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# A Substellar Mass Function for Alpha PerBased on observations collected with the Kitt Peak National Observatory, USA, and the Hispano-German Observatory of Calar Alto, Spain

## 1 Introduction

In an ongoing effort to discover low-mass stars and brown dwarfs (BDs) belonging to young open clusters, we have studied the association Alpha Per. This is well-known nearby cluster with (m-M)0=6.23 (176 pc). The interstellar reddening is also low, AV=0.30 (Pinsonneault et al. 1998). The normally quoted age for the cluster, based on isochrone fitting of the upper main sequence (MS), is of order 50 Myr (cf. Meynet et al. 1993), though models with a larger amount of convective core overshoot can yield ages up to about 80 Myr (Ventura et al. 1998). Recently, using the data we published in a preliminary study of the BD population of the cluster (Stauffer et al. 1999), we estimated the age as 90 Myr, based on the location of the lithium depletion boundary. The theoretical background to this method can be found in Kumar (1963) and D’Antona and Mazzitelli (1994), and when applied to the Pleiades (Basri et al. 1996, Rebolo et al. 1996; Stauffer et al. 1998a) and IC 2391 (Barrado y Navascués et al. 1999) has also yielded ages $``$50% older than previously assumed. A review of these results may be found in Basri (2000).

During the last years, different clusters and star forming regions have been studied intensively and their BD population revealed. The Pleiades, Alpha Per cluster, IC2391, M35, NGC2516, Taurus, the Trapezium cluster, Sigma Orionis cluster, Cha I dark cloud, Upper-Sco OB association, and IC348 have been investigated (Rebolo et al. 1995; Festin 1997; Bouvier et al. 1998; Stauffer et al. 1998ab, 1999; Briceño et al. 1998; Barrado y Navascués et al. 1999, 2001ab, 2002; Neuhäuser & Comeron 1999; Zapatero-Osorio et al. 1999, 2000; Lucas & Roche 2000; Luhman 1999, 2000; Martín et al. 1999, 2000, 2001; Béjar et al. 2001; Pinfield et al. 2000; Ardila et al. 2000; Najita et al. 2000; Moraux et al. 2001; et cetera). All these works show that BDs are quite numerous and that the mass function (MF) usually presents an increase for very low-mass objects. In any case, the total mass below the substellar limit only contributes a few percent to the total mass of the parent cluster, at least in the case of the Pleiades ($``$3-5 %, Bouvier et al. 1998, Hodgkin & Jameson 2000). However, it is not clear whether this MF is universal and this result can be extrapolated to other young clusters.

In this paper, we present a new deep, wide-field optical survey of the Alpha Per cluster. We have followed-up the optical candidates in the near-infrared using new infrared imaging data and the 2MASS catalogue (Skrutskie et al. 1997). Using this wealth of data, we have been able to establish the presence of a substantial population of BDs in the cluster, and derived its substellar MF.

## 2 Observations

### 2.1 Optical survey

We obtained deep optical imaging of the Alpha Per open cluster using the KPNO 4-m CCD mosaic camera, MOSA, on November 19–22 1998. Field centres were selected in order to cover as much of the central part of the cluster as possible while avoiding the brightest stars in the field (Table 1). All of the images were obtained with the facility $`R`$ and $`I`$ filters. Weather during the run was variable: Nov. 19 was generally overcast with periods of only moderate cirrus; Nov. 20 was clear but with extremely poor seeing; Nov. 21 was clear with good seeing; and Nov. 22 was again partly cloudy. In order to provide calibrated photometry for all stars, we overlapped the survey fields so as to provide photometric calibration even for fields whose deep images were obtained through light cirrus. The average seeing for the deep images was of order 1.0 arcseconds. For most fields, we obtained two 900 second $`R`$ images and two 420 second $`I`$ images; a few of the fields just designed to tie together the photometry were only observed with 100 or 200 second exposures. In all, we obtained deep imaging of 13 fields, thus corresponding to a total area on the sky of order 3 square degrees. Photometric calibration was derived from short exposures of three Landolt (1992) fields in SA92, SA98 and SA101. Initial results from analysis of the shorter exposures obtained during this run were reported by Stauffer et al. (1999).

### 2.2 Infrared follow-up

In addition to the KPNO/MOSA observations, we undertook several infrared observing campaigns at the Hispano-German Calar Alto Observatory in order to obtain additional data for candidate cluster members (see section 3.2). These runs included November 22–23 1999, using Omega-Cass (10242 pixels, 0.3 arcsec/pixel) on the 3.5-m telescope; February 16–21 2001 and November 6–7 2001, using MAGIC (2562 pixels, 0.64 arcsec/pixel) on the 2.2-m telescope; and December 11–14 2000 and December 28–31 2001 using Omega-Prime (10242 pixels, 0.4 arcsec/pixel) on the 3.5-m telescope. We observed a total of 53 Alpha Per candidates in the magnitude range $`K`$=13.0–19.2 magnitudes, equivalent to $`I`$c=15.7–21.7 magnitudes. All were observed in the $`K`$ filter, while 24 were also measured at $`J`$, and a handful also at $`H`$.

We also searched the 2MASS point source catalogue (Skrutskie et al. 1997), in order to extend the infrared data coverage. Unfortunately, the present version of the 2MASS catalogue does not completely cover the Alpha Per cluster, due to gaps between the scans in that part of the sky. Moreover, the 2MASS survey does not go deep enough to detect all faint candidates in our survey. In summary, 47 of our candidates were found in the 2MASS catalogue; 25 additional candidates lie in the non-covered areas; and 21 are too faint to have been detected.

In total, all but two BD candidates derived from the optical KPNO MOSA data also have near-infrared photometry. Table 3 lists all available photometry.

### 2.3 Previously known Alpha Per members

In the following analysis of membership, we have also included previously-discovered photometrically-selected members of the cluster (Stauffer et al. 1999). Some of these also have low- and medium-resolution spectroscopy which supports their membership. We also searched the 2MASS catalogue for infrared photometry for these previously-known members (Table 2), for comparison with our MOSA-selected sample. Note, of course, that Alpha Per cluster contains other brighter and more massive members not analysed here (Stauffer et al. 1986, 1989; Prosser 1992, 1994, 1998).

## 3 Analysis

### 3.1 Optical photometry and coordinates

Raw photometry was derived using PSF–fitting, and calibrated using several standard stars (see section 2.1). We computed the initial coordinates by transforming the X,Y positions of each CCD to $`\alpha `$, $`\delta `$ using field stars with known coordinates. The accuracy of this astrometry is better than 1 arcsec. Following this, we searched for the 2MASS counterparts, and when available, we used the much more accurate 2MASS astrometric positions in Table 3.

Our KPNO/MOSA optical data cover the range 16$``$$`I`$c$``$22.5, 0.0$``$($`R`$-$`I`$)c$``$3.5. Figure 1 allows an estimation of the completeness limits. We have displayed two histograms with the number of detections in the $`R`$c and $`I`$c filters in a logarithmic form. The detections limits are located at the points where the histograms diverge from the straight lines (Wainscoat et al. 1992; Santiago et al. 1996). This is true for a region where field stars dominate the overall population, as in the case of the Alpha Per cluster (many more field stars than cluster members in a particular area). Therefore, for cluster members, we estimate that $`I_{complete}`$$``$20.75 mag, $`R_{complete}`$$``$21.9 mag. However, since the $`R`$c filter effectively limits the completeness for cluster members, the actual values are $`I_{complete}`$$``$19.5 mag, $`(RI)_{complete}`$$``$2.4. The detection limits reach $`I_{limit}`$$``$22.5 mag, $`R_{limit}`$$``$25.5 mag.

### 3.2 Optical colour-magnitude diagram

Figure 2 displays all the detections within our MOSA survey area. The straight dashed line denotes the position of a fiducial main sequence (i.e., the criterion we have used to select candidate members of the cluster). This line is an empirical zero age main sequence, shifted to fit the locus of previously known Alpha Per members. A total of 260,000 stars were detected, by far the majority of them field stars, fairly well separated from the cluster population by a fairly wide gap. This gap is not as sharp however as is seen in the Pleiades (Figure 2 of Bouvier et al. 1998), and thus we anticipate a stronger contamination of the cluster population in Alpha Per compared to the Pleiades: the latter cluster has a contamination of $``$30% (Bouvier et al. 1998; Martín et al. 2000; Moraux et al. 2001).

We have selected 94 candidate members based on the optical CMD. Since some of our fields overlap with each other, some of them have been detected twice, showing similar photometry. The candidate members are listed in Table 3. Figure 3a displays their location in an optical CMD. Bona fide members from Stauffer et al. (1999), based on optical-infrared data and spectroscopy are shown as thick crosses. Thin crosses denote the location of new candidates with no infrared data. Non-members, based on the new available data (see next section), appear as asterisks. Finally, possible and probable new members are shown as solid squares and circles, respectively. Also plotted are three 80 Myr isochrones from Baraffe et al. (1998) and Chabrier et al. (2000) (NextGen model as long-dashed line, Dusty model as dotted line, and Cond model as short-dashed line), along with a Leggett (1992) empirical main sequence for the cluster, plotted as a solid line. The $`I`$c magnitudes of Alpha Per members with different masses, derived with a 80 Myr NextGen isochone, are also indicated.

Note that all colour-magnitude and colour-colour diagrams presented in this paper (this and next subsections) have made use of the following reddening values: AI=0.179, AJ=0.085, AK=0.034, and E($`V`$-$`I`$c)=0.121, E($`R`$-$`I`$)c=0.067, E($`I`$c-$`J`$)=0.094, E($`I`$c-$`K`$)=0.145, and E($`J`$-$`K`$)=0.051. These values were derived from AV=0.30, RV=3.12 and the interstellar extinction law and transformation equation between filters and systems published by Rieke & Lebofsky (1985) and Taylor (1986).

### 3.3 Infrared data and membership selection

Alpha Per candidate members brighter than I=18.5 are expected to be detected by the 2MASS survey (Skrutskie et al. 1997), which reaches about $`K`$$``$15. We have searched in this database and extracted the IR photometry for them. However, 2MASS has several patches in the Alpha Per area, with gaps between the images and some of our candidates were not observed. For objects at the faint end of 2MASS and fainter than it, we have carried out our own deep IR observations. All these data are listed in Table 3.

Figures 3b, c, and d show optical/IR-colour magnitude diagrams for the candidates derived from the KPNO, Calar Alto, and 2MASS data (Table 3). Symbols are as in Figure 3a (see key or section 3.2). As in the case of panel a, a reddening vector for AV=2.0 has been included for comparison purposes. Note that neither of the two isochrones fully agree either with the new MOSA data or with the previously discovered bona fide members (Stauffer et al. 1999). This is perhaps not unexpected, as even these models which include state-of-the-art model atmospheres do not as yet accurately reproduce the optical SED’s for late type stars and hence, in particular, the R band magnitudes are only approximate for the very cool objects in our figures. Figure 4 shows an optical-infrared colour-colour diagram for the same sample. The solid line corresponds to an empirical main sequence based on Leggett (1992) data. Objects with full agreement between their photometric locations in the four colour-magnitude diagrams and those expected for bona fide cluster members are henceforth classified as probable cluster members. Others, with slight disagreements in their photometry are classified as possible members. Finally, some (shown as asterisks) could be readily rejected as cluster members. The classification of each object is shown in the last column of Table 3. Out of the initial 94 candidates, more than half (54) have been classified as probably cluster members and 12 as possibles, while 26 objects turn out to be non-members. The remaining 2 candidates do not have infrared photometry and cannot be classified. Thus, the contamination of the sample lies in the range 30–45%, similar or larger than in the case of the Pleiades (Bouvier et al. 1998; Martín et al. 2000; Moraux et al. 2001).

