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# A Dynamic Mechanism of Energy Conversion to a Mechanical Work

## Abstract

We propose a dynamic mechanism of a molecular machine for energy conversion, by considering a simple model describing the dynamics of two components, the head and the chain. After injection of energy to the head region, the energy is stored at one part for some time, and is used step by step, allowing the head to move directionally along the chain, irrespectively of the direction of the input, under a fluctuating environment. Our system can adjust the timing with which the head crosses the energy barrier by taking advantage of internal dynamics and the flexibility of components. The mechanism is shown to be robust and efficient. Some suggestions are given for molecular machines.

Recently, how energy is converted from one form to another form has been extensively studied. In biochemical reaction, some molecules are known to work for “energy converter”. On the other hand, recent progress in nanotechnology enables us to design a microscopic machine that works as energy converter. Since such molecular machine has to function under thermal fluctuations comparable to the input energy, it is questionable if it works in the same way as a macroscopic machine. This question was first addressed up by Oosawa as a dichotomy between tight and loose couplings. In the tight coupling, energy is converted one-to-one, as in our macroscopic machine. In contrast, in the loose coupling, conversion from chemical energy to mechanical work does not occur all in once, but step by step. Here, the output work is not precisely specified, but is distributed with some fluctuations.

It is important to propose possible mechanisms for the energy conversion with loose couplings, since they are relevant to consider a molecular machine working under thermal fluctuations that cannot be negligible at that scale. One of the well-known and successful models for such loose coupling mechanism is thermal ratchet. The model gave one plausible mechanism for the energy conversion to a mechanical work, and statistical analysis was carried out successfully. Here we propose another possible mechanism, that fully takes advantage of nonlinear dynamics of the system in concern. By taking a Hamiltonian dynamical model, we can trace each process of energy conversion, without using probability distribution, and study the mechanism in terms of dynamical systems. Since our model is self contained, we do not have to assume external switch of potential or specific non-white noise.

In general, we are interested in a system composing of several degrees of freedom. The system has an ‘input part’ to which energy is injected, and an ‘output part’ from which a mechanical work is extracted. Temporal evolution of the system is given by a set of equations with Hamiltonian dynamics with damping and noise coming from a heat bath. Since the system has several degrees of freedom, the motion generally generates fluctuations from their chaotic dynamics in addition to those by heat bath. Relevance of Hamiltonian dynamics to a rectifier is also presented by Terraneo et al.

Here we demonstrate that mechanical work is extracted as a directional motion, among all the degrees of the system, even though input is not specifically controlled with regards to its timing or direction, and without any ‘supervisor’ (i.e., external control). The model is capable of functioning with the injection of energy that is slightly larger than the energy associated with the thermal fluctuations in the system.

The model system consists of a motor that interacts with a chain composed of $`N`$-lattice sites, positioned at $`x_i`$ with index $`i`$. The motor consists of a ‘head’ of position $`x_h`$ and one internal degree of freedom in the form of a ‘pendulum’ represented by $`\theta `$. The injection of energy into the system is represented by the transfer of energy to this pendulum. The interaction potential $`V(x_hx_i,\theta )`$ between the chain and the head is spatially asymmetric and its form depends on the angle of the pendulum (see Fig.1). The periodic lattice is assumed in the chain, to consider directional motion in an asymmetric periodic potential as is often studied in the study of thermal ratchet. Every degree of freedom, except for the internal pendulum, is in contact with a heat bath, generating random fluctuations described by a Langevin equation with damping. The equations of motion for this system are chosen as

$`m_c\ddot{x}_i`$ $`=`$ $`m_c\gamma \dot{x}_i+\sqrt{2m_c\gamma T}\xi _i(t)`$ (1)
$``$ $`K_c\left\{(x_iiL)+(x_i{\displaystyle \frac{x_{i1}+x_{i+1}}{2}})\right\}{\displaystyle \frac{V}{x_i}},`$ (2)
$`m_h\ddot{x}_h`$ $`=`$ $`m_h\gamma \dot{x}_h+\sqrt{2m_h\gamma T}\xi _h(t){\displaystyle \underset{i}{}}{\displaystyle \frac{V}{x_h}},`$ (3)
$`m_\theta \ddot{\theta }`$ $`=`$ $`{\displaystyle \underset{i}{}}{\displaystyle \frac{V}{\theta }},`$ (4)
where $`T`$ is the temperature, $`\gamma `$ is a friction coefficient and $`\xi _\alpha (t)`$ represents Gaussian white noise. Here, we use the units Boltzmann constant $`k_B=1`$. $`K_c`$ and $`L`$ are the spring constant and the natural interval between two neighboring lattice sites in the chain. $`m_c`$, $`m_h`$ and $`m_\theta `$ are mass of the respective degrees of freedom.

The potential form is asymmetric in space as shown in Fig.1, where the characteristic decay length of the interaction is set at a smaller value than $`L`$, to assure that the interaction is confined mostly to the nearest lattice sites. In this Letter, we adopt the following potential form,

$$V(\mathrm{\Delta }x,\theta )=K_h\frac{\mathrm{tanh}(p\mathrm{\Delta }xr)+(1\mathrm{cos}\theta )/2}{\mathrm{cosh}(\mathrm{\Delta }x/d)},$$

where the parameters $`p`$ and $`r`$ determine the degree of asymmetry and $`K_h`$ and $`d`$ gives a strength and decay length of interaction, respectively. Specific choice of this form is not important. We have simulated our model choosing several other potential forms with asymmetry and obtained qualitatively the same results for the directional motion.

In thermal equilibrium, no directional motion is possible on the average. However, when energy is imported to the pendulum, directional motion is observed, after a time lag. One realization of time series of the positions of the head, pendulum, and neighboring lattice sites is plotted in Fig. 2. Although this time series represents a typical example of the head motion, the particular motion differs for each event, since it includes a chaotic component and is subject to thermal noise. We computed the distribution of the number of steps as displayed in Fig.3. In this distribution, there appears a peak at two steps, which is shifted to larger values as the amount of injected energy is increased. The distribution was obtained from $`1000`$ random sequences $`\xi _\alpha (t)`$, where, at the energy injection, configuration of the system and the direction of the rotation of the internal pendulum are not taken into account. The direction of the head motion is independent of the direction of the rotation of the pendulum and other situation of the system. Therefore, the system functions robustly.

The presently studied energy conversion mechanism functions over a rather broad range of temperatures, as shown in Fig.4(a). The average number of steps is a linearly increasing function of the injected energy above a certain threshold value. This implies that as the amount of injected energy increases, the efficiency of the energy conversion does not decay to zero, but, rather, approaches some finite constant. For low temperatures, there exists a critical value of $`E_0`$ around $`\delta V=0.34`$ (see Fig.1), below which the directional motion is suppressed. For higher temperatures, the head exhibits directional motion even for small values of $`E_0`$. It is thus seen that the system’s directional motion is robust with respect to changes of the environmental temperature and can adjust itself in response to the amount of input energy. To make this energy conversion possible, it is important that the chain be sufficiently flexible. Indeed, if the spring constant $`K_c`$ is too large, no directional motion of the head is generated (see Fig.4(b)).

Now, we discuss how energy conversion is carried out, by closely examining the dynamics of the model. As depicted in Fig.2, when the pendulum motion is fast, and is essentially decoupled from the head motion, the head and the nearest lattice site exhibit highly correlated vibration (stage a). Since their motion is governed mainly by a two-body interaction, this coherent vibration is not surprising. Here the energy is stored at the pendulum for some time, as was already studied , in possible relationship with the Boltzmann-Jeans conjecture.

As an initially excited pendulum relaxes, their motion is eventually no longer decoupled from the rest of the system, and the pendulum, head, and the corresponding lattice site come to exhibit three-body motion. Since this motion possesses instability, the coherent motion of the head and the lattice site is lost. As a result, the vibration amplitude of the head becomes larger with energy transfer from the pendulum (stage b). The energy is localized at the corresponding lattice site and the head for a certain interval (see $`T_0`$ and $`T_h`$). Then, due to the large amplitude, the head begins to interact with the neighboring lattice sites. As it does so, head begins to experience the asymmetry of the potential, and its motion becomes synchronized with that of the neighboring site immediately to the left of the original (stage c). Because the interaction between the head and the left lattice site is repulsive (see $`V(x_hx_i)`$ in $`x_hx_i>L/2`$), the head bounces back eventually to the neighboring site immediately to the right of the original after a few period of synchronization (stage d). In this process, the head absorbs energy from the chain, so that it can cross over the energy barrier to the next site to the right. The timing of this crossing is spontaneously determined by the interaction of the head, pendulum, and lattice sites.

If the injected energy were dissipated completely into a large number of degrees of freedom (as ‘heat’), the conversion of energy into mechanical work would suffer a rather large loss. Contrastingly, the motion generated by our mechanism remains confined to just a few degrees of freedom and highly correlated in space and time. In other words, supplied energy to the pendulum is not diffused randomly as heat, and, as a result, the conversion is efficient. For the robustness of this conversion mechanism, it is important that the motion is not periodic but chaotic. Since chaotic motion allows continuous spectrum of frequency, in contrast to resonant periodic motion, flexible adaptation of the energy conversion mechanism to changes of the governing parameters is possible. Hence, neither fine-tuning of parameters nor external control for a driving force is needed.

This is in strong contrast with thermal ratchet models, popular in the theoretical study of molecular motors . In such models, to attain reasonable efficiency, it is necessary to assume a rather fine-tuned timing for the switching from one potential form of the interaction to another, or to tune the time scale of the colored noise present. When there is such fine-tuning, the motion of the ratchet and this switching are synchronized, and the energy conversion is no longer loose. Furthermore, either the switching or the specific form of the noise is externally given. In the present model, such external condition required for the thermal ratchet is generated through the dynamics. In addition, in the present model we can trace each event of the conversion of the energy to mechanical work, as in recent single-molecule experiments.

An advantage of using Hamiltonian dynamics is that in this case the energy transfer can be traced directly, as shown in Fig.2. We have found that for the present mechanism to function energy must be localized within the head and neighboring lattice sites. This condition is not satisfied, for example, when the spring is stiff (i.e., when $`K_c`$ is large). In that case, energy rapidly diffuses from the head to all lattice sites, and the conversion mechanism does not work, as shown in Fig.4(b). The localization of energy in the few lattice sites near the head over some time interval allows for efficient conversion, which results in directional motion.

