 0.070`$ and $`r^{(2)}`$$`=`$$`1.98\pm 0.02\pm 0.13`$. This is consistent with the QCD prediction  that $`r`$$`<`$$`r^{(1)}`$$`<`$$`r^{(2)}`$$`<`$$`\mathrm{ChineseAstron}.\mathrm{Astrophys}.`$/$`C_\mathrm{F}`$$`=`$2.25 for the scales accessible in our study,

The 3NLO predictions of Capella et al.  for $`r`$, $`r^{(1)}`$ and $`r^{(2)}`$ are shown by the long-dashed curves in the central and rightmost plots of Fig. 1. The analytic predictions for $`r`$ and $`r^{(1)}`$ exceed the corresponding experimental results by about 22% and 6%, while the theory agrees with the data for $`r^{(2)}`$. A second QCD prediction for $`r`$ versus scale was recently presented by Lupia and Ochs . The predictions of this calculation for $`r`$ and $`r^{(1)}`$ are shown by the short-dashed-dotted curves. At 30 GeV, $`r`$ is predicted to be 1.45, in agreement with our measurement at that scale. The corresponding result for $`r^{(1)}`$ is 1.64, about 7% below the data. Finally, theoretical predictions for $`r`$, $`r^{(1)}`$ and $`r^{(2)}`$ can be derived from the formalism of Edén and Gustafson . These predictions are shown by the long-dash-dotted curves. The results are seen to be in good overall agreement with the data. We note, however, that these predictions are based on the experimental measurements of quark jet multiplicities. Therefore, the predictions we derive based on  are not entirely independent of the data.

In conclusion, we find overall agreement between the experimental and theoretical results.


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# Keck spectroscopy of young and old star clusters in NGC 1023 1footnote 11footnote 1Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration.

## 1 Introduction

At a distance of around 10 Mpc (Ciardullo, Jacoby and Harris, 1991), NGC 1023 is one of the nearest S0–type galaxies. It is included in the *Atlas of peculiar galaxies* (Arp, 1966) because of a small companion galaxy, NGC 1023A, which may have suffered a recent close encounter with NGC 1023 itself (Sancisi et al., 1984). The companion galaxy is quite noticably bluer than NGC 1023. Its integrated broad-band colors, $`UB=0.0`$ and $`BV=0.7`$ (Capaccioli et al., 1986) would imply a metallicity of \[Fe/H\] = $`1.7`$ or less for an entirely old stellar population (Bruzual and Charlot, 2001), or the galaxy might have experienced recent star formation activity. There are no traces of line emission in its spectrum (Capaccioli et al., 1986), indicating no current star formation, but stars might have formed until a few 100 Myr ago when any residual gas was stripped during a close encounter with NGC 1023. With an absolute $`B`$ magnitude of $`M_B=15.7`$ (Capaccioli et al., 1986), NGC 1023A is about one magnitude fainter than the Small Magellanic Cloud (de Vaucouleurs et al., 1991), but the ongoing star formation in the SMC presumably gives it a somewhat lower mass-to-light ratio than NGC 1023A so the two galaxies might have quite comparable masses.

Although globular clusters (GCs) are easily detectable at the distance of NGC 1023, its GC system has received surprisingly little attention. This might be related to the fact that NGC 1023 is located at a Galactic latitude of only $`19\mathrm{deg}`$, causing serious contamination problems from foreground stars in ground-based studies. A recent study of GCs in NGC 1023 was carried out by Larsen and Brodie (2000) (LB2000), who detected 221 cluster candidates with a clearly bimodal color distribution on HST / WFPC2 images. Among the clusters identified by LB2000 were a number of red objects, which were generally fainter and had larger effective radii than normal GCs. In this paper we discuss new spectroscopic data for normal compact globular clusters in NGC 1023 and for two young clusters in the companion galaxy, NGC 1023A.

## 2 Observations

Objects to be observed with the LRIS spectrograph (Oke et al., 1995) on the Keck I telescope were picked from the list of GC candidates identified by LB2000. Additional objects to fill up the slitmask, including two blue objects in NGC 1023A, were selected from ground-based CCD images from the 1.2 m telescope at F. L. Whipple observatory on Mount Hopkins, Arizona, kindly provided by P. Barmby. The Keck spectra were obtained in February 2000, using 1″ slitlets and a 600 lines/mm grating blazed at 5000 Å. This provides a spectral resolution of about 6 Å and a scale of 1.28Å per pixel. The spectra typically covered the region 3900 Å – 6300 Å, but the limits varied by a few 100 Å from one spectrum to another. Altogether the slitmask included 20 science objects, of which 10 were selected from the LB2000 WFPC2 images. The total integration time was 9300 sec, split into 6 individual exposures. Flux standards from Massey et al. (1988) (PG0838$`+`$546 and PG0939$`+`$262) and 4 radial velocity standard stars (HR1805, HR3905, HD37251 and HD52071) were observed through a 1″ longslit. HR1805 and HR3905 were also observed by Worthey et al. (1994) in the Lick/IDS system, making them suitable for a consistency check of our own spectroscopy.