### 3.4 Luminosity and Mass Functions

#### 3.4.1 Luminosity Function

We have computed the cluster luminosity function (LF) at the end of the main sequence. We have done this both before and after rejecting the non-members from our initial membership list. The LF is illustrated in Figure 5, where we represent the histograms computed with the initial and final candidate members as solid circles (solid and dashed lines, respectively) and a control group of objects selected in the same fashion, but with colours bluer than them, with an arbitrary shift of $`\mathrm{\Delta }`$($`R`$-$`I`$)=–0.2 mag. Based on this selection criterion, the vast majority of the comparison sample should be field stars, at a distance similar to that of the cluster stars. The dotted segment represents the location of the completeness limit, which corresponds to $``$0.05 M. Poisson noise for each value is represented with the vertical error bar. Note that apparent $`I`$c magnitudes are displayed at the bottom x-axis, whereas absolute magnitudes are represented at the top x-axis. The Alpha Per cluster LF presents two peaks (at this magnitude range): one at M(Ic)$``$10 and another at 14.5 magnitudes. In the first case, the peak appears both in the Alpha Per member list and in the control group described above. In the second case, the sample is not complete, and it could be strongly influenced by pollution by spurious members, as the comparison with the control group suggests. Note that the peak at M(Ic)$``$10 is present in some other young clusters, including the Pleiades (Zapatero Osorio 1997), but not all, for example, NGC 2516 (Jeffries et al. 2001; Barrado y Navascués et al. 2002), a rich, $``$125 Myr old cluster that is either slightly metal deficient (Jeffries et al. 1997, 1998, 2001) or approximately solar metallicity (Debernardi and North 2001; Terndrup et al. 2002). The peak in the LF for NGC2516 appears to occur about a magnitude fainter than for the Pleiades and Alpha Per (that is, at about M(Ic)$``$11). Another similar age cluster, M35, appears to have the peak occur at about M(Ic)$``$9 (Barrado y Navascues et al 2001a). Therefore, the exact absolute magnitude of the peak does not seem to be universal, at least for 100-200 Myr clusters.

The gap in the Alpha Per LF at M(Ic)$``$12.5 (corresponding to M6-M8 spectral type or about 0.055 M for an age of 80 Myr) has been also found in other clusters. This is the case of the young cluster IC2391 (Barrado y Navascués et al. 2001b). Jameson (2002) noticed that this gap, which appears at about M7 spectral type, is present in clusters with ages ranging from few million years (Sigma Orionis cluster), up to at least seven hundred million year (Praesepe). It is clearly seen in the Pleiades too. They suggested that it could be related to the formation at these temperatures of large dust grains, although it might be related to some specific behavior in the luminosity–mass relationship or to the formation mechanism of these low mass objects (the efficiency of the fragmentation and collapse for cores with this mass range within the parental molecular cloud).

#### 3.4.2 Mass Function

We have computed the Mass Function of the Alpha Per cluster using the non-dusty (Next-Gen) models by Baraffe et al. (1998) Note that the global behavior of the MF is not strongly affected by the particular set of isochrones, as we have shown in the case of M35 (Barrado y Navascués et al. 2001a) and NGC2516 (Barrado y Navascués et al. 2002), using evolutionary tracks from Baraffe et al. (1998), D’Antona & Mazzitelli (1994, 1997) and Siess et al. (2000). In order to assess the effects of contamination by field stars in our survey, and biases due to incomplete coverage in the infrared, we have estimated the MF based on several different subsamples of the candidate list. For the first sample, we used the full candidate list derived from the optical data only. In the second, we removed definite non-members. In the third, we removed sources without infrared photometry. Finally, in the fourth, we included only those sources classified as probable cluster members. All four derived MFs are shown in Figure 6 along with the MF for the Pleiades (Bouvier et al. 1998; Moraux et al. 2001; Zapatero Osorio et al. 2002).

Overall, the behaviour of the Alpha Per cluster MF is very similar to that of the Pleiades, both in the overlapping mass range and for less massive brown dwarfs. However, the MF of the Alpha Per cluster shows some possible structure, with a dip about 0.055 M and a drop beyond 0.035 M, regardless the cluster age in the range 50–100 Myr (see next paragraph). Unfortunately, the uncertainties are large, the completeness limit of our MOSA survey is about 0.050 M, and there is significant pollution by field stars below this mass (peaking at about 0.030 M).

Figure 7 shows several realisations of the Alpha Per MF as a function of age (50, 80, and 100 Myr), using the complete list of candidates minus the definite non-members (Section 3.2). MFs have been derived for both the non-dusty Baraffe et al. (1998) and Burrows et al. (1997). Masses were derived either from the M($`I_c`$) magnitude (Baraffe et al. 1998 list these values) or from the bolometric luminosities (after Monet et al. 1992). It is readily seen that the slope, within the uncertainties, and the general shape of the cluster MF is essentially independent of the adopted age or the model. The exact mass of the dip in the MF (assuming it is real), however, does shift slightly depending on the age.

When defining the MF as $`\varphi `$$``$$`M^\alpha `$ (or more properly, the mass spectrum), the spectral index $`\alpha `$ indicates the slope in the diagram we show in Figure 6. We have fit a power law function to this MF, obtaining $`\alpha `$=0.59$`\pm `$0.05. For the Pleiades, this index is 0.6, as derived by Bouvier et al. (1998). See also Martín et al. (2000); Hodgkin & Jameson (2000); Moraux et al. (2001); Zapatero Osorio et al. (2002) –$`\alpha `$=0.75; and references therein. Two of the Pleiades MFs are shown in Figure 6. Béjar et al. (2001) have derived a MF for the younger cluster Sigma Orionis, about 5 Myr, down to the planetary mass domain at $``$0.013 M. This MF is shown in Figure 7. The spectral index of Sigma Orionis cluster ($`\alpha `$=0.8$`\pm `$0.4) also agrees quite well, within the uncertainties, with both Alpha Per cluster and the Pleiades. Note that the Alpha Per data corresponding to the gap at 0.055 M have not been included in this fit. In any case, independently of the power law index of the MF, Figures 6 and 7 clearly show that the MF keeps rising well below the substellar limit for Alpha Per cluster.

### 3.5 Brown dwarfs in the cluster

Recently, both Stauffer et al. (1999) and Basri & Martín (1999) searched for evidence of BDs in the Alpha Per cluster. Previously, Rebolo et al. (1992) and Zapatero Osorio et al. (1996) tried, without success, to find them in this association. Stauffer et al. (1999) included both low and medium resolution spectroscopy, and some infrared photometry, establishing the location of the lithium depletion boundary (with the lithium age of the cluster, 90$`\pm `$10 Myr) and the member list of bona fide members (based on rough radial velocity, lithium detection, H$`\alpha `$ emission, spectral types, et cetera). Since their spectroscopic data go down to $`I`$c=18.7, and the stellar/substellar boundary is located at $`I`$c=18.2 (Baraffe et al. 1998), they were able to catalogue 2 objects as probable brown dwarfs (another 3, which were catalogued as possible members, could also be BDs). In our new MOSA sample, there are 27 objects below the substellar frontier. Out of these 27 objects, 11 have infrared photometry which indicates that they are probable members of the cluster and, therefore, brown dwarfs. Another 5 have been classified as possible members and could be BDs if their membership is confirmed. The minimum mass is 0.035 M. Therefore, it seems likely that we have discovered a substantial population of BDs in the Alpha Per cluster. Note that it is difficult to use the proper motion method to establish Alpha Per membership, since its proper motion (22.93 mas/yr in $`\alpha `$ and –25.56 mas/yr in $`\delta `$, Robichon et al. 1999), is large enough to be measured, but is also shared by a large fraction of the field stars (see, e.g., Prosser 1992). Therefore, only additional spectroscopic data (or better, a combination of optical and infrared photometry, proper motions and spectroscopy) will demonstrate beyond any reasonable doubt that the faint objects listed in our sample are, indeed, brown dwarfs.

## 4 Summary

Optical and near infrared photometry have been used to select a list of probable and possible low-mass members belonging to the young cluster Alpha Per, unveiling a large population of brown dwarf candidates. This information has been used to derive the luminosity and mass function of the cluster in the substellar domain. The index of the mass function, $`\alpha =0.59`$, is very similar to that determined for the Pleiades (120 Myr) and $`\sigma `$ Orionis (2–8 Myr) clusters.

###### Acknowledgements.

DBN and JRS acknowledge the hospitality of the Observatoire de Grenoble during the preparation of this paper. We thank D. Montes for his help collecting part of the IR data and M.R. Zapatero Osorio for her comments on an early version of this paper. JB, NL, and MJM acknowledge support from the EC Research Training Network “The Formation and Evolution of Young Stellar Clusters” (HPRN-CT-2000-00155). This work has been partially financed by Spanish “Programa Ramón y Cajal” and AYA2001-1124-CO2 programs.


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# Infrared study of the 𝜂 Chamaeleontis cluster and the longevity of circumstellar discs

## 1 Introduction

Circumstellar discs are a natural by-product of the star formation process (e.g. Shu, Adams & Lizano 1987). Lada et al. (2000) found that 97 percent of the optical proto-planetary discs in the Trapezium cluster exhibit excess in the JHKL  colour-colour diagram, indicating that the most likely origin of the observed IR excesses are the circumstellar discs. The disc lifetime  derived by examining the fraction of IR excess stars (the disc fraction ) of young stellar populations as a function of age provides an empirical limit on the duration of the disc accretion phase. This is critical for understanding the evolutionary paths followed by PMS stars in the HR diagram, their angular momentum histories, and the timescales available for planet building (e.g. Hartmann et al. 1998; Hillenbrand et al. 1998; Telesco et al. 2000).

Considerable debate has waged concerning the longevity of discs around low mass PMS stars. The effort is difficult because samples are often incomplete and biased: CTT stars are typically located by H$`\alpha `$ and near-IR excess surveys, while WTT stars are mostly found through X-ray surveys (Feigelson & Montmerle 1999). An influential early study on the timescale for disc dissipation by Strom et al. (1989), based on several dozen PMS stars in the Taurus-Auriga complex, reported the CTT/WTT transition occurs around an age $`t3`$ Myr. This result is supported by a recent JHKL  survey of 7 clusters with mean ages from 0.5 to 5 Myr that shows half the stars lose their discs within 3 Myr and essentially all lose their discs in 6 Myr (Haisch, Lada & Lada 2001). At a later age of $`t13`$ Myr, only 1/110 Sco-Cen late-type stars show spectroscopic CTT emission lines and $`K`$-band excesses (Mamajek, Meyer & Liebert 2002).

However, other studies suggest discs are more enduring. No evolution in disc fraction is found in the stellar populations of the Orion Nebula Cluster from $`t<0.12`$ Myr (Hillenbrand et al. 1998), and in NGC 2264 from $`t<0.15`$ Myr (Rebull et al. 2002). The Chamaeleon I cloud population, where the sample is enhanced through X-ray and ISO  surveys, shows no difference in the age distribution of CTT and WTT stars from $`t<110`$ Myr (Lawson, Feigelson & Huenemoerder 1996). Spectroscopic study of the $`10`$ Myr-old TW Hydrae Association members found active accretion in 2 stars; TW Hya and Hen 3-600A (Muzerolle et al. 2000), albeit at mass accretion rates $`12`$ magnitudes lower than is derived for younger accreting systems.

