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# Spectrophotometric evolution of spiral galaxies with truncated star formation: An evolutionary link between spirals and S0s in distant clusters

## 1 Introduction

Unravelling the star formation histories of galaxies in rich clusters is one of the major issues in extra-galactic astronomy. Spectroscopy of these galaxies has provided a number of key observations which are fundamental to understanding star formation in the dense cluster environment: The origin of galaxies with unusual spectra containing strong H$`\delta `$ absorption and no observable \[OII\] emission (the a+k/k+a types previously defined as ”E+A”; Dressler & Gunn 1983, 1992), the presence of starburst and poststarburst galaxies and thus evidence of a starburst evolutionary cycle (Couch & Sharples 1987; Barger et al. 1996), the importance of a gradual decline of star formation in explaining the observed radial gradients in the colors and spectroscopic properties of cluster galaxies (Abraham. et al. 1996; Morris et al 1998; Balogh et al. 1998, 1999), the connections between morphology and spectral type (Dressler et al. 1999), and the recognition that dust is an important ingredient to the starburst phenomenon (Poggianti et al. 1999; Smail et al. 1999). In addition, the star formation properties of galaxies in rich clusters are remarkably different to those in the field (e.g., Dressler et al. 1985; Balogh et al. 1999).

Interpreting these observations in terms of which physical processes are responsible for the environmental differences in star formation properties has not been straightforward. An episodic increase in star formation rate (i.e., starburst) triggered by some cluster-related physical process, followed by the abrupt truncation of star formation, have been a common interpretation of the observed spectral properties of distant cluster galaxies (Couch & Sharples 1987; Barger et al. 1996). However, several authors have claimed that simple truncation or a gradual decline of star formation can equally well explain the observations (Abraham et al. 1996; Morris et al. 1998; Balogh et al. 1998). Even with more recent data on the incidence and strength of H$`\alpha `$ emission amongst distant cluster galaxies (Couch et al. 2000; Balogh & Morris 2000), it is still unclear which of these two interpretations is most plausible.

An important aid in interpreting the spectral signatures of galaxies and thus clearly distinguishing between these different star formation histories, is detailed modeling of their spectro-photometric properties within these different evolutionary frameworks. This approach has already provided a much better understanding of starbursts going on within cluster galaxies, with their spectral evolution through and after the burst well determined (Poggianti & Barbaro 1996, Poggianti et al. 1999), and the effects of dust and selective absorption also quantified (Shioya & Bekki 2000; Shioya, Bekki, & Couch 2000). However, in no way can this modeling effort be considered complete, with other processes such as the simple truncation of star formation and the chemical evolution associated with the observed star formation activity yet to be fully explored.

Investigation of the truncation process is not only motivated by the desire to understand the spectroscopic evolution that accompanies it, but also to gather new clues as to the origin of S0s, since the formation of this morphological class is suggested to be closely associated with the truncation of star formation in spirals (e.g., Larson, Tinsley, & Caldwell 1980). Recent morphological studies of distant cluster populations have pointed to a strong evolution in the Sp/S0 mix with redshift, with clusters in the past having a much smaller S0 fraction (and a correspondingly larger Sp fraction) than their present-day counterparts (Dressler et al. 1997; Fasano et al. 2000). The morphological transformation of spirals into S0 galaxies would also appear to be a key feature of cluster galaxy evolution over the last third of a Hubble time.

This demise of cluster spirals is also evidenced in a star formation sense through the presence of ‘passive spirals’ (Couch et al. 1998, Dressler et al. 1999), viz., galaxies which have a spiral morphology but whose lack of star formation is betrayed by their passive, k-type spectra. This would suggest that star formation ended unspectacularly in such objects, either through truncation or just a general run down. However, little if any modeling has been done to assess whether this cessation of star formation activity, which must have occurred several billion years before the epoch of observation (for the galaxy to have evolved to a k-type), is consistent with the retention of spiral arm structure and such systems being the progenitors of present-day S0s.

The purpose of this paper is to specifically investigate the truncation of star formation in disk galaxies, in order to obtain a more comprehensive understanding of the spectroscopic and photometric evolution that results from this process. We do so in an explicitly self-consistent manner by using a one-zone chemical evolution model. In particular, we investigate the evolution in both the spectral properties – quantified by the equivalent widths of the \[OII\]$`\lambda `$3727/H$`\delta `$ emission/absorption line features – and the optical/infrared colors following truncation, and determine its dependence on the truncation epoch and the star formation activity prior to this event. Using recent observational data on the infrared color-magnitude relation in the Coma cluster (Eisenhardt et al. 2001) as a test, we also examine whether the truncation of spirals is a viable mode of producing present-day S0 galaxies.

The layout of this paper is as follows: In §2, we summarize the numerical models used in the present study and describe briefly the methods employed for deriving galaxy spectral energy distributions (SEDs) and their associated spectroscopic properties. In §3, we present our numerical results for the time evolution of colors, EW(\[OII\]), EW(H$`\delta `$), and H$`\alpha `$ luminosities. In §4, we discuss an evolutionary link between S0s and ‘passive’ spirals formed by the truncation of star formation. The conclusions of the present study are given in §5.

## 2 Model

We adopt a one-zone chemo-spectrophotometric model of a disk galaxy with abrupt truncation of star formation and thereby investigate the time evolution of UV, optical, and near-infrared colors and of emission and absorption lines such as H$`\alpha `$, \[OII\], and H$`\delta `$. The present model is essentially the same as that adopted in our previous studies (Shioya & Bekki 1998, 2000) and the details of the treatment of chemical evolution are already given in Shioya & Bekki (1998). Dust effects are not included in the present model. The chemical evolution of galaxies is followed by using the model described by Matteucci & Tornambè (1987) which includes the metal-enrichment processes of Type Ia and II supernovae (SNIa and SNII). We adopt a Salpeter initial mass function (IMF), $`\varphi (m)m^{1.35}`$, with upper mass limit $`M_{\mathrm{up}}=120M_{}`$ and lower mass limit $`M_{\mathrm{low}}=0.1M_{}`$. We calculate photometric properties of galaxies as follows. The monochromatic flux of a galaxy having age $`T`$, $`F_\lambda (T)`$ is;

$$F_\lambda (T)=_0^TF_{\mathrm{SSP},\lambda }(Z,Tt)\psi (t)𝑑t,$$
(1)
where $`F_{\mathrm{SSP},\lambda }(Z,Tt)`$ is the monochromatic flux of a single stellar population with age $`Tt`$ and metallicity $`Z`$, and $`\psi (t)`$ is the time-dependent star formation rate described later. In the present study, we use the spectral library GISSEL96 which is the latest version of Bruzual & Charlot (1993).

In this paper, we use the infall disk model (e.g., Arimoto, Yoshii, & Takahara 1992) where a disk galaxy is assumed to be gradually built up by gas infalling from the outer halo region. We adopt the Sa, Sb, and Sc models described in Arimoto et al. (1992) as reasonable and realistic disk models. The star formation history of a disk galaxy in the present infall model is characterized by two epochs. The first is the epoch of galaxy formation ($`T_{\mathrm{form}}`$ or $`z_{\mathrm{form}}`$) at which gaseous infall onto a disk galaxy and the subsequent gas consumption by star formation at a moderate rate begins. In the present study, ($`T_{\mathrm{form}}`$ ($`z_{\mathrm{form}}`$) is 0 Gyr (5) for all models. The second is $`T_{\mathrm{trun}}`$ ($`z_{\mathrm{trun}}`$) at which both gaseous infall and star formation in the disk are abruptly terminated. In the present study, $`T_{\mathrm{trun}}`$ ($`z_{\mathrm{trun}}`$) is considered to be a free parameter. The gas infall rate for a disk galaxy ($`A(t)`$) is assumed to be proportional to the gas mass fraction of the reservoir gas ($`f_{g\mathrm{H}}`$):

$$A(t)=af_{g\mathrm{H}},$$
(2)
where $`a`$ is a parameter which controls the infall rate of a disk. This parameter $`a`$ has the values:

$$a=\{\begin{array}{ccc}\tau _{\mathrm{in}}^1\hfill & & \mathrm{for}T_{\mathrm{form}}T<T_{\mathrm{trun}},\hfill \\ 0\hfill & & \mathrm{for}T_{\mathrm{trun}}T,\hfill \end{array}$$
(3)
where $`\tau _{\mathrm{in}}`$ gives the time scale of gas accretion. The adopted values of $`\tau _{\mathrm{in}}`$ are 2.41 (Sa), 3.13 (Sb), and 6.76 Gyr (Sc), all of which are chosen from the values listed in Table 1 of Arimoto et al. (1992). We adopt three values $`T_{\mathrm{trun}}`$ = 4.46, 7.64, and 9.45, each of which corresponds to $`z`$ = 1.0, 0.4, and 0.2, respectively, for $`H_0`$ = 65 km $`\mathrm{s}^1`$ $`\mathrm{Mpc}^1`$ and $`q_0`$ = 0.05 (i.e., The corresponding present age of the universe at $`z`$ = 0 is 13.8 Gyr).

The star formation rate is assumed to be proportional to the gas mass fraction ($`f_g`$):

$$\psi (t)=kf_g,$$
(4)
where $`k`$ is a parameter controlling the star formation rate. This parameter $`k`$ has values:

$$k=\{\begin{array}{ccc}k_{\mathrm{disk}}\hfill & & \mathrm{for}T_{\mathrm{form}}T<T_{\mathrm{trun}},\hfill \\ k_{\mathrm{trun}}\hfill & & \mathrm{for}T_{\mathrm{trun}}T.\hfill \end{array}$$
(5)
The value of $`k_{\mathrm{disk}}`$, controlling the star formation histories of disk galaxies, is suggested to be different between different Hubble types (e.g., Arimoto, Yoshii, & Takahara 1992). We adopt here $`k_{\mathrm{disk}}`$ values of 0.532 $`\mathrm{Gyr}^1`$ (Sa), 0.409 (Sb), and 0.109 (Sc).

From now on, the above model of truncated star formation is referred to as the “TF” (truncated star formation) model. In order to reveal more clearly the importance of the truncation of star formation in the spectral evolution of disk galaxies, we investigate two other models for comparative purposes: One is the “TI” (truncated infall) model in which only gaseous infall is assumed to be truncated at $`T`$ = $`T_{\mathrm{trun}}`$ and star formation can continue even after $`T_{\mathrm{trun}}`$. The other is the “CF” (continuously star-forming) model in which star formation is assumed to continue without truncation of star formation and gas infall (i.e., exactly the same as that adopted in Arimoto et al. 1992). Accordingly, $`k_{\mathrm{trun}}`$ in a disk is set to be 0 for TF models and the same as that of $`k_{\mathrm{disk}}`$ for CF and TI models. By comparing the results of these three models, we can investigate the effects of truncating star formation on the spectral evolution of disk galaxies. Furthermore, by changing $`T_{\mathrm{trun}}`$, we can investigate how the epoch of truncation of star formation (and gas infall) controls the spectral evolution of a disk galaxy.