We have demonstrated how a coupled dynamical system with an internal degree of freedom can carry out robust conversion of energy to mechanical work generating directional motion. Note that the efficiency of our mechanism is lost when the spring of the chain is stiff as shown in Fig.4(b). This is in strong contrast with a consequence from the tight machine, where the efficiency should be higher as the chain is stiffer.

Although we have demonstrated the behavior of our mechanism only in a weakly dissipative system, this type of mechanism is common in dynamical systems, and proper extension of the present study to over-damped systems should be possible. Such an extension would be useful in constructing a more realistic model of a biomotor based on the present mechanism. It is interesting to note that the broad distribution form of steps in the present model is similar to that observed in some experiments of molecular motors, where very large time-lag between the injection of the energy and the directional motion is also observed.

Because the mechanism studied here operates in a Hamiltonian system, it represents a possible type of energy conversion mechanism at a molecular scale. It would be interesting to study enzyme function using this mechanism. Furthermore, it seems that designing a nano-machine for energy conversion employing our mechanism would not be too difficult, because this mechanism functions in the presence of thermal fluctuations corresponding to energies that are of the same order as the injected energy.

Acknowledgment: We thank K. Kitamura and T. Yomo for critical reading of this manuscript. The present work is supported by Grants-in-Aids for Scientific Rsearch from the Ministry of Education, Science and Culture of Japan.


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# The Continuum Percolation Threshold for Interpenetrating Squares and Cubes

## I Introduction

Lattice percolation is often used for the statistical modeling of transport in porous media . The requirement that sites, and the bonds between them, be constrained to a fixed lattice may not, however, be an appropriate model for natural porous media . The characteristics of site and bond percolation potentially limit their applicability to modeling of natural phenomena such as oil or groundwater flow and extraction of melt from super-solidus regions deep inside a planetary body.

Continuum percolation offers two advantages for describing porous media:

* The objects which form clusters are not restricted to points on a fixed lattice; they can be placed anywhere within the volume studied and either be barred from interpenetration, or allowed to interpenetrate, i.e., they can have either “hard” or “soft” cores . Because of the freedom of placement inside the system, the connections between soft core objects can range from very small to very large, depending upon the extent of interpenetration.
* The objects can be of any shape. In two dimensions the continuum percolation of discs is often investigated . In most studies of continuum percolation in three dimensions, spheres are used as the objects, leading to the “swiss-cheese” nomenclature for continuum percolation . Other frequently-used shapes are rods and ellipsoids of revolution . In a few cases the continuum percolation of cubes has been considered .

Here we determine the threshold for continuum percolation of soft core squares in two dimensions (2-D) and cubes in three dimensions (3-D) whose edges are aligned parallel to, or oriented at random angles to, the axes of the system. Continuum percolation is believed to belong to the same universality class as site and bond percolation ; once we have determined the continuum threshold for an object of a specific shape we can apply many of the characteristics of site and bond percolation, e.g. critical exponents, to describe the continuum percolation cluster.

## II Methods

We construct 2-D and 3-D Monte Carlo simulations for the determination of the percolation threshold based upon the Leath method  and the methods Lorenz and Ziff  used in their study of the continuum percolation of spheres.

We perform 2-D simulations with squares whose edges are of unit length. In 3-D we perform simulations with cubes of three different edge lengths: $`1/\sqrt{3}`$, 0.75, and 1.0; the length $`L`$ of each axis of the simulation box in the 2-D simulations is 301, and in 3-D is 101 in simulations using cubes with edge lengths of $`1/\sqrt{3}`$ and 0.75, and is 161 in simulations with the unit cube . We subdivide the system into either a 2-D or 3-D grid of unit area squares or unit volume cubes; an illustrative $`12\times 12`$ 2-D version of our system is shown in Fig. 1.

The cluster begins in the center grid volume and objects are added to it based upon a Poisson distribution centered about the average number of objects per unit area or volume, $`N/L^d`$, chosen for the simulation of dimension $`d`$ . The product of this value and the individual object’s area or volume, $`v`$, is the reduced number density

$$\eta \frac{vN}{L^d}.$$
(1)
If the number of objects, $`n`$, generated from the Poisson distribution is nonzero, then these $`n`$ objects are placed at random locations inside the grid volume. To fix the orientation of each individual object, random numbers are generated to determine the one angle of rotation in the 2-D simulations and the three Euler angles of rotation in the 3-D simulations; these angles vary between 0 and 2$`\pi `$. The locations of the 4 (2-D) or 8 (3-D) corners and the center of each object are stored in a data structure, along with a flag indicating that the grid area (2-D) or volume (3-D) was visited and populated during the realization. The nearest-neighbors and next-nearest-neighbors of this grid area or volume are then populated in a similar manner and the intersection between squares or cubes is tested.

To determine whether two squares intersect we choose one square in the cluster as the reference square and another square in the simulation as the test square. We use an algorithm for the intersection of two lines to test if any of the 4 edges of the reference square interesect the 4 edges of the test square. To determine if two cubes intersect we choose one cube in the cluster as the reference cube and another in the simulation as the test cube. We use an algorithm for the intersection of a line and a facet  to test if any of the edges of the reference cube intersect the faces of the test cube. In this algorithm, the location of each of the 12 edges of the reference cube are compared to the location of the 12 triangular facets that describe the locations of all faces on the test cube using the corners and diagonal of each face. If the test object intersects the reference object, it is added to the growing cluster. This process is repeated for each new square or cube added to the system until the cluster can no longer grow. Intersections between squares or cubes in grid areas or volumes up to two units away can occur for edge lengths 0.75 and 1, as exemplified in 2-D for squares of unit edge (Fig. 1), but cubes of edge $`1/\sqrt{3}`$ can only interesect if they are in the same or neighboring volumes of the grid, which reduces the number of grid volumes that must be checked for cube overlap in simulations with cubes of this smallest size.

The cumulative distribution of cluster sizes is calculated from the cluster size of each realization, $`s`$, by binning the cluster sizes such that all bins in the range of $`2^0`$ to $`2^{s+1}1`$ are incremented by 1. In order to estimate finite-size effects of the simulation, objects in each cluster are tested to determine whether they touch the edge of the simulation. If so, the cluster size is compared against the smallest cluster size in previous realizations that touch the edge and the smaller value is stored. Bins of size greater than the smallest cluster that touched the edge of the system are not used in the determination of the percolation threshold.

At the end of the simulation, the value of each bin is divided by the number of realizations, from 10,000 to 50,000, to yield the probability of achieving a cluster of size $`s`$, $`P(s|\eta )`$, for a given value of $`\eta `$. Power law behavior of the probability as a function of the bin size is interpreted to indicate the critical percolation theshold $`\eta =\eta _c`$ . To accurately determine the theshold, we follow the techniques of Ref. . The probability of generating a cluster size $`s`$ at a specified $`\eta `$ is

$$P(s|\eta )As^{2\tau }f[(\eta \eta _c)s^\sigma ],$$
(2)
where both $`\tau `$ and $`\sigma `$ are universal exponents and $`A`$ is a non-universal constant. In 2-D the values of these exponents are 187/91 and 36/91 , respectively. In 3-D the values of $`\tau `$ and $`\sigma `$ are $`2.18906\pm 0.00006`$ and $`0.4522\pm 0.0008`$, respectively . Near the percolation threshold the scaling function $`f(x)`$ can be expanded in a Taylor series

$$f(x)=1+Bx+𝒪(x^2).$$
(3)
Combining Eqs. (2) and (3),

$$P(s|\eta )s^{\tau 2}A+AB(\eta \eta _c)s^\sigma +\mathrm{}$$
(4)
which demonstrates that $`P(s|\eta )s^{\tau 2}`$ becomes constant at the percolation threshold as $`s`$ becomes asymptotically large.

## III Results

The percolation threshold can be expressed either as the critical reduced number density, $`\eta _c`$, or the critical area (or volume) fraction, $`\varphi _c`$, which are related to each other by

$$\varphi _c=1e^{\eta _c}.$$
(5)
### A Two Dimensions

For square objects aligned parallel to each other in the 2-D system we find

$$\eta _c=1.098\pm 0.001$$
(7)
or, from (5),

$$\varphi _c=0.6666\pm 0.0004$$
(8)
(see Fig. 2a). Our value of $`\varphi _c`$ is within the error bars of two previous determinations by Monte Carlo techniques, where $`\varphi _c=0.668\pm 0.003`$  and $`\varphi _c=0.65\pm 0.02`$ . However our determination of $`\varphi _c`$ is slightly lower than that calulated by  whose Monte Carlo simulations produced $`\varphi _c=0.6753\pm 0.0008`$, and whose application of the direct-connectedness expansion method yielded $`\varphi _c=0.6912`$. In contrast, our value of $`\varphi _c`$ is significantly higher than the experimental one of  whose average for 9 trials is $`\varphi _c=0.613\pm 0.013`$.

We find that for randomly oriented square objects in 2-D

$$\eta _c=0.9819\pm 0.0006$$
(10)
or

$$\varphi _c=0.6254\pm 0.0002$$
(11)
(see Fig. 2b). This is the first determination of these values for randomly oriented squares.

These values for the continuum percolation threshold for aligned and randomly oriented squares are lower than for discs, $`\varphi _c=0.67`$ , by a maximum of $`0.5`$% for aligned squares and $`7`$% for randomly oriented squares. We attribute the significant difference in $`\varphi _c`$ between discs and randomly oriented squares to the possibility of randomly oriented squares intersecting other squares whose centers are located at distances up to the diagonal length of the square (see Fig. 1), whereas two discs can only intersect if their centers are no further than one diameter away from each other. The similarity of $`\varphi _c`$ for aligned squares and discs may occur because both objects can only possibly intersect other objects whose centers are separated at most by either the edge length of the square or the diameter of the disc.