The measurement of disc lifetimes is muddied by several other issues. First, despite the broad overlap in CTT and WTT age distributions, few intermediate cases are known suggesting that the transition between the two states is rapid (Wolk & Walter 1996). Secondly, some studies suggest that two disc lifetimes must be considered; one associated with a rapid decline in accretion onto the star and another associated with a slower dissipation of the outer disc (Clarke, Gendrin & Sotomayor 2001). Third, efforts to reconcile rotational distributions of both PMS and zero-age main sequence stellar clusters assuming star-disc rotational coupling during the accretion phase have deduced relatively long $`1015`$ Myr disc lifetimes for slowly rotating stars (Bouvier, Forestini & Allain 1997; Tinker, Pinsonneault & Terndrup 2002), but $`3`$ Myr disc lifetimes may suffice if the stellar interiors have sufficient radial differential rotation (Barnes, Sofia & Pinsonneault 2001). Finally, the astrophysical processes leading to disc dissipation are highly uncertain. Possible mechanisms include accretion onto the star, bipolar outflow, stellar winds, photoevaporation, close gravitational encounters and incorporation of disc material into planets (see the review by Hollenbach, Yorke & Johnstone 2000).

The recently discovered $`\eta `$ Chamaeleontis cluster has the potential of clarifying some of the observational issues. It is a nearby ($`d97`$ pc), compact (extent $``$1 pc) and coeval ($`t=9\pm 1`$ Myr; Lawson & Feigelson 2001) system of PMS stars with a small (15 known primaries) population of stars spanning a relatively large range in mass ($`M=0.23.4`$ M; Mamajek, Lawson & Feigelson 1999, 2000; Lawson et al. 2001, 2002). The cluster includes $`\eta `$ Cha (spectral type B8), HD 75505 (A5), the A7+A8 binary and $`\delta `$ Scuti system RS Cha, 11 WTT stars (K5$``$M4) and 1 CTT star (M2). Importantly, this census is known to be virtually complete in the inner region from a combination of a deep $`ROSAT`$ exposure, optical photometry and proper motion study of the field. Unlike most other PMS populations, these membership criteria are independent of the presence or absence of circumstellar discs. We can thus use the $`\eta `$ Cha population as an unbiased laboratory to investigate the fraction of IR excess and accretion at a critical intermediate-age phase of disc evolution.

## 2 Observations and Data Reduction

A $`L`$-band (3.5 $`\mu `$m) map of the $`\eta `$ Cha cluster was made during 1999 July $`2628`$ with the 0.6-m South Pole Infrared Explorer (SPIREX) telescope, using the Abu camera which had a 1k $`\times `$ 1k InSb detector array. The Abu camera had a plate scale of 0.6 arcsec pixel-1, giving a field-of-view (FOV) of 100 arcmin2. Our observations were conducted in good conditions with below-average background levels. The raw data frames were pipeline-reduced at the Rochester Institute of Technology before being delivered to us. Using custom IRAF routines written for the SPIREX/Abu system, we then merged the multiple dithered images made of each field into single frames for further analysis.

JHKN-band images of the cluster members were obtained during 2002 March $`25`$ with the Cryogenic Array Spectrometer/Imager (CASPIR) on the 2.3-m telescope operated by Mount Stromlo and Siding Spring Observatories (MSSSO). CASPIR uses a 256 $`\times `$ 256 InSb detector array and we selected a FOV of 4.5 arcmin2 giving a resolution of 0.5 arcsec pixel-1. Our observations were obtained under photometric conditions in $`<2`$ arcsec seeing. The CASPIR images were linearized, sky-subtracted and flat-fielded using customized IRAF routines based on, e.g. ccdproc.

The SPIREX and CASPIR images were analysed using photometric routines (such as phot) running within IRAF. Fluxes were extracted and calibrated by comparison to standard stars listed on the SPIREX homepage111See the SPIREX homepage at http://pipe.cis.rit.edu/. and IRIS Photometric standards (Carter & Meadows 1995), respectively.

Examination of the image profiles for the early-type cluster members ($`\eta `$ Cha, RS Cha and HD 75505) suggested the onset of saturation in the CASPIR $`J`$ and $`H`$ frames. For this reason we obtained JHKL  photometry (in the SAAO system; Carter 1995) for these 3 stars (JHK  only for HD 75505) using the 0.75-m telescope and Mark II IR photometer at the South African Astronomical Observatory (SAAO). These data, along with measurements of IR standard stars, were obtained during the week of 2002 April 30 to May 6. The SAAO KL  data shows close agreement ($`\pm 0.03`$ mag) to the CASPIR $`K`$ and SPIREX $`L`$ data except for the $`L`$-band measurement of RS Cha, which we discuss below.

Table 1 lists the JHKL  photometry of the $`\eta `$ Cha cluster members. We adopt 1$`\sigma `$ uncertainties of 0.03 mag for the SAAO JHK  and the CASPIR JHKN data. For the brighter $`L`$-band sources ($`L<9`$) we adopt a 1$`\sigma `$ uncertainty of 0.05 mag. Fainter $`L`$-band magnitudes are uncertain by 0.1 mag. For several RECX stars we can compare our observations to on-line DENIS JK  observations and to JHKL  data published by Alcalá et al. (1995). In most cases, the magnitudes differ by $`<0.1`$ mag, which we consider to be insignificant given differences between IR photometric systems, and the intrinsic variability of these stars (Lawson et al. 2001). A special case is the eclipsing binary RS Cha. Using the ephemeris of Clausen & Nordström (1978) we find the SPIREX $`L`$-band measurement was obtained during the secondary eclipse, whereas the CASPIR and SAAO magnitudes were obtained at maximum light.

In the following sections we make use of the SAAO photometry for the 3 early-type stars; otherwise we adopt our CASPIR and SPIREX observations. Colours derived from the individual magnitudes were transformed to the ‘homogenized’ IR system of Bessell & Brett (1988) making use of equations provided by Bessell & Brett (1988) and McGregor (1994, 1997). For ($`JH`$) and ($`HK`$) colours derived from the CASPIR photometry, the correction is small ($`<0.02`$ mag). No correction was applied to the (CASPIR $`K`$ – SPIREX $`L`$) colour due to the mix of photometric systems, and any correction is likely swamped by the $`0.050.1`$ mag uncertainty in the $`L`$-band photometry. For colours derived for the early-type stars from SAAO photometry, the effect of transforming the colours from the SAAO system to the ‘homogenized’ system is a correction of $`0.02`$ mag.

## 3 Analysis of results

### 3.1 The infrared colour excess as a disc indicator

Colour-colour diagrams, constructed from multi-wavelength IR photometric and imaging surveys, have been shown to be a powerful tool for identifying IR excesses and circumstellar discs around stars in young clusters and star-forming regions. In particular, $`L`$-band data combined with shorter wavelength observations permits evaluation of the fraction of sources with IR excess emission from circumstellar discs – the disc fraction  (see, e.g. Haisch, Lada & Lada 2000; Kenyon & Gómez 2001; Lada et al. 2000). As Kenyon & Gómez (2001) convincingly showed in their SPIREX $`L`$-band study of the Cha I molecular cloud, $`L`$-band photometry is nearly essential for a meaningful evaluation of the disc fraction in a young stellar population. JHK  observations alone do not extend to a long enough wavelength range to enable a complete or unambiguous census of circumstellar discs in young clusters. Data obtained at 3.5 $`\mu `$m provides more contrast relative to photospheric emission from the central star compared to the shorter wavelength observations.

Figure 1 shows (a) JHK  and (b) JHKL  colour-colour diagrams of the $`\eta `$ Cha cluster members. All 15 cluster members are shown in Figure 1(a). Only 14 are shown in Figure 1(b); the M4 cluster member ECHA J0841.5-7853 was not observed at $`L`$ band. In these diagrams the solid curves are the locus of colours corresponding to main-sequence stars of spectral types B8 – M5 (Bessell & Brett 1988), which encompasses the range of spectral types of the cluster members. In each figure, the dashed parallel lines define the reddening bands derived from relationships given by Bessell & Brett (1988), where $`E(JH)`$/$`E(HK)=1.95`$ and $`E(JH)`$/$`E(KL)=2.47`$, respectively.

Stars which lie in the right of the reddening band, after due consideration of uncertainties in the reddening law and in the photometry, are IR excess objects and therefore circumstellar disc candidates. As Kenyon & Gómez (2001) found in their study of Cha I, only those stars with the largest IR excesses fall to the right of the reddening band in the JHK  plane, whereas many more stars fall to the right of the reddening band once $`L`$-band data is available. If photometric errors were negligible, we could count all late-type stars with ($`KL`$) immediately to the right of the reddening band; however with $`0.050.1`$ mag uncertainties in the $`L`$-band data, we count only those late-type stars with ($`KL`$) colours 0.1 mag redder than the reddening band as IR-excess objects. This criterion also largely eliminates uncertainty in the reddening law as a contributor to the disc fraction, as the reddening line is almost constant in ($`KL`$) colour over the narrow range of ($`JH`$) colours for the late-type stars.

From Figure 1(b), the ‘gap’ in the ($`KL`$) colours between 0.34 and 0.49 allows us to count 7 stars as the most likely number of IR excess objects in the low-mass population222This criterion is similar to that adopted by Kenyon & Hartmann (1995) for PMS stars in the Taurus-Auriga molecular cloud, where ($`KL`$) = 0.4 delineated the disced and the discless populations.. To estimate the uncertainty in this number, we calculated the variation in the number of stars if the photometric uncertainties are considered at the 2$`\sigma `$ level, i.e. twice the level of the adopted photometric errors (see Section 2). Now we find $`7\pm 2`$ could be counted as IR excess objects.

Use of standard IR colour-colour diagrams such as Figure 1(b) could lead to an under-estimate of the disc fraction since K-type stars need to have a colour excess $`\mathrm{\Delta }(KL)>0.3`$ to be counted, whereas late-M stars need only $`\mathrm{\Delta }(KL)>0.1`$. An alternative IR colour-colour diagram which largely eliminates this problem is shown in Figure 2. In this plane the reddening band is narrow, and the reddening vector is parallel to the main-sequence, enabling stars to be counted using the ($`KL`$) excess as the criterion. For $`\mathrm{\Delta }(KL)>0.25`$ above the main-sequence line of Bessell & Brett (1988), we count the same 7 stars as the most-likely IR excess objects. If we adopt the same 2$`\sigma `$ error budget as above, we again count $`7\pm 2`$ as the range of IR excess stars. Also, as the faint cluster member ECHA J0841.5–7853 has JHK  colours consistent with its M4 spectral type, it is unlikely to have a large IR excess, and so we conclude $`7\pm 2`$ out of the 12 known late-type members are IR excess objects.

For the 3 early type stars, we may be justified in defining a lower colour excess as being significant. $`\eta `$ Cha is a $`\beta `$ Pic-disc source, and with 0.05 mag uncertainty in the SAAO $`L`$-band flux the star has a ($`KL`$) excess that is significant at the 3$`\sigma `$ level. For HD 75505, a 0.05 mag uncertainty in the SPIREX $`L`$-band magnitude gives rise to a 4$`\sigma `$ excess. Thus with $`>3\sigma `$ certainty, 2 of the 3 early-type cluster members are IR excess objects.