To derive the fluxes for various gaseous emission lines (H$`\delta `$ and \[OII\]) in starburst galaxies, we first calculate the number of Lyman continuum photons, $`N_{\mathrm{Ly}}`$, by using the SED. Here, we introduce the parameter $`f_{\mathrm{ion}}`$ which determines what fraction of Lyman continuum photons can be used for ionizing the surrounding gas and we show only the results of models with $`f_{\mathrm{ion}}`$ = 1.0. Previous studies assume that the value of $`f_{\mathrm{ion}}`$ is 0.2 in Guiderdoni & Rocca-Volmerange (1987) and 0.7 in Fioc & Rocca-Volmerange (1997). Our results do not depend so strongly on $`f_{\mathrm{ion}}`$ if its value is within a plausible range. If all the Lyman continuum photons are used for ionizing the surrounding gas, the luminosity of H$`\beta `$ is calculated according to the formula:

$$L(\mathrm{H}\beta )(\mathrm{erg}\mathrm{s}^1)=4.76\times 10^{13}N_{\mathrm{Ly}}(\mathrm{s}^1)$$
(6)
(Leitherer & Heckman 1995). To calculate luminosities of other emission lines, e.g., \[OII\] and H$`\delta `$, we use the relative luminosity to H$`\beta `$ luminosity tabulated in PEGASE (Fioc & Rocca-Volmerange 1997) which is calculated for an electron temperature of 10000 K and an electron density of 1 cm-3. We derive the strength of absorption lines based on GISSEL96 (Bruzual & Charlot 1993). Thus the SED derived in the present study consists of stellar continuum, gaseous emission, and stellar absorption.

By using the above model, we investigate: (1) how the photometric and spectroscopic properties of disk galaxies evolve with time after the truncation of star formation, and (2) whether disk galaxies, after the truncation of star formation, can be on the ($`IK`$)-$`M_\mathrm{K}`$ and ($`UV`$)-$`M_\mathrm{V}`$ color-magnitude relations observed in the Coma cluster. In the first investigation, we analyze in particular the time evolution of the $`UV`$, $`BV`$, and $`IK`$ colors and the spectroscopic properties on the EW(\[OII\])-EW(H$`\delta `$) plane. In order to show more clearly the present numerical results, we first show the results of a set of fiducial Sb disk models ($`T_{\mathrm{trun}}`$ = 7.64 Gyr, $`k_{\mathrm{disk}}`$ = 0.409 Gyr-1). In this set of models, we show the typical evolution of disks with truncated star formation by comparing the three models, CF, TF, and TI. We then show the dependences of the evolution on the epoch of truncation ($`T_{\mathrm{trun}}`$ or $`z_{\mathrm{trun}}`$) and on the initial star formation histories of the disks ($`k_{\mathrm{disk}}`$). In total, we describe the results of 21 models with different $`T_{\mathrm{trun}}`$ and $`k_{\mathrm{disk}}`$ values to elucidate the importance of each parameter. For convenience, the Sb model with truncation of gas infall at $`T_{\mathrm{trun}}`$ = 7.64 Gyr is represented by $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$: We investigate $`\mathrm{Sa}_{\mathrm{TI}}^{4.46}`$, $`\mathrm{Sa}_{\mathrm{TI}}^{7.64}`$, $`\mathrm{Sa}_{\mathrm{TI}}^{9.45}`$, $`\mathrm{Sa}_{\mathrm{TF}}^{4.46}`$, $`\mathrm{Sa}_{\mathrm{TF}}^{7.64}`$, $`\mathrm{Sa}_{\mathrm{TF}}^{9.45}`$, $`\mathrm{Sa}_{\mathrm{CF}}`$, $`\mathrm{Sb}_{\mathrm{TI}}^{4.46}`$, $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$, $`\mathrm{Sb}_{\mathrm{TI}}^{9.45}`$, $`\mathrm{Sb}_{\mathrm{TF}}^{4.46}`$, $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$, $`\mathrm{Sb}_{\mathrm{TF}}^{9.45}`$, $`\mathrm{Sb}_{\mathrm{CF}}`$, $`\mathrm{Sc}_{\mathrm{TI}}^{4.46}`$, $`\mathrm{Sc}_{\mathrm{TI}}^{7.64}`$, $`\mathrm{Sb}_{\mathrm{TI}}^{9.45}`$, $`\mathrm{Sc}_{\mathrm{TF}}^{4.46}`$, $`\mathrm{Sc}_{\mathrm{TF}}^{7.64}`$, $`\mathrm{Sc}_{\mathrm{TF}}^{9.45}`$, and $`\mathrm{Sc}_{\mathrm{CF}}`$.

In the second investigation, we analyze the photometric evolution of disks with variously different truncation epochs and star formation histories on the ($`IK`$)-$`M_\mathrm{K}`$ color-magnitude (CM) relation observed by Eisenhardt et al. (2001) and de Grijs & Peletier (1999) and ($`UV`$)-$`M_\mathrm{V}`$ CM one observed by Bower et al. (1992). Since the observed colors for S0s are composed of both disk and bulge contributions, we also consider the color evolution of the bulge component on its own in this second investigation. In addition to the disk colors calculated using the above disk models, we derive bulge colors and then total colors for disk galaxies (with and without truncation) based on the bulge model described below. We adopt almost the same bulge model as that of Arimoto & Jablonka (1991) in which 0.7 Gyr after the monolithic collapse of the bulge the galactic wind blows away the remaining gas to completely stop star formation. In the present bulge model, $`k_{\mathrm{disk}}`$ = 10.0 $`\mathrm{Gyr}^1`$ and $`\tau _{\mathrm{in}}=`$0.125 Gyr. We investigate the importance of bulge colors in reproducing the E/S0 $`IK`$ and $`UV`$ CM relation, by considering a series of truncated and non-truncated disk galaxies with different bulge mass fractions ($`f_{\mathrm{bul}}`$; the fraction of bulge mass to total mass of a disk galaxy). The values of $`f_{\mathrm{bul}}`$ investigated in the present study are 0.1, 0.3, and 0.5. As part of this second investigation, we derive the $`z=0`$ (final) mass needed to place its disk component on the ($`IK`$)-$`M_\mathrm{K}`$ CM-relation observed for disk galaxies by de Grijs & Peletier (1999). The total stellar masses adopted for the Sa, Sb, and Sc disks in the CF models are 3.27 $`\times `$ $`10^{10}`$ $`M_{}`$, 1.85 $`\times `$ $`10^{10}`$ $`M_{}`$, and 4.49 $`\times `$ $`10^9`$ $`M_{}`$, respectively. Thus, the adopted model assumtion that a later type disk (e.g., S(c)) is less lumninous and less massive and has bluer colors are consistent both with previous results on the dependence of disks’ colors on galactic morphology (e.g., Arimoto et al. 1992) and with the observed CM relation by de Grijs & Peletier (1999).

Overall, we investigate the photometric evolution of 54 different models on the ($`IK`$)–$`M_\mathrm{K}`$ and ($`UV`$)-$`M_\mathrm{V}`$ planes and thereby study under which physical conditions (e.g., star formation histories and truncation epoch) truncated disk galaxies can reproduce the observed CM relations of E/S0s. For convenience, a set of Sa (Sb and Sc) models with variously different truncation epochs, bulge mass fraction, and truncation types (CF, TF and TI) are referred to as model sequence S1 (S2 and S3, respectively). These model sequences are summarized in Table 1. We stress that the derived EW(\[OII\]) in the present calculation is appreciably larger than the typical value of the observed EW(\[OII\]). This is because we use the emission line ratio of \[OII\]/H$`\delta `$ (3.01 throughout the present paper) listed in the table of the PEGASE (Fioc & Rocca-Volmerange 1997) in order to calculate \[OII\] emission line strength of a truncated spiral. Shioya, Bekki, & Couch (2001) have already demonstrated that the \[OII\] emission line strength calculated by the PEGASE is appreciably (a factor of $``$ 1.5) larger than that by the photoionization code CLOUDY (Ferland et al. 1998). Therefore the present results should be more carefully interpreted especially when we determine whether a spiral galaxy with star formation shows the spectral types e(b) or e(c). More discussions on advantages and disadvantages in using the adopted PEGASE code are given in Shioya et al. (2001).

## 3 Results

We show first the results for our fiducial models ($`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$, $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$, and $`\mathrm{Sb}_{\mathrm{CF}}`$) and then describe the parameter dependences of the photometric and spectroscopic evolution of disk galaxies. The star formation histories of the models with and without truncation (of star formation or gas infall) are given in Figures 1 and 2. Mean star formation rate is higher for earlier type disks than later ones, and consequently gas mass fraction is more rapidly decreased for earlier type disks than later type ones (Figure 1). As is shown in Figure 2, the star formation rate in a TI model becomes lower than that of the CF model with the same parameters as those in the TI one soon after truncation of gas infall whereas the star formation rate in a TF model becomes abruptly 0 after truncation of star formation.

### 3.1 Fiducial model

As is shown in Figure 3, all of the $`UV`$, $`BV`$, and $`IK`$ colors for $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ become rapidly redder after truncation in comparison to those of $`\mathrm{Sb}_{\mathrm{CF}}`$. This is due essentially to the aging of the stellar populations after the truncation of star formation in $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ . The difference in colors between the two models ($`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ and $`\mathrm{Sb}_{\mathrm{CF}}`$) depends on wavelength with it being more clearly observed in the UV and optical bands ($`UV`$ and $`BV`$) than in $`IK`$. This reflects the fact that the contribution from the young stellar populations to color evolution is much more dominant at UV and optical wavelengths than in the near-infrared. The color difference between $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ and $`\mathrm{Sb}_{\mathrm{CF}}`$ after 1 Gyr (corresponding roughly to the epoch when the difference reaches a maximum) is estimated to be 0.7 mag for $`UV`$, 0.3 mag for $`BV`$, and 0.05 mag for $`IK`$.

$`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$, on the other hand, does not show such a drastic color difference with respect to $`\mathrm{Sb}_{\mathrm{CF}}`$, simply because star formation still continues after the truncation of gas infall. The color difference between $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ and $`\mathrm{Sb}_{\mathrm{CF}}`$ is smallest at longer wavelengths. What is interesting here is that although the UV and optical colors in $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ are appreciably redder than those of $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ model after truncation, the $`IK`$ color is redder in $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ than in $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ model. This is essentially because chemical evolution proceeds in $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ model even after truncation, with more metal-rich components being formed that make the $`IK`$ colors redder in comparison to $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$. The UV and optical colors, however, are more strongly affected by the young stellar populations than metallicity, and thus are bluer with respect to $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$.