### B Three Dimensions

For cubic objects aligned parallel to each other in the 3-D system,

$$\eta _c=0.3248\pm 0.0003$$
(13)
or

$$\varphi _c=0.2773\pm 0.0002$$
(14)
(see Fig. 3a). The precision of this result is greater than the most precise previous determination $`\varphi _c=0.280\pm 0.005`$ . The critical volume fraction is significantly less when cubic objects are allowed to have random orientations,

$$\eta _c=0.2531\pm 0.0003$$
(16)
or

$$\varphi _c=0.2236\pm 0.0002$$
(17)
(see Fig. 3b). The result for randomly oriented cubes is the same for cubes of edge-length $`1/\sqrt{3}`$, 0.75, and 1. Thus, as expected, the percolation threshold is independent of the cube and system size used. This value is the first determination of $`\varphi _c`$ for the continuum percolation of randomly oriented cubes.

Comparision of the critical volume at the percolation threshold for aligned cubes with that determined for spheres, $`\varphi _c=0.289573\pm 0.000002`$ , demonstrates that the difference in shape between spheres and cubes affects $`\varphi _c`$ by $`4`$% . Allowing cubes to randomly orient lowers $`\varphi _c`$ $`23`$%. The difference between the randomly oriented cubes and spheres is due to the same process as discussed above for discs and squares, but in this case it is the greater length of the body diagonals of cubes compared to the diameter of spheres or the edge length of aligned cubes that enhances the probability of connectedness for randomly oriented cubes at any given volume fraction.

## IV Discussion

The continuum percolation threshold can be predicted with excluded volume theory :

$$N_cV_{\text{ex}}=B_c,$$
(18)
where $`N_c`$ is the critical density of objects , $`V_{\text{ex}}`$ is their excluded area or volume, and $`B_c`$ is the average number of bonds per object . Originally, $`B_c`$ was thought to be one constant for all parallel (i.e., not randomly oriented) convex objects in 2-D and another constant in 3-D , but later $`B_c`$ was determined to be different for spheres and for cubes in 3-D . The excluded area for discs and aligned squares of unit area is 4 and for randomly oriented unit squares 4.084 . For both spheres and aligned cubes $`V_{\text{ex}}`$ is equal to 8 times their volume in 3-D. For randomly oriented cubes $`V_{\text{ex}}`$ is 11 times their volume . Calculated values of $`B_c`$ in 2-D and 3-D are presented in Table I.

In 2-D we determine $`B_c=4.39\pm 0.01`$ for aligned squares and for randomly oriented squares $`B_c=4.01\pm 0.01`$. The value for aligned squares is similar to that originally proposed by Balberg for discs and squares, $`B_c=4.5\pm 0.1`$  and to the values for discs and squares calculated from Monte Carlo simulations: $`B_c=4.43`$  and $`B_c=4.5\pm 0.1`$ , respectively. On the other hand our value for $`B_c`$ is somewhat lower than calculated by a series expansion technique, $`B_c`$ = 4.7 . Thus we confirm that $`B_c`$ has the same value, within error, for discs and for aligned squares in 2-D. However, a different behavior is observed when squares are randomly oriented and $`B_c`$ drops by $`10`$%, consistent with expectations that non-parallel objects should exhibit a lower $`B_c`$ than parallel objects .

Our Monte Carlo simulations yield $`B_c=2.59\pm 0.01`$ for aligned cubes, as is expected because of the agreement between our estimate of the percolation threshold and previous estimates. For randomly oriented cubes $`B_c=2.78\pm 0.01`$, within error of $`B_c`$ for the continuum percolation of spheres. This result is surprising in light of the observation that $`B_c`$ for randomly oriented squares is $`10`$% below aligned squares and is contrary to expectations that randomly oriented objects should have lower values of $`B_c`$ than aligned ones . However, $`B_c`$ for randomly oriented cubes does not exceed the limiting value predicted by the excluded volume theory of the continuum percolation threshold .

Our results confirm previous research demonstrating the effect of object shape on the threshold for continuum percolation. We furthermore find that the incorporation of random orientations of objects in continuum percolation simulations significantly affects the percolation threshold. Most of these effects are predicted by the application of excluded volume theory to the calculation of the percolation threshold but, surprisingly, allowing squares to randomly orient decreases $`B_c`$ in 2-D whereas random orientation of cubes increases $`B_c`$ in 3-D.

#### Acknowledgements

We thank P. Bourke, R. Consiglio, L.R. da Silva and S. Havlin for discussions and BP, NSERC, and NSF for support.


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# Untitled Document

Letters in Mathematical Physics 21: 215–220, 1991.

$`q`$-Deformed Orthogonal and Pseudo-Orthogonal

Algebras and Their Representations

A. M. GAVRILIK and A. U. KLIMYK

Institute for Theoretical Physics, 03143 Kiev, Ukraine

(Received: 25 June 1990)

Abstract. Deformed orthogonal and pseudo-orthogonal Lie algebras are constructed which differ from deformations of Lie algebras in terms of Cartan subalgebras and root vectors and which make it possible to construct representations by operators acting according to Gel’fand–Tsetlin-type formulas. Unitary representations of the $`q`$-deformed algebras $`U_q(\mathrm{so}_{n,1})`$ are found.

AMS subject classifications (1980). 16A58, 16A64, 17B10, 81D99.

1. In his Letter , M. Jimbo defined a $`q`$-deformation $`U_q(g)`$ of any simple Lie algebra $`g`$ by means of its Cartan subalgebra and root elements. M. Rosso has shown in  that to every integral highest weight there corresponds an irreducible finite-dimensional representation of $`U_q(g)`$. For the $`q`$-deformed algebra $`U_q(\mathrm{sl}(n,)),`$ finite-dimensional irreducible representations were explicitly constructed by M. Jimbo  through the $`q`$-analogue of the Gelfand–Tsetlin formulas. If one constructs the algebra $`U_q(\mathrm{so}(n,))`$ according to Jimbo’s formulas, then (as well as for the nondeformed case) it is impossible to derive irreducible finite-dimensional representations in terms of the formulas of the Gel’fand–Tsetlin type. In explicitly constructing representations of the Lie algebras of the orthogonal groups, one uses the generators $`I_{k,k1}=E_{k,k1}E_{k1,k}`$ , where $`E_{is}`$ is the matrix with the elements $`(E_{is})_{jr}=\delta _{ij}\delta _{sr}`$.

The purpose of this Letter is to propose another deformation $`U_q(\mathrm{so}(n,))`$ of the orthogonal algebras which allows one to construct the $`q`$-analogue of the Gel’fand–Tsetlin formulas for them. With the help of $``$-operations in $`U_q(\mathrm{so}(n,))`$ , it is possible to introduce a compact deformed algebra $`U_q(\mathrm{so}_n)`$ and pseudo-orthogonal deformed algebras $`U_q(\mathrm{so}_{r,s})`$, $`r+s=n`$. We derive ‘unitary’ representations (that is, $``$-representations) of the deformed Lorentz algebras $`U_q(\mathrm{so}_{n,1})`$ . It turns out that, unlike the classical Lie algebra $`\mathrm{so}(n,1)`$, for the algebras $`U_q(\mathrm{so}_{n,1})`$ there also appears a continuous ‘unitary’ series (strange series) of representations. Under $`q1`$, this series disappears (goes to infinity).

2. By the quantum algebra $`U_q(\mathrm{so}(n,))`$, $`n3`$, we shall mean the complex associative algebra generated by the elements $`I_{i,i1}`$, $`i=2,\mathrm{},n`$ , which obey the relations

$$[I_{i,i1},I_{j,j1}]=0\mathrm{if}ij>1,$$
(1)
$$I_{i+1,i}^2I_{i,i1}(q^{1/2}+q^{1/2})I_{i+1,i}I_{i,i1}I_{i+1,i}+I_{i,i1}I_{i+1,i}^2=I_{i,i1},$$
(2)
$$I_{i+1,i}I_{i,i1}^2(q^{1/2}+q^{1/2})I_{i,i1}I_{i+1,i}I_{i,i1}+I_{i,i1}^2I_{i+1,i}=I_{i+1,i}.$$
(3)
In the limit $`q1`$, the algebra $`U_q(\mathrm{so}(n,))`$ reduces to the universal enveloping algebra $`U(\mathrm{so}(n,))`$ of the classical complex Lie algebra $`\mathrm{so}(n,)`$. Namely, relations (2) and (3) transform into the relations

$$[I_{i+1,i},[I_{i+1,i},I_{i,i1}]]=I_{i,i1},$$

$$[I_{i,i1},[I_{i,i1},I_{i+1,i}]]=I_{i+1,i},$$

which, together with relations (1), define the Lie algebra $`\mathrm{so}(n,)`$.

Several ways exist for introducing a $``$-structure (antilinear antiautomorphism) into $`U_q(\mathrm{so}(n,))`$. The $``$-structure

$$I_{i,i1}^{}=I_{i,i1},i=2,\mathrm{},n,$$
$`(4a)`$
determines in $`U_q(\mathrm{so}(n,𝐂))`$ the compact $`q`$-deformed algebra $`U_q(\mathrm{so}_n)`$. The $``$-structure

$$I_{i,i1}^{}=I_{i,i1},ir+1;I_{r+1,r}^{}=I_{r+1,r}$$
$`(4b)`$
determines in $`U_q(\mathrm{so}(n,))`$ the noncompact $`q`$-deformed algebra $`U_q(\mathrm{so}_{r,s})`$, $`r+s=n`$.

Let us remark that our definition of the algebra $`U_q(\mathrm{so}(n,))`$ agrees (when $`n=3`$) with a new definition of the quantum algebra $`U_q(\mathrm{su}_2)`$ introduced by Witten . More exactly, he defines $`U_q(\mathrm{su}_2)`$ as the algebra $`U_q(\mathrm{so}_3)`$. Podleś and Woronowicz  have described the Lorentz quantum group basing on the Lie algebra $`\mathrm{sl}(2,)`$. We obtain the description of the quantum Lorentz algebra as the algebra $`U_q(\mathrm{so}_{3,1})`$ (being a particular case $`n=4`$ of our treatment).

The relation of our algebra $`U_q(\mathrm{so}(n,))`$ with the corresponding algebra introduced by Jimbo , and the structure of a Hopf algebra in it, will be considered in a forthcoming article.