### 3.2 Comparison with other accretion indicators – H$`\alpha `$ equivalent widths

Since an IR excess most likely indicates the presence of a circumstellar disc, we might then expect to find a correlation between the IR excess and accretion indicators such as enhanced H$`\alpha `$ emission, which is believed to originate in magnetospheric columns allowing transport of disc material to the stellar surface. Two recent studies have demonstrated a correlation between the H$`\alpha `$ equivalent width ($`EW`$) and the ($`KL`$) colour in Cha I PMS stars (Kenyon & Gómez 2001), or the IR colour excess in the NGC 2264 population (Rebull et al. 2002). Comparison between the H$`\alpha `$ $`EW`$ and the colour excess  is desirable to eliminate redundancy caused by the spread in colour  across a stellar population.

Determination of the colour excess for individual stars requires knowledge of the spectral type. For $`\eta `$ Cha cluster members, spectral types have been determined from high resolution studies for several RECX stars that are also ROSAT All-Sky Survey stars (Alcalá et al. 1995), medium resolution spectra of all cluster members (Mamajek et al. 1999, Lawson et al. 2002) and optical photometric study (Lawson et al. 2001, 2002). For stars common to 2 or 3 studies, comparison of the spectral types suggests a typical uncertainty of $`\pm 1`$ subtype, a value comparable to the uncertainties present in the individual studies.

In Figure 3, we find a strong correlation between the H$`\alpha `$ $`EW`$ and the ($`KL`$) excess for the late-type members. Adopting the same colour excess as in Figure 2, we again count the same $`7\pm 2`$ stars as having an IR excess when photometric errors are considered.

### 3.3 The disc fraction – dust discs and accretion discs

Merging the above results, we conclude $`9\pm 2`$ out of the 15 known stellar systems in the cluster, or a fraction of $`0.60\pm 0.13`$ (2$`\sigma `$) have IR excesses. This number also defines the fraction of stars with dust discs , or the disc fraction  of the population. However, a more important parameter in PMS star evolution is the fraction of stars possessing accretion discs  in a young stellar population. By combining studies of populations of different ages it is possible to determine the timescale for the end of significant star-disc activity and probably also the timescale for Jovian planet building (e.g. Hillenbrand & Meyer 1999).

In other recent studies the number of accreting stars has been determined from the ($`HK`$) colour excess (e.g. Rebull et al. 2002). This has been a useful technique since the ($`HK`$) colour is sensitive to warm inner discs, and also since JHK  detector arrays have allowed entire star formation regions to be surveyed. With the introduction of $`L`$-band imagers, sensitive to cooler dust and to lower luminosity discs due to the increased contrast provided by the $`L`$-band photometry, we expect the disc fraction to increase as we demonstrate in Figure 1. But with the availability of $`L`$-band data, do we continue to detect accretion discs or are the $`L`$-band measurements increasingly sensitive to remnant dust discs in systems where there is no longer star-disc coupling?

The ($`KL`$) excesses measured for the $`\eta `$ Cha cluster stars (Figure 3) suggest a continuum of behaviour; from a CTT star (ECHA J0843.3–7905) showing strong star-disc interaction, stars that are CTT – WTT transition objects still showing evidence for on-going accretion (RECX 5, 9 and 11), WTT stars with weak IR excesses (RECX 3, 6 and 12), and WTT stars with little or no IR excess (RECX 1, 4, 7 and 10, and ECHA J0841.5-7853). Of the 15 known cluster members, the 4 stars with IR excesses $`\mathrm{\Delta }(KL)>0.4`$ are all likely to be experiencing on-going accretion (the uncertainty in this number is $`\pm 2`$ stars; 2$`\sigma `$). We have spectroscopically confirmed that accretion is present in two cases: ECHA J0843.3-7905 (Lawson et al. 2002) and RECX 11 (see below). For most of the late-type stars in the cluster, $`\mathrm{\Delta }(KL)3\mathrm{\Delta }(HK)`$, so our accretion criterion is little different from that adopted by Rebull et al. (2002), where $`\mathrm{\Delta }(HK)>0.15`$. These stars allow us to define an accretion fraction for the cluster of $`0.27\pm 0.13`$ ($`2\sigma `$). We further consider the issue of accretion in Section 4.

In Figure 4 we show spectral energy distributions for 4 of the cluster stars. We plot the measured fluxes of the CTT star ECHA J0843.3-7905, and offset the fluxes of the other stars to illustrate the range of IR signatures that are present in these stars. ECHA J0843.3-7905 shows a flat spectrum at near-IR wavelengths with high colour excess. On-going accretion in this star is supported by its rich optical emission spectrum, with a H$`\alpha `$ $`EW=110`$ Å. The star is likely associated with IRAS F08450–7854. The IRAS  Faint Source Catalogue (IRAS  FSC) indicates high-quality 25-$`\mu `$m and 60-$`\mu `$m fluxes of 0.30 Jy and 0.28 Jy, respectively; approximately twice the $`L`$-band flux. (The IRAS  FSC indicates an upper limit 12-$`\mu `$m flux of 0.27 Jy.) RECX 11 is one of 3 RECX stars with $`\mathrm{\Delta }(KL)0.5`$, and with a H$`\alpha `$ $`EW720`$ Å that places them near the traditional CTT-WTT star ‘boundary’ of activity. MSSSO 1.9-m/coudé spectroscopy of RECX 11 shows the star is still accreting from its circumstellar disc, with broad (width $`600`$ km s-1) and variable infall signatures at H$`\alpha `$ that are phased to the 3.95-d rotation period of the star (Lyo et al., in preparation). RECX 11 appears associated with IRAS F08487–7848, with 12-$`\mu `$m, 25-$`\mu `$m and 60-$`\mu `$m fluxes of 0.29 Jy, 0.32 Jy and 0.27 Jy, respectively. RECX 6 is representative of WTT stars in the cluster with IR excesses of $`\mathrm{\Delta }(KL)0.3`$, and RECX 10 is a WTT star with little or no IR excess (see Figure 3).

### 3.4 Additional considerations

#### 3.4.1 Binarity

In addition to the A7+A8 dual-lined eclipsing binary and $`\delta `$ Scuti system RS Cha AB, on-going study of the cluster population has found several confirmed or probable binary systems. Mamajek et al. (1999) noted that the H$`\alpha `$ emission profiles of RECX 7 and 9 were double, indicating that these stars may be spectroscopic binaries. Lawson et al. (2001) noted several of RECX stars had elevated $`V`$ magnitudes compared to other cluster members of similar spectral type; RECX 9 and 12 are elevated by $`0.7`$ mag (suggesting near-equal mass systems) and 2 of the K-type stars (RECX 1 and 7) are $`0.30.5`$ mag brighter than the third K-type cluster member RECX 11.

Speckle $`K`$-band imaging of RECX 1 and 9 by Köhler (2001) found both stars have companions at separations of $`0.10.2`$ arcsec. Observations of RECX 1 made during 1996 and 2000 showed motion that might indicate a decade-long orbit. Consideration of the stellar background density suggests these nearby stars are likely to be physically related to the primaries. If future observations confirm these systems, RECX 1AB and RECX 9AB have $`K`$-band brightness ratios of $`0.8`$ and 0.5, respectively. Observations of RECX 7 made by us using the 1.9-m telescope and coudé spectrograph at MSSSO during 2002 February showed RECX 7 to be a dual-lined spectroscopic binary with a period of 2.6 d (the same as the photometric period; Lawson et al. 2001) and a mass ratio of $``$ 2.3:1. (RECX 7 has also been observed to be a spectroscopy binary by Donati, private communication.) If RECX 7A is a near-solar mass star, then RECX 7B is a $`0.4`$ M early-M star. RECX 12 remains a candidate binary. However, Lawson et al. (2001) found 2 periods (1.3 and 8.6 d) in the $`V`$-band light curve of the star in observations made in 1999 and 2000. One of these periods may be the binary period.

We have considered the effect of a binary companion on the IR excesses determined from our JHKL  photometry. For a system such as RECX 7 with a mass ratio of $`23`$:1 we calculate, using the PMS models of Siess et al. (2000), that the near-IR colours will appear redder due to the presence of the secondary by $`<0.03`$ mag. Binaries with higher mass ratios show less distortion of the primary star colours. Due to the luminosity ratio of such systems, any IR excess present is likely associated with the primary. For distant near-equal mass systems such as RECX 1 the available data does not allow us to determine which member of the binary contains the IR excess, or if the excess is shared. For close binaries, we would envisage a circumbinary disc if one were present; the 2 confirmed spectroscopic binaries in the cluster (RS Cha and RECX 7) have no IR excess (see Figure 2). Since our criterion for the presence of an IR excess is $`\mathrm{\Delta }(KL)>0.25`$, we conclude that binarity will not significantly distort our results.

#### 3.4.2 Reddening

Photometry of the cluster members indicates reddening is absent or low. For the early-type stars, Westin (1985) found $`E`$($`by`$) $`=0.004`$ for $`\eta `$ Cha, and the light curve of the binary RS Cha has been modelled assuming $`E`$($`BV`$) = 0.0 (e.g., Clausen & Nordström 1978). For the late-type stars, our IR photometry indicates $`\mathrm{\Delta }(JH)0.3\mathrm{\Delta }(KL)`$, whereas the reddening vector in this plane has a gradient of 2.47 (see Figure 1b). We conclude that reddening is unimportant in our determination of the disc fraction.

#### 3.4.3 K-band excesses in the K-type stars

Comparison of the IR colour excesses indicates the 3 K-type stars (RECX 1, 7 and 11) have $`K`$-band excesses of $`0.1`$ mag, which has the effect of increasing the ($`HK`$) colours and decreasing the ($`KL`$) colours. This effect is not seen in the M-type stars, and cannot be attributed to reddening. Without 2-$`\mu `$m spectroscopy we cannot confirm if the excess is due to $`K`$-band activity, e.g. Greene & Lada (1996) detected Br$`\gamma `$ emission in half the CTT stars in a sample of $`\rho `$ Oph PMS stars, although in none of the WTT stars. For RECX 1, an increase in the ($`KL`$) colour of $`0.1`$ mag would make the IR excess significant. However, the star is already included in our estimate of IR excess objects once we account for observational uncertainties.

## 4 Summary and Conclusions

Considerable uncertainty reigns concerning the longevity, or more likely, the distribution of longevities, of circumstellar discs (Section 1). Despite its modest population, the $`\eta `$ Cha cluster provides a rare opportunity to examine – at high sensitivity – disc properties of PMS stars with intermediate ages whose selection is unbiased with respect to disc existence333The importance of the $`\eta `$ Cha cluster in this respect is recognized by its inclusion in the first year guaranteed time programme of the Space Infrared Telescope Facility.. If discs decay rapidly as indicated by some past studies, then no discs at all are expected in this cluster.

We find, however, that 9/15 or 60 percent of $`\eta `$ Cha primaries show IR excesses in the $`(HK)/(KL)`$ diagram (the late-type stars identified in Figure 2, plus $`\eta `$ Cha and HD 75505). The excess cannot be attributed to errors in photometry (Section 2), binarity (Section 3.4.1) or reddening (Section 3.4.2). Long-lived circumstellar discs are the only plausible explanation. One of these stars, ECHA J0843.3-7905, is a CTT star with active accretion (Lawson et al. 2002), and the H$`\alpha \mathrm{\Delta }(KL)`$ correlation seen in the late-type population suggests that up to 3 other stars may be accreting (see Figure 3). High-resolution spectroscopic study now underway will address this issue.