Spectroscopic evolution after truncation is more drastic in $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ than in $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$, as is shown in Figure 4. For example, EW(H$`\delta `$) reaches $``$ 7 $`\mathrm{\AA }`$ in $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ whereas it reaches only $``$ 3 $`\mathrm{\AA }`$ in $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$. H$`\alpha `$ luminosity and EW(\[OII\]) gradually decline after truncation of gas infall in the TI model and consequently the maximum differences between $`\mathrm{Sb}_{\mathrm{CF}}`$ and $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ and $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ are $``$ 10 $`\mathrm{\AA }`$ for EW(\[OII\]) and 1.5 $`\times `$ $`10^{34}`$ W for H$`\alpha `$ luminosity. These results confirm that $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ shows a gradual decline in emission line strength without strong H$`\delta `$ absorption. Figure 5 describes the evolution of the three models on the EW(\[OII\])-EW(H$`\delta `$) plane which was originally introduced by Dressler et al. (1999) and considered to be a diagnostic of the star formation activity. $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ evolves from e(b), to e(a), to a+k, to k+a, and finally to k whereas $`\mathrm{Sb}_{\mathrm{TI}}^{7.64}`$ only exhibits an e(b) or e(c) type spectrum. $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ provides an evolutionary link between the different spectral types observed in clusters.

What should also be remarked here is that the time spent by $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$ in the e(a) region is shorter than $`10^7`$ yr. This is in striking contrast to the dusty starburst models (e.g., Shioya & Bekki 2000) where the time spent within the e(a) region is rather long ($``$ 0.7 Gyr). These results imply that the e(a) galaxies observed in distant clusters (e.g., Poggianti et al. 1999) are more likely to be dusty starburst galaxies rather than spirals with truncation of star formation. Accordingly our numerical model demonstrates that a spiral galaxy whose star formation is truncated, not only evolves into a a+k/k+a galaxy but also eventually becomes a passive spiral with a k-type spectrum. Our numerical results thus confirmed the evolutionary path from truncated spirals into k-type one, which has been suggested by Poggianti et al. (2000).

### 3.2 Parameter dependence

Figure 6 describes how the truncation epoch (of star formation and gas infall), represented by $`T_{\mathrm{trun}}`$ or $`z_{\mathrm{trun}}`$, controls the color evolution of the Sb disk models ($`\mathrm{Sb}_{\mathrm{TF}}^{4.46}`$, $`\mathrm{Sb}_{\mathrm{TF}}^{7.64}`$, and $`\mathrm{Sb}_{\mathrm{TF}}^{9.45}`$). After truncation, the $`UV`$, $`BV`$, and $`IK`$ colors are discernibly redder for the model with later truncation (smaller $`z_{\mathrm{trun}}`$) in the TF models, essentially because disks with later truncation have more metal-rich stellar components due to chemical evolution. This result implies that if S0s are formed by the truncation of star formation, then the earlier the epoch the bluer their colors will be. The three colors in the TI models, on the other hand, are redder for the model with earlier truncation (larger $`z_{\mathrm{trun}}`$). This is because a disk galaxy whose gas infall occurs at a later time, will have a larger number of young blue stellar components.

Irrespective of $`T_{\mathrm{trun}}`$ ($`z_{\mathrm{trun}}`$), the $`UV`$ and $`BV`$ colors are redder in the TF than in the TI model, whereas the reverse applies for the $`IK`$ color. As is shown in Figure 7, the above results on the $`T_{\mathrm{trun}}`$ dependences of color evolution for the Sb disk models are basically true for the Sc models. There is only one difference in the parameter dependence between the Sb and Sc models, and that is for the Sc model, the $`IK`$ color for $`T_{\mathrm{trun}}`$=9.45 ($`z_{\mathrm{trun}}`$=0.2) is appreciably redder for the TF case than for TI. This reflects the fact that in the Sc model, where the star formation is rather slow, gas still remains in the disk after truncation thus prolonging the star formation and causing younger stars to be formed. As is shown in Figure 8, there are no remarkable differences in the $`T_{\mathrm{trun}}`$ dependences in color evolution between the Sb and Sa models.

Figure 9 indicates two important $`T_{\mathrm{trun}}`$ dependences of spectral evolution on the EW(\[OII\])-EW(H$`\delta `$) plane in the Sb disk models. One is that in the TF model with earlier truncation (larger $`z_{\mathrm{trun}}`$), the galaxy passes through the e(a), a+k, and k+a regions further to the right, as a result of the larger EW(H$`\delta `$). This is principally because the number ratio of young stars (responsible for the emission and absorption lines) to older ones (responsible for the continuum), which is an important determinant of EW(H$`\delta `$), is larger for the model with the earlier truncation (larger $`z_{\mathrm{trun}}`$). The other is that the TF model with the later truncation (smaller $`z_{\mathrm{trun}}`$) does not show an a+k spectrum. The evolution of the TI models does not depend so strongly on $`T_{\mathrm{trun}}`$: irrespectively of $`T_{\mathrm{trun}}`$, the galaxies show either an e(b)- or e(c)-type spectrum throughout their entire evolution.

As is shown in Figure 10, there are two remarkable differences in the $`T_{\mathrm{trun}}`$ dependences between the Sb and the Sc models. One notable difference for the Sc models is that they all go through an a+k phase after truncation, no matter what the value of $`T_{\mathrm{trun}}`$ is. The other is that the time-scale for the galaxy to show a k-type spectrum after truncation, is rather long for the different $`T_{\mathrm{trun}}`$ models. (Actually, the Sc models do not show a k-type spectrum at the present epoch, $`z=0`$.) This implies that k-type ‘passive’ spirals formed from late-type Sc disks are less likely to be observed in distant clusters. The $`T_{\mathrm{trun}}`$ dependences derived for the Sa models are essentially the same as those for the Sb models, as is shown in Figure 11.

### 3.3 Comparison with the color-magnitude relation of Coma cluster

Figure 12 shows whether TF models for disk galaxies with Sc-type star formation can explain the ($`IK`$)-$`M_\mathrm{K}`$ color-magnitude (CM) relation observed for S0s in the Coma cluster. Here, the initial gas mass of the disk in each model is chosen such that the color and the magnitude of the disk at $`z=0`$ is on the ($`IK`$)-$`M_\mathrm{K}`$ CM relation observed for disk galaxies by de Grijs & Peletier (1999). Therefore an Sc model with a lower final metallicity (and hence bluer colors) is less luminous compared to the early-type spiral models (Sa and Sb). Figure 12 demonstrates the following four important results with regard to the transformation of spirals into cluster S0s through the truncation of their star formation: First, TF models at $`z=0`$ show red enough $`IK`$ colors to reproduce the CM relation, which implies that truncated Sc disks at intermediate and high $`z`$ can become present-day S0s. Second, an Sc disk whose star formation is truncated at a later time, has a brighter $`M_\mathrm{K}`$ and bluer $`IK`$ color. Third, at a given truncation epoch, models with a larger initial bulge show a brighter $`M_\mathrm{K}`$ and redder $`IK`$ color after truncation. These results imply that if star formation in Sc disks is completely truncated, they become S0s that are on the observed ($`IK`$)-$`M_\mathrm{K}`$ CM relation at $`z=0`$, though the positions of the S0s in the CM relation depends strongly on the epoch of truncation and initial bulge mass.

What should be emphasized here is that although the present Sc models with truncation of star formation can explain the observed CM relation of S0s, they do not show k-type spectra that are typical for S0s in clusters. The reason for the model’s failure to reproduce the k type is due to the fact that in the adopted population synthesis model GISSEL 96, H$`\delta `$ can not be so small as to show the k type if the metallicity of the adopted chemical evolution model (i.e., corresponding to the present Sc model) is small. The aftermath of the Sc model with truncation of star formation is a less luminous dwarf S0. Therefore, whether or not the Sc model with truncation of star formation can be rejected as a S0 model depends on the observed spectral type of less luminous dwarf S0s with $`M_v`$ $`>`$ -19 mag in low and intermediate redshifts clusters of galaxies. However, owing to the lack of observations on the spectral types of dwarf S0s in clusters environments, it is currently impossible for us to discuss this issue. Thus we suggest that future very deep spectroscopic observations of dwarf S0s in clusters will provide the answer as to whether the Sc model with truncation of star formation is plausible and realistic for S0 formation.

Figure 13 shows whether TI models for disk galaxies with Sc-type star formation can explain the observed $`IK`$ color-magnitude (CM) relation for Coma S0s. TI models at $`z`$ = 0 have appreciably bluer colors than their TF counterparts, and are less likely to be on the Coma ($`IK`$)-$`M_\mathrm{K}`$ CM relation (in particular, for models with smaller bulges or later truncation epochs). This is essentially because ongoing star formation in the TI models with Sc-type star formation results in bluer $`IK`$ colors. The tendency for the TI models to show appreciably bluer colors after truncation (cf. the TF models) can be seen in the other models with Sa-type and Sb-type star formation. These results imply that simple truncation of gas infall alone, cannot explain the observed red colors of S0s and thus after the truncation of gas infall, star formation also needs to be truncated by some mechanism in order to reproduce the CM relation.

Compared to the Sc TF models, the Sb TF models show smaller differences in their $`IK`$ colors at $`z=0`$ when comparing those with and without truncation (Figure 14). Furthermore, the truncated Sb models at $`z=0`$ have appreciably bluer (typically 0.1 mag) colors than those observed, implying that Sb disk galaxies are less likely to become S0s after truncation of gas infall or star formation than are Sc galaxies. However, considering the observed scatter in the $`IK`$ colors of both disk and S0 galaxies, it can be seen from Figure 14 that some fraction of the observed S0s (in particular, those with bluer colors) could plausibly be formed from truncated Sb galaxies. As is shown in Figure 15, the parameter dependences of the TI models with Sb-type star formation histories are essentially the same as those derived for the Sc models.

The dependences of the colors and magnitudes of truncated disks on the initial bulge mass fraction ($`f_{\mathrm{bul}}`$) and truncation epochs in the Sb models, is essentially the same as those of the Sc models. Figures 16 and 17 show the evolution of truncated disks on the ($`IK`$)-$`M_\mathrm{K}`$ CM relation for the TF and TI models, respectively, for Sa-type star formation and with different truncation epochs and $`f_{\mathrm{bul}}`$. These figures confirm that earlier-type disk galaxies (Sa and Sb) show bluer colors after truncation than those observed and thus are less likely to be the progenitors of S0s than later-type disk galaxies (Sc). The parameter dependences of the evolution of Sa disks on the $`IK`$ CM relation are essentially the same as those derived for the Sb and Sc disk models.