3. By a finite-dimensional representation of the algebra $`U_q(\mathrm{so}_n)`$, we mean a homomorphism $`T`$ from this algebra into the algebra of linear operators acting on finite-dimensional space such that $`T(a^{})=T(a)^{}`$, $`aU_q(\mathrm{so}_n)`$. To describe a representation of $`U_q(\mathrm{so}_n)`$, it is sufficient to give the action formulas for the operators $`T(I_{i,i1}),i=2,3,\mathrm{},n`$ , which obey relations (1)–(3) and the relations $`T(I_{i,i1})^{}=T(I_{i,i1})`$.

Finite-dimensional irreducible representations of the algebra $`U_q(\mathrm{so}_n)`$ are characterized by highest weights analogous to the case of the Lie algebra $`\mathrm{so}_n`$ , that is, by the numbers $`m_{1n},m_{2n},\mathrm{},m_{kn}`$, where $`k`$ is the integral part of $`n/2`$, which satisfy the same conditions as in the classical case. Namely, all $`m_{in}`$ are simultaneously integers or half-integers and

$$m_{1n}m_{2n}\mathrm{}m_{kn}0\mathrm{for}n=2k+1,$$

$$m_{1n}m_{2n}\mathrm{}m_{k1,n}|m_{kn}|\mathrm{for}n=2k.$$

We denote the set of the numbers $`m_{1n},\mathrm{},m_{kn}`$ (highest weight) by a single symbol $`𝐦`$ and the corresponding representation by $`T_𝐦`$.

In the carrier space of irreducible representation there exists the basis of the Gel’fand-Tsetlin type labelled by the patterns $`\alpha `$ analogous to the case of the Lie algebra $`so_n`$. The labels of the patterns $`\alpha `$ satisfy ‘betweenness’ conditions . We denote the $`k`$th row of the pattern $`\alpha `$ by $`m_{1k},m_{2k},\mathrm{}`$.

The action of the operators $`T_𝐦(I_{i,i1})`$ onto the basis elements $`|\alpha \alpha `$ is written out by means of the $`q`$-numbers defined as follows. If $`b`$ is a complex number, then the $`q`$-number $`[b]`$ is given by the formula

$$[b]=\frac{q^{b/2}q^{b/2}}{q^{1/2}q^{1/2}}.$$

Now the action of the operators $`T_𝐦(I_{i,i1})`$ is given by the $`q`$-analogue of the Gel’fand-Tsetlin formulas

$$T_𝐦(I_{2p+1,2p})\alpha =\underset{j=1}{\overset{p}{}}A_{2p}^j(\alpha )\alpha _j^{2p}\underset{j=1}{\overset{p}{}}A_{2p}^j(\overline{\alpha }_j^{2p})\overline{\alpha }_j^{2p},$$
$`(5)`$
$$T_𝐦(I_{2p+2,2p+1})\alpha =\underset{j=1}{\overset{p}{}}B_{2p}^j(\alpha )\alpha _j^{2p+1}\underset{j=1}{\overset{p}{}}B_{2p}^j(\overline{\alpha }_j^{2p+1})\overline{\alpha }_j^{2p+1}+$$

$$+\mathrm{i}\underset{r=1}{\overset{p+1}{}}[l_{r,2p+2}]\underset{r=1}{\overset{p}{}}[l_{r,2p}]\left(\underset{r=1}{\overset{p}{}}[l_{r,2p+1}][l_{r,2p+1}1]\right)^1\alpha .$$
$`(6)`$
where the pattern $`\alpha _j^k`$ (correspondingly $`\overline{\alpha }_j^k`$) is obtained from $`\alpha `$ by replacing $`m_{jk}`$ by $`m_{jk}+1`$ (correspondingly, by $`m_{jk}1`$); $`l_{j,2p}=m_{j,2p}+pj,l_{j,2p+1}=m_{j,2p+1}+pj+1`$ and

$$A_{2p}^j(\alpha )=\left(\frac{[l_j^{}][l_j^{}+1]}{[2l_j^{}][2l_j^{}+2]}\frac{_{r=1}^p[l_r+l_j^{}][|l_rl_j^{}1|]_{r=1}^{p1}[l_r^{\prime \prime }+l_j^{}][|l_r^{\prime \prime }l_j^{}1|]}{_{rj}[l_r^{}+l_j^{}][|l_r^{}l_j^{}|][l_r^{}+l_j^{}+1][|l_r^{}l_j^{}1|]}\right)^{\frac{1}{2}},$$
$`(7)`$
$$B_{2p}^j(\alpha )=\left(\frac{_{r=1}^{p+1}[l_r+l_j^{}][|l_rl_j^{}|]_{r=1}^p[l_r^{\prime \prime }+l_j^{}][|l_r^{\prime \prime }l_j^{}|]}{_{rj}[l_r^{}+l_j^{}][|l_r^{}l_j^{}|][l_r^{}+l_j^{}1][|l_r^{}l_j^{}1|]}\frac{1}{[l_j^{}]^2[2l_j^{}+1][2l_j^{}1]}\right)^{\frac{1}{2}}.$$
$`(8)`$
(Note that, for brevity, we have denoted $`l_{k,2p+1}`$ in formula (7) by $`l_k`$, $`l_{j,2p}`$ by $`l_j^{}`$, and $`l_{i,2p1}`$ by $`l_i^{\prime \prime }`$; and likewise, in (8) $`l_{i,2p+2}`$ by $`l_i`$, $`l_{i,2p+1}`$ by $`l_i^{}`$ and $`l_{j,2p}`$ by $`l_j^{\prime \prime }`$.)

The validity of relations (1)–(3) and (4a) for the operators (5) and (6) is proved directly by calculating matrix elements for the left and right-hand sides of these relations. We do not reproduce these calculations here because of their awkwardness.

4. By a representation $`T`$ of the algebra $`U_q(\mathrm{so}_{n1,1})`$ we shall mean a homomorphism of this algebra into the algebra of linear operators in a Hilbert space $`V`$ defined on an everywhere dense subspace $`D`$, such that the restriction of $`T`$ onto the subalgebra $`U_q(\mathrm{so}_{n1})`$ decomposes into a direct sum of finite-dimensional representations of this subalgebra, any of which may occur in the decomposition with a finite multiplicity. Moreover, we suppose that $`D`$ contains (as its subspaces) the spaces of irreducible representations of $`U_q(\mathrm{so}_{n1})`$. If conditions (4b) are fulfilled for the representation operators $`T(I_{i,i1})`$, then the representation is called unitary. Throughout the text, we require that $`q`$ is not equal to a root of unity.

To obtain representations of the algebra $`U_q(\mathrm{so}_{n1,1})`$, $`m_{1n}`$ in the heighest weights $`𝐦=(m_{1n},m_{2n},\mathrm{},m_{kn})`$ ($`k`$ is an integral part of $`n/2`$) of irreducible representations of $`U_q(\mathrm{so}_n)`$ is replaced by a complex number $`\sigma `$. Then the numbers $`m_{2,n1},m_{3,n1},\mathrm{},m_{s,n1}`$ ($`s`$ is an integral part of $`(n1)/2`$) of highest weights $`(m_{1,n1},m_{2,n1},\mathrm{},m_{s,n1})`$ of irreducible representations of the maximal compact subalgebra $`U_q(\mathrm{so}_{n1})`$ must satisfy the same betweenness conditions as in the case of the representations $`T_𝐦`$ of the algebra $`U_q(\mathrm{so}_n)`$, whereas for $`m_{1,n1}`$ we impose the restriction $`m_{2n}m_{1,n1}<\mathrm{}`$. The spaces of representations of $`U_q(\mathrm{so}_{n1,1})`$ consist of the $`q`$-Gel’fand–Tsetlin bases for irreducible representations of $`U_q(\mathrm{so}_{n1})`$. Therefore, the representations of $`U_q(\mathrm{so}_{n1,1})`$ so introduced are infinite-dimensional. The operators of these representations act according to formulas (5)–(8) where now $`m_{1n}`$ is replaced by $`\sigma `$. It is shown by direct evaluation that relations (1)–(3) remain valid for such representation operators. We denote so obtained infinite-dimensional representations of the algebra $`U_q(\mathrm{so}_{n1,1})`$ by $`T(c,𝐦)`$, where $`𝐦=(m_{2n},m_{3n},\mathrm{},m_{pn})`$, $`c=\sigma +p1`$ if $`n=2p`$ and $`c=\sigma +p`$ if $`n=2p+1`$. These representations are nothing but the $`q`$-analogue of the corresponding representations of the group $`\mathrm{SO}_0(n1,1)`$, see .

It is seen from formulas (5)–(8) that the representations $`T(c,𝐦)`$ and $`T(1c,𝐦)`$ of the algebra $`U_q(\mathrm{so}_{2p,1})`$ and the representations $`T(c,𝐦)`$ and $`T(c,\stackrel{~}{𝐦})`$ of the algebra $`U_q(\mathrm{so}_{2p+1,1})`$ pairwise coincide (here $`\stackrel{~}{𝐦}`$ is obtained from $`𝐦`$ by change $`m_{pn}`$ into $`m_{pn}`$).

Now we shall consider three cases separately: (i) $`q=e^h`$, $`h`$; (ii) $`q=e^{\mathrm{i}h}`$, $`h`$ and $`q`$ does not coincide with a root of unity; (iii) $`q=\mathrm{exp}(h_1+\mathrm{i}h_2)`$, $`h_1,h_2`$. When $`q=e^h`$, $`h`$, the function $`f(z)=[z]`$, $`z`$, is seen to have period $`4\pi \mathrm{i}/h`$. In view of that, the representations $`T(c,𝐦)`$ and $`T(c+4\pi k\mathrm{i}/h,𝐦)`$, $`k`$ ($``$ is the set of integers), coincide, and the representations $`T(c,𝐦)`$ and $`T(c+2\pi k\mathrm{i}/h,𝐦)`$, $`k`$, are equivalent. The equivalence operator is equal to $`I`$, where $`I`$ is the unit operator. Hence, in this case, we consider only the representations $`T(c,𝐦)`$ with $`0\mathrm{Im}c<2\pi /h`$. Likewise, at $`q=e^{\mathrm{i}h}`$, $`h`$, the representations $`T(c,𝐦)`$, $`T(c+4\pi k/h,𝐦)`$, $`k`$, coincide and the representations $`T(c,𝐦)`$, $`T(c+2\pi k/h,𝐦)`$, $`k`$, are equivalent. Therefore, in this case we consider only the representations $`T(c,𝐦)`$, $`0\mathrm{Re}c<2\pi /h`$.