The multislit spectra were extracted from the individual images using the custom-designed REDUX package, written by A. Phillips. REDUX automatically detects each object spectrum and subtracts the sky background, based on information in the files that were originally used for designing the slitmasks. The wavelength solution was obtained by REDUX from exposures of arc spectra through a special calibration slitmask, with corrections to the wavelength zero-point from night sky lines. Co-addition of the individual integrations was also performed by REDUX. The flux– and radial velocity standards were reduced using standard tools in the IRAF SPECRED package222IRAF is distributed by the National Optical Astronomical Observatories, which are operated by the Association of Universities for Research in Astronomy, Inc. under contract with the National Science Foundation, and the flux calibrations were then applied to the multislit spectra. Radial velocities were obtained by cross-correlation of the object spectra with the spectra of the four radial velocity standards, using the FXCOR task in the RV package in IRAF.

Basic data for the science objects are listed in Table 1. The first column in the table is an object identifier and the second column indicates whether the object was selected from the ground-based or WFPC2 data. The following columns list the 2000.0 coordinates and $`V,I`$ photometry (uncorrected for reddening). Column 7 gives the mean heliocentric radial velocity from the four individual measurements and the standard error on the mean value. Finally, column 8 lists the signal-to-noise per pixel in the dispersion direction of each spectrum in the region 4900Å– 5100Å.

The radial velocity of NGC 1023 is listed as $`601\pm 11`$ km/sec in the RC3 catalogue, while Capaccioli et al. (1986) find a somewhat higher radial velocity of $`742\pm 30`$ km s-1 for NGC 1023A. Many of the objects selected on the ground-based images were near the detection limit (as is evident from the large photometric errors) and some are probably spurious detections (n1023-7, n1023-12, n1023-23). Others did not reveal a clear cross-correlation signal anywhere near the NGC 1023 radial velocity (n1023-18, n1023-20) and are presumably background galaxies. n1023-18 shows broad emission lines characteristic of quasars, corresponding to the CIV and CIII$`]`$ lines at rest wavelengths 1549 Å and 1909 Å, redshifted to $`z=2.15`$ (Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration.). n1023-24 is probably a foreground star. Two objects are good GC candidates (n1023-13 and n1023-25), and we call particular attention to object n1023-13 (Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration.) whose apparent $`V`$ band magnitude corresponds to an absolute magnitude of $`M_V=10.8`$ at the distance of NGC 1023. This cluster, discussed in detail in Larsen (2001), is about half a magnitude brighter than the brightest globular cluster in the Milky Way, $`\omega `$ Centauri (Harris, 1996). The two blue objects in NGC 1023A, n1023-3 and n1023-4, have strong Balmer lines, indicating the presence of A-type stars, and radial velocities consistent with the NGC 1023 system and with NGC 1023A in particular. Of the HST-selected objects, n1023-15 is presumably a background galaxy, but the remaining 9 objects are good GC candidates. Thus, our data include 11 old globular clusters in NGC 1023 and 2 young objects in NGC 1023A. The mean radial velocity of the whole sample is 597 km/s with a dispersion of $`\pm 154`$ km/s, or $`573\pm 155`$ km/s if the two young clusters are excluded, in nice agreement with the radial velocity of NGC 1023 quoted above.

## 3 Spectrophotometric analysis of abundances and ages

Although the metallicities of globular clusters are generally believed to correlate with their broad-band colors, a spectroscopic analysis provides more detailed information on possible anomalies and/or age differences. An empirical calibration of various spectrophotometric indices as a function of metallicity was published by Brodie and Huchra (1990, hereafter BH90), and more recently Lick/IDS indices for stellar populations of various ages and metallicities have been modeled by e.g. Worthey (1994), Bruzual and Charlot (2001), C . Maraston and others.

The BH90 metallicity calibration is based on a number of metallicity-sensitive spectrophotometric indices, each of which provides an estimate of the metallicity. A weighted mean of these individual measurements then provides the final spectroscopic metallicity estimate of the cluster, where the appropriate weights are determined from the random errors on the index measurements as well as from the inherent uncertainty in the metallicity derived from a given index. The latter contribution is given by the “figure of merit” for each index, as defined by BH90. Even though we will often label these estimates by \[Fe/H\], it should be emphasized that the metallicity calibrators really measure a variety of different elements, including C, N, Mg and Fe. In our treatment of the errors we adopt one modification from the BH90 prescription, whose equation (22) gives the weighted dispersion of the individual \[Fe/H\] measuremens rather than the uncertainty on the weighted mean. Thus, we multiply by a factor $`(W_j1)^{1/2}`$ so that our error on the combined \[Fe/H\] estimate, $`\sigma _W`$, becomes

$$\sigma _W=\left[\frac{W_j(\left[\mathrm{Fe}/\mathrm{H}\right]_I\left[\mathrm{Fe}/\mathrm{H}\right]_W)^2}{\left(W_j\right)\left(W_j1\right)}\right]^{1/2}$$
(1)
where $`W_j`$ are the weights (normalized to the range $`0W_j1`$) and \[Fe/H\]I and \[Fe/H\]W are the individual and weighted mean metallicity estimates.