The parameter ($`T_{\mathrm{trun}}`$, $`f_{\mathrm{bul}}`$, and star formation type) dependences of photometric evolution of truncated spirals in the ($`UV`$)-$`M_\mathrm{V}`$ plane are essentially the same as those derive in ($`IK`$)-$`M_\mathrm{K}`$ plane (See right panels in Figure 12 – 17) and summarized as follows. Firstly only TF models with Sc-type star formation can show enough red colors to be close to the observed S0 CM relation: truncated Sb and Sa disks can not be on the S0 ($`UV`$)-$`M_\mathrm{V}`$ CM relation. This result implies that since spirals with Sc-type star formation corresponds to low luminous ones in the present study, only low luminous spirals can become S0s after truncation of star formation. Secondly, irrespectively of disk’s star formation history and bulge mass fraction, spirals with earlier truncation (larger $`z_{\mathrm{trun}}`$) are more likely to show redder $`UV`$ color and become fainter (i.e., larger $`M_\mathrm{V}`$) after truncation of star formation. Thirdly, TF models are more likely to be redder than TI ones for each star formation type.

It follows from Figures 12, 14, and 16 that it is the less luminous disk galaxies that are more likely to reproduce the observed S0 $`IK`$ colors at $`z=0`$, after having their star formation truncated. Consequently, the origin of more luminous S0s might not be so closely associated with the truncation of star formation. The basic reason for this is that color evolution after truncation is rather less dramatic for more massive disk galaxies because of the larger fraction of (older) stars that have already been formed before truncation in these galaxies. There are mainly two interpretations for the $`apparent`$ failure of truncated star formation models (TF) to reproduce the red $`IK`$ colors observed for the more luminous S0s (thus CM relation).

First, this result simply means that truncation of star formation is not a major formation mechanism for the more luminous S0s in clusters. Shioya & Bekki (1999) have already suggested that massive secondary starbursts and the resultant chemical enrichment are important requirements for explaining the redder S0 colors, based on one-zone models similar to those adopted in the present study. In this first interpretation, more luminous S0s are formed not by the simple truncation of star formation, but by some physical mechanism which involves significant chemical enrichment, hence giving S0s their redder colors.

The second interpretation is that the present study does not correctly model the progenitor disk galaxies of more massive cluster S0s, so that the rather red S0 colors that are observed are not reproduced by the truncation models. It is possible that the progenitor disk galaxies of more luminous S0s are systematically redder than disk galaxies on the present-day CM relations: the S0 progenitor galaxies are intrinsically different to disk galaxies observed at $`z=0`$. In this interpretation, if the S0 progenitor galaxies are appreciably redder than the present-day ones, then the S0 CM relation can still be explained by simple truncation.

It is, however, not at all clear why the disk galaxy progenitors of more massive cluster S0s would be intrinsically redder. One possible reason is that the slope of their initial mass function is not as steep as that of present-day disk galaxies. It has already been demonstrated by Arimoto & Jablonka (1991) and Kodama & Arimoto (1997) that the IMF of more massive early-type galaxies cannot be as steep (the exponent $`\alpha `$ $``$ $`1.1`$) as the Salpeter IMF ($`\alpha `$ = $`1.35`$), if the rather red colors of early-type galaxies are to be reproduced. However, the question arises as to why the IMF of more massive S0 progenitor disks is so different from that of present-day disk galaxies? It is not clear at all what the main physical mechanism is for the speculated difference in the IMF slope, which leads us to suggest that this second interpretation is not so plausible.

An important implication of the first (and perhaps more plausible) interpretation is that the population of blue ‘Butcher-Oemler’ galaxies (Butcher & Oemler 1978) in intermediate redshift clusters that are the putative progenitors of present-day S0s (Dressler et al. 1997), should comprise mainly under-luminous, late-type ($``$Sc) disk galaxies. As $`HST`$-based high-resolution imaging studies of distant clusters have shown, this is generally the case (Couch et al. 1994, Dressler et al. 1994, Smail et al.1997). Furthermore recent photometric studies (optical and near-infrared colors) and spectroscopic ones (H$`\beta `$) for S0s in intermediate clusters of galaxies have also suggested that fainter S0s appear to have relatively young (2–5 Gyr) stellar populations (Kuntschner & Davies 1998; Smail et al. 1998, 2001). Accordingly an important question is whether or not only less luminous S0s show clear redshift evolution of their number fraction.  Since the number evolution of S0s is estimated for $`all`$ S0s (with variously different luminosities), this question is not observationally answered. If the number evolution is observationally confirmed to be remarkably seen $`only`$ in less luminous S0s, the truncation of star formation can be one of plausible mechanisms of less luminous S0 formation. Thus we stress that future observational studies on the dependences of S0 number evolution of S0 luminosities are doubtlessly worthwhile for determining the relative importance of the truncation of star formation in S0 formation. We lastly suggest that the observational result (Gregg 1989; Bothun & Gregg 1990) that disks have younger ages than bulges in S0s can reflect the fact that low luminous S0s are formed from low luminous spirals (Sc-type) with higher recent star formation and thus with younger mean ages of disks.

## 4 Discussion

### 4.1 An evolutionary link between passive spirals and S0s

Gaseous dissipation in a spiral galaxy and the subsequent formation of stars with small random motions, are suggested to suppress the increase of velocity dispersion (thus the increase of Toomre’s $`Q`$ parameter: Toomre 1964) and consequently maintain its spiral structure (Sellwood & Carlberg 1984). Conversely, if gas is removed very efficiently by some physical processes (e.g., ram-pressure stripping) or consumed rapidly by star formation, the spiral arms will disappear after several disk rotation periods ($`10^9`$ yrs; Sellwood & Carlberg 1984). As is demonstrated by the present study, a disk 2–3 Gyr after the removal of gas (or truncation of star formation) can be observed as a galaxy with a k spectrum. Therefore the present sepctrophotometric study and the previous dynamical ones (on the time scale of spiral disappearance) imply that it is very hard to observe a galaxy both with clear spiral arms and with a k spectrum: The time scale of spiral arms’ disappearance is appreciably shorter than the evolutionary time scale from e(b), to a+k (k+a), and to k (i.e, we can observe $`only`$ a+k/k+a spirals). However, we here stress that previous numerical simulations with the total particle number of $``$ $`10^4`$ inevitably suffered from numerical heating and thus underestimated the time scale of spiral arms’ disappearance. Accordingly it is possible that the real time scale of spiral arms’ disappearance is similar to or larger than 2–3 Gyr. Future very high-resolution simulations (of dynamical evolution of isolated spiral galaxies) with the particle number of $`10^7`$$`10^8`$ will predict more precisely the time scale of spiral arms’ disappearance.

Although we can not so strongly suggest that a truncated disk can reproduce both morphological and spectroscopic properties of the observed passive k-type spirals, we can say that an observed k spirals is transformed into a S0 with featureless disk and an k spectrum after the spiral arms disappear. Such S0s as those formed from k-type spirals can show both rather red colors and large bulge-to-disk ratios owing to disk fading (Larson et al. 1980). Thick disk components that S0s are observed to have (Burstein 1979) can be formed by tidal heating of cluster tidal field and by weak galaxy interaction after the formation of S0s. Therefore, the truncation scenario can provide an evolutionary link between passive spirals observed in distant clusters and S0s with the number fraction observed to decrease with the increase of redshift.

There are, however, several problems with this truncation scenario for S0 formation: Firstly, it is not clear how the truncation scenario can explain why the sizes of cluster S0 bulges are larger, absolutely, than those of late-type spirals (Dressler 1980). Since nuclear starbursts, followed by the growth of bulges, do not occur at all in the truncation scenario, the absolute bulge sizes of developed S0s should nearly be the same as those of late-type spirals. Hence the observations would imply that either the bulges of the disk galaxies from which the SOs are formed are larger than those of typical late-type spirals, or simple truncation cannot explain the origin of S0s with big bulges.

Secondly, it is also unclear whether the truncation scenario can explain the observed stellar rotation curves, velocity dispersion profiles, and line-of-sight velocity distributions of S0s recently derived by Fisher (1997). If these kinematical properties of bulges in late-type disks are largely observed to be different from those of S0s, the truncation scenario has a serious problem in explaining the kinematical properties of S0s. More detailed comparisons of the kinematics of the bulges in late-type disk galaxies with those of S0s are needed to assess the validity of the truncation scenario.

Thirdly, the truncation scenario has not yet given a clear explanation for the difference in the observed color gradients between cluster S0s (e.g., Eisenhardt et al. 2001) and late-type disks (e.g., de Jong 1996). Evolution of color gradients due to the aging of the stellar population is rather moderate, and accordingly the difference between the gradients in S0s and in late-type disks at low redshift can provide strong constraints on the epoch of truncation. If future observational studies reveal that late-type disks at intermediate redshift already have color gradients, we can confirm whether the difference in color gradients between present-day S0s and late-type disk galaxies at intermediate redshift can be explained by the aging of their stellar populations after truncation and thereby clarify the relative importance of the truncation scenario of S0 formation in clusters.

### 4.2 Physical mechanism of truncation of star formation

If some fraction of S0s are actually formed by the truncation of star formation, what physical process is responsible for the truncation ? Two possible mechanisms have previously been proposed: ram pressure stripping (Gunn & Gott 1972) and abrupt truncation of gas infall onto disks from the halo regions (Larson et al. 1980). Although previous numerical simulations already demonstrated that ram pressure stripping can efficiently remove the gas within a disk (e.g., Farouki & Shapiro 1980; Abadi, Moore, & Bower 1999), recent high-resolution hydrodynamical simulations, including turbulent and viscous stripping, have demonstrated that this process is capable of $`completely`$ removing all the gas (Quilis, Moore, & Bower 2000).

However, these studies only showed that HI gas, which is not directly responsible for star formation, is removed from disk galaxies. Since star formation occurs in the cores of molecular clouds where significant amounts of hydrogen exist in molecular (H2) form , the complete removal of HI gas does not necessarily mean the complete truncation of star formation – star formation could continue even after the ram pressure stripping of HI gas. The H2-to-HI gas mass ratio is observed to be widely different between disk galaxies, ranging from 0.2$`\pm 0.1`$ to 4.0$`\pm `$ 1.9 (Young & Scoville 1991). Hence the extent to which ram-pressure stripping truncated star formation will accordingly vary.

Larson et al. (1980), on the other hand, suggested that if gas replenishment of the disk (due to infall of halo gas) is truncated by some mechanism, star formation can be truncated after the rapid consumption of the remaining disk gas. Bekki, Couch, & Shioya (2001) have demonstrated that such truncation can be caused by the tidal stripping of these gas reservoirs by cluster global tidal fields. However, as is demonstrated by this study, such truncation of gas infall will not stop star formation completely, as long as the Schmidt law for star formation is applicable. Spirals with k-type spectra cannot be formed without other mechanisms of truncation of star formation.