THEOREM. The representation $`T(c,𝐦)`$ of $`U_q(\mathrm{so}_{2p,1})`$ is irreducible if $`c`$ is not an integer for integral $`m_{2n},m_{3n},\mathrm{},m_{pn}`$, $`n=2p+1`$, and is not a half-integer for half-integral $`m_{2n},m_{3n},\mathrm{},m_{pn}`$, or if one of the number $`c`$, $`1c`$ coincides with one of the numbers $`l_j=m_{jn}+pj+1`$, $`j=2,3,\mathrm{},p`$. The representation $`T(c,𝐦)`$ of the algebra $`U_q(\mathrm{so}_{2p+1,1})`$ is irreducible either if $`c`$ is not an integer for integral $`m_{2n},m_{3n},\mathrm{},m_{p+1,n}`$, $`n=2p+2`$, and is not a half-integer for half-integral $`m_{2n},m_{3n},\mathrm{},m_{p+1,n}`$ or if $`c`$ coincides with one of the number $`l_j=m_{jn}+pj+1`$, $`j=2,3,\mathrm{},p`$, or $`|c|<|l_p+1|`$.

The proof of this theorem is similar to that of the corresponding theorem for the group $`\mathrm{SO}_0(n1,1)`$ (see, for example, ).

To select unitary representations out of the representations contained in the theorem, one has to verify for which of them the last condition of relation (4b) is fulfilled. Direct verification shows that for $`q=e^h`$, $`h`$, the following representations

(1) $`T(c,𝐦)`$, $`c=\mathrm{i}t+\frac{1}{2}`$, $`0<t<2\pi /h`$, and also $`T(\frac{1}{2},𝐦)`$ for integral $`𝐦`$ (principal unitary series);

(2) $`T(c,𝐦)`$, $`\frac{1}{2}<c<s+1`$, where $`s`$ is an integer ($`0sp1`$). Moreover, $`s=0`$ if $`l_{p1}>1`$, or at $`l_p=1`$ the number $`s`$ is equal to the largest number $`r`$ for which $`l_{pr+1}=r`$ (supplementary series);

(3) $`T(c,𝐦)`$, $`\mathrm{Im}c=\pi /h`$, $`\mathrm{Re}c>\frac{1}{2}`$ (strange series)

are unitary for the algebra $`U_q(\mathrm{so}_{2p,1})`$ and the representations

(1) $`T(c,𝐦)`$, $`c=\mathrm{i}t`$, $`0t<2\pi /h`$ (principal unitary series);

(2) $`T(c,𝐦)`$, $`0<c<s`$, where $`s`$ is an integer ($`0sp`$) such that $`l_{pr+2}=r1`$ for $`r=1,2,\mathrm{},s`$ (supplementary series);

(3) $`T(c,𝐦)`$, $`\mathrm{Im}c=\pi /h`$, $`\mathrm{Re}c>0`$ (strange series)

are unitary for the algebra $`U_q(\mathrm{so}_{2p+1,1})`$. If $`q=e^{\mathrm{i}h}`$, $`h`$, then unitary representations of supplementary series do not arise. In this case, the defining condition $`\mathrm{Im}c=\pi /h`$ is replaced by $`\mathrm{Re}c=\pi /h`$. If $`q=\mathrm{exp}(h_1+\mathrm{i}h_2)`$, $`h_1,h_2`$, then the algebra $`U_q(\mathrm{so}_{n,1})`$ possesses no nontrivial unitary representations.

Besides the representations of the algebra $`U_q(\mathrm{so}_{n,1})`$ listed above, at $`q=e^h`$, $`h`$, there are other series of unitary representations (for example, $`q`$-analogue of the discrete series). These representations are subrepresentations of reducible representations $`T(c,𝐦)`$. Such series of representations are completely similar to corresponding series of the classical groups $`\mathrm{SO}_0(n,1)`$ (see, for example, ) and are described in our preprint .

References

1. Jimbo, M., Lett. Math. Phys. 10, 63 (1985).

2. Rosso, M., Comm. Math. Phys. 117, 581 (1988).

3. Jimbo, M., Lect. Notes Phys. 246, 334 (1986).

4. Witten, E., Preprint IASSNS–HEP–89/32, Princeton, N.J., 1989.

5. Podleś, P. and Woronowicz, S. L., Report No. 20 of the Mittag–Lefler Institute,

1989.

6. Gel’fand, I. M. and Tsetlin, M. L., Dokl. Akad. Nauk SSSR 71, 1017 (1950).

7. Klimyk, A. U. and Gavrilik, A. M., J. Math. Phys. 20, 1624 (1979).

8. Klimyk, A. U., Matrix elements and Clebsch–Gordan coefficients of group represen-

tations, Nauk. Dumka, Kiev, 1979 (in Russian).

9. Gavrilik, A. M., Kachurik, I. I., and Klimyk A. U., Preprint ITP–90–26E, Kiev,

1990.


text:
# Evolutionary Synthesis Models for the Formation of S0 Galaxies in Clusters

## 1 Introduction

The galaxy populations in rich clusters are strikingly different at intermediate and high redshift from what they are in the local Universe. As early as 1978 Butcher & Oemler noticed a large fraction of blue galaxies in the centers of distant clusters in contrast to the situation in the centers of nearby rich galaxy clusters where almost exclusively red and passive early-type galaxies are found. While the early observations referred to color or spectral classification of galaxies, HST has opened up the possibility for direct morphological classifications of distant galaxies.

While the composition of the bright field galaxy population in terms of morphological types (E, S0 and Spirals), does not seem to change significantly up to $`z0.5`$, that of the populations in rich galaxy clusters does. S0 galaxies, in particular, constitute $`40`$% of the local cluster population while 10 rich clusters at $`z0.5`$ have been shown to only contain $`15`$% S0 galaxies (Dressler 1980, Dressler & Gunn 1992, Dressler et al. 1997, 1999, Smail et al. 1997). This trend has been confirmed by additional studies of 12 clusters in the redshift range between $`z0.1`$ and $`0.3`$ by Couch et al. 1996 and Fasano et al. 2000. The proportion of elliptical galaxies in the central regions of rich clusters does not seem to change significantly with redshift while that of the spirals does in a sense opposite to that of the S0s.

Structure formation scenarios show that even in the local Universe galaxy clusters are still in their process of formation by continuously accreting galaxies from the spiral-rich field environment.

Various processes have been discussed that might act to transform infalling star-forming field spirals into the passive S0 galaxy population seen inside nearby rich clusters like eg. Coma. This transformation has two aspects: the morphological transformation and the truncation of the star formation rate (SFR). The timescales for both processes may or may not be different.

Spiral-spiral mergers are known from dynamical & spectrophotometric modeling and from the multi-frequently observations of nearby examples (NGC 4038/39, NGC7252) to lead to spheroidal remnants of type S0/E, excite sometimes very strong bursts of SF during the interaction, consuming much of the gas, eventually expelling the rest, leaving a gas-poor remnant with low or vanishing SFR and colors & spectral features evolving from those of a typical postburst galaxy with strong Balmer absorption lines to those of “normal” E/S0 galaxies (Toomre & Toomre 1972, Barnes & Hernquist 1996, Fritze – v. Alvensleben & Gerhard 1994, Schweizer 1999).

The high velocity dispersions of galaxies in rich clusters today, however, are unfavorable to galaxy merging. During the early stages of cluster formation or within galaxy groups falling into a cluster, However, merging may play an important role. Harassment has been shown by Moore et al. (1996, 1998) to be efficient in stripping stars from spiral disks during their high speed encounters with other cluster members and/or inhomogeneities in the cluster potential. However, only for massive bulge-dominated infalling galaxies S0-type remnants are expected. Late-type or low surface brightness galaxies will rather be shred down to dSphs or dEs.

Beyond these galaxy-galaxy and galaxy-potential interactions a third type of interaction is shown to be important, both observationally and from theoretically modeling: that of a galaxy with the dense hot ICM filling the central regions of clusters – at least in the local Universe – as seen in X-ray observations. As this hot ICM can reach densities up to a factor 100 higher than those of the ISM in spiral galaxies it will cause strong shocks in the ISM of spiral galaxies falling towards the cluster center as well as efficient ram pressure stripping or sweeping of its ISM (Gunn & Gott 1972, Abadi et al. 1999, Fujita 2001). Quilis et al. 2000 present 3D hydrodynamic simulations with good shock resolution showing that ram pressure together with turbulent and viscous stripping can remove a galaxy’s HI content and hence extinguish its SF within $`10^8`$yr. Preexisting molecular clouds and the strong shocks induced within the ISM may give a rise to starburst during this process.

Both hydrodynamic models and observations, showing that all of the starburst and most of the post-burst galaxies in clusters are spirals, indicate that changes in SFR take place on shorter timescales ($`10^8`$yr) than morphological transformations ($`10^9`$yr).

Observationally, the hydrogen deficiency of spiral galaxies near or around the central regions of dynamically relaxed clusters and their asymmetric or displaced HI distributions are direct evidence of the effect of the hot ICM (Cayatte et al. 1990, Bravo-Alfaro et al. 2000, Poggianti & van Gorkom 2001). The spectacular $`\text{H}_\alpha `$ emission of some Virgo and A1367 galaxies as they are stripped confirms the starbursts predicted to be induced during this process (Gavazzi et al. 1995, Kenney & Koopman 1999).

A delay of 1-2 Gyr between SF truncation and the morphological transformation in a infalling spiral is consistent with the lack of blue S0s in distant clusters as well as with the large number of passive galaxies with late-type morphologies (Poggianti et al. 1999, Kodama & Smail 2001, Smail et al. 2001). Ziegler 2000 and Smail et al. 2001 find that while luminous E/S0s show optical-NIR colors and spectral line strengths consistent with old systems and passive evolution since $`z>0.5`$, the fainter E/S0s ($`0.1\mathrm{L}_\mathrm{K}^{}`$) show a large spread in optical and optical-NIR colors with $`30`$% of the S0s in A2218 ($`z=0.17`$) having luminosity-weighted ages $`5`$ Gyr, i.e. they were actively forming stars at $`z0.5`$. This proportion of young S0s is consistent with the rate of evolution in the fraction of S0s in clusters over the redshift range from $`z0.5`$ to $`z=0`$ (Dressler et al. 1997). Similar young components are reported for 3 other S0 galaxies at the periphery of the Fornax cluster by Kuntschner 2000.