Spectrophotometric indices are generally based on a central bandpass covering the feature of interest and two bandpasses on either side of the feature bandpass which define a “pseudo-continuum”. Several variants of the exact prescription exist in the literature, mainly differing in the way the fluxes in the continuum bandpasses are interpolated to the feature bandpass (Burstein et al., 1984; Worthey et al., 1994, BH90). In practice, the definitions by Burstein et al. (1984) and Worthey et al. (1994) usually give virtually identical results, while indices computed according to BH90 can be slightly different, especially if the continuum passbands are located asymmetrically with respect to the feature bandpass and the spectrum has a significant slope.

### 3.1 Metallicities

We derived spectroscopic metallicities for old globular clusters with S/N$`>`$5 using the calibration in BH90. Indices were measured according to their prescription after correction for radial velocities as listed in Table 1. If instead the Burstein et al. (1984) or Worthey et al. (1994) definitions were used, we found a slight decrease in the \[Fe/H\] values by about 0.02 dex, with most of the difference coming from the Fe5270 index. Thus, it is clear that the exact prescription used for measuring the indices has only a very weak effect on the resulting metallicities. As a check, we also compared our index measuring software with the SBANDS task in IRAF (which uses the Burstein et al. definition) and got identical values when using that same definition.

Each of the individual metallicity estimates, as well as the mean values, are given in Table 2 for the 7 old clusters with $`S/N>5`$. Of these clusters, 6 belong to the “blue” peak in the color distribution as defined by LB2000 \[$`(VI)_0<1.05`$\] and one (n1023-25) belongs to the “red” peak. Because none of the spectra reached sufficiently far into the blue, the BH90 $`\mathrm{\Delta }`$ index could not be measured for any of the clusters and has therefore not been included in the Table. Furthermore, we have excluded the NaD index because of the strong NaD skylines, which at best add large amounts of noise to measurements of this index and at worst may cause systematic errors. For comparison, we also list metallicities derived from the reddening-corrected $`VI`$ colors, using the calibration in Kissler-Patig et al. (1998) and adopting a foreground extinction of $`A_B=0.26`$ (Schlegel et al., 1998). The uncertainties on these photometric metallicities only include the random errors due to the photometry, while no systematic errors in the calibrations etc. have been taken into account.

Although most of the individual metallicity estimators are compatible with the average values within the errors for any given cluster, it may be worth noting that the measurements based on the Fe5270 index tend to give higher metallicities than the other indices. Typically, the \[Fe/H\] values based on the Fe5270 index fall about 0.5 dex above the mean values. In Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. we compare the spectroscopic and photometric metallicities. There is generally fair agreement between the two metallicity estimates, although we note the presence of two outliers (n1023-14 and n1023-16) for which the spectroscopic measurements give significantly higher metallicities than the photometric ones. The reason for this is not clear, but from Table 2 the discrepancy does not appear to be driven by any individual index, except for the high metallicity from the Fe5270 index which is common to all clusters. In fact, *all* of the individual metallicity estimators give higher values than the photometric estimate for these two objects. We also measured “pseudo-colors” for the clusters on the spectra at 4700 Å and 5700 Å in 500 Å windows (Table 3), confirming that n1023-14 and n1023-16 have rather blue colors for their metallicities.

The data used by BH90 came from a variety of instruments with different spectral resolutions, ranging from about 5Å (AAT and MMT) to 12Å (Lick). To test how the results depend on the spectral resolution, we smoothed our data with an 8 pixels (10Å) wide Gaussian kernel to simulate the 12Å resolution of the lowest resolution spectra used by BH90 and redid the metallicity measurements. Such smoothing typically decreased the metallicities by $`0.1`$ dex. Since only a fraction of the BH90 data were observed at 12 Å resolution and the rest were observed at a resolution quite similar to ours, systematic errors on our mean metallicity estimates due to resolution effects should be smaller than 0.1 dex.

Burstein et al. (1984) and Brodie and Huchra (1991) noted that many GCs in M31 have enhanced CNR indices compared to Galactic globulars of the same metallicity. Table 4 lists a number of indices for the 7 brightest old GCs in NGC 1023, and in Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. we show the CNR indices versus \[Fe/H\]. The polygon represents the approximate region of the diagram populated by Galactic globulars, according to Brodie and Huchra (1991). We note that two clusters (n1023-13 and n1023-14) do seem to have enhanced CNR indices, although this may only be significant for n1023-13 due to the larger errors on the data for n1023-14. For the remaining spectra the errors are too large to put strong constraints on any anomalies although most of them seem to be compatible with the Milky Way data.