Why do we find a high disc fraction at $`t9`$ Myr when some other studies find discs largely disappear by $`t=36`$ Myr? We first recognize that, except for ECHA J0843.3-7905, the $`\eta `$ Cha discs would have been mostly missed from JHK  colours alone (see Figure 1a). Sensitive $`L`$band surveys are essential for the detection of aging PMS discs. The principal discrepancy among $`L`$band studies lies between our high disc fraction (9/15 or 0.60) in $`\eta `$ Cha and the low disc fraction (9/75 or 0.12) for the 5 Myr old cluster NGC 2362 found by Haisch et al. (2001). We suggest several explanations for this difference. First, the assigned age of NGC 2362 PMS stars relies solely on the turnoff age of the O9Ib supergiant $`\tau `$ CMa (Balona & Laney 1996) and the assumption that all stars in the cluster are coeval. Secondly, NGC 2362 is 1480 pc distant compared to 97 pc for $`\eta `$ Cha. The distance ratio alone degrades the $`L`$-band sensitivity by a factor of 200. Because of this, faint discs in NGC 2362 may not have been detected. Also, the limiting mass of the Haisch et al. (2001) study of NGC 2362 is $`M1`$ M (spectral type mid-K) compared to $`M0.2`$ M (spectral type M4) in our study of $`\eta `$ Cha. As we discuss in Section 3.1, it is easier to detect an IR excess in a late-M star, compared to a K-type star, using standard IR colour-colour plane analysis. Also, it is possible that disc lifetimes are shorter in higher mass stars. Third, there might be variance in the disc destruction rate amongst clusters due to different rates of close encounters or photoevaporation due to massive stars, e.g. the discs in NGC 2362 might have been stripped by the UV/wind of $`\tau `$ CMa (see Hollenbach et al. 2000 for theory).

A combination of the above factors can explain why there is a $`24`$ dispersion in the observed disc fraction for PMS star clusters of a similar age (Hillenbrand & Meyer 1999). While noting these differences, our results seen together with studies of other older nearby PMS stars (e.g. study of the TW Hydrae Association members by Muzerolle et al. 2000) indicate that IR-detected discs can be present in $`60`$ percent, and accretion discs can be present in $`30`$ percent, of $`10`$ Myr-old PMS stars.

## Acknowledgments

We thank C. Kaminski for obtaining our SPIREX/Abu observations, and J. Kastner and colleagues at the Rochester Institute of Technology for performing the pipeline analysis of the raw observations. We also thank M. Burton (UNSW) for coordinating the Australian allocation of SPIREX observing time, S. James for installing the SPIREX/Abu reduction package at ADFA, and N. Zarate (NOAO) at the IRAF help desk for on-line assistance. SPIREX was a facility operated by the Center for Astrophysical Research in Antartica. We thank the MSSSO and SAAO time allocation committees for telescope time during 2002 which enabled us to complete this project. MSSSO is operated by the Research School of Astronomy and Astrophysics, Australian National University. SAAO is a national facility operated by the National Research Foundation of South Africa. ARL acknowledges the support of a UNSW/ADFA International Postgraduate Research Scholarship. WAL acknowledges support from the UNSW Research Support Programme and UNSW/ADFA Special Research Grants. EEM thanks the SIRTF Legacy Science Program for support. EDF’s research is supported in-part by NASA contracts NAS8-38252 and NAG5-8422. LAC is supported by a National Research Foundation Post-graduate Scholarship.


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# Charge Fluctuations at Mid-Rapidity in Au+Au Collisions in the PHENIX Experiment at RHIC

## 1 Net charge fluctuations

The idea to study net charge fluctuations as a signal for quark gluon plasma formation was proposed about two years ago . It was predicted that the fluctuations in the net charge in a local region of phase space should be drastically reduced if a plasma was formed in the collisions. The arguments are based on the fact that the electric charge is more evenly distributed in a plasma, and it is predicted that this distribution should survive the transition back to the hadronic state, if a sufficiently large region of phase space ($`\mathrm{\Delta }y`$ 1) is considered.

Net charge fluctuations in Au+Au interactions at $`\sqrt{s_{NN}}=`$ 130 GeV have previously been studied by PHENIX . The same detectors and experimental techniques are used in the present analysis for Au+Au at $`\sqrt{s_{NN}}=`$ 200 GeV, with the exception that tracks are required to have an associated hit in the outermost layer of pad chambers ($``$5 m from the interaction point), resulting in improved track quality at the expense of a slightly reduced acceptance. The outermost layer of pad chambers was not installed in the west tracking arm in the run at 130 GeV.

For a given centrality selection, as determined by the PHENIX beam-beam counters (BBC) and zero-degree calorimeters (ZDC), one reconstructs $`n_+`$ positive and $`n_{}`$ negative particles in an individual event. The fluctuations are studied using the variable $`v(Q)`$, which is calculated as the ratio of the variance of the net charge, $`Q=n_+n_{}`$, to the mean of the total charged multiplicity, $`n_{ch}=n_++n_{}`$,

$$v(Q)=\frac{V(Q)}{<n_{ch}>}.$$
(1)
For random emission of particles, $`v(Q)=1`$. In a system with a random distribution of particles in phase space and with global charge conservation, one expects $`v(Q)=(1p)`$ if a fraction $`p`$ of all produced particles are detected. The experimentally observed values of $`v(Q)`$ for different centralities are shown in Figure 1.

One notes that $`v(Q)`$ shows only a small deviation from the value 1 for all centrality selections. Data at 130 GeV show no centrality dependence within the statistical errors while at 200 GeV a slight decrease in $`v(Q)`$ with increasing centrality cannot be excluded. The value of $`v(Q)`$ is far from what has been predicted for a quark gluon plasma ($`v(Q)`$ 0.2) and a hadron gas ($`v(Q)`$ 0.7) . It should be noted that these predictions are for a rapidity interval $`\mathrm{\Delta }y`$ 1 with full azimuthal acceptance, whereas PHENIX covers $`\mathrm{\Delta }\eta =`$ 0.7 in pseudo-rapidity and $`\mathrm{\Delta }\phi =\pi /2`$ in azimuth.

The question is therefore if and to what extent the measured values of $`v(Q)`$ reflect only global charge conservation or if any other contributions, e.g. from resonance decays in a hadron gas, are important. The reduction in $`v(Q)`$ is expected to scale with the acceptance. This is the case if only global charge conservation is considered, as was discussed above. It is also true for a reduction from resonances in a hadron gas. The reason is that a certain geometrical coverage is needed to detect all charged particles from the decay of a neutral resonance. The acceptance scaling of $`v(Q)`$ for a quark gluon plasma is not known, hence a theoretical model would be desirable to be able to do experimental comparisons.

Experimentally, it is found that $`v(Q)`$ does scale with the acceptance, as is illustrated in Figure 2, where $`v(Q)`$ is plotted versus varying acceptance windows in azimuth and pseudo-rapidity. The trend is very similar in both cases. The variable $`\mathrm{\Delta }\phi _d`$ corresponds to the azimuthal coverage that is used; it ranges from 00 to 900 in one central arm of the PHENIX spectrometer. It is not currently understood why $`v(Q)`$ at $`\sqrt{s_{NN}}=`$ 200 GeV exceeds one for small acceptances.

For data at 130 GeV it was estimated that global charge conservation alone should lead to a reduction in $`v(Q)`$ of about 1%. The observed value (0.965$`\pm `$0.007), which was found to be in good agreement with RQMD , was more than 3 standard deviations lower than the charge conservation estimate, thus indicating that charged tracks emanating from decays of neutral resonances are necessary to fully understand the measurements. No additional suppression to what was predicted by RQMD was observed. The reduction due to global charge conservation is approximately the same at $`\sqrt{s_{NN}}=`$ 200 and 130 GeV, which is also true for the fluctuations in RQMD . The preliminary conclusion is that both at $`\sqrt{s_{NN}}=`$ 130 and 200 GeV we do not observe any anomalous suppression in $`v(Q)`$ that cannot be explained by hadronic models.

## 2 Fluctuations in $`<p_T>`$

Fluctuations associated with a QCD phase transition could lead to anomalous event-by-event fluctuations in the average transverse momentum . Fluctuations in $`<p_T>`$ were studied by PHENIX at 130 GeV but no excess above the random contribution was observed . The present analysis uses the same techniques but with increased statistics, improved track quality cuts and better background rejection.

The observed fluctuations are compared with the expectation from statistically independent particle emission through the use of mixed events, as described in . The quantity

$$\omega =\frac{\sqrt{<p_T^2><p_T>^2}}{<p_T>}$$
(2)
is calculated for real and mixed events. The deviations from stochastical fluctuations are quantified through the measure $`F_T`$:

$$F_T=\frac{\omega _{data}\omega _{random}}{\omega _{random}}.$$
(3)
A non-zero value of $`F_T`$ indicates non-statistical fluctuations.

$`F_T`$ is plotted as a function of centrality in the left part of Figure 3. At $`\sqrt{s_{NN}}=`$ 200 GeV a statistically significant signal is observed which was not the case at 130 GeV. The value of $`F_T`$ has a maximum in semi-central collisions.

The right part of Figure 3 shows the variation of $`F_T`$ with the $`p_T`$-range used to calculate $`<p_T>`$, from 0.2 GeV/c to $`p_T^{MAX}`$, plotted as function of $`p_T^{MAX}`$. As can be seen, the value of $`F_T`$ increases as the $`p_T`$ range is extended to higher values.

The variation of $`F_T`$ with centrality and $`p_T`$ is similar to what one would expect for a process connected with elliptic flow. A simulation, based on the observed values of $`v_2`$ , of the contribution from elliptic flow to $`F_T`$ was therefore performed. The result indicates that elliptic flow is not responsible for the observed $`F_T`$ signal.

## 3 Conclusions

The analysis of net charge fluctuations at $`\sqrt{s_{NN}}=`$ 200 GeV has yielded results similar to those at 130 GeV. No additional suppression of the fluctuations beyond what is predicted by hadronic models is observed. Fluctuations in the mean transverse momentum, as measured through the quantity $`F_T`$, show a positive signal at $`\sqrt{s_{NN}}=`$ 200 GeV, peaking in semi-central collisions.


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# Diffractive effects in spin-flip 𝑝𝑝 amplitudes and predictions for relativistic energies

## I Introduction

The study of diffraction on high-energy scattering using Regge formalism is a well-known subject predazzi98 . Until the coming in operation of Relativistic Heavy-Ion Collider (RHIC), the highest energy $`pp`$ data available from accelerators were those of the Intersecting Storage Ring (ISR) at CERN. Those experiments, however, did not measure the polarization of the projectiles. Since the differential cross section ($`d\sigma /dt`$) at ISR energies is usually assumed to be dominated by the spin-non-flip amplitude, many of the models describing the diffraction in $`pp`$ scattering do not take into account the contribution from spin-flip amplitudes desgrolardII00 ; desgrolard94 ; donnachie84 . Others do bourrely79 ; goloskokov91 ; buttimore99 ; akchurin99  but in this case they use data at lower energies kline80 . However, the study of diffraction in spin-flip amplitudes began many years before that when one of us predazzi67  noticed that polarization data at $`\pi p`$ scattering suggested a diffractive contribution in the spin-flip $`\pi p`$ amplitude at high energy which becomes evident when the kinematical zero is removed. The spin-flip amplitude without the kinematical zero is named “reduced” and manifests itself as a peak in the forward direction which does not appear to vanish as the energy increases. In Ref. predazzi67  it was explicitly noticed that, once the kinematical zero is removed, all partial waves act coherently in the small angle domain as it is typical of diffractive events good60 . The following statement was made later hinotani79 : “ the residual spin-flip amplitudes behave very much like spin-non-flip amplitudes at high energies and exhibit a pronounced forward peak which is largely independent of the particular elastic reaction chosen”. The same conclusion was obtained in the analysis of $`pp`$ data some years later hinotani79  but in the case of $`pp`$ scattering the situation is complicated by the existence of five independent helicity amplitudes, named $`\varphi _j`$, with $`j=1,\mathrm{},5`$. Of those, $`\varphi _1`$ and $`\varphi _3`$ are spin-non-flip amplitudes, $`\varphi _2`$ and $`\varphi _4`$ are double spin-flip amplitudes, and $`\varphi _5`$ is a single spin-flip amplitude.