While most of these studies have concentrated on the inner regions of rich clusters, both at high and low redshift, it is clear that, in fact, the evolution of galaxy clusters themselves, in terms of richness, degree of relaxation, and content of ICM have to be included into any analysis of the evolution of their galaxy populations. Very first attempts of this kind are presented by Balogh et al. 2000.

In this paper we take a much more modest approach. We use evolutionary synthesis models that were earlier proven to correctly describe the evolution of undisturbed field galaxies of various spectral types over significant look-back times and we artificially modify their SFRs at different evolutionary stages as suggested to happen when these galaxies are assumed to fall into a cluster. I. e. we induce a burst of SF and/or truncate the SF on timescales as indicated by observations and/or hydrodynamical simulations. We then investigate the subsequent evolution of our model galaxies in terms of optical and optical-NIR colors and luminosities and compare with the corresponding data for the local S0 cluster galaxy population to try and constrain possible photometric evolutionary paths from field spirals to cluster S0s. It may be of historical interest that already in 1975 Biermann & Tinsley presented an early version of an evolutionary synthesis study, conducted mainly in Göttingen, on the effect of SF truncation in spirals in comparison with cluster S0s, on the basis of stellar input physics (main sequence evolutionary tracks for solar metallicity stars) and computing facilities available at that time.

We present the basic principles of our models in Sect. 2, discuss the results from a grid of models for different spiral types experiencing different changes of their SFR at various evolutionary stages in Sect. 3, and compare to observational properties of local S0 galaxies in Sect. 4. Sect. 5 summarizes our conclusions, compares to results from other groups studying spectral features, and gives an outlook to future developments of our models an observations.

## 2 The spectrophotometric evolutionary model

### 2.1 Undisturbed galaxies

The evolutionary synthesis model we use is based on Tinsley’s equations, which describe the time evolution of the gas mass, the stellar mass, and the ISM metallicity on the basis of a given initial mass function (IMF) and a star formation rate in its time evolution specific for each galaxy type (e.g. Tinsley 1980). At the same time our code follows the detailed evolution of the stellar population using a complete set of stellar evolutionary tracks including all relevant stellar evolutionary phases, as given by the Geneva group (cf. Weilbacher et al. 2000 for details), stellar yields and lifetimes. It is a 1-zone model for the description of global galaxy properties. Starting from a homogeneous gas cloud of initial mass and chemical composition our program calculates the distribution of the stellar population over the HRD at every timestep. The model assumes ideal gas mixing and no in- or outflow of gas, but accounts for the finite lifetimes of stars of different masses. The various spiral galaxy types are described by conventional global star formation rates. For Sa, Sb, and Sc galaxies we assume SFRs which are linear functions of the evolving gas content G(t), $`\psi (t)G(t)`$ (Schmidt 1959, Kennicutt 1998). The Sd model has a constant SFR. These star formation rates are close to those empirically determined by Sandage (1986), and also used by Bruzual & Charlot (1993) and Guiderdoni & Rocca-Volmerange (1987). The IMF is taken from Scalo (1986):

$`\varphi (\mathrm{m})\mathrm{dm}\mathrm{m}^{(1+\mathrm{x})}\mathrm{dm}`$ (1)
with lower and upper mass limits $`\mathrm{m}_\mathrm{l}=0.15\mathrm{M}_{}`$ and $`\mathrm{m}_\mathrm{u}=85\mathrm{M}_{}`$. The three different slopes are $`\mathrm{x}_1=0.25`$ for $`\mathrm{m}_\mathrm{l}\mathrm{m}<1`$, $`\mathrm{x}_2=1.35`$ for $`1\mathrm{m}<2`$ and $`\mathrm{x}_3=2.00`$ for $`2\mathrm{m}\mathrm{m}_\mathrm{u}`$. To account for dark matter in the form of brown dwarfs or planets the normalization

$`{\displaystyle _{\mathrm{m}_\mathrm{l}}^{\mathrm{m}_\mathrm{u}}}\varphi (\mathrm{m})\mathrm{mdm}=0.5`$ (2)
(Bahcall et al. 1992) is used which, after a Hubble time, gives mass-to-light ratios for our model galaxies in agreement with observations. We use the tracks for a metallicity of $`\frac{1}{2}\text{Z}_{}`$, which give a good description for stars in spiral galaxies (Rocha-Pinto & Maciel 1998).

The model calculates the time evolution of luminosities in the Johnson UBVRIJHK bands and the corresponding colors.

The SFRs chosen above were carefully checked to yield agreement after 12 Gyr – the present galaxy age in our cosmology– with average observed integrated colors from U through K for the respective galaxy types (RC3, Buta et al. 1994) At an age of 12 Gyr (today), the total B-band luminosities of the different undisturbed galaxy models are scaled to the average $`\mathrm{M}_\mathrm{B}`$ from Gauss-fits to observed type-specific luminosity functions of the respective galaxy types in Virgo as derived by Sandage et al. (1985). This scaling also is applied to the total, stellar and gaseous masses of the model galaxies.

### 2.2 Interacting galaxies

To model interacting galaxies we use two different scenarios. Starbursts are used to describe merging galaxies or galaxies with high SFRs triggered by shock waves in the ISM of a galaxy falling into the hot dense ICM. Star formation truncation, on the other hand, is used to model galaxies which lose their gas by tidal interaction or by ram pressure stripping when falling into a cluster.

In case of the truncation we simply stop star formation at a given point in time. A burst is described by a sudden increase of the SFR followed by an exponential decline either to zero or to some given value $`\psi _\mathrm{f}`$ assumed to be constant thereafter.

* $`\psi _{\mathrm{max}}`$: max. SFR at the beginning of the burst, i.e. at $`\mathrm{t}_{\mathrm{burst}}`$
* $`\tau _{\mathrm{burst}}`$: exponential decline timescale of the burst SFR, typically $`10^8\mathrm{yr}`$
* $`\psi _\mathrm{f}=0\mathrm{or}=1.5\mathrm{M}_{}\mathrm{yr}^1`$: eventual low level constant SFR after the burst

The strength of the burst b is defined by the fraction of gas available at the time when the burst starts $`\mathrm{G}(\mathrm{t}_{\mathrm{burst}})`$, which is consumed for star formation during the burst ($`\mathrm{\Delta }\mathrm{G}`$):

$`\mathrm{b}:={\displaystyle \frac{\mathrm{\Delta }\mathrm{G}}{\mathrm{G}(\mathrm{t}_{\mathrm{burst}})}}`$ (3)
Another common definition of the burst strength is the fraction of stars built in the burst $`(\mathrm{\Delta }S)`$ as compared to the total stellar mass of the galaxy by today $`(S(t_0))`$:

$`\mathrm{b}_{}:={\displaystyle \frac{\mathrm{\Delta }\mathrm{S}}{\mathrm{S}(\mathrm{t}_0)}}`$ (4)
## 3 Model Results

With the code described above we compute a grid of models for spiral galaxies falling into a cluster and having their SFRs affected by starbursts and/or star formation truncation as described above. The different parameters are:

* Spectral types Sa, Sb, Sc, and Sd of the infalling galaxies – defined by their respective SF histories
* evolutionary age of the galaxies at the onset of the burst or the star formation truncation: 3, 6, and 9 Gyr

and in case of a starburst

* burst strength b in terms of gas consumption: 70%, 50%, and 30% (strong, intermediate and weak bursts)
* SFR after the burst $`\psi _\mathrm{f}=1.5\mathrm{M}_{}\mathrm{yr}^1`$ or $`\psi _\mathrm{f}=0`$.

In Fig. 1 the time evolution of the B-luminosity for an Sc galaxy with different interactions affecting its SFR after 6 Gyr of undisturbed evolution is shown. The flat curve shows the evolution of an undisturbed Sc galaxy. As a result of its star formation rate decreasing slowly as the gas content decreases, the B-band luminosity of the undisturbed Sc galaxy model (dot-dashed) also decreases very little after its maximum is reached at $`2`$ Gyr of evolution. After 12 Gyr of undisturbed evolution the average $`\mathrm{M}_\mathrm{B}18.3\mathrm{mag}`$ of Virgo Sc galaxies is reached. If the star formation is truncated at 6 Gyr as shown by the solid curve, the B-luminosity decreases appreciably and only amounts to $`\mathrm{M}_\mathrm{B}=16.9`$ mag at an age of 12 Gyr. Bursts of various strengths, consuming 30 and 70% of the remaining gas reservoir, lead to a strong and rapid luminosity increase to $`\mathrm{M}_\mathrm{B}=19.5`$ and $`\mathrm{M}_\mathrm{B}=20.3`$ mag for the weak and strong burst cases (dotted and dashed lines), respectively. About $`510^8`$yr after the onset of the burst, systems start fading again and 2 Gyr (4 Gyr) after the weak (strong) burst, the post-burst galaxy becomes fainter than the undisturbed one. If some residual star formation is assumed at a constant rate of $`1.5\mathrm{M}_{}\mathrm{yr}^1`$ after the burst (long dashed line), the fading gets weaker.