### 3.2 Comparison with population synthesis models

Age differences between clusters would manifest themselves most strongly in the Balmer lines. Beyond a few hundred Myrs the strength of the Balmer lines decreases as a function of age, as the main sequence turn-off shifts towards cooler temperatures. However, it is important to note that the appearance of blue horizontal-branch stars in metal-poor populations around 10 Gyr can reverse this trend, potentially making the Balmer lines less useful as age indicators in very old, metal-poor populations (Maraston & Thomas, 2000). Also, many population synthesis models suffer from uncertainties in the modeling of AGB stars which can have a significant effect on the Balmer indices (Schiavon et al., 2002). With those precautions in mind, we compare compare our data with model predictions from Bruzual and Charlot (2001) (BC2001) in the following.

There are a few instrumental effects that need to be considered when comparing our measurements with the BC2001 models, which use line indices based on the Worthey et al. (1994) fitting functions. First, the Lick/IDS spectra were not flux calibrated and second, our $`6`$ Å resolution is higher than that of the Lick/IDS spectra. In order to test how sensitive our measured indices are to these effects, Table 5 lists measurements of a selection of Lick/IDS indices on flux-calibrated spectra of the two Lick standards HR1805 and HR3905, as well as on unfluxed spectra and spectra smoothed with a 5 pixels wide Gaussian kernel to simulate the lower Lick/IDS resolution. Generally, flux calibration only affects the equivalent widths by a few times 0.01Å, in most cases much smaller than the random measurement errors. This has also been documented by other authors (e.g. Faber et al., 1985; Kissler-Patig et al., 1998), but see Beasley et al. (2000) for some cautionary notes. However, the smoothing does have a significant effect on the results in some cases. The EWs measured on the unsmoothed data are generally too high by several times 0.1 Å compared to the Worthey et al. standard values, while smoothing of the data clearly results in better agreement. We therefore decided to smooth all the science spectra with a 5 pixels Gaussian kernel before measuring Lick / IDS indices.

Selected Lick/IDS indices for the NGC 1023 clusters are listed in Table 6. The last row gives the mean indices for all of the 6 metal-poor old clusters, i.e. excluding n1023-3, n1023-4 and n1023-25. In Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. and Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. we compare the Fe5270, Mg2 and H$`\beta `$ measurements in Table 6 with the BC2001 models. The mean values from Table 6 are indicated with $``$ symbols. From Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. and Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration., most clusters are at least several Gyrs old, except for n1023-3 and n1023-4 whose very strong Balmer lines imply ages less than 500 Myr (see Section 4). The combined datapoint falls near the 10/15 Gyr isochrones in both plots, and between the \[Fe/H\] = $`0.7`$ and $`1.7`$ lines, in agreement with the metallicities derived from the BH90 calibration. However, the separation between the 5, 10 and 15 Gyr isochrones in these diagrams is comparable to the errors even for the combined data and the theoretical 10 Gyr and 15 Gyr lines actually *cross each other* at \[Fe/H\] $`1`$. Both Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. and Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. formally indicate an age of $`1`$ Gyr and above solar metallicity for the faint cluster n1023-25, but the error bars are large and it seems premature to conclude that this cluster is truly young. It would be interesting to obtain high S/N spectra of additional metal-rich GCs in NGC 1023 and look for age differences between metal-poor and metal-rich clusters.

To summarize, the spectroscopy generally confirms the photometric metallicity estimates, but we find that two clusters have significantly higher spectroscopic metallicities than would be expected from their integrated colors. We note that the bright cluster n1023-13 shows a possible enhancement in the CNR index, similar to that observed in some M31 clusters. Most of the GCs appear to be old ($``$ 5 Gyr) and have ages consistent with those of Milky Way globulars, but the ages are not well constrained.

## 4 The two blue objects in NGC 1023A

Davies and Kinman (1984) noted a number of faint point sources in NGC 1023A, near the detection limit on their photographic plates, and suggested that these might be supergiant stars. The ground-based CCD images from which we selected our GC candidates for Keck spectroscopy clearly showed two blue sources superimposed on NGC 1023A, which we decided to include in our sample.