Thus, it remains still unclear what physical processes are closely associated with the truncation of star formation of late-type spirals in cluster environments. Probably, the combination of the above two mechanisms plus other unknown physical mechanisms all play some role in the truncation of star formation. We note here the importance of the “threshold effect” for star formation. Kennicutt (1989) showed that the onset of star formation is related to the local gravitational instability criterion represented by the so-called $`Q`$ parameter and furthermore suggested that if the $`Q`$ parameter for a disk region is larger than some critical value (e.g., 1.0-1.5), star formation does not occur in that region. Accordingly, even if a small amount of gas remains in a spiral, star formation will not occur if, for whatever reason, this threshold is exceeded.

Dynamical heating of the stellar components by the spiral arms in a disk after truncation of gas infall can increase the velocity dispersion of the disk and consequently lead to larger $`Q`$ values ($`>2`$; Sellwood & Carlberg 1984; Bekki, Shioya, & Couch 2001). Also, weak tidal interactions with other cluster members and the cluster tidal field could cause dynamical heating within the disk and thus larger $`Q`$ values. Accordingly, the rapid increase of the $`Q`$ parameter due to dynamical heating related to the cluster environment could play a major role in greatly suppressing star formation after the removal of disk HI gas or the truncation of gas replenishment. If this scenario is true for most of the passive spirals with k-type spectra (i.e., with no detectable star formation), such spirals can still have a small amount of gas. Thus it will be important to investigate observationally whether such spirals have a significant HI and/or H2 gas content and show large $`Q`$ values in their disks.

## 5 Conclusions

We have investigated, numerically, the spectroscopic (EW(\[OII\]), EW(H$`\delta `$), and $`L`$(H$`\alpha `$)) and photometric properties ($`UV`$, $`BV`$, and $`IK`$ colors) of disk galaxies whose star formation is truncated. Our main conclusions are as follows:

(1) Late-type disks, with Sb- and Sc-type star formation histories, undergo the following evolution in spectral type after truncation of their star formation: e(b)$``$e(a)$``$a+k$``$k+a$``$k. Early-type disks with Sa-type star formation do not show a+k spectra after truncation. These results imply that passive spirals with k-type spectra can be formed from both late-type and early-type disk galaxies; disks with a+k spectra are more likely to be formed from later types. These results thus confirmed the evolutionary path from truncated spirals into k-type one, which has been suggested by Poggianti et al. (2000). Irrespective of their initial Hubble types, the truncated spirals show rather red colors $``$ 1 Gyr after truncation.

(2) Abrupt truncation of gas infall onto a disk from its gaseous halo and the resultant gradual decline of star formation, on the other hand, cannot be responsible for the a+k/k+a and k-type spectra observed in clusters. As a result of the star formation that continues after truncation, the colors are appreciably bluer than those of models with truncation of star formation. Also TI models show emission lines even after truncation of gas infall.

(3) The spectroscopic and photometric properties after truncation of star formation depend on the epoch of truncation such that disks which are truncated at later times, have redder colors and do not show a+k-type spectra after truncation. These properties also depend on the star formation history of the disk before truncation such that earlier type disks show redder colors and do not show a+k-type spectra.

(4) Only less luminous, later-type disk galaxies whose star formation is truncated at intermediate and high redshifts can reproduce the red $`IK`$ colors observed for S0s in the Coma cluster. This means that either the truncation scenario for S0 formation is only viable for less luminous S0s or that S0 progenitor disk galaxies are intrinsically different from the present-day typical disk galaxies.

(5) More detailed observational analysis of the nature of spiral galaxies with k- and k+a-type spectra, such as the $`K`$–band luminosity function, spatially resolved color distributions, and the HI and H2 gas content will be indispensable for better understanding the evolutionary links between spiral galaxies with truncated star formation and the present-day S0 galaxies.

We are grateful to the referee Ian Smail for valuable comments, which contribute to improve the present paper. Y.S. thanks the Japan Society for Promotion of Science (JSPS) Research Fellowships for Young Scientists. K.B. and W.J.C acknowledge the financial support of the Australian Research Council.

## Appendix A Comparison with other observational results

Our main purpose of the present study is not to investigate H$`\beta `$ line strength and global colors of E/S0s observed in the present-day clusters. However, it might well be important to confirm whether or not the adopted numerical model can reproduce these observed properties of early-type galaxies, because this investigation can not only demonstrate the ability of our model’s reproducing photometric and spectroscopic properties of early-type galaxies (not discussed in the section 3) but also enhance the credibility of our results.

### A.1 H$`\beta `$ strength

Figure 18 describes the time evolution of TI and TF models (no bulges) with three different star formation histories (i.e., Sa-, Sb-, and Sc-type star formation) and with different truncation epochs on H$`\beta `$$`M_\mathrm{V}`$ plane. This figure demonstrates that the TF models can reproduce reasonably well the observed H$`\beta `$ strength ($``$ 2 Å) by Jørgensen (1999) well after the truncation of star formation. The TI models, on the other hand, can not be located in the regions where most of E/S0a are distributed (in the H$`\beta `$$`M_\mathrm{V}`$ plane). These results confirm that our TF model results are consistent with the observed H$`\beta `$ strength at $`z`$ = 0 and thus strengthen the scenario that some S0s (in particular lower luminous S0s) can be formed from spirals with truncation of star formation.

### A.2 Global colors of elliptical galaxies

By assuming early truncation of star formation (i.e., very small $`T_{\mathrm{trun}}`$) and adopting very short infall and star formation time scales (i.e., very small $`\tau _{\mathrm{in}}`$ and very large $`k_{\mathrm{disk}}`$), we can construct an photometric evolution model of elliptical galaxies (e.g., Kodama & Arimoto 1997, hereafter referred to as KA). We here adopt more metal-rich models with the slope of IMF equal to 1.10, $`\tau _{\mathrm{in}}`$ = $`k_{\mathrm{disk}}`$ = 0.1 Gyr, and $`T_{\mathrm{trun}}`$ = 0.3, 0.5, 0.8, and 1.0 Gyr for elliptical galaxies (with galactic wind). In these four models, earlier truncation models correspond to less massive elliptical ones (KA). We also adopt both SSPs in GISSEL96 and those in KA in order to confirm whether or not our models can reproduce the observed colors of E/S0s at $`z`$ = 0, irrespectively of the adopt stellar population models. Figure 19 describes the final ($`T`$ = 13 Gyr) locations of the four models on two color diagrams, ($`VK`$)–($`UV`$) and ($`IK`$)–($`UV`$), both for GISSEL96 and for KA SSP models. It is clear from this figure that our elliptical models can be located in regions where the observed (Coma) E/S0s are located in the two color diagrams. This result implies that if we adopt parameters suitable for E/S0 formation (i.e., very small $`T_{\mathrm{trun}}`$ and $`\tau _{\mathrm{in}}`$) our chemophotometric evolution model can reproduce the observed global colors of the present day E/S0s and thus that the present model is rather realistic and reasonable in describing both late- and early-type galaxies.


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# Near-Extremal Black Hole Evaporation in Asymptotically Flat Spacetime

## I Introduction

The evolution of near-extremal black holes has important consequences for the resolution of the information paradox. Extremal black holes are potential candidates for endpoint remnants , and can potentially store information behind the double horizon . In addition, study of their evaporation avoids the naked singularities observed in models of linear dilaton black hole evaporation , which are likely typical of the evolution of uncharged black holes..

However, it has been suggested by Jacobson, using adiabatic arguments, that the semi-classical evolution of near-extremal black holes may break down while still far from extremality . The claim is that in-falling photons created at the outer apparent horizon during Hawking evaporation will eventually fall through the inner horizon and either encounter a large buildup of energy behind the inner horizon, or alternatively, pile up behind the outer horizon, causing it to become unstable. Thus, in either scenario, the semiclassical approximation may break down long before one would expect based on thermodynamic/statistical mechanics arguments .

This claim has been explored in an analytical model  using a near-horizon Reissner-Norsdröm model originally proposed in , and further elaborated in . No instabilities were observed in that case. However, the boundary conditions there were computationally motivated rather than physically motivated. In particular there was no obvious extension to asymptotically flat spacetime.

In the present work we numerically explore semi-classical evaporation in two spherically-reduced two-dimensional models of asymptotically Minkowskian near-extremal black holes. We find results consistent with , indicating that semi-classically there are no horizon instabilities during the evaporation of charged black holes.

## II The RN Model

For our first model , we begin with the Einstein-Hilbert action

$$S=\frac{1}{2\pi }d^2x\sqrt{g}e^{2\varphi }\left[R+2(\varphi )^2+2\lambda ^2e^{2\varphi }\right].$$
(1)
To this, we add an electromagnetic contribution:

$$S_{EM}=\frac{1}{2\pi }d^2x\sqrt{g}Q^2e^{2\varphi },$$
(2)
where $`Q`$ is the charge of the black hole as it appears in the spherically symmetric Reissner-Nordström metric,

$$ds^2=\left(1\frac{2M}{r}+\frac{Q^2}{r^2}\right)dt^2+\frac{1}{1\frac{2M}{r}+\frac{Q^2}{r^2}}dr^2.$$
(3)
The effective two dimensional action that describes (3) is given by

$$S=\frac{1}{2\pi }d^2x\sqrt{g}e^{2\varphi }\left[R+2(\varphi )^2+2\lambda ^2e^{2\varphi }Q^2e^{4\varphi }\right].$$
(4)
In order to study the dynamics, we add a large number $`N`$ of matter fields, $`f_i`$,

$$S_M=\frac{1}{4\pi }\underset{i=1}{\overset{N}{}}d^2x\sqrt{g}(f_i)^2.$$
(5)
This form of coupling is mostly justified by the ease of the resulting solutions. However, it also corresponds to the bosonized version of the Callan-Rubakov modes of fermions coupled to a magnetically charged black in four dimensions .

Additionally, we include the Liouville-Polyakov term

$$S_Q=\frac{N\mathrm{}}{96\pi }d^2x\sqrt{g}R\mathrm{}^1R,$$
(6)
which effectively accounts for the back-reaction of the matter stress-energy tensor on the space-time geometry .

The full lagrangian in the conformal gauge becomes

$$=e^{2\varphi }\left(4_+_{}\rho 4_+\varphi _{}\varphi \right)+\lambda ^2e^{2\rho }Q^2e^{2\rho +2\varphi }2\kappa _+\rho _{}\rho .$$
(7)
¿From this point on, we choose $`\lambda =1`$.