Fig. 2 shows the color evolution in $`\mathrm{B}\mathrm{V}`$ for the same models as in Fig. 1. The flat dot-dashed curve is the undisturbed Sc galaxy again. It describes the successive reddening of its aging stellar population. With the star formation rate we assumed, the Sc model, after 12 Gyr of undisturbed evolution, indeed reaches the average $`\mathrm{B}\mathrm{V}=0.59`$ of Sc galaxies in the RC3 (Buta et al. 1994). If star formation is truncated after 6 Gyr of evolution (solid line) a strong and very sudden reddening results due to the massive stars dying out very fast. 2 Gyr after star formation truncation, $`\mathrm{B}\mathrm{V}=0.84`$ is reached, whereafter the further reddening is much slower and reaches $`\mathrm{B}\mathrm{V}=0.91`$ at 12 Gyr. If a burst occurs after 6 Gyr of evolution, colors rapidly get very blue, the difference between a strong burst ($`\mathrm{B}\mathrm{V}=0.1`$, dashed line) and a weak one ($`\mathrm{B}\mathrm{V}=0.2`$, dotted line) not being large. After the burst, $`\mathrm{B}\mathrm{V}`$ reddens again, though more slowly than in the truncation case. The $`\mathrm{B}\mathrm{V}`$ of the undisturbed model is reached 1.5 Gyr after a weak and 1.8 Gyr after the strong burst. Thereafter the reddening continues until, at an age around 12 Gyr, $`\mathrm{B}\mathrm{V}`$ is almost as red as in the truncation model. If star formation does not go to zero after the burst but continues at some low constant level, $`\mathrm{B}\mathrm{V}`$ stays significantly bluer $`(\mathrm{B}\mathrm{V})0.75`$. Note that while burst models with $`\psi _\mathrm{f}=0`$ and star formation truncation models cannot be distinguished in $`\mathrm{B}\mathrm{V}`$ any more at times $`5`$ Gyr after the event, they are still very well distinguished in terms of luminosity.

Here, as an example, we only present the B-luminosity and $`\mathrm{B}\mathrm{V}`$-color evolution. Our models, however, comprise all optical and NIR luminosities and colors from U through K and they all behave in their specific ways in burst and truncation models.

For undisturbed galaxies of all types Sa, Sb, Sc and Sd, of course, star formation rates were chosen as to provide agreement of all colors from $`\mathrm{U}\mathrm{B}`$ through $`\mathrm{V}\mathrm{K}`$ at an evolutionary age of $`12`$ Gyr with their respective average values as observed for nearby galaxy samples.

Because of their initially higher and more rapidly decreasing star formation rates, the B-band luminosity evolution of Sa and Sb models has a more pronounced maximum at early times whereafter it shows a stronger fading than the Sc model. As well, the $`\mathrm{B}\mathrm{V}`$ colors of Sa and Sb models become redder, almost from the very beginning, than those of the Sc model shown here. This is due to the larger fraction of stars formed at early times.

The constant star formation Sd model has almost constant B-luminosity from $`2`$ to $`12`$ Gyr but still shows some reddening, albeit weaker than the Sc model, due to the accumulation of low mass stars.

Note that the gas content drops at very different rates in different types of models, very fast in Sa with $`(\text{G}/\text{M})_{12\mathrm{Gyr}}=0.07`$ and pretty slowly in Sd models with $`(\text{G}/\text{M})_{12\mathrm{Gyr}}=0.65`$. These global gas contents are also in broad agreement with typical gas-to-total mass ratios of field galaxies if the HI beyond their optical radius is taken into account. Without significant accretion from outside these evolving gas masses set upper limits to the star formation in bursts. In our definition of the burst strength in terms of consumed gas fraction, a 70% (strong) burst in an old (9 Gyr) and hence already gas-poor Sa galaxy only increases its stellar mass by 0.8% while a 70% burst in a much more gas-rich 3 Gyr young Sc model would increase its stellar mass by almost a factor of 2.

Table 1 compares the different definitions of the burst strength parameters for bursts after 6 Gyr of undisturbed evolution.

## 4 Comparison with S0 Galaxy Data

As a first application of our models we study the origin of the S0 galaxy population in cluster environments. The conventional model of S0 galaxy evolution is a high SFR at the beginning followed by a strong decrease of star formation activity (cf. Sandage 1986, Bruzual & Charlot 1993, Guiderdoni & Rocca – Volmerange 1987). In this picture, S0 galaxies are old and have evolved passively most of the time. Recent observations, however, show that the fraction of S0 galaxies in clusters evolves strongly with redshift. We assume that interactions among infalling galaxies and with the cluster environment trigger the evolution. We take the turn-over $`\mathrm{M}_\mathrm{B}`$ of the Gauss-fit determined by Sandage et al. (1985) to the S0 galaxy luminosity function in Virgo (adjusted to our choice of $`\mathrm{H}_0=65`$) as our reference for the local average S0 luminosity $`\mathrm{M}_\mathrm{B}`$. Note that the completeness limit for this sample occurs about 5 mag fainter than $`\mathrm{M}_\mathrm{B}`$. The average colors of local S0 galaxies over the same luminosity range are taken from Buta et al. (1994) and Bower et al. (1992). Table 2 shows the data we use for the local S0 galaxy population, in our comparison with models of interacting and disturbed spiral galaxies described above.

The aim is to find out which effects on the star formation rates in which types of galaxies and at what times do produce colors and luminosities by today in agreement with S0 galaxy data. This kind of investigation is meant to complement dynamical models for the morphological transformation of galaxies in cluster environments (Moore et al. 1996, 1998).

It was seen from the models alone (Sect.3) that while in terms of $`\mathrm{B}\mathrm{V}`$ colors at $`12`$ Gyr several very different models looked identical, they considerably split up in terms of B-band luminosity. We therefore chose to present here our comparison of models and S0 data in terms of color-magnitude diagrams.

### 4.1 Starburst Models

In Fig. 3 we show the evolution of model galaxies of types Sa, Sb, Sc, and Sd with strong starbursts starting at an age of 6 Gyr in a color-magnitude diagram $`(\mathrm{B}\mathrm{V})`$ vs. $`\mathrm{M}_\mathrm{B}`$. The evolutionary tracks start in the lower part of the diagram. Timesteps of 1 Gyr are shown by the symbols on each track. As shown in Fig. 1 and 2 for undisturbed Sc galaxies, all models get brighter and redder, and this evolution is fastest in the earliest stages and gets slower later on. At an age of 6 Gyr all models are assumed to have strong starbursts. Hence, the model galaxies get bluer and brighter very fast and then, with falling SFR, they get redder and fainter again. The strengths of the changes in color and luminosity during the burst depend on galaxy type. The Sd model, with a lot of available gas, passes through a big loop in the color-magnitude diagram, while the Sa model, with much less gas, only shows a small loop. Remember, all models have a burst of the same strength in our definition, i.e. they transform 70% of their available gas mass into new stars.

The box in the upper left of the color-magnitude diagram indicates the $`1\sigma `$ range around the average luminosity and color of the local S0 galaxy population (see also Tab. 2). The endpoints of the Sa, Sb, and Sc evolutionary tracks, at an age of 12 Gyr, lie within the observed 1$`\sigma `$ range of local S0 galaxies. Only the Sd model is too blue to reach to within $`1\sigma `$ of the photometric properties of S0s.

The following figures only show the end points of galaxy evolution at 12 Gyr. In all plots the sequence of undisturbed galaxies is shown for reference. Lines connect the various galaxy types with the same interaction history (from left to right: Sa, Sb, Sc, and Sd). The box in the upper left again shows the $`1\sigma `$ range of the local S0 population.

Figs 4a and b show for starburst models the effect of a residual ongoing SFR ($`\psi _\mathrm{f}=1.5\mathrm{M}_{}\mathrm{yr}^1`$) after the burst (Fig. 4a) as compared to starburst models with no ongoing star formation (4b). In both figures strong (70%) burst at three different times of evolution (3, 6, 9 Gyr) are plotted. The differences are very clear. No model with ongoing low level star formation reaches the luminosity and color range ($`1\sigma `$) of local S0 galaxies. All model galaxies are too blue. This is the consequence of the ongoing star formation, as the comparison with Fig 4b shows. Without ongoing star formation after the burst several model galaxies reach the $`1\sigma `$ range of local S0 galaxies in luminosity and color. Only the galaxies which have their burst at an evolutionary age of 9 Gyr (this means only 3 Gyr ago) are (still) too blue. The Sa galaxy, however, even after a burst only 3 Gyr ago is already very close to the colors of S0 galaxies.

We conclude that all spiral galaxies with bursts at ages of 3 or 6 Gyr, except for the Sds, reach both the luminosity and color ranges of S0s by today, and this is not only true for $`\mathrm{M}_\mathrm{B}`$ and (B$``$V) displayed here but for all other colors available. The Sd galaxies are either too faint (burst at 3 Gyr) or too blue (bursts at 6 or 9 Gyr) to resemble by today the average photometric properties of S0 galaxies. An essential prerequisite for post-starburst models to reach the red colors of S0 galaxies is a complete extinction of SF.

### 4.2 Star Formation Truncation Models

Another interaction scenario is shown in Fig. 5. Here the SFR is truncated after 9 Gyr of undisturbed evolution. It is a color-magnitude diagram like Fig. 3 with the same scale. So the models follow the tracks from the bottom to the top, ending at 12 Gyr with symbols again marking timesteps of 1 Gyr. Like in Fig. 3, the Sa, Sb and Sc models – now with SF truncation – reach the observed range of local S0 galaxies in the upper left, while the Sd model again misses the S0 region. In this scenario, however, the Sd model fails because its luminosity is too low while its color now is red enough, in contrast to the burst scenario. It is also seen that the effect of the SF truncation (the break in the curve) is smaller for the Sa model and gets stronger towards the Sd model. The explanation is that the SFR in an Sa galaxy is already low at this time of evolution and the galaxy is dominated by old stars and rather red already, so a truncation of the SFR does not affect the galaxy too much. The Sd galaxy, on the other hand, is actively forming stars even at an age of 9 Gyr. A truncation of its SFR causes a sudden decrease in the number of young hot stars, and the effect on the galaxy in terms of B-band luminosity and color is stronger.

The next two Figures, Fig. 6a) and b) show SF truncation scenarios, occurring at 3, 6, and 9 Gyr of evolution in different spiral galaxy types. In Fig. 6a) $`\mathrm{B}\mathrm{V}`$, and in 6b) $`\mathrm{V}\mathrm{K}`$ colors are plotted against $`\mathrm{M}_\mathrm{B}`$. Other colors like $`\mathrm{U}\mathrm{B}`$ or $`\mathrm{U}\mathrm{V}`$ do not give any additional information and therefore are not showen. If the SFR is truncated at early times (3 Gyr) the colors become too red (Sa, Sb) and the luminosities to faint (Sb, Sc, Sd) by today. Is the SFR truncated at 6 or 9 Gyr, most models reach the $`1\sigma `$ range of local S0 galaxies. Only Sd galaxies are an exception, they are too faint because they did not build enough stars to get as bright as an average S0 galaxy. In Fig. 6b) the conclusions for models which have a SF truncation after 6 or 9 Gyr are equal to those described above. But in comparison to a) the Sa galaxy is not too red in $`\mathrm{V}\mathrm{K}`$ in case of SF truncation at 3 Gyr. This is due to the fact that the old stars are dominating $`\mathrm{V}\mathrm{K}`$ while in $`\mathrm{U}\mathrm{B}`$ or $`\mathrm{B}\mathrm{V}`$ young hot stars dominate. So the truncation of the SFR is less visible in $`\mathrm{V}\mathrm{K}`$ as compared to $`\mathrm{U}\mathrm{B}`$ or $`\mathrm{B}\mathrm{V}`$.