The spectra of these two objects, n1023-3 and n1023-4 turned out to be nearly identical and only one of them is shown in Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration.. The most striking features of the spectra are the very strong Balmer lines, an obvious indication that these are young objects dominated by A-type stars, and thus with ages of no more than a few times $`10^8`$ years. The radial velocities are compatible with NGC 1023 membership, and actually favor association with NGC 1023A. After correction for reddening, the ground-based photometry indicates $`(BV)_0=0.25\pm 0.06`$ and $`0.36\pm 0.04`$, $`(VI)_0=0.62\pm 0.08`$ and $`0.60\pm 0.04`$, and $`M_V=9.25\pm 0.05`$ and $`9.54\pm 0.03`$ for the two objects. Only stars with masses above 35 M reach such high luminosities, and have lifetimes less than 5 Myr (Bertelli et al., 1994; Girardi et al., 2000). Star formation activity that recent would still be easily detectable as H$`\alpha `$ emission, which is clearly incompatible with the observations – notwithstanding the fact that it would be highly unlikely to find two isolated stars that massive. Thus, the two blue “central condensations” in NGC 1023 are most likely young star clusters. Unfortunately, they are not included in any HST images and the available ground-based images have insufficient resolution and S/N to tell whether or not they are spatially extended.

### 4.1 Spectroscopic ages

Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. shows BC2001 model predictions for the evolution of the Lick/IDS H$`\beta `$ index as a function of age for three different metallicities: $`Z=0.02`$ (solar), $`Z=0.008`$ and $`Z=0.004`$. The plot also includes model predictions by C. Maraston (private comm.) for solar metallicity. The Maraston models are also available for sub-solar metallicities, but these have been omitted here for clarity. Equivalent widths of the H$`\beta `$ line measured for the two blue objects in NGC 1023A are indicated by the hatched areas. From Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. and Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. the two objects appear to have subsolar metallicities, as expected if they formed in a stellar environment similar to that of the SMC, but the measurement and model uncertainties are too large to provide strong constraints on the exact metallicities.

As can be seen from Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration., age determinations based on Balmer lines alone are ambiguous, because the predicted equivalent widths reach a maximum at a few times $`10^8`$ years. For solar metallicity ($`Z=0.02`$), comparison with the BC2001 models suggests cluster ages around 125 Myr or around 300 Myr, but for $`Z=0.004`$ (similar to that of the young stellar population in the SMC) the ages could be as high as $`500`$ Myr. The best match to the Maraston models is obtained at an age around 200–300 Myr.

The Worthey et al. (1994) fitting functions, used by both the BC2001 and the Maraston models, were tailored primarily for studies of old stellar populations in early-type galaxies, and may produce less reliable results for younger stellar populations. An alternative set of broader indices, tailored for young stellar populations, was introduced by Brodie et al. (1998). We hereafter refer to these indices as B98 indices. In Fig. Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. we compare B98 (H$`\beta `$, H$`\gamma `$, H$`\delta `$) equivalent widths with model predictions based on the spectral energy distributions (SEDs) supplied with the Bruzual and Charlot (2001) models. B98 indices computed by C. Maraston (private comm.) produce essentially the same resuls. Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. also shows the model predictions for $`BV`$ colors and the ground-based measurements.

Again, Figure Keck spectroscopy of young and old star clusters in NGC 1023 111Based on data obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. shows that both clusters are young objects with ages on the order of 300 Myr, but note that nearly all the Balmer line indices are *stronger* than the maximum values predicted by the models. A similar effect was observed by Brodie et al. (1998) for young clusters in NGC 1275. They suggested that the unusually strong Balmer lines might be due to a skewed or truncated stellar IMF, and found that the observed Balmer line EWs were better reproduced by models with a lack of stars below $`2\text{M}\text{}`$. Although Brodie et al. (1998) only adopted the truncated IMF models as the best available approximation to a flatter IMF, not necessarily implying a complete lack of low-mass stars in the real clusters, it is clear that the IMF would have to be dramatically different from the “standard” Salpeter slope in order to produce significant changes in the observed EWs of spectral lines. Using BC2001 models computed for a Miller-Scalo IMF instead of Salpeter, for example, has virtually no impact on the predicted EWs.

In conclusion, the integrated spectra of young stellar populations clearly need to be better understood. With current models we cannot constrain the age of the two blue objects in NGC 1023A to better than somewhere between 125 and 500 Myr. Part of the uncertainty is due to the behavior of Balmer line strengths as a function of age, but it is also worth noting that different models and index definitions can provide significantly different results. However, we note that the estimated cluster ages are compatible with the clusters having formed during the last close encounter between NGC 1023 and NGC 1023A.