### A Equations of Motion

Variation of (7) with respect to $`\varphi `$ gives

$$_+_{}\rho _+_{}\varphi +_+\varphi _{}\varphi +\frac{Q^2}{4}e^{2\rho +4\varphi }=0.$$
(8)
A $`\rho `$ variation gives

$$\frac{\kappa }{2}e^{2\varphi }_+_{}\rho _+_{}\varphi +2_+\varphi _{}\varphi +\frac{e^{2\rho }}{4}(e^{2\varphi }Q^2e^{4\varphi }).$$
(9)
The resultant equations of motion can be written as

$`_+_{}\rho `$ $`=`$ $`{\displaystyle \frac{_+\varphi _{}\varphi +\frac{1}{4}e^{2\rho }(e^{2\varphi }2Q^2e^{4\varphi })}{1\frac{\kappa }{2}e^{2\varphi }}},`$ (10)
$`_+_{}\varphi `$ $`=`$ $`_+_{}\rho +_+\varphi _{}\varphi +{\displaystyle \frac{Q^2}{4}}e^{2\rho +4\varphi }.`$ (11)
We may note that this model possesses a singularity for $`e^{2\varphi }=\kappa /2`$. In our solutions, this singularity will lie safely behind the inner horizon. It is useful to rewrite these equations with $`\stackrel{~}{\varphi }=e^\varphi `$. Thus $`_+\stackrel{~}{\varphi }=_+\varphi \stackrel{~}{\varphi }`$ and $`_{}_+\stackrel{~}{\varphi }=_{}_+\varphi \stackrel{~}{\varphi }+_{}\varphi _+\varphi \stackrel{~}{\varphi }`$. We can rewrite (11),

$$_+_{}\varphi _+\varphi _{}\varphi =\frac{Q^2}{4}e^{2\rho +4\varphi }+\frac{_+\varphi _{}\varphi +\frac{e^{2\rho }}{4}(e^{2\varphi }2Q^2e^{4\varphi })}{1\frac{\kappa }{2}e^{2\varphi }},$$
(12)
as

$$\frac{_+_{}\stackrel{~}{\varphi }}{\stackrel{~}{\varphi }}=\frac{Q^2}{4}\frac{e^{2\rho }}{\stackrel{~}{\varphi }^4}+\left(\frac{_+\stackrel{~}{\varphi }_{}\stackrel{~}{\varphi }}{\stackrel{~}{\varphi }^2}+\frac{e^{2\rho }}{4\stackrel{~}{\varphi }^2}\frac{Q^2e^{2\rho }}{2\stackrel{~}{\varphi }^4}\right)/\left(1\frac{\kappa }{2\stackrel{~}{\varphi }^2}\right).$$
(13)
Hence

$$_+_{}\stackrel{~}{\varphi }=\frac{Q^2}{4}\frac{e^{2\rho }}{\stackrel{~}{\varphi }^3}\frac{\stackrel{~}{\varphi }_+\stackrel{~}{\varphi }_{}\stackrel{~}{\varphi }+\frac{e^{2\rho }\stackrel{~}{\varphi }}{4}\frac{Q^2e^{2\rho }}{2\stackrel{~}{\varphi }}}{\stackrel{~}{\varphi }^2\kappa /2},$$
(14)
and,

$`_+_{}\rho `$ $`=`$ $`_+_{}\varphi _+\varphi _{}\varphi {\displaystyle \frac{Q^2}{4}}e^{2\rho +4\varphi }`$ (15)
$`=`$ $`{\displaystyle \frac{_+_{}\stackrel{~}{\varphi }}{\stackrel{~}{\varphi }}}{\displaystyle \frac{Q^2e^{2\rho }}{4\stackrel{~}{\varphi }^4}}.`$ (16)
More concisely,

$`_+_{}\rho `$ $`=`$ $`{\displaystyle \frac{_+\stackrel{~}{\varphi }_{}\stackrel{~}{\varphi }+\frac{e^2\rho }{4}\left(1\frac{2Q^2}{\stackrel{~}{\varphi }^2}\right)}{\stackrel{~}{\varphi }^2\kappa /2}},`$ (17)
$`_+_{}\stackrel{~}{\varphi }`$ $`=`$ $`(_+_{}\rho )\stackrel{~}{\varphi }{\displaystyle \frac{Q^2e^{2\rho }}{4\stackrel{~}{\varphi }^3}}.`$ (18)
### B The Static Solution

We first solve the equations of motion in the limit of the static extremal black hole . (See also  for a recent discussion of these static solutions, and  for analysis of the full four-dimensional semi-classical equations of motion, in the near-horizon limit.) We will later need these as boundary conditions for the dynamic solutions. The model possesses a linear dilaton vacuum solution corresponding to

$`\varphi `$ $`=`$ $`\mathrm{log}{\displaystyle \frac{1}{2}}(x^+x^{}),`$ (19)
$`\rho `$ $`=`$ $`0.`$ (20)
This suggests to us a reasonable choice for the radial coordinate:

$$\sigma =\frac{x^+x^{}}{2}.$$
(21)
We note that

$$\frac{\sigma }{x^+}=\frac{\sigma }{x^{}}=\frac{1}{2}$$
(22)
The equations of motion, (17-18), become

$`\rho ^{\prime \prime }`$ $`=`$ $`{\displaystyle \frac{(\stackrel{~}{\varphi }^{})^2e^{2\rho }\left(1\frac{2Q^2}{\stackrel{~}{\varphi }^2}\right)}{\stackrel{~}{\varphi }^2\kappa /2}},`$ (23)
$`\stackrel{~}{\varphi }^{\prime \prime }`$ $`=`$ $`\rho ^{\prime \prime }\stackrel{~}{\varphi }+{\displaystyle \frac{Q^2e^{2\rho }}{\stackrel{~}{\varphi }^3}}.`$ (24)
with the constraint that

$$2\stackrel{~}{\varphi }\left(\stackrel{~}{\varphi }^{\prime \prime }2\rho ^{}\stackrel{~}{\varphi }^{\prime \prime }\right)+\kappa \left(\rho ^{\prime \prime }(\rho ^{})^2+t\right)=0.$$
(25)
Linearizing about (19), as $`\sigma \mathrm{}`$ we see that

$`\sigma ^2\delta \rho ^{\prime \prime }`$ $`=`$ $`1+2\delta \stackrel{~}{\varphi }^{}\left(1+2\delta \rho \right)`$ (26)
$`=`$ $`2\delta \stackrel{~}{\varphi }^{}+2\delta \rho ,`$ (27)
and

$$\delta \stackrel{~}{\varphi }^{\prime \prime }=\sigma \delta \rho ^{\prime \prime }.$$
(28)
We can see that

$$\delta \stackrel{~}{\varphi }^{\prime \prime }=2\delta \rho ^{}=\sigma \delta \rho ^{\prime \prime }$$
(29)
has the solution

$`\delta \rho ^{}`$ $`=`$ $`{\displaystyle \frac{M}{\sigma ^2}},`$ (30)
$`\delta \stackrel{~}{\varphi }^{}`$ $`=`$ $`1{\displaystyle \frac{2M}{\sigma }}.`$ (31)
As $`\sigma \mathrm{}`$ the linearized vacuum solutions are therefore

$`\rho `$ $`=`$ $`{\displaystyle \frac{M}{\sigma }},`$ (32)
$`\stackrel{~}{\varphi }`$ $`=`$ $`\sigma 2M\mathrm{log}\sigma .`$ (33)
### C The Boundary Conditions

We will study black holes perturbed by shock waves of the matter fields $`f_i`$. Our boundary conditions are chosen such that to the past of $`x^+=0`$, we have the static extremal solution of (23), (24) with the initial conditions at a chosen large value of $`\sigma =\sigma _{\mathrm{}}`$ determined by (32), ( 33). In practice, we make choices for $`Q`$ and $`\kappa `$, and adjust $`M`$ so that a double horizon appears in the interior region of the solutions. Along a large value of $`x^{}=x_{\mathrm{}}^{}`$, and to the future of $`x^+=0`$, we then impose the asymptotic linearized solutions of a black hole with mass $`M+\mathrm{\Delta }M`$

$`_+\rho `$ $`=`$ $`2{\displaystyle \frac{M+\mathrm{\Delta }M}{(x^+x^{})^2}},`$ (34)
$`_+\stackrel{~}{\varphi }`$ $`=`$ $`{\displaystyle \frac{1}{2}}2{\displaystyle \frac{M+\mathrm{\Delta }M}{x^{}x^{}}}.`$ (35)
## III The DW model

The second model we consider, the so-called DW model, derives from a general class of two-dimensional renormalizable generally covariant field theories

$$_{cl}=\sqrt{g}(D(\varphi )R+G(\varphi )(\varphi )^2+H(\varphi )).$$
(36)
We require that the potentials in (36) behave asymptotically like those of the linear dilaton gravity model considered above. That is,

$$D(\varphi )\frac{G(\varphi )}{4}\frac{H(\varphi )}{4}e^{2\varphi }$$
(37)
as $`\varphi \mathrm{}`$. After requiring, without loss of generality, that $`G(\varphi )=2D^{}(\varphi )`$ and performing a Brans-Dicke transformation on the metric $`\widehat{g}=e^{2\varphi }g`$, the Lagrangian can be rewritten as

$$\widehat{}_{cl}=\sqrt{\widehat{g}}\left(D(\varphi )\widehat{R}+W(\varphi )\right),$$
(38)
where $`W(\varphi )=e^{2\varphi }H(\varphi )`$. This is the form of the lagrangian we refer to as the DW model. For these solutions, it is convenient to work in the conformal gauge,

$$ds^2=e^{2\rho }dx^+dx^{}.$$
(39)
Again, we add $`N`$ matter fields, (5), and a back-reaction term, (6). Now

$``$ $`=`$ $`_{cl}+{\displaystyle \underset{i=1}{\overset{N}{}}}_+f_i_{}f_i2\kappa _+\rho _{}\rho `$ (40)
$`=`$ $`4D_+_{}\rho +4D^{}_+\varphi _{}\varphi +{\displaystyle \frac{W}{2}}e^{2\rho 2\varphi }2\kappa _+\rho _{}\rho +{\displaystyle \underset{i=1}{\overset{N}{}}}_+f_i_{}f_i.`$ (41)
where we have let $`\kappa =N\mathrm{}/12`$.