In this work we are interested in high energy and not too high $`t`$ so that we can concentrate the analysis on the main aspects of the spin-flip amplitude for $`pp`$ scattering in the diffractive region. In Ref. buttimore99  the magnitudes of $`\varphi _2`$ and $`\varphi _4`$ with respect to the spin-non-flip amplitude were analyzed and reasonable arguments were given concerning the linear dependence on $`t`$ for $`\varphi _2`$ ($`\varphi _2t`$ when $`t0`$) 111A similar dependence was also utilized in another work where the impact parameter space was used goloskokov91 ., while in the case of $`\varphi _4`$ the relation $`\varphi _4t`$ is consequence of angular momentum conservation.

So, the general form of the polarization $`P`$ for $`pp`$ scattering

$$P=2\frac{\mathrm{Im}[(\varphi _1+\varphi _2+\varphi _3\varphi _4)\varphi _5^{}]}{[|\varphi _1|^2+|\varphi _2|^2+|\varphi _3|^2+|\varphi _4|^2+4|\varphi _5|^2]}$$
(1)
can be simplified assuming that $`\varphi _2`$ and $`\varphi _4`$ are small compared to the others amplitudes in the $`t`$ region under interest. Using the definitions

$$\varphi _1=\frac{g(s,t)}{2},\varphi _5=\frac{h(s,t)}{2},$$
(2)
where $`g(s,t)`$ and $`h(s,t)`$ will be considered effective spin-non-flip and spin-flip amplitudes, respectively, and assuming $`\varphi _1=\varphi _3`$ the polarization can be rewritten as

$$P=2\frac{\mathrm{Im}[g(s,t)h^{}(s,t)]}{|g(s,t)|^2+2|h(s,t)|^2}.$$
(3)
Today, a rather considerable amount of data at higher energies has been gathered kline80  in the relatively small angle domain and new perspectives are being opened by the coming in operation of the Relativistic Heavy Ion Collider (RHIC), the ideal machine to study polarization in high energy collision processes guryn00 .

In addition, our phenomenological information on the spin-non-flip amplitude is today much more complete and this can be used to reduce the uncertainties in the analysis. Using an explicit parametrization for the $`pp`$ spin-non-flip amplitude desgrolard00  whose parameters have been calculated against all high energy $`pp`$ and $`\overline{p}p`$ data (except polarization), we analyze the structure of the reduced spin-flip contribution, where the kinematical zero is removed with the factor $`\sqrt{t}`$. The following conclusions are reached in this analysis.

(a) The (reduced) spin-flip amplitude exhibits the typical peak in the forward direction which characterizes diffractive amplitudes but the reduced spin-flip amplitude is less than 10% of the imaginary part of the spin-non-flip amplitude. (b) The data fitting with the same energy dependence in $`g(s,t)`$ and $`h(s,t)`$ seems the best choice; a zero is automatically produced in the polarization; this moves with energy towards $`t=0`$ as a consequence of the analogous shift of the dip in $`d\sigma /dt`$ induced by the zero of the spin-non-flip amplitude. (c) The magnitude of the polarization decreases as the energy increases but the extrapolation to 500 GeV predicts a non-negligible contribution if the same Pomeron trajectory for both spin-flip and spin-non-flip amplitudes is used.

In the next section we present the expressions of the amplitudes and explain them. In Sec. III we show the fit of the data and the modifications on the spin-flip amplitudes. We also consider a similar (nondiffractive) analysis of the data. Although the fit to the lower energy data is essentially the same, the two analysis predict a very different behavior at increasing energies. As we will stress, RHIC data should provide a reasonably clear cut answer to the question of whether or not diffraction contributes to the spin-flip amplitude. In Sec. IV we present the conclusions.

## II Definition of the amplitudes

The effective $`pp`$ spin-non-flip amplitude will be written as

$$g(s,t)=a^{nf}(s,t)=a_+(s,t)a_{}(s,t)$$
(4)
with

$$a_+(s,t)=a_{IP}(s,t)+a_f(s,t)\mathrm{and}a_{}(s,t)=a_O(s,t)+a_\omega (s,t),$$
(5)
where $`a_{IP}(s,t)`$ and $`a_O(s,t)`$ are the Pomeron and Odderon amplitudes, respectively, and $`a_f(s,t)`$ \[$`a_\omega (s,t)`$\] is the even (odd) secondary Reggeon 222Actually, $`a_f`$ embodies both $`f`$ and $`\rho `$ contributions (and $`a_\omega `$ both $`\omega `$ and $`a_2`$).. These different amplitudes are taken directly from Ref. desgrolard00  and their explicit forms are given in the Appendix A together with the values of their parameters.

To write the effective spin-flip amplitude $`h(s,t)`$: (i) first, we neglect the spin contribution of secondary Reggeons to check whether diffraction could be the dominant phenomenon for the spin-flip amplitude at small $`|t|`$ at the available energies; (ii) second, we notice that the combination of the exchange of two and three gluon ladders induce CP-even (and -odd) contributions to the spin-flip amplitude that affects Pomeron exchange. We have, therefore, to anticipate that the diffractive (Pomeron) contribution to the spin-flip amplitude may have a slightly modified structure from the usual one. Differently stated, to take into account three gluon ladders, we do not take a strict Regge pole parametrization for the Pomeron spin-flip term and we allow a real part contribution to be present. Thus, in the very small $`|t|`$ domain, we write

$`h(s,t)`$ $`=`$ $`a^{sf}(s,t)=(i\gamma _1+\delta _1){\displaystyle \frac{\sqrt{t}}{m_p}}\stackrel{~}{s}^{\alpha ^{sf}(t)}e^{\beta _1t}\mathrm{\Theta }(0.5|t|)`$ (6)
$`+`$ $`(i\gamma _2+\delta _2){\displaystyle \frac{\sqrt{t}}{m_p}}\stackrel{~}{s}^{\alpha ^{sf}(t)}e^{\beta _2t}\mathrm{\Theta }(|t|0.5),`$
where the mass of the proton $`m_p`$ is used to make the parameters dimensionless. In Eq. (6) $`\stackrel{~}{s}=(s/s_0)e^{i\pi /2}`$, $`\mathrm{\Theta }`$ is the step function and we assume $`s_0=1\mathrm{GeV}^2`$ as in Ref. desgrolard00 ; the superscript $`sf`$ (for “spin-flip”) allows us to check if the $`IP`$ trajectory can be different for spin-flip and spin-non-flip amplitudes. While the complex phase in Eq. (6) is used to take into account in a phenomenological way the mixing of CP even and odd contributions cited above, the step function is used to account in the most economical way for the fact that the fitting procedure requires a change in the slope of $`h(s,t)`$ (similar to what happens in $`d\sigma /dt`$) to have a good description of the polarization data. The precise point where the slope changes, however, is rather $`t`$ insensitive and could be taken at almost any value between 0.2 and 0.7 $`\mathrm{GeV}^2`$ (in $`|t|`$). We do not have an explanation for this effect nor for the insensitivity in the choice of the point where the slope changes but it proves that our parametrization is quite stable. To start with, we take the spin-flip Pomeron trajectory $`\alpha ^{sf}(t)`$ to be exactly the same as derived for the spin-non-flip amplitude

$$\alpha ^{sf}(t)=\alpha _{IP}(t)=\alpha _{IP}(0)+\alpha _{IP}^{}t,$$
(7)
where $`\alpha _{IP}(0)`$ and $`\alpha _{IP}^{}`$ are given in the Appendix A.

## III Fit to the existing $`pp`$ polarization data

The differential cross section $`d\sigma /dt`$ for $`pp`$ scattering is available at energies up to 63 GeV in the c.m. system but polarization data are available only at lower energies. We utilized the data at $`\sqrt{s}=`$ 13.8, 16.8, and 23.8 GeV (a total of 64 points) in the fit and we checked the quality of the result describing the polarization at 19.4 GeV. The parameters obtained in the fit are shown in Table 1 with the best $`\chi ^2`$ per degree of freedom. In principle (and in practice), the inclusion of the spin-flip amplitude in the game would require refitting all the parameters to reproduce the angular distributions as well. We will check, however, that the fit of the polarization data without performing a new fit to the angular distribution does not modify the quality of the fit to the latter while making much more direct the analysis of the polarization data

Figure 1 presents the set of polarization data used in the fit together with our reconstruction. Figure 2 shows the polarization at $`\sqrt{s}=19.4`$ GeV with the prediction of our model since this set was not used in the fit. In Fig. 3 we show $`d\sigma /dt`$ at various energies as described by adding the (squared) spin-flip amplitude \[see Eq. (17) in the Appendix A\] to the (squared) spin non flip term. As anticipated, the quality of the fit has not been altered.

Several comments are in order.

(a) The $`IP`$ contribution to the spin-flip amplitude $`h(s,t)`$ is considerably smaller than to the spin-non-flip term $`g(s,t)`$ (about 5%, roughly, at $`\sqrt{s}=`$ 20 GeV and changing little until 500 GeV). This value is compatible with the analysis performed in buttimore99  where use was made of the relative amplitude $`r_5=m\varphi _5/(\sqrt{t}\mathrm{Im}\varphi _+)`$. In our case, $`\mathrm{Im}r_5=0.054`$ at $`\sqrt{s}=`$ 500 GeV. We should mention that we find natural that the spin-flip part of the amplitude should be a small fraction of the spin-non-flip but, again, we have no real reason for this. (b) Contrary to the discussion made in Ref. hinotani79 , the (small $`|t|`$) slope of the spin-flip amplitude $`\beta _1=4.74\mathrm{GeV}^2`$ appears to be not very much different from the effective slope of the Pomeron in spin-non-flip amplitude (see the Appendix A). The present parametrization, however, is considerably more elaborate and the set of data corresponds to higher energies so the results of these papers may not be directly comparable. (c) Our result \[i.e., $`h(s,t)`$\] cannot be extended to $`|t|`$ values much higher than few $`\mathrm{GeV}^2`$ because the spin-non-flip amplitude utilized is valid at the Born level desgrolard00  and its description in the region after the dip ($`|t|>1.5\mathrm{GeV}^2`$) is not very good. To extend our considerations to higher $`|t|`$, it would be necessary to adopt the more sophisticated eikonalized version. Anyway, the $`t`$ region of interest for RHIC is up to $`1.5\mathrm{GeV}^2`$ guryn00  so we can confine our analysis to the not too high $`|t|`$ region. This point may have to be reconsidered in the future along with more detailed analysis. (d) The spin-non-flip amplitude in Ref. desgrolard00  fits $`d\sigma /dt`$ without the spin contribution and that description is not spoiled by the presence of $`h(s,t)`$ on this work since it is very smaller than $`g(s,t)`$.