### 4.2 Masses

Because of the uncertain ages and other factors, estimates of the total cluster masses are also inherently uncertain. However, we can make some crude estimates: For a Miller-Scalo IMF and an age of 300 Myr, the BC2001 models predict a luminosity per solar mass of $`M_V(1\text{M}\text{})=2.74`$ for $`Z=0.004`$. For $`Z=0.02`$ the models predict $`M_V(1\text{M}\text{})=2.95`$. If we adopt an uncertainty of $`\pm 100`$ Myr for the ages (which may be somewhat optimistic, cf. the discussion in the previous section) then the corresponding uncertainty on the $`V`$ band M/L ratio is about $`\pm 0.3`$ mag. Considering the uncertainty on metallicity, a more realistic error estimate on the M/L ratio may be at least 0.5 mag. With absolute $`V`$ band magnitudes of $`9.54`$ and $`9.25`$ the masses of the two clusters then become $`8.2\times 10^4\text{M}\text{}`$ and $`6.2\times 10^4\text{M}\text{}`$, with an uncertainty of about $`\pm 50\%`$. For a Salpeter IMF extending down to 0.1M the masses are roughly a factor of two higher than those based on the Miller-Scalo IMF, i.e. $`1.8\times 10^5\text{M}\text{}`$ and $`1.3\times 10^5\text{M}\text{}`$ for the two clusters. For a truncated IMF the masses would be even smaller than for the Miller-Scalo IMF. However, it is clear that the two blue clusters in NGC 1023A are fairly massive, and they may be quite similar to young “populous” clusters such as NGC 1866 in the LMC (Hodge, 1961).

### 4.3 Are the young blue clusters in NGC 1023A related to the “faint fuzzies” in NGC 1023?

LB2000 discovered a number of peculiar faint, extended objects in NGC 1023, thought to be stellar clusters associated with the disk of the galaxy. These clusters have about the same $`VI`$ color as the metal-rich “normal” globular clusters in NGC 1023, but are generally fainter and have larger sizes. Most of them have effective radii of $`10`$ pc and absolute visual magnitudes fainter than $`M_V=7`$. While their origin remains unknown, one possibility is that they might have been accreted from dwarf galaxies similar to NGC 1023A. Some support for this idea is provided by the presence of an HI-ring around NGC 1023, hinting at encounters in the system earlier in its history (Capaccioli et al., 1986). It is thus natural to ask how the two blue objects in NGC 1023A will evolve with time.

Assuming that the two blue objects currently have ages of 300 Myr, they will fade by $`1`$ magnitude by the time they are 1 Gyr old and by about 3.5 mag when they reach an age of 10 Gyr. Thus, they will be in the magnitude range spanned by the “faint fuzzies” several Gyr from now, provided they remain bound. This by itself, of course, does not imply that the faint extended clusters in NGC 1023 originated in dwarf galaxies similar to NGC 1023A, but it would be highly desirable to check the sizes of the two blue clusters with high-resolution imaging.

## 5 Summary and conclusions

We have presented Keck spectroscopy for 11 old globular clusters in the nearby S0-type galaxy NGC 1023 and 2 young clusters in its companion galaxy, NGC 1023A. Out of 10 objects from Larsen and Brodie (2000), 9 are confirmed to be globular clusters in NGC 1023 and in addition we have identified 2 new globular clusters, one of which is very luminous with $`M_V10.8`$. Most of the spectra have rather poor S/N but 7 are good enough to allow analysis of metallicities. Two of these clusters have higher metallicities than predicted by their broad-band colors. We have looked for abundance anomalies and find that most clusters show no detectable anomalies, although the bright cluster n1023-13 may show cyanogen enhancements similar to those observed in M31 globular clusters (Burstein et al., 1984; Brodie and Huchra, 1991). Most of the clusters appear to have high ages consistent with Milky Way globulars, but the errors are large and it would be highly desirable to check possible age differences between the metal-poor and metal-rich populations with more spectra of metal-rich GCs in NGC 1023.

Two blue objects in NGC 1023A are young star clusters with ages around 300 Myr, but with a possible range between 125 and 500 Myr. Their integrated $`V`$ band magnitudes are $`M_V=9.6`$ and $`M_V=9.3`$. The total masses are about $`8\times 10^4\text{M}\text{}`$ and $`6\times 10^4\text{M}\text{}`$ for a Miller-Scalo IMF and SMC–like metallicity, making these clusters similar to young populous clusters in the LMC such as NGC 1866. Since NGC 1023 and NGC 1023A may have undergone a close encounter at about the same time the two blue clusters in NGC 1023A were formed, it is tempting to speculate that the clusters formed during a period of enhanced star formation activity, stimulated by the encounter.

We are grateful to Pauline Barmby for providing us with her ground-based CCD images of NGC 1023 and to Markus Kissler-Patig for helpful comments on an earlier version of this manuscript. We also thank John Huchra for useful discussions and the anonymous referee for comments which helped improve the manuscript. This work was supported by National Science Foundation grant number AST9900732.


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# The ZEUS Micro Vertex Detector

## 1 Introduction

ZEUS is a multi purpose detector operating at the Hadron Electron Ring Accelerator (HERA) located at the DESY laboratory in Hamburg, Germany. At HERA 27.5 GeV electrons collide with 920 GeV protons, corresponding to a center of mass energy of 318 GeV. The integrated luminosity recorded by the ZEUS detector during the first period of data taking (from 1993 to 2000) is about 130 pb-1. A shutdown period has then followed to allow the luminosity upgrade of HERA  and the installation of new components in ZEUS, including a silicon Micro Vertex Detector which, besides a general improvement and extension of the track reconstruction, will allow the identification of final states containing long–lived particles.