### A Equations of Motion

Variation of (40) with respect to $`\rho `$ and $`\varphi `$ yields

$$4D^{\prime \prime }_+\varphi _{}\varphi +4D^{}_+_{}\varphi +We^{2\rho 2\varphi }+4\kappa _+_{}\rho =0,$$
(42)
and

$$4D^{}_+_{}\rho +4D^{\prime \prime }_+\varphi _{}\varphi 8D^{}_+_{}\varphi 8D^{\prime \prime }_+\varphi _{}\varphi (WW^{}/2)e^{2\rho 2\varphi }=0$$
(43)
respectively. Reexpressing these in a more useful form, we obtain the equations of motion:

$`_+_{}\varphi `$ $`=`$ $`{\displaystyle \frac{D^{\prime \prime }_+\varphi _{}\varphi +\frac{1}{4}e^{2\rho 2\varphi }W+\kappa _+_{}\rho }{D^{}}},`$ (44)
$`_+_{}\rho `$ $`=`$ $`{\displaystyle \frac{D^{\prime \prime }_+\varphi _{}\varphi \frac{1}{4}e^{2\rho 2\varphi }(W+\frac{W^{}}{2})}{D^{}+2\kappa }}.`$ (45)
As discussed in , we must choose $`D`$ such that $`D^{}(\varphi )<0`$ for all $`\varphi `$ in order to avoid a singularity of the Brans-Dicke transformation. Also,

$$\frac{d\varphi }{d\sigma }𝑑\varphi W(\varphi )D^{}(\varphi )$$
(46)
has zeroes along $`\sigma `$, the radial coordinate, equal to the number of zeroes of $`W(\varphi )D^{}(\varphi )`$ plus one. Therefore, for a charged black hole, $`W(\varphi )D^{}(\varphi )`$ must possess a single zero, for which $`\varphi (\sigma )`$ will correspond to the extremal radius. In our solutions, we investigate the choice where $`D=e^{2\varphi }\gamma ^2e^{2\varphi }`$ and $`W=4\mu ^2e^{4\varphi }`$. $`\mu ^2`$, as the coefficient of $`e^{2\varphi }`$, behaves as the charge of the black hole. This becomes clear through comparison with (2), from the Reissner-Nordström model.

### B The Boundary Conditions

The boundary conditions are set so that to the past of $`x_0^+=1`$ the solution corresponds to the static, extremal solution of the equations of motion, while along $`x^{}=\mathrm{}`$, and to the future of $`x_0^+=1`$, the boundary conditions are

$`\varphi =\rho `$ $`=`$ $`{\displaystyle \frac{1}{2}}\mathrm{log}\left(M+\mathrm{\Delta }M(x_0^+x^+)x^+x^{}\right),`$ (47)
$`_+\varphi =_+\rho `$ $`=`$ $`{\displaystyle \frac{x^{}+\mathrm{\Delta }M}{2(M+\mathrm{\Delta }Mx_0^+x^+x^{}\mathrm{\Delta }Mx^+)}}.`$ (48)
This is the same boundary condition imposed in . In practice, the static solutions are solved with the static form of (44) and (45), imposed at some large value of $`x^{}=x_{\mathrm{}}^{}`$. Then, M is fine-tuned so that the there is a double horizon static solution to the equations of motion, (44) and (45). This solution in turn becomes the boundary condition at $`x_0^+=1`$ for the full dynamical solutions.

## IV Affine Coordinates

We would like to answer questions regarding black hole stability during the evaporation process. An appropriate indicator would be the behavior of the stress-energy as observed along a null affinely parameterized geodesic. The Christoffel symbols for the metric (39) are

$`\mathrm{\Gamma }_{++}^+=2_+\rho ,`$ (49)
$`\mathrm{\Gamma }_{}^{}=2_{}\rho .`$ (50)
¿From the geodesic equation for $`x^+`$, we obtain

$$\frac{d^2x^+}{d\stackrel{~}{x}+^2}+2_+\rho \frac{dx^+}{d\stackrel{~}{x}^+}\frac{dx^+}{d\stackrel{~}{x}^+}=0,$$
(51)
with a similar equation for $`x^{}`$. $`\stackrel{~}{x}^+`$ is an affinely parameterized null geodesic. If $`x^{}`$ is held fixed at $`x^{}=x_0^{}`$,

$$_+\rho \frac{dx^+}{d\stackrel{~}{x}^+}=\frac{d\rho }{d\stackrel{~}{x}^+}.$$
(52)
Then (51) reduces to

$$\frac{d^2x^+}{d\stackrel{~}{x}^{+2}}+2\frac{d\rho }{d\stackrel{~}{x}^+}\frac{dx^+}{d\stackrel{~}{x}^+}=0.$$
(53)
Thus,

$$\frac{d}{d\stackrel{~}{x}^+}\left(\mathrm{log}\frac{dx^+}{d\stackrel{~}{x}^+}\right)=2\frac{d\rho }{d\stackrel{~}{x}^+},$$
(54)
which is then solved to give

$$\frac{d\stackrel{~}{x}^+}{dx^+}=C(x_0^{})e^{2\rho (x^+,x_0^{})},$$
(55)
where $`C(x^{})`$ is a constant of integration which we will soon determine. Similarly, at fixed $`x^+=x_0^+`$,

$$\frac{d\stackrel{~}{x}^{}}{dx^{}}=C(x_0^+)e^{2\rho (x_0^+,x^{})}.$$
(56)
Thus we make calculations of $`\stackrel{~}{T}`$, as defined by

$$\stackrel{~}{T}_{\pm \pm }\left(\frac{d\stackrel{~}{x}^\pm }{dx^\pm }\right)^2T_{\pm \pm }=\frac{C(x_0^{})}{e^{4\rho (x^\pm )}}T_{\pm \pm }.$$
(57)
This gives us an observable measure of the energy flux that is independent of the choice in coordinates.

We choose the normalization constants, $`C(x_0^{})`$, $`C(x_0^+)`$ in (55) and (56), so the affine coordinates coincide with asymptotically Minkowskian coordinates far from the black hole. This normalization will not be necessary in the RN case, because there the coordinates are already asymptotically Minkowskian. For the DW model, we choose $`C(x_0^{})`$, $`C(x_0^+)`$ with the requirement that along some large chosen value of $`x^+`$, termed $`x^+=x_{\mathrm{}}^+`$, and along a similarly chosen $`x^{}=x_{\mathrm{}}^{}`$,

$$ds^2=d\stackrel{~}{x}^+d\stackrel{~}{x}^{},$$
(58)
so that,

$$e^{2\rho }\frac{dx^+}{d\stackrel{~}{x}^+}\frac{dx^{}}{d\stackrel{~}{x}^{}}=1.$$
(59)
Given that asymptotically $`e^{2\rho }=Mx^+x^{}`$, then this amounts to requiring that at $`x^{}=x_0^{}`$

$$\frac{dx^+}{d\stackrel{~}{x}^+}=e^{2\rho (x^+,x_0^{})}\frac{\sqrt{Mx_{\mathrm{}}^+x_{\mathrm{}}^{}}}{Mx_{\mathrm{}}^+x_0^{}},$$
(60)
and at $`x^+=x_0^+`$

$$\frac{dx^{}}{d\stackrel{~}{x}^{}}(x_0^+)=e^{2\rho (x_0^+,x^{})}\frac{\sqrt{Mx_{\mathrm{}}^+x_{\mathrm{}}^{}}}{Mx_0^+x_{\mathrm{}}^{}}.$$
(61)
Using these we obtain meaningfully normalized null affine coordinates with which to calculate the stress-energy tensors of (57).

## V Results

Careful analysis limits the range of values of our variables, ($`\gamma `$, $`\mu `$ and $`\kappa `$, in the DW model, $`Q`$ and $`\kappa `$ in the RN) for which numerical errors are sufficiently small to permit unambiguous statements. We compared our results against the classical solutions to gauge the buildup of numerical error. These numerical constraints prevent us from making the back-reaction arbitrarily weak. A useful measure of the strength of the back-reaction is the ratio of the time-scale of the quantum evaporation to the light-crossing time of the black hole. These time-scales may be extracted by inspection of the equations of motion, with the results that $`t_{light}/t_{evap}=\kappa /Q^2`$ for the RN model, and $`t_{light}/t_{evap}=\kappa /\mu `$ for the DW model. We quote the results for the regime when this ratio is of order one, where numerical errors are negilible. The qualitative behavior of the solutions does not change as $`\kappa `$ is made smaller, as far as we have been able to determine. Of course, the semi-classical approximation to the evaporation is no less valid when we do not impose the weak back-reaction condition.

A typical contour plot is shown for each model in FIG. 1 and FIG. 2. As a shock mass is sent in, the two apparent horizons, given by the zeroes of $`_+\varphi `$, split apart, with the outer apparent horizon moving past $`\varphi _0`$, while the inner horizon moves behind this radius. Immediately afterwards, the outer horizon begins to recede and meets the inner horizon back at the extremal radius $`\varphi _0`$ (the value of $`\varphi `$ at the position of the horizon of the initial extremal black hole).

It is useful to regard the separation of the horizons along the $`x^{}`$ direction as a measure of the excitation energy of the extremal black hole (this statement can be made more precise in the adiabatic approximation ). This indicates the semi-classical solutions break down before the meeting point of the apparent horizons since here the energy of an emitted quanta inevitably becomes comparable to the energy of excitation above the extremal ground state . Evolving for points in the causal future of this endpoint would no longer be consistent with the semi-classical approximation.

As discussed in , the Ricci scalar curvature calculated along a given contour of $`\varphi `$ (see FIG. 3 and FIG. 4) demonstrates a return to the extremal quantity as evaporation proceeds, strongly indicating a smooth evaporation process. This is to say that an observer at a fixed radius outside of the black hole sees the same physical environment towards the endpoint of evaporation as was seen before the shock mass was introduced.

For the DW model, we also evaluate $`\stackrel{~}{T}_{\pm \pm }`$ (as shown in FIG. 5 and FIG. 6), calculated from (57) along the fixed $`\varphi `$ contour in FIG. 1. The behavior of these quantities is similarly consistent with a smooth evaporation process, returning the near-extremal black hole back to the extremal ground state. These fluxes are non-zero initially, but approach zero during evaporation. In the RN case, however, the flux perceived by an observer at a fixed radius outside of the black hole does not go to zero. This is evident from inspecting the behavior of $`T_{}`$, shown in FIG. 8, whose absolute value does not decrease monotonically, indeed eventually rising again. This is a not an entirely unexpected result, since the affine coordinates are not true asymptotically Minkowskian coordinates, so the flux need not vanish at infinity. $`T_{++}`$ (FIG. 7), however, does approach a zero value with increasing $`x^+`$.

In order to directly test for instabilities in the inner or outer apparent horizon we also inspect the behavior of the stress-energy momentum and the Ricci scalar curvature for the contours of $`_+\varphi =0`$ along the outer and inner apparent horizons in order to see if an instability arises. FIG. 9 and FIG. 10 appear to indicate that the scalar curvature evolves smoothly throughout evaporation and returns to its extremal value. Meanwhile, FIG’s. 11 \- 18 demonstrate that for both models the absolute flux through the horizons decreases during the evaporation, consistent with a decreasing black hole mass. More importantly, there is no indication of a buildup of energy behind either the inner or outer apparent horizon. The smooth variation of $`T_{++}`$ and $`T_{}`$ in these regions suggests a return, through evaporation, to the extremal ground state after the initial excitation.

## VI Discussion

The pictures emerging from both the DW and RN case were consistent. After the injection of shock matter, the near-extremal black hole evaporates and returns to the extremal ground state. The outer and inner horizon experience no distressing energy instabilities and come back together, rejoining at the extremal radius. Furthermore, studies of the Ricci scalar and the stress-energy tensors calculated along null affine geodesics, indicate that for observers outside the black hole, the environment returns to its original state.