Hence, the $`(\mathrm{B}\mathrm{V})\mathrm{vs}\mathrm{M}_\mathrm{B}`$ diagram already contained all the information. The inclusion of U- and K-bands does not lead to any further restriction of the manifold of S0 galaxy progenitor models. We conclude that Sa models with SF truncation after 6 or 9 Gyr of evolution fall well into the color and luminosity range of present-day S0 galaxies. Sb and Sc galaxies with SF truncation at 6 or 9 Gyr and at 9 Gyr, respectively, may be the progenitor of lower than average luminosity S0s. Late-type Sd spirals with SF truncation at any time are too faint.

### 4.3 Effects of the Burst Strength

In Fig. 7 we compare different burst strengths and SF truncation (which can also be understood as a b=0 model) on galaxies which have their SFR disturbed at 6 Gyr. The burst strengths are 70% and 30% without ongoing star formation thereafter. Again, the Sd galaxies lie all outside of the S0 range. Their $`\mathrm{B}\mathrm{V}`$ colors and B-luminosities are strongly dependent on burst strength. All other spiral galaxy types lie much closer to each other, in particular the differences between the strong and weak bursts are small. All these galaxies reach the $`1\sigma `$ range of today’s S0s, only the truncated Sc galaxy marginally misses the S0 luminosity range. Hence, our models show that the burst strength is not an important factor in the transformation of a spiral progenitor into an S0 galaxy. The important factor is the SFR which has go to zero by today, either by a direct truncation, or after a burst.

### 4.4 Merger-induced Starbursts

Last, we study the merger scenario. As mentioned before, the high velocity dispersions of galaxies in local rich clusters clearly are unfavorable for galaxy mergers. In infalling galaxy groups, still today, and during early stages of cluster formation, however, galaxy merging may play or have played a role. We restrict ourselves to mergers of equal spiral types, and explore the starburst that may be triggered in the course of merging. These types of mergers double the mass – in stars as well as in gas – of our model galaxies, and also double the luminosity of the merger remnants, corresponding to a brightening by 0.75 mag. The colors do not change with respect to the simple starburst models discussed above. Fig. 8 shows galaxies which merged at 3, 6, and 9 Gyr and experienced a strong starburst at this occasion. Comparison with Fig. 4b for starbursts in single galaxies shows this difference of 0.75 mag in luminosity. So, like all others, the Sd-Sd merger remnants are brighter and in the case of a burst at 3 Gyr they now can reach the faint part of the S0 luminosity distribution. The Sa galaxies are pushed by mergers into the luminosity range of bright S0s, while in the non-merger starburst scenario they only reached the average S0 luminosity. Mergers of different normal galaxy types and mergers between a normal and a dwarf galaxy never get brighter than an Sa-Sa merger. Hence, the only ways to produce brighter than average S0s are either early-type spiral merger with starbursts induced at 3 or 6 Gyr, or multiple mergers. Sb – Sb and Sc – Sc mergers at 3 or 6 Gyr can well account for the average luminosity S0 population and even early mergers (at 3 Gyr) of late-type Sd galaxies do reach the observed color and luminosity range of present-day S0s. SFRs have to go to zero after the bursts in all cases to obtain red enough colors. Sd – Sd mergers at 6 Gyr and all types of late mergers (at $`\mathrm{t}9`$ Gyr) remain too blue.

### 4.5 Discussion

Note that we show the $`1\sigma `$ range of the local S0 galaxy population in all of our plots and so our models also describes average luminosity progenitor galaxies. Hence, some of the models marginally missing the local S0 $`1\sigma `$ box in therms of luminosity may still describe valid ways to transform spirals into S0s. Within infalling groups, it is, of course, also possible that more than two galaxies may merge during their infall into a cluster, giving rise to a bright S0 galaxy.

The results of our photometric study are in good agreement e.g. with Jones et al. (2000) who also quote star formation truncation as the dominant transformation process from field spirals to cluster S0s from analysis of spectral features and HST morphologies of S0 galaxies in clusters at redshift 0.3 – 0.6. Our conclusions confirm their results obtained for the brighter part of the S0 population accessible to spectral analyses and goes beyond that study in the inclusion of the fainter part of the local S0 population. On the other hand, more than 40% of the S0 galaxies in the Coma cluster are found to show evidence for star formation in their central regions during the last $`5`$ Gyr by Poggianti et al. (2001b) from spectroscopic analyses, in particular at fainter luminosities, pointing towards a starburst prior the star formation truncation, complementing our findings that most pure star formation truncation models have remnants fainter than average S0 galaxies.

Poggianti et al. (2001a) find that the fraction of present-day luminos galaxies that had significant SF between z=2 and z=0.35 is higher than for lower luminosity galaxies. This as well, is in agreement with ourresults that luminous S0s must have had starbursts earlier in their evolution while lower luminous ones may also result from pure SF truncation.

We conclude that two scenarious may be responsible for the transformation of field spiral galaxies colors and luminosities into those of S0s. Starbursts and possibly even spiral-spiral mergers seem necessary for the luminous part of the cluster S0 population while SF truncation without any significant preceding enhancement may explain the lower luminous S0s.

Our finding that S0 galaxies in clusters may result from starbursts in spirals at all ages below about 9 Gyr is not surprising in the sense that more recent bursts may still show features of postburst galaxies and hence not be classified as S0s. Our result that SF truncation, on the other hand, if occuring too early, would make galaxies redder than observed for today’s S0s, may have to do with the fact that the hot and dense ICM in the centers of galaxy clusters thought to be responsible for sweeping the gas out of the infalling spirals needs time to pile up and may not be efficient in truncating SF before $`\mathrm{z}\mathrm{0.5\; .\; .\; .\; 1}`$.

## 5 Conclusions and Outlook

The fraction of S0 galaxies in clusters is observed to significantly depend on the redshift of the cluster. In nearby clusters the fraction of S0 type galaxies is about 40 %, whereas in clusters up to z=0.5 it decreases by a factor 3 to 4. Various interaction processes have been discussed that might act to transform spirals from the field galaxy population falling into a cluster into passive S0 galaxies. Starbursts may be triggered by shock waves caused in the ISM when a galaxy falls into the hot dense cluster ICM or by mergers within groups of infalling galaxies. Star formation truncation, on the other hand, may occur in galaxies which lose their gas by tidal interaction or by ram pressure stripping when falling into a cluster.

In this paper we study the origin of S0 galaxies in clusters by means of photometric evolutionary synthesis. Our models calculate the time evolution of global luminosities U, …, K and colors, as well as of the stellar and gaseous content of various types of undisturbed spiral galaxies Sa – Sd. These are parameterized by their respective appropriate star formation histories and models are normalized to reproduce, after $`12`$ Gyr of evolution, the average B-band luminosity locally observed for the respective spiral type. We computed a grid of models for spiral galaxies falling into a cluster and having their SFRs affected by starbursts and/or star formation truncation occurring at various evolutionary times. The luminosities and colors of the disturbed galaxies at an age of $`12`$ Gyr are compared to the average observed photometric properties (B-band luminosity, (B–V), (U–B), and (V–K) colors) of local S0 galaxies. Our aim was to find out which of the disturbed models reach the color and luminosity range of S0 galaxies in the Virgo and Coma clusters and, hence, to constrain the manifold of transformation processes.

We find that many of our disturbed galaxy models do evolve into the color and luminosity range of local S0 galaxies.

* The strongest constraint is that the SFR after the interaction has to go to zero. Models with even low-level ongoing SF after a burst or after SF truncation remain too blue. If before the total SF truncation a burst occurs, even a strong one, or not, is of minor importance.
* All spiral galaxy types Sa – Sc with starbursts that occurred more than 3 Gyr ago reach S0 galaxy colors and luminosities by today. Sd galaxies with early or late bursts are too faint or too blue, respectively.
* Sa models with SF truncation at ages between 6 and 9 Gyr well account for the photometric properties of present-day S0s. Sb galaxies with SF truncation at 6 or 9 Gyr and Sc galaxies with SF truncation at 9 Gyr may account for the lower luminosity part of the S0 population. Sd galaxies with SF truncation at any time are too faint.
* The strength of a starburst is not an important factor for the development of photometric resemblance to S0 galaxies as long as the SFR after the burst declines enough.
* We find that photometric constraints leave two scenarios viable for the transformation of field spirals into cluster S0s: while low luminosity S0s may be the result of simple SF truncation in spirals earlier than Sd, the higher luminosity S0s require starbursts or even mergers prior to SF extinction.
* Our results imply a difference in the cosmological epoch of the transformation of field spirals to cluster S0s in the two scenarios. Starbursts occuring in spirals at all ages lower than about 9 Gyr leave remnants with average S0 colors while SF truncation should not occur at epochs earlier than $`\mathrm{z}0.5,\mathrm{.\; .\; .\; 1}`$ in order not to make the remnants redder than present-day S0s. This may be related to the fact that the hot and dense ICM thought to be responsible for sweeping the gas out of the infalling spirals and truncating SF may not yet be efficient at earlier epochs.

Our photometric evolutionary synthesis approach is meant to complement dynamical simulations and studies of spectral features. A more detailed analysis of the redshift evolution of the properties and relative numbers of S0 galaxies in clusters will be the next step in our attempt to constrain possible evolutionary paths from the spiral-rich field galaxy population to the S0-rich local cluster population. Spectral modeling including evolutionary and cosmological corrections will have to be compared to observations throughout clusters of various richness, degree of relaxation, and redshift.

###### Acknowledgements.

We thank our referee, Dr. Bianca Poggianti for a very prompt, insightful and constructive report.