Fig. 1 shows the layout of the Micro Vertex Detector (MVD) parallel to the beam axis. We distinguish a forward (FMVD, proton direction) and a central (BMVD, barrel) section. The barrel section is about 65 cm long and consists of three layers of silicon strip sensors arranged in cylindrical planes surrounding the interaction point. Each layer is composed by two planes of single–sided silicon strip detectors111produced by Hamamatsu Photonics. (320 $`\mu `$m thick) with $`p^+`$ strips implanted into a $`n`$–type bulk. The strip pitch is 20 $`\mu `$m but only every 6th strip is AC coupled to an aluminium readout line. In the barrel section two sensors are glued together and one sensor is electrically connected to the other via a copper trace etched on 50 $`\mu `$m thick Upilex222Polyimid film produced by UBE Technologies Ltd, Japan foil (see Fig. 2). The connection of the sensor assembly with the front end readout is also made via a Upilex foil, glued at one side on the sensor and at the other side on the hybrid. The resulting surface of 123.68 x 64.24 mm2 forms one readout cell of 512 channels and is called a half module .
The forward section consists of four wheels, each of them made of two layers of 14 silicon sensors of the same type of the barrel section but with a trapezoidal shape. In each wheel the two layers are parallel but strips are tilted by 180/14 in opposite directions.
A more detailed description of the MVD layout and of the silicon sensors can be found in Refs. .

## 2 Assembly and survey

The assembly of the barrel section proceeds as follows:

* Using precision rotational and translation tools the sensors are glued together to form the half module with a precision of 10 $`\mu `$m. This precision is defined as the maximum uncertainty on the distance of one reference mark to the one of another sensor. Two half modules (the one in Fig. 2 and its mirrored image) are mounted on top of each other forming a full module.
* Five full modules are fixed side by side, with 1 mm gap in between, on a support frame and form a ladder. After assembly the position of the half modules are measured. Within one ladder a precision of 5 $`\mu `$m is achieved.
* In order to assemble the MVD and the beam pipe together before installation in ZEUS, the detector has been arranged in two separate half cylinders. The ladders are mounted in a half cylinder supported on ceramic spheres on the front side and by two screws on the rear. After assembly the ladder position is measured with a 3D survey machine to a precision of 10 $`\mu `$m. A total of 30 ladders has been installed in the BMVD.

## 3 Program of test and measurements before installation

### 3.1 Test beam measurements

A test beam program has been set up to understand the performance of our silicon detectors and front end electronics. Results on single sensors have been presented in Ref. . Half modules of the final production chain have been exposed to an electron beam of 2–6 GeV at the DESY II accelerator. The charged tracks are measured by three pairs of silicon strip detectors with 50 $`\mu `$m readout pitch and one intermediate strip, providing a position accuracy of 5.4 $`\mu `$m for a 6 GeV beam.
The charge created by a traversing particle is collected by several consecutive strips, which form a cluster. In order to find the cluster we first look for the strip whose charge is higher then a given threshold. The threshold was defined as 5$`\sigma `$, where $`\sigma `$ is the r.m.s. noise of each strip. The reconstruction of the impact position has been performed with three different algorithms, i.e. (1) the Eta algorithm , (2) the Double Centroid algorithm, (3) the Head–Tail algorithm.

1. Eta algorithm: is based on the assumption that most of the charge is collected by the two readout strips closest to the impact position. If $`Q_{left}`$($`Q_{right}`$) is the charge collected on the left(right) side of the impact point, $`P`$ the readout pitch and $`x_{left}`$ the position of the left strip, the hit position $`x_{Eta}`$ can be reconstructed by

$$x_{Eta}=Pf(\eta )+x_{left}$$
(1)
with:

$$\eta =\frac{Q_{right}}{Q_{right}+Q_{left}},f(\eta )=\frac{1}{N}_0^\eta \frac{dN}{d\eta ^{}}𝑑\eta ^{}.$$
(2)
In Eq. 2 $`\eta `$ is calculated for each hit, while the probability function $`f(\eta )`$ is evaluated using all hits of each data sample.
2. Double Centroid algorithm (DC): reconstructs the impact position using the strip with the highest collected charge and its two neighbouring strips. Having computed the center of gravity $`C_{left}(C_{right})`$ between the central strip and the left(right) neighbouring strip, the hit position is given by

$$x_{DC}=\frac{C_{left}/dr+C_{right}/dl}{dr+dl},dl=\frac{Q_{left}}{Q_{right}}=1/dr.$$
(3)
3. Head–Tail algorithm (HT): for large incident angles, the charge generated by a particle spreads among many strips. In this case, the charges collected by central strips in the cluster do not contain position information. The Head–Tail algorithm uses the information from strips on both edges to solve this problem. We define the head(tail) strip as a strip which has the smallest(largest) strip number and collected charge higher than three times the noise level. The hit position $`x_{HT}`$ is then given by

$$x_{HT}=\frac{x_h+x_t}{2}+\frac{Q_t+Q_h}{2Q_{AV}}P$$
(4)
where $`x_h(x_t)`$ is the position of the head(tail) strip and $`Q_h(Q_t)`$ its charge. The average pulse height per strip within the cluster is $`Q_{AV}`$.