The original motivation for studying the evaporation of charged black holes was to shed light on the black hole information puzzle. Quantum mechanics necessarily requires unitarity. However, semi-classically, the emitted radiation from black holes possesses a thermal distribution. This leads to the information puzzle: what happens to the information contained in the ingoing matter once the mass of the black hole is radiated away?

While it may be that physics in the real universe is simply not unitary , other resolutions have nevertheless been suggested. One such potential resolution of the paradox is that the information of the ingoing matter becomes stored in stable remnants that remain at the end of evaporation. These remnants would apparently need to contain an arbitrarily large amount of information despite possessing a Planck-sized mass . In this regard, extremal black holes hold some promise; behind the charged black hole horizon lies an infinite throat region  that can apparently store an arbitrary amount of information. This fact is also manifested by the infinite degeneracy of the extremal ground state  at the semi-classical level. Thus extremal black holes represent the testing ground for the remnant resolution to the information paradox . There is some debate as to whether or not the pair production of such charged black holes occurs at a finite rate , given the infinite degeneracy of the ground state. However, this infinite degeneracy is likely a result of the semiclassical averaging over the quantum geometries. This should not occur in a full quantum treatment. For example, D-brane calculations demonstrate that summing over microstates in fact yields a finite Bekenstein-Hawking entropy . Matrix theory also indicates a similar result . This may lay to rest infinite production concerns. Our studies did not reveal an instability in the evolution of excited extremal black holes. Thus as it stands, we cannot yet rule them out as the ultimate devices for information storage.

Another suggested resolution to the information puzzle proposes that higher order quantum corrections would reveal that the outgoing radiation is not strictly thermal, carrying off information about the ingoing radiation in the form of quantum correlations with the ingoing matter. This, however, while at first seeming to be a most agreeable resolution, presents other theoretical difficulties. Once matter disappears behind the horizon, it becomes causally dissociated from the outside region. Therefore such cross-horizon correlations would necessarily violate causality, unless some sort of information stripping were to occur at the horizon itself. At the semi-classical level, however, we do not expect anything special to occur at the horizon in the frame of reference of the in-falling observer. This issue can be resolved by appealing to a “stretched horizon” membrane picture , based on the principle of black hole complementarity. This principle asserts that matter which has fallen past the event horizon and the Hawking radiation emitted from there are not different objects; they are equivalent and complementary descriptions from reference frames which can be related to each other by large Lorentz boosts. Since there is no communication to outside of the black hole once an observer has passed in, there is no logical contradiction by prescribing that unitarity remains valid entirely outside of the horizon. Furthermore, the contribution of non-local terms arising from string theory  may account for cross-horizon correlations which will nevertheless be undetectable by any single observer. That is, if we do not require a local field theory, except at low energy, it becomes possible to construct a fully self-consistent causal theory where field operators behind and in front of the horizon will not commute . String theory and the existence of quantum correlations between the ingoing and outgoing matter then ultimately promises to contain the key for resolving the information puzzle.

The models we have considered here suggest that at the semi-classical level, upon entering the black hole, information is lost to the outside world. However, while it becomes inaccessible, the information enters the infinite asymptotic throat region behind the horizon and is not actually destroyed. While this picture permits remnants to contain the “lost” information, it still remains possible that the non-local string theory terms do indeed represent the real universe and the information does return to the outside region. Our success lies in showing that the semi-classical treatment of charged black hole evaporation does not breakdown sooner than would be expected from , despite heuristic arguments of Jacobson  to the contrary. Results presented here are also consistent with analytical results found in .


text:
# Report by N. Dinh Dang, V. Kim Au, T. Suzuki, and A. Arima on the Comment by V. Yu. PonomarevThe Comment has been later rejected by PRC on January 31, 2002

In our recent work , we calculated the E1 resonances in neutron-rich oxygen and calcium isotopes within a quasiparticle representation of the phonon damping model (PDM) in its PDM-1 version  including the superfluid pairing interaction. It is claimed in the Comment  that “the physical content of the PDM calculations is very doubtful” and the description of the pygmy dipole resonance (PDR) is “not justified” on “the quantitative level”. However, as seen below, the arguments, which the author of the Comment presents to prove his case, are either wrong or irrelevant.

The same Appendix 2D of Ref.  in the Comment  states that the assumption of the equal particle-phonon coupling strength $`F_{ph}^{(q)}=f_1`$ “may be employed if the width of the strength function is small compared to the characteristic energies associated with systematic variation in the coupling matrix elements.” This condition is satisfied in the region of E1 resonances considered in . However, this does not means that the matrix elements of the interaction part $`V_{q_1s_1}q_1|_{ss^{}q}F_{ss^{}}^{(q)}a_s^{}a_s^{}(Q_q^{}+Q_q)|s_1`$ are the same, as claimed in the Comment .

Equation (1) of the Comment  is not the second moment for the phonon distribution within the PDM. The $`k`$-th moment for the phonon distribution within the PDM is calculated (See, e.g., Eq. (2.21) of ) as

$$m_q^{(k)}=_{E_1}^{E_2}S_q(\omega )\omega ^k𝑑\omega ,k=1,2,\mathrm{}$$
(1)
where $`S_q(\omega )`$ is the PDM strength function

$$S_q(\omega )=\frac{\gamma _q(\omega )}{(\omega \overline{\omega })^2+\gamma _q^2(\omega )}.$$
(2)
The energy $`\overline{\omega }`$ of the giant dipole resonance (GDR) is found as the solution of Eq. (2.39) in :

$$\overline{\omega }\omega _qP_q(\omega )=0,$$
(3)
where $`\omega _q`$ is the unperturbed phonon energy (before the $`ph`$-phonon coupling is switched on), and $`P_q(\omega )`$ is the polarization operator. The damping $`\gamma _q(\omega )`$ is calculated microscopically within PDM as the imaginary part of the analytic continuation of $`P_q(E)`$ into the complex energy plane $`E=\omega \pm i\epsilon `$. Its explicit expression within PDM-1 is given by Eq. (5) of  (pairing not included) or Eq. (15) of  (pairing included). There is no way to equalize $`m_q^{(2)}`$ from (1) ($`k=`$ 2) with Eq. (1) of the Comment . Therefore, all discussions using Eq. (1) of the Comment  with the aim of attaching it to the PDM are irrelevant.

The strength function (2) is not a Breit-Wigner (BW) distribution because the damping $`\gamma _q(\omega )`$ depends on the energy $`\omega `$. Such form has been derived, for the first time, in  using the analytic properties of the double-time Green function independently of any assumption on the coupling matrix elements. Consequently, the photoabsorption cross section of GDR within the PDM is not a Lorentzian either. The claim in  that a Breit-Wigner (Lorentzian) form is assumed or an ad hoc input for the strength function (photoabsorption cross section) of GDR within the PDM is simply wrong.

One of the crucial features of the PDM is the use of realistic single-particle energies to construct the $`ph`$ configurations (at zero temperature) together with the $`pp`$ and $`hh`$ configurations (at nonzero temperature) to which the GDR is coupled. Therefore a replacement of the realistic single-particle spectra with any other ones, such as the random values of $`E_s`$ used in the Comment , no longer corresponds to the PDM. So the attempt in  to imitate the results of the PDM using random values of $`E_s`$, and an GDR energy $`E_0`$, which is not defined from (3), is incorrect.

It is by no mean obvious that the coupling constant should increase as the configuration space gets larger in the same nucleus. How the coupling changes is a problem to be discussed microscopically. Within the PDM, an increase of the space of $`ph`$ pairs leads to a decrease of the parameter $`f_1`$ to preserve the same value for the GDR width.

The aim of  is to use for the calculations of E1 resonances in neutron-rich isotopes the same set of two parameters $`(\omega _q,f_1)`$, whose values are chosen to reproduce the GDR in the corresponding double closed-shell nuclei. Therefore, the E1 resonances in the chains 16-24O, 40-46Ca, and 48-60Ca were calculated using the parameters chosen for 16O, 40Ca, and 48Ca, respectively. There is no reason why the values of $`f_1`$ for 40Ca and 48Ca should be the same. The results for GDR in 16O have been obtained already within the enlarged space with $`f_1=`$ 0.6982 MeV. This value is kept unchanged throughout the chain of oxygen isotopes as has been mentioned above and in . No change of the parameter occurs between 16O and 18O as incorrectly stated in the Comment .

The PDM-1 with its two phenomenologically selected parameters allows the comparison with the experimental data for only the average characteristics of the E1 resonances, such as the overall shape of the cross section, width, energy, and energy-weighted sum (EWS) of strength. It cannot describe such fine structure as the individual low-lying E1 states measured in . The EWS of E1 strength below 5 MeV for 40Ca and 48Ca are around 0.25 $`\%`$ and 0.52 $`\%`$ of the Thomas-Reich-Kuhn sum rule (TRK), respectively. They should be compared to the experimental values of (0.025$`\pm `$0.004) $`\%`$ of TRK for 40Ca, and (0.29$`\pm `$0.04) $`\%`$ of TRK for 48Ca reported in . The enhancement of strength at low energies in doubly closed-shell nuclei due to the spreading of GDR has been discussed in . There is no such setting of $`B(E1)`$ to zero for PDR within the PDM as claimed in . The problem of double counting arises only when the structure of phonon is calculated microscopically within the random-phase approximation. The use of the structureless phonon and the parameters, which are selected so that the calculated GDR energy reproduces its experimental value, excludes any possibility for double counting within the PDM.

Pairing is not included in the calculations of PDR in Ref.  of . The aim of Ref.  of  is to see if the PDM is able to predict the existence of the PDR in neutron-rich nuclei, but not to reproduce the experimental data. Because of the absence of pairing, the parameter $`f_1`$ in Ref.  of  was increased significantly in the region near the Fermi surface in neutron-rich isotopes. It is natural that such an increase overestimates the EWS of E1 strength in this region. This is not the case in the present work , where pairing is included, and the parameters of the model have been chosen to reproduce the GDR in double closed-shell nuclei.

In conclusion, none of the statements of the Comment  is relevant. The discussions in the Comment  are fruitless, and its conclusions are false. The Comment should not be published. If, nevertheless, the Editor will accept this Comment for publication, we would like to submit this report as our Reply to be published together with the Comment.
N. Dinh Dang
RI-beam factory project office, RIKEN, 2-1 Hirosawa, Wako, 351-0198 Saitama, Japan
V. Kim Au
Cyclotron Institute, Tesax A&M University, College Station, TX 77843-3366, USA
T. Suzuki
Department of Physics, Nihon University, Sakurajosui 3-25-40, Setagayaku, Tokyo 156, Japan
A. Arima
House of Councillors, Nagatacho 2-1-1, Chiyodaku, Tokyo 100-8962, Japan