### III.1 The kinematical zero of the spin-flip amplitude

The original work about diffraction and polarization data at $`\pi p`$ scattering calculated the reduced spin-flip amplitude removing the kinematical zero by means of a $`\mathrm{sin}\theta `$ instead of $`\sqrt{t}`$ predazzi67 . Since the energies available at that time were much lower, it would be difficult to see differences between the two approaches. But the data presently available and the coming in operation of RHIC at even higher energies raises the question of what would happen if the factor $`\mathrm{sin}\theta `$ was used. In principle, the use of relativistically invariant variables used earlier seems more appropriate but we feel that the answer can only come from experiments.

To answer this question we adopt in this section the spin-flip amplitude

$`h(s,t)`$ $`=`$ $`a^{sf}(s,t)=(i\gamma _1+\delta _1)\mathrm{sin}\theta \stackrel{~}{s}^{\alpha ^{sf}(t)}e^{\beta _1t}\mathrm{\Theta }(0.5|t|)`$ (8)
$`+`$ $`(i\gamma _2+\delta _2)\mathrm{sin}\theta \stackrel{~}{s}^{\alpha ^{sf}(t)}e^{\beta _2t}\mathrm{\Theta }(|t|0.5).`$
We use the same procedure of the fit with Eq. (6), that is, we fit the data at $`\sqrt{s}=13.8`$, 16.8 and 23.8 GeV assuming $`\alpha ^{sf}(t)=\alpha _{IP}(t)`$. Then we check the quality of the fit with the description of the polarization data at 19.4 GeV. The values of the parameters obtained with Eq. (8) are shown in Table 2.

Following the same procedure of the previous section, we present in Fig. 4 the result of the fitting while Fig. 5 shows the polarization at $`\sqrt{s}=19.4`$ GeV and Fig. 6 presents $`d\sigma /dt`$. Two differences in the present results and in those of the previous analysis are worth being emphasized. First, the ratio of the reduced spin-flip \[$`h(s,t)/\mathrm{sin}\theta `$\] to the spin-non-flip amplitude is much bigger (above 90%) and this big ratio was noticed at lower energies too hinotani79 . Second, the slope $`\beta _1=6.25\mathrm{GeV}^2`$ is higher than the previous result (Table 1) so the reduced spin-flip amplitude is steeper on this case.

Although Eqs. (6) and (8) present very different values for the parameters $`\beta _1,\delta _1`$, and $`\gamma _1`$, Figs. 1-6 show that the descriptions of the data are similar and the fits have a comparable $`\chi ^2`$. To understand the consequences of using one parametrization or the other it is necessary to remember that $`\mathrm{sin}\theta \sqrt{t/s}`$. So, to all effects, Eq. (8) does not have the $`s`$ dependence of the Pomeron. Differently stated, the parametrization (8), ultimately, is not diffractive. The comparison between the two parametrizations used for $`h(s,t)`$, therefore, Eqs. (6) and (8) goes to the root of the problem of whether or not diffraction contributed to spin-flip. This difference will have relevant consequences at higher energies and the $`pp2pp`$ experiment at RHIC guryn00  will be able to discriminate between these two scenarios.

### III.2 Predictions to higher energies

The $`pp2pp`$ experiment at RHIC will provide information about polarization in $`pp`$ scattering at energies between 50 and 500 GeV guryn00 . That means a big increase in the amount of information about the spin content of the proton so it is important to see what we can say about the polarization in that energy range based on the information we have derived from the data available at lower energies. To this aim, we calculate the polarization at $`\sqrt{s}=50`$ and 500 GeV with Eq. (6) plotting the result in Fig. 7. We can see that the polarization decreases in magnitude with increasing energy but it is still sizeable at 500 GeV. Equation (6) produces a peak of about 10% of positive polarization around $`t=1.25\mathrm{GeV}^2`$ and $`\sqrt{s}=500`$ GeV as compared with a (positive) polarization of over 15% at $`\sqrt{s}=50`$ GeV.

Now we compare this result with the prediction using Eq. (8) (see Fig. 8). The polarization calculated with the factor $`\mathrm{sin}\theta `$ is much smaller (about 5% at $`\sqrt{s}=50`$ GeV) but becomes essentially zero at $`\sqrt{s}=500`$ GeV. As already mentioned the factor $`1/\sqrt{s}`$ hidden inside the sine function is important to separate the predictions at high energies.

We have also checked the possibility of a different intercept for the trajectory $`\alpha ^{sf}(t)`$. In this case Eq. (7) is modified and $`\alpha ^{sf}(0)`$ becomes a new parameter to be fitted together with the other six parameters. The values obtained (with a similar $`\chi ^2/N_{\mathrm{DF}}`$) for them were quite absurd, including a negative intercept $`\alpha ^{sf}(0)`$ when the factor $`\sqrt{t}/m_p`$ is used, and the polarization predictions at RHIC energies are so small that it would be essentially impossible to detect those values experimentally. Since there is no improvement of the fit with the increased number of parameters we discard this solution.

## IV Conclusions

We analyzed the spin-flip amplitude and removed its kinematical zero to study the Pomeron contribution to the spin as suggested long time ago predazzi67 ; hinotani79 . We made use of two hypothesis to remove the zero, $`\sqrt{t}/m_p`$ and $`\mathrm{sin}\theta `$, where the first is more convenient at high energies since it is relativistic invariant while the second was used in the original work about diffraction in $`pp`$ spin-flip amplitudes hinotani79 . The differences resulting from the application of Eqs. (6) or (8) are quite large although the descriptions of the data between $`\sqrt{s}=`$ 13 and 24 GeV are very similar. The fraction of $`h(s,t)`$ to $`g(s,t)`$ is small if $`\sqrt{t}/m_p`$ is used (around 5%) but it becomes big when $`\mathrm{sin}\theta `$ is utilized (more than 90%). Although, as already mentioned, we do not have a strict reason to prefer one over the other, the first solution is much more in line with the traditional analyses. Also, the slope at small $`|t|`$ changes when $`\sqrt{t}/m_p`$ is substituted by $`\mathrm{sin}\theta `$, showing that $`h(s,t)`$ becomes steeper with the second option. At the same time, the slope $`\beta _2`$ is practically the same in both cases showing that there is a modification on $`h(s,t)`$ around $`t=0.5\mathrm{GeV}^2`$, which confirms the necessity of two slopes in the spin-flip amplitude as it was assumed. The extrapolations shown in Figs. 7 and 8 suggest that the data from RHIC will be crucial to understand and choose the best form to describe the spin-flip amplitude.

In summary, the prediction is very straightforward: a positive polarization of the order of 10% is predicted at RHIC energies of $`\sqrt{s}=500`$ GeV if the Pomeron (diffraction) contributes to the spin-flip amplitude as lower energy data tend to suggest. A vanishing contribution is otherwise expected.

It would be possible to improve the description of the data with more elaborated forms for both spin-non-flip and spin-flip amplitudes (by eikonalizing them, for example, Ref. desgrolard00 , by introducing subasymptotic effects in the spin-flip part by secondary Reggeons and so on) but we expect that the main conclusions of our analysis would remain the same in the region of small $`t`$ (where the Born amplitudes work well) and high energies (where the Pomeron dominates). A more detailed analysis to separate the contributions of the exchanges of two and three gluon ladders would be more gratifying from the theoretical point of view as well as a better study of the break in the diffractive slopes. All these points will, hopefully, be reconsidered in the future.

###### Acknowledgements.

Several discussions with Professor E. Martynov and Professor M. Giffon and the comments and suggestions of Professor O. V. Selyugin are gratefully acknowledged. Work supported in part by the MURST of Italy. One of us (A.F.M.) would like to thank the Department of Theoretical Physics of the University of Torino for its hospitality and the FAPESP of Brazil for its financial support.

*

## Appendix A The spin-non-flip amplitude

The spin-non-flip amplitude utilized in this work is

$$a^{nf}(s,t)a_+(s,t)a_{}(s,t),$$
(9)
where

$$a_+(s,t)=a_{IP}(s,t)+a_f(s,t)$$
(10)
and

$$a_{}(s,t)=a_O(s,t)+a_\omega (s,t).$$
(11)
The expressions for the two Reggeons used in Ref. desgrolard00  are

$$a_R(s,t)=a_R\stackrel{~}{s}^{\alpha _R(t)}e^{b_Rt}$$
(12)
and

$$\alpha _R(t)=\alpha _R(0)+\alpha _R^{}t(R=f\mathrm{and}\omega )$$
(13)
with $`a_f(a_\omega )`$ real (imaginary).

For the Pomeron, the spin-non-flip amplitude is

$$a_{IP}^{(D)}(s,t)=a_{IP}\stackrel{~}{s}^{\alpha _{IP}(t)}[e^{b_{IP}[\alpha _{IP}(t)1]}(b_{IP}+\mathrm{ln}\stackrel{~}{s})+d_{IP}\mathrm{ln}\stackrel{~}{s}]$$
(14)
while for the Odderon we use

$$a_O(s,t)=[1\mathrm{exp}(\gamma t)]a_O\stackrel{~}{s}^{\alpha _O(t)}[e^{b_O(\alpha _O(t)1)}(b_O+\mathrm{ln}\stackrel{~}{s})+d_O\mathrm{ln}\stackrel{~}{s}],$$
(15)
where again $`a_{IP}(a_O)`$ real (imaginary) and we have utilized $`\alpha _i(t)=\alpha _i(0)+\alpha _i^{}t`$, where $`i=IP,O`$.

Our definition for the amplitude follows desgrolard00  so that

$`\sigma _t={\displaystyle \frac{4\pi }{s}}\mathrm{Im}\{a^{nf}(s,t=0)\},`$ (16)
$`{\displaystyle \frac{d\sigma }{dt}}={\displaystyle \frac{\pi }{s^2}}[|a^{nf}(s,t)|^2+2|a^{sf}(s,t)|^2].`$ (17)
In this work we retain the same parameters for the spin-non-flip amplitude as in Ref. desgrolard00  and we keep them fixed while fitting the parameters of the spin-flip amplitude. We utilize the dipole model at the Born level since most of the polarization data is contained in the $`t`$ domain corresponding to the region before the dip in $`d\sigma /dt`$ (well described without eikonalization). The values of the parameters of the spin-non-flip amplitude desgrolard00  are shown in Table 3.

To calculate the polarization we utilized the form

$$P=2\frac{\mathrm{Im}\{a^{nf}(s,t)[a^{sf}(s,t)]^{}\}}{|a^{nf}(s,t)|^2+2|a^{sf}(s,t)|^2},$$
(18)
where the star on the numerator means complex conjugate.


text:
# Observational Properties of Extragalactic Globular Cluster Systems

## 1. Introduction

Much has been learnt about the formation and evolution of our Milky Way Galaxy from the system of globular clusters (GCs). It is natural to extend such studies to the GC systems of other galaxies. There are several advantages in doing this:
$``$ Greater numbers, eg the MW has only 150 known GCs, M31 has a total population of $``$ 400 and M87 $``$ 10,000.
$``$ Probing to higher metallicity GCs.
$``$ The Local Group has no giant ellipticals.
$``$ No foreground stars in the GC spectra.
$``$ Discover something new !

For Local Group studies (D $``$ 1 Mpc), 3-6m telescopes have collected optical and IR colours, and measured sizes for large numbers of GCs. Spectra also exist in large numbers for V $``$ 16 GCs, giving metallicities, abundances, relative ages and system kinematics. Classic papers for Local Group GCs are those of Brodie & Huchra in 1990s (eg Brodie & Huchra 1990, 1991) More recently the 0.1$`^{^{\prime \prime }}`$ resolution of HST has provided CMD morphologies for several Local Group GCs (see various posters at this conference).