Fig. 3 shows the intrinsic resolution measured on a half module as a function of the incident angle (with respect to the normal direction) with different hit reconstruction algorithms and a 6 GeV beam. The best achieved intrinsic resolution for perpendicular tracks is 13 $`\mu `$m with the Eta algorithm as compared with 9 $`\mu `$m obtained with the single sensor . The DC algorithm has a slightly worse resolution (17 $`\mu `$m) but does not need the evaluation of the probability function Eq. 2, as in the case of the Eta algorithm. For incident angles greater than 40 degrees the HT algorithm gives the best performance.

### 3.2 Test of half module electrical properties

A full module and two half modules (an inner and an outer one) were selected for a series of I/V measurements (i.e. dark current vs bias voltage) and endurance test as a function of temperature and humidity. A full module was assembled in the same way as the ones used on the ladders in the MVD. The module was placed in a box and the temperature was monitored with a NTC resistor. Fig. 5 shows the I/V curves measured on the inner half module at different temperatures (14, 20, 23 and 30 C). We observe an increase of the breakdown voltage with the increase of temperature as well as the expected overall increase of dark current. During these measurements humidity was not controlled neither recorded.
Further measurements were performed on half modules. The temperature in the box was regulated with a Peltier element and humidity was monitored by a sensor Humicor S6000 (of the type used in the ZEUS MVD). The humidity level inside the box was controlled by nitrogen flow. The results of these measurement are shown in Fig. 5. The clear dependence of the breakdown voltage on the humidity level leads us to the conclusion that careful checking and control of the humidity is required for the MVD.

### 3.3 System test with cosmic rays

After the assembly of the detector half cylinders together with the beampipe the MVD has been connected to the final readout electronics, including the final set of power and signal cables. We summarise the tests performed in the following points:

* A fast scope test consisting in programming and checking the response of all front end chips;
* Test of data acquisition system with a random trigger;
* Data acquisition with cosmic ray trigger;
* Test of slow control system.

Already from the scope test two full modules (over a total of 206) and a single front end hybrid have been found to be faulty; no further degradation has been observed. The system has been running continuously for four weeks in cosmic trigger mode, recording a total of about 2.5 million events. A first analysis of cosmic events has been performed requiring at least two good hits in both projections in the modules of the outer layer. The hit position has been calculated using a center of gravity algorithm, while the track trajectory has been extrapolated with a Kalman fit. Input for these calculations is the geometrical position of the detectors resulting from the design. The distribution of residuals without any alignment correction shows a resolution of 70 $`\mu `$m in $`r`$$`\varphi `$ coordinate and of 80 $`\mu `$m in $`r`$$`z`$ coordinate.

## 4 Radiation monitoring

The radiation monitor system (RadMon) for the MVD has the following main tasks:

* Provide continuous monitoring data and generate warning signals to the ZEUS shift crew in case of a moderately high radiation;
* Provide a fast dump signal to the electron kicker of HERA in case the radiation is too high;
* Calculate the total integrated dose.

The maximum tolerable dose in our electronics is 3 kGy, with already degradations in the S/N ratio after 1 kGy which can be partly recovered by tuning of the front end parameters. The design lifetime is 5 years of operation in the HERA environment, which sets the acceptable dose to 250 Gy/yr. The detectors chosen for the RadMon are 8 pairs of oxygen enriched silicon PIN diodes (1 cm2 active surface, 300 $`\mu `$m thickness), placed near the beampipe in the forward and rear part of the MVD. The two diodes forming a pair are mounted back to back with 1 mm of lead in between to discriminate background of charged particles from synchrotron radiation.
In addition, in the rear region six plastic tubes have been glued on the beam pipe shield and are used to insert TLD dosimeters, providing a monthly dose measurement.

## 5 Conclusions

The micro vertex detector has been succesfully assembled and installed in the ZEUS experiment. A set of test beam measurements on half modules shows that we have achieved an intrinsic spatial resolution of 13 $`\mu `$m for perpendicular tracks. The detector has been equipped with a radiation monitoring system and is currently participating to the commissioning of the HERA beams. The luminosity run will start in 2002.

## 6 Acknowledgements

I would like to thank all my collegues of the ZEUS MVD group, in particular R. Carlin, U. Koetz, E. Koffeman and H. Tiecke for the useful discussions.