Further afield (eg Virgo/Fornax distance of 15 Mpc) 8-10m telescopes are starting to obtain similar information for more distant GC systems. Optical colours have now been measured for $``$50 systems. IR colours are lagging behind but quickly catching up (see posters by Puzia and Hempel). At 15 Mpc, GCs are partially resolved by HST allowing sizes to be measured (eg Larsen et al. 2001). Typical mags of V $``$ 22 have made obtaining high quality spectra (for ages, abundances etc) and large numbers for system kinematics slow going. Only a handful of systems have good quality spectra for individual GCs (the vast majority coming from the SAGES project.) A database of imaging and spectral information for extragalactic GCs can be found at: astronomy.swin.edu.au/dforbes

## 2. Bulge GCs in Spirals

In our Galaxy, the inner metal-rich GCs are now thought to be associated with the bulge rather than the disk (Minniti 1995). Recently Forbes et al. (2001) extended this view to other spiral galaxies. In particular, they showed that the mean metallicity, velocity dispersion, rotation velocity and spatial distribution of the inner metal-rich GCs in M31 and M81 supported a bulge origin. HST imaging of the GCs in the Sombrero galaxy (M104) revealed a large number of metal-rich GCs (Larsen, Forbes & Brodie 2001). It seems highly unlikely that they are associated with the tiny disk but instead with the dominant bulge. A comparison of the number of metal-rich GCs with the bulge luminosity (called ‘bulge’ specific frequency) in the MW, M31 and M104 suggests a near constant value of 1.0. This can be compared to the specific frequency of red (metal-rich) GCs in field ellipticals which is 0.5–1.5 (assuming that the elliptical is simply a large bulge). Thus the ‘bulge specific frequency’ for spirals and ellipticals are similar.

## 3. The Local Group Elliptical

Some, perhaps all, large ellipticals are thought to have formed via the merger of spirals. It is thus interesting to ‘merge’ together the GC systems of the Local Group galaxies to simulate a dissipationless (ie no new GCs are formed) merger. This merger is of course dominated by M31 (Sb) and MW (Sbc). Forbes et al. (2000) carried out this exercise and found the total GC system of the LG elliptical to be 700 $`\pm `$ 125. The total luminosity was estimated to be MV –22.0, giving SN = 1.1. After correcting for the presence of young stellar populations this value rises to SN $``$ 2, so still a relatively low SN elliptical. The GC luminosity function revealed a peak at the universal value (ie MV $``$ –7.5) and the metallicity distribution was bimodal with peaks \[Fe/H\] $``$ –1.5 and –0.5. The ratio was 2.5:1 for metal-poor to metal-rich. Any models of merging spirals should take into account not only the pre-existing metal-poor GCs but also the metal-rich ones (which could be a significant fraction in the case of early-type spiral progenitors).

## 4. Overview of GC imaging

$``$ Metallicity distributions. All galaxies, irrespective of Hubble type, appear to have a population of metal-poor (\[Fe/H\] $``$ –1.5) GCs. Galaxies with bulges have a metal-rich (\[Fe/H\] $``$ –0.5) population also. Some particular exceptions may exist (eg Woodworth & Harris 2000). .
$``$ Metallicity-mass relation. The mean metallicity of the metal-poor GCs is almost constant at \[Fe/H\] $``$ –1.5, whereas the mean value for the metal-rich ones varies with host galaxy mass (ie luminosity or velocity dispersion). This suggests that the metal-poor ones formed slightly pre-galactic while the metal-rich ones know about the potential that formed they in (Forbes & Forte 2001).
$``$ Size trend. Metal-poor GCs are, on average, 20% larger than metal-rich ones irrespective of Hubble type (Larsen et al. 2001). This effect may be due to conditions at formation or subsequent dynamical evolution due to different orbits.
$``$ Spatial distribution. In general, the metal-rich GCs in ellipticals are centrally concentrated and appear to follow the ‘bulge/spheroid’ light. Whereas the metal-poor GCs are more extended and are associated with the halo.

## 5. Overview of GC Spectroscopy

$``$ Metallicities. Spectra have confirmed the bimodality seen in optical colours and the metallicity range of less than one hundredth solar to twice solar.
$``$ Ages. Relative ages, from Lick indices, are now available for a number of GCs in ellipticals. These suggest that most GCs are old ($``$ 12 Gyrs) although there is tentative evidence that the red GCs may be a few Gyrs younger than the blue ones. There are also cases now of some intermediate (Puzia et al. 2002; Larsen et al. 2002) and young age GCs in otherwise ‘old’ ellipticals (Forbes et al. 2001). It is not yet clear how significant this younger subpopulation is compared to the total. One caveat is the possible presence of blue horizontal branches which may affect the age determinations based on the H$`\beta `$ line (Lee et al. 2000).
$``$ Abundances. To date most GCs in ellipticals are consistent with supersolar abundances, ie \[Mg/Fe\] $``$ +0.3 (although Maraston et al. 2001 found solar ratios for GCs in the ongoing merger NGC 7252). This indicates the dominance of SN II over SN Ia in their formation, which is probably due to a short time scale for star formation. Further abundance studies will reveal important chemical evolution clues.

Currently all high quality spectra (ie H$`\beta `$ errors of $`<\pm 0.3\AA `$) of GCs beyond the Local Group come from the Keck telescope. These include:
NGC 1399 Forbes et al. (2001)
M81 Schroder et al. (2002)
M104 Larsen et al. (2002)
NGC 524 Beasley et al. (2003)
NGC 4365 Larsen et al. (2002)
In the near future, spectra from the VLT and Gemini telescopes will add to this list.

An example of three GCs in NGC 1399 observed by Keck + LRIS is shown in Fig. 1. Here the exposure time was 3.5 hours and the typical H$`\beta `$ error was $`\pm `$0.2–0.4Å. For NGC 1399 we found (Forbes et al. 2001) that the GCs covered the full metallicity range, ie –2.2 $`<`$ \[Fe/H\] $`<`$ 0.3, and that most of the blue and red GCs were old ($``$ 12 Gyrs). However we also found two young ($``$ 2 Gyrs) GCs. All of the GCs were consistent with having supersolar \[Mg/Fe\] abundance ratios.

GC system kinematics have only been measured for a small number of elliptical galaxies (eg Kissler-Patig & Gebhardt 1988; Zepf et al. 2000), and each system appears to have slightly different kinematic trends. So it is difficult to draw general conclusions. This situation should change rapidly with new spectrographs coming online which have hundreds of slits (eg DEIMOS, GMOS, VIMOS). As well as constraining galaxy formation models, it will be interesting to compare mass estimates from GCs (which require assumptions about orbits) with those from X-ray measurements (which requires the assumption of hydrostatic equilibrium).

## 6. The Formation and Evolution of GCs

Three scenarios had been proposed to understand the observations of extragalactic GC systems in the context of galaxy formation. They are late stage mergers (Ashman & Zepf 1992), two-phase collapse at early epochs (Forbes, Brodie & Grillmair 1997) and accretion (Cote, Marzke & West 1998). Galaxy formation itself is often interpreted using a semi-analytic code (eg Cole et al. 2000) within a $`\mathrm{\Lambda }`$CDM universe. Recently we simulated the formation of GCs around ellipticals using the GALFORM semi-analytic code (eg Cole et al. 2000) in such a universe for the first time. This model involves elements of mergers, collapse and accretion.

Details of this work can be found in Beasley et al. (2002). Briefly, GCs are formed in two modes of star formation. In the first, or ‘quiescent’ mode, metal-poor GCs form in proto-galactic clouds. These gaseous clouds collapse/merge, giving rise to a burst of star formation. During this ‘burst’ mode, the vast bulk of the galaxy stars form along with the metal-rich GCs. The final GC system depends on the local galaxy environment and its mass (luminosity). For example, low luminosity field ellipticals tend to have a more extended star formation history which is more bursty in nature. We would expect such galaxies to reveal metal-rich GCs that are 3-5 Gyrs younger in the mean than the metal-poor ones which are $``$12 Gyrs old in all ellipticals. More high quality spectra with 8-10m class telescopes should be able to test this prediction.

We had to make two key assumptions in order to produce bimodal GC colour distributions. The first was to fix the efficiency of forming GCs vs field stars (this was chosen to match observations of M49). The second was to stop the formation of metal-poor GCs at redshift z = 5. There was no physical basis for this, but such a redshift may be associated with the epoch of reionisation (see Cen 2001). The model ellipticals have GC systems that can reproduce the diversity seen in HST studies (eg Larsen et al. 2001) and the relation between number of GCs and galaxy luminosity (ie typical SN = 5).

In Fig. 2 we plot SN (number of GCs per unit galaxy starlight) vs the ratio of blue (metal-poor) to red (metal-rich) GCs. We compare the model predictions of 450 ellipticals with galaxies for which wide field imaging data is available. We also show the range of parameters for the major merger model of Bekki et al. (2002). The GALFORM model and the data both show a weak trend for the higher SN galaxies to have relatively more blue GCs, ie it is the number of blue GCs that drives SN. Examination of the evolution of SN with time in individual galaxies also indicates that most of the change in SN occurs at early epochs and late stage mergers have only a minor effect on SN (see Fig. 3).

On the other hand, major mergers would require a different trend. To form a high SN system via mergers one needs many red GCs. The major merger predictions of Bekki et al. (2002) are clearly at odds with the data, suggesting that such mergers are not the dominant process in creating high SN galaxies. Indeed observations of young (few Gyr old) ellipticals suggest SN values close to 2–3 (after correction for the M/L ratio of the younger stellar populations).

## 7. Summary and Predictions

The observations of extragalactic GC systems indicate that:
$``$ The inner metal-rich GCs in the Milky Way and other spirals has a bulge (not disk) origin.
$``$ The GC systems of spirals and ellipticals show remarkable similarities.
$``$ Blue and red GCs have similar ages $``$ 12 Gyrs (but red GCs could be younger by 2–4 Gyrs).
$``$ Some young ($``$ 2-8 Gyrs) GCs have been found in ‘old’ ellipticals.
$``$ Blue and red GCs appear to have supersolar alpha ratios.
$``$ Red GCs trace elliptical galaxy star formation.

The modelling of GC formation in a $`\mathrm{\Lambda }`$CDM universe indicates that:
$``$ Blue GCs formed $``$ 12 Gyrs ago in all ellipticals.
$``$ Red GCs have a mean age of 8–10 Gyrs in field ellipticals.
$``$ SN is driven by the number of blue GCs in a galaxy and is largely determined at early epochs; late stage mergers have little effect on SN.
$``$ In general, spirals and ellipticals have similar GC systems.

Areas of research that we will no doubt hear more about in the near future are:
$``$ 8m wide field K band imaging studies (eg Puzia et al. 2002).
$``$ Age structure within the red GCs (Beasley et al. 2002).
$``$ Nature of the large (Reff $``$ 10 pc) red low luminosity (MV $``$ –6) clusters (Brodie this meeting).
$``$ Importance of shredded dwarf galaxies (eg Bekki et al. 2001).
$``$ HST+ACS CMDs for Local Group GCs (eg Rich this meeting).
$``$ Halo mass estimates, GC kinematics vs Xrays (eg Kissler-Patig et al. 1998).
$``$ Continued improvements in SSP grids (eg Maraston this meeting